93
Examples of Building Code Administration by Local Governments

                                                 of Tennessee; and a plans review fee.
and gave professionals and the
                                                 The application is entered by the
community a one-year grace period
to comply According to the building              clerk specialist A. The plans are given
                                                 to the clerk specialist B, who routes
official, the added costs have proven
to be minimal, as projected by                   the plans to the Building Plans
                                                 Review Section, building inspector,
NERiRP reports. The building
                                                 city or county fire department,
department has had numerous
seminars to train engineers, archi-              Plumbing Section, Mechanical Safety
tects, and contractors about the                 Section, city traffic engineer, and
seismic regulations. W the 1994
                       Tith                      public works or the county engineer.
                                                 A copy of each review is returned to
Standard Building Code, Memphis
                                                 the clerk specialist B. The clerk copies
was brought up to a seismic zone 3
                                                 the reviews of each section, and the
designation.
                                                 total review is mailed to all parties
   Implementation of seismic design
                                                 listed on the application (i.e., owner,
has been a slow process, involving
                                                 architect, and contractor). It normally
the training of builders, design
                                                 takes one to three weeks to receive a
professionals, and department staff.
                                                 permit, depending on the size of the
In some ways the community still is
                                                 job. The staff levels in Memphis/
resistant to seismic design, which
                                                 Shelby County are usually adequate
makes it difficult for the city/county
                                                 for the workload. The load varies,
to be able to expend resources for
                                                 however, and it is not always possible
training. But much progress has
                                                 to plan ahead.
been made over the past few years,
                                                    If someone wishes to appeal a
and seismic design is becoming
more widely accepted.                            building code decision or has other
                                                 requests, he or she may contact the
                                                 building official. Problems are
Plan Review Process
                                                 usually settled without requiring a
The first step in the process for
                                                 formal meeting of the board of
obtaining a residential building
                                                 appeals, although that mechanism is
permit is to present an application,
                                                 available if needed.
two copies of the site plan, and one
copy of the floor plan to the clerk
                                                 Code Enforcement and Inspection
specialist A. This clerk calculates the
                                                 M1\emphis/Shelby County seeks
permit fee (based on square foot-
age), verifies the proper zoning,                Standard Building Code (SBC)
                                                 certification in plan reviewers and
enters the information onto the
                                                 building inspectors, but it is not
computer, and then refers the
                                                 mandatory The building inspector,
application and plans to the plan
                                                 however, must be certified. The city
reviewer. The plan reviewer checks
for proper zoning, legality of the lot,          cannot afford licensed engineers as
                                                 plan reviewers, though it would be
setback requirements, building code
requirements, and subdivision                    desirable.
requirements. The plan reviewer
                                                    The Office of Construction and
then approves or rejects the permit
                                                 Code Enforcement has a monthly
application. With approval by the
                                                 volume of 4,170 inspections. The
plan reviewer, the clerk issues the
                                                 building inspection process is initi-
permit and routes the applicant to
                                                 ated by a call from the contractor or
the cashier.
                                                 owner. Memphis conducts reinspec-
   An application for a permit for a             tions on every job (foundation, slab,
commercial building is required to               final, etc.) every month to check on
                                                 progress. The inspections are covered
be accompanied by four complete
                                                 by the application fee. Permits and
sets of plans; one set of specifica-
                                                 inspections are programmed on a
tions signed, sealed, dated, and
drawn to scale by an architect or                mainframe computer, which gener-
engineer who is licensed by the state
94                                                                                                                  Appendix C

                                                                                          The building official says that the
                                                                                       news media have been very helpful
                                                                                       in getting accurate information out
                                                                                       to the public. The building depart-
                                                                                       ment has developed a working
                                                                                       relationship with the media, which
                                                                                       has helped to reduce the potential
                                                                                       for negative publicity. The depart-
                                                                                       ment has worked at developing a
                                                                                       professional, open process and
                                                                                       cooperative relations with the public
                                                                                       and the building community. These
                                                                                       aspects are very important in this
                                                                                       potentially contentious field.

