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278 FOIL Ser. #: Chris Masterson 0 Christine Fulton -g, Sue Rose 0 /~rd9,/ lL dl<i 2009-10-16 JCM TOWN OF W APPlNGER Application for Public Access to Records FOIL REQUEST FOR INTERNAL USE ONLY L Received by: ~ 'tNAP^ o . -'-- "'/,.. . ~~' . :'~'':T" ' .r;; .', ,,~' 0: ..",~ '~i~' '\~\ 'C......Iz.' ;.l. ;.-' C'..t. ' . " . CTt"ss-cO~~ Date Received: DEPARTMENT: ASSESSOR ACCOUNTING CODE ENFORCEMENT PLANNING ZONING FIRE INSPECTOR HIGHWAY RECEIVER OF TAXES RECREATION SUPERVISOR o o ~ o o o o Q FOR DEPARTMENT USE ONLY Date Received by Dept Department Head approval: IO/2.i/fI - ~ Date Applicant Contacted: /0 /.;2$- / !!-- Date FOIL fulfilled or denied: 10 /!!:- /I!.-- Closed by: @ W A TERlSEWER 0 DOG CONTROL OFFICER 0 TOWN ENGINEER 0 TOWN ATTORNEY 0 Date: ..!!- / 24- / Ii-- NOtes:~~~~.:;; ~- Amount Du : Pages for a total of $ Name: Address: o check here if you are requesting that the records be mailed to this address. Agency or firm: Telephone #: ( Email address: )-- FAX #: ( )-- SPECIFIC DESCRIJ!.T. ION OF RECORD: (1 ~ ) r 1./J{J<;J SJ2J '. (. FORMAT OF RECORD (if available) o I request to be notified when I can come to inspect the record(s) described above o I request copies of the records described above and agree to pay the cost of such records in accordance with the fee schedule on the back of this application o I request that the records be sent via e-mail to the address listed above o I request that the records be faxed to the number listed above r '", Christine Fulton From: Sent: To: Subject: Attachments: Campriello, Susan [scampriell@poughkee.gannett.com] Thursday, October 27, 2011 4:05 PM Christine Fulton Building department audit image.jpg Ms. Fulton, May I have a copy of the Building Department audit conducted by the Department of State that was the subject of a presentation made to the Town Board Monday night? Would I be able to get that emailed to me or faxed (my fax number is 437-4921)? Please let me know if it would cost me to get a copy. Thanks. Very truly yours, Susan Campriello [cid:3482576316_41649589] 1 TOWN CLERK Chris Masterson DEPUTY SUPERVISOR William H. Beale 20 MlDDLEBLJSH ROAD WAPPINGERS FALLS. NY 12590 WWW.TOWNOFWAPPINGERUS (845) 297-4158 - Main (845) 297-5771 - Direct (845) 298-1478 - Fax TOWN BOARD William H. Beale Vincent Bettina Ismay Czamieeki Joseph P. Paoloni The Following Fax Message Consists of Including Cover Sheet \ \ Pages FAX TELEPHONE NUMBER (845) 298-1478 DATE: ) 0 ) a<i I , l I TO: ~J~ C ~(Yre..., \ \ 0 FROM: --rot 0 ('\ ~ ~-eJ? ~ ~ ub-{J'\ CJ~_ REFERENCE: +0\ L ~Q~~-I; -~h S WI \,\ C)C)C'~ ~QJ.( -\ \ ~&(jJ ES-\- - IF YOU DO NOT RECEIVE ALL THE PAGES, PLEASE CONTACT SENDER IMMEDIATELY. Sender: c,~mGJ~ ------ ~ ~;;:::: ftL - /"' . -- '( I r ....J--- ---- Page 1 of 9 NEW YORK STATE DEPARTMENT OF STATE DIVISION OF CODE ENFORCEMENT AND ADMINISTRATION SUMMARY REVIEW ADMINISTRATION AND ENFORCEMENT OF THE UNIFORM CODE BY THE TOWN OF WAPPINGER Section 381 (1) of the Executive Law directs the Secretary of State to promulgate rules and regulations prescribing minimum standards for the administration and enforcement of the Uniform Fire Prevention and Building Code (Uniform Code). In accordance with Section 381 (2), local governments are normally the entities charged with administering and enforcing the Uniform Code. The regulations have been promulgated as Part 1203 and Part 1208 of Title 19 of the Official Compilation of Codes Rules and Regulations of the State of New York (19 NYCRR 1203 and 19 NYCRR 1208), and prescribe minimum standards to be used in establishing a local code enforcement program and provisions for training of staff, respectively. This summary review focuses on the features of the code enforcement program of the Town of Wappinger, which is located in southwestern Dutchess County, in the Hudson Valley region of New York State. The Town is substantially developed in character. According to the 2009 US census, the Town has a population of approximately 27,150 people. The Town government has adopted planning and zoning regulations and has active zoning and planning boards. In, April 2011, Department of State staff initiated a summary review of the code enforcement program at the request of the Town Supervisor. This report is based on a brief review of pertinent town records, examination of procedures and the observation of construction sites and existing public buildings within the Town. It separates the various features of the local code enforcement program into their primary functions and evaluates their effectiveness. This report should not be viewed as an investigation by the Secretary of State, as authorized in Executive Law Section 381 (3). A. LOCAL REGULATIONS Part 1203 was substantially revised in October, 2005, with an effective date of January 1, 2007. Following the filing of the new Part 1203, the Town of Wappinger enacted Local Law NO.1 0 of 2006 on September 25, 2006. Local Law No.1 0-2006 repealed previously effective provisions for code administration and enforcement adopted on March 15, 1978, and adopted a new Chapter 85 of the Town Code. Chapter 