A 11 ID 3 D 7 2 A M M

NATL INST OF STANDARDS & TECH R.I.C.

A1 11 03072844

NBS/NCSBCS Joint Con/Research and Innova QC100 .U57 N0.552, 1979 C.2 NBS-PUB-C 19

eau of Standards

31 Admin. Bldg,

)T 1 1981

191077

NBS SPECIAL PUBLICATION

U.S. DEPARTMENT OF COMMERCE / National Bureau of Standards

Research and Innovation

in the

Building Regulatory Process
NATIONAL BUREAU OF STANDARDS

The National Bureau of Standards' was established by an act of Congress March 3, 1901. The

Bureau's overall goal is to strengthen and advance the Nation's science and technology and

facilitate their effective application for public benefit. To this end, the Bureau conducts

research and provides: (1) a basis for the Nation's physical measurement system, (2) scientific and technological services for industry and government, (3) a technical basis for equity in trade, and (4) technical services to promote public safety. The Bureau's technical work is performed by the National Measurement Laboratory, the National Engineering Laboratory,

and the Institute for Computer Sciences and Technology.

THE NATIONAL MEASUREMENT LABORATORY provides the national system of

physical and chemical and materials measurement; coordinates the system with measurement

systems of other nations and furnishes essential services leading to accurate and uniform

physical and chemical measurement throughout the Nation's scientific community, industry,

and commerce; conducts materials research leading to improved methods of measurement,

standards, and data on the properties of materials needed by industry, commerce, educational

institutions, and Government; provides advisory and research services to other Government

Agencies; develops, produces, and distributes Standard Reference Materials; and provides

calibration services. The Laboratory consists of the following centers:

Absolute Physical Quantities2 — Radiation Research — Thermodynamics and

Molecular Science — Analytical Chemistry — Materials Science. THE NATIONAL ENGINEERING LABORATORY provides technology and technical

services to users in the public and private sectors to address national needs and to solve national problems in the public interest; conducts research in engineering and applied science

in support of objectives in these efforts; builds and maintains competence in the necessary

disciplines required to carry out this research and technical service; develops engineering data and measurement capabilities; provides engineering measurement traceability services; develops test methods and proposes engineering standards and code changes; develops and

proposes new engineering practices; and develops and improves mechanisms to transfer

results of its research to the utlimate user. The Laboratory consists of the following centers:

Applied Mathematics — Electronics and Electrical Engineering2 — Mechanical

Engineering and Process Technology2 — Building Technology — Fire Research —

Consumer Product Technology — Field Methods.

THE INSTITUTE FOR COMPUTER SCIENCES AND TECHNOLOGY conducts

research and provides scientific and technical services to aid Federal Agencies in the selection, acquisition, application, and use of computer technology to improve effectiveness and

economy in Government operations in accordance with Public Law 89-306 (40 U.S.C. 759), relevant Executive Orders, and other directives; carries out this mission by managing the Federal Information Processing Standards Program, developing Federal ADP standards

guidelines, and managing Federal participation in ADP voluntary standardization activities; provides scientific and technological advisory services and assistance to Federal Agencies; and

provides the technical foundation for computer-related policies of the Federal Government. The Institute consists of the following divisions:

Systems and Software — Computer Systems Engineering — Information Technology.

'Headquarters and Laboratories at Gaithersburg, Maryland, unless otherwise noted; mailing address Washington, D.C. 20234.

2 Some divisions within the center are located at Boulder, Colorado, 80303.

The National Bureau of Standards was reorganized, effective April 9, 1978.
RESEARCH AND INNOVATION IN THE

BUILDING REGULATORY PROCESS

Proceedings of the Third Annual

NBS/NCSBCS Joint Conference

Held in Annapolis, Maryland on

September 12, 1978, in conjunction

with the Eleventh Annual Meeting of the

National Conference of States on Building

Codes and Standards, Inc. (NCSBCS)

Patrick W. Cooke, Editor

Building Economics and Regulatory

Technology Division Center for Building Technology

National Engineering Laboratory

National Bureau of Standards

Washington, D.C. 20234

Sponsored by

U.S. Department of Commerce

National Bureau of Standards and

National Conference of States on

Building Codes and Standards (NCSBCS)

U.S. DEPARTMENT OF COMMERCE, Juanita M. Kreps, Secretary

Jordan J. Baruch, Assistant Secretary for Science and Technology

NATIONAL BUREAU OF STANDARDS, Ernest Ambler, Director

Issued July 1979

.tit of
Library of Congress Catalog Card Number: 79-600090

National Bureau of Standards Special Publication 552

Nat. Bur. Stand. (U.S.) Spec. Publ. 552, 358 pages (July 1979) CODEN: XNBSAV

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1979

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402

Stock No. 003-003-02091-5 Price $7.50

(Add 25 percent additional for other than U.S. mailing).
PREFACE

The papers contained in these proceedings were selected for

presentation at the Third Annual NBS/NCSBCS Joint Conference on Research and Innovation in the Building Regulatory Process. The

conference was held on September 12, 1978, in conjunction with the

Eleventh Annual Meeting of the National Conference of States on Building Codes and Standards,' Inc. (NCSBCS) in Annapolis, Maryland.

This event marked the third time that NCSBCS and NBS have worked

together to provide a forum within the building community for the

exchange of research findings and to report on innovative practices

among regulatory agencies. The first such conference was conducted

in 1976 in Providence, Rhode Island, and was reported on in NBS Special

Publication 47 The following year, the research conference was held

in Bozeman, Montana. NBS Special Publication 5181/ contains the papers

presented at that session. The success of these first two conferences

provided the background for an annual event of this type. This annual

conference is intended to inform and assist decision-makers in the

regulatory area by reporting on building regulatory developments that

advance or retard technological change. This is necessary because

regulatory policy is too often made and enforced without the benefit of

objective knowledge on the impacts of those policies on the building

community and whether those policies are in fact achieving the desired

effect.

The Proceedings represent the papers selected for presentation at

the various technical sessions and include the opening remarks and

Keynote Address. The program for the conduct of the conference corresponds to the Table of Contents of these Proceedings. It is hoped that

these Proceedings will serve both to illustrate some of the latest

approaches in regulating the construction and occupancy of buildings

as well as to stimulate the development of additional new concepts in

the future.

— See NBS Special Publication 473, "Research and Innovation in the

Building Regulatory Process," available from Superintendent of

Documents, U.S. Government Printing Office, Washington, D.C. 20402.

Stock No. 003-003-01775-2, Price $6.00.

2/ — See NBS Special Publication 518, "Research and Innovation in the

Building Regulatory Process," available from Superintendent of

Documents, U.S. Government Printing Office, Washington, D.C. 20402.

Stock No. 003-003-01960, Price $6.00.

iii
ACKNOWLEDGEMENTS

The editor wishes to thank all of those staff personnel from

the National Bureau of Standards (NBS) and the National Conference

of States on Building Codes and Standards, Inc. (NCSBCS) who contributed to the successful conduct of the conference and the publication

of these Proceedings. Special appreciation is extended to the following

NCSBCS State Delegates and members of the NBS staff who so ably served

as moderators for the technical sessions at the conference.

NCSBCS Delegates

Mr. Robert Berntsen (New Mexico)

Mr. Robert C. Hilprecht (Michigan)

Mr. Donald T. MacRae (Indiana)

Mr. James W. Shields (Pennsylvania)

NBS Staff

Mr. James R. Harris

Mr. Charles T. Mahaffey

Mr. James H. Pielert

Special recognition and appreciation are extended to Mrs. Mary Chaney!

of NBS for successfully coordinating the publication of these Proceedings. 1

iv
CONTENTS

Page

PREFACE iii

ACKNOWLEDGEMENTS iv

SI CONVERSION ix

ABSTRACT x

OPENING SESSION

Introduction to NBS/NCSBCS Joint Conference

by James G. Gross 1

KEYNOTE ADDRESS

"A Perspective of NBS and NCSBCS Research and Assistance to

the Building Regulatory Community"

by Gene A. Rowland 5

SESSION 1A, REGULATORY ASPECTS OF FIRE SAFETY

"A Defensible Technique for Determining Code Equivalency

in Buildings"

by Geoffrey N. Berlin 13

"The Liability of Municipalities and Municipal Officials, for

Negligence in the Regulation of Buildings"

by Vincent Brannigan 29

"Buildings Engineer Emergency Response Team"

by Steven S. Koren 39

SESSION IB, STANDARDS DEVELOPMENT ACTIVITIES AND THE BUILDING

REGULATORY PROCESS

"The Development and Implementation of Building Standards in

France"

by Ileana Martinez 45

"A Case History of the Integrity of the National Electrical

Code"

by David J. MacFadyen 57

"Federal Government Activities Relative to the Development

of Voluntary Consensus Standards"

by Donald R. Mackay 79

v
CONTENTS-Continued

Page

SESSION 2A, ACCOMMODATING PROVISIONS FOR THE ELDERLY AND

HANDICAPPED IN BUILDING REGULATIONS

"The Formulation of Sensible Regulations for Accessible

Rehabilitation Housing"

by Arvid Eric Osterberg 95

"Designing for Access To, Movement Within, and Egress From

Building and Sites: Effective Research for More Reasonable

Regulation"

by Fred I. Stahl 101

"Communication Techniques in Building Code Implementation"

by Theresa Joan Rosenberg 115

SESSION 2B, IMPLEMENTATION OF ENERGY CONSERVATION BUILDING

REGULATIONS AT THE STATE LEVEL

"A Summary of Kentucky's Experience in Implementing a Statewide Energy Code"

by John R. Groves, Jr 121

"Energy Conservation in Building Codes and Standards"

by Richard W. Lisle 131

"Implementation of Energy Conservation Standards"

by James T. Quinn 141

SESSION 3A, APPLICATION OF COMPUTERS AND INFORMATION SYSTEMS

FOR BUILDING REGULATION AND CONSTRUCTION

"The Uses of an Integrated Data Base in Municipal Computer

Assisted Regulatory Systems"

by Norton S. Remmer 153

"Exploiting the Computer to Control the Application of

Design Criteria to Construction"

by Raymond E. Larson 167

"Construction Labor Demand System: An Overview"

by William F. Hahn 135

vi
CONTENTS-Continued

Page

SESSION 3B, ENERGY CONSERVATION, SOLAR ENERGY AND THE BUILT

ENVIRONMENT

"Proposed Criteria for Establishing Energy Consumption

Standards for Existing Buildings"

by Robert R. Somers II, Timothy C. Scott and

Leroy S. Fletcher 197

"Proposed Solar Energy Legislation Likely to Affect the

Building Regulatory Process"

by Robert J. Smith 211

"Critical Performance Standards for Passive Solar Buildings"

by John K. Holton 217

SESSION 4A, ISSUES CONCERNING THE INTENT, FORMULATION AND

ECONOMIC IMPACT OF REGULATIONS

"A Case for More Rational and Explicit Building Regulations"

by Howard M. Markman 225

"Formulation and Expression Analysis of Standards and

Regulations"

by John W. Melin and Richard L. Tavis 249

"Life-Cycle Benefit-Cost Analysis of Housing Safety

Regulations"

by Jeffrey L. Walters 267

SESSION 4B, METRICATION, INDUSTRIALIZED BUILDINGS AND COMPLEX

STRUCTURES

"Regulatory Implications of Adapting a Metric Building Code

for the Province of Alberta, Canada"

by Alastair J. M. Aikman 283

"An Approach to Third Party Approval for Industrialized

Housing"

by C. Morgan Edwards 293

"Structural Inspection of Complex Structures"

by Claude G. Cooper and Gerald P. Berson 311

vii
CONTENTS-Continued

Page

OTHER RESEARCH PAPERS SELECTED FOR PUBLICATION

"Lighting and Building Codes for Energy Conservation"

by Marietta S. Millet, J. R. Bedrick, G. S. Spencer and

G. B. Varey 321

"Tax Shelter in Construction: Public Objectives and Private

Incentives"

by Urs P. Gauchat 337

"Resource Zoning and Land Use Planning: An Examination of

Urban Infrastructures"

by Urs P. Gauchat and Daniel L. Schodek 347

viii
SI Conversion Units

The following list of conversion factors for the most frequently

used quantities in building design and construction may be used.

QUANTITY

LENGTH

AREA

VOLUME

CAPACITY

VELOCITY, SPEED

ACCELERATION

MASS

DENSITY

FORCE

MOMENT OF FORCE . TORQUE

PRESSURE, STRESS

INTERNATIONAL (SI) UNIT

meter (m) millimeter (mm)

square meter (m*)

square millimeter (mm*)

cubic meter (m3

)

cubic millimeter (mm') liter (L) milliliter (mL)

meter per second (m/s) kilometer per hour (km/h)

U.S. CUSTOMARY UNIT APPROXIMATE CONVERSION

foot

inch 113

square yard (yd* square foot (ft* square inch (in 1

)

cubic yard (yd1

) cubic foot (ft') cubic inch (1n 3

) gallon (gal) fluid ounce (fl oz)

foot per second (ft/s or f.p.s.) mile per hour (mile/h or m.p.h.)

1 mm

2

1 m

3

1 m

3

1 mm'

1 L

1 mL

m/s km/h

meter per second squared (m/s*) foot per second squared (ft/s*)

metric ton (t) [1000 kg] kilogram (kg) gram (g)

metric ton per cubic meter (t/mJ

) kilogram per cubic meter (kg/m3

)

kilonewton (kN)

newton (N)

kilonewton meter (kN*m) newton meter (N«m)

megapascal (MPa)

kilopascal (kPa)

short ton [2000 lb] pound (lb) ounce (oz)

ton per cubic yard (ton/yd')

pound per cubic foot (lb/ft')

ton-force (tonf) kip [1000 lbf] pound-force (lbf)

ton-force foot ( tonf• ft) pound-force inch (lbf'in)

1 m/s 2

1 t

1 kg

1 9

1 t/m3

1 kg/m3

1 kN

1 kN

1 N

1 kN-m

1 N«m

ton-force per square inch (tonf/in2) 1 MPa ton-force per square foot (tonf/ft2

) 1 MPa pound-force per square inch (lbf/in 2

) 1 kPa pound-force per square foot (lbf/ft2

) 1 kPa

WORK, ENERGY , megajoule (MJ) QUANTITY OF "HEAT kilojoule (kJ) joute (J)

kilowatt (kW) watt (W)

kilowatthour (kWh) British thermal unit (Btu) foot pound-force (ft* lbf)

1 MJ

1 kJ

1 J

POWER, HEAT FLOW

RATE horsepower (hp) 1 kW British thermal unit per hour (Btu/h) 1 W

foot pound-force per second (ft'lbf/s) 1 W

COEFFICIENT OF HEAT watt per square meter kelvin TRANSFER [U-value] (W/m'-K) [= (W/m'-'C)]

THERMAL C0NDUC- watt per meter kelvin (W/m«K) TIVITY [k-value] [=(W/m«°C)]

Btu per square foot hour degree Fahrenheit (Btu/ftl «h-°F)

Btu per square foot degree Fahrenheit

(Btu/ft''°F)

= 3.2808 ft

= 0.0394 in

= 1.1960 yd 2 = 10.764 ft2 = 1.5500 x 10 _3

in'

= 1.3080 yd 5 = 35.315 ft 3 = 61.024 x 10" 6 in 3

= 0.2642 gal

= 0.0338 fl oz

= 3.2808 ft/s

= 0.6214 mile/h

= 3.2808 ft/s 2

= 1.1023 ton

= 2.2046 lb

= 0.0353 oz

= 0.8428 ton/yd 3

= 0.0624 lb/ft 3

= 0.1124 tonf

= 0.2248 kip

= 0.2248 lbf

= 0.3688 tonf-ft

= 8.8508 lbf'in

= 0.0725 tonf/in 2 = 10.443 tonf/ft2 = 0.1450 lbf/in 2 = 20.885 lbf/ft 2

= 0.2778 kWh

= 0.9478 Btu

= 0.7376 ft-lbf

= 1.3410 hp

= 3.4121 Btu/h

= 0.7376 fflbf/s

1 W/m2 «K = 0.1761 Btu/ft2 -h-°F

1 W/m'K 0.5778 Btu/ft 2

NOTES: (1) The above conversion factors are shown to three or four places of decimals.

(2) Unprefixed SI units are underlined. (The kilogram, although prefixed, is an SI base unit.)

REFERENCES: NBS Guidelines for the Use of the Metric System, LC1056, Revised August 1977; The Metric System of Measurement, Federal Register Notice of October 26, 1977, LC 1078, Revised November 1977; NBS Special Publication 330, "The International System of Units (SI)," 1977 Edition; NBS Technical Note 938, "Recommended Practice for the Use of Metric (SI) Units in Building Design and Construction," Revised edition June 1977; ASTM Standard E621-78, "Standard Practice for the Use of Metric (SI) Units in Building Design and Construction," (based on NBS TN 938), March 1978; ANSI Z210. 1-1976, "American National Standard for Metric Practice;" also issued as ASTM E380-76 E

, or IEEE Std. 268-1976.

ix
ABSTRACT

The third NBS/NCSBCS Joint Conference on Research and Innovation

in the Building Regulatory Process was held in Annapolis, Maryland on September 12, 1978. The proceedings of the Joint Conference include

the opening remarks, the Keynote Address and the 24 papers presented at

the technical sessions dealing with various aspects of building regulatory research and innovative administrative application of building

codes and standards. The eight technical sessions were organized

around the following themes:

o Regulatory Aspects of Fire Safety

o Standards Development Activities and the Building Regulatory

Process

o Accommodating Provisions for the Elderly and Handicapped in

Building Regulations

o Implementation of Energy Conservation Building Regulations at

the State Level

o Application of Computers and Information Systems for Building

Regulation and Construction

o Energy Conservation, Solar Energy and the Built Environment

o Issues Concerning the Intent, Formulation and Economic Impact

of Regulations

o Metrication, Industrialized Building and Complex Structures

In addition, three other research papers covering Lighting, Tax

Shelters, Resource Zoning, and Land Use Planning are also included.

Key Words: Administrative procedures; buildings; building codes;

building regulations; construction; economic impacts;

environmental considerations; innovative practices;

regulatory research; standards development.

x
INTRODUCTION TO NBS/NCSBCS JOINT CONFERENCE

by

James G. Gross, Chief

Building Economics and Regulatory

Technology Division

Center for Building Technology

National Engineering Laboratory

National Bureau of Standards

Washington, D.C. 20234

It gives me pleasure to welcome you, on behalf of the National

Conference of States on Building Codes and Standards and the National

Bureau of Standards, to this Annual Conference on Research and Innovation

in the Building Regulatory Process. This is the third annual conference.

The first was held in Providence, Rhode Island, two years ago, September;

the second in Bozeman, Montana, last fall; and this one in Annapolis.

Proceedings from each of the first two have been published and have been

mailed to attendees and many other interested people. We will also publish the proceedings of this conference, and a copy will be sent to all

registered attendees.

The exchange during the conferences and the proceedings have proven

to be very valuable to people concerned with building regulations and the

regulatory process. Regulators have told us that the information received

has helped them do their job better. Industry has said it helps them

understand the building regulatory process and work with the people participating in that process. It has encouraged designers ,• architects and

engineers to participate in improving the process at the local level and

at the national level. Universities have used the first proceedings as required text for graduate courses and as reference material for professional practice courses. Researchers have found the results stimulating

and useful to them in their work. We increasingly see the papers cited

by others in the open literature.

I want to express appreciation to those that have made this possible.

First of all, to the authors who have prepared some 75 papers. Indeed,

there was a great deal of effort that went into each of these, and we all

owe them thanks for this effort. Also, we want to express our gratitude

to the moderators and others who have actively participated in each of the

conferences; to the Codes Administration Committee of the National Conference of States on Building Codes and Standards, who have advised on the

development of this conference; and to the staffs of the National Conference

of States on Building Codes and Standards and to NBS for their support and

assistance in putting it together. Particularly, I want to recognize

Pat Cooke, who has led the planning, has carried out the management for

each of the three conferences, and has edited the proceedings so ably.

1
The purpose of this conference remains the same as the first one. The principal purpose is to exchange information, particularly new ideas,

research results, and innovations; secondly, to provide a forum where

successes can be offered to others, where concepts can be tried and

questioned, and hopefully for stimulation of further research.

In these past two years the building regulatory community has made

much progress. We can point out many developments to show that there is | great progress taking place. The energy conservation standards, for

example, now are being applied in almost all States on a uniform technical

basis—that basis being ASHRAE 90. There are more uniform statewide regulatory programs, and there are more of these programs based upon model

codes. The training and certification programs that are under development

by NACA, obviously, are going to be greatly beneficial. The single most

impressive achievement, in my view, is the growing awareness and embracement of the concept of consensus. The one and two family dwelling code

is now being revised annually under a process which encourages participation by all representative interests. The National Conference of States

on Building Codes and Standards, this past year, adopted a firm and well

stated policy encouraging the use and development of consensus standards.

The Office of Management and Budget of the Federal Government has drafted

a circular which encourages the Federal Government to use consensus standards and Federal Government employees to participate in their development

The National Institute of Building Sciences has just released a policy

statement which states in part: "The Board of Directors of the National

Institute of Building Sciences (NIBS) passed a resolution endorsing the use of voluntary consensus standards by all levels of State and Federal

Government. Chairman of the Board David Miller said that the use of a single process will eliminate confusion to the benefit of government,

industry, and consumers at every level." I think this is extremely

important, as it will encourage many more people to actively participate

in the development of building regulations and the technical standards

upon which they are so heavily dependent.

There are several areas on the near horizon which will affect the

regulatory interests and the lives of the American public. I think our keynoter will cover most of them, but let me mention some of the areas:

a solar regulatory system, new earthquake provisions, regulatory guides

for building rehabilitation, and metrication will offer some new opportunities. NBS has a number of laboratory-based research efforts underway

which will lay the foundation for further application of the performance

concept both in development of criteria and test methods. These include

solar criteria and standards. A recent comprehensive NBS report on plumbing criteria is now available. There is work going on in development of

performance standards for foundations and excavation that will provide the

technical basis for a new ANSI Standard A56. The NBS is planning for

further revision of the Standard A58, "Design Loads for Buildings and

Other Structures in the Area of Seismic Design Provisions," and we are gaining in the development of reliable test methods on the performance

of materials so that more accurate prediction of the performance of materials over time will be improved. So there is much progress and many

opportunities before us.

2
Dr. James Wright was invited to give the keynote address here today, an invitation that he accepted with enthusiasm. As some of you know, he was involved with the development of the National Conference of States on Building Codes and Standards from the beginning. An active supporter, he

told me that up until the last few years he attended every annual conference. Dr. Wright, as a building researcher (first on a laboratory bench

basis, then as the Chief of the Building Research Division, then as Director of the Center for Building Technology, and as the Deputy Director of

the Institute for Applied Technology, and now Deputy Director of the new

NBS Engineering Laboratory) , has continually supported the work of this

conference. However, as frequently happens to people in high management

positions within government, he had his plans preempted and had to attend

another meeting. He sends his regrets and wishes the best for this conference and for the annual meeting of the National Conference of States on Building Codes and Standards. He requested Gene Rowland to give his

remarks. Gene is certainly not a stranger to most of you. However, there

may be some of you that are new to the National Conference of States on Building Codes and Standards and may not know Gene's background. Gene was

at the exploratory meeting in Wisconsin when the National Conference of

States on Building Codes and Standards was first discussed. At that time,

he was working for the State of Wisconsin as a Commissioner of the Wisconsin

Department of Labor and Industry. He was elected as the first president

of the National Conference of States on Building Codes and Standards. He

then left Wisconsin and came to the National Bureau of Standards, where he

became the first NCSBCS executive secretary. He has since moved on, and

is currently the Director of the Office of Engineering Standards at NBS.

Gene is active in many engineering standards organizations and many

organizations and committees dealing with metrication. Gene, please take

the podium.

3

KEYNOTE ADDRESS

A PERSPECTIVE ON NBS AND NCSBCS RESEARCH

AND ASSISTANCE TO THE BUILDING REGULATORY COMMUNITY

by

Gene A. Rowland, Director

Office of Engineering Standards

National Engineering Laboratory

National Bureau of Standards

Washington D.C. 20234

Introduction

It is a pleasure for me to keynote this conference because over

the last 10 years the relationship that most people did not expect

between NCSBCS and NBS has evolved. Many of you remember Doug Whitlock,

one of the leaders in the construction associations, had great reservations about where NCSBCS was going to go in its early days, and its

relationship with the Federal Government. I think this concern of his, even though he is deceased some years now, really was not necessary

because it was the intention of the National Bureau of Standards in its

original conception of working with the States through building regulations and related research to eventually spin-off from NCSBCS in a manner in which NCSBCS could be self-supporting and could really reflect

the basic ideas and concepts of the States. There are about four continuous members that are still strong participants in NCSBCS that made sure

that this was going to happen. People like Kern Church, Sutton Mullen,

Glen Swenson and Del Thurber, were some of the early people who kept

fighting to keep that flame going and helped me as Executive Secretary

until NCSBCS could become a viable self-supporting entity.

In 1976, the turn in relationships between NCSBCS and NBS really took

place, and now there is an Agreement of Understanding between the two

organizations for NBS to be responsive and continue the research necessary

to fill some of the voids in the regulatory system.

I am really wearing two hats this morning. It is interesting that one

cannot really get away from building codes and regulations. After I arrived

in Washington, Ed Rovner, the NCSBCS Maryland Delegate, and Secretary of the

Department of Economic and Community Development, appointed me as a public

member of the Advisory Commission in Maryland, where I still serve in assisting Bill Bryant in his work with the building regulatory area of Maryland,

as well as, supporting him in his activities with NCSBCS., So I would like to

say as a Marylander, "welcome," and also, as an NBS employee, "welcome."

5
Going through my old NCSBCS files, I came across a letter that

would be of interest to this group: it was dated March 29, 1971.

It was addressed to me at the time but it said, "I would like to commend

the National Bureau of Standards for the work done in providing a forum

whereby the States can come together and discuss codes and the ways of

achieving greater cooperation among themselves." He then goes on and

explains he has done something in his own State in bringing about uniformity

and a minimum State building code in housing, plumbing, electrical, and aironditioning. Then he concludes, "let me assure you of my deep interest and

support of the work being done by the members of the conference and the

National Bureau of Standards," signed Jimmy Carter, Governor of Georgia.

So, there was an early supporter then, and I think he still is a supporter

of the States working in the area of building regulations with the support

of the Federal Government. He then filed several later letters that I have

in the files reflecting continued support of this group, and now as President

of the U.S., I am sure it still stands as far as the Federal Government and

its relationship with the States.

The National Bureau of Standards has been in the building research

business since its founding. The Act which established the Bureau calls

for "determination of properties of building materials and structural elements

and encourage their standardization and effective use." It was because of

this long involvement in building research that NBS and NCSBCS established and

continue to enjoy a close working relationship. That relationship has matured

to the point where it would be appropriate to reflect on its past accomplishments

and its new roles.

We are very pleased with the significant progress that NCSBCS has made as

a recognized institution in our Nation's building community. As a research

organization, the Bureau needed an institution such as NCSBCS to convey its

research findings into the regulatory environment.

Origins of NCSBCS

NCSBCS had its beginnings in Wisconsin as the result of a meeting at NBS

in the spring of 1967. The first annual meeting of NCSBCS was held at NBS on May 6-7, 1968. This meeting was for the purpose of establishing objectives,

approving the proposed organizational structure, electing officers and committee

members, and outlining NCSBCS' initial programmatic directions.

In 1969 the first organizational constitution and by-laws were approved by

j 36 States at NCSBCS' second annual meeting, in Hollywood Beach, Florida. The

next year all 50 States, the District of Columbia, and two territories through

their respective governors' offices endorsed the concept and scope of NCSBCS

and named delegates to the body. While depicted as a forum for the discussion

and resolution of problems, NCSBCS in the final analysis was designed to counter

the proliferation of building code jurisdictions with their varying requirements.

These jurisdictions numbered at least 5,000 with a potential of thousands more.

6
Enhancing the climate for new technology through the building

regulatory system has been the intent of the Bureau's service to NCSBCS.

This service enables the States to describe more uniformly their regulatory requirements and to more accurately evaluate new construction materials

and techniques, paving the way for the natural evolution of a market area sufficiently large and rewarding to stimulate industrial innovation. In

turn, the consumer's choice range is widened. It is the consumer who is

the ultimate beneficiary of an improved regulatory climate.

LEAP

The Laboratory Evaluation and Accreditation Program had as its backdrop

a trend toward greater industrialization through State-level certification

of manufactured buildings and toward interstate reciprocity in the certification of buildings and components. Assurance to the building official of

the caliber of the laboratories and agencies performing the evaluating and

compliance assurance functions for manufactured buildings was subject to some question, however. A way of assessing the capabilities of these

organizations on a uniform, interstate basis was needed if evaluations

made by one State were to be confidently accepted by another.

NCSBCS, in 1970, asked the Bureau to develop a program to accredit

laboratories. The need for such a program was recognized, and NBS initiated

LEAP in January 1971, to develop the criteria by which laboratories could

be evaluated against ANSI Standard A119.1, "Standard for Mobile Homes."

LEAP produced four research reports which NCSBCS and NBS turned over

to ASTM for processing as national consensus standards. Two ASTM committees,

E32, "Criteria for Evaluating Agencies Concerned with Systems Analysis, Testing,

and/or Compliance Assurance of Manufactured Buildings," and E36, "Criteria for

the Evaluation of Testing and/or Inspection Agencies," were established to

process the documents. The E32 Committee produced a standard which in time

(1975) was to win consensus agreement—ASTM E541, "Criteria for Evaluating

Agencies Engaged in Systems Analysis and Compliance Assurance for Manufactured

Buildings." The E36 Committee, meanwhile, pressed ahead with the development of

generic criteria for the evaluation of testing laboratories.

Using LEAP evaluation criteria and methodology, pilot efforts were

undertaken by the State of Massachusetts to demonstrate the benefits of a LEAP approach to building regulation. The results of these demonstrations,

along with the on-going deliberations of the ASTM committees, were expected

to advance the industrialization of the building process. This project also

laid the groundwork for the Department of Commerce's Naval Facilities Engineering

Command (NAVLAP) Program. NAVLAP is a_jvoluntary program intended to serve the

needs of industry, consumers, government and others by accrediting the Nation's

testing laboratories.

7
CES

The Coordinated Evaluation System (CES) project was directed toward

the fostering of regional or national markets for manufactured buildings

through consistency of regulatory procedures and documentation.

CES was undertaken in response to two requests, one from NCSBCS and

another from the Executive Office of the President. Its purpose was to

develop, in conjunction with the States, consistent informational documents

as a means of facilitating the acceptance of new technology.

Among the project's products was a four-volume preliminary report

entitled, Model Documents for the Evaluation, Approval and Inspection of

Manufactured Building and the final report in NBS Building Science Series 87!

I This and other output from the project were endorsed by NCSBCS and

adopted for use by several States and a number of independent laboratories.

Model State Legislation

The National Conference of States on Building Codes and Standards and

NBS agreed that model legislation in certain building-related areas was

needed. NCSBCS and NBS began the development of the models out of an aware- i ness of the multiplicity of proposals before State legislatures and of the

need to upgrade building code programs. Kern Church played a very active

role in this area and credit should be given to him for completion of this

work.

i NBS formed four balanced working groups to develop as many legislative

models —a Manufactured Building Act, Mobile Home Act, State Building Code

Act, and a Registration of Code Enforcement Officers Act. These groups were ! comprised of representatives of industry, States, local governments, model

codes, the Federal Government and the general public. The models were

endorsed by NCSBCS and all but the Registration of Code Enforcement Officers

Act were included in the 1974 Suggested State Legislation package of the

Council of State Governments, the Council believing that additional research

was needed on the subject of registration. Several States have used the mode!

in developing their own legislation.

i NBS' work in support of NCSBCS has drawn it close to —but not into—the arena of building regulation. Building regulation is the function of the

States and their political subdivisions.