                                                                                       Pacifica,California
                                                                                       (ICBO, Small)
                                                                                       Pacifica has one plan reviewer and
                                                                                       two building inspectors for a
                                                                                       population of 40,000. The Building
                                                                                       Department's annual budget is
                                                                                       approximately $300,000. Staff levels
                                                                                       are adequate for the work load,
                                                                                       although the summer construction
                                                                                       season can get quite busy.

                                                                                       Seismic Code Requirements
                                                                                       Seismic provisions have been part of
                                                                                       the code since Pacifica's incorpora-
                                                                                       tion in 1956. Seismic design and
                                                                                       enforcement are among the highest
                                                                                       priorities facing the building depart-
                                                                                       ment, because Pacifica is located in
                                                                                       seismic zone 4 and is quite close to
                                                                                       numerous active faults.
                                              ates monthly management reports
FIGURE C.5 The City of Pacifica, Cali-
                                              regarding permits, inspections, and
fornia, is located close to the San Andreas                                               California has had seismic
                                              fees.
Fault, in an area that was severely shaken                                             provisions since the 1933 Long
 by the great San FranciscoEarthquake of
                                                                                       Beach earthquake. Currently, the
                                                 Memphis/Shelby County seeks to
 1906. (Source: U.S. Geological Survey
                                              work with applicants by scheduling       state uses the UBC and has refined
 ProfessionalPaper 1527, 1992)
                                                                                       the code over the years to reflect
                                              predesign conferences and offering
                                              other services. No new procedures        practices and experiences in Califor-
                                                                                       nia.
                                              are enforced without advance notice
                                              to practitioners.
                                                                                       Plan Review Process
                                                 If noncompliance or postpone-
                                                                                       The process of seismic enforcement
                                              ment of construction occurs, the
                                                                                       starts with plan review. To receive a
                                              department has standard actions it
                                                                                       building permit one first must
                                              may take. The first step is to issue a
                                                                                       submit plans and documents to the
                                              courtesy citation, which cites the
                                                                                       planning, engineering, and building
                                              specific code violations and date of
                                                                                       departments. The planning depart-
                                              abatement. It requires abatement
                                                                                       ment checks for compliance with
                                              within thirty days or else a sum-
                                                                                       zoning ordinance regulations. The
                                              mons to court will be administered.
                                                                                       engineering department reviews for
                                              Generally this achieves compliance.
Examples of Building Code Administration by Local Governments                                                                     95

off-site issues, such as setbacks and
sidewalks. The building department
handles reviews of plumbing,
electrical, structural, and mechanical
elements. Once all approvals are
received, the building official signs
the building permit. The average
time to receive permit approval is
three weeks.
   If an applicant wishes to appeal a
decision, she or he first talks with
the building official. There is a board
of appeals, but its power is limited.
The building official has the final
word on code compliance.

