AF F O R D A B I L I T Y A N D CH O I C E TO D AY ( A C T ) CA S E ST U D Y PR O J E C T

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1 AF F O R D A B I L I T Y A N D CH O I C E TO D AY ( A C T ) CA S E ST U D Y PR O J E C T Automated Permitting System City of Fredericton Fredericton, Ontario Prepared for: Federation of Canadian Municipalities Canadian Home Builders Association Canadian Housing and Renewal Association Canada Mortgage and Housing Corporation Prepared by: Energy Pathways Inc. Ottawa, Ontario October 1995 This case study was funded by Canada Mortgage and Housing Corporation, but the views expressed are the personal views of the authors and the Corporation accepts no responsibility for them.

2 FO R E W O R D The project documented in this case study received funding assistance under the A ff o rdability and Choice Today (A C T) P rogram. A C T is a joint initiative, managed by the Federation of Canadian Municipalities, the Canadian Home Builders Association, and the Canadian Housing and Renewal Association, together with the funding agency Canada Mortgage and Housing Corporation. The A C T Pro g r a m is administered by the Federation of Canadian Municipalities. A C T, which was launched in January, 1990, was designed to foster changes to planning and building regulations and residential development approval procedures in order to improve housing aff o rd a b i l i t y, choice and quality. T h rough A C T, grants are awarded to municipalities, private and non-pro f i t builders and developers, planners and architects to undertake innovative regulatory reform initiatives in municipalities acro s s Canada. Three types of projects are awarded grants under the A C T Pro g r a m : Demonstration Projects, Stre a m l i n e d A p p roval Process Projects, and Case Studies (of existing initiatives). Demonstration Projects involve the c o n s t ruction of innovative housing that demonstrates how modifications to planning and construction regulations can improve affordability, choice and quality. S t reamlined Approval Process Pro j e c t s involve development of a method or a p p roach thatreduces the time and eff o r t needed to obtain approvals for housing projects. Case Study grants are awarded for the documentation of existing re g u l a t o r y reform initiatives. Change and innovation re q u i re the participation of all the players in the housing sector. A C T provides a unique opportunity for groups at the local level to work together to identify housing concerns, reach consensus on potential solutions, and implement action. C o n s e q u e n t l y, a key component of A C T- s p o n s o red projects is the participation and cooperation of various players in the housing sector in all phases of each project, fro m development to realization. All projects awarded a grant under the A C T Program are documented as case studies in order to share information on the initiatives and the benefits of re g u l a t o r y reform with other Canadian communities. Each case study discusses the re g u l a t o r y reform initiative, its goals and the lessons learned. Where appropriate, the cost savings resulting from modifications in various planning, development, and constru c t i o n regulations are calculated and reported. Affordability and Choice Today

3 TA B L E O F CO N T E N T S PROJECT OVERVIEW i 1.0 PROJECT DESCRIPTION City of Fredericton s Need for an Automated Permitting System Project Objectives Figure 1. Fredericton s Manual Permit System Methodology SYSTEM REQUIREMENTS AND RECOMMENDATIONS System Requirements Figure 2. System Context Figure 3. Property Management System Figure 4. Resource Management System Figure 5. Permit and Inspection Management System Recommendations PROJECT BACKGROUND City of Fredericton s Planning and Development Department Fredericton s Geographic Information System Zoning By-law Review REGULATORY REFORM INITIATIVES AND IMPACT ON HOUSING COST, CHOICE AND QUALITY Affordability and Choice Today