85 provides for all program features required by Part 1203. It would be advisable to review provisions of the Town Code that may overlap or conflict Page 2 of 9 with provisions of the Uniform Code, in order to avoid confusion. A brief overview of the Town Code indicates that such a review should include, but not be limited to, the following chapters and identified provisions of the Uniform Code: _ Chapter 71, Assemblies, Mass Public, and Section 403 of the Fire Code, Public Assemblages and Events; _ Chapter 89, Buildings, Numbering of, and Section 505 of the Fire Code, Premises Identification; _ Chapter 93, Buildings, Unsafe, and, and Section 107 of the Fire Code, Unsafe Structures and Equipment; _ Chapter 114, Electrical Standards, and Chapter 27 of the Building Code and Chapters 33 - 42 of the Residential Code; _ Chapter 127, Fires, and various sections of Chapter 3 of the Fire Code, General Precautions Against Fire; and _ Chapter 133, Flood Damage Prevention, and Section 1612 of the Building Code and Section 324 of the Residential Code. Regardless of any overlap or conflict, Section 383(1) of the Executive Law states, "[t]he provisions of this article and of the Uniform Fire Prevention and Building Code shall supersede any other provision of a general, special or local law, ordinance, administrative code, rule or regulation inconsistent or in conflict therewith ..." B. BUILDING PERMITS AND RELATED RECORDS Section 1203.3(a)(1) requires provisions for the issuance of building permits for any work that must conform to the Uniform Code. Exceptions to the permit requirements are allowed on the basis of cost and scope of the work. Section 1203.3(a)(2) provides, "[a]n application for a building permit shall request sufficient information to permit a determination that the intended work accords with the requirements of the Uniform Code. . .n The regulation requires that, at a minimum, the following information must be provided: (i) a description of the proposed work; (ii) the tax map number and the street address; (iii) the occupancy classification of any affected building or structure; (iv) where applicable, a statement of special inspections prepared in accordance with the provisions of the Uniform Code; and (v) at least two sets of construction documents (drawings and/or specifications) that define the scope of the work. Section 85-5 of the Town Code provides for building permits, and meets the minimum standards established in Section 1203.3(a)(1). Section 85-5 also requires building permits for activities regulated by the Uniform Code where Section 1203.3(a)(1) allows exemptions from the requirement for permits. It is also noted that sec;:tion 85-5(A)(2) "" , Page 3 of 9 requires that where there is a change of occupant in a nonresidential district, the new occupant must apply for a change of occupancy permit. A change of occupancy or occupancy classification is an activity regulated by the Uniform Code; however, a change of tenancy with no change of occupancy is not regulated by the Uniform Code. Nevertheless, this does not preclude the Town from the application of this provision in Town Code. Building permit applications, instructions and procedures are generally consistent with Section 1203.3(a)(1). However, the inspections procedure form in the building permit application does not note that inspections are required for fire-resistant construction assemblies and penetrations of such assemblies, as required by Section 1203.3(b )(2)(vi) and (vii), respectively. Upon receiving a completed application, the building inspector examines the application and authorizes a permit to be issued. Pending applications are logged on a board posted in the office, and incomplete pending applications are kept separate from other building department documents. Application forms and their accompanying instructions require specific information as provided by Part 1203, along with additional information such as zoning, wetlands, workers compensation and disability insurance. Two sets of construction documents are required to be submitted with a permit application. There are separate application , forms for new residential buildings, new commercial buildings, accessory structures, renovations and repairs to existing buildings, electric, plumbing/mechanical, change of occupancy and demolition. Records for randomly selected building permits were reviewed in the building department offices. The Town states that it issued 476 permits in calendar year 2009, based on its annual report to the Division. While code officials assert that they conduct code compliance plan reviews, no records of reviews for code compliance were found in files. Division staff also observed that there were few or no notations and/or markings on plans that would indicate that they had been reviewed. This deficiency should be remedied by requiring a completed code review for every project that requires a building permit. Where required by Sections 7209 and 7307 of the Education Law, plans and specifications are signed and sealed by a licensed New York State professional engineer or registered