Code Enforcement and
Inspection
When the building permit is issued,
applicants are given a job card that
                                                                                         FIGURE C.6 Large parts of Las Vegasfall
                                                 Fee Schedule
details the inspection process and
                                                                                         under the jurisdiction of the Clark County
schedule. The owner must schedule                The building Officialsets the pennit    Department o Building. (Photo: Las
                                                                                                       f
at least twenty-four hours ahead of                                     Bui'diilg Code's V e p s Conum7tion and Visitors Azlthority)
                                                 fees using the un!f0r771
when they wish to be inspected.                  (UBC) Chapter 3 fee schedule. The
Building inspectors occasionally                 Uniform Administrative Code sets
conduct unannounced visits on large              the fees for plumbing, electrical, and
projects.                                        mechanical permits. The en,$neering
                                                 reviewers set their own fees based on
   During construction there are
                                                 a n hourly rate.
specific inspections for seismic
compliance, such as the nailing
                                                 Clark County, Nevada
schedule and hold-down systems.
                                                 (ICBO, Large)
Staff training concentrates on
ensuring that the building official,
                                                 The Clark County Department of
reviewers, and inspectors are
                                                 Building regulates construction in
knowledgeable about seismic
                                                 the unincorporated areas of the
provisions. Field staff also work at
                                                 county, a jurisdiction with a popula-
educating contractors on the pur-
                                                 tion of 417,000. It includes many
poses behind the code provisions.
                                                 areas adjacent to Las Vegas, includ-
   The initial permit fees cover                 ing the huge hotels on the Las Vegas
inspections, except for reinspections:           Strip. Clark County is one of the
the third visit on the same issue                most active construction areas in the
requires an additional fee. Stop work            country, with growth continuing at
orders are administered when                     about five percent per year.
someone is working without a
                                                    Including direct supervisors, the
permit, and these can result in a
                                                 county has seventy-nine building
charge of ten times the initial permit
                                                 inspectors and fourteen plan review-
fee. Some lenience is given to
                                                 ers, several of whom are engineers
homeowners, who may be unaware
                                                 and architects. The department's
of the permit requirements.
                                                 approximate annual budget is
   The only formal training require-             $10,000,000, including a $500,000
ment for plan reviewers and inspec-              plan review contract to supplement
tors is certification from ICBO. Staff           staff. The department consists of the
reviewers are also recommended to                Pl,m Check Division, Inspection
have engineering training.
                                                                            Appendix C
96

                                               numerous large hotels of Las Vegas
     Division, and Permit Application
                                               take much longer to obtain a permit.
     Center.
                                                  Plan reviewers have permission
     Seismic Code Requirements                 as part of their assignment to sign all
                                               permits, after which their supervi-
     The county adopted the ICBO
                                               sors critique. The director gets
     Uniform Building Code approximately
                                               involved when problems arise or
     forty years ago and has always used
                                               when there is a need for complex
     its seismic provisions. Clark County
     is in seismic zone 2 and integrates       interpretations.
     seismic and structural reviews.
                                                  Problems or complaints regarding
     Seismic provisions and dynamic
                                               permit denial are first handled
     loads, such as wind and snow, are
                                               administratively. One of the two
     evaluated in the structural analysis.
                                               designated plan check supervisors
     Staff members are familiar with
                                               first tries to resolve the problem. If
     seismic enforcement through plan
                                               unresolved, it goes to the director of
     review and inspection. The depart-
                                               the Department of Building, who
     ment also is involved with state and
                                               serves as the building official.
     national seismic committees.
                                               Finally, the applicant may file a
                                               complaint with the board of appeals,
        Nevada has adopted the 1991
                                               which is appointed by the county
     UBC as the statewide code. They
                                               commissioners to make interpreta-
     allow local amendments to be more
                                               tions of the code and grant appeals.
     restrictive than the state code, but
     not less restrictive. Most localities
     used some version of the UBC              Code Enforcement and
     before the state adopted the UBC.         Inspection
                                               Inspections are scheduled as re-
     Plan Review Process                       quired by the Department of Build-
                                               ing and the code to check on differ-
     The process for receiving a building
                                               ent phases of construction, such as
     permit is as follows. First an applica-
                                               foundation, slab, framing, roofing,
     tion must detail the scope and type
                                               sheathing, and so on. The inspec-
     of construction activity, identify the
                                               tions are arranged after the builder
     principal design professional for the
                                               contacts the department to notify it
     project, and include site plans. The
                                               of the readiness of the construction.
     Department of Building manages
                                               Inspections must be conducted
     the review and distributes copies to
                                               before further construction can
     each department, such as planning,
     fire, and public works, to make sure      continue. Certain projects require
                                               continual or special inspection. If
     it meets county code requirements.
                                               required, the owner of the site/
        Plan reviewers are continually
                                               project must hire an outside inspec-
     trained so as to remain abreast of
                                               tor or testing agency that has been
     current building code and enforce-
                                               pre-approved by the Department of
     ment policies. Checklists, supervisor
                                               Building. This organization con-
     critiques, and inspection classes are
                                               ducts all required inspections and
     a few of the ways reviewers are
                                               deals with structural requirements
     audited.
                                               such as concrete, steel, masonry,
                                               soils, and grading issues. The owner
        The amount of time it takes to get
                                               of the site/project pays directly for
     a permit approved varies by the size
                                               third-party inspection services.
     of the project. Single-family dwell-
     ings take approximately three weeks
                                                  The Department of Building will
     from the time the application is
                                               sometimes conduct unscheduled
     submitted to the final permit
                                               inspection visits, most commonly
     approval. Commercial projects can
                                               for large projects that require such
     take about four to six weeks. The
                                               attention. Inspection costs by the
                                                                                               97
Examples of Building CodeAdministration by Local Governments