4 PROJECT OVERVIEW The City of Fredericton has been manually p rocessing from 1,100 to 1,500 building permit applications per year. An automated permitting system would circumvent the delays and duplication inherent in a manual system, while improving the quality and quantity of information available and making it accessible to more staff and to several departments. These improvements, in turn, would result in a faster turnaround for issuing building permits, better client relations, more efficient use of staff time, and an increased capacity for planning and decision-making based on an integrated database. With funding from an A C T grant, Fredericton commissioned a study in 1992 to identify suitable options for an automated permitting system. The focus of the pro j e c t was on developing recommendations for an automated building permit application system. It was also intended that the system would eventually handle other applications, such as those for rezoning, subdivisions, variances, temporary uses, and signs, and permitting pro c e d u res related to sewage connections and curb cuts, for example. In 1992, the City had installed a Geographic Information System (GIS), and it was a requirement of the project that the automated permitting system would be able to link with the GIS. The City also had initiated a review of its zoning by-law. In particular, the City wished to broaden the range of re s i d e n t i a l zoning options to facilitate af f o rd a b l e housing. This would increase the complexities in zoning management. With an automated permitting system linked to the City's GIS, Fredericton would have a c o o rdinated zoning and pr o p e r t y development approval system and database. This system could handle incre a s e d complexities and the volume of applications received on a timely basis, and would aid in the decision-making process concerning zoning and development policy and management. The study included an evaluation of the Planning and Development Department's p ro c e d u res, its regulatory environment and responsibilities, and its resources. The project consultant, DMR Group Inc., identified opportunities for improvement, determined h a rd w a re and software re q u i rements, and evaluated six software programs available in the marketplace. In the final project report, DMR recommended a software program by M a n a t ron called Building Permits System and advised that the hard w a re system be based on PC-LAN (Local A rea Network) technology to facilitate integration with other systems, specifically the City's GIS. The following procedural re c o m m e n d a t i o n s were made for immediate action: Divide permit applications into two g roups and administer according to complexity (i.e. large projects, and small projects) Develop a "one-stop" approach for permit approvals Notify key target groups of changes in permit policies and procedures Inform applicants as to which inspector is responsible for their application Have administrative staff receive and manage fees held for deposit Affordability and Choice Today i

5 The recommended automated permitting system and the procedural changes have the potential to make considerable impro v e m e n t s in streamlining approval pro c e d u res in F redericton. With an automated system in place, it will be possible to issue a permit within one or two days, instead of one or two weeks, or longer. The project findings also indicate considerable potential for improving the tracking and storage of information, and i n c reasing the use of existing and more complex information as a result of installing an automated permitting system. The advantages include more efficient and timely service for permit applicants; better management of zoning by-law amendments and development within the municipality; and an improved capacity to access and analyze information for policy and administrative decisions. In 1993, Fredericton City Council accepted the automated permitting system as a key initiative, but budgetary constraints delayed implementation. However, by the summer of 1995, the City was able to follow through on some of the project recommendations, and expected to have funds available later in 1995 or 1996 to put the automated permitting system in place. For More Information... Other A C T case studies are available from Canada Mortgage and Housing Corporation that pro v i d e information on autonmated permitting and "one-stop" approvals: Expert Systems: The Future of Plan-Checking One-Stop Development Information and Applications Centre Copies of these publications may be obtained from the Canadian Housing Information Centre, 700 Montre a l Road, Ottawa, Ontario, K1A 0P7, Tel: (613) , Fax: (613) , TTY: (613) ii Affordability and Choice Today

6 1.0 PROJECT DESCRIPTION 1.1 City of Fredericton's Need for an Automated Permitting System The Building Inspections Division of the City of Fredericton's Planning and Development Department manually processes and tracks f rom 1,100 to 1,500 building permit applications each year. This is not only very time-consuming, with permits taking several days or weeks to be issued, but keeping track of applications is difficult and laborious. Without a computerized system in place, the Department is unable to meet its mandate to p rovide up-to-date information and timely service to its clients, other City departments and the general public. Building permit applications are pre p a re d manually and filed according to street addre s s. When an address or other pertinent information is missing, City staff must take the time to find the missing data which could be readily available from a computerized system. Incomplete information is the primary re a s o n for delays in processing applications. All applications are reviewed by the City's building' inspectors. Zoning officers re v i e w applications which pertain to new structures, additions to existing structures and change of use. Design engineers review applications in which new water and sewer services are being installed. A manual referral system between departments exists, but pro c e s s i n g or tracking applications cannot be done expeditiously. Bottlenecks occur, particularly during the development season. Files are duplicated by departments and are not always readily available to staff who need them outside the Building Inspections office. At times, it is difficult for a builder to follow the process and know where to dire c t questions. Figure 1 presents a diagram of the manual system. The City of Fredericton received an A C T grant in May 1992 to determine the needs and suitable options for an automated permitting system. The project team included re p resentatives of the following organizations: City of Fredericton Fredericton Home Builders' Association Fredericton Construction Association New Brunswick Department of Municipalities Canada Mortgage and Housing Corporation DMR Group Inc. 1.2 Project Objectives The project team aimed to develop recommendations for the following: An information system model to support the Planning and Development Department's permit, rezoning and subdivision approval pr o c e d u re s, information re q u i rements and filing systems Automated system re q u i re m e n t s, including hardware and software A tracking system for all Department applications (permits, re z o n i n g, subdivision, etc.) Linkages to the City's GIS Affordability and Choice Today 1