Mobile Homes

Manufactured housing, including most notably the mobile home, became an

NBS research subject of major importance in the 1970' s. Millions of Americans were turning to this form of shelter. By 1974 mobile homes were accounting

for 40 percent of all new housing in the United States irrespective of cost.

8
The effectiveness of mobile homes in providing safe, adequate, and

low-cost shelter was questioned, however, by consumer groups, members of

Congress, and others. In a project sponsored by HUD, building researchers

sought to identify the performance problems of mobile homes and to link

these with the provisions of the ANSI A119.1 Standard for Mobile Homes.

More than 30,000 problems were identified in the 4105 mobile homes evaluated

during the study. Most of these units were purchased by HUD for families

made homeless by the 1972 Hurricane Agnes disaster.

During this period, as many as seven mobile home research projects were in progress at one time. Many of these projects were in support of

HUD's Congressional mandate to produce and implement a Federal mobile home

construction standard. This, of course, led to a landmark precedent for

State-Federal relations in the building regulatory field when NCSBCS

proposed its concept for interstate monitoring teams to evaluate enforcement

of the Federal standard for HUD.

Energy Conservation

The criteria for energy conservation in new buildings, developed by

the National Bureau of Standards at the request of the National Conference

of States on Building Codes and Standards in February 1974, were based on performance requirements for the components of a building and its mechanical

and electrical systems, because that approach appeared to be the practical

limit in the application of the performance concept at that time. Using

the NBS document as a framework, the American Society of Heating, Refrigeration,

and Air-Conditioning Engineers subsequently developed ASHRAE Standard 90-75.

This document served as an interim standard which could be adopted by the

States while the guidelines were further developed into a national consensus

standard.

Under DoE sponsorship, NCSBCS contracted with the three model building

code organizations - BOCA, ICBO, and SBCC - to develop a Model Energy Conservation Code based on the technical provisions of ASHRAE 90-75. This project

was successfully completed with the publication of the "Code for Energy

Conservation in New Building Construction" in December 1977. This code has

been since adopted by a number of States and other local jurisdictions.

Metric Conversion Activities

In recent years, the United States has taken two significant steps in

bringing about the change to the modern metric system — or SI, the international system of units. The first was the signing of the U.S. Metric Conversion

Act of 1975 (Public Law 94-168) in December 1975, and more recently in March

1978, the appointment of the U.S. Metric Board.

In February 1975, the NBS Center for Building Technology was asked to

assist and serve as Secretariat to the Construction Codes and Standards Sector

of the American National Metric Council (ANMC) . This request was initiated

by NCSBCS, whose National Chairman at the time represented the States in the

ANMC as Chairman of its Construction Codes and Standards Sector.

9
The significance of metrication, dimensional coordination and the

international exchange of technical information was also recognized by

NBS. In 1975 steps were taken at the Center for Building Technology to

build a metric competence which would assist the construction community

during its transition to metric measurement with suitable and correct

technical information. During this period seven major publications have bd

developed and a variety of general and technical papers published along

with assistance and technical advisory service to ANMC as requested by

NCSBCS.

- Joint Research Conferences

NBS/NCSBCS Joint Conferences on Research and Innovation have been

held at the Providence, Rhode Island and Bozeman, Montana Annual Meetings

of NCSBCS. We feel that these sessions contribute to a better understandin

of the problems and issues that prevail in the building regulatory communit

This is even more significant since regulation and more specifically regula

tory reform are current national issues which attract much attention. Thes

types of conferences and the associated publications provide the much neede

visibility to this important influence on the evaluation of building practi

Memorandum of Understanding

With the full support of the Bureau, NCSBCS grew in both status and

financial resources, achieving a maturity which suggested that the NBS

secretariat role need not be extended beyond 1976. A close association

with NCSBCS was expected to continue, however, with the Bureau providing

such technical responses as are within the scope of the NBS mission. The

extent of the relationship was formalized in a Memorandum of Understanding

j between the two parties in January of this year.

Reogranization of NBS

The first major reorganization of NBS in more than a decade was comple

in early 1978. The new structure, however, will not change our relationshii

with NCSBCS or the building community in general since the Center for Build

Technology was affected very little. The Bureau is now organized along fun/

tional lines; technical competencies that had grown up over the years in

various organizational units have been consolidated; and the number of form;

organizational units has been reduced.

CBT is now a component of the new National Engineering Laboratory (NEL]

NEL is made up of seven centers drawing on most of the units formerly locat<

in the old Institute for Applied Technology plus some parts of the former i Institute for Basic Standards. Within this new structure, NEL will apply

technology to the solution of a broad range of national problems.

10
Ongoing Research Activities

1. The National Earthquake Hazards Reduction Program

The purpose of the National Earthquake Hazards Reduction Program —

in accordance with the Earthquake Hazards Reduction Act of 1977 — is to

reduce the risks of life and property from future earthquakes in the

United States.

The Act (Public Law 95-124) directs the President .... to establish

and maintain an effective earthquake hazards reduction program." To

implement such a program, the President is to develop a plan, which shall

"set year-by-year targets through at least 1980, and shall specify the roles

for Federal agencies and recommend appropriate roles for State and local

units of government, individuals, and private organizations."

To assist State and local governments, industry, and the public in

developing construction standards, criteria, and practices, the National

Bureau of Standards will work with the Department of Housing and Urban

Development, other Federal agencies (particularly those performing research),

NCSBCS, NIBS, professional organizations, model code groups, and State and

local building departments. The Bureau will assist and cooperate with these

groups in continuing the development, evaluation, and improvement of model

seismic design provisions suitable for incorporation into local codes and

practices. Incorporation of these seismic design provisions into local codes

is, of course, voluntary, but the provisions must be flexible and give con- sideration to costs and benefits, regional variation of seismic hazard, and

adaptation to local conditions. They must also be adequately tested. This

will be a continuing responsibility of the Bureau.

2 . Solar- Regulatory Studies

NBS, DoE, and HUD have been exploring the best type of regulatory system to

be developed to stimulate the use of solar energy. NCSBCS, along with other NBS

contractors, has participated in a six month study of existing solar provisions, issues and concerns in developing a solar regulatory system, research

needed, etc. As a result of this study and other efforts oriented toward

this solar regulatory need, NCSBCS is expected to play a major role in

developing solar provisions and planning for the implementation and training

phase of the program.

3. Development of a Building Rehabilitation Standard

Increasing concern is being expressed throughout the United States with

regard to the need for more fully utilizing our existing building stock.

Presently NBS, NCSBCS, and a number of other organizations are working with

the State of Massachusetts to develop interim provisions for alterations and

additions to existing buildings which can be incorporated into the State

Building Code. That project also aims to develop technical guides for regulatory application of the code provisions and seeks to come up with an improved

regulatory management process for existing buildings.

11
The progress and direction of these efforts to develop building code

provisions will be discussed October 30, 1978, at a conference to be held

at the National Bureau of Standards.

It is expected that interim building code provisions of the type being

explored by these groups will establish a process which the design professional, building owner, and State and local enforcement officials can use in

evaluating proposed changes to existing buildings. The interim code provisions

could later serve as a pattern for national application.

Future Research

The current state of knowledge for application of the performance concept

is not sufficient for complete coverage of all aspects of building construction and regulation. Traditionally, performance levels are implicit in

prescriptive specifications which describe acceptable materials and designs.

The basis for the stated limits for prescriptive criteria has generally been

derived from actual user requirements. There are other areas where little

research has been done and the Information at hand is so materials-oriented

that performance criteria, flexible enough to allow new materials, have not

yet been generated. In areas where the state-of-the-art does not allow

realistic presentation of performance criteria, reliance is placed on existing

standards. These, then, are not considered complete, and as the state-of-theart of the performance concept advances, modifications or additions to these

criteria will need to be made. We solicit the help of NCSBCS and others in

identifying the needs to further refine the performance concept.

Conclusion

What does the future hold for us at NBS in working relations to you?

I would say since 1976, the Bureau's new partnership and with Jim Gross'

direct concern for your needs, we will continually support your identified

regulatory research goals. In meetings like this, we hope we can assemble

the state-of-the-art information that you can use today, while NBS moves

ahead in advancing research to tomorrow's needs. I thank you for the

opportunity of being here today. As Jim has said, the new 0MB Circular

will be a directive to all Federal agencies, DoE, HUD, and the rest of us,

to fully participate in the voluntary standards system and where there is

due process to get involved and support both administratively and by individual

participation. We think NCSBCS has led the field directly toward consensus.

I hope Kern Church will have a chance to talk about the new voluntary standards

policy which we at the Bureau have been working indirectly with and are endorsing

This is a new way of setting standards policy for the private sector, while a directive of 0MB to the Federal Government to participate in the voluntary

sector satisfies a need on the other side. We think there is a good partnership now evolving towards meeting our national standards needs.

Thank you.

12
A DEFENSIBLE TECHNIQUE FOR

DETERMINING CODE EQUIVALENCY IN BUILDINGS*

by

Geoffrey N. Berlin

National Fire Protection Association

Boston, Massachusetts 02210

New materials, construction methods, and contents are rapidly changing

the nature and magnitude of the fire problem in the United States. These

changes often provide a situation that is not covered explicitly in existing

codes or that requires amendments to allow their installation. In some

cases, these changes in construction or materials provide a safer environment. It is desirable to take advantage of these changes and to encourage

similar advances within the framework of the codes. An important step in

that direction is the development of rigorous procedures for objectively

evaluating the equivalency of such changes to the accepted standards.

A systematic procedure for measuring the hazards of building fires has

been developed as part of a project funded by the Department of Housing and

Urban Development. This procedure, called the "Building Firesafety Model"

incorporates data derived from actual fire tests to describe the rate of fire

growth, the likelihood of entrapment, and estimates of structural damage.

It is expected that this tool will assist government officials, architects

and engineers in evaluating the design (or rehabilitation) of buildings with

regard to the level of firesafety. Such a tool could potentially be used to

evaluate the comparative levels of firesafety implied by compliance with codes

and to identify voids in fire test data. In addition, the model can be used

for evaluating the allocation of fire service resources and pre-fire tactical

planning.

Key Words: Building fires; equivalency; evaluation; firesafety; models;

research; standards; systematic procedure.

*This research was supported by the U.S. Department of Housing and

Urban Development, Office of Policy Development and Research,

Washington, D.C. (Project H-2316)

.

13
INTRODUCTION

Building codes are intended to provide a legal basis for ensuring

a satisfactory level of safety for the general public. Firesafety

requirements constitute a major part of most building codes in effect

today throughout the U. S. These requirements are based, in a large

part, on the best judgement of many technical experts regarding factors

that are intended to reduce injury and to protect property.

Despite the fact that these codes are frequently updated, new

materials, construction methods, and interior finishes often provide a situation that is not covered explicitly in such codes. In some cases,

these changes in construction or materials provide a safer environment

or at least seem to provide the same level of safety at less cost. It

is desirable to identify those changes that improve the level of firesafety or reduce the cost of construction.

To enable the introduction of desirable changes within the framework of the existing codes, a practice of establishing code "equivalency"

has been used. When faced with situations not explicitly covered in the

code, local officials determine whether the proposed situation meets or exceeds the level of safety implied by the code. These officials use

their professional judgement both to interpret the implications of the

various sections of the code and to establish the relative performance

of the new materials or design based upon the best available data.

The practice of code equivalency can lead to numerous problems

relating to the efficiency and equity of such procedures. The process

of granting variances often lacks uniformity even within the same local

area. Further, the sparsity of the data precludes rigorous technical

justification. This situation presents a difficult position for the

code official who is legally responsible for enforcing the local codes

and yet, must be responsible to the needs of the public for housing at a reasonable cost.

This paper describes a systematic procedure for measuring hazards

of building fires. This procedure, called the "Building Firesafety

Model" describes the rate of fire growth, the likelihood of entrapment,

and the extent of structural damage. The modeling approach provides a systematic, flexible mechanism for quantifying firesafety objectives

and for comparing the levels of firesafety in alternative building

designs. Furthermore, the model incorporates actual fire test data

instead of professional judgement as the primary source of input information. In addition, fire incident data can be used for partial

validation of the results.

BUILDING FIRESAFETY MODEL 1 ! The Building Firesafety Model is a state transition formulation

of fire behavior,. The model describes the temporal and spatial

characteristics of fire development and the associated combustion

products. The states of the Building Firesafety Model correspond to critical stages in fire development and are termed fire "realms."

Starting with a preburning condition, the realms describe the progressive stages qf fire growth within the room of origin and the

extension throughout the dwelling. Realms are defined by several

14
measurable criteria such as flame height, heat release rate and upper room air temperature. Information about the severity of the fire, the

rate that combustion products are generated, and the opportunities for

suppression are considered when defining the realms.

Exhibit 1 represents current definitions for each realm in a singlefamily residence. Higher order realms are used to represent significant

fire growth both in severity and spatially. As indicated by the realm

definitions, extension of the fire is often considered at least as important as the fire development within the room of origin. However, the means of reaching a realm is no longer considered once it is reached.

Fire development does not necessarily involve passing through all con- secutive realms since transitions can represent both fire recession and

growth. Furthermore, some rapidly growing fires such as explosions can

in effect pass through several realms so quickly that is is inappropriate

to isolate these intermediate stages of fire behavior.

Two types of statistical distributions are required to describe the

transition of fire from one realm to another as illustrated in Figure 1. A discrete distribution indicates the conditional probability of transition from a particular realm to each of the other realms. A continuous

distribution indicates the variation in the time a realm exists. Since

the nature of the transition and time in a realm are usually interdependent } the characteristics of the temporal distributions are provided for each

possible transition.

The characteristics of these statistical distributions can be based

entirely on fire test data. Data from tests involving single items and

full scale tests were analyzed to determine the transition descriptors

illustrated in Table 1 for a smoldering couch fire in a standard size

living room. For example, from Realm 3, there is a 75% chance, of growth

to Realm 4 and a 25% chance of recession to Realm 2. Also based on these

data, normal and uniform distributions were selected to describe the

temporal transitions between Realms 3 and 4, and between Realms 3 and 2,

respectively. The transition descriptors are based on limited data from

a variety of sources (Appendix A) . While the process for obtaining the

descriptors is well established, the values may change as more data

become available.

Step functions are used to model the combined hazards due to the

accumulation of one or more of the combustion products. The hazards

created by the accumulation of the combustion products are described

as causing either slight, moderate or extreme stress. The formation

of stress levels reflects the uncertainty regarding the effects of the

combustion products and the importance of perceived as well as actual

hazards. A step function describing the time for the progression from

one level to the next higher stress level depends on the type of material

burning during each realm. Separate functions are used to describe the

stress variation in different locations and the effect of features that

influence the spread of the combustion products. Figure 2 illustrates

a few step functions for two rooms in a typical single-family dwelling.

This figure indicates that the combustion products will represent an extreme stress in the bedroom after 60 minutes even though the fire has

not grown beyond Realm 2.

15
EXHIBIT 1

Realm Definitions for Single-Family Dwellings*

REALM 1 : Preburning . Situations prior to ignition and following

termination of a fire are represented by this realm.

REALM 2: Sustained burning . The fuel exhibits self-sustained

burning which includes smoldering.

REALM 3: Vigorous burning . The heat release rate exceeds 2kW.

It is expected that the flame height may be approximately

25cm and that the upper room air temperature has increased by 15°C above ambient temperature.

REALM 4 : Interactive burning . The upper room air temperature

exceeds 150°C. It is expected that the flame height may

be approximately 120cm, and that the heat release rate may

exceed 50kW.

REALM 5: Remote burning . The upper room air temperature exceeds

500°C. It is expected that the external heat flux re- turning to the fuel surface exceeds 5kW/m^. This realm

also includes secondary ignitions beyond the room of fire

origin with the change in upper room air temperature in

this area less than 15°C.

REALM 6: Room involvement . There is flame involvement beyond the room of fire origin with the change in upper room air

temperature in this area greater than 15°C.

REALM 7: Dwelling involvement . There is involvement beyond the room

of origin with the upper room air temperature exceeding

150°C.

*These definitions are the result of discussions involving Geoffrey

Berlin, Dave Russell and Robert Thompson of NFPA, John deRis of

Factory Mutual, and Rexford Wilson of Firepro.

16
Table 1

TRANSITION DESCRIPTORS*

Fire Type : Smoldering Couch Fire with Cotton Cushions

Dwelling : Single- Family

Room of Origin : Living Room

Realm Transitions

FROM TO

Transition

Probabilities

Temporal Distributions

Type Parameter values (mi n.)

2

2

2

3

3

3

4

4

5

4

5

6

KEY

M= mean a= standard deviation a= lower bound

8= upper bound

"See Appendix A for references,

.33

.67

.25

.75

.25

.75

.08

.76

.16

1.00

Uniform a =2 8=5

Beta u =1.95 o-.71

Uniform a =1 0=2

Normal y =7.58 a =3. 32

Uniform a =1-5 g=9

Beta =204 c »1.65

Uniform a =0.6 g=6.0

Log-normal

.w»5.18 (7=4.18

Log-normal

u=1.48 a =2.94

Log- normal

H-1.48 a=2.94

17
Figure 1

Realm Transition Descriptors

18
Figure 2

Stress Level Step Functions

f Single-Family Dwelling

f Fire Originating in Living Room

t Smoldering Couch Fire

Realm 5

Realm 2

Step Functions for

A Bedroom

10 20 30 40 50 60 70 80

Time (in minutes)

Realm 5

r

Realm 2

r

10 20 30 40 50 60 70

Time (in minutes)

80

Step Functions for

Living Room

19
A measure of escape potential is used to describe one effect of the

combustion products (Berlin, 1978). For this project, escape potential

is defined in terms of the routes available from any room to a location

of safety. A tunnel, another fire compartment, or the outdoors can serve

as a location of safety depending on the type of dwelling and mobility of

the occupants. This technique is used to describe the susceptibility of

routes to blockage by fire. Once the stress reaches or exceeds some predetermined level, all escape routes through or from this location are

eliminated. This level may be based on information describing when the

level of combustion products represents an untenable condition or when

the occupants may perceive a room to be impassable.

MEASURABLE DESCRIPTORS OF FIRESAFETY

The model provides a tool for assessing the expected risks asso- ciated with building fires. Exhibit 2 identifies five possible measures

for describing various aspects of firesafety. While this list is not

exhaustive, it does indicate a format for presenting firesafety perfor- mance criteria. Four of these measures describe aspects of escape

potential and the fifth describes the extent of structural damage. The measures that are included on future lists will identify those aspects

of escape and property damage that are considered to be important in

assessing the absolute level of firesafety. While these measures are the

technical metrics of firesafety, the particular values for I, P, T, etc.

in such measures indicate the politically accepted level of risk.

Three single- family dwellings were analyzed to obtain an indication

of the values for each of the five firesafety measures with respect to a smoldering couch fire in the living room. These designs which meet the

Minimum Property Standards for residential occupancies are presented in

Figure 3. While the plans are in the same price range ($18,000-$26,000)

and contain the same number of rooms and area, there are major differences

in the room layout which effect smoke movement and the potential for escape

in case of a living room fire.

Layout 1 is designed with bedrooms off a long hall which is the only

area directly contiguous with the living room. Layout 2, however, has no separation between the living room and the dining area, creating a large

contiguous area. The placement of the bedrooms is such that the two of

them are as far from the living room as possible. Another difference

between the two designs is the existence of an exit through the bathroom

in Layout 2. A design which allows more protection of sleeping occupants

is a two-story or split level arrangement where the living areas are

located on the upper level and the sleeping areas are below. This design,

while not generally practiced, provides the maximum separation when the

stress level of an area is used as an indicator of entrapment. This occurs because the toxic products produced tend to be hotter than the ambient

temperature in the house and consequently rise. Also, even in small

structures, the stack effect causes the general flow to be toward the

second story. The addition of a second stairway from the upper portion

of the house can make this design much safer. A possible floor plan for

such a structure is shown in Layout 3, Figure 4.

20
EXHIBIT 2

Initial List of Firesafety Objectives

1. The time in the initial stage of fire growth shall be greater

than I.

2. The probability of growth beyond Realm 3 shall be less than P.

3. It shall take longer than T minutes before entrapment occurs in

any room other than the room of fire origin.

4. Fires shall not exceed more than 30% of the time an occupant's

suppression capability within S minutes.

5. The extent of structural damage shall be less than X percent of

its dwelling value.

21
Figure 3

Alternative Single-Family Floor Plans

cl

Bedroom 3 Bedroom 2/V

Bedroom 1

r

Dining Kitchen Bathroon

2.

Living Room

LAYOUT 1

22
r

LIVING ROOM

KITCHEN

SECOND FLOOR

BATH

CLOSET

CL

BEDROOM

BEDROOM

CL CL

BEDROOM

FIRST FLOOR

Figure 4

Alternate Design - 3 Bedroom Cape

23
Exhibit 3 presents the results of 500 simulated fires in each of

these three dwellings. The transition descriptors in Table 1 were used

for all three dwellings and only the stress level step functions and

floor plans were changed.

If these dwellings were constructed in accordance with the code,

then the values of the five firesafety measures indicate the firesafety

levels embodied in the code. The possible form of the firesafety perfor- mance criteria given in Exhibit 3 is used to illustrate how the levels of

firesafety embodied in the existing code might be determined. It may be

necessary to analyze many dwellings before expected values and accepted

ranges can be established for each measure.

The smoldering couch fire in the living room represents a single

fire situation. The overall assessment of firesafety should be based

on a number of fire situations reflecting other fire types, weather

conditions, and perhaps, the expected effectiveness of available

suppression systems.

Once specific firesafety objectives have been established for each

fire situation and dwelling type, these objectives can be used to ensure

at least a minimal level of firesafety, while at the same time, allow

the architect and builder considerable freedom in how the performance

requirements are achieved. However, the type of prescriptive guidelines

that are now used in the codes can remain available to those who do not

wish to exercise this freedom.

SUMMARY

This application of the Building Firesafety Model shows how the

model can be used to develop performance measures of firesafety and

to describe the variation in firesafety for different room configurations.

While the input values are based on very sparse data, the application

illustrates an approach to objectively describing firesafety. To increase

confidence in the results, a refined model of smoke movement in singlefamily dwellings and additional full-scale testing are required.

24
EXHIBIT 3

Comparison of Alternative Single-Family Building Designs

for the Protection of Sleeping Occupants

Fire Type : Smoldering Couch Fire Room of Origin: Living Room

Measure Description

A - Percentage of total fire duration that at least one directed escape route is available from the bedrooms,

B - Time when entrapment in any bedroom occurs with a probability of (0.33).

C - Average time before fires grow beyond an occupant's

suppression capability. (Time to reach Realm 4.)

D - Percentage of fires that have not grown beyond an occupant's suppression capability in ten minutes.

(Growth beyond Realm 3.)

E - Estimated structural fire damage.

Design Description A B C D E Total Val

Ranch Layout 1 76.2% 32 min. 12.4 min. 77% $11,642 $20,000

Ranch Layout 2 77.2 34 12.8 8C 11,985 20,000

Cape Layout 3 78.2 35 12.4 80 16,516 27,500

25
Appendix A

TRANSITION DESCRIPTORS

The transition descriptors are based on a subjective evaluation of

fire test data from numerous sources and of actual response observation.

Alpert, R.L., Modat, A.T., Newman, J.S., The Third Full-Scale Bedroom

Test of the Home Fire Project , Vol. 1 - Test Description and

Experimental Data, Factory Mutual Research Corporation,

Norwood, MA, 1975.

Bruce, H.D., Experimental Dwelling Room Fires , U. S. Forest Products

Laboratory, U. S. Department of the Interior, Report No. 9141,

Madison, WI, 1959.

Budnick, Edward, Fire Spread Along a Mobile Home Corridor , (NBSIR76-102) National Bureau of Standards, U. S. Department of Commerce,

Washington, DC, 1976.

Budnick, personal communication, 1977.

Croce, P. A., Emmons, A.E., A Study of Room Fire Development: The

Large-Scale Bedroom Fire Test , (FMRC Serial No. 210112), Factory

Mutual Research Corp., Norwood, MA, 1974.

Fang , J . B .

, Fire Buildup in a Room and the Role of the Interior Finish

Materials , NBS Technical Note 879, National Bureau of Standards,

U. S. Department of Commerce, Washington, DC, 1975.

Hogg, J.M., A Model of Fire Spread , Fire Research Report, Home Office

Scientific Advisory Branch Report, No. 2/71, London, England, 1971.

Lee, B.T., Parker, W.J., Naval Shipboard Fire Risk Criteria - Berthing

Compartment Fire Study and Fire Performance Guidelines, (NBSIR-77-

1072), National Bureau of Standards, U. S. Department of Commerce,

Washington, DC, 1976.

Vodvarka, F.J., Waterman, T.E., Fire Behavior, Ignition to Flashover,

I IT Research Institute, Chicago, IL, 1975.

26
REFERENCES

Berlin, G. N., "The Use of Directed Routes for Assessing Escape Potential,"

Fire Technology , Vol. 14, 1978.

27

THE LIABILITY OF MUNICIPALITIES AND MUNICIPAL OFFICIALS

FOR NEGLIGENCE IN THE REGULATION OF BUILDINGS

by

Vincent Brannigan, J.D.

University of Maryland

College Park, Maryland 20740

Building and fire codes and inspections have spawned lawsuits

charging both cities and individuals with negligence. This paper

explores the development of municipal liability, the elements of a negligence action, and specific defenses and immunities which are available to a city and individual. Special attention will be given

to high risk activities of municipalities.

Key Words: Duty; liability; municipal corporations, negligence; sovere

immunity; tort.

29
In recent years, there has been a tremendous expansion in the

number of legal actions filed against municipal officers and municipalities, which attempt to hold officers and cities liable for their

acts and omissions which result in death of injury to others. This

paper will explore the theories on which these actions are based, and

the probable course of future decisions in this field.

It must be emphasized that, under the American legal system, it

is possible for different areas of the country to have widely varying

laws and judicial decisions, particularly on a topic such as municipal

liability. This forces general comments rather than specific advice.

However, the trend of municipal liability tends to move in the same direction all over the country; it simply moves faster in some areas

than in others.

Any analysis of the liability of municipalities must start with

the theory of sovereign immunity. This doctrine derives from the concept that the King of England could not be sued in the English courts

as a matter of law. The basis for this decision is that the Sovereign

may not be brought before the courts he created without his express

consent. The original colonies imported this doctrine from England.

Under the federal system in the United States, each of the states is

a sovereign and has all the attributes of sovereignty except those

which it has given up to the Federal Government, such as the power to

print money. This sovereign power means that no state may be sued in

its own court without its consent. When the Federal Government was

established, jurisdiction over cases between states and citizens of

another state was given to the Federal Courts in the U. S. Constitution.

Controversy over allowing a state to be sued without its consent led

to the 11th Amendment to the Constitution, withdrawing such jurisdiction.

Municipal corporations are creatures of state power. As such,

there is a split among the states in how they are treated. In some

states, they were considered arms of the state government and are covered by sovereign immunity. In other states, they are considered

independent entities who are liable to be sued just as any other cor- poration. In early cases, the courts were unwilling to expose the

municipalities to liability so they developed a rule known as "Governmental Immunity". This rule dates from the case of "Russel vs Men of

Devon" in England in 1788. There, the court held that public policy

required that the assets of the municipality be held for the municipal

purpose and were not available to a private party to satisfy a judgment.

This rule gained wide acceptance in the United States. However, since

this was a "judge made" rule, it is possible for courts to alter it if

the situation changes. In fact, as cities began providing more and more services to the citizens, the courts saw a need to change the doctrine, introducing expanded liability in certain areas. The first such

change is the distinction between "governmental" and "proprietary"

activities of the municipality. Since a municipal corporation both

functioned as an arm of the state government and carried on activities

30
for the benefit of its inhabitants which were similar to private enterprise, it was thought unreasonable to cover profit-making activities

with the umbrella of immunity, since, like any other profitable operation, the prices could be raised to cover any losses. Courts began

dividing activities into the proprietary and governmental categories.

Some of the classifications were reasonable; a police force was governmental, a warehouse was proprietary. Some activities often defied ra- tional classification. Highway mainentance, for example, was considered

proprietary and fire fighting governmental. Garbage collection has been

classified both ways. This sort of division, while "logical" often led

to absurd conclusions. A pedestrian, injured by a drunken city bus

driver, could recover damages, while one injured by a drunken fire truck

driver could not. (2)

An ultimate absurdity occurred in a case where a telephone repairman was electrocuted while climbing a city power pole. The pole carried

two sets of inadequately insulated wires, DC street lighting current, a governmental function and AC house current, a proprietary function. The

court determined that he had been electrocuted by the AC current, and

therefore, the city was liable. (3)

In response, the courts focused on the actual negligent act itself,

rather than the function that the individual was performing. These

courts reasoned that the concept of immunity is designed to protect the

essential operation of government, rather than its finances. These

courts adopted, for the "governmental" functions, a devision between

those acts which required the individull to do a specific task without

exercising individual judgment—referred to as "ministerial acts", and

those which required the individual to exercise the independent judgment

which is the heart of governmental action—referred to as "discretionary

acts". These courts have held the city subject to suit for ministerial

acts but not for discretionary acts. The most common area for litigation is the difference between policy decisions (discretionary) and

operative activities (ministerial). For example, if the city decides

that all fire marshalls must pass the police academy before being issued

a weapon, that would be a discretionary act. Checking that a particular

fire marshal has passed the police academy would be a ministerial act.

Therefore, a subordinate official would violate a ministerial duty if he

gave out a weapon to an officer who had not passed the policy academy.

There seems to be a steady trend toward classifying more and more acts

as ministerial rather than discretionary though this trend seems most

pronounced in those areas in which the individual officer is being sued

instead of the minicipality

.

The decision to prosecute the violator of a building code is a discretionary act. However, the classification of the building inspection itself depends on whether the inspector has been delegated the

authority to permit exceptions or simply enforce it as written.

Once it has been determined that the city can be sued, the plaintiff must prove that the city is liable to him, in order to collect

damages. Cities may be sued for a variety of reasons, e.g., contract

disputes, violation of federal law or common law torts. A tort is a

31
civil wrong in which a person violates a legally protected right of another. Torts are broadly classified into intentional and negligent

torts. Most actions against cities are brought as negligence actions.

A negligence action has the following characteristics:

1. An identifiable defendant commits an act or omission,

2. which violates a standard of care,

3. and "causes" injury,

4. to someone to whom the defendant owes a duty.

The first characteristic defines who can be sued. For our purpose, the alternatives are a) an individual, b) the city, as the employer

of the individual, c) the city in its own right, and d) all of the above.

The second element, standard of care, determines whether what the

defendant did was "negligent". In most negligence actions, the standard

of care is that which a reasonable man would do under the circumstances.

When the defendant is an expert or holds an expert position, he may be

required to act as a reasonable expert would act. For example, would a reasonable fire inspector actually open all exit doors to make sure they are clear? If a reasonable fire inspector would, then a failure to do

so violates the standard of care.

The third element, "causation", defines the train of events which

lead from the negligence (i.e., the violation of the standard of care)

to the injury. Defining or proving causation is often very difficult.