department are covered by the                    INTERVIEWS
permit fee.                                      Carbondale, Illinois:
                                                 Steve Larson, City of Carbondale (Spring
    Although the department's
                                                 1994)
Workload has increased substan-
tialily, the department has incorpo-             St. Louis County, Missouri:
rated methods for adjusting to these             Da-ve Casl, Building Permit Division,
heavy loads, such as hiring more                 Department of Public W1Torks, Clayton
plan checkers and using third-party              (Spring, 1994)
inspectors. The approved third-party
                                                 Jonesboro, Arkansas:
inspector agencies total about fifty
                                                 Joe D. Tonlinson, Department of Planning
firms with about 350 certified
                                                 and Inspection (Spring 1994)
inspectors.
                                                 Memphis, Tennessee:
Fee Schedule                                     Terry Hughes, Building Official, Mlemphis
                                                 and Shelby County Construction Code
Clark County's permit fee schedule
                                                 Enforcement (October 16,1991; Spring
is slightly less than ICBO's guide.
                                                 1994); Wiflliarn AWalmsley, Director of
The fee schedule is based on the
                                                 Engineering, Department of Commerce
value of project construction. The
                                                 and Insurance, Division of Fire Prevention,
plan review fee is 65 percent of the
                                                 Nashville (M/ay 7,1991)
building permit fee derived from the
chart. Fast-track projects or projects           Pacifica, California:
requiring phased design and con-                 Steve Branvold, Plans Examiner and
struction are charged a higher cost              Building Official (Spring 1994)
for plan review. Subsequent review
                                                  Clark County Nevada:
of resubmitted plans requires an
                                                  Robert Weber, Director, Department of
 additional fee. The building permit
                                                  Building (Spring 1994%
fee is charged upon issuance of the
permit. The fees are only used to
 fund the services for which they are
 charged. The funds are placed in an
 enterprise fund and do not go into
 the countys general account.
   Noncompliance or postponement
of construction require additional
costs. The Department of Building
does not usually charge for addi-
tional reinspection on the same issue
until the third visit. This charge is
$45. If a "red tag" or stop order is
issued, an investigation is conducted
and the owner is charged a fee
ranging from $120 to $2,000. The
charge is based on the cost of work
at completion of the investigation.
The department also can cite a
project as a misdemeanor. Finally,
the department can file a complaint
with the contractors board if a
contractor has abused his or her
position.
                                                                           Appendix C
98