7 Figure 1: Fredericton s Manual Permit System Source: DMR Group Inc., City of Fredericton: Business Definition Report (Fredericton: October 1992), p Affordability and Choice Today

8 1.3 Methodology DMR re p resentatives interviewed potential internal and external system users, including re p resentatives from other departments and the building industry, to determine user priorities, issues and recommendations. DMR also conducted a thorough evaluation of the Department' s pro c e d u res, its re g u l a t o r y e n v i ronment and responsibilities, and its human, fiscal and computer re s o u rc e s. P rocedural inefficiencies, bottlenecks and opportunities for improvement were noted, and several automated permitting systems available in the marketplace were evaluated. Several municipal functions were taken into account in determining the information issues and potential opportunities for automation: Permitting Inspection scheduling Licence registry Property management (GIS) Zoning by-law amendment management Subdivision management Central filing Legislative management Assessments were made of the major data and application subject areas (pro p e r t y, re s o u rces and permits); three hard w a re alternatives (PC-LAN, Digital VAX minicomputer environment and UNIX); the software requirements; and six programs. Affordability and Choice Today 3

9 2.0 SY S T E M RE Q U I R E M E N T S A N D RE C O M M E N D AT I O N S 2.1 System Requirements The objectives for an automated permitting system were defined as follows: Provide on-line access to curre n t information P rovide the ability to respond to information requests within 10 to 15 seconds I m p rove ability to track permit/application and inspection status I m p rove Department's flexibility by p roviding ability to link to current GIS system and to future systems The following functions were identified as being within the re q u i rements of the permitting system: On-line capture of permit application information On-line inquiry capabilities re g a rd i n g permit application status Maintenance and tracking of permit application status Printing of permit applications and permits Automatic scheduling and assignment of inspections performance automated On-line update of inspection information Reporting to City Council and New B runswick Assessment relating to permit applications Based on further discussions with staff in the Planning and Development Department, the project team developed a detailed analysis of the mandatory and desired re q u i rements to be met by an automated system. The analysis c o v e red basic system concepts, contro l standards, data coverage, functions, database conversion, multi-user capability, flexibility of packaged software program for a "customized fit," and supplier criteria. In addition to providing multi- functional services, it was deemed mandatory that the system be accessible by at least seven users at the same time. The automated permitting system would need to address three main sub-systems or application areas, as shown in figure 2: Property Management System Resource Management System Permit and Inspection Management System (PIMS) Each of these three systems is detailed in figures 3, 4 and 5. 4 Affordability and Choice Today

10 Figure 2: System Context Source: DMR Group Inc., City of Fredericton: Automated Permit System (Fredericton: December 1992), p. B4. Affordability and Choice Today 5

11 Figure 3: Property Management System Source: DMR Group Inc., City of Fredericton: Automated Permit System (Fredericton: December 1992), p. B10. 6 Affordability and Choice Today

12 Figure 4: Resource Management System Source: DMR Group Inc., City of Fredericton: Automated Permit System (Fredericton: December 1992), p. B13. Affordability and Choice Today 7

13 Figure 5: Permit and Inspection Management System Source: DMR Group Inc., City of Fredericton: Automated Permit System (Fredericton: December 1992), p. B16. 8 Affordability and Choice Today