For example, does the failure to inspect a fire trap "cause" the death

of those who die in a subsequent fire? What if you inspect, but do not

notice the fire trap, or notice and fail to follow up?

The fourth element is that the injury must be to one to whom the

defendant owes a duty to act in a non-negligent manner. This concept

of "duty" is at the heart of all negligence actions. Duty may be found

in a statute, public policy or simple past custom. For example, normally a building owner owes no duty to the fire department personnel who

respond to a fire, if the fire involves only the normal hazards of

fire fighting. In the Moch Case, the private water company which had

contracted to supply fire-fighting water to a city was held to be under

no duty to an individual property owner to provide water, even though

the water company's failure to use reasonable care led to a loss of

water and distruction of the property. The water company's duty was

solely to the city. (4)

Many courts now determine the liability of a municipality by

examining whether the city owes the plaintiff a "special duty" to use reasonable care beyond that owed to the public in general. (5) Note the

shift: sovereign immunity concentrates on the status of the defendant,

while governmental proprietary and ministerial discretionary tests con- centrate on the act which caused injury. A special duty analysis con- centrates on the plaintiff. Usually a "special duty" analysis is only

used when the act is governmental in nature, since the city is usually

liable for any proprietary negligence. The general rule is that a duty

owed to all the public in general creates no special duty to any parti32
cular person which will support an action in negligence. In most cities,

this means that the duty to enforce the law, which is owed to all the

public, will not support an action for negligent performance. In other

words, a duty to all is a duty to none. (6) If there is no duty, there

can be no recovery for negligence. However, many courts have found instances where, under certain circumstances, a special duty has been owed

to an individual or class and have imposed liability for negligent performance of offical duties. (7)

Cities are permitted to use the defenses which are open to any

defendant charged with negligence. The most important of such defenses

are: 1) contributory negligence, 2) comparative negligence, and 3)

assumption of risk.

Contributory negligence doctrine prevents any plaintiff from recovering if his own negligence leads to the injury. This normally

prevents a building owner or operator from recovering against a city

for a loss due to failure to properly enforce the code on his own

building, since it was negligent for the owner not to bring the building up to code standards, even without compulsion by the city. Contributory negligence barred the plaintiff's lawsuit, even if his negligence was trivial, compared to the defendant's. The idea was that a court should not aid a negligent plaintiff. Application of this doctrine left plaintiffs without any remedy even if their negligence was

trivial compared to the defendant.

For this reason, many states have switched to a comparative negligence standard which compares the negligence of the plaintiff to that

of the defendant and reduces any judgment against the defendant by the

percent of negligence attributed to the plaintiff. Assumption of risk

barred a plaintiff's recovery, even if he was not negligent, if he

knowingly, willfully encountered the know risk and was injured-. A baseball fan is not negligent when he sits behind the first base foul line,

but he has assumed the risk of being hit by a foul ball. In short,

contributory negligence compares the action of the plaintiff to a reasonable man, while assumption of risk involves his actual knowledge

of potential injury.

To this date, immunity from liability for negligence is the rule,

rather than the exception for municipalities and municipal officers.

Most often this immunity is grounded on either sovereign immunity or

the absence of any special duty toward the injured plaintiff. However,

the trend of decisions is towards liability. This is evidenced by the

willingness of courts to find that public policy no longer supports

the concept that it is better for the individual, rather than the city

to suffer the consequences of negligence. The courts also tend to

find that the state has waived sovereign immunity for its cities by

permitting or requiring them to buy liability insurance. Some states

and the Federal Government have accepted liability for employees' negligance. The federal act, however, makes the government liable only

if its employees would be liable under local law. Therefore, the citizens' right to sue the U. S. Government varies state by state. (8)

33
This waiver of sovereign immunity has concentrated attention on

the question of duty vs. special duty. Some courts have held that

the governmental-proprietary and ministerial-discretionary tests are

of no importance where the government has waived immunity, and they

decide the question solely on a special duty analysis. With this

general trend in mind, we can pinpoint specific areas which seem to

be leading edges of the liability tide in the inspection area. Several

particular areas deserve close scrutiny.

The first is where the governmental unit actually owns the property on which the injury occurs. Many municipalities are less than

enthusiastic about the fire official who tells them that their own property is in a dangerous condition. Note that is is not just a question of meeting the code. Failure to meet the code is prima facie

evidence of negligence, but meeting the code is not a defense to a lawsuit. At one time, the municipality would only be liable in its

profit-making occupations, e.g., a civic center, but the modern trend

is to hold them liable for all their property. The analysis is either

that the municipality owes the usual special duty that any building

owner owes to those who come on the property to transact business, or the building and use of structures is a typical proprietary act which

renders the government liable. (9)

The second area for significant liability exposure is where an identifiable individual solicited the expert assistance of the municipal officer, and reasonably relied on the officer's judgment, in the

context of his official duties, and was injured. A leading case in

this area is the Smullen Case. (10) In that case, an official inspector

negligently surveyed an excavation and told a workman that it was safe

to enter. The workman entered, in the presence of the official, and was killed when the trench collapsed. The city was held liable, since

it had voluntarily encouraged an individual to more from a place of

safety to a place of peril. Building and fire officials who survey

property after a fire must be sure that they have done a thorough and

proper inspection before allowing anyone back into a structure, and on no account should they ever declare a structure "safe". The fire marshall or building officer is normally bound only to enforce the code,

not to go beyond it. If he steps beyond the code, he may be inducing

reliance on his expertise in fire safety.

Usually the plaintiff must prove that he individually relied

on the government official and that that reliance was reasonable and

caused injury. Reasonable reliance is often found when the government has taken over an activity and, for all practical purposes, interacts directly and continuously with the potential plaintiff. The

classic examples are federal air traffic controllers. The Federal

Government has been found repeatedly liable since the individual has no choice except to rely on the air traffic controllers' ability. On

the other hand, as in the death of baseball player, Roberto Clemente,

on a mercy mission to earthquake victims, the government was not held

liable for the failure to inspect the plane, a duty require by FAA

regulations. The basis for the decision was that the duty of the FAA

34
inspector is to his superior and not to the general public. (11) A regulatory program which involves ongoing interaction and necessary reliance

by the public would be likely to provide a basis for a case if the city

was negligent.

One state, Alaska, has held the state liable for a negligent fire

inspection on the theory that a preliminary inspection disclosed the

hazard and the state therefore, assumed a duty to third parties to properly perform the statutory obligation to order the defect corrected. Q-2)

I feel that this case is badly reasoned, wrongly decided and will not be

followed by most jurisdictions. For a contrary view, a widely reported

case in which the Village of Liberty, N.Y. was held liable by the lower

court, was reversed on appeal, on the duty, special duty analysis. The

court held that no duty was owed to the injured party. (13)

The third special case is where the individual may be held liable

even though the municipality is immune. This is a very difficult area

and has produced some surprising results. It was held in the 19th Century that the sovereign immunity of the state does not automatically

apply to the individuals who carry out the state's orders and policies.

Nor can a municipality immunize its employees from suit. Therefore, one

of the earliest methods for using an immune sovereign was to sue the individual who had committed the negligent act. The employee then pressured the city to defend him and pay any judgment. Most courts used the

ministerial/discretionary test to determine which individuals could be

sued, since in theory at least, it aided rather then hindered the city

by making ministerial employees more conscious of their duty to the citizens. The problem, as in a direct suit, is defining the ministerial duty,

and deciding whether the duty was owed to the plaintiff.

Another rationale for suing the individual is that he has gone

beyond the scope of his official duty and somehow injured the plaintiff.

Since many municipal employees are thus potentially liable, they have

successfully pressed for indemnification by the state if they are held

liable. This has a "Catch 22" effect since the plaintiff is much more

likely to sue if the resources of the state are the target rather than

those of the individual.

There is an additional area of liability which I feel deserves

close scrutiny by municipalities. Many local fire codes provide for a right of entry without a search warrant, contrary to the Federal Constitution as interpreted in the Camara (14) and See (15) cases and repeatedly

affirmed. (16) It is not uncommon for local officials to insist on entry,

using the local law as justification. They should be warned that a Federal Statute (42 USC 1983) makes the individual civilly liable for depriving an individual of a federal right under color of state law. The

state law, rather than immunizing the officer, is the source of his liability.

Just this spring, the Supreme Court reversed a prior case and held

that the city may also be sued for violating an individual's rights, if

it does so by official policy, particularly in areas where the court has

clearly defined the right. (17).

35
For example, it was held a violation of individual rights for

the fire marshall to re-enter private property without a warrant after

the fire department has extinguished the actual fire. Even though the

officer had probable cause to search, the court insisted that he get

a warrant even though there was no one on the property to object to

his entrance. (18)

Other federal statutes provide civil remedies for racial discrimination by officials. A particular potential liability is where the

fire department is lax in pursuing code violators in apartments occu- pied by minority tenants. A consistent pattern of inadequate inspection and enforcement in minority housing areas might lead to a prolonged

and expensive court case. In fact, the earliest Supreme Court case on discriminatory prosecution involved a racially discriminatory enforcement

of a city fire code. (19)

In the final analysis, the expansion of municipal liability is

simply an outgrowth of a judicial trend that covers other fields, such

as medical malpractice and product liability. In all these fields,

injuries to innocent parties used to be thought of as the individual's

misfortune. Increasingly, the society expects each activity of the

society to bear the burden of the injuries it inflicts on individuals.

Workman's Compensation and no fault insurance are products of the same philosophy and I feel that eventually there will be uniform statutory

compensation for the victims of municipal negligence. Until that day we will continue with the current patchwork of liabilty and immunity.

36
References

I

i 1. Russel vs Men of Devon, 100 Eng. Rep. 359, 2 Term Rep. 667 (1788).

2. Cooperrider - The Court, The Legislature and Governmental Tort

Liability in Michigan, 72 Mich. Law Review 187.

1. Hodgins, vs. Bay City, 156 Mich. 687.

L. H. R. Moch Co. vs. Rensselear Water Co., 247 NY 160, 159 N.E. 896

62 ALR 1199 (1928).

5. Florida First National Bank of Jacksonville vs. City of Jacksonville.

310 So 2nd 19.

6. The Liability of Municipal Corporations for the Negligent Performance

of the Building Inspectors Duty. 41 ALR 3rd 567.

7. Campbell vs. Bellvue Wash., 530 P. 2nd. 234.

If Tort Claims Act. 28 USC 1346(b).

19. Vedder vs. County of Imperial, 111 Cal. Rept. 728 (1974) 36 Cal App.

3rd 654.

L0. Smullen vs. NYC, 28 NY 2nd 66, 268 NE 2nd 763.

Ll. Clemente vs. United States, 5 67 Fd 2nd 1140.

L2. Adams vs. Alaska, Alaska Sup.Ct. #11318. Oct. 1, 1978.

L3. Sanchez vs. Como & Village of Liberty, 42 NY 2nd 876.

14. Camara vs. Municipal Court, 387 US 523.

15. See vs Seattle, 387 US 541.

16. Marshall vs Boslow, 98 Sup.Ct. 1816 (1978).

|17. Marell vs New York, 98 Sup.Ct. 2018 (1978).

18. Michigan vs Tyler, 98 Sup.Ct. 1942 (1978).

19. Yick Wo vs. Hopkins, 118 US 356 (1886).

37

BUILDINGS ENGINEER EMERGENCY RESPONSE TEAM

by

Steven S. Koren

Buildings Engineer

Baltimore County, Maryland

Code enforcement embraces the cycle of Construction-Crisis-Reconstruction.

Baltimore County has added a code enforcement team to its

emergency forces. This allows both staff assistance to other county

emergency forces as well as immediate participation in the recon- struction phase.

Key Words: Crisis; flood recovery effort; missing link; rebuilding.

39
A fire is raging at an apartment complex at 3 s 00 A. M. . The Building Inspector at the scene appears to he a firefighter as he continually

surveys the structure. The inspector is examining fire walls, draft

stops and protected corridors. Following his examination, the Building

Inspector informs the Fire Chief of what can be anticipated in terms of

the structure's ability to withstand the progression of the fire.

A Building Inspector working at a fire scene may be an uncommon oc- currence, except in Baltimore County, Maryland. The knowledge the inpector had of the building while it was under construction is beneficial

to the firefighting effort. The knowledge he will gain from the building's performance during the crisis will be advantageous to the eventual

rebuilding of the fire damaged structure.

The charge of the Building Inspector in Baltimore County is to protect the public safety, health and welfare in relation to buildings and

structures. Recognizing that the public's safety is the common goal for

the Fire and Building Departments, B.E.E.R.T. —the Buildings Engineer

Emergency Response Team was organized in January, 1977*

The original organization for the B.E.E.R.T. program was based on

a plan submitted to County Executive Theodore G. Venetoulis by Baltimore

County Fire Chief, Paul Reincke and the Director of the Department of

Permits and Licenses, John D. Seyffert. The County Executive acknowledged that this team, perhaps the. first of its kind, presented a service

to the County without the burden of additional costs.

The B.E.E.R.T. team members, recruited from the ranks of the Building Inspection Division, perform their normal duties during working hours,

but are prepared to handle emergencies 2i+ hours a day.

The Baltimore County Fire Academy Instructing in the Use

of Self Contained Breathing Apparatus.

40
While members of the team have basic skills in building inspection

and have proven track records in the Inspection Division, special B.E.E.-

R.T. training was necessary. The training was provided by the Fire Department, Police Department and the Permits and Licenses Staff. Subjects

included flooding and flood dynamics, civil defense and structural analysis subject to stress loading. The team was also field trained in the use of Fire Department apparatus, and during a controlled exercise, they

were subjected to heat and smoke they would encounter during major con- flagrations. Training, key to an operation such as B.E.E.R.T., remains

an ongoing process with up-dated subjects being added monthly.

The team is equipped with mobile radio communications linking them

directly to the County Office Building and the Fire Department. Each

member is also assigned necessary firefighting turn-out gear, foul weather equipment and emergency type protection devices.

The team objective is to ensure safety to life and property during

emergency situations incidental to buildings and structures; further,

to be responsible for the disposition of all buildings and structures

affected by any disaster.

B.E.E.R.T. Members are Differentiated from Firefighters by

Distinctive Headgear and the Abbreviation of Buildings

Engineer (Bldg. Eng.) on Turnout Coat.

41
Although the B.E.E.R.T. team is not limited to specific problem

areas, the plan directs its efforts to fire, wind and water damage,

building collapse and ground failure. While the majority of emergencies the B.E.E.R.T. team is called out on are fire or building collapse,

a preparedness program for flood disaster has been established.

The team has analyzed each of the major flood plains in the County.

Narratives on each flood plain have been written with probable areas

that flood waters would inundate. A program has been initiated that

would allow the team to inspect all flooded areas as soon as the damaging waters recede.

All building and structural units located in the flood area would

be inspected and tagged by B.E.E.R.T. members. Houses would be marked

with colored stickers indicating the unit to be "Safe", "In Need of Repair", or "Danger—Do Not Enter".

Inspected Structures are Tagged with Color Coded Placards.

42
In September of this year, the team was invited to Johnstown, Pennsylvania, to assist in their flood recovery effort. Inspectors relied

upon construction judgement rather than absolute code criteria when ex- amining structures. The inspectors' decisions on the buildings included

primarily whether or not the structure was damaged beyond repair, or what

repairs were necessary for restoration.

Since its inception, the team has been called out approximately 80

times. The initial callout is to a B.E.E.R.T. Inspector who is on duty

2i| hours a day. A back-up inspector is also on call in the event of an emergency that would not allow the on-duty inspector to respond. If a problem develops beyond a specific stage, the Buildings Engineer and the

Director of Permits and Licenses, both of whom are on the team, are called to assist the duty inspector.

Although the team has responded to emergencies where the inspector

was not an integral part of the resolution of the problem, many times

the B.E.E.R.T. Inspector has provided imperative assistance. A major

restaurant facility at the County-City line was suffering severe structural damage during a fire, when questioned by the Fire Chief about

whether the firefighters should stay inside the building or battle the

blaze outside, the B.E.E.R.T. Inspector determined that the fire wall

would hold and recommended the firemen remain inside. As a result, the

fire was successfully extinguished with minimum additional damage and

no personal injury.

Discussing Attack Plan.

43
Another recent example of the assistance a B.E.E.R.T. Inspector can provide came when a truck drove through a support column of a loading

dock at a major shopping center. The inspector was able to advise the

Fire Department of what steps were necessary for the safest possible ex- traction of the truck from the structure.

One of the unanticipated benefits of this program has been the opportunity for the Building Inspector to be involved with the reconstruction process as a result of his participation at the time of the crisis.

When a structural bay collapsed in a warehouse building located near the

Baltimore Beltway, the B.E.E.R.T. Inspector responded at six o'clock in

the evening. At nine o'clock the next morning, the B.E.E.R.T. Inspector

and the Buildings Engineer were meeting with the building owner to discuss alternative courses of action to resolve the problem.

At four o'clock that afternoon, at the Buildings Engineer's request,

the owner's designated structural engineer was meeting with the Buildings

Engineer who recommended steps to preserve the structural integrity of

the building. Jerome Schuman, P.E., the structural engineer involved,

indicated that by knowing exactly what the County's code required for

the safety of the building, he was able to offer the owner appropriate

counsel. This communication enabled the engineer to design a plan that

met with the County's code and allowed the owner to begin the required

operations immediately.

The B.E.E.R.T. team has been in existence approximately one year.

The program has provided the missing link in the cycle of construction,

building crisis and reconstruction. Statistically, a percentage of buildings will be subject to some type of failure. However, if a failure occurs due to design overload or human error, the B.E.E.R.T. team is a facility of Baltimore County prepared to help minimize the subsequent danger to individuals and the community.

Inspecting Damage After Eire Supervision.

44
I THE DEVELOPMENT AND IMPLEMENTATION OF BUILDING

STANDARDS IN FRANCE

by

Ileana Martinez

Mechanical Engineer

Center for Building Technology, NEL

National Bureau of Standards

|» Washington, D.C. 20234 oDon

The systems available today in the U.S. for developing standards are being

ubjected to much scrutiny and criticism. Many of the organizations involved

n the standardization process are striving for better ways to produce standards,

ttempts are being made to make the process more dynamic, more representative

or general interest groups and better able to handle revisions and updatings.

One way to obtain a wide perspective of the options available is to examine

tandards development practices in other countries. It is difficult to find a

oreign country that has a well-developed standards promulgation system and

nough points in common with the U.S. — in the economic, political, geographic,

nd technological areas—to be used as a reference.

The French standards system, discussed here, does not coincide exceptionally

fell with the U.S. system. However, a study of the procedures used in France

ight give some insight and suggest different ways of approaching the problem,

opefully, elements of interest, and specific relevant procedures which might

e adapted to U.S. practices will emerge.

ey words: Building standards; Foreign building standards; French building

standards; French standards system; Types of French standards;

Marking and certification.

OTE: Ms. Martinez is currently developing a comprehensive study relating to

the structures of the standards development system in France. Publication of this study is expected in 1979.

45
I. THE STANDARDS ORGANIZATION: A SINGLE COORDINATING BODY

Standardization in France has a long tradition and history. The first

efforts toward standardization emerged during the French Revolution. At that

time the variety of weights and measures was enormous and it became necessary

(and for the first time politically feasible) to declare legal the newly

invented metric system.

During the second half of the 19th century, a variety of iron and steel

products were standardized. But in France, as in many other countries, the

prinicipal impulse to standardization was spurred by World War I. A legislative decree in 1918 instituted a Permanent Commission on Standardization, a purely governmental body. After innumerable problems, this commission was dissolved for lack, of funds. In 1926, as part of an effort to organize

standardization activities as a purely private activity, the present-day

standards institute AFNOR (Association Francaise de Normalisation) was created

as a non-profit private association.

These private standardization activities lacked official government recognition, and partly because of this, standards were not being effectively implemented. Several schemes to give standardization efforts some official backing

were proposed and promulgated by various legislative decrees and ordinances

between 1928 and 1941, but none were comprehensive enough and consequently did

not have lasting effects. A public law, in 1941, finally designated, created

and/ or defined the structures and organizations that compose the French standards development and implementation system. With only minor modifications,

this law is still valid today.

The 1941 law covers standards development and implementation as well as certification and marking. It gave increased emphasis to the national and

official character of the standards activity and to the principal standards

organization AFNOR, and recognized AFNOR as an independent institution where

producers, manufacturers, users, testing and research organizations and govern-j

ment officials could compare and harmonize their points of view in a strictly

neutral atmosphere.

The three major components of the French standards development system

(see Figure 1) are the following:

1) The Commissioner , a government public servant having a small staff

is appointed by the Minster of Industry. He oversees the standards

process and gives general directives for standards development.

2) The standards institute AFNOR , a private non-profit association,

is administered by a board of directors and managed by a general

director. Although a private association, it is the only organization in France empowered by law to publish national standards.

Its standardization committees write standards in many areas.

3) The third party to this system is the Standardization Bureaus , the technical arm for writing standards in many sectors of

activities. They are created by official government decree but

46
are usually somehow attached to some other viable organization

such as a trade association, a research center or a users group.

They prepare the draft standards in areas not covered by AFNOR'

s

committees and draw much of their expertise from the professional

groups. Validation of consensus for draft standards prepared by

Standardization Bureaus is the responsibility of AFNOR. The

Standardization Bureaus are in a way similar to the American

National Standards Institute's "accredited organizations" except

that they have an officical character lacking in any of ASNI's

dealings

.
II. STANDARDS DEVELOPMENT

Standards are developed in France in much the same way as is customary

in the United States (see Figure 2). A first proposal is developed either

by an AFNOR committee or an individual designated by this committee or by a committee of a Standardization Bureau. It is then examined and modified as many times as necessary by a committee including all interested parties.

After the draft is approved by the committee, it is submitted for public

comment during which time the document is widely available to the public and

interested groups. Comments and criticisms are studied by the committee and

negative opinions are resolved. The final draft approved by the committee

is submitted before publication to procedures clearly defined by law or by

other official regulations. The prinicipal nature of these procedures is

outlined below.

The one outstanding characteristic of this process is the lack of formal

voting. Other European countries also prefer this unstructured procedure.

In lieu of voting, agreements are reached on the basis of consensus of

all interested parties, and this consensus is manifested by tacit approval

when no objections are voiced.

Besides the lack of formal voting at any of the stages of the standards

development process, there are no formal membership rules and participation

in committee work follows no established rules for achieving balance. Balance

is obviously of serious concern and it is very much in the minds of all

participants. Great efforts are expended in achieving balance, but it is

the responsibility of the Secretariat of the committee (usually AFNOR) to assure balanced representation, and no written guidelines are available.

One other interesting characteristic of the French standards process is

the fact that an approved draft standard may be issued as any one of four

different types of publications. French standards published by AFNOR may be:

1) ratified standards,

2) registered standards,

3) experimental standards, or

4) information leaflets.

The steps to follow in order to publish each of these types of standards

and their relative importance are described in a 1966 official decision of

the Commissioner for Standardization.

When one looks at a French standard, the printed copy does not indicate

who wrote it, or who participated in its development, and AFNOR appears simply

as editor. Printed in the upper left hand corner of the document is the design

tion of the type of standard (ratified, registered, experimental or information leaflets), and this can give a clue to the way the standard was developed,

the procedures that were used and probably the speediness of the development

process. A typical cover page of a French standard is given in Figure 3.

48
Traditionally, there was only one kind of standard developed in France,

the ratified standard (norme homologuee) . In 1966, the standards community

was searching for ways to speed up the development process. The major result

1 of that effort was the creation of a new type of standard, named the registered

standard (norme enregistree)

.

These two types of standards are the most important. The main difference

lies in their respective implementation. After the period of public inquiry

; and the resolution of comments, the ratified standard is submitted for an

] additional 6 weeks to an inquiry in the ministries and other government agencies

] interested in the subject. The registered standard is not subjected to this

! further period of comments from governmental departments. The ratified stan-

| dard must be used in all public contracting or whenever there are any governI ment funds being used. The registered standard does not have to be used unless

it is explicitly referenced in a public contract. However, in 1971, an official

government circular recommended and encouraged the increased use of registered

j standards by government agencies.

The decision as to which type of standard will be published is entirely

I up to the committee. Tradition intervenes to a large degree here. For example,

in the steel industry, all standards are registered. On the other hand, in

the building community, the registered standard is considered "second class."

It is thought that the extra 6 weeks of inquiry in government agencies are worth waiting. Also, there is often a percentage of public funds and/or public

| financing in most construction projects in France. By giving preference to the

j ratified standard, all parties involved in construction know beforehand the

basic standards that must be followed.

The other two types of documents published by AFNOR are the experimental

standard (norme experimentale) and the information leaflet (fascicule de

documentation). As the name implies, the experimental standard is material

usually not yet suitable to be officially sanctioned as a standard. Realizing that some more research is needed in the particular area, the committee

has the option if it so wishes to use the mechanism of issuing the material

and reaping the benefits of the opinions of a wide audience, before finalizing its decision. In fact, an experimental standard is a published draft

standard, being submitted to a long period of public inquiry and comment.

Usually, after 2 or 3 years, experimental standards are revised and published

normally as ratified or registered standards.

Finally, there is the information leaflet, which is not a standard at

all. The leaflets contain relevant information, useful to readers and users

of standards, and carry a certain weight and prestige because they are published by AFNOR. Examples of this type of document are the interpretation

of safety rules for elevators, design solutions and alternatives for doors

and windows conforming to a ratified performance standard, and conversion

factors for legal units of measurements.

49
III. BUILDING STANDARDS

There are currently Standardization Bureaus in many technical and

industrial areas such as plastics, textiles, paper, computer sciences.

When there are none (such as in the refrigeration industry, paints,

acoustics, ergonomics), AFNOR sets up a committee and drafts a first proposal, usually with the help of professional groups.

The building community, however, has a special organization which does

not fall into either of the two accepted modes—AFNOR committee or Standardization Bureau committee. Instead, there is a General Committee for Standardization composed of 13 different groups including AFNOR. Some of these

groups are Standardization Bureaus (architecture, wood industry metallic

construction), while others, such as trade associations and private inspection groups, are not.

This General Committee for Standardization is called "Group DTU"* and

its secretariat is held by the Centre Scientifique et Technique du Batiment**

(CSTB), a very important, all encompassing building research and development

public institution, part of the Ministry of Equipment (Public Works).

The Group DTU, mainly a coordinating committee, meets every two months t assess progress on standards development and give administrative and procedural approval for processing drafts. Technical approval of draft standards

as for all standardization activities, the responsibility of the technical

committee. The Group DTU also develops annual programs, with long and short

range plans. Once the need to develop a standard is established, the Group

DTU coordinates its development. One of their members is assigned the task

of writing a first draft. Usually, this task is given to the organization

requesting that a standard be developed. The same or another organization

within the Group DTU is assigned to fulfill the more administrative-type

duties, such as calling meetings, sending out documents and preparing the

minutes of the meetings. Committees meet as often as necessary to approve

a draft. Subsequently, AFNOR submits the draft to public inquiry and pro- cesses the document until publication.

This machinery seems complex, and it is. It does not alwas work

smoothly, but like many other organizations, it functions only as well as the people involved want it to work.

Building standards in France cover a wide range of subjects and usually

relate to terminology and vocabulary, definitions, methods of test and

specifications of products. Installation guidelines and minimum standards

for system design are not usually included in AFNOR standards, but are available in publications by CSTB.*** Installation guidelines are developed

* DTU stands for "Documents Techniques Unifies," meaning Unified Technical

Documents

**Scientific and Technical Center for Buildings.

***These documents are called "Cahier des Charges DTU." "Cahier de charges"

is the set of provisions prescribed at the awarding of a contract. This

French expression may also be loosely translated as "specifications."

50
by CSTB committees, which include all interested parties, in very much the

same way as standards and are under the authority of the Group DTU; but

they are not subjected to the procedures for standards development, notably,

they are not submitted to public inquiry. The lack, of installation guidelines and system design specifications, however, is peculiar to the building industry and quite exceptional. In most other fields standards address

||all aspects of technology. As companion pieces to standards, they go hand

jin hand with them and are very much complementary.

Another peculiar trait specific to French building standards is that

the standards cover only what is considered as "traditional," well-known products and methods. Only building products whose performance is proven through

long field experience and whose characteristics are fully recognized are conjsidered for French standards. For example, wood and metal windows are stanjdardized with methods of tests, performance criteria, and construction

characteristics, while plastic windows are not; not because time has been

(lacking, but because they are not yet considered traditional.

New products are treated differently, geared to more individual attention, rather than to the class to which they belong. New products undergo a procedure known as "Avis Technique," which means "technical opinion." This

'may also be know by its older name of "Agrement."

Whenever a manufacturer has a new product, it may be submitted to the

appropriate Committee for Technical Opinions. These committees are managed

by CSTB who tests the products, usually on the basis of available documents.

The test results are submitted to a committee composed of manufacturers, users

and other interested technical organizations who, on the basis of test results

and any available data from the field, give a technical opinion on that

particular product. The favorable technical opinions are published regularly

and are valid for a relatively short period of time ranging from 1 to 3 years.

When a committee has gathered enough information over a period of time on

a family of products and there is enough confidence in their performance, the new products start being considered "traditional" and standardization procedures may be started.

Since generally the same organizations serve on all the various building

committees mentioned above, and CSTB is a focal point of all building activities in France, the information flows relatively easily. In addition, AFNOR

staff serve on all committees developing installation guidelines, and, of

course, on all standards developing committees, and are therefore able to

efficiently coordinate all these building related activities.

51
IV. MARKING AND CERTIFICATION

AFNOR instituted the national NF* mark in 1938. The 1941 standardization

law established the present organizational structures that govern the French

certification system and sanctioned AFNOR as the only officially recognized

body in France to run a national certification program.

When the NF mark is stamped on a product, it means that the product con- forms to a ratified standard, or to a set of ratified standards. Therefore,

only those ratified standards that cover all important characteristics of a product and show that the product is suitable for its intended use are permitted to qualify for a mark. Registered standards cannot be used as the

basis for a certification program.

The NF mark is optional in most cases. It may be used under license only.

The NF mark may be rendered mandatory by special government decree. This is

most common when the corresponding standard is itself compulsory, or has been

incorporated into regulation by reference, which is rare for building standards.

An NF mark may be authorized for foreign products, provided the products

satisfy all of the requirements established for national products. It must

also be possible to carry out effectively the same controls and verifications

as in France, and satisfactory reciprocal conditions must exist. Foreign

products have been granted the mark, most notably in areas where the mark is

mandatory and thus indispensable for marketing the product in France, such

as gas and electrical major household appliances.

Building materials and components make up about 50% of AFNOR 1 s marking

and certification activities, while about another 40% of the effort is devoted

to domestic equipment, and the remaining to industrial equipment.

General guidance and oversight for certification programs are provided

by a Directing Committee. Specialized Committees, dealing with categories of

products, carry out the tasks of approving and licensing products and their

decisions are based on laboratory test results. Specialized Committees are composed of producers, users and administrative agencies on a strict, balanced

membership basis.

Decision to grant or revoke the privilege of using an NF mark are taken

only during committee meetings, by consensus with no objections, on the

basis of tests results and other related reports. The proceedings of certification committees are much more formal than their counterpart standardization committees, and even though there is seldom need for voting, rules for

voting are included in the committee's by-laws. Membership in certification

committees must comply with guidelines for achieving balance. In marked

contrast to membership in AFNOR 1 s standards writing committees, the rules

are strictly enforced.

NF stands for "Normalisation Francaise," meaning French Standardization.

