Section 703. - Third-Party Plan Review and Inspection Program.
A. General. An applicant for a building permit who intends to utilize the TPP Program rather than the DS Department for plan review and inspection services shall follow the procedures set forth in the Manual, and as required by the DS Department.
B. Third-Party Provider Requirements and Application. A person or entity seeking to provide Third-Party Plan Review and Inspection Services, otherwise referred to as "Permitting Services", and seeking approval as a "Provider" within the City of Tulsa shall agree to and comply with the following:
1. An Applicant requesting approval as a Provider shall have an agreement with a Developer to provide Permitting Services for a particular Project.
2. An Applicant shall submit a completed "Application for Third-Party Provider Designation" ("application" hereinafter) as approved by the Director and as is set forth in the Manual, to the DS Department.
3. An Applicant shall provide a certificate of insurance evidencing current insurance coverages provided by an insurer authorized to transact insurance business in Oklahoma, at the time of submission of a new application or at the time of submission of a renewal application, as follows:
i. Professional Liability/Errors and Omissions Insurance with coverage of not less than One Million Dollars ($1,000,000.00) per occurrence, with an endorsement providing coverage for two (2) years after completion of each Project; and
ii. Workers Compensation Insurance which complies with Oklahoma statutory requirements and Employer's liability insurance with coverage of not less than One Hundred Thousand Dollars ($100,000.00) per occurrence, or the minimum policy coverage required by Oklahoma law, whichever is greater.
4. Providers shall furnish a replacement Certificate of Insurance to the DS Department when any required insurance policy expires or is canceled.
5. All Certificates of Insurance submitted must be approved by the Office of the City Attorney. Any deficient Certificates of Insurance must be corrected as required by the Office of the City Attorney.
6. Each required insurance policy shall provide by endorsement that thirty (30) days' prior written notice of cancellation shall be delivered by the insurer to the City, except that ten (10) days' written notice of cancellation shall be provided by the insurer due to non-payment of premium.
7. A Provider shall not cause or allow any required insurance policy to be canceled or to lapse without securing replacement insurance coverage so that there is no gap in coverage, and a Provider shall notify the DS Department of any change in insurance coverage within fifteen (15) days of such change. Failure by a Provider to maintain the required insurance coverage(s) is a violation of the conditions of approval as a Provider and may result in consequences up to and including removal from the TPP Program.
8. Submission of the application and application/registration fee of Two Hundred Fifty Dollars ($250.00) at the time the application is submitted to the DS Department.
9. By submission of an application, the Applicant represents that it is familiar with, and knowledgeable of all applicable State of Oklahoma and City of Tulsa construction codes and City of Tulsa ordinances, regulations and policies which are applicable to a construction Project, and that the applicant is in compliance with applicable laws of the State of Oklahoma, the ordinances of the City of Tulsa, the Manual, and all other applicable laws, rules and regulations.
C. Application Approval and Designation as a Provider. Upon receipt of a completed application from an Applicant and all required insurance certificates, any other information and supporting documentation required by the DS Department, and the non-refundable application and registration fee of Two Hundred Fifty Dollars ($250.00), the DS Department shall determine if the applicant meets the requirements to provide permitting services as a Provider, and shall either approve or deny the application. Upon approval, a Provider shall be issued an approval notice and Provider registration number by the DS Department, and such approval shall be valid for a twelve (12) month period, unless the Provider is later suspended or removed.
D. Renewal Applications. A person or entity that received approval in the preceding year from the DS Department and is in good standing as a Provider shall submit a renewal application in such form as is approved by the Director and the registration renewal fee of Two Hundred Fifty Dollars ($250.00) to the DS Department at least sixty (60) days prior to the expiration of the previous approval as a Provider. The renewal applicant must submit any new documents that may be required by the DS Department to update its records or to make a determination regarding the renewal application. Current certificates of insurance with the coverages required by the TPP Program shall be submitted with the renewal application. The DS Department, in its sole discretion, may provide a conditional six (6) month extension to a Provider to complete plan reviews and inspections for an ongoing Project. During the extension period, the renewal application must be submitted, processed and approved by the DS Department prior to the expiration of the extension period or the Provider shall be removed from the TPP Program. If a renewal application is not approved within the six (6) month extension period, a new application must be submitted and approved for an applicant to provide permitting services pursuant to the TPP Program. Renewal registration is valid for a twelve (12) month period, unless the Provider is later suspended or removed.
E. Duty to Provide Current Information. A Provider is required to notify the DS Department in writing if there is a material change in the information that was provided for a pending application, or for an approved Provider, within ten (10) business days after the material change. Failure to provide current material information required by the DS Department shall be grounds for rejection of an application and is a violation warranting administrative action as authorized by this chapter.
