SUMMARY
Joint NCSBCS/AMCBO Public Sector Members Teleconference
Tuesday, June 8, 2004 - 11:00 a.m. EST
TOPIC: Best Practices Special Inspections and Professional Certification
Participants:
Ila Jones (FL) Chair, Regulatory Affairs Committee
Mark Topping (NYC) Vice Chair, Regulatory Affairs Committee
Brian Gore, MA State Board of Building Regulatory Standards
John Terry (NJ)
James Martin, Garden Grove, CA
Andrew Adelman, City of Los Angeles
Steve Ikanda, City of Los Angeles
Tom Stevens, City of Los Angeles
James Parker (industry)
Deborah Taylor (NYC)
Chris Keller (NYC)
OPENING: Mark Topping, Vice Chairman of the Regulatory Affairs Committee and New York City Buildings Department Deputy Commissioner for Administration and Technology, welcomed everyone to the "Important Issues" call.
SPECIAL INSPECTIONS:
City of Los Angeles - Andrew Adelman, General Manager, described the current Los Angeles building inspection program. He noted that the building department did a number of inspections during construction and there also were inspections required by fire inspectors.
For large or complex structures, LA also requires special inspections that are performed by deputy inspectors. For special items or more complicated structures they are done by the deputy inspectors who must meet certain city certification requirements and be onsite for longer periods of time during the construction process than could the city’s building department inspectors. Examples of where deputy inspectors are required are on hillside construction or where complex architectural designs are being used.
Qualifications of Deputy Inspections: Tom Stevens of the LA City Building Department noted that LA certifies these special inspectors. Among the certification requirements are: 4 years in trade (e.g. concrete), passing relevant International Code Council tests and an oral interview as well. In the oral interview, the city looks at experience and practicality.
There are unique requirements for special inspections including the production of an inspection report on the previous 24 hours of site inspection so follow-up check on the construction can be done by the city. Under their program, in addition to standard ICC inspectors, the city uses special inspections for: concrete, masonry, steel and grading, fire proofing, drilled in anchors.
The city uses the UBC and closely monitors its seismic provisions.
Steve Ikanda noted that Los Angeles also has a structural observation program – go to site and make sure structure complies with lateral design (earthquake provisions for the building). Wood frame one and two family dwellings are exempt from such provisions and inspections. The city’s primary oversight issue is to verify that the building complies with structural design.
Neighboring jurisdictions use LA’s certification processes. In Northern California (in San Jose), an ICC Committee Peninsula East Bay does same thing but don’t really do as much with interview. They certify inspection agencies not individuals; they make sure they have licensed individuals to oversee their deputy inspectors and also have to have ICC credentials.
Extending regulatory oversight is designed to make sure you have qualified individuals in those roles – also must be architects/engineers, plus 4 years experience in a trade (LA qualifications).
Mark Topping asked if anyone from the other jurisdictions on the call perform special inspections. It was noted in Massachusetts and Connecticut state statutes allow the Engineer of Record to do special inspections.
Massachusetts and Connecticut: James Parker went on to describe how special inspections are handled in Massachusetts and Connecticut. These two states have a similar system. They have one special inspections program under control of a registered engineer.
The Engineer of Record must provide a statement of the structural tests and records for all pieces of the project – bearing strata, curtain wall, etc. and for any other special cases. These are required to gain the issuance of a building permit in those two states.
Both Massachusetts and Connecticut have detailed guidelines. Some tests are at the discretion of the Engineer of Record. Also must show qualifications of each test, e.g. which ACI certification level, etc.
Both states’ regulations identify which entities will do inspection or test. Engineer of Record (SER) decides what inspections should be done by others. The completed statement by the Engineer of Record gets the permit. A registered engineer must administer the special inspection and tests, issue reports on progress, and then document completion of work.
Massachusetts requires that the engineer who administers this program also is the Engineer of Record. While in Connecticut they don’t have to be the Engineer of Record.