52
AFNOR, who has the management responsibility for all NF marks and

certification committees, has no laboratories or test facilities. Therefore,

a testing laboratory is selected for each individual mark created. Most

often the choice is restricted to one laboratory that has the required qualifications to carry out the work. However, when more than one laboratory is

available, an equitable distribution of testing activities is made. The

decision is AFNOR' s and it is reached after extensive consultation with

interested parties. There is no formal program or plan for accrediting

institutions, so no criteria have been developed.

The work of certification committees and the data they gather are of

great importance to an effective standardization process, and crucial to updating standards to keep up with technological developments. It is in the

actual day to day implementation of standards that the level of performance

attained by a product can be appraised. Very often this accumulated knowledge leads to proposed modifications of a standard, sometimes relaxing its

provisions. But more often than not, a product performs consistently better

than originally anticipated and the standards can be upgraded correspondingly.

53
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EDITORNORME FRANC AISC HOMOLOGUEE

TITLE REFERENCE NUMBER

CARACTERISTIQUES DES FENETRES NF

P 20-302

Juillat 1974

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56
A CASE HISTORY OF THE INTEGRITY

OF THE NATIONAL ELECTRICAL CODE

by

David J. MacFadyen, President

Technology + Economics, Inc.

Cambridge, MA 02140

ABSTRACT

A new system for surface-mounted branch-circuit building wiring

is being commercialized that holds substantial promise for flexibility

and cost-effectiveness. This system is based on the flat conductor

cable technology developed by the National Aeronautics and Space Administration for aerospace use. NASA sponsored a project to commercialize

flat cable-based building wiring systems, which included a NASA con- tractor and a consortium of twelve major Amercian corporations.

One of the most critical aspects of making advanced wiring systems

available to the public is the development of code provisions to allow

their use. The process of establishing a new National Electrical Code

Article 328 permitting flat conductor cable wiring systems involved

use of every procedural step available in the Code-making regulations

of the National Fire Protection Association. Unfounded technical

objections and procedural irregularities on the part of opponents to

the new technology necessitated the use of every protest and appeals

process available under those regulations. It was only at the highest

level of the Code-making organization—the NFPA Board of Directors

that the final favorable action was taken on the basis of proper

technical justification.

The adoption of Article 328 as an amendment to the 1978

National Electrical Code was a victory, not only for the public and

the proponents of the Code change, but also for the NFPA and the

whole consensus approach to Code making. The checks, balances, and recourses in the system were shown to be adequate to assure that

the Code change was ultimately resolved on technical merit.

Key Words: Appeals process; consensus standards; electrical

distribution systems; flat conductor cable; National Electrical

Code; technological innovation.

57
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INTRODUCTION

This paper concerns flat conductor cable building wiring

systems and the achievement of a new National Electrical Code

(NEC) article permitting such systems. The use of flat conductor

cable in surface-mounted systems for building electrification

has important potential. Such systems hold promise of reducing

the cost of branch circuit wiring for office and commercial buildings by as much as 70%. A new Code article (Article 328) now permits these systems. Due to technical irregularities and

procedural delays, the Article is not in the 1978 Codebook, but a Tentative Interim Amendment (#1-70-1978) has been promulgated

to make Article 328 part of the 1978 Code.

The history of this Code change is of interest for two

reasons. First, the proporient of the Code change was an outsider

to the electrical industry with no vested interest to promote or protect. Second, the Code change was accomplished through an established appeals process that had not previously been used.

At the same time, however, the events in this Code change process

show that it has important operational weaknesses.

This paper will describe what flat conductor cable wiring

systems are, their anticipated uses, the procedural fairness and

operational weakness of the NEC, and the lessons learned from

a. protracted Code change fight.

FLAT CONDUCTOR CABLE WIRING SYSTEMS

Flat conductor cable—or FCC—is a thin-profile cable originally

developed for aerospace use. A building wiring system using FCC has now been developed. This system, intended for offices and commercial

buildings, uses thin flat cable for surface-mounted branch circuits.

The flat cable is mounted on the floor and covered by carpet squares.

The FCC system is intended by its manufacturers to serve as an alternative to under-floor conduit systems: it requires no conduit

or ductwork, no holes in the floor, and no risers or nipples. Instead,

the electrical distribution cable is surface-mounted and covered by a steel shield.

One importance of the system rests in the cost tradeoffs of using

FCC instead of existing systems. The system developers contend

that when both flat cable telephone and power systems are installed

together, the savings for a new installation come to $350.00 per desk,

and for each relocation come to an additional $40.00 per desk. The

potential savings in new electrification costs are projected to be

on the order of $200 to $400 million per year.

58
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The ease and flexibility of making wiring layout changes is an important part of FCC systems. Office layouts are changed up to

twice a year, and conventional electrical systems have difficulty

coping with the quickly changing electrification requirements. With

FCC, wiring layout is completely flexible, and changes can be made

with minimal disruption and at low cost.

The following is a brief description of the components of a FCC

under-carpet wiring system and how they are put together. The illustrations show the main features of the system.

The flat conductor cable used in single-phase branch circuit

wiring has three flat conductors, each of them equivalent in cross- section to a 12-or 14-gauge round wire. For a 12-gauge system, the

conductors are 9 mils thick and 600 mils (or 6/10 inch) wide. A

three-conductor cable is 2-1/2 inches wide and about 25 mils in total

thickness.

The first step in laying an FCC system is to clean the floor and

lay down an anchor strip. The anchor strip has adhesive on both sides.

The bottom adhesive adheres to the floor. The upper adhesive holds

down the cable and shield. Release paper protects the upper adhesive

film until the cable and shield are ready to be laid over it.

T-taps and splices into flat cable runs are made using quickconnect joints. Connections are insulated by means of sealed pouches.

Cable corners are made simply by folding the cable over on itself.

The steel shield is electrically inter-connected and grounded with

clinch joints. A steel shield covers and protects the cable.' The shield

is 8 mils thick. It provides both mechanical and electrical protection.

It has the same conducting capacity as an armored cable jacket or a single cable conductor.

Carpet squares cover the completed system. Release-type adhesives

are used so that the system remains accessible. At receptable locations

the carpet is cut--as around any floor projection—and can be tucked

into a separate compartment in the receptacle housing.

The FCC system concept is intended to be versatile and flexible

in office applications, and to permit easy system changes.

The system may be fed from a conventional wall box with the wallmounted portion of the cable located inside a heavy metal protective

raceway. It may also be fed from a baseboard location, or from an existing floor duct using a special adapter.

Receptacles can be moved or added: A receptacle can be placed

directly on an existing cable run, or a T-tap can be made from an existing run to the new location. In installations where there is an existing

ducted system, a flat cable run can be made from an existing duct access. The access location can be covered by a flush-mounted cover and then

carpeted over.

59
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To tap into an existing flat cable run the existing shield is cut

and peeled back, then the T-tap is connected and sealed in an insulating

pouch. The shielding is then reconnected using clinch connectors.

FCC may be used to service baseboard or wall outlets. Flat cableto-round cable transition assemblies are used to route service into a wall.

The FCC system is designed so that it is easily inspectable both

during installation and thereafter. The recommended time to inspect

it during installation is after the cable runs have been permanently

laid and connected together but before the protective shielding is

permanently connected and fastened down. Receptacle bases can be

easily inspected at any time before the housing is attached.

Even after the installation is complete, the FCC system remains

inspectable. Receptacle housings can be opened at any time, and carpet

squares can be removed to inspect a splice, T-tap, or corner.

The FCC power system is designed to be used with a companion

flat cable telephone system. Flat cable telephone systems use either woven cable, flat conductor cable, or flat coaxial cable. No metal

shielding is required for telephone systems. Flat cable telephone

systems are completely compatible and complementary with the power

system. Crossings of power and telephone cables are permitted, provided

that a layer of shielding always separates the two systems. Flat

telephone cabling is already available and state tariffs are being set.

What are the applications for FCC systems? The primary applications

of FCC systems will be in commercial space and particularly in office

space. In fact, the Code Article as presently written restricts the

system from hospitals, residential use, and schools. It is in addition

required to be installed under carpet squares. These restrictions

result from a desire on the part of the National Electrical Code

Committee to gain operating 'experience in limited applications. Some

of these restrictions may be removed in 1981.

FCC systems are seen to have potential markets in both new and

existing construction. In new buildings, major cost savings are expected in comparison with ducted systems . Complete freedom of

furniture placement is achieved without use of utility poles. In

existing building remodeling, FCC systems can economically provide

service without utility poles or hung ceilings. Even in buildings with

existing ducted systems, it is less costly to add outlets using FCC

than to open new holes; and the new outlets will be unconstrained as

to location.

60
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THE COMMERCIALIZATION OF A NEW WIRING SYSTEM

In order that buildings can be built utilizing the FCC system and

in order that the FCC system can be used to rewire exisitng buildings,

it is necessary that the system be recognized by local electrical codes.

The National Electrical Code (NEC) is the most widely adopted model code

in the United States. Most state and local codes reference the

National Electrical Code, although some add to it or delete from it

at the time of adoption. Because the NEC is widely adopted it is

critical to the success of any wiring system that provisions be introduced into the National Electrcial Code permitting use of that system.

In addition, since codes require the use of "approved" hardware, system

hardware must have been tested in accordance with established requirements by an independent testing organization such as Underwriters Laboratories.

The National Aeronautics and Space Administration (NASA) , as the

developer of flat conductor cable technology, operates under a Congressional mandate to assure the maximum utilization of the technology it

develops for the public's benefit. As part of its technology utilization

program, NASA retained the firm of Technology + Economics, Inc. (T+E) to

facilitate the application of NASA technology to building related problems

To commercialize flat conductor cable for building wiring, T+E

formed a consortium of manufacturers. Collectively, these manufacturers

were capable of producing each required FCC system component and of

gaining Underwriters Laboratories (UL) approval for these components.

The consortium of manufacturers included:

• Amp, Inc. • Bell Telephone Laboratories

• Brand- Rex Corporation

• Clecon Metals, Inc.

Collins and Aikman, Inc. • E.I. DuPont de Nemours & Company, Inc. • Fasson Division, Avery International, Inc. • Lamotite Products

• Deering Milliken, Inc. • Parlex Corporation

• Thomas and Betts Company

• Western Electric Company

In addition to chairing the consortium, T+E introduced a Code-change

proposal for FCC to the National Electrical Code. It is important to

realize that while T+E chaired the industrial consortium, it was not

part of the electrical establishment. And, as you will see, the members

of the consortium that were part of the establishment were unable to

fully participate in the Code change activity.

61
In order to accomplish a Code change, T+E assumed the advocacy

position and submitted the Code change proposal to the National Electrical Code Committee (NECC) . The manufacturers produced prototypical

hardware for demonstration of the concept and for testing to establish

the safety inherent in FCC systems. After prototype development was

finished, a complete fact-finding study was conducted by Underwriters

Laboratories (UL) .

The stage was then set — in late 1975 — for a unique series of

actions that ultimately resulted in the granting of a new Code article

for FCC, but not without a fight.

THE NATIONAL ELECTRICAL CODE CHANGE PROCESS

In order to fully understand all of the events that took place in

the battle for a Code article covering Flat Conductor Cable, it is

necessary to understand the relationship of the National Electrical

Code Committee to the National Fire Protection Association, its Board

of Directors, and its Standards Council. The organization chart on the

following page shows the relationship of the National Electrical Code

to not only the NFPA, but also to the American National Standards

Institute.

To obtain a National Electrical Code change, it is necessary to

submit a proposal to the National Electrical Code Committee, which determines which code-making panel should consider the technical merit of the

proposal. In the case of FCC it was assigned to Code Making Panel 7 of

the National Electrical Code Committee.

When the Code-Making Panel has considered and acted upon a proposal,

a report is prepared and forwarded to the Correlating Committee. The

Panel reports its action on each proposal, and if that action was

negative, states why it was negative. Any panel member whose vote is

against the majority vote on a proposal must give the technical justification for his negative vote. The Correlating Committee then examines

the Code-Making Panel reports to assure that there are no conflicts

among panels and also examines the reasons for the negative votes, to be

sure that due consideration has been given to the dissenting votes.

Once the Correlating Committee's actions have been incorporated, the

panel reports become the report of the National Electrical Code Committee. The report of the National Electrical Code Committee is then

submitted to the entire NFPA for approval at its annual meeting.

Unfortunately, Article 328, "Flat Conductor Cable," did not progress

through the steps of approval in a smooth or consistent manner.

The initial draft of what was to become Article 328 was submitted

to the National Electrical Code Committee and acted upon when the

Committee met in the spring of 1976. Code-Making Panel 7 voted to reject

the proposed 1978 National Electrical Code Article 328 for two stated

reasons. First, it was pointed out that the Article was not in the

62
ORGANIZATIONS £ LINES OF AUTHORITY

RELATING TO THE NATIONAL ELECTRICAL CODE

(7)

American National Standards Institute

National Fire Protection Association

Board of Di rectors Other Codes and

Standards Groups

NFPA Standards

Counc i

1

Assistant Vice

President for

Standards

Other NFPA Functions

National Electrical

Code Committee

Other NFPA Codes 6 Standards

NECC Correlating

Commi ttee

Code Making

Panel

Other Code Making Panels (23 in all)

Code Making

Panel 7

Other Articles

1— Article 328

63
(8)

appropriate format. Second, certain long-term tests of the system at

UL were not at the time complete. The first concern, that of format, was the result of a miscalculation on the part of the industry consortium.

The consortium had assumed that the Code Panel would either rewrite the

proposed article to suit is needs, or else direct the submitter to rewrite

it, without rejecting it. The second concern, that UL was continuing to

test, was technically true but was nevertheless a weak point, because the

test results already available exceeded any testing that had ever been

supplied in substantiation of other articles, and had not detected any

adverse results.

Technology + Economics and the industry group overcame these objections

in the course of the next year, and the Code Making Panel agreed to re- consider the proposed article at its December 1976 meeting. At that

meeting, the Code Making Panel took a voice vote on the new Article 328

which was by then reformatted and supported by the complete and final

version of the Underwriters Laboratories Fact Finding Report. The voice

vote at that meeting was 10 in favor and 2 abstentions. The formal,

written ballot 30 days later was 8 affirmative, 2 negative, with 2 who

had voted affirmatively in December determined to be not qualified to

vote on this article. The results, then, were an apparent victory for

Article 328 and it appeared that it would pass through the final approval

processes and be part of the 1978 National Electrical Code.

The next action was by the NEC Correlating Committee. The Correlating

Committee's main role with regard to Article 328 was to determine whether

the Panel vote represented a "consensus" . The determination of consensus

is inherently problematical. It should be noted that the Correlating

Committee must examine on the order of 2000 proposed actions, large and

small, every three years. It is assumed that the Correlating Committee

cannot be technically knowledgeable on these proposals; it is instead

assumed that the Code Making Panels have carried out a full and proper

technical deliberation, so that the Correlating Committee's ruling on "consensus" is essentially non- technical. At the minimum, it is assumed

that the Correlating Committee will not raise any technical questions not

explicitly brought out in the Code Making Panel's report. The problem

is that the Correlating Committee must be highly disciplined in order to

restrict its consideration to issues of "consensus". A further problem

is that even if it does so restrict its consideration, the determination

of "consensus" is almost never divorced from technical considerations.

Technical judgement is involved in determining whether a particular dissenting opinion is of technical merit, for example.

Unfortunately, when it took up Article 328, the Correlating Committee

did not consider the 8 affirmative, 2 negative votes a consensus among the

panel members. The new article was rejected for inclusion in the 1978

National Electrical Code by the Correlating Committee. Upon examination

of the Correlating Committee's deliberations it was found that information

far beyond the reasons put forth by the 2 negative voters was incorrectly

introduced into the Correlating Committee's deliberations. That information not only was inappropriately introduced, but was also completely

without basis.

64
(9)

An appeal was written to the Correlating Committee stating the procedural irregularities that surrounded the Correlating Committee's con- sideration of Code-Making Panel 7*s activity. The Correlating Committee's

reconsideration resulted in a simple majority of the Correlating Committee voting in favor of the new article. Unfortunately, a threequarters majority was required to reverse the Correlating Committee's

previous action, and this majority was not achieved.

At that point, in the spring of 1977, T+E initiated the appeals

process available to anyone proposing a change in the National Electrical

Code. The first step was to present an amendment to the NFPA's

Electrical Section at the NFPA's annual meeting. The presentation

to the Electrical Section resulted in its endorsement of the Amendment

by a 71 to 67 vote. Again, the Correlating Committee met, and dictated

that the Article should not be incorporated in the 1978 NEC, but should

be reconsidered for the 1981 version of the Code.

The following day at the annual meeting of the NFPA, T+E introduced

the article on the floor of that annual meeting for action by the entire

NFPA. Unfortunately, because of the earlier procedural irregularity,

the revised Code article was not contained in the National Electrical

Code report, and copies of the subsequently approved Article 328 had

also not been made available for the membership of the NFPA. According

to the rules established by the Chairman of the NFPA annual meeting, T+E's

representative tried to exercise the right to read the proposed article

into the record. The chair intervened in the reading of the proposal

onto the record and suggested that the assemblage did not wish to spend

its time listening to the entire article being read into the record, even though the rules were that each speaker would have 10 minutes to present

his position, and even though the proponent of Article 328 had been

speaking for less than 3 minutes. The T+E representative made clear his

disagreement with the procedures being followed at the annual meeting.

The annual meeting was forced to vote on the early 1975 version of Article

328 that had appeared in the NEC Preprint, and rejected it since it bore

no relationship to the completely revised scope and language of the article.

A protest was then lodged with the Board of Directors of the NFPA as

is appropriate under the procedures governing the National Electrical Code.

The Board instructed the Standards Council to investigate the protest and

act on behalf of the Board of Directors to resolve it.

T+E presented the relevant information to the Standards Council and

one Standards Council member asked if a Tentative Interim Amendment issued

within 30 days would be acceptable if the Standards Council chose to re- commend such an action to the NFPA Board of Directors. The answer was

that a Tentative Interim Amendment was acceptable as a processing convenience

for correcting the procedural and technical irregularities that had ac- companied the process to date. It was also clearly stated at the time that

it was not acceptable to the proponenets of Article 328 to be allowed to

65
(10)

submit a Tentative Interim Amendment to the same Code-making process that

had to date inappropriately frustrated all efforts to obtain a technically-based resolution of the controversy. Subsequently, the Board

of Directors did ask T+E to request a Tentative Interim Amendment that

would be issued without being subject to review by the normal Code-making

process.

The proposed Tentative Interim Amendment was submitted to the

Standards Council. The Standards Council contacted key members of CodeMaking Panel 7 to establish their position on the issue. By that time,

political pressures had been brought on members of Code-Making Panel 7 to change their vote to oppose the article. Even though the Panel 7 vote was short of that required to 'adopt a Tentative Interim Amendment

under usual NFPA procedures, the Standards Council found unanimously that

the technical facts justified the adoption of Article 328. Hence,

Article 328 was incorporated into the 1978 National Electrical Code by

amendment on October 13, 1977, two months before the 1978 Code took effect.

Based upon the success of Article 328, the manufacturers involved

initiated major product development activities and began planning the

submission of flat conductor cable system hardware for Underwriters

Laboratories approval and listing.

Unfortunately, through lack of foresight, the NFPA's Standards

Council, Board of Directors, and T+E all failed to address the specific

requirements for subsequent processing of Tentative Interim Amendments

that are contained in the NFPA rules governing committees. Because

the Board of Directors failed to explicitly state that Code- Making Panel

7 and the Correlating Committee did not have to review the Board's action

regarding the 1978 Code at the time of the 1981 Code, it was possible for

the staff and officers of the NECC to interpret certain procedures as applicable to Article 328. At this time, Article 328 might not be included

in the 1981 National Electrical Code. This peculiar circumstance can occur because the Board of Director's decision may be overridden by the same subcommittee and committee that the Board chose to override in granting the

release of Article 328. A request that the Standards Council and Board of

Directors of the NFPA review the status of Article 328 and take action

to assure that it be considered on a technical basis is currently pending.

The results are of utmost importance, not only to the public, but perhaps

to the entire consensus code structure. There is little question that the

Board and the Standards Council will find the appropriate path to assure

that the issues are resolved on the technical merits. They have, to this

point, acted completely on the basis of procedural fairness and technical

justification.

66
SEQUENCE OE EVENTS LEADING UP TO

THE ACCEPTANCE OF NEC ARTICLE 32 8

(11)

Spring '76

December '76

February '77

March '77

April '77

May '77

May '77

May '77

June '77

June ' 77

CMP7 Rejects Article 328

T+E Objects to Rejection

I . CMP7 Accepts Article 32 8

Correlating Committee Rejects

Article 328 3+ 6-

T+E Objects to Correlating

Committee Action

*•

Correlating Committee Reconsiders

but Article 328 Fails to get 3/4

Vote Required 5+ 4-

\ Motion to Accept Article 32 8 Passes NEC Section of NFPA

Annual Meeting 71+ 67-

I Correlating Committee Intervenes

to Reject Article

{ . . Procedural Irregularities on the

Part of the NFPA Keep Motion to

Accept Article 32 8 From Coming

to a Vote at NFPA Annual Meeting

I NFPA Board of Directors Hears T+E

Protests and Designates Standards

Council to Act on Behalf of

Board to Resolve the Protest

T Standards Council Hears Protest

October '77

Standards Council Investigates

Issues

t

Standards Council Invites all

Interested Parties to Meeting:

Proponents of 32 8 £ UL Representatives Attend. Opponents to 328

Fail to Attend. Standards Council

Votes Unanimously to Accept

Article 328

67
(12)

STRENGTHS AND WEAKNESSES OF THE NEC PROCESS

Last year the Code Article was accepted for its technical merit,

and it is assumed that it will remain in the National Electrical Code

unless a technical defect is found in FCC systems. To date such systems

have outperformed competing systems in both economy and safety. The

activity that put the article in the 1978 National Electrical Code

displayed a number of interesting features about the consensus code

process as evidenced by the NFPA and the National Electrical Code.

Strengths of the consensus approach as well as weaknesses were evident.

In the discussion that follows, some of the most important strengths

and weaknesses are discussed.

The obvious weaknesses in the NEC are the degree to which the entire

process rests upon vested interests for financial support, technical

validity, and manpower. In general, the participants in the Code-making

process are employed by organizations that have substantial financial

stakes in the outcome of the Code-making process. The existence of a vested interest has two interesting features: The first is that there

is substantial resistance to change that adversely affects the financial

interests of the organizations represented by the individuals that serve

on the Code-making bodies. The second interesting feature of vested interests that became apparent in this project is the vulnerability of firms

attempting to innovate in electrical distribution systems. Those firms

that were members of our consortium were unable to support the project

when protests were lodged, because the protests were lodged against other

vested interests that could influence areas of existing business for the

companies involved. None of the companies were willing to risk the ad- verse impact on their current product line that might be generated by the

protest activities required to achieve a just resolution. Those organizations

opposing Article 328 had the ability to seriously affect the use of other

projects unrelated to Flat Conductor Cable marketed by members of the

consortium.

No user representation is apparent in the Code-making bodies. This is

true and unavoidably so when each Code-making panel member is sponsored by

his own interest group, whether it is an association or an individual cor- poration. No sponsorship appears to be available to finance the travel and

manpower needed to represent the public interest. In addition, as is

frequently pointed out, the relevant knowledge for Code-making rests with

those individuals who are involved in the electrical industry, and it is

difficult to find a knowledgeable representative capable of presenting the

user's viewpoint. In this unusual proceeding, the involvement of T+E

could objectively include the impact on users in a way that would not have

been possible if T+E had had a vested interest in the electrical industry.

68
(13)

It would be possible to include representatives for each panel from

private or public groups representing user or public interests. For

example, HUD or GSA representatives could serve on appropriate panels.

But it is unclear that a few isolated votes could fundamentally affect

an entrenched vested interest system.

A very difficult issue to deal with in the consensus code process is

the concept of social benefit versus social cost in the establishment of

codes and standards. No cost-benefit argument can suffice to foster the

adoption of a Code article if there are any weaknesses in the proposed

hardware when compared with conventional or existing hardware. That is

to say that a wiring system that decreased the cost of wiring buildings

by an order of magnitude would not be adopted if there was any area in

which it did not meet the performance standards met by existing systems

with which it would compete. This would be legitimate were it the case

that existing performance standards are systematically related to actual

minimum safety requirements for a system in real-world use. In fact,

there is no such relationship in many cases. Safety standards, rather, are based on precedent: If conventional components have the capability

of performing up to a certain level, then that level becomes the performance or safety criterion even though this level of performance may

represent an extreme condition that would never be encountered by a system

in actual use. If an innovative system cannot comply with this criterion,

then it is deemed "unsafe" even though it may exceed any criterion demanded by real-world operating conditions. Conversely, if conventional

components cannot meet a real performance standard, the safety criterion

that is established reflects the limitations of these components, making

conventional systems slightly unsafe in objective terms, for want of a satisfactory technical solution. If an innovation comes along that can overcome these limitations, its strong advantage may be unappreciated by

the existing precedent-based system of safety criteria.

The problem relates to types of performance as well as levels of

performance. The technical criteria by which a system is initially judged

are based on tests that are applied to existing products which accomplish

the same function as the proposed system, even though those tests may be

unrelated to the proposed system. Similarly, and unfortunately, it is

possible to fail to realize tests that should be conducted on a new

system and incorporated into the approval process for that system when

those same tests have not been appropriate nor required for the products

with which the system competes.

These problems of social benefit versus social cost are difficult to

deal with and may be no less inherent in any alternative code system than

they are in the present consensus system. The present system could

benefit, though, from a rethinking of this area. The problem involves

Underwriters Laboratories and other independent testing laboratories,

and their complex relationship to the code structure, at least as much

as it involves the formal code bodies themselves.

69
(14)

A further problem is that it is difficult to carry out field test

installations under the current system. There is a potential Catch-22

situation. The Code-making body may require field documentation of a new system as a condition for accepting it; but the only practical way

of getting this field experience may be through having Code acceptance

in the first place. A special or limited field test program might work

to everyone's benefit.

In the case of the National Electrical Code, the unique role of the

Correlating Committee is of importance. The Correlating Committee role

is ost nsibly procedural rather than technical: It determines consensus

and consistency in the Code-making process, and does not explicitly address

technical issues, issues that are considered to be handled by the Technical

Panels. In reality, however, the Correlating Committee must understand

the substance of those technical issues in which a Panel does not reach

consensus. There is a basic question as to whether the Correlating

Committee can understand these technical issues, given its workload and

the fact that it is normally not provided with the technical documentation

for controversial proposals. If the actions on Article 328 are any indication, the primary basis of consideration by the Correlating Committee

has been the range of vested interests it represents. It seems to have

been an historical fact that the concentration of vested interest influences

has been greater in the Correlating Committee than in the Technical Panels.

A related problem of the Correlating Committee is the secretiveness of

its deliberations. No complete transcript of its proceedings is made

available, with the result that there is no assurance that extraneous or unsubstantiated information is not introduced into the proceedings.

The NFPA has been considering stripping the Correlating Committee

of the ability to determine "consensus" — so that its only role will be

to determine the consistency and compatibility of actions by the various

different Code Panels. This change greatly reduces the potential for

abuse of the Code-making process by vested interest pressure.

These weaknesses are substantial and may be of sufficient concern

that the consensus code organizations should consider their impact.

However, there are many strengths in the consensus code process that must

not be compromised in any effort to improve the process to overcome the

identified weaknesses.

The first strength of the consensus code process is the obvious

indepth knowledge brought to the code-making process at minimum cost to

the public. The organizations that are involved in the electrical industry furnish their manpower and pay travel and living expenses for

participants in the code-making process. The knowledge represented by

these individuals is unattainable elsewhere at any cost.

70
(15)

To the degree that the code-making organizations achieved a balanced

representation of the many interest groups that are impacted by any code

change activity, it is possible to establish checks and balances against

individual vested interests. Unfortunately, when a revolutionary wiring

system is proposed, the new system may impact too many of these vested

interests at once to achieve a fair consideration on technical grounds.

While representation continues to be balanced, it is balanced among a number of organizations, all of which perceive themselves as negatively

impacted by the new Code article.

The procedures of the National Fire Protection Assocation provide

recourse to assure that each issue can ultimately be resolved on its

technical merit and through a system of appeals. Unfortunately, the

appeals process is protracted, and the time schedule in the normal code

process reduces the effectiveness of the appeals process in achieving

resolution of technical injustices. It is almost built in to the system

that resolution such as was achieved for Article 328 must come after, not

before, the "final" adoption and promulgation of the new Code.

But the appeals mechanism does exist and is viable for a publicinterest advocacy, such as T+E's, that does not stand to lose by alienating

the NEC Committee membership. While the NFPA Board of Directors and

Standards Council do represent their own set of vested interests, these

interests are very broadly based throughout NFPA's purview; and the members

of. these bodies are very aware of the visibility of their actions and of

their ultimate accountability to the public.

One final strength of the code process is the vulnerability of the

entire consensus code process to alternatives. Congressional committees

have been constantly examining the code-making process to determine

whether or not it can better be accomplished by a government agency or by

an independent organization established specifically for that purpose and

funded with public monies. While it is unlikely that there is a better

procedure available than the consensus code process, the potential of

alternative approaches to the development of codes serves as a powerful

check to assure that the consensus code process is responsive to the

interests of the public and fair in all respects. Should abuse of the

process become widespread, or should even a single instance of blatant

disregard for the public interest be clearly documented, then the consensus

code process might indeed be jeopardized.

71
(16)

CONCLUSION

The ongoing case history of Article 328, at least as it has unfolded

up to the present time, indicates that the consensus code process is

viable and is probably better than any alternative that has so far been articulated. The strength of the present system lies in the technical com- petance of its working participants, and in the insight and integrity of

its leadership. At the same time, there are significant operational barriers

to realizing the fully equitable process that is intended. The main

problem is the scope that is currently allowed to vested interests. Also,

the appeals process, while existent and viable, is so difficult to use

that the case history of Article 328 is almost unique as an exercise of

that process. If the accountability of the consensus code system can be

established in fact as well as in theory, then it can be of major service

in the enlightened advancement of public needs.

72
Electrical Power

Distribution using FlotCbnductor Cables

under carpet squares.

73
What arc the inarcdicnts ?

3 flat conductors .009"*.60O"

o i a * — each

/T>y lar insulated, .025" thick.

Anchoring

System

Adhesive Adhesive: clad

top ^ bottom^ anchor filmadhered to the

-floor - -then the

release paper is removed

as required.

74
Ing redients ?...

Protccti

Shield

8 mil. steel foil for physical

protection^ grounding, and

Safety.

(Same conductivity as &Yjacket)

The Splices

and jpTops

Quick connect joints used

to tap outlets into a

flat cable run..

75
Base plate bonded -to floor.

Top shell installed after carpet.

76
Porpgt squarg ir&tdlatiot\

adhesive

Release adKesi

^Js. Stripe pattern also used

(Some glue only some nouus)

77
Eqsl) to chan

g

e and add outlets

Cut foil) ther\T-Ta|

to netu outlet.

Take up some

Squares until

the main run is found.

Can be -tapped int^

"duct rur\ or old duct.

access hole

Finish by carpet rcplaasrnent.

78
FEDERAL GOVERNMENT ACTIVITIES RELATIVE TO THE

DEVELOPMENT OF VOLUNTARY CONSENSUS STANDARDS

by

Donald R. Mackay

Office of Program Management

Consumer Product Safety Commission

Washington , D . C

.

Federal government agencies have been involved in voluntary

standards activities for many years and have made significant

contributions to the development of consensus standards covering many

product areas. This involvement of Federal agencies has strengthened

the voluntary standards system and has tended to reduce the need

for government regulations.