F. Qualifications of Providers. To be considered for DS Department approval as a Provider, an Applicant shall comply with the following:
1. An Applicant must have experience in the construction industry and must demonstrate knowledge of all applicable State of Oklahoma and City of Tulsa construction codes and City of Tulsa ordinances, regulations and policies which are applicable to a construction Project, as well as knowledge of the City of Tulsa's permitting processes and required inspections.
2. A Provider must maintain an office within the State of Oklahoma.
3. If a Provider is an artificial entity such as a corporation or a limited liability company, such entity must be registered with the Office of the Oklahoma Secretary of State and be in good standing.
G. Provider Scope of Services. Permitting Services shall be performed by the Provider as applicable to a specific Project, utilizing such licensed and certified Qualified Professionals, Plans Examiners, and Inspectors as may be necessary through completion of the Project and issuance of a Certificate of Occupancy. Permitting Services for the following-listed Project components shall be performed by the Provider, as necessary, as set forth in the Manual:
1. Private site infrastructure and utilities (grading, paving, water, sewer and stormwater drainage systems);
2. Zoning, subdivision, and development regulations compliance;
3. Architectural/Structural/Fire Safety (building/fire codes; except fire sprinklers/standpipes, detection and alarm systems);
4. Accessibility;
5. Mechanical, Electrical; and Plumbing (MEP);
6. Energy Conservation;
7. Signs; and
8. Recommendations for the issuance of building permits, close-out permits and certificates of occupancy.
H. Prohibited Provider Services and Necessary Approvals. The following-listed processes and Project components are outside of the scope of Provider Permitting Services, except to the extent necessary to submit requests for approvals or to recommend approvals, as set forth in the Manual:
1. Granting approval of alternative materials, design, and methods of construction and equipment, or modification or deviation from any provision of the applicable codes, standards, regulations and policies;
2. Approval of work within a dedicated or planned public right-of-way;
3. Infrastructure Development Process (IDP) permitting services;
4. Approvals by the Board of Adjustment, the Tulsa Metropolitan Area Planning Commission (TMAPC), the Preservation Commission, and the City Council;
5. Projects within a Federal Emergency Management Agency (FEMA) and/or City of Tulsa regulatory floodplain;
6. Work in rights-of-ways occupied by utility franchisees of the City of Tulsa, including utility easements;
7. Fire Protection Systems (fire sprinklers, standpipes, detection and alarm systems);
8. Zoning approval;
9. Tulsa City-County Health Department approval;
10. Issuance of permits and certificates of occupancy; and
11. Other work as determined by the Building Official in writing as adopted by administrative rule.
The Developer and Provider are responsible for obtaining all necessary approvals of the type and from the proper authority as set forth in this subsection that may be required for a particular Project. In addition, it is the responsibility of the Developer and Provider to timely schedule and complete submittals, reviews, and inspections throughout the duration of a Project to its completion.
I. Conflicts of Interest. A Provider and Qualified Professionals, Plans Examiners and Inspectors shall at all times be in compliance with the Conflicts of Interest provisions as set forth in the Manual.
J. Use of Qualified Professionals, Plans Examiners and Inspectors. A Provider shall utilize one (1) or more Qualified Professionals, Plans Examiners, and Inspectors as is necessary for each Project. A Qualified Professional shall provide direct supervision of all plan reviews and inspections for a Project. The required certifications for a Qualified Professional, Plans Examiner and Inspector for each Project component for the purpose of Permitting Services shall be established by the Director and as set forth in the Manual. The Director may amend and modify the required certifications for Qualified Professionals, Plans Examiners and Inspectors.
K. Areas of Permitting Services-Project Components. The areas of Permitting Services for Project components are as follows:
1. Commercial Building Plan Review and Inspection;
2. Residential Only (One- and Two-Family Dwellings) Plan Review and Inspection;
3. Mechanical Plan Review and Inspection;
4. Electrical Plan Review and Inspection;
5. Water, Sewer, Drainage-Stormwater and Building Plumbing Plan Review and Inspection;
6. Energy Conservation Plan Review and Inspection;
7. Special Inspections; and
8. Any other Project component not listed in this subsection deemed necessary by the Director for completion of a particular Project.