In Massachusetts there is pressure on owners since the fee for special inspections must be set at the time the Engineer of Record is selected. This creates difficulties in making sure that adequate funds are available later in the project to cover special inspections since at time that the Engineer of Record is being selected the designs of the building have not been completed. (The design may end up requiring more special inspections than there are funds left to cover them.)
Connecticut does this differently. The design for the building is known before special inspections are determined. While the owner often chooses the Engineer of Record to do the special inspections, the owners are allowed to also get fee proposals from other engineers and can consider cost benefit as to who does this. They are not locked into this like in Massachusetts.
Los Angeles was asked in their city what is relationship between the Engineer of Record and the Deputy Inspector? In LA, the deputy inspector submits reports to the Architect of Record and to the Building Department. Based upon the city’s own observation and deputy inspector, LA also requires that owner is responsible for hiring the deputy inspector but is responsible to the Architect of Record. City has authority to review the deputy inspector’s certification and can revoke it.
Los Angeles has checks and balances. City Building Department’s inspector does quality control spot check on deputy inspector. In LA, certified special inspector (D.I.) can never be hired by the contractor. This avoids conflict of interest. The owner hires the deputy inspector not contractor.
Question: What is rate of spot checks?
Answer: Traditionally in LA everyday there is a spot check. In most jurisdictions at beginning of the job, the city inspector meets deputy inspector and go over expectations, etc. After that, the city sets spot check numbers on how heavy the inspectors work is. Depending on degrees of comfort, three times a day or once every other day.
LA then has triple accountability: the owner, the city building department, and Architect of Record.
Question: Is this statewide or just LA?
Answer: It is for the LA region. It is not statewide. This is not a specialist position – dealing with building code issues. Generally jurisdictions do not go out and do special inspections. There are no state certification requirements.
Engineer of Record is totally responsible for tests and inspections. The Fire Protection system is similar in Massachusetts. The Structural Engineer of Record designs program and selects deputy inspector.
Question: Do jurisdictions in Massachusetts do audits on special inspectors?
Answer: Not generally except for Boston. Most jurisdictions relay on structural engineers of the Engineer of Record.
Question: What are parameters in Connecticut?
Answer: The observation is the responsibility of the SER (Engineer of Record). The Connecticut system differs from the system in Massachusetts where the SER is required to put in a (special inspection) fee before the building is even designed, resulting in the fact that then they may not have enough funds later in the project for doing special inspections. Connecticut system is better because they do this later, when they actually know what the real level of effort must be for special inspections so those inspections are adequately funded.
In California, structural engineers after the Northridge Quake realized that they must reach to trades people to get certain expertise.
In addition, jurisdictions often want testing agencies to do special tests such as welds. The Engineer of Record works with the owner to get best value for inspections relevant to the complexity of the building being built.
In California, the code also does mandate periodic visits of Architect of Record to observe progress of construction.
James Martin, Garden Grove, CA, noted that one of the primary differences (in CA) is that the special inspector has knowledge of special area. The special inspector has NO IMMUNITY for the area he reviews, where as city inspector has limited liability because they are doing periodic inspections (less frequency of oversight).
Questions: If SER is responsible to the design inspection program and then to monitor compliance, what are the liability issues involved?
Answer: In Massachusetts, because of their system where there may be too little funds left over for special inspections, there seems to be a potential for major problems. Is this true?
In LA, the contractor still has liability not relieved by the deputy inspector. Have concern with Massachusetts system.
Owners often are willing to have a separate testing budget. (This appears to be a right to work issue.)
GENERAL LOOK AT PROFESSIONAL CERTIFICATION:
New York City Professional Certification Program: Mark Topping noted that his department was in process of extending its professional certification program further to certify the design.
Deborah Taylor - A NYC 1995 program allows any architect/engineer in NYC with a State of New York licenses to certify that they comply with code – then can file and obtain a permit within a day or two. The certified engineer or architect, however, must satisfy all requirements for approval of a permit (e.g. Department of Environment Protection, Department of Transportation, etc.) also must meet City’s landmark requirements.