The policy established by one Federal regulatory agency - the

Consumer Product Safety Commission - regarding the involvement of

its staff in the development of voluntary standards is discussed

in this paper along with the criteria that have been imposed on the

staff in an attempt to reduce the appearance of any conflict of

interest between these activities and the agency 1 s regulatory

responsibilities

.

The philosophy and requirements of the proposed circular published

by the Office of Management and Budget is also described in this

paper. The restrictions on Federal agency involvement in voluntary

standards activities and the objectives of this proposed uniform

Federal agency policy are discussed.

The paper also presents a summary of the voluntary standards

activities of several Federal regulatory agencies and compares the

similarities as well as the differences of some Federal agency

policies and programs.

Key Words: Federal policies, voluntary standards, consensus standards,

voluntary standards system, Federal voluntary standards

policy.

79
Federal Government Activities Relative to the

Development of Voluntary Consensus Standards *

HISTORICAL BACKGROUND

The Federal government has been both interested in and involved in

voluntary standards activities for many years. The National Bureau of

Standards has been represented on committees of the oldest consensus

standards organization in America - The American Society for Testing and

Materials, - since shortly after its establishment in 1902. The National

Bureau of Standards was also associated with the American Engineering

Standards Committee from its establishment in 1909 . In 1919 , the

Department of Commerce along with the War Department and the Navy Department became founding organizations with five engineering societies of

the reorganized American Engineering Standards Committee. This Committee

became the national clearinghouse for engineering and industrial

standardization activities throughout the United States. In 1928,

the committee was again reorganized, this time as the American Standards

Association, the predesessor to the American National Standards

Institute.

Representatives of Federal agencies have contributed significantly

to the development and growth of the voluntary consensus standards

system throughout the years by providing guidance and assistance in

establishing procedures and requirements for the consensus process and

by suggesting voluntary standards projects as well as by providing

technical assistance in developing such standards. This involvement by

Federal agency personnel has not only strengthened the voluntary standard

system generally, but has tended to reduce the need for mandatory govern-^

ment regulations by encouraging the development and use of appropriate

voluntary standards.

CPSC POLICY

One of the first Federal agencies to establish a formal policy

concerning the participation of its staff in the activities of voluntary

standards organizations was the Consumer Product Safety Commission

(CPSC). The Commission, established in May of 1973, is a relatively new

This article was written by Donald R. Mackay, Director,

Voluntary Standards, Office of Program Management, of the Consumer

Product Safety Commission. Inasmuch as it was written by Mr.

Mackay in his official capacity, it is in the public domain

and may be freely copied or reprinted. The opinions expressed

in this article are those of the author. They do not necessarily

represent an official position of the Consumer Product Safety

Commission.

80 !

I

1
independent Federal regulatory agency with responsibilities for

the safety of consumer products. In its first year of existence,

the Commission discussed the need for a formal policy concerning

the membership and participation of its staff in voluntary standards

organizations. The need for such a policy was identified by the Office

of the General Counsel which was particularly concerned about a real

or an apparent conflict-of-interest situation. The lawyers were concerned

that any involvement by Commission senior staff persons in voluntary

standards activities might conflict with their assigned responsibilities

for selecting offerors under Section 7 of the Consumer Product Safety

Act (CPSA) to develop mandatory consumer product safety standards

or for selecting voluntary standards to be mandated by the Commission

under Sections 7 and 9 of the CPSA.

In an effort to avoid any such potential conflict of interest

situations , and in an attempt to reduce the appearance of any possible

conflict of interests between the voluntary standards activities in

which the Commission staff were involved and any regulatory development

proceedings, the Commission developed and implemented a policy to prohibit

certain senior staff persons from being involved in voluntary standards

activities and established specific criteria for those who were

allowed to participate in such activities. The policy identifies

those individuals who, because of their positions, are responsible

for recommending or selecting potential offerors under Section 7 of

the CPSA and for recommending or selecting existing voluntary standards

as possible mandatory standards. These individuals, as well as the

Commissioners, their special assistants, and members of the Office

of the General Counsel, are prohibited from any involvement in voluntary

standards activities.

The Commission policy requires that any individuals who are not

prohibited from involvement in voluntary standards activities can participate as "advisory non-voting" members of standards development

committees or organizations, but only after such participation had been

approved in advance by the Executive Director. This particular requirement provides control over the selection of personnel to represent the

Commission in these activities and provides coordination over the involvement of personnel from various organizational units within the Commission

! in the standards development process.

The Commission policy requires that the meetings of standards

development committees be open to the public, at least for those portions

which the Commission staff attends. This requirement is in line with

the Commission's openness policy which requires that all outside meetings

attended by Commission staff be announced in advance and be open to

the public. The "announcement" requirement is facilitated by a weekly

81
"public calendar" published by the Commission listing all outside meetings

to be attended by Commission personnel. This policy requirement did

cause some standards groups to open previously closed standards development sessions. It also prevented Commission staff from being involved

in several groups that could not function in an open forum.

The Commission policy requiring participation as "advisory, non- voting" members of standards committees was established to preclude any

possible indication of approval by the Commission representative of a voluntary standard. The Commission believed that it would be inappropriate

for the staff to indicate acceptance or approval of a voluntary safety

standard that might subsequently be the subject of a review and critique

during a regulatory proceeding. The policy requires that any listing of

the committee include an explanation that the Commission representative

is an "advisory, non-voting" member of the group. This Commission

policy, which was recently revised to include the changes resulting

from the reorganization of the Commission, has been codified in the Code

of Federal Regulations, Title 16, Part 1031.

In 1976, the Commission became concerned about the need for

establishing specific criteria concerning the type of involvement

of the Commission staff in specific voluntary standards activities

and the approval process for such involvement. In November of

1977, the Commission published in the Federal Register a policy

governing its involvement in specific activities. This policy

was subsequently modified as a result of comments and the revised

policy was published on May 4, 1978, in the Federal Register.

It has been codified in the Code of Federal Regulations as Title 16,

Part 1032.

The Commission's second policy statement describes the importance

of voluntary standards to the overall mission of the Commission, discusses

the types of support the Commission might provide in the development and

implementation of voluntary safety standards, and defines three levels

of involvement in the development of such standards. These levels are "liaison", "monitoring" and "participation" and are defined as follows:

"Liaison" includes responding to requests for information con- cerning the frequency and severity of injuries involving a specific type

of consumer product, providing summaries of in-depth investigation reports,

and describing the Commission ' s policies or programs regarding voluntary

standards

"Monitoring" includes attendance at meetings of voluntary standards

committees and active involvement in the development of the standards

either in person or through correspondence.

"Participation" includes "monitoring" activities and a commitment

of Commission resources to actively support the development and implementation of a voluntary standard.

82
The policy allows the Executive Director to approve liaison and

monitoring projects, but requires that participation projects be approved

by a majority of the Commissioners. These activities must be approved

because Congressionally appropriated funds are to be used to support

specific voluntary standards projects. Such funds could be used to provide

engineering research and assistance in the development of performance

criteria and test methods, to support the development of labeling criteria,

or to provide information and educational materials to support the use

of a safety standard.

At the present time, the Consumer Product Safety Commission is

involved in some 33 voluntary standards projects including 5 liaison

projects, 25 monitoring projects, and 3 participation projects.

Included in the voluntary standards program are monitoring projects

for smoke detectors , energy conservation devices , television sets

,

solar collectors, and ranges and ovens, to name some that might

be of interest or concern to building code officials. One of the

participation projects concerns voluntary standards for bathtubs

and shower enclosures. These standards, which have just been approved

by ASTM, provide performance requirements for slip-resistant bathing

surfaces, thermal shock prevention devices, and temperature limiting

scald burn prevention devices. These standards will become the

topic of discussion among building code officials in the near

future because they will not become effective unless they are referenced in state and regional codes.

The voluntary standards project for bathtub and shower enclosures

provides a good example of why and how the Commission interacts

with the voluntary standards system. In 1973, bathtubs and shower

enclosures were ranked 14th in a list of 369 consumer products on the

Commission's product hazard index. In an attempt to identify the

hazard patterns associated with bathtubs and shower stalls and to

develop possible corrective actions, the Commission contracted

with Abt Associates in Cambridge to analyze the Commission's injury

data and to develop ways to reduce these hazards. While this contract

study was being conducted, a task force was set up in ASTM's newly

established Committee F-15 on Consumer Product Safety to develop

voluntary safety standards which would effectively address the

hazards associated with the use of bathtubs and shower stalls.

One major complication to the initiation of a voluntary standards

effort was a Department of Justice consent decree which restricted joint

industry activities and appeared to preclude the involvement of the

producers in the development of voluntary standards . A request was made

by ASTM to the Department of Justice to provide an opinion as to whether

or not participation by the industry in the development of ASTM consensus

standards would represent a violation of the consent decree. After

several months, the Justice Department suggested specific procedures,

including the involvement of consumers and general interests in

83
the standards development process, that would tend to avoid anti -trust concerns and restraint of trade problems.

Once this assurance was received, the ASTM Task Force F15.03 was established and held its initial meeting in April of 1975. One of the

first actions the task force took was to write to the Commission

to ask that it withhold the development of any mandatory standards for

bathtubs and shower stalls while ASTM was actively engaged in developing

voluntary safety standards that would adequately and reasonably address

the identified risks of injury. This request to the Commission was based on information that the Commission was considering the initiation

of mandatory standards, and a recommendation in the report from the Abt

contract study. The Commission indicated that while it could not

guarantee that it would not initiate a mandatory standards proceeding

at some time in the future, the Commission had no immediate plans

to do so.

The ASTM Task Group F15.03, using the Abt report and the Commission's

injury data, decided to address not only the slipperiness of bathing surface

but also, the need for requirements for grab-bars, and the hazards of hot

water burns and thermal shocks. Representatives of companies producing

each of these products were invited to join the task force along with

consumers and general interest representatives. The membership of the

task group totaled over 100 persons and was appropriately balanced so that

no one group dominated the discussions and decisions of the task group or

its subgroups

In June of 1976, just 14 months after the task group was formally

established, proposed standards had been developed for

1) slip resistant bathing facilities,

2) grab-bars and accessories installed in the bathing area,

3) scald-preventing devices, and,

4) thermal-shock preventing devices.

These standards were subsequently subjected to letter ballots within

the Task Group and the F-15 Committee where they encountered some opposition

The resulting negative ballots took time to resolve and required some additional research and testing. Finally, after a Society ballot, and the

resolving of additional negative ballots, the four standards were approved i for publication on August 12, 1978.

During the standards development process, the Commission was appropriately represented on the task force and its subgroups.

Representatives from the Commission's Voluntary Standards Division, its

Bureau of Engineering Sciences, and its Bureau of Information and Education

attended many of the meetings and participated in the discussions relating

to the development of the requirements and test methods. The Commission

also supported key research work at the National Bureau of Standards

in the development of a test method and testing equipment to measure

!

I

84
the slipperiness of bathing surfaces.

It appears at the present time that the effectiveness of the four

standards approved by ASTM for improving the safe use of bathtubs and shower

enclosures will be dependent upon the adoption of these voluntary

standards by state and local code authorities and by the nationally

recognized building codes. The increased costs of products meeting the

ASTM standards will not induce individual builders or homeowners to

install this equipment in new homes, townhouses and apartments. Builders

will have to be encouraged to procure and install this equipment.

The problem of encouraging the use of those products meeting the

ASTM safety standards might be reduced if the Commission promoted the

use of these products, and if the FHA and VA specifications required the

installation of these products, but the greatest support would come from

the incorporation of requirements for improved safety in the nationally

recognized building codes. This approach will be considered by the

Commission within the next year as the bathtub and shower safety project

is reviewed and reevaluated. Obviously, the safety standards will not

benefit anybody if they just sit on ASTM shelves. And with hazards

associated with products such as these, which last a life-time or more,

it is very difficult to mount effective retrofit programs. To my mind,

the way to solving problems such as those associated with bathtubs and

shower stalls is through the model building codes and through building

code officials.

OMB CIRCULAR

In December of 1977, the Office of Management and Budget (OMB)

published a proposed circular which established a policy for Federal

agency involvement in voluntary standards activities. This circular was

the administration * s response to several bills that had been debated in

the U.S. Congress concerning the voluntary standards system in the

United States and the need for Federal intervention into the system.

The OMB proposed circular provided for:

1) Federal agency reliance upon, and use of, voluntary consensus

standards, whenever feasible and appropriate, as a means of reducing and

eliminating redundant Federal efforts to develop and maintain in-house

Government standards;

2) Federal agency participation in, and support of, standardsdevelopment activities of voluntary organizations having approved

procedures so that the current confusion and lack of uniformity among

Federal agencies in this regard can be eliminated, and

3) Coordination of Federal agency participation in voluntary

standards-developing bodies so that the most effective use is made of

Federal agency representatives and the views expressed by such representatives do not conflict with the views and interests of Federal

agencies ."

85
The draft Circular provided guidelines with regard to each of these

policy principles - primary among which is the requirement that, as a precondition to Federal participation, voluntary consensus standardsdeveloping bodies must abide by appropriate procedures* for ensuring due

process. The proposed Circular also assigned to the Secretary of Commerce

the responsibility for directing and overseeing the implementation of

the proposed policy.

Specifically the policy proposed in the OMB Circular provided that:

1) Voluntary consensus standards will be adopted, in whole or in

part, and will be used by Federal agencies in lieu of developing and

using in-house standards when voluntary consensus standards will serve

the agencies purposes and are consistent with applicable laws and regulatio

2) Voluntary consensus standards will be assigned preference in

procurement actions in the absence of mandatory Federal standards unless

use of such voluntary consensus standards would result in impaired

functional performance, unnecessary overall cost to the Government or

the Nation, anticompetitive effects, or other significant disadvantages;

3) Voluntary consensus standards will be utilized in Federal

regulatory applications after a careful evaluation of such standards

assures their adoption and use to be in full accordance with the agencies

statutory missions and responsibilities , and other applicable laws and

regulations

4) Voluntary consensus standards which are adopted by Federal

agencies will be cited, along with the dates of their issuance and

source of availability, in appropriate publications, regulatory orders,

and related in-house documents;

5) Notwithstanding the foregoing, agencies will not be inhibited,

if within their statutory authorities from developing and using in-house

standards in the event that voluntary standards-developing organizations

cannot or do not develop a standard needed by, and acceptable to, these

agencies or do not do so in a timely fashion. Nor shall the policies

contained in this Circular be construed to commit any agency to the use

of a voluntary standard which, in its opinion, is inadequate, does not

meet statutory criteria, or is otherwise inappropriate for the agency

concerned.

Further, the OMB proposed circular recommended that specific criteria

be met prior to participation in voluntary standardization activities.

These criteria included the following provisions:

1) Participation by Federal agency representatives shall be authorize

by apropriate agency officials but such participation, of itself, shall

not connote agency agreement with, or endorsement of, decisions reached

by voluntary standards-developing committees or of standards approved

86
and published by voluntary consensus standards -developing bodies.

2) For regulatory applications, participation by Federal agency

representatives should be aimed at contributing to the development of

voluntary standards which will minimize the need for development of

mandatory Federal standards or, as a minimum, collecting technical and

other information which will provide a basis for well-considered Federal

regulatory actions.

3) Federal agency participants in voluntary consensus standardsdeveloping committees will avoid dominating or exerting undue influence

in such committees. The number of individual Federal agency participants

on a given voluntary standards -developing committee shall be kept to the

minimum required for effective presentation of the various program,

technical, and other concerns of Federal agencies.

4) The granting of Federal support to a voluntary consensus standardsdeveloping committee shall be limited to that which is clearly in furtherance

of an agency's missions and responsibilities. The amount of Federal

support given shall be no greater than that of all non-Federal participants

in that committee

.

5) Participation by agencies should not extend to decision making

involvement in the policy making process of voluntary standards-developing

bodies (e.g., election of officers, setting of membership fees), except

in accordance with the policies and precedures established by the Secretary

of Commerce

.

Finally, the proposed OMB Circular established certain preconditions

for Federal involvement in the activities of voluntary consensus standardsdeveloping bodies. These preconditions included the following:

1) That adequate public notification of meetings and other standardsdevelopment activities is provided;

2) That standards -development meetings are open to interested persons

and that unreasonable restrictions on membership on standards -development

committees by means of professional or technical qualifications, trade

requirements, unreasonable fees, or other such restrictions are avoided;

3) That standards-developing bodies make a good faith effort to

achieve appropriately balanced representation of all affected interests on their standards-developing committees. Such representation may include,

for example consumers; small business concerns; manufacturers; labor;

suppliers distributors; industrial, institutional and other users; environmental and conservation groups; and state and local procurement and code

officials;

4) That prompt and full consideration is given to the expressed views

and interests of all interested persons;

87
5) That adequate and impartial appeals mechanisms are in force

for use by interested parties;

6) That appropriate and complete records are maintained of formal

discussions, decisions, standards drafts, technical or other rationale for 1 critical requirements of standards, meeting minutes and balloting results;

and that such records are readily accessible to all interested persons on

a timely basis;

7) That literature published by standards -developing bodies specif ice

state that participation by Government officials in that organization does

not constitute Government endorsement of that organization or the standards

which it develops;

8) That standards -developing bodies agree to utilize the Department c Commerce mediation and conciliation service, as described in paragraph

7a(6), in the resolution of procedural complaints by private sector

parties, and to be bound by the results of that process, provided that

appeals procedures of the voluntary consensus standards -developing

bodies have been exhausted.

10) That existing standards are periodically reviewed and revised,

as necessary, and that access to the review process is granted to all

interested persons;

11) That preference is given to the use of performance criteria

in standards development when such criteria may be used in lieu of

design, materials, or construction criteria.

i

i Clearly, the proposed OMB circular attempts to establish reasonable requirements for involvement of Federal personnel in the

voluntary standards system and in the development of voluntary

consensus standards, while proposing certain procedural requirements

in the organizations developing such standards. The restrictions

proposed in the OMB circular are intended to improve the consensus standards development process, the standards themselves and the

organizations responsible for them. Although the Federal government

cannot dictate requirements and improvements to the voluntary system,

it can establish some conditions for Federal involvement and participation in the system. The results of the final OMB Circular,

whenever it is issued, should have a significant impact in the

voluntary system.

SUMMARY OF FEDERAL ACTIVITIES

: The National Bureau of Standards probably has the longest

history of involvement in the development of voluntary consensus standards and undoubtedly has the greatest number of employees

participating in the voluntary standards system. However, it is

interesting to note that eleven cabinet level Federal departments

and seven other Federal agencies are involved in the activities

related to the development of voluntary standards. Each of the

88
eighteen Federal agencies are identified in the Appendix with the

major voluntary standards organizations to which they provide

representatives

.

Only a few Federal agencies have as yet established formal

policy statements governing the participation of staff personnel

in the development of voluntary standards and membership in voluntary standards organizations. Some agencies have no official

policies but rely on the judgement of the official responsible for

authorizing travel to meetings of voluntary standards committees

and organizations. Other agencies, such as the National Bureau of

Standards, the Food and Drug Administration, and the Consumer

Product Safety Commission have an established policy and require

approval in advance to represent the agency on particular standards

committees

.

The major difference in the various established policies concern

the issue of voting on the approval of standards . The National

Bureau of Standards, for instance, allows its staff representatives

to ballot on the approval of voluntary standards. The Consumer

Product Safety Commission, on the other hand, prohibits its staff

from voting or otherwise indicating approval of voluntary standards.

One other significant difference between standards policies of different

agencies concerns the openness of the meeting convened by standards

development organizations. The Commission specifically prohibits

the attendance of its staff at meetings which are closed to the

public while other agencies are silent on this matter. The last

difference which should be mentioned concerns the encourgement of

standards development under full consensus procedures. The Commission policy specifically encourages the involvement of its staff

members in the development of consensus standards through committees

that are appropriately balanced with representatives of all valid

interests. Other agencies allow their staff to be involved in the

development of industry standards through committees that are not

appropriately balanced.

CONCLUSION

The Federal government and its several agencies have a definite

interest in the development of voluntary consensus standards and in

the success of the voluntary standards system in the United States.

Over the years, Federal agencies have made significant contributions,

both technical and administrative, to the development consensus

standards covering many product areas . This involvement of Federal

agencies has strengthened the voluntary standards system in the past

and it is anticipated, particularly with the finalization of the

OMB Circular, that such Federal involvement will continue to strengthen

and improve the system in the future.

The role of building code officials and nationally recognized

building code organizations is very important to the successful

89
implementation and use of voluntary consensus standards for it is

only through the adoption by regulatory agencies with compliance and

enforcement powers that the many voluntary standards become very

effective in improving health and safety and in reducing hazards

and other problems which these standards were designed to address.

Therein lies a challenge both to building code officials and

voluntary standards organizations - to involve the building code

officials and representatives of national building code groups in

the initiation and development of voluntary consensus standards

that may subsequently be referenced in nationally recognized building

codes and subsequently enforced by state and local building code

officials. For, if these persons are involved in the development

process as well as the approval process, the resulting standards

will obviously be more acceptable to those who will be able to

reference them in building codes and enforce them at the local

level.

The challenge is to encourage the standards development com- mittees to invite the building code officials to the standards

development table and to stimulate the building code officials

to willingly participate in voluntary standards activities. It will

only be through this type of a voluntary process that we will be

able to make progress in improving our living standard as well

as our building requirements.

90
APPENDIX I

LISTING OF FEDERAL AGENCY INVOLVEMENT IN

VOLUNTARY STANDARDS ACTIVITIES

(A partial listing of organizations)

Department of Agriculture

American Society for Testing and Materials

American Society of Mechanical Engineers

Association of Official Analytical Chemists

National Sanitation Foundation

Department of Commerce

Aerospace Industries Association

American Association of Textile Chemists and Colorists

American Gas Association

American Nuclear Society

American Public Health Association

American Society for Testing and Materials

American Society of Mechanical Engineers

Electronic Industries Association

Instrument Society of America

National Electrical Manufacturers Association

National Fire Protection Association

Outdoor Power Equipment Institute

Society of Automotive Engineers

Underwriters 1 Laboratories

Department of Defense

Aerospace Industry Association

American National Standards Institute

American Society for Testing and Materials

American Society of Mechanical Engineers

Electronics Industry Association

Society of Automotive Engineers

Department of Energy

American National Standards Institute

American Nuclear Society

American Public Health Association

American Society for Testing and Materials

American Society of Mechanical Engineers

National Council on Radiation Protection and Measurements

Department of Health, Education, and Welfare

American National Standards Institute

American Society for Testing and Materials

Association for the Advancement of Medical Instrumentation

Institute of Electrical and Electronics Engineers

National Council on Radiation Protection and Measurements

National Fire Protection Association

Society of Automotive Engineers

91
Department of Housing and Urban Development

American Lumber Standards Committee

American National Standards Institute

American Society for Testing and Materials

National Fire Protection Association

Department of the Interior

American National Standards Institute

American Nuclear Society

American Society for Testing and Materials

American Society of Mechanical Engineers

National Fire Protection Association

Department of Justice

American National Standards Institute

American Society for Testing and Materials

Deapartment of Labor

American Industrial Hygiene Association

American National Standards Institute

American Society for Testing and Materials

National Fire Protection Association

Department of Transportation

American National Standards Institute

American Society for Testing and Materials

National Committee on Uniform Traffic Laws and Ordinances

Society of Automotive Engineers

Department of the Treasury

American Petroleum Institute

American Society for Testing and Materials

Association of Official Analytical Chemists

Consumer Product Safety Commission

American National Standards Institute

American Society for Testing and Materials

National Swimming Pool Institute

Society of Automotive Engineers

Underwriters 1 Laboratory

Environmental Protection Agency

American Health Physicists Association

American National Standards Institute

American Public Health Association

American Society for Testing and Materials

American Society of Mechanical Engineers

92
Federal Communications Commission

American National Standards Institute

General Services Administration

American National Standards Institute

American Society for Testing and Materials

National Aeronautics and Space Administration

American Institute of Aeronautics and Astronautics

American Institute of Electrical Engineers

Society of Automotive Engineers

Nuclear Regulatory Commission

American National Standards Institute

American Nuclear Society

American Public Health Association

American Society for Testing and Materials

American Society of Mechanical Engineers

Institute of Electrical and Electronics Engineers

National Council on Radiation Protection and Measurement

National Fire Protection Association

Veterans Administration

American Association of Medical Instrumentation

American National Standards Institute

American Society for Testing and Materials

National Fire Protecton Association

Underwriters 1 Laboratories

93

THE FORMULATION OF SENSIBLE REGULATIONS

FOR ACCESSIBLE REHABILITATION HOUSING

by

Arvid Eric Osterberg, Assistant Professor

Iowa State University

Ames, Iowa

In order to achieve better housing alternatives for America's

elderly and disabled populations, sensible regulations covering

accessibility are necessary. A more accessible housing market could

help reverse the present rise in the number of dependent care settings.

The regulation of new construction in terms of accessibility will soon

be easier with the publication of the American National Standards

Institute, Inc. (ANSI) standard on accessibility for the physically

disabled. While the document is expected to be comprehensive in terms

of new construction, the same standards may not be appropriate in

regards to the adaptation of existing housing. Additional research on adaptation is necessary in order to formulate guidelines for making

existing housing units accessible for wheelchair bound individuals.

The new research should include a study of a variety of existing

housing units which have been adapted and modified by disabled users to

become more accessible. Methods for programming designs of housing

projects with future adaptations in mind need to be explored. Until

these new research findings become available, regulatory officials will

have little to guide them in regulating housing adaptations.

Key Words: accessible; disabled; regulations; housing.

95
INTRODUCTION

There is a growing movement in this country to create better

housing opportunities for the elderly and disabled populations. Americans

can expect to see an expanding trend towards the rehabilitation of

existing housing stock in the next few years due to the sharp rise in

the cost of new housing.

Relocating elderly and disabled individuals to new housing is

becoming costly in other respects also. Elderly residents living alone,

for example, often experience physical setbacks which result in forced,

and often premature moves to nursing care settings. In the case of an elderly widow who breaks a hip, for example, a long hospital stay

followed by an extended period in a wheelchair can be expected. If her

home is not barrier free she may be forced into a nursing home, may then

become more dependent than she was previous to her injury, and may never

return to her own home again. The alarming rise in the number of

dependent care settings for elderly Americans can be slowed to some extent if existing housing can be adapted to be more supportive for those

individuals.

THE IOWA EXAMPLE

In order to explore the regulatory implications for accessible

rehabilitation housing it is useful to review what has happened in the

State of Iowa.

In 1975 the State of Iowa passed a law which was to provide better

housing opportunities for the physically disabled. The law, which has

since been revised, required that all new apartment buildings with five

or more living units must have 10% of those units completely "barrier

free" or "accessible." As a result Iowa now has over 400 new barrier

free apartments. However, as few as 53 disabled people are actually

living in the 400 new barrier free apartments. One reason for this is

that the rents (usually ranging from $200 to $300 per month) are too

high for most disabled people. Additionally, most of the new housing

projects are located far away from public transportation and services.

Another problem is that when disabled people do not rent the special

apartments, the units are difficult to rent to able bodied people. There

seems to be a stigma attached to the "specially" designed units, making

them less desirable for the population at large. Many builders and

developers are currently complaining that even after advertising apartments as "specially designed for the handicapped" they are not renting

them. And the cost of these vacant apartments is being borne by the

rest of the tenants.

These problems have recently resulted in a relaxation of the 1975

state law. Under the revised law, accessibility requirements apply

96
only to apartment structures having more than 12 units instead of five.

The Iowa example raises a question relating to the idea of regulating the number or percentage of units to be accessible. While the

intention behind the idea is well founded, the regulation did not seem

to work very well. The new accessible housing has been inappropriately

located, inappropriately designed, and inappropriately marketed to the

public and thus has not met the needs of the disabled population.

LOCATIONAL ISSUES

In terms of locational issues the answer may lie not in regulations

but rather in studying the various locational factors as they affect

each project. A checklist of important locational issues can serve as

a guide to regulatory officials.

The following example may be included in such a checklist.

Is the site of the proposed project

1) convenient to "accessible" public transportation?

2) within a few blocks of grocery shopping?

3) surrounded by a neighborhood with well lighted sidewalks,

curb cuts, ramps, and accessible parking areas?

4) surrounded by a relatively flat terrain?

Assuming that locational factors such as these can be effectively

monitored by local officials rather than regulated by law, how csm we

insure that the living units themselves are appropriately designed for

disabled residents? The answer here is not a simple one. In order to

examine this question further, let us first look at the regulatory

process in regard to new construction.

REGULATING NEW CONSTRUCTION

A new revised ANSI standard document on accessibility will be

available in the coming months. The original document, ANSI Standard

117.1, published in 1961 by the American National Standards Institute,

Inc., was entitled "Specifications for Making Buildings and Facilities

Accessible to, and Usable by, the Physically Handicapped". The outdated

1961 document will now be replaced by a totally revised and much more

comprehensive document.

While there are bound to be problems with the new standard, it does

appear to be a step in the right direction. It is anticipated that the new standard, once it is made public, will achieve rapid acceptance at

the federal, state, and local levels.

97
REGULATING ACCESSIBILITY MODIFICATIONS FOR EXISTING HOUSING

The challenge to make much of the existing housing stock accessible

is a great one indeed. As was mentioned in the Iowa example earlier, the

cost of new accessible housing is prohibitive for much of the disabled

population. Therefore, more often than not, disabled individuals are forced to try and make do with old, obsolete, but less expensive

living facilities. In examing how a variety of individuals have

managed to adapt their homes or apartments to become accessible the

author has noted that doors are frequently removed to provide easier

access between rooms. The current recommended clear opening width of

32 inches often cannot be achieved without the complete removal of a door. This may be because the door itself is too narrow or because

the door does not swing to a fully opened position. Even when doors are wide enough they may continually get in the way for wheelchair

users. This does not imply that we should do away with all interior

doors. It does imply that we must employ sensible design procedures to

insure that doors function as well for wheelchair bound individuals as they do for fully ambulatory individuals. A thorough study of the

multitude of existing interior doorway arrangements should be initiated

in order that guidelines for adaptive design can be written. A variety

of existing living settings should be examined and studied carefully to cover the spectrum of possible doorway conditions which now exist.

In addition to doors and doorways, kitchen and bathrooms have

traditionally presented problems for disabled users. These areas of the

home also need to be extensively studied before sensible guidelines for

adaptation housing can be drafted. Many disabled individuals have been

extremely innovative in adapting their behavior in order to use an unsuitable kitchen or bathroom. The author recalls a guadriplegic

individual in a motorized wheelchair who braced her wheelchair against

a kitchen base cabinet in order to gain leverage to open a refrigerator

door. If the cabinet had not been there, the opening of the

refrigerator door would have been impossible for her. Other disabled

residents have been observed using sticks to knock things off shelves,

elbows or shoulders to flip switches, and teeth to turn knobs. In many

cases this sort of behavior adaptation or gymnastics is what gives

individuals their independence.

In addition to modifying their behavior disabled users often modify

their physical environment as well. An example already cited was the

removal of doors between rooms. Another example is the lowering of

shelves and clothes rods in closets to gain access from a wheel chair.

Adaptation to floor surfaces, mirror heights, faucet controls, toilet

seats, etc. have also been observed.

In order to fully research the subject of adaptation, two general

approaches should be followed. The first approach should be to

investigate the existing housing units which have been modified and

98
document the adaptation in those settings. Creative user adaptation

techniques should be fully documented in order to aid other disabled

users and to aid designers in modifying existing environments. The

results of this research approach would be used to help solve the

immediate problem of allowing disabled residents to stay in their own

homes rather than having to move into more costly housing or more dependent care settings.