L. Appointment of Provider and Payments to Provider. Prior to commencement of construction, the Developer or an authorized agent of the Developer shall provide the City with a notice of appointment of a Provider to engage in Permitting Services for a Project. The notice of appointment shall be in such form as approved by the Director. If a Developer is utilizing an agent, authorization of an agent of a Developer, in such form as approved by the Director, shall be submitted to the DS Department. The DS Department shall endeavor to approve or disapprove the use of a Provider for the Project within five (5) business days after receipt of the notice of appointment, and receipt of a completed application to be designated as a Provider. Upon approval of the Provider by the DS Department in accordance with this Chapter, Permitting Services related to the Project will be processed through the Provider, in accordance with this Chapter and the Manual. The Developer shall replace a Provider that has failed or ceased to perform as a Provider during a Project. The DS Department must approve a replacement Provider prior to the performance of Permitting Services. The Owner or Developer is responsible for payment of all services rendered by a Provider, and the City of Tulsa shall not be liable for any unpaid sums due and owing to a Provider by an Owner or Developer. A Provider shall have no right of action against the City of Tulsa for unpaid fees and expenses due and owing by the Owner or Developer.
M. Duties and Responsibilities of Provider. The Provider shall utilize Qualified Professionals who shall provide direction and supervision of all plan reviews and inspections for a Project. In addition, other duties and responsibilities of a Provider are as follows:
1. Recommendation to issue a required permit. The recommendation to issue a permit shall be signed (and sealed, if applicable) by the Qualified Professional, and shall be submitted in such format as specified in the Manual. The recommendation to issue a permit shall be in a form provided by the DS Department, and shall include:
a. The Provider's name, and DS approval identification number;
b. Name and contact information of the Qualified Professional, and signature (and seal, where appropriate);
c. Project address;
d. List of plan reviews and name of plan reviewer;
e. Statements certifying that the discipline reviewed is completed; is in compliance with the applicable codes; and is recommended for the issuance of the permit;
f. A report identifying the Project code data;
g. An index of the approved drawings and specifications, including three (3) sets of the same.
2. Additional Documentation Required. Additional drawings and documents evidencing required approvals as set forth in subsection "H" of this section shall be submitted with the recommendation to issue the building permit. These required approvals are a prerequisite to the issuance of a building permit.
3. Exclusive Inspection Responsibility. The Provider shall ensure that all required inspections are performed and documented, except for inspections which must be performed by City Building Inspectors, such as Infrastructure Development Process installation or certain fire systems. The DS Department retains the right, but is not obligated, to inspect any Project being constructed pursuant to the Program at any time, without notice, to ensure compliance with the Program.
4. Inspection Reports and Final Certificates. With respect to inspections, inspection reports and final certificates, the Provider shall comply with the following:
a. The Provider shall ensure that all required inspections are performed as listed in the building codes, current as of the date of inspection. The inspection stages shall be rough and final inspections, and such other inspections as required by the DS Department. All site work and public infrastructure installed pursuant to an Infrastructure Development Process permit shall be inspected and accepted by the City of Tulsa as a condition to project close-out.
b. The Provider shall maintain all records of inspections and re-inspections. Prior to the completion of the Project, which is initiated by close-out of all permits and the issuance of the final certificate of occupancy (where applicable), the Provider shall deliver a digital record of all inspection activities related to the project to the DS Department, plus an inspections final report signed (and sealed, if applicable) by the Qualified Professional.
c. Where a partial, temporary, or final certificate of occupancy is required (and for renewals of expired temporary certificates of occupancy), the Provider shall issue recommendation reports to the Developer to be presented to the DS Department for issuance. The Qualified Professional shall sign and wet-seal the reports. The reports must include the following:
i. Provider's name, address, and DS Department registration number.
ii. Name and contact information of the Qualified Professional.
iii. Project address and building permit number(s).
iv. Location and area (in square feet) of portions of the building requiring partial occupancy.
v. Occupant load of portions of building requiring partial occupancy.
vi. Expiration date of the temporary certificates of occupancy.
vii. Statement of approval for issuance of the partial, temporary, or final certificate of occupancy.
5. On-Site Inspection Records. When inspections are conducted, the Provider shall verify all relevant permits and approved drawings are on the site of the Project. Upon completion of an inspection, the Provider shall clearly communicate pass/fail inspection status to the contractor and retain the signed inspection records. The Provider shall verify that construction is in accordance with the approved plans. If a Developer does not correct a failed inspection, the Provider shall notify the DS Department within a reasonable time.
6. Compliance Reviews and Audits by City. The Provider shall maintain and keep current the records regarding all Projects under review or inspection. The Provider's Project records shall be available between 8:00 a.m. and 5:00 p.m., Monday through Friday (except legal holidays), in order for the DS Department to conduct compliance reviews and audits. Copies of these records shall be submitted to the DS Department in the event that the Provider ceases to perform during a Project under construction. In the event of an emergency with respect to a Project, such as a structural failure or other event which creates an unsafe condition for which work on a Project must cease, either temporarily or permanently, a Provider shall make Project records available to the DS Department immediately upon request.