      Survey Instrument

                                              not protected by building codes. Of
     The following pages reproduce a
                                              the communities that have codes,
     form used by the Illinois Emergency
                                              most have adopted the most recent
     Management Agency to survey
                                              version; but some have not; and
     communities' building code prac-
                                              several communities have a code
     tices in southern Illinois. Such an
                                              but no building department to
     inventory is an essential first step
                                              enforce it.
     toward targeting municipalities or
     regions for code adoption or im-
                                                  By use of the spreadsheet data-
     proving code enforcement. The data       base, the data could be sorted by
     can also be used to help encourage
                                              various characteristics, providing
     the state to adopt a statewide code.
                                              the Emergency Management Agency
                                              with an easy way of identifying
        The Illinois survey, which was
                                              communities with adoption or
     accomplished by a graduate student
                                              enforcement deficiencies. The data
     assistant over the course of one
                                              were sorted in nine different ways:
     summer, began with the identifica-
                                              (a) addresses of all communities, (b)
     tion of 300 municipalities and
                                              municipalities without building
     counties in the area of highest
                                              codes, (c) municipalities with
     seismic hazard. Using the Illinois
                                              building codes, (d) code updating
     Municipal League directory, a
                                              methods of municipalities, (e)
     master list was created of the
                                              building permit use in municipali-
     addresses, contact phone numbers,
                                              ties with codes, (f) municipalities
     and populations of all relevant
                                              with codes but no building depart-
     jurisdictions. Most of the surveys
                                              ments, (g) types of construction
     were completed by telephone.
                                              regulated by municipal building
     Counties were surveyed first, so that
                                              departments, (h) building depart-
     they could also confirm the list of
                                              ments' plan review standards, and
     cities, towns, villages, and town-
                                              (i) building department staff compo-
     ships within the county. This
                                              sition.
     ensured that all jurisdictions were
     adequately identified. Where
                                                  Copies of the full report, Seismic-
     available, the building inspector was
                                              ity and Building Code Use in Southern
     surveyed. In jurisdictions without       Illinois, by Lisa C. Morrison, October
     building codes, the mayor or city
                                              1995, may be obtained for the cost of
     clerk was surveyed. In small com-
                                              copying by contacting the Depart-
     munities, where no telephone             ment of Urban and Regional Plan-
     response was received after several      ning, University of Illinois at
     tries, the surveys were mailed out,
                                              Urbana-Champaign, (217) 333-3890.
     using systematic survey procedures.
     The data were analyzed using
     spreadsheet software.
        The survey concluded that 78
     percent of the municipalities have
     not adopted building codes. Fortu-
     nately, most of the larger municipali-
     ties, where most of the new con-
     struction is occurring, are covered
     by codes. Still, municipalities
     encompassing 31 percent of the
     population of southern Illinois are
Examples of Building Code Administration by Local Governments                                                            '99

                            Southern Illinois Building Code Survey: Survey Form

            Opening:
            My name is                 I.am conducting a survey on building codes in Southern Illinois for
                                       1
            the Illinois Emergency Management Agency.
            a.         Could you direct me to someone with information about                          (jurisdiction's)
                      building codes?
            b.         Can I take a few moments of your time to ask you about building codes in
                                       (the jurisdiction)?

            The Siurvey:
            1.         Jurisdiction:

            2.         Has                            (jurisdiction) adopted any building codes?
                       (If yes, continue. If no, go to 3.)
                       a. What is the name of the building code in use?
                             V/hat was the year of the last revision?
                       b.
                       c. How are the building codes updated?

                       d. Is a building permit required prior to construction?

                       e.   Ilf yes, is a licensed architect or engineer's seal required on an applicant's
                            construction document to obtain a building permit?

            3.         a.   Does                    (jurisdiction) have a code enforcement authority or building
                            department to regulate building codes?
                            (If yes, continue. If no, go to end.)
                      b.    What is the department name?
                            What is the department address?
100                                                                                                       Appendix C

                      What is the telephone number?
                      What types of construction does the department regulate (residential, commercial,
                 c.
                      etc.)?

                 d.   Is a plan review by the building department required for obtaining a building
                      permit?
                      If yes, who performs the review?

                      If yes, does the reviewer have any of the following?
                      BOCA Certification                                  ICBO Certification
                      Professional Engineer's License                     SBCCI Certification
                                                                          Other Certification
                      Professional Architect's License
                      During construction, who ensures compliance with the building code?
                 e.

                      How many staff members are employed by the building department?
                 f.

                      How many of the following does the building department have?
                 g.
                                                                          Certified Planners
                      Architects
                      Engineers                                           Field Inspectors

      4.         (If no to 2 and 3) Is new construction regulated in any way?

      5.         a.   Could I have you name?
                 b. Title?
                 c.   Mailing Address?

                 d.   Phone Number?

      Closing:
      That completes our survey. Thank you for your time.