A second recommended research approach to studying adaptation should

be the exploration of procedures for the programming and design of new construction with future adaptation in mind. It is anticipated that

other states may soon follow Iowa in requiring a percentage of housing

units be designed to be "barrier free" or completely accessible to

wheelchair bound individuals. As these laws take effect the managers

of housing projects can be expected to complain about the barrier free

units being unacceptable for able bodied residents, more expensive to

build, and difficult to rent. The findings from this second research

approach may lead to a long term solution to this problem by providing

planners, designers and builders with better design methods and low

cost adaptation procedures that allow for future adaptations to be made

as necessary.

CONCLUSION

The author maintains that regulations resulting from the revised

ANSI standard on accessibility will receive rapid and wide acceptance at

the federal, state and local levels. These regulations, however, will

mostly affect new construction and will not solve the problem of

regulating adaptations to existing housing. Since residents are often

forced, because of economic reasons, to stay in their present living

units, or to relocate to older buildings following a disabling injury

or illness, the new ANSI standard on accessibility will only affect a portion of America's disabled population as far as housing is concerned.

Discovering appropriate design methods for adaptation thus becomes

an important area of concern for the country's disabled population. In

order to develop sensible guidelines for the adaptation of existing

housing new research efforts are called for. The results will not only

benefit existing facilities but can be expected to lead the way towards more intelligent design strategies in the planning of new housing

construction as well.

Until these new research findings become available the question

which regulatory agencies and officials must face is, should accessibility

adaptations in housing be regulated? It is the author's opinion that

guidelines are now a better alternative than regulations because in spite

of the recent surge of activity relating to barrier free design, planners,

designers and architects are only beginning to understand the full range

of design implications of a barrier free America.

9

99
RECOMMENDED READINGS

1. Barrier Free Site Design , U.S. Government Printing Office, The

U.S. Department of Housing and Urban Development, Office of Policy

Development and Research, 1975.

2. Bednar, Michael J., Barrier-Free Environments , Dowden Hutchinson

& Ross, Inc., Stroudsburg, Pa., 1977.

3. Goldsmith, S., Designing For the Disabled , London, Royal Institute

of British Architects, Technical Information Service, 1963.

4. Mace, Ronald L. Accessibility Modifications, Guidelines For

Modifications to Existing Buildings For Accessibility to the

Handicapped , State of North Carolina, 1976.

5. Mace, Ronald L.A.I. A. and Laslett, Betsy. An Illustrated Handbook

of the Handicapped Section of the North Carolina State Building

Code , State of North Carolina, 1974.

6. Mobile Homes, Alternative Housing for the Handicapped , U.S.

Government Printing Office, The U.S. Department of Housing and

Urban Development, Office of Policy Development and Research, 1977.

7. Resource Guide to Literature on Barrier-Free Environments , Architectural and Transportation Barriers Compliance Board, U.S.

Government Printing Office, 1977.

8. Laurie, Gini, Housing and Home Services for the Disabled:

Guidelines and Experiences in Independent Living , Harper & Row,

Hagerstown, Md. , 1977.

100
DESIGNING FOR ACCESS TO, MOVEMENT WITHIN, AND

EGRESS FROM BUILDING AND SITES:

EFFECTIVE RESEARCH FOR MORE REASONABLE REGULATION

by

Fred I. Stahl

Environmental Design Research Division

Center for Building Technology

National Engineering Laboratory

National Bureau of Standards

Washington, D.C. 20234

ABSTRACT

This paper discusses needs for a more complete and effective technical

basis for design standards impacting occupants' access to, movement within,

and egress from buildings and building sites. It is suggested that a major

cause of injury and death from fire, and of inconvenience and psychological

stigma tization to physically handicapped persons, results (even in codecomplying buildings and sites) from adherence to design regulations narrowly

founded upon physical and engineering principles alone. This paper recommends that psychological aspects of dangerous and stressful situations guide

the development of standards for emergency egress facility design, and that

such therapeutic objectives as "normalization" guide development of barrierI free design regulations. Finally, this paper outlines particular programmatic themes and research tasks, and discusses the role of the National

Bureau of Standards in improving the technical basis for egress and accessibility design regulations.

Key Words: Architectural barriers; building design; building site planning;

environmental psychology; evaluation; fire escape; human research

measurement; pedestrian movement; regulation; safety; standards.

101
INTRODUCTION

The Environmental Design Research Division of the Center for Building

Technology, in collaboration with the centers for Fire Research and Consumer

Product Technology, National Bureau of Standards (NBS) , is working to develop

a more complete understanding of pedestrian behavior within buildings. Two

important aspects of this overall effort include designing to facilitate

the mobility of physically handicapped persons, and providing effective means

of emergency egress for all building users. In this paper, the problem of

developing an effective technical basis for access/egress standardswriting is explored.

Current design standards for access and egress derive primarily from

engineering or other physical procedures and constants (e.g., computations

of flow rates through doors, down stairs, etc.; minimum corridor width required

for wheelchair passage). An important shortcoming, however, is that such

standards take almost no account of the psycho-social aspects of either fire

emergencies or physical disabilities. We are learning, though, that such

non-physical aspects cannot be ignored. Persons in fires may not always be

counted upon to utilize means of egress in ways anticipated (and hence accom- modated) by the designer. A wheelchair-bound individual may not always

utilize a particular facility (though specially designed and constructed to

be accessible) if doing so increases the "obviousness" of his handicap.

Developing building design standards for accessibility by the handicapped,

and for emergency egress, is a complex and difficult task. Important complications arise from the fact that pedestrian behavior involves a number of

interacting and psychological factors. These are frequently lost, or at

least oversimplified, in most engineering specifications and prescriptions.

Moreover: (1) even within a single code-defined occupancy, functional characteristics and levels of potential risk ofen vary widely; (2) within any

building, occupants often vary widely in terms of their perceptual, cognitive,

and motor capabilities; and (3) although the standards-writer will never have

an unequivocal data base from which to draw when dealing in the interface

between the physical features of buildings and the behavioral responses of

human beings, the existing technical base forces him to make gross (and often

untested) assumptions.

Unfortunately, empirical data describing the effects of psychological

and social factors upon emergency egress, and on mobility, are virtually

nonexistent. Morever, Stahl [9] and Stahl and Archea [10] recently suggested

that data which has been reported may not be entirely valid. Even such widelyused physical quantities as flow rates on stairs, ramps, and along level

surfaces are seriously questioned by Pauls [6] and Turner [11]. Our objectives, then, are to identify gaps in technical bases supporting access/egress

design standards, to suggest appropriate avenues for future research, and

to discuss the role of NBS in this area.

102
MODEL CODES AND REGULATORY LEGISLATION:

PROBLEMS RESULTING FROM THE APPLICATION OF INCOMPLETE

TECHNICAL BASES

I 1 V Regulatory legislation and the model building codes recommend design

standards for improving accessibility to buildings and sites, and for

increasing the effectiveness of means of emergency egress from buildings.

Often, such standards are supported by incomplete knowledge. Consider the

jemergency egress problem, for example.

In the United States, design guidelines for emergency egress first

appeared during the 1920' s. These were developed from analyses of major

building fires, such as the Iroquois Theater fire, the Collinwood School

fire, and the Triangle Shirtwaste Company fire. The Building Exits Code , first published by the National Fire Protection Association (NFPA) in 1927,

contained the first model standards for emergency egress. After the disasterous fire in 1942 at Boston's Coconut Grove night club, the Building Exits

Code (now known as the Life Safety Code ) was increasingly used as a basis

I for design regulation and legal action. Chapter 5 of this code deals specifically with the design and provision of means of egress.

In general, emergency egress provisions recommended by the principal

model code-writing organizations are adaptations from NFPA's Life Safety

Code . These provisions fall into the following major categories: (a) arrangement of exits; (b) minimum number of exits; (c) occupant loading; (d) exit

width; (e) exit capacity; and (f) exit protection.

Empirical data applied to the calibration of such design standards

derive primarily from the observation of pedestrian movement during nonemergency - and from non "drill" - situations. For example, the Appendix

notes to Chapter 5 of the Life Safety Code inform us that the standard 22-

inch (.55 m) unit width is derived from the average space needed for the

free flow of a single file of pedestrians. Similarly, the specified flow

rates of 45 persons per minute per exit unit down stairs, and 60 persons

per minute per exit unit on level surfaces are based on the movement of

single files of able-bodied occupants. The questions of whether pedestrians

really do move in linear files, or whether all persons may be categorized

as able-bodied, are not systematically accommodated within these standards.

Moreover, one may question whether the kinds of behavior used as a basis

for emergency egress design standards are indicative of egress behavior

during real emergencies.

Examples which illustrate such shortcomings are nursing homes, in

which a sufficient number of staff members trained to quickly evacuate residents from the danger zone is frequently unavailable. Many anecdotal accounts

of specific incidents are available (e.g., newspaper stories and eye-witness

descriptions), and these may be interpreted to suggest that code complying

emergency egress facilities (including horizontal egress to refuge areas)

are often not utilized as anticipated by building designers.

103
For instance, residents of nursing homes have been reported to return

to the danger zone, even after having attained refugee in a fire stair enclosure, for various idiosyncratic reasons (e.g., to retrieve a bottle of medica'

tion, or to collect family photos). In addition, residents have been reported1 to equivocate when responding to a fire alarm, exhibiting slow and uncertain

movement toward emergency exits, movement along indirect routes, or even no movement toward the exits at all. Finally, many residents of nursing

homes must be evacuated with the assistance of at least one staff member,

and some emergency plans even require patients to be rolled out on their

beds. Such anecdotes plainly question the hypotheses which appear to be

built into current standards for the design of emergency egress facilities.

There is no way to determine whether deaths in nursing home fires resulted

from specific failures in the design of exitways. We are constantly reminded,

however, that: 31 people died in the Harmer House (Marietta, Ohio) fire

in 1970; 10 people perished in the Baptist Towers Nursing Home (Atlanta,

Georgia) fi re in 1972; 7 died in the Sac-Osage Hospital (Osceola, Missouri)

fire in 1974; and 26 died in the Windcrest Nursing Home (Chicago, Illinois)

fire in 1976.

In spite of many unanswered questions, emergency egress provisions

of the model building codes are currently enforced by most regulatory jurisdictions in the nation. Moreover, provisions of NFPA's Life Safety Code are incorporated into Federal legislation and regulations concerning building

construction. For example, NFPA's emergency egress design standards are promulgated by the Occupational Safety and Health Administration (OSHA).

In addition, Title XVIII of the Social Security Act requires that owners

of nursing homes receiving Federal funds assure that their buildings conform

to provisions of the Life Safety Code . The extension of such design requirements to other Federally assisted facilities is presumed to be under consid

eration.

We see then, that design standards stemming from a potentially incomplete data base have pervaded all levels of building regulation, and that

they have been with us a good many years. Designers rarely feel compelled

to question the value of standards and regulations. They frequently have

their hands full simply trying to comply.

Similar circumstances surround the issue of designing facilities which

are fully accessible to the physically handicapped. Here again, design

standards and regulations are impacting larger and larger segments of the

built environment; and again, important questions arise concerning the adequacy and completeness of underlying technical data.

Just who is potentially affected by environmental accessibility standards? Recent estimates by such groups as the National Center for a Barrier

Free Environment, the President's Committee on Employment of the Handicapped,

and the Architectural and Transportation Barriers Compliance Board all seem

to agree that about 10% of the population of the United States suffers from

some form of mobility limitations resulting from either temporary or permanent physical disabilities. In addition, the Department of Health, Education and Welfare's 1971 Health Interview Survey found that some 3/6000

104
anericans are paraplegics, while another 2/6000 persons are quadriplegics,

loreover, another 10% of this nation's population can be added to the list

if those potentially affected, if we consider elderly persons over age 65.

Initial steps in this country toward the development of design s tanlards for accessibility to the physically handicapped were taken as a result

if efforts by the President's Council on Employment of the Handicapped

first convened in 1959), and by the National Easter Seal Society. Support

|>y these bodies led to the publication, in 1961, of

" Specifications for Making

buildings and Facilities Accessible to, and Usable by, the Physically Handicapped" (ANSI A117. 1-1961), by the American National Standards Institute.

m general, this standard prescribed design specifications for site development (e.g., grading, ramps and walkways, arid parking lots) and building

lesign (specifically entrances and doorways, toilet fixtures, drinking fountains, public telephones, and elevators). At present, virtually every state

las enacted some form of barrier-free design legislation promulgating ANSI

M17. 1-1961. At the Federal level, ANSI A117.1 was first promulgated (on

ji voluntary basis) through Public Law 90-480, the Architectural Barriers

kct of 1968, and then on a mandatory basis by P.L. 93-112, the Rehabilitation Act of 1973.

Later in 1978, publication of a revised edition of ANSI A117.1 is

;xpected. Major improvements over the earlier document will include

greater attention to specific design details, more systematic analyses of

lser's needs and mobility capabilities, and the provision of graphic descriptions of design requirements.

Unfortunately, however, no standards or guidelines seem forthcoming

rtiich will guide building designers in the consideration of psychosocial

ispects of physical disabilities. Addressing this problem, Wolfensberger

[12] has written on the principle of "normalization". This concept suggests

:hat human service facilities (e.g., buildings) should be structured in

such a way as not to stigmatize users any more than might be absolutely

\ecessary. Normalization (i.e., the return of disabled persons to the

aainstream of society) is currently viewed as a major objective of theraputic

urograms not only for the physically handicapped, but for the developmentally

iisabled, drug addicted, and other groups.

Ideally, the ultimate goals of "normalization" are to provide disabled

3r handicapped groups opportunities that are substantially equal to those

mailable to the mainstream population, and further, to do so in a manner

rfhich attaches no perceived or implied stigma to the disability . From the

Viewpoint of normalization, design standards based solely upon physical

nobility seem incomplete. The ramp adjacent to a stairway, or a specifi-

:ally designated parking space situated as closely as possible to a building

entrance, provide useful physical functions, and may indeed provide access

for persons who otherwise might have none. They are also subtle reminders

to the wheelchair-bound that they are "handicapped," that they require

special care, treatment, and service, and that they are not like "ordinary"

people. Equitable alternatives include providing ramps only for use by

all occupants, or eliminating all changes in elevation to thus obviate

'the need for ramps.

105
iimo , uwu iuijjui. uciii u icguia luij i. uudi jjuj-iius v eiut: igcucy egress lacimy

design, and accessibility provisions for the physically handicapped) seem

to be based upon partially complete technical bases. Namely, while physical

features have been emphasized by standards-writing bodies, psychological

and social factors have largely been overlooked. Moreover, in the case of

designing for the physically disabled, an over-emphasis on physical attributes

of the problem appears to have conflicted with certain major therapeutic

objectives. Let us now turn to a discussion of means for filling these

technical gaps, and to the role of NBS.

TECHNICAL TASKS AND RESEARCH PRIORITIES

Emergency Egress

Within the last few years, the potential shortcomings of a purely

physical approach to designing means of emergency egress have become more widely appreciated. First, a variety of research activities were conducted

at government agencies and at university departments of engineering, architecture, and psychology. Many of these were oriented toward understanding

the role of human response patterns in life safety planning. Examples

include the work of Rubin and Cohen [7], Glass and Rubin [3], Archea [1],

and Stahl [8] at the National Bureau of Standards; Wood [13] at Loughborough

University in the United Kingdom; Loftus and Keating [5] at the University

of Washington; Lerup, et al. , [4] at the University of California, Berkeley;

Bryan [2] at the University of Maryland; and Pauls [6] at the National

Research Council of Canada. Most recently, the Committee on Safety to

Life of the NFPA has taken a keen interest in data gathered by J. L. Pauls

that challenge certain key elements in the traditional computation of exit

capacity.

As a result of many of these efforts, it is now possible to identify

a number of important issues, and to discuss them in terms of concrete

research tasks. Accomplishment of these tasks, many researchers believe,

is basic to developing egress design standards which reflect the human behavioral "realities" of fire emergencies in buildings. Five general research

tasks are considered below, in descending order of priority. In addition

to listing the tasks, we shall briefly consider a number of technical

research approaches which we expect to find fruitful.

The NFPA's interest in Pauls' data obviously makes validating them rank

high on any priority list. Of even greater importance, however, are more

basic questions: What is the role of exit design in reducing fire injuries

and deaths? How effective are current design standards for improving means

of emergency egress? Researchers at NBS have identified the following tasks:

TASK 1 : Determine the actual effectiveness of present code provisions

for means of egress. This will require large-scale surveys of historical

fire incidents, leading to an epidemiological analysis of fire injuries and

106
deaths for various occupancies. The emphasis of such analyses will be upon

the degree to which injuries and deaths occurred in code-complying (versus

non-complying) buildings.

TASK 2 : Determine the extent to which injuries and deaths due to

fires in buildings are directly traceable to some exit design deficiency,

this task will necessitate survey and epidemiological analyses of the kind

described for TASK 1. Here, however, the emphasis shall be on tracing the

specific role of means of egress in particular fires, and on establishing

Whether injuries and deaths were actually caused by some failure in an exit

i jconf iguration.

TASK 3(A) : Verify flow-rate, evacuation time, and other relevant data

[recorded by J. L. Pauls during his studies of crowd movement in tall buildings and in stadia. This task will require the replication of specific

research designs and data-gathering techniques utilized by Pauls, by a

number of independent investigators, and across a number of examples of the

occupancies in question.

TASK 3(B) ; Resolve discrepancies between the interpretation of flowrate, evacuation time, and other data, rendered by Pauls and other investigators. Without any well-established and universally accepted model of

occupants' emergency egress responses, there will necessarily exist multiple

explanations of numerically similar findings. Each of these explanations,

however, embodies the implicit "theory", or model held by a particular

researcher. Consequently, this task requires that such models be tested

empirically, and that their overall validity be judged.

TASK 4 : Describe initial responses by occupants to alarms and other

emergency signals, and develop descriptions of particular emergency

response scenarios. This task will require the conduct of field and laboratory experiments aimed at measuring occupants' response times, egress

route recognition and utilization, and other behavioral patterns emerging

during a fire emergency. The effects of several independent variables

shall be sought, including those due to: type and quality of the alarm

signal, presence of other persons, personality traits, level of emergency

training, previous emergency experiences, egress route configuration, and

accupants ' familiarity with the building.

TASK 5 : Assess the "behavioral validity" of current code provisions

for means of egress (i.e., determine occupants' predispositions to act in

ways anticipated by code writers). First, it will be necessary to analyze

•design standards, and the standards development process, for the purpose

of identifying those underlying human behavioral assumptions and expectations held by the regulatory and design communities. Through an integrated

series of survey studies and experimental procedures, it will then be necessary to validate these assumptions.

Researchers at NBS expect accomplishment of these research tasks to

fulfill three immediate needs for a more complete emergency egress knowledge

base. These are: (1) Determination of the role of egress facilities in

pausing fire-related deaths and injuries; (2) Assessment of the adequacy of

107
current codes and standards for the design of means of egress; and (3)

Verification of recent findings by J. L. Pauls, which are being considered

by NFPA as a basis for modifying current egress design standards.

Accessibility

In general, the problem of environmental accessibility by handicapped

persons is similar to that of emergency egress. Here, however, there seems

to have been little systematic effort to determine the impact of psychological and social factors upon the effectiveness of design standards. The

most significant contributions have been in connection with the therapeutic

objective of "normalization," and with the implicit effects of design upon

realization of this important goal [12]. It is nevertheless possible (and

necessary) to identify a number of critical issues relating to environmental

accessibility, and to consider these in terms of specific research tasks.

In the absence of research into these issues, standards-writers and regulatory officials may continue to rely upon incomplete technical data which

are of limited utility. Architectural and behavioral researchers have identified the following tasks:

TASK 1 : Determine the role of architectural elements as barriers to

spatial mobility by physically disabled persons. This task will primarily

require: (1) Building surveys, in which potential or previously identified

architectural barriers are inventoried; (2) User surveys, in which persons

at all mobility levels are queried to determine their mobility needs and

barrier-related problems; and (3) Epidemiological surveys to determine the

statistical frequencies with which various barrier-related problems actually

occur in the environment.

TASK 2 : Determine the physical adequacy of currently promulgated

barrier-free design standards. This task will require surveys conducted in

both barrier-free and non-barrier-free buildings. The principal emphasis

shall be on whether compliance with specific specifications has, in and of

itself, made a significant contribution to increased spatial mobility.

TASK 3 : Determine whether current barrier-free design standards stigmatize handicapped users, and adversely affect their efforts toward normalization. This task will also require surveys of users in both complying

and non-complying buildings. Here, however, the emphasis shall be upon

understanding users' attitudes toward barrier-free design solutions, the

emotional aspects of physical disabilities, and the potential interactions

between emotional impact, normalization, and effective utilization of

barrier-free architectural elements by disabled persons.

TASK 4 : Verify new contributions to the state-of-the-art. New

barrier-free design alternatives, and data describing various mobility problems are frequently becoming available. This task will require that these

be field-tested, or where appropriate, that they be brought into the laboratory for intensive verification.

We expect accomplishment of these tasks to fulfill several immediate

needs for a more complete knowledge base for barrier-free design. These

108
lare: (1) Quantification of the role of architectural elements as barriers

j to mobility by physically handicapped persons; (2) Determination of the

[adequacy of currently promulgated barrier-free design standards; and

1(3) Verfication of specific design solutions, which are usually interpretations of codes and standards.

Research Themes

We have expressed needs here in terms appropriate to the special problems of emergency egress and environmental accessibility. When viewed in

'more general terms, they emerge as major research themes and priorities of

[access/egress research:

(1) Determination of the role of architectural elements in causing

inconvience, injury, or death. (The following questions are implied: What is the specific role of an architectural element?

What is the statistical frequency of the alleged problems?)

(2) Determination of the adequacy of current standards for designing

architectural elements. (The following questions are implied:

Have the current standards accommodated all critical aspects of

the potential hazard? Have the current standards been shown to

reduce the overall impact of the potential hazard?)

(3) Verification of new contributions (data, models, standards and

design schemes), and demonstration of their improvement over current design or regulatory practices.

THE ROLE OF THE NATIONAL BUREAU OF STANDARDS

The analysis of individual failures in the built environment, the

assessment of the utility of design solutions and standards, and the

verification of new data and design approaches each requires the fundamental

ibility to quantify and measure the behavior of elements and systems. In

nany cases, the measurement of phenomena relating to access, movement, and

?gress involve reference to straightforward quantities. These include both

static dimensions of human beings (e.g. , height, weight, frame dimensions)

md of prosthetic devices, and dynamic dimensions of human movement (e.g.,

talking speed, length of stride, gait, wheelchair movement characteristics).

In other cases, however, the quantification of less easily measured

f/ariables and processes will be necessary. These concern individual's

perceptions of the physical environment, the processes by which they select

novement routes and modes, their attitudes toward various design solutions,

and the extent to which they are stigmatized by the environment.

The measurement of complex systems, the improvement of measurement

technology, and the maintenance of reliable and unequivocal data for standards are all missions of NBS. Each of these are essential to the continuing development and improvement of standards for the design of facilities

jcor access to, movement within, and egress from buildings and building sites.

109
It is therefore expected that NBS will apply its resources and expertise to

this timely and significant problem area, and that it will make important

contributions. For these reasons, a number of research architects and environ-i'

mental psychologists at the Environmental Design Research Division, NBS, are ; already engaged in relevant research efforts. Investigations now in progress

include studies of stair use safety, access and egress behavior on ramps,

wheelchair usage on carpeted surfaces, and emergency egress responses during

building fires. A variety of technical approaches and procedures are being

applied through these studies, including: motion picture filming and videotaping of user behaviors in buildings, .laboratory simulations, and computer

simulations. Moreover, access/egress research at NBS supports important

programs of the Occupational Safety and Health Administration, the Department of Health, Education and Welfare, the Consumer Product Safety Commission and the Architecture and Transportation Barriers Compliance Board.

Important new knowledge is already becoming available from these

preliminary efforts. In particular, we now have a firmer grasp than ever before on the causes of stairway accidents, and on the role of architectural

elements in causing such accidents. In addition, we have begun to verify

important equations traditionally used to describe flow rates and walking

speeds on ramps and other surfaces. Moreover, we have begun to identify

the intricate network of variables which contribute to complex occupant

responses during building fires. In the very near future, we hope to apply

much of this new knowledge directly to the data needs of access/egress

design standards.

SUMMARY

The Environmental Design Research Division of the Center for Building

Technology, NBS is working to develop a more complete understanding of

pedestrian behavior within buildings. Two important aspects of this

overall effort include designing to facilitate the mobility of physically

handicapped persons, and providing effective means of emergency egress for

all building users. In this paper, the problem of developing an effective

technical basis for access/egress standards-writing was explored.

First, difficulties surrounding the development of access/egress design

standards were discussed. Chiefly among these was seen to be the heavy

reliance by standards-writers upon physical and engineering principles, to

the virtual exclusion of psychological, social, and other human factors

believed to influence facility performance.

* Second, model code provisions and regulatory legislation relating to

. 2

building egress and accessibility were briefly overviewed. In particular,

we surveyed the technical origins of applicable design standards, and

described several problems which arise when building regulations are based

upon incomplete technical foundations. In the case of emergency egress,

for example, we noted that occupants often do not respond to real fires

in a manner anticipated by code-writers. Concerning accessibility by the

physically disabled, we suggested that design solutions based solely on

physical issues often conflict with such therapeutic objectives (and political imperatives) as "normalization".

I

110
Third, technical tasks and research priorities which relate to designling for access and egress were enumerated. In general, these tasks clustered

jinto three principal themes: (1) Determining the role of architectural

(elements in causing inconvenience, injury or death; (2) Determining the

(adequacy of current access/egress codes and standards; and (3) Verifying new

(Contributions to the state-of-the-art, and demonstrating their improvement

lover current design or regulatory practices.

Finally, this paper discussed the role of the National Bureau of Standards in conducting research on accessibility and emergency egress. We

(stressed the notions that measurement and problem analysis are fundamental

Ito each of the themes described above, and that such tasks are important

Ito the overall objectives of NBS. We overviewed current efforts at the

National Bureau of Standards, and enumerated various access/egress research

projects involving collaboration between NBS' Centers for Building Technology,

Fire Research, and Consumer Product Technology.
NOTES AND REFERENCES

1. Personal communication with John Archea, of the College of Architecture, Georgia Institute of Technology, concerning his study of human

capabilities during fires in nursing homes and other health-care

facilities.

2. Bryan, J. L. , Smoke as a Determination of Human Behavior in Fire Situations , (Project People). College Park, Md.: University of Maryland,

Fire Protection Curriculum, 1977.

3. Glass, R. A. and Rubin, A. I., Emergency Communications in High-Rise

Buildings . In D. Conway (Ed.), Human Response to Tall Buildings . Stroudsburg, Pa.: Dowden, Hutchinson, and Ross, 1977.

4. Lerup, L. , Cronrath, D. and Liu, J. K. C, Human Behavior in Institutional Fires and Its Design Implications . Berkely, Ca.: Architecture

Life Safety Group, 1977.

5. Loftus, E. L. and Keating, J. P., The Psychology of Emergency Communications. In GSA, PBS, 1974 International Conference on Fire Safety in

High-Rise Buildings , Seattle, Washington, November 1974. Also by these

investigators: Vocal Alarms in Hospitals and Nursing Facilities:

Practice and Potential. Washington, D.C.: U.S. Dept. of Commerce,

National Bureau of Standards, NBS-GCR-77-102, 1977.

6. Pauls, J. L. , of the Division of Building Research, National Research

Council of Canada, has written many articles reporting data on crowd

movement in tall buildings and in other complex facilities. An important example is: Movement of People in Buildings. In D. Conway (Ed.)

Human Response to Tall Buildings . Stroundsburg , Pa.: Dowden, Hutchinson

and Ross, 1977.

7. Rubin, A. I. and Cohen, A., Human Behavior in Building Fires . Washington, D.C.: U.S. Dept. of Commerce, National Bureau of Standards,

TN-818, 1974.

8. Stahl , F. I., is currently developing a computer simulation of human

behavior in building fires at the Environmental Design Research Division, Center for Building Technology, NBS. A publication describing

the basic foundations of his work is: A Computer Simulation of Human

Behavior in Building Fires: Interim Report. Washington, D.C.: U.S.

Dept. of Commerce, National Bureau of Standards, NBSIR 78-1514, 1978.

Also note Stahl 1 s article: Some Prospects for Simulating Human Behavior

in Fires: A Pilot Demonstration. In Suedfeld, P. and Russell, J. (Eds.), The Behavioral Basis of Design, Book 1 . Stroundsburg, Pa.:

Dowden, Hutchinson and Ross, 1976.

9. Stahl, F. I., Human Response to Fire: Three Designs for Research.

Washington, D.C.: U.S. Dept. of Commerce, National Bureau of Standards,

NBSIR 78-1508.

112
10. Stahl, F. I. and Archea, J., An Assessment of the Technical Literature

on Emergency Egress from Buildings. Washington, D.C.: U.S. Dept. of

Commerce, National Bureau of Standards, NBSIR 77-1313.

11. Personal communications with George Turner, a Research Architect with

the Environmental Design Research Division, NBS, who is studying crowdflow on ramps and similar surfaces.

12. Wolfensberger , W., The Normalization Principle, and Some Major Implications to Architectural-Environmental Design. In M. Bednar (Ed.),

Barrier-free Environments . Stroudsburg, Pa.: Dowden, Hutchinson and

Ross, 1977.

13. Wood, P. G. , The Behavior of People in Fires . UK: Dept. of the

Environment and Fire Officers' Committee, Joint Fire Research Organization, November 1972.

113

COMMUNICATION TECHNIQUES IN

BUILDING CODE IMPLEMENTATION

by

Theresa Joan Rosenberg, AIA

Special Office for the Handicapped

Engineering and Building Codes Division

N. C. Department of Insurance

Raleigh, North Carolina

Communication is essential in any process of change. Occasionally,

when a building code is altered, changes are made which substantially

influence users of the built environment. This is certainly true of

building code specifications regarding accessibility for physically

handicapped persons.

North Carolina pioneered the development of code requirements for

accessibility. Since implementation of the fundamental provisions in

1973, the State has embarked on a vigorous educational campaign to

increase understanding of environmental barriers, needs of disabled

people, laws and codes. This project has included the production of

illustrated handbooks, brochures, manual and automatic slide presentations, radio and television announcements and newspaper articles.

This report explains the selection and development of appropriate

media for presentation to audiences including the building community,

owners, consumers and others. The techniques are pertinent to other

areas of concern, such as energy efficiency in buildings, which affect

a wide spectrum of interests.

Key Words: Accessibility standards; building codes; code administration; communication; physically handicapped; public

awareness; public relations.

115
INTRODUCTION

Alteration of a building code affects building officials, builders, ( designers and consumers. Considerable responsibility for remaining current is placed on those in the building community. Occassionally

,

changes are made which substantially influence the users of the built

environment. This is certainly true of implementation of building code

provisions which require access and use of facilities by disabled

people. It is doubtlessly true of other building code provisions. Yet, i in North Carolina, consumer pressure has rarely been so apparent as during the development of these elements of the building code. (A

previous paper details the process of creation of this section and

regulatory aspects of the North Carolina State Building Code.^)

I

North Carolina led the nation when the basic, current code requirements for accessibility, became effective September 1, 1973. They were

published in a pamphlet with the following note in bold face type:

"The goals of the physically handicapped person are to have

access to and throughout all buildings so they can live a more

normal life and assume full responsibilities as citizens. This

goal is shared by everyone."