7. Staff Qualifications and Audits by City. The Provider is responsible for maintaining all records regarding the evaluation, licensing, certifications, and continuing education requirements of its personnel, agents, and persons under contract with the Provider who provide services as a Qualified Professional, Plans Examiner or Inspector. In order to audit the qualifications and licensure of the Provider's staff, agents, or those under contract with the Provider, the DS Department may require submission of all or specific records pertaining to their qualifications and licensure.
8. Records Retention. The Provider shall retain all records of Projects for which the Provider has furnished services under this Program for a minimum of ten (10) years or for such period of time required by applicable Oklahoma law, including any applicable statute of limitations or repose, whichever is greater.
N. Duties and Responsibilities of the DS Department. The DS Department is responsible for enforcing compliance with the TPP Program and has the following responsibilities with respect to the administration of the TPP Program:
1. Administration of the Program as set forth in the City's ordinances and as specified in the Manual, as may be amended from time to time.
2. Issuance of permits, close-out of permits, and issuance of partial and final certificates of occupancy.
3. Performance of compliance reviews and audits of Providers.
4. Consideration and imposition of sanctions on Providers and anyone performing under a Provider as a Qualified Professional, Plans Examiner and Inspector, either as an employee of a Provider or under contract with a Provider.
O. Program Compliance and Administration of Sanctions. The DS Department is authorized to impose sanctions, up to and including removal of a Provider or anyone performing under a Provider as a Qualified Professional, Plans Examiner and Inspector, either as an employee of a Provider or under contract with a Provider, for failure to comply with this chapter, the Manual, the building codes, or the ordinances of the City of Tulsa. Such failure to comply, and violations of this Chapter, the Manual, the building codes or the ordinances of the City of Tulsa by a Provider or anyone performing under a Provider as a Qualified Professional, Plans Examiner and Inspector, either as an employee of a Provider or under contract with a Provider, may result in action by the DS Department, and depending on the severity of such noncompliance or violation, may include, but is not limited to, a written warning, probation, suspension, or removal from the Program as a Provider. For the purposes of subsections "O" and "P" of section 703 of this Chapter, the term "Provider" shall also encompass and include a Provider or anyone performing under a Provider as a Qualified Professional, Plans Examiner and Inspector, either as an employee of a Provider or under contract with a Provider. The various violations and the level of severity and range of possible sanction(s) is as set forth in the Manual.
P. TPP Program Enforcement and Sanctions Procedures. The DS Department shall take the following steps in ensuring compliance with the TPP Program if there is a determination that a failure to comply and/or one or more violations of the terms, conditions and requirements imposed by this chapter, the Manual, the building codes, or the ordinances of the City of Tulsa has occurred. Upon receipt of a complaint, or as part of its compliance oversight, the DS Department shall conduct an investigation to determine if the Provider acted improperly. Upon determining that the Provider is not in compliance with this chapter, the Manual, the building codes, the City's ordinances, or accepted industry practices, the DS Department may, in its sole discretion, take action(s) that may include, but are not limited to, the following:
1. The DS Department shall issue a letter via first class registered or certified mail with return receipt requested to the Provider and to the Developer of the Project stating the violation(s) and the sanction proposed to be imposed, providing a reasonable opportunity to resolve or cure the noncompliance identified by the DS Department. Sanctions may consist of, but are not limited to, written warning, probation, suspension, or removal of a Provider from the TPP Program. Periods of probation or suspension shall be determined by the Director.
2. The Provider may submit a written appeal to the Director within fifteen (15) business days of the mailing date of official notification of the violation and sanction. The appeal may include evidence and written material supporting the Provider's position. The Director or the Director's designee shall schedule an administrative hearing regarding a written appeal within thirty (30) days after receipt of the same. After hearing an appeal, the Director or the Director's designee shall render a written decision within fifteen (15) days and shall mail the decision to the appellant by first-class mail, with written proof of mailing issued by the post office, or by registered or certified mail, return receipt requested.
3. All appeals from the decision of the Director or the Director's designee shall be heard pursuant to the procedures set forth in Title 51, Chapter 1, TRO.
Q. Approval of the Manual and Amendments. The Third-Party Plan Review and Inspection Manual, 2019 Edition, dated October 19, 2019, is hereby approved. The Director is authorized to make such amendments to the Manual that the Director deems is beneficial to the administration of the TPP Program which do not conflict with this chapter, without amending this chapter by ordinance. The Manual shall be re-dated as of the date of any amendments, and a current copy of the Manual shall be maintained by the Director in the offices of the DS Department.
(Ord. No. 24280, § 1, 12-18-19)