14 The standards and re q u i rements that were identified in consultation with Cify staff p rovided the criteria for evaluating six s o f t w a re programs, which ranged in cost from US $2,000 to US$59,000: Cape Breton Planning Commission's customized program developed by Benneworth Advance Systems HTE Inc. Building Permits System C O M PAAS (Comprehensive A s s e s s m e n t Administration System) by KVS Information Systems Inc. Manatron Building Permits System SRB International Permit Control System Building Department Tracking System by Software Consulting Associates, Inc. Software Requirements In reviewing vendor offerings for an automated permitting system, it became very apparent that the requirements of a permitting system were very dependent on the jurisdiction, legislation and needs within a m u n i c i p a l i t y. Because of this, permitting "packages" w e re generally not "off-the-shelf" implementable. Most vendors that were contacted found that their software offerings had to be modified in order to satisfy the particular needs of the client. 1 Software Availability The results of the market survey have shown that there is a significant number of automated permitting systems available in the market. The majority of packages examined considered permits as one component of a much l a rger system encompassing everything from pro p e r t y management to assessment administration including tax billing and tax collection Recommendations It was determined that the first thre e systems Cape Bre t ron Planning Commission's, HTE's, and COMPAAS were not suitable options to meet Fre d e r i c t o n ' s needs. Cape Breton Planning Commission's customized software program was not recommended as it would re q u i re considerable changes to meet Fre d e r i c t o n ' s needs. HTE's system re q u i red a significantly different hardware system than that in use by the City, and COMPAAS was considere d unsuitable because its scope was vastly greater than the City needed. It also required very different hardware from that which the City had in place. 1 DMR Group Inc., City of Fredericton, Planning and Development Department: Requirements Study for an Automated Permitting System, Phase III Ta rg e t Architecture (Fredericton: 1992), p. D13. 2 Ibid., p. D20. Affordability and Choice Today 9

15 The next three options Manatron's, SRB's, and Software Consulting Associates' were considered to be suitable options. Manatron's Building Permits System was identified as being the best-suited to Fredericton's needs. DMR noted that this program appeared to have a great deal of flexibility, which facilitates adaptation by any municipality, and it was attractively priced at $10,200 (US $6,000) for a customized version. The M a n a t ron program also had an exceptional d e g ree of compatability with Fre d e r i c t o n ' s automated permitting system re q u i re m e n t s and high compatability with the specified basic system concept standards. SRB's system was suggested because it met the City's re q u i rements. However, a re p re s e n t a t i v e f rom SRB advised against the program for small municipalities like Fredericton because of the cost of the permit software pro g r a m alone ($15,000), which must be used in conjunction with SRB's Properties Database System ($10,000), and the need for a mainframe. Software Consulting A s s o c i a t e s ' Building Department Tracking System had satisfactory compliance with the established criteria and there f o re was included on the short list. DMR determined the total cost in Canadian dollars for each of the three re c o m m e n d e d options, taking into account both hard w a re and software expenses. Hard w a re costs for each of the options included two new workstations, cabling for eight workstations and two printers. Costs calculated for the first and third options also included eight network interface cards and a departmental server (the second option re q u i res a mainframe, which is not included). The total cost for each option, excluding provincial and federal taxes, was as follows: M a n a t ron Building Permits System $32,300 SRB International Permit Contro l System $36,300 Building Department Tracking System $33,500 to $39,500 The project team also considered the option of developing a system in-house, with projected hardware and software costs in the range of $108,000 to $111,012. This was not recommended as a viable option, because of the cost and the fact that the City does not have the human re s o u rces necessary to develop an automated system. Based on further consideration of the thre e options suggested and discussions with the suppliers, DMR made the following recommendations for Fredericton's automated permitting system in its final report: The City should choose the Building Permits System from Manatron. The system should use PC-LAN t e c h n o l o g y, as this will facilitate integration with other departmental systems, such as GIS, and it also supports the recommended software option. Once installed, the automated permitting system is expected to reduce the time spent on each permit by 30 percent. 10 Affordability and Choice Today

16 The project team also presented several immediate action recommendations aimed at i m p roving approval pro c e d u res and client relations: Divide permit applications into two g roups according to complexity larg e projects (e.g. single-family dwellings) and small projects (e.g. decks, sheds, garages) with each of the two City Planners taking responsibility for one group Develop a "one-stop" approach for permit a p p rovals so that clients do not have to deal with several departments I m p rove communications with key outside target groups (e.g. Fre d e r i c t o n Home Builders' Association, Fre d e r i c t o n C o n s t ruction Association) by notifying them of changes in permit policies and procedures Inform applicants as to which inspector is responsible for application Have administrative staff receive and manage fees held for deposit instead of a City Planner Affordability and Choice Today 11