! EDUCATIONAL MATERIALS AND PROGRAMS

It was soon obvious that the written specifications of this novel

section of the code were difficult to interpret for both building

designers and inspectors. Ronald Mace, architect confined to a wheelchair, was commissioned to prepare An Illustrated Handbook of the

Handicapped Section of the North Carolina State Building Code. Through [ diagrams, explanations and paraphrasing, this book makes intelligible

the complex requirements for accessible components of buildings and

sites. Free distribution of first copies was made to building officials, government agencies and design professionals throughout the

state to speed understanding and implementation. A copy was also

mailed to each representative of the National Conference of States on Building Codes and Standards. (This manual has been used internationally as a text and basis for most current accessibility standards. Nearly all such standards are now originally published as illustrated

guides.)

••Raper, Theresa J. Rosenberg, "Regulations and Communication in

the Implementation of a Building Code for Accessibility to the Physically

Handicapped", Research and Innovation in the Building Regulatory

Process, Patrick W. Cooke, Ed., NBS Special Publication 473, National

Bureau of Standards, Washington, D. C, June 1977.

i

116
The Engineering and Building Codes Division of the North Carolina

Department of Insurance is the center for general administration of the

statewide building code. Initially, under contract with this Department, Mace personally provided slide presentations for educational

programs and consultation in interpretations of the code. A slide

presentation was designed to convey technical aspects of the code to

the building community, which is the primary clientele of the Engineering Division. Pages from An Illustrated Handbook were projected alongside illustrations of handicapped persons confronting particular

obstacles and, then, ably utilizing the architectural elements provided

under the building code, such as wide doors and parking spaces. The

objective of the presentation was to provide both appreciation of the

problems and knowledge of parameters for solution. The reproduction

of actual pages from An Illustrated Handbook contributed to the

participant's familiarity with this frequently referenced text.

In 1976, the Special Office for the Handicapped was established in

the Engineering Division as a focal point for support of this section

of the code. The Office is staffed by a full time architect, charged

with providing technical assistance and consumer information. Routine

activities include providing educational programs, review of building

plans, telephone consultation and response to written inquiries.

Together, the Special Office and architect Mace have been able to

respond to almost every request for seminars and slide presentations.

Particular attention has been given to the technical slide presentation at meetings of design professionals and regular code enforcement

seminars. A building which is initially designed to be accessible has

very little additional cost associated with provisions for persons with

disabilities. However, relatively few buildings (by percentage) are designed by architects or other licensed professionals. Thus, the

building official is especially important as the person responsible

for achieving compliance with these (and all other) requirements of

the code at the building site. Workshops have now been held for

audiences including educational and hospital facility planners and

vocational rehabilitation professionals.

The Commissioner of Insurance recognized a need to provide civic

clubs and other interested organizations a program which would increase awareness of the abilities of handicapped people. In response to this,

Mace designed a brief slide/tape presentation, "Are You Aware?"; the

building code, legislation and the activities of the Special Office

are also summarized. The "Are You Aware" brochure is a suitable companion, giving specific information on rights, such as housing, as well

as history and supporting personnel. More than 25,000 brochures have

been distributed through university extension, rehabilitation, health

and social services and organizations of municipal governments, design

professionals, code administrators, churches and handicapped citizens - including North Carolina's seven regional White House Conferences on Handicapped Individuals.

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The White House Conferences, held around the state in 1976 and

nationally in 1977, emphasized the need for increased understanding

of the capabilities of handicapped people. Workshops on "Social

Concerns: Attitudes of the General Public Toward Handicapped Individuals" and "Architectural Accessibility" stressed greater visibility

and positive, realistic portrayal of handicapped individuals in mass

media. A typical comment by a person confined to a wheelchair was,

"I am a disabled person, physically inconvenienced. I am handicapped

by barriers. When you get rid of the environmental obstacles, then

1 can get in and work on the attitudinal barriers." The Special

Office recognized that brochures and slide presentations must be

augmented with other kinds of messages designed for the public.

Public service announcements for television were one such medium.

Immediately, it was possible to adapt "spots" which had been produced by Washington (State). They piloted the slogan, "Make Life

Accessible". Particular announcements illustrated typical environmental barriers and called for "a little consideration" in design as

a wheelchair user confronted a door which was too narrow and a curb

which prevented independent access to a sidewalk.

A more comprehensive public awareness campaign had to be developed. It would include television, radio and print media. A request

for proposals was offered for design and production of new television

and radio announcements. A professional media consultant, who had

previously collaborated with architect Mace, was selected.

The two new television spots employ familiar subjects, incorporating aspects of disability in a poignant and sophisticated manner.

One demonstrates the capable, disabled person in athletic and business

activities; another develops the similarity between wheeled transportation for commerce, convenience and pleasure and the wheelchair.

Television graphics, slides over which stations can place their own symbols and call letters, were designed to focus the viewer's momentary attention on a particular element of living with disability.

Packages of these materials, along with explanatory information and

program suggestions, are mailed to television stations; each station

duplicates tapes and slides for its own use.

Companion radio announcements, both prerecorded on cassettes and

prepared scripts for local announcers, have been distributed statewide. The radio spots are "catchy" but serious; for instance, one

uses a game show format. Additional scripts are provided for radio announcers to read for specific audiences, such as one appropriate

for a young rock clientele. All radio and television spots conclude

with "Make Life Accessible" and "For more information, contact the

North Carolina Department of Insurance". Prior collaboration between the media consultant and Mace was critical in devising these

innovative and sensitive television and radio productions.

118
The television and radio announcements were previewed at a press

conference introduced by the Commissioner of Insurance. Representatives of broadcast and print media were present and actively questioned

the participants. Television, radio and newspaper features have

followed; the public service announcements are being used.

Two automated slide/tape presentations are constantly available;

these do not require the preparation or scheduling of a staff member.

A presentation oh the technical provisions of the building code has

been used more frequently out of North Carolina than in state. The

"Are You Aware?" production is used in introducing many pertinent

programs. The companion brochure is being brought up to date.

Development and implementation of provisions for access and use

of new facilities increased consciousness of the inadequacies of

existing ones. Therefore, Mace was asked to prepare Accessibility

Modifications: Guidelines for Modifications to Existing Buildings

for Accessibility to the Handicappped. A companion slide presentation has been organized. Once again, reproductions from the book

accompany illustrations of typical barrier problems and alternative

solutions. An effective workshop can be organized utilizing this

presentation and allowing participants to study plans of an existing

building and propose alterations. Participants contribute freely and

complement each other's proposals; this results in an understanding

that barriers can be removed, often without significant architectural

renovations. Successful workshops have been held for design

professionals, building officials and professionals in areas such

as aging, housing, rehabilitation and other related services. Professional diversity within a workshop sometimes produces especially

innovative responses to sample problems.

The Special Office works in collaboration with other agencies,

such as the Division of Aging, Governor's Council on Employment of

the Handicapped, School Planning, Facility Services and Natural Resources

and Community Development. Activities include participation on

an interagency task force on housing, surveying existing buildings,

and co-sponsorship of a student poster contest. The Library for

the Blind and Physically Handicapped has produced Braille text and

cassette recordings of An Illustrated Handbook , Accessibility

Modifications , and the "Are You Aware" brochure. The "Make

Life Accessible" slogan will be used by other advocacy groups em- phasizing the concept of optimum life opportunities for all people.

Plans are underway for a bumper sticker to increase the visibility

of this message.

The demand is increasing for more people who are trained in

the requirements for accessibility and understand how to accomplish

modifications to existing buildings. In the past year, publication

of federal regulations prohibiting discrimination on the basis of

handicapping condition (Section 504 of the Rehabilitation Act of

1973) has increased demand for information about access by organizations with federal funding and contracts exceeding $2500.00.

119
Numerous requests to survey existing buildings and propose alterations are made of the Special Office, design professionals and

building officials. Additionally, recently enacted legislation in

North Carolina will require, throughout the state, building inspection by qualified individuals. Accordingly, a new series of

regional workshops is being planned.

CONCLUSION

Each year, the Special Office has developed a contract for

the production of specific educational materials to increase awareness and enable effective enforcement of accessibility requirements. The products address increasingly broader issues and

audiences. Appropriate, varied media must be readily utilized in

building code implementation, especially in those aspects which

spur such consumer interest.

It is difficult to assess objectively the impact of this

communication effort in providing increased accessibility or regulatory effectiveness. In order to achieve the original goal, both

environmental and attitudinal barriers must still be removed.

There is continued demand for information and educational programs.

"Make Life Accessible" is a commitment which has effective

implementation of building code provisions as a benchmark. Disabled

citizens are taking advantage of accessible facilities and protesting inaccessibility. The building official can accept pleasure

in gaining compliance and responsibility for resolving consumer

complaints. Equal access is the law in North Carolina; it is also

good business. Through increased knowledge and understanding, all

audiences and participants are better able to foster an hospitable,

accessible environment.

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4
A SUMMARY OF KENTUCKY'S EXPERIENCE

IN IMPLEMENTING A STATEWIDE ENERGY CODE

by

John R. Groves, Jr.

Deputy Commissioner

Department of Housing, Buildings and Construction

Commonwealth of Kentucky

Frankfort > Kentucky

In the near future, every state will have to adopt some form of an energy code. Compatability with existing codes and code enforcement

procedures will be a major consideration in the adoption and implementation process. Public Law 94-163 made funds available to states for the

adoption of a five part energy conservation program. Of primary signifi

cance where codes and standards are concerned are the lighting and thermal provisions of that plan. To implement those provisions has called

for the adoption of an energy code.

For many states, the energy code represents one of if not the most

all inclusive code application and enforcement effort in the area of

code enforcement. Especially in those primarily rural states where

building code applications has been limited to the more urban areas, the

adoption of a uniform energy code which applies to all new buildings including single family residences has posed special problems.

Key Words: Energy codes; lighting and thermal efficiency standards new construction plans review; Kentucky Fire Marshal's

office; training and education; design professionals;

local governments; energy audits.

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INTRODUCTION

For several years, many writers have been suggesting procedures for

implementing energy enforcement programs. All of these efforts had somei

validity especially where discussions of the training and education for

both enforcement personnel and design professionals were concerned. Alst

the fact that public education on energy issues has involved a good deal,

of just plain marketing efforts was often mentioned.

The nationwide energy conservation program stands to be as broad am

all pervasive as any in which the federal government has participated.

However, it has been difficult for the American people to attach any dlrect significance to energy conservation aside from several instances of

gasoline shortage and somewhat higher heating costs based primarily on

the severity of the two winters just past. There has been little of a crisis nature to motivate the general public. True, much has been said

and will continue to be said about the necessity for energy conservation

and management. The fact seems to be, however, that even Congress, as

of this date, is having a difficult time translating into legislation

the energy needs and requirements of the near future. Whether this has

resulted from the enormous complexity of the effort or indifference or both is not clear. The result has been, however, that the energy program has been slow to get moving, although from all indications, the

pace is about to quicken.

I

BACKGROUND

In 1975, Congress enacted Public Law 94-163 which made available

to the states funds for the implementation of statewide energy programs.!

The program was voluntary but the inducement was two-fold. First, sub-,

stantial sums of money were available to support the efforts in those

states who chose to adopt the program. Second, by enforcing statewide , energy codes, the states were in the process of preparing for mandatory!

federal legislation which would apply energy standards to all buildings

which in any way utilized federal funds, including individual home mortgages where federally insured monies were used. All states are parti- j cipating in the program to some degree and many are well into the process of not only adopting but enforcing a statewide energy code along

with the other codes applicable to the built environment. Inasmuch as all states will attempt to achieve the general goal of energy conservation, and given the fact that the states are more or less starting

at the same time in that effort, there exists a golden opportunity for

the states to learn from one another what works and what does not inj sofar as energy code enforcement is concerned.

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ACTIVITY IN KENTUCKY

As a committed participant, Kentucky has forged ahead with a broad

energy conservation program and has learned many valuable lessons in the

process, those lessons being the subject to which this paper is addressed.

Rather than writing its own code or adopting the ASHRAE Standard 90-

75 as a basis for the code, Kentucky has chosen to adopt the National Conference of States on Building Codes and Standards (NCSBCS) Code for Energy

Conservation in New Building Construction. The Kentucky Department of

Energy has been assigned the overall task of coordinating energy conservation. In addition to the thermal efficiency standards, which is one of

five parts covered by the Kentucky Energy Conservation Plan, and based

on the Energy Policy and Conservation Act of 1975 (Public Law 94-163)

,

there are four other parts. They are lighting efficiency standards, car pool/van pool/public transportation, energy conservation, state procurement practices to conserve energy and right turn on red legislation.

Maintaining its position as a nucleous rather than an all encompassing state agency, the Kentucky Department of Energy has delegated several

of the tasks inherent in the above effort. The adoption of codes and

their enforcement as relates to lighting and thermal efficiency standards

have been delegated by contract to the State Fire Marshal's Office within

the Kentucky Department of Housing, Buildings and Construction. Right

turn on red, car pool/van pool/ and public transportation matters have

been similarly delegated to the Kentucky Department of Transportation.

Likewise, procurement practices for state and local governmental units

have been assigned to the Kentucky Department for Finance and Administration, Division of Purchasing.

ENERGY SAVINGS IN THE BUILT ENVIRONMENT

The major task emerging from this overall program, and the one which

is the focus of this paper, is that of enforcing lighting and thermal

efficiency standards.

Historically, the Kentucky State Fire Marshal's Office has performed

a new construction plan review function. The applicable statutes and

administrative regulations give to the State Fire Marshal the authority

and responsibility to review plans for all buildings consisting of three

or more living units. All schools, places of assembly, or medically-related facilities are also included regardless of size. Any other building greater than 10,000 square feet, generally speaking, also must be

subjected to the Fire Marshal's Office for review. This responsibility

for plan review and on-site inspection has been delegated by the Fire

Marshal to several of the major metropolitan areas within the state and

are thus conducted at the local level. Concurrent jurisdiction is re- tained, however.

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I

This scheme of regulation and review leaves very few buildings outside of the scope of the Fire Marshal's review. While the Fire Marshal

does not have the authority to compel plans for, or inspect, one and two

family dwellings, that authority does exists at the option of local governments. The New Construction Plan Review Section of the Fire Marshal's

Office reviews drawings for compliance with both the National Fire Protection Association Fire Code and,, in particular,, the Life Safety Code, NFPA

101, and also applies the provisions of the National Building Code, using

the more stringent standard where there are similar provisions in both

codes.

This procedure has been developed over a number of years and extensively expanded in recent months making the Fire Marshal's Office the

logical entity in state government to administer thermal and lighting

efficiency standards. A half dozen plan review personnel in the New Construction Plan Review Section are consulted by and advise architects and

engineers on a day to day basis. Typically, architects will either submit by mail or personally bring their plans for review by a member of

this section. Upon review, discrepancies, if any, are noted in a letter

which is transmitted to the architect or owner and which then becomes

the basis for further plan review or field inspection during construction.

The New Construction Plan Review Section consists of a field inspection

division of some fifteen inspectors statewide as well as the plan review

staff.

While strategies will vary, it is the position of the Department of

Housing and the State Fire Marshal, that each plan reviewer in the New

Construction Plan Review Section should be capable and competent to re- view drawings for compliance with the energy code. The method of operation in the New Construction Plan Review Section is such that each plan

reviewer has responsibility for a category of buildings, such as schools, j mercantile, medically-related, industrial or other places of assembly.

While this represents a certain degree of specialization, it is felt that ' each individual plan reviewer should be able to determine the energy effi-;

ciency of each building reviewed. The training involved in this superimposition process has been and will continue to be ongoing. Normal

personnel turnover and expansion combined with the constant need for training and educational efforts in other areas for which the plan reviewers

are responsible has made the tasks formidable.

Generating additional concern is the fact that in most instances

the plans reviewed have been prepared by architects or engineers. The

tasks of training plan reviewers such that their review process approaches

the level of technical understanding necessary for dealing convincingly

with design professionals required much effort.

I While refinements have yet to be made, one of the keys to the plan

review aspect of energy conservation will rest in the development of a simple, concise, yet all inclusive, standard format for data which will

be adaptable to all buildings.

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It is perceived that the end product will take the form of a table or chart to be submitted as part of the contract documents preferably to be included as part of the set of drawings. As with other

"schedules" typically included in the set of drawings for such matters

as hardware, door placement and room finishes, the energy efficiency

schedule would reflect the designer calculated energy conservation

characteristics of the various rooms and/or components of the building.

While certainly calculations must be made for each building, the use of a standard format for recording those calculations should appreciably expedite the entire process.

Once implemented and refined, this process should represent minimal additional work for the design professional as well as minimal re- view time required by the plan reviewer.

CONCURRENT DEVELOPMENTS IN OTHER STATE CODES

While efficient and effective plan review have been foremost among

the goals related to energy conservation in Kentucky, there have been

other significant factors having an impact. Early this year, the Kentucky Legislature created a new Department of Housing, Buildings and

Construction. That Department was charged with bringing together into

a single efficient "one stop" organization those agencies in state

government having the primary responsibility for regulating the built

environment. Primarily concerned are the Fire Marshal's Office, the

Division of Plumbing, the Kentucky Housing Corporation and the administration of the electrical inspection program. Bringing these agencies

together under one roof was the first step in a plan which also included

creation of an eighteen-member policymaking board to oversee and generate

policy for the new department. An additional task assigned to the Board was that of adopting a uniform statewide building code within one year

of its first meeting. The first meeting took place in August of this

year.

While a statewide uniform building code is a positive step in

almost everyone's mind, there are at least two major considerations which

bear on the success of the overall effort. The first has to do with the

predominantly rural nature of the State of Kentucky and the difficulties

involved with the enforcement of the building code at all local government levels. The second is that while the legislature may reverse itself, the uniform statewide building code, when adopted, will not apply

to single family homes except those marketed under a trade or brand name. Local governments may themselves elect to apply the statewide code to

single family homes but it is not required.

125
One result from the above is that a major effort will have to be

and in fact has been undertaken by the Department of Housing, Buildings

and Construction to train and educate both building officials and laymen

statewide in an effort to ensure that the objectives of the new Department and the statewide building code are realized. Local governments

will have up to two years after the adoption of the code to put the code

into effect. The two year period will allow for the preparation and

training necessary to effectively implement the code. It is also a period

during which the Department will examine ways of dealing with single family

homes throughout the state with the objective of convincing each local

government that application of the code to single family homes is the best

interests of the public. Simultaneously will be an effort to convince

the Legislature that application of the Code to single family residences

statewide is a necessary step.

In many ways, the promulgation of a code for energy conservation by

the State Fire Marshal's Office concurrent with the overall process of

adopting a statewide building code is highly compatible. It is a coincidence of good fortune to Kentuckians. There is at least one matter which

remains unresolved, however, and that concerns the method by which the

energy conservation code will be applied to single family homes in the

state. If, in the foreseeable future at least, the majority of the state

does not apply the uniform statewide building code to single family residences, it obviously presents a problem when the necessity for comprehen- | sive coverage by the energy code is considered. Clearly the energy code

will apply to single family residences. The perplexing result is that

the State Fire Marshal's Office along with local government building code

officials and inspectors will for the most part not be applying the fire

or building codes to single family residences. However, some method to

ascertain that the energy code is being complied with in the construction ! of single family homes must be found. This is made even more delicate

in the fact that the Legislature has inasmuch said that governmental

regulation-making should not extend to single family homes especially

those in the rural areas and those in any way associated with farming

operations. Ironically, it is often times those people in rural areas who are paying the highest utility costs and who could benefit most from

energy saving, not to mention the fact that a HUD sponsored study has

shown that the additional costs to meet the energy code in typical single

family homes is negligible.

3 The situation at hand seems to be one of a backlash more against

regulation making and bureaucratic intervention than energy conservation.

In an effort to deal with the problem proposals are being studied which

may utilize plumbing inspectors, electrical inspectors or rural co-ops

in monitoring compliance with the energy code requirements where single

family residences are concerned. Another alternative, but one thought

to be somewhat less satisfactory, is that of putting the regulation into | effect and, insofar as single family homes are concerned, confine the

enforcement activities to a complaint response basis only. That is to

126
say that any enforcement of the code provisions and subsequent legal

action to ensure compliance initiated by the Department or the home- owner would result only from complaints based on proven instances of

noncompliance with the code. In some ways, this puts the cart before

the horse, but it is an expedient method which may have to be utilized

given the predominantly non-urban character of the state and the time

and promotion necessary to train local government building inspection

officials and to encourage local governments to extend the application

of the statewide building code to single family residences. Where the

local government option is exercised » plan review and on-site inspection

at the local level for single family homes could easily incorporate

provisions for enforcing the energy conservation code.

One encouraging factor in the matter of single family homes is

that for the most part, new homes constructed today are meeting the

requirements of ASHRAE 90-75 or could be brought to those standards

with comparatively little additional cost or effort. The addition of

more ceiling or floor installation, storm windows and doors, and other

minor modifications, if required, should not constitute a major or costly modification.

CONCURRENT DEVELOPMENTS IN OTHER STATE AGENCIES

In addition to the overall program of the Kentucky Department of

Energy, and the efforts undertaken by the State Fire Marshal's Office

as part of that scheme, there is at least one other state agency which

had independently undertaken a substantial energy conservation campaign.

While the Governor has mandated an ongoing energy conservation program for all of state government, the Kentucky Department of Education

has gone one step beyond. Recognizing the great opportunity for energy

conservation in school facilities throughout the state, the Kentucky

Department of Education has created an Energy Audit Section. That

section is charged with conducting and carefully documenting energy audits

in school facilities such that not only that existing levels of energy

consumption can be determined, but corrective measures can be planned

and costs implications weighed.

Mention is made of this effort by the Kentucky Department of Education in that it represents the first major area of state government

involvement in retrofitting buildings for energy conservation.

The University of Kentucky College of Engineering has designed a program to certify energy auditors on a statewide basis. Individuals

so certified will be recognized by the State Department of Energy as qualified to perform energy audits on buildings in both the public and

private sector with the end result being a determination of initial

costs and payback periods required in the retrofitting process.

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The process of certifying energy auditors is one component of a much broader program which relates back to the efforts of the Fire

Marshal's Office. One of those efforts is the planning required for

the inevitable task of applying the energy code to existing buildings,

the content of which has yet to be finalized. The difficulties and

complexities associated with this endeavor are immense, not the least

of which is the basic consideration of whether any building related

code should be retroactive, a legal question which in itself has re- ceived much attention.

RETROFITTING BUILDINGS

The subject of renovation and retrofitting is growing in significance as more buildings are subjected to recycling rather than

demolition. While few commentators would be willing to go so far at

this point as to say that an energy code for existing buildings would

in their application go much beyond those instances where almost total

renovation is involved, it may be that if a true crisis condition

exists at some future date, the requirements of an all-encompassing

and totally retroactive energy code could take precedent over building

and fire codes in some parts of the country. This portends a rather

grim scenario, but then this country has not yet been subjected to even a moderate energy crisis much less anything approaching depletion

of energy resources or imports.

A discussion of the above brings into play the many examples of

alternative sources of energy which are under investigation including

solar, wind, nuclear and geothermal. As each or all of these become

active components in the energy picture, codes and regulations affecting their usage can also be expected to develop.

Kentucky, through its universities, is developing a very active

cadre of solar research and development individuals. Interestingly,

some serious questions have already arisen concerning the legal aspects

of access to sunlight and, in another vein, the rights of plumbers

to have exclusive jurisdiction in the installation of plumbing related

solar hardware. Both of these questions and innumerable others will

be addressed in a policy for alternative energy source utilization

which the Kentucky Department of Housing, Buildings and Construction

is beginning to formulate.

Returning to the subject of energy audits, while there are federal

funds available to communities for purposes of conducting pilot energy

audits of buildings, the selection of which is often left to the local

government, there, as yet, is little inducement for a small or moderate

size business or industrial concern to initiate an energy audit even

if the payback period for the required improvements amounts to only a few years. As energy costs increase, however, and as laws are developed

allowing tax relief to offset energy improvement costs, the use of energy

auditors will greatly expand.

128
CONCLUSION

Kentucky is a rapidly growing state. Lexington, for instance, is

among the fifteen fastest growing communities in the nation. Even the

historical migration from Eastern Kentucky to more urban areas in the

state and the industrial North has been reversed in the last several

years. As a supplier of energy, because of its coal resources, Kentucky

will provide a good part of the country's energy needs in the future. As

a result, Kentucky faces the dual challenge of utilizing her energy needs

so as to stand as an example for other states utilizing her coal resources.

It is intended that this paper give some indication of those leadership

efforts and provide a glimpse as to what lies ahead in the national energy

conservation effort.

129
REFERENCES

1. Kentucky Energy Conservation Plan, Kentucky Department of Energy,

May 1977.

2. A Proposal for the Implementation of Energy Conservation Building

Standards and Codes, National Bureau of Standards Special Publication

, U. S. Department of Commerce, 1978.

3. Code for Energy Conservation in New Building Construction, Jointly

prepared by: Building Officials and Code Administrators International, Inc. (BOCA); International Conference of Building Officials

(ICBO) ; National Conference of States on Building Codes and Standards, Inc. (NCSBCS) ; and Southern Building Code Congress International, Inc. (SBCCI) ; sponsored by the U. S. Department of Energy,

1977.

130
ENERGY CONSERVATION IN BUILDING

CODES AND STANDARDS

by

Richard W. Lisle

Energy Building Code Coordinator

New Mexico Energy and Minerals Department

Santa Fe, New Mexico

Many states have recently adopted energy model codes and standards

or are considering the adoption of such regulations.

This paper explains what has happened in New Mexico since the adoption

of an energy model code two years ago. (September 10, 1976). The

implementation of the code in the real world of on-site construction

projects has revealed several special problems with enforcement and/or

interpretation of the code. The effective U values being developed and

implemented in New Mexico are adding a new perspective to the traditional

understanding of the thermal conductance characteristics of building

envelopes. It may be more cost-effective to paint a south facing wall

a dark color than to add insulation.

Key Words: energy code, building official, on-site construction,

enforcement, energy efficient, implementation and effective

U value.

131
INTRODUCTION

As one of the first states to adopt a model energy code, New Mexico

has a great deal to share concerning not only the adoption but the

implementation of a state-wide energy building code.

The traditional enforcement of most building codes has been on the

basis of health and safety rather than the performance of building

components. Having a building condemned because it is not safe is one

thing, and having a building condemned because it is wasteful of depletable

energy sources is quite another.

The building official will have to develop an entirely new manner of

enforcement leverage to deal with buildings that are in violation of the

energy code. Once a set of plans is reviewed by the plans checker and a building permit issued, the building must be built exactly according to the plans. The whole subject of last minute on-the-job material substitutions takes on an entirely new aspect. Bear in mind that the building

official will still be charged with the responsibility of protecting the

health, safety, and welfare of the people; and what better way to protect

the welfare of the citizens of your state or political subdivision than by

providing them with cost effective dwelling and buildings they can afford

to heat and/or cool in future years. Complicating these objectives is a national construction industry that generally builds as profit intensive

as possible for the short run original investment and gives little consideration

to the long-term energy costs to the consumer, especially in todays upward

spiral of increasing labor, materials, and land costs.

As building officials and code administrators, we want to make sure

we are doing the right thing. We need to examine old principles and traditional

concepts to make sure that the actions we take in the immediate future

will indeed save energy. I would like to share a few of the things we have

learned in New Mexico as well as problems of the real world of on-site

construction, and hopefully one will ask themselves, "does the or will the

model energy code adopted by my state or political subdivision really save

CODE ADOPTION

The I.C.B.O. model energy conservation code (Chapter 53) was added to the state building code in New Mexico on September 10, 1976. Since the

State Construction Industries Commission was already using the Uniform

Building Code, the adoption did not require action by the state legislature

which simplified matters. A year was spent on the review and screening of

the document at which time we commissioned the Energy Institute at the

University of New Mexico to develop an applications manual and to conduct

workshop training sessions for building officials contractors and the design

community. These workshops had to be condensed to no more than one (1)

day length with the understanding there would be many short sessions rather than

one (1) week long program that would shut down construction for a week.

Some of the workshops were presented on Saturday. We are looking to keep

the workshop program as an on-going state-wide method of gathering information.

As problems develop, the workshops will receive the input and the building

officials can react to keep the implementation of the code up to date.

132
Each political subdivision must make a concerted effort to upgrade the working knowledge of local and municipal plan checkers,

field inspectors and code administrators.

Presently, the workshops are being up-graded to include electrical

and mechanical portions of the model code. The initial approach was strictly devoted to understanding the methodology of calculating the

thermal conductance of building envelopes UQ _ Once this basic concept

is expressed to the target audience, we plan to break up into small groups

for special consideration of areas of mutual concern. Those primarily

interested in the H.V.A.C. and mechanical sections of the code will comprise

one group with electrical and general construction comprising their own respective study groups. This provides a forum for the discussion of the

technical aspects of different types of construction. We feel the input

gained at these sessions will be valuable to the growth and adaptability

of the energy code to the unique aspects of the State of New Mexico.

We are presently looking at a state-wide program to promote energy

conservation at the point of combustion or where it is consumed. We feel

that this type of program will have a measurable effect on fuel conservation

and the attitudes of those that actually install, repair, and maintain

lighting and H.V.A.C. systems.

One important thing that we have learned regarding the enforcement of

the model code is to stress a joint effort by all regulatory personnel. For

the first time, many field inspectors will have to be cognizant of the

entire construction picture, rather than only the framing, electrical, or other independent areas of concern. We have found that the energy code

requires an overlapping effort by all building officials.

Hypothetical Example:

A house is approved for construction in conformance with the energy

code requirements. The plans are approved, the building permit is issued

and the contractor commences construction. However, due to a lack of

communication the dwelling is constructed with a number of deficiencies in

the building envelope. The perimeter of the slab is not insulated, the sole

plate is not caulked, due to last minute cost considerations single glazed

windows were substituted for double glazed and R-ll insulation was installed

rather than R-19 as originally approved. Meanwhile, the H.V.A.C. contractor

has installed the heating system as specified. The mechanical building

officials have encouraged the furnace to be sized so that the least amount

of energy is consumed to meet the required steady-state heat loss to en- courage energy efficiency and minimize fuel consumption.

The problem of a breakdown in the inspection process for the building

envelope will be reflected in the consumer complaints against the H.V.A.C.

contractor since the inhabitance of the dwelling are convinced that the

heating equipment is inadequate. The heating contractor is upset because

when he used to size heating equipment 100% over the steady-state heat

loss, he didn't have a single complaint. The point of this example being

that the problem could have been caught in a very early stage if the

electrical and mechanical field inspectors were overlapping the inspection

of the general construction inspectors.

133
SPECIAL PROBLEMS

The energy code has been "on-line" in New Mexico for over a year

and we have made a special effort to monitor field and enforcement

problems which have surfaced during this period. I want to address

these developments so that many of the states may learn from our experiences

1 - Caulking of the sole plate

The model code requires caulking between the sole plate and the

concrete foundation on wood frame construction. Figure 1-A indicates

that 25% of all infiltration is due to air leakage at the sole plate.

Figure 1-A

AIR LEAKAGE TEST RESULTS

FOR AVERAGE HOME OF 1728 FT.

Vent-a-hood-»

Fireplace

Dryer Vent

Sliding Qlass Door

Exterior Doors

Bath Vent

Recessed Shot Lights

134
All types of materials have been used for this purpose including

black roofing mastic that can, during warm weather, soften and bleed

out onto the finish floor or carpeting. Fiberglass batts cut into

strips, expanded polystyrene, expanded polyurethane , and various types

of caulking compounds have been experimented with. There are some products on the market that come in large aerosol cans that seem to work the best although expensive. This product goes on the concrete

surface like shaving cream and fills all of the surface irregulations

for an air tight seal.