architect, respectively. C. CONSTRUCTION INSPECTIONS AND RELATED RECORDS Section 1203.3(b) requires local governments to provide for inspections at various stages of construction when a building permit has been issued and prior to the issuance "' Page 4 of 9 of a certificate of occupancy. Inspections must be performed to observe the following elements, where applicable: (I) work site prior to the issuance of a permit; (ii) footing and foundation; (iii) preparation for concrete slab; (iv) framing; (v) building systems, including underground and rough-in; (vi) fire resistant construction; (vii) fire resistant penetrations; (viii) solid fuel burning heating appliances, chimneys, flues or gas vents; (ix) energy code compliance; and (x) a final inspection after all work authorized by the building permit has been completed. Section 85-10 of the Town Code provides for construction inspections of features of construction in a manner generally consistent with the requirements of Part 1203. However, as noted in Section B of this report, inspections of fire-resistant construction assemblies and penetrations of such assemblies are not explicitly required by the Town Code. Construction inspections are conducted at regular intervals, as substantiated from permit files. Records of construction inspections were not consistently completed, with some records containing extensive notes of observations and other records containing few observations. It was noted that copies of electrical inspections conducted by third parties were not found in all of the reviewed files for projects that included electrical construction. The Town should make greater efforts to document the conduct of inspections. A number of visits to construction sites were made by Division staff. Staff found that construction at a number of sites was not consistent with approved construction documents, but that construction had been permitted to continue without amended construction documents being required from permit holders. This practice can result in non-compliance with the Uniform Code, in that it does not allow for an adequate review of changes to proposed construction. It is appropriate for a local government to consider whether to issue a "stop work" order in this circumstance, as provided for in Section 85-12 of the Town Code, where the non-permitted construction results in an unsafe or dangerous condition. It is strongly recommended that the Town avail itself of this power where appropriate. D. CERTIFICATES OF OCCUPANCY AND RELATED RECORDS Section 1203.3(d) requires local governments to provide for the issuance of a certificate of occupancy or certificate of compliance upon completion of a permitted project and Page 5 of 9 upon the conversion of a building from one occupancy classification to another. Section 85-8 of the Town Code provides for the issuance of certificates of occupancy and certificates of compliance, consistent with Part 1203. Such certificates were observed in various completed Town records. Town officials asserted that each project which involves the Uniform Code receives a certificate of occupancy or a certificate of compliance upon completion. A review of the records revealed a number of such certificates in the files. While program reviews do not focus on individual buildings, assuring compliance with the Uniform Code in the Town's own buildings sets a positive example for privately owned construction. In reviewing the file for the construction of the existing Town Hall (Permit 85/15), Division staff noted that a certificate of occupancy has never been issued, more than 25 years after construction. There was documentation in the file indicating that the Town was aware that the building was not constructed in conformance with the Uniform Code in effect at that time, which is the apparent basis for a certificate of occupancy not being issued. It is strongly recommended that the Town undertake construction to bring the building into compliance with the Uniform Code; the Town may also elect to seek relief from the regional Uniform Code board of review. E. FIRE SAFETY AND PROPERTY MAINTENANCE INSPECTIONS IN AREAS OF PUBLIC ASSEMBLY AND RELATED RECORDS Sections 1203.3(h)(1) and 1203.3(h)(2) require local governments to make provisions for conducting fire safety and property maintenance inspections in areas of public assembly and dormitories, respectively, at intervals not to exceed one year. Section 85- 10.B(2) of the Town Code provide for public assembly inspections in a manner consistent with Part 1203. Section 85-10.8(1) provides for inspections of multiple dwellings, which includes dormitories, every 12 months. An accurate inventory of such buildings must be maintained and updated regularly in order to establish an inspection schedule that does not negatively impact other code enforcement responsibilities. Town records indicate that there are 67 areas of public assembly and no dormitories. The Town's annual report of its code enforcement activities indicates that 58 public assembly inspections were conducted in 2009. Town officials stated that all areas of public assembly would be inspected in 