Once they satisfy all requirements for plan approval, then certify that they comply with zoning resolution and building code, a contractor can obtain a permit.
The NYC Department of Buildings then reserves the right to audit any job at any time. 20% of applications are selected within 10 days of permit for random audits by the city. Within 10 days of the completion of the oversight audits, the architect or engineer must come back to respond to any objections found by the city. The Certified Architect or Engineer must meet the city’s requirements or the permit will be revoked. There is a 30 to 40 day period reply to objections.
New York City also has controlled inspections. The SER is required to do certain inspections during the process. Obviously there are steps in the construction process when time doesn’t allow department to do these oversight inspections. Qualified individuals are able to certify designs and the city spot checks/audits this as well.
Question: Can any engineer or architect perform that work or must it be within areas of their direct expertise, e.g. fire, structural, electrical, etc.?
Answer: In terms of design, the architect or engineer must only be responsible for their work type, electrical, mechanical, engineer. The architect responsible for "other"
NYC has special requirements regarding buildings below a certain height. An architect can certify between 4 to 6 stories but not higher.
Massachusetts has controlled construction (over 35,000 cubic feet of space designed by a certified architect, with periodic inspections and fire protection inspections program).
Many building officials seek an affidavit but certification is better. This covers small buildings in Massachusetts.
There is no real guidance in the Massachusetts Code as to what you are required to submit in terms of construction documentation. Very little oversight except in Boston. Building officials in rural areas are usually part-time and so rely on the architect or engineer and their seals that building complies with the state building code.
Controlled inspections are called out in NYC Building Code. The code describes what a licensed architect or engineer is required to do. An architect or engineer supervises all.
Independent structural engineer review in Massachusetts – As a condition for an issuance of a building permit for buildings over 5 stories, assembly group of 300 or more occupants. An independent structural engineer must review (Appendix I). Make sure loads are properly calculated.
James Parker - Our firm’s reviews are more extensive than what law requires. Do representative members and look at details. Keep documentation of everything they do. Must document due diligence to meet immunity standards of practice. Systems seem to do well – codes got it right.
Question: This discussion suggests that it may be unusual for some communities to do plan checks in Massachusetts. Is that correct?
Answer: In Massachusetts this is yes and no. Generally there are few engineers architects as chief building officials of localities. In most cases, no one is qualified to do structural inspections.
In California this is different. For most part, moderately sized jurisdictions do energy reviews or else they contract it out. Differences in the system are indicative of regional differences. For example, in the East they appear to want to make sure the world knows who is responsible for what. Also is a function of how well building departments are funded as to qualifications they can afford to have on their staff to do such reviews.
For example, no building department in Massachusetts is funded by fee for service.
Clarification Program in Massachusetts & Connecticut: In these two states building departments can do reviews themselves and don’t have to accept the engineers seal.
Question: In LA are building departments actually looking at load calculations?
Answer: Yes they do so.
A general difference seems to be that they do peer reviews on the East Coast while building departments are the plans checker on the West Coast. Complete structural analysis is required on West Coast when building is outside normal range of construction; will check critical elements of a building. A resources issue "check a building and validate it, not check it." Jim Martin noted that "IT’s our Job to Validate."
Summary:
Mark Topping closed the call by briefly summarizing the overall discussions and thanking the speakers for their presentations. He noted that different regions in the country appear to take different approaches towards special inspections and certifications and that there are some areas where the regulatory mechanism extends into design reviews.
The call participants noted that they would like to see a future call scheduled on the issue of what building departments are doing in the area of disaster recovery efforts. It was noted that this would be considered for a future call and that it also was one of the topics to be covered in some depth at the upcoming joint NCSBCS/AMCBO annual conference in Salt Lake City, September 20-October 1, 2004. (Visit the NCSBCS website for details.)
At 12:15 the call was adjourned.