17 3.0 PR O J E C T BA C K G R O U N D 3.1 City of Fredericton's Planning and Development Department The City of Fredericton's Planning and Development Department provides services t h rough two separate sections, the Planning Division and the Building Inspections Division. The Department fulfills its mandate as follows: Develops land use management policies Implements land use and development control regulations Provides planning advice to City Council, the Planning Advisory Committee and other Council committees P rocesses all building, plumbing, demolition and sign permits P rovides information services to other City departments, the constru c t i o n industry and the general public The project took into account two important initiatives that the City of Fredericton was undertaking at the time, the first being the development of a new GIS for the City, and the second being a comprehensive review of the City's zoning by-law. 3.2 Fredericton's Geographic Information System A F redericton company, Universal Systems Limited, developed a GIS software pro g r a m (known as CARIS) that was adopted by the New Brunswick Geographic Information Corporation as the standard for the province in managing property information. Other Canadian municipalities outside New B runswick have also used CARIS for their GIS database. The City of Fredericton purchased CARIS in January 1992 and invested considerable time in transferring information onto this p rogram. By linking the automated permitting system to this program, the City would have one common property database and increase the utility of both programs. The City there f o re stipulated that the automated permitting system must be compatible with its CARIS GIS. The recommended automated permitting system would complement the City's GIS, and t o g e t h e r, they would form a compre h e n s i v e information management system for the Department. The long-term objective is to have a fully integrated system that facilitates all municipal approval and enforc e m e n t responsibilities as outlined below: Building Inspections Division - building permits - plumbing permits - building inspections - unsightly premises Planning Division - zoning applications - subdivision applications - variance applications - sign permits For immediate purposes, the Department decided to focus on automating permit app rov als and tracking for the Building Inspections Division. Eventually, appro v a l procedures for the Planning Division would be automated as well. Although applications to this Division are fewer in number, the approval process is more complex, involving 12 Affordability and Choice Today

18 the Planning Advisory Committee, several City departments and City Council. 3.3 Zoning By-Law Review Also in 1992, the City began a review of its zoning by-law. As part of its pro p o s e d revisions, the City was considering the introduction of a greater range of residential zoning (e.g. smaller lot sizes, zero lot line housing, stacked townhouse developments), aimed at encouraging affordable housing for area residents. With an automated permitting system in place, the City will be better able to monitor and control development, process a b roader range of applications while maintaining fast turnaround, and pro v i d e up-to-date information on affordable housing in Fredericton. Affordability and Choice Today 13

19 4.0 RE G U L AT O RY RE F O R M IN I T I AT I V E S A N D IM PA C T O N HO U S I N G CO S T, CH O I C E A N D QU A L I T Y The project findings indicate considerable potential for streamlining re g u l a t o r y approval procedures, improving the tracking and storage of information, and incre a s i n g the use of existing and more complex information as a result of installing an automated permitting system. The advantages also include more efficient and timely service for permit applicants; better management of zoning by-law amendments and development within the municipality; and an improved capacity to access and analyze information for policy and administrative decisions. As building permits re p resent a major revenue source for Fr e d e r i c t o n a p p roximately $250,000 to $300,000 annually the City stands to benefit fro m replacing its manual system with an automated one. The advantages include more efficient use of staff resources, more extensive use of the information provided (e.g. reports can readily be produced for other departments), and less duplication in documenting, tracking and storing the information. With an automated system, it will be possible to issue a permit within one or two days, instead of one or two weeks, or longer. The recommended system's tie-in with the City's GIS program and proposed zoning bylaw revisions further enhances its overall benefits. When the permitting system eventually incorporates approvals beyond building permits, the City will have a fully integrated system which will be able to addre s s a p p rovals for rezoning, subdivisions, variances, temporary uses, signs, and other permitting pro c e d u res such as those re l a t e d to sewage connections and curb cuts. City Council approved the automated permitting system in 1993 for primary consideration, but budgetary constraints prevented Fredericton from proceeding at the time. However, by the summer of 1995 the City was implementing the re c o m m e n d e d one-stop approach. A full-time Plans Review Officer was to be responsible for receiving all applications and entering the information onto a computer database. Instead of applicants dealing with several departments, the Plans Review Officer was to be their single contact. Funds for the computer h a rd w a re and software were expected to be available later in 1995 or Affordability and Choice Today