2010. "Assembly Permit Application" forms are required to be completed by each building containing an area of public assembly. The application includes a checklist of existing fire/safety features and special hazards that are provided in each building. The "Fire Inspection Report Form" provides basic information related to the specific site and an area for the delineation of violations. While it is not required that third party inspection, testing and maintenance reports for systems be retained by the local government, the "' Page 6 of 9 party having custody of the premises is required to maintain records of such reports for a period of time specified by the relevant standard. F. OTHER FIRE SAFETY AND PROPERTY MAINTENANCE INSPECTIONS AND RELATED RECORDS Section 1203.3(h)(2) requires local governments to provide for fire safety and property maintenance inspections of non-residential occupancies and multiple dwellings at intervals consistent with local conditions, but not to exceed three years. Sections 85- 10. B( 1) and (3) of the Town Code provide for such inspections at least once every twelve months. It is noted that Section 85-10.B(1) provides for inspections of common areas and vacant dwelling units of multiple dwellings. Although Section 1203.3(h)(2) does not specify that dwelling units themselves shall be subject to periodic inspections, local governments should provide for authority to inspect occupied dwelling units from time to time. It should also be noted that Section 85-10.8(1) does not appear to provide the authority to periodically inspect sleeping units in transient multiple dwelling occupancies (Le., Group R-1). It is recommended that the Town amend Chapter 85 to address dwelling units and sleeping units. As with public assembly inspections, an accurate inventory of such buildings must be maintained and updated regularly in order to establish an inspection schedule that does not negatively impact other code enforcement responsibilities. Town records indicate that there are approximately 156 commercial and industrial occupancies. The Town's annual report of its code enforcement activities indicates that 74 fire safety inspections of commercial and industrial uses were conducted in 2009. G. OPERATING PERMITS Section 1203.3(g) requires local governments to provide for the issuance of operating permits for the following activities: (i) manufacturing, storing or handling hazardous materials in quantities exceeding those listed in Tables 2703.1.1 (1). 2703.1.1 (2),2703.1.1 (3) or 2703.1.1 (4), of the Fire Code of New York State; (ii) hazardous processes and activities, including but not limited to, commercial and industrial operations which produce combustible dust as a byproduct, fruit and crop ripening, and waste handling; (iii) use of pyrotechnic devices in assembly occupancies; (iv) buildings containing one or more areas of public assembly with an occupant load of 100 persons or more; and (v) buildings whose use or occupancy classification may pose a substantial Page 7 of 9 potential hazard to public safety, as determined by the government or agency charged with or accountable for administration and enforcement of the Uniform Code. Section 85-10.0 of the Town Code provides for operating permits in a manner consistent with Part 1203. "Operational Permit Application" forms are required to be completed by each building containing a hazar90us material. The application includes a checklist of existing fire/safety features and special hazards that are provided in each building. The "Fire Inspection Report Form" provides basic information related to the specific site and an area for the delineation of violations. H. COMPLAINTS AND RELATED RECORDS Section 1203.3(i) requires local governments to establish procedures for addressing bona fide complaints which assert that conditions or activities fail to comply with the Uniform Code or with local laws, ordinances or regulations adopted for administration and enforcement of the Uniform Code. The process for responding to such complaints shall include, when appropriate, provisions for inspection of the conditions and/or activities alleged to be in violation of the code or the laws and/or regulations adopted for administration and enforcement of the code. Section 85-10. B(4)(b) provides for an inspection based on the receipt of a signed written statement alleging that conditions or activities failing to comply with the Uniform Code exist. Section 85-1 O.B(4)(c) provides for an inspection based on any other reasonable and reliable information indicating that such a violation exists. Complaints are logged into the code enforcement office's computer system. Code officials investigate all complaints and their findings are recorded in the system. If necessary, violation notices are issued to offenders and followed up by the code officials. I. RECORD KEEPING Section 1203.30) requires local governments to establish and maintain a system of records of code enforcement activities, and of fees charged and collected for such activities. Records should be readily retrievable and should contain sufficient information that