2 - Cracking of Stucco

In the last year we have experienced an unusual increase in the

number of homeowner complaints regarding cracked stucco in new construction.

Upon closer inspection we found the one thing these houses all had in common was the new concept of 2" x 6" studs on 2' - 0" centers. One may

feel that this is not a problem of the energy code but something concerning

strictly the general building code. However, the "Arkansas house" type

of construction was precipitated by the impact of energy conservation in new construction and the increased interest in providing R-19 insulation

for the 2" x 6" wall construction.

The cracking seems to be accelerated near the doors and windows of

the structures which gives rise to the feeling that vibrations generated by

the use of the doors, windows, etc., may affect the stucco which is supported

over this wider span. The stucco must support itself at 33 1/3% wider span

than the traditional 16 inch stud spacing and this seems to be the main problem

area. At this writing, there are two (2) schools of thought on how to deal

with this problem.

a - the requirement of a heavier gauge of wire lath to help

support the stucco.

b - require a longer drying time between the various coats

of plaster so that the material will be cured before

the building is occupied.

3 - Temperature Control

The model energy code based on A.S.H.R.A.E. require a maximum temperature setting of 75° f. for heating only thermostats. The problem encountered

here is one of uniform enforcement. Many contractors claim they cannot

get the proper control, others are still installing the thermostats with a range of up to 90° F. Enforcement becomes very difficult with so many sources

of supply coming into the state. Presently, the state mechanical bureau

has set an enforcement deadline of January 1, 1979 with pressure being

applied to the manufacturers and suppliers to produce control equipment that

complies with the model code by that time.

4 - Energy Efficient Water Heaters

The State of New Mexico has made good progress on the enforcement

of the energy efficient water heater requirements of the energy code. The

water heater manufacturers claim they cannot meet the A.S.H.R.A.E. requirements for commercial heaters, but all five (5) of the major manufacturers

of water heaters have at least one (1) residential model that meets the

stand by loss requirements of the code.

135
Our approach to enforcement was to contact the supply industry and

let them know what was Happening and to get them involved from the

beginning

We sent out letters to every contractor and supplier of water heaters

in the state in June of 1977, notifying them of the pending code requirement. They were also informed of the fact that they had until January 1,

1978 to move out all of their standard water heater inventory and replace

it with energy efficient models. In September of 1977, we met with

the Rio Grande Supply Association which represents 90% of all plumbing

wholesale supply businesses in New Mexico. They expressed concern that

the manufacturers did not make commercial water heating equipment that

would meet the pending requirements. The instantaneous, at the source,

and high recovery heaters would not be available for some time and expressed

concern that we were going to require something that was unavailable. Upon

learning this, we involved the association in helping to gather information

and advise us on the best course of action within the established timeframe .

As it turned out, we announced to the industry in November that there

would be a moratorium on the enforcement of the commercial portion of the

regulation, but that all new installations of group R occupancy (residential)

would require an energy efficient water heater. We also informed the

contractors that the state and municipal field inspectors would be looking

for a statement on the heater as follows:

"This unit meets or exceeds A.S.H.R.A.E. 90-75 energy efficiency

requirements .

When January 1, 1978 rolled around we polled the majority of the

suppliers to see how they would be affected. Obviously, many of these

companies had nbt taken us seriously and gave a variety of "sob stories"

as to why they had not been able to comply. At this point we had to get

tough, so one last memorandum was sent to all concerned (about 1,000 letters)

that April 1, 1978 was the final cut off point with no exceptions. We

then issued press releases to newspapers throughout the state and had the

field inspectors inform the contractor that we meant business and if they

installed a standard water heater after April 1, it would have to be removed

and they would bear the financial loss. Lastly, we notified the home

builders associations that gas and or electric service would be denied

to new residential houses unless the approved water heaters were installed.

Most of the hollering was over by the middle of March with about 90%

compliance and surprisingly enough April 1, 1978 came without a fraction

of the fire works expected. We have subsequently followed this up with

a media campaign explaining to the consumers the fact that an energy efficient

water heater can save up to $1000 in energy costs during the next ten years

and to make sure that they got what was legally required by the state

energy code.

We have had one other problem on this subject in the form of a possible

law suit concerning the replacement of standard water heaters under

warrantee. The proponent contend that a warrantee is in essence a contract

and to replace a faulty standard heater with an energy efficient one would require them to break their contract. We didn't feel we had anything

to lose so we told them to go ahead and file their suit. To date, there

has been little action or correspondence along this line so we do not

have the final outcome yet.

136
5 - Perimeter Insulation for Slab On-Grade Construction

This problem is best illustrated by making a comparison between

figures 1-B and 1-C.

Figure 1-B

111 =111=111

111=

I

7///////////////////A

137
In this comparison figure 1-B illustrates an installation that is

not in violation of any technical aspect of the energy code. The

H.V.A.C. contractor installs the under slab duct system in compliance

with the mechanical code and the general contractor places the perimeter

slab insulation to conform to the model energy code. The lack of

communication in this case will cause duct heat loss to be accelerated

through the stem wall and will actually prevent the verticle flow of

heat into the floor of the dwelling. It is obvious that no perimeter

insulation at all would be better than what we have in figure 1-B.

Both contractors are complying with the letter of the code but not the

spirit of the code.

Figure 1-C represents an energy efficient way to make this installation. A code change or at least a clarification is needed to require

the rigid insulation to be placed in a verticle position when applied in

conjunction with a perimeter duct system. The contractors that know

about this problem are presently complying on a voluntary basis because

it is logical, but of course that is no way to enforce a building code.

The other problems concerning the perimeter slab insulation such as the tack strip for carpeting, shallow footings (less than 24") and insulation placement inside of the stem wall as opposed to outside will

all work themselves out.

RE-EVALUATION OF U VALUES

AND THE BUILDING ENVELOPE

President Carter has stated that the United States should set an energy conservation goal of insulating 90% of all homes by 1985.

The Arthur D. Little report suggests possible energy savings

obtainable by increasing wall insulation and reducing window and glass areas.

In New Mexico we assume that the intent of energy conservation model

codes is to reduce energy consumption as much as possible. However, many

energy conservation standards reduce ''peak" rates of energy consumption

and assume that this will also reduce "average" energy consumption through

the building envelope over the long haul.

The State of New Mexico has done a great deal of research in the area of effective U factors for heating. We have an intuitive feeling

that the long term energy consumption should depend on more variables

than the performance of construction components. We know that overall

thermal transfer value (O.T.T.V.) calculations for cooling are based on a number of variable heat gain factors including such things as wall color,

orientation, climate, and internal heat gains. We realize that this entire

subject is controversial in that it represents a challenge to the steady

state methodology which is currently used to establish the thermal

conductance of building envelopes based on peak heating loads. Our research

still needs to be proven out over a reasonable period of time, but if the

conclusions turn out to be what we presently feel is accurate, it may be more cost effective to paint an existing south facing wall a dark color

than to add insulation as the President has stated.

138
One word of caution, however, when dealing with the term

"average" as shown in figure 2-A.

FIGURE 2-A

A person with one foot

in dry ice and the other

in boiling water is ex- periencing temperatures

in an "average" comfort

range of 75° F.

As previously mentioned the Arthur D. Little report suggests a policy of adding insulation and reducing window area whereas our effective U value research encourages the effective placement of those

windows . to take full advantage of solar heat gain, and that reducing

steady-state U values by adding insulation does not necessarily reduce

average fuel consumption .

New Mexico Energy Institute

Report No. 76-161 B (second revision)

February 1978

"Effective U values"

Wybe J. van der Meer

L. W. Bickle, Ph.d.

139
We are convinced that steady-state methods based on peak

conditions are paramount in sizing heating eqiupment and that we

cannot ignore the aspects of health, safety and welfare provided by

adequate heating equipment which will handle any weather condition

which may arise. Effective U values cannot be used to calculate the

size of H.V.A.C. equipment.

The main point of this issue is that we need to look at all

aspects of energy conservation from a new perspective and to re-evaluate

principles which we have always accepted without question.

CONCLUSION

Building officials and code administrators have been thrown to the

forefront of energy conservation in the construction industry due to Public

Laws 94-163 and 94-385 of which we are all familiar. It is important

that the states maintain their code promulgating powers and take full

advantage of the ability to make local code changes. We encourage the

states to take a careful look at the model energy code which their state

has adopted or is intending to adopt and prepare to make whatever changes

necessary to take full advantage of the unique aspects of the various states

such as solar radiation, local climatic conditions or other factors which

no one knows better than the states themselves.

Lastly, it is important that representatives of the various states

work together and freely pool their efforts, distribute information, and

communicate ideas with each other so that we are not caught up in the re- invention of the wheel on a state-by-state basis. To relate with one another

as well as the federal agencies in the development, promulgation and

implementation of the model energy conservation building codes and standards

thereby producing measurable energy savings through the proper and intelligent

enforcement of the code.

140
IMPLEMENTATION OF ENERGY CONSERVATION STANDARDS

by

James T. Quinn, Consulting Architect

Energy Section

Engineering and Building Codes Division

North Carolina Department of Insurance

Raleigh, North Carolina 27611

Energy conservation in new buildings is one area where a code will

affect virtually all aspects of the building construction. It is an area that can create confusion, misunderstanding and even resentment

over a short time span. This can be further heightened when the code

is implemented in areas where no code enforcement previously existed.

Chapter XXXII "Efficient Energy Utilization in New Buildings"

of the North Carolina State Building Code was by necessity implemented

over a short time frame, and enforced without exception across the

state. The Engineering and Building Codes Division of the North

Carolina Department of Insurance used its previous experience in new

code implementat ion, the research presented by NCSBCS, ERDA, and DOE,

and some innovative ideas of its own to bring this code into reality

across the state, and it is hoped this experience may be of some benefit to other states as energy conservation codes are implemented

by those states.

Key Words: Energy utilization codes; legislation; education;

illustrated handbook; thermal envelope criteria;

thermal performance criteria.

141
INTRODUCTION

The implementation of codes will vary from state to state, but

there are usually steps and methods that can be common to several

states, if not all. One way to examine some methods of implementation is to look at the energy conservation code for new buildings

in one state, and the measures taken by that state for implementation.

To understand the codes and methods of implementation it will

be necessary to take a brief look at the history of codes within the

state, how the codes were developed, how they were enacted, and how

they were implemented. Sometimes innovative ideas occur without

the realization that the idea is anything but a very logical step.

This was true of the illustrated handbook for the Handicapped

Section of the North Carolina State Building Code. The interpretations of the code were as varied as the inspectors enforcing it, the

designers designing for it, and the building owners using it.

Once the code was put into illustrations the interpretations became more uniform and the intent of the code began to become a reality

as each party knew what to expect, and what was expected.

The section on energy conservation, "Chapter XXXII, Efficient

Energy Utilization in New Buildings" provided the basis for the same varied interpretations. The experience with the Handicapped

Code convinced the code officials that not only is an illustrated

handbook desirable, it along with short courses for all parties

concerned is a necessity. The energy code certainly has a more

profound effect on new buildings than most new codes have had

in the past, because the energy code affects virtually every

sector of the construction system.

The following paper presents an overview of the codes,

legislation, and enforcement procedures one state has adopted for

energy conservation in new buildings. It is hoped that some parts of this may be beneficial to other states that are still in

the developing process of their energy code.

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North Carolina had its first building codes in the 1880' s when

the Commissioner of Insurance was directed to develop standards for

building in the State. Then, in 1933, the Legislature of the State

set up the Building Code Council to develop, adopt and revise standards for building. The Commissioner of Insurance was given the

responsibility to administer the code, and enforcement was given to

the local governing body having jurisdiction.

BUILDING CODE COUNCIL

The Building Code Council is empowered to operate as a quasilegislative body. The makeup of the Council is spelled out in the

enabling legislation and includes representatives from the design

professions, builders, subcontractors, materials suppliers, government, and the public at large. There are prescribed legal steps

that the Council must follow in developing, advertising, and holding

public hearings on code adoption, whether it entails new codes, or

the revision of existing codes. Once these legal steps are followed,

the actions of the Council become applicable and no other legislative

action is required.

STATE DEPARTMENT OF INSURANCE

The Engineering and Building Codes Division of the Department

of Insurance acts as staff to the Building Code Council, and works

in cooperation with local code officials to administer the code.

The Division maintains the code up to date and presents training

classes, orientations, and opinions in code interpretation primarily

to the local code officials. The Division also reviews plans for

certain types of buildings for code compliance.

LOCAL ENFORCEMENT

Enforcement of the statewide building code is done totally on

a local basis. Prior to 1978, local governing bodies had the option

of enforcing or not enforcing the code although the code applied on

a statewide basis to most buildings. Methods of enforcing and

compensation of enforcement; officials was within the local jurisdiction, as was qualifications of all inspectors other than

electrical. The local governing body cannot enact codes either more

stringent or less stringent than the statewide code without prior

approval of the State Building Code Council. This provides a uniformity statewide, but also permits local modifications where

they are warranted.

INITIAL ENERGY CONSERVATION REGULATIONS

The oil embargo of 1973 created acute fuel shortages in North

Carolina, and prompted the Governor to request the Building Code

Council to take appropriate steps to enact energy conserving codes

for buildings. The Council reviewed the Southern Building Code

Congress recommendations and adopted those recommendations for all new buildings. The reaction was quick and massive.

143
Designers, builders, owners, and government building departments considered the regulations to be too prescriptive with little

or no room for alternate methods. The Council relented, rescinded

the regulations and appointed a subcommittee to develop a code

tailored to construction in North Carolina.

CODE DEVELOPMENT FOR NEW RESIDENCES

The energy subcommittee developed a prescriptive code for residential buildings, that is, one and two family residences and multifamily residences three stories and under. These recommendations

went to the Council in the fall of 1974, were adopted and became

effective 1 January 1975. The state bacame one of the first three

states to have a statewide energy conservation code for new buildings.

The code was on the books but the implementation and execution was

not assured.

CODE DEVELOPMENT FOR OTHER NEW BUILDINGS

The State Senate, in its 1975 session, passed a unanimous reso- lution requesting the Council to enact energy conservation codes for

all other new construction. The Council created an energy advisory

subcommittee to gather necessary data, and to make recommendations

to the Council for such codes.

The energy advisory subcommittee worked for some fourteen months,

getting information from as many sources as possible, writing and re- writing before makings its recommendation. The result was a code that

would reduce energy consumption, yet could be implemented without

serious dislocations in the building process. With the exception of some severe hot water requirements, the code could be accomplished

with materials and equipment currently available. This code was

adopted in the spring of 1977 to become effective January 1978.

The state had energy conservation codes in effect for new buildings,

but nothing for existing buildings, and no assurance of complete

implementation as many areas of the state were not enforcing the

building code. The legislature addressed this issue in several ways.

STATE LEGISLATION RELATED TO ENERGY COMPLIANCE

The Legislature adopted House Bill 1003 that granted tax relief

and put some sharper teeth into the building code.

This bill granted certain tax incentives for the installation of

insulation, storm windows and doors on existing buildings, plus

certain solar applications on both new and existing buildings. These

tax incentives were limited to a two year period, thus encouraging

immediate installation.

The bill required that any new residence, one or two family and

multifamily three stories and under, be certified as being in com- pliance with the energy conservation code before permanent utility

hookup could be made. Where insulation of only electrically heated

144
houses had been economically encouraged by the power companies, now

insulation and weather sealing was demanded regardless fossil energy

sources.

The third provision of this bill required that all residences

be individually metered for electricity and gas. It was determined

that each dwelling unit would become more energy conscious as the

monthly statement accelerated.

These measures were appropriate and well intended, but were

loaded with the possibilities of fraud unless adequaely enforced.

The legislature tackled these problems with the enactment of House

Bill 1333.

STATE LEGISLATION RELATED TO ENERGY ENFORCEMENT

House Bill 1333 required that every local jurisdiction within

the state implement and enforce the energy conservation code regardless of whether it was enforcing any other section of the code. Each

jurisdiction was required to appoint an energy inspector by September

of 1977 and notify the Department of Insurance of the inspector's

name.

This bill further stipulated that the Engineering and Building

Codes Division of the Insurance Department "would make available to

the energy inspectors courses of instruction covering the insulation

and energy utilization requirements."

Enforcement was further enchanced by the bill as it required any

person installing energy conservation measures for a fee would be

licensed as an energy conservation contractor by the local jurisdiction

in which the work was being performed. It also required that an insulation permit be obtained for each individual insulation job. This

gave the inspector a handle on the jobs in his jurisdiction, as to

what and where they were, and the capability of pulling a license from

those persons doing work consistently not up to code standards. The

permit requires that the certification on the permit state that the

building specifically meets the energy utilization section of the

uniform State Building Code. License was not required of any con- tractor already licensed by the state, nor licensed architect or engineer licensed by the state.

House Bill 1333 further states that the installer shall notify

the inspector when various stages of the work are ready for inspection.

The inspector, upon completion of the work, issues a certificate of com- pliance with the energy utilization standards of the code. If a licensed architect or engineer designs and inspects the project, the

building inspector may accept a certificate of compliance from either

of them.

145
One last provision of House Bill 1333 requires that all sales

contracts for the installation of energy utilization materials or equipment have a provision that the work will meet the requirements

of the State Building Code. This provision serves not only to assure compliance with the code, but keeps the inspector free of becoming

involved in the middle of contractual disputes.

IMPLEMENTATION PROBLEMS

Now there is in place an Energy Utilization Code that is statewide - legislation requiring that it be enforced - legislation to

protect the public from fraudulent operators - so what's the problem?

implementation and implementation in a hurry - that is the problem.

The towns and counties that have building inspection departments and

procedures will suffer the usual pangs of any code change. These

pangs will be amplified, however, by the speed with which the code

takes effect, and by the additional requirements set forth in the

legislation. The real problems of implementation will come about

from the smaller towns and counties that do not have any inspection

department or procedures.

Approximately 50% of the area of the state lay within jurisdictions that did not enforce the building code. They either

enforced none of the code or only the electrical portion. Secondly

many of these jurisdictions resented any "meddling from down at

the State Capitol" that would tell a man how he had to build his own

house. Luckily for the Energy Utilization Code, people were

becoming increasingly aware of energy use primarily because of

escalating prices. Although many did not truly believe an "energy

crisis" was upon us, a crisis of some kind was hurting their pocketbook and they were looking for relief. The local jurisdictions

began to comply with the law and appointed their energy inspectors.

Unfortunately, many of these inspectors were appointed for reasons other than their knowledge of building and were not absolutely certain of the difference between a four inch wood stud and a four

inch fiberglass batt. Clearly education had to be the primary order

of the day.

IMPLEMENTATION THROUGH EDUCATION OF INSPECTORS

Legislation by the General Assembly required that the Engineering!

and Building Codes Division offer courses to the new energy inspectors

but it became quickly apparent that some type of courses should be

offered to builders, contractors, and the design professionals as well. It was also quickly determined that it would not be feasible

to present any indepth courses that could reach everyone prior to

the effective date of the code, and that some material explaining

the code should be made available to those persons affected who

could not attend classes. Manpower became critical as the legislation

for implementation of the Energy Utilization Code was enacted without

any additional appropriations, either on the state or local basis.

146
The Engineering and Building Codes Division applied for and

received a grant from the Department of Energy through the State

Energy Division of the Department of Commerce under the Energy and

Conservation Act (P.L. 94-163). Through this grant, the Building

Codes Division hired an engineer and an architect, whose responsibilities were to develop and deliver workshops and seminars to building

inspectors, building owners, and maintenance personnel, and to

develop and distribute an illustrated handbook of the energy code.

These professionals began work August 1 1977 working toward a deadline of 1 January 1978, the effective date of the commercial code.

Previous experience in new code implementation had indicated short courses and an illustrated handbook greatly facilitated implementation

of the code and eliminated some of the confusion that arose by

necessity.

The initial work was to develop and deliver short courses. The

two new personnel devoted full time to the course material and es- pecially visual aids for the course presentation, and to the actual

presentation.

•

The material presented by NCSBCS and ERDA at the University

of Utah in August 1977 was the nucleus of the initial short courses. A trial run of one and one half days was set up for late September

and October and scheduled at four locations across the State. Material

was lifted from parts of the NCSBCS course and reproduced, Standard

90-75 and other documents were obtained from Washington and a slide

presentation of the North Carolina Code and explanatory sketches was

assembled, a limitation of thirty persons per class was set, and the

show went on the road.

This initial series of courses were as educational for the instructor as it was for the student. It pointed out several factors.

1. Although the residential insulation code had been

in effect for over two years, it was neither fully

understood nor fully enforced.

2. The inspectors understood that insulation was

supposed to reduce heat transfer, but were unaware

of the serious problems that could be caused by

improper installation.

3. The inspectors initially wanted a "cookbook" approach

to what to look for, and a detailed explanation

of inspection administration.

4. The inspectors were apprehensive of calculations

for "U" values in buildings.

5. It would not be possible to get the limited enrollment course to all the inspectors, much less the

public, prior to the effective date of the new

code.

It became necessary to drop back and regroup.

147
The legislation passed required that courses be ottered to

all inspectors, so larger attendance was mandated. Short courses

of one and one half days were set in two locations in the State with

class attendance of two hundred and fifty to three hundred persons.

These were filled. The courses served the purpose of meeting the

legal requirements, but were not as satisfactory as the smaller

classes in disiminating information and feedback.

SEMINARS FOR DESIGNERS AND CONTRACTORS

In addition to the required courses for inspectors, the Building

Codes Division along with the state chapters of the American Institute

of Architects and Professional Engineers, sponsored two one day

seminars for architects, engineers, builders, contractors, owners,

along with inspectors these seminars were again held in different

locations and were attended by three hundred and four hundred and

fifty persons respectively. The seminars helped in explaining the

intent of the code, especially the procedures involving the administration and certificates of compliance.

DEVELOPMENT OF A HANDBOOK

The presentations of the classes and seminars constitued an excellent base for the materials to be contained in the illustrated

handbook. The handbook was laid out basically along the lines of a previous handbook prepared by the Department of Insurance to explain

the Handicapped Section of the North Carolina State Building Code.

This format in the open book, contained only the actual enacted

code on the left hand page, and the explanatory data and drawings on

the right. When the person referred to the pertinent section of

the handbook, the actual code was there also. This same format was used in the classes and seminars with slide projections using

two projectors. The code sections were projected on the left hand,

and descriptive matter on the right with several different slides

for each different requirement of the code. As the courses developed further, this system was adapted to overhead transparency projections in order to modify or add illustrations, or explain a one

of a kind situation.

This format and information discussed in the courses were

assembled into the handbook "Energy Conservation in New Buildings - Chapter XXXII Efficient Energy Utilization in New Buildings." The

handbook contains a brief introduction, a flow chart to determine

if a particular building is required to meet the code, and which

provisions .apply, the code with its explanatory data, the appendix

to the code, several pertinent tables from the ASHRAE Handbook of

Fundamentals, and the tables from ASHRAE Standard 62-73. The hand-,

book is not intended to be either a design manual in heat transfer nor a catalogue of the only materials and systems that meet the

code. It is a manual to explain the Energy Utilization Section of

the North Carolina State Building Code, and presents the designer

and inspector methods of determining compliance with the code.

148
It is realized that codes relating to energy will be dynamic

codes reflecting availability of source, and states of the art.

The handbook was numbered in such a way that individual portions

could be revised without the necessity of renumbering the entire

manual. Pagest to the left containing the code material have

numbers, and the descriptive materials have numbers with subletters.

The handbook was printed on the same color paper as the Energy

Utilization Section in the State Building Code. This is to provide a continuity of reference.

REVISED SHORT COURSES

The handbook is now used as a teaching aid in the revised short courses offered to instructors. The Energy Utilization Code has

been divided into three short courses. "Course I, Residential" is

a two and one-half day course on the fundamentals and application

of insulating materials and systems as related to Section 3201 of

the Energy Utilization Code. This course covers 99% of the new

residences constructed in the state.

"Course II, Thermal Envelope Criteria" is a three day short course with Course I as a prerequisite. Course II deals with new

buildings, other than residential, up to 15,000 gross square feet in

area, and goes heavily into the calculations of overall heat loss,

and into heating, cooling and lighting systems to a lesser degree.

This is within the capability of an inspector who is fairly well

trained but not necessarily a professional person.

"Course III, Thermal Performance Criteria" is a longer course,

the number of hours yet to be determined, that will encompass energy

consumption budgets in new buildings larger than 15,000 gross square

feet. This is of course a sophisticated area requiring extensive

training and experience. At present there are few inspectors

with the background to check the plans, specifications, and calculations for a thermal performance project. It is anticipated that this

will not be required often in small inspection jurisdictions and

therefore all inspectors may not take the course offered. For the

most part, buildings of this magnitude will have a licensed professional involved in the design and analysis, and the inspector

may accept their analysis and certification of complaince.

PROFESSIONAL SEMINAR

The state chapter of professional engineers is sponsoring a three day seminar for the energy code with particular emphasis placed

on the thermal performance sections. Participants in this seminar

will include some of the individuals who served on the energy

advisory comittee developing the code. This seminar is privately

sponsored and is open to all interested parties, but the high

registration fee will eliminate most inspection personnel from this

meeting.

149
It may appear that overemphasis is placed on illustration and

education in code implementation, but in reality it can hardly be

overemphasized. Education, especially in energy utilization, provides

the inspector with an understanding of why the code is necessary,

how energy utilization works, how to foresee problems and how to

inspect the installation. It provides a basis for uniform interpretation and enforcement across the state. This certainly reduces

the confusion among designers, owners, and builders as to what is

required. It is not to be implied that inspectors were the sole

persons needing education; builders were unaware of the dangers

of insulation, and designers had been using the old rules of thumb

for so long they had forgotten some of the sophomore basics in

thermal design consideration.

FUNCTIONS OF STATE DEPARTMENT

The energy personnel of the Engineering and Building Codes

Division have had their hands full with the training programs and

answering questions from inspectors. The federal grant does not

allow these positions to be used for ongoing operations and administration. The Division requested and obtained three new permanent

engineering positions from state personnel. These three new positions will be administrative and plan review. This permits

the Division to spot check buildings across the state, and to re- view thermal performance criteria in cooperation with some of

the smaller jurisdictions that will not have inspectors with

advanced training. These three new positions will also aid in, and

eventually absorb the training aspects of the grant funded positions.

One other aid in the implementation of the code is the

standard forms, one for Thermal Envelope Criteria and one for Thermal

Performance Criteria that must be submitted upon application for

building and/or insulation permit. Uniformity across the state is

the goal, and provision of a base for review of the application.

The code also gives design temperatures indoors and outdoors as a basis for review of calculations. These temperatures may not be

limitations necessarily, but they are the basis for design review.

CONCLUSION

The two and one half year experience with implementation of

energy codes in new residential buildings, and the seven months

of implementation of energy codes in other new buildings points

out that new energy conserving codes cannot be implemented without

some confusion and resentment from concerned parties. This con- fusion and resentment, however, can be reduced by the following:

1. Have a state government aware of energy problems

and willing to take the steps necessary to

alleviate these problems.

2. Develop a code that is economically practical and

apply it uniformly.

150
Provide courses for both the inspector and the user.

Provide data and illustrations that. explain each

aspect of the new code. Aim this material toward

comprehension by persons without extensive

training.

151

THE USES OF AN INTEGRATED DATA

BASE IN MUNICIPAL COMPUTER ASSISTED

REGULATORY SYSTEMS

by

Norton S. Remmer, P.E., Commissioner

Department of Code Inspection

Worcester, Massachusetts

Computer based systems are becoming more prevalent as the basic

means of administrative and financial control of municipal governments.

With the availibility of computer hardware or the access to computational facilities well established in most cases, the consideration of

the additional uses for the municipality of such facilities becomes

important.

Two of the many areas receiving considerable attention at this

time relate to building regulatory functions and housing inspection

functions. Several cities have already instituted departmental

programming for use in normal administrative and control functions.

The system in Chicago for the building department has already been

I reported at the 1976 NBS Conference. The Boston Housing Inspection

Department has incorporated the use of the computer extensively for

their daily operational functions. Many other cities are in the

process or have recently installed systems to computerize one or more

aspects of their housing or building regulatory functions.

The City of Worcester, population of about 180,000, has been

studying for almost two years the potential for a system that would not

only provide computerization of normal building and housing inspection

administrative and control function, but could provide a base for many

inter-related functions, and process specialized data for many

coordinated municipal programs.

The size of the city precludes the availability of separate

computer facilities for each department. Therefore, the study

developed requirements based on a central computer and interdepartmental

accessibility of data and results. By looking at a coordinated system,

i it became apparent that many benefits could be derived for a choice

of proper initial hardware and careful software considerations.

Studies by departmental personnel and interns from Clark University

indicated the following as some examples of potential use:

1. Correlation between housing inspection abatement notices and

building or demolition permit issuances.

2. Evaluation of potential arson sites based on coordination of

housing inspections and building inspection records and

outstanding tax and water bills.

153
3. Evaluation of overall neighborhood physical characteristics

to determine blight areas, potential blight areas and establish

the boundaries of such areas.

4. Coordination of Fire Dept. building data and building and

housing data.

In addition, there is the potential for coordination of municipal

programs involving many other functions and integrated programs involving

the building inventory or its infrastructure.

The results of the studies so far indicate that while the normal

control and administration functions of computer programs, such as used in Chicago and Boston, have great potential, the readily available

spinoffs from the data base and information have even more important

potential for municipal planning and control of all city programs re- lating to buildings and their infrastructure.

Key Words: Municipal governments; computer facilities; regulatory; integrated data base.<

154
INTRODUCTION

The use and importance of computer facilities and processing in

municipal governments is becoming more significant and more prevalent.

Most cities rely on some form of computer facility or services for

processing many of the administrative and financial functions such as payrolls, school grades, schedules and budgets. Cities which are of

adequate size to have their own computer and computer staff have the

potential for uses of the computer which may go well beyond the basic

needs of everyday functions. The determination of the needs for using

the computer will depend on the priorities of the government, the

capabilities of its staff, the capacity of the machine, the availability

of peripheral hardware, or a combination of all of these considerations.

This paper is going to be identified primarily with the experience

in Worcester, Massachusetts. Worcester is a city of approximately

180,000 with a large college population of approximately 25,000 students

of which probably 15,000 are from outside Worcester. The City is

relatively old, and typical of many of the industrial cities of the

Northeast with a large number of three family dwellings - called three

deckers - many lodging and boarding houses, and much of the residential

construction of wood. The City is the second largest city, after Boston,

in New England. The City operates a Data Processing Department for all

city departments, and operates a leased Honeywell system which will

shortly be renewed with a larger capacity machine with specifications

to be determined in the near future. The City is in the process of

transferring all of its financial management to computer. There are many

other basic uses for the system at present, including equipment inventory,

all school grading and scheduling, library film distribution control and

processing water and tax bills. The capacity, facilities and opportunity

for far more extensive use of the system exists.

The size of the City of Worcester is interesting when considering

the topic of this paper. The Data Processing Department employs a total of about 24 persons, with several senior programmers and analysts

and has the capability of relatively complex programs and systems

development. Because of the size of the City, there appears to be the

ability to justify only one computer facility - a central computer and

Data Processing Department. There are other larger cities, such as Boston, which have several computer facilities which apparently can be

economically justified. It is obvious that a city the size of Chicago

or New York must depent on many separate computer facilities. However,

it is because