code enforcement activities are fully documented. Although not within the purview of the Department of State, record keeping activities shall also be in accordance with Section 57.25 of the Arts and Cultural Affairs Law and Title 8 NYCRR Part 185 (Regulations of the State Commissioner of Education). Section 85-11.A of the Town Code provides for maintenance of records in a manner consistent with Part 1203. All records pertaining to code enforcement activities are located in the code enforcement office. Records are readily retrievable, with clerical staff and code Page 8 of 9 enforcement personnel familiar with the record keeping systems. Archived records are maintained. In addition to paper files, the Town uses software to track building permits and other activities. Fees charged and collected are recorded in the code enforcement record keeping system. Review of accounting practices is outside the scope of the Department of State's authority. J. CODE ENFORCEMENT OFFICIAL Section 1203.2(f) provides that the persons, offices, departments, agencies or combinations thereof authorized and responsible for administration and enforcement of the Uniform Code, or any portion thereof, shall be clearly identified. Section 85-4 of the Town Code identifies enforcement officers, provides for appointment of persons to act on behalf of enforcement officers in the absence or inability to act of enforcement officers, and prescribes the duties of enforcement officers. In addition, Section 85-6 provides for the continuation of a fire prevention bureau, its membership and responsibilities related to enforcement of the Uniform Code. Section 1208.1 requires code enforcement personnel who commenced employment on or after January 1, 1985 to complete the minimum basic code enforcement training program within the period prescribed by Part 434. Section 434.5(a)(1) provides that the period is one year from the date of initial appointment as a code enforcement official. In order to maintain certification granted upon successful completion of the basic code enforcement training, code enforcement personnel are generally required to complete 24 hours of in-service training annually. Section 85-4(8) of the Town Code provides that code enforcement officers, ". . . shall, within the time constraints prescribed by law, obtain such training as the State of New York shall require for Enforcement Officers." All appointed code enforcement personnel have completed the basic training requirements, and have maintained certification by completion of in-service training in a timely manner. Section 1203.2(e)(1) provides that where local governments rely on contractors for the principal part of the code enforcement program, they shall satisfy themselves that contractors have qualifications comparable to those required for appointed code enforcement personnel. Section 1203.2(e)(2) provides that local governments shall make no agreements under which building permits, certificates, orders or appearance tickets are issued by any person who is not a public officer. Electrical inspections are conducted by third party providers; in that they do not provide the principal part of the Town's code enforcement program, Section 1203.2(e) would not Page 9 of 9 be applicable. SUMMARY AND OBSERVATIONS Chapter 85 of the Town Code, adopted as Local Law NO.1 0 of 2006, provides for administration and enforcement of the Uniform Code and the Energy Code in a manner generally consistent with the minium standards established in Title 19 NYCRR Part 1203. While the Department of State has not established standards for staffing of code enforcement programs, it is recommended that the Town of Wappinger review staffing levels for its code enforcement program in light of the likely increase in the number of fire safety and property maintenance inspections, as well as the issuance of operating permits. It should also be noted in this regard that the deficiencies observed in record keeping practices may indicate that staff have prioritized provision of direct services over the maintenance of records. Section 1203.2(d), requires that "[e]very government or agency thereof charged with administration and enforcement of the Uniform Code shall exercise its powers in due and proper manner so as to extend to the public protection from the hazards of fire and inadequate building construction." This provision expresses the Legislature's intention in the Uniform Code Act (Article 18 of Executive Law) that a minimum level of protection from the hazards of fire and inadequate construction shall be provided. The lack of compliance observed in construction indicates that the Town has not fully exercised its power and responsibility in this matter. The regular conduct of fire safety and property maintenance inspections, and the response to complaints regarding buildings and property indicate that the Town has exercised its powers to enforce the Uniform Code; however, certain aspects of the Town's code enforcement program should be adjusted to achieve full compliance with Part 1203. ~~~~~ " ., # ~ (CJ1~) ~~~~~F~ C-,O, 's ~ro~'~ ~R} -~f~JV5~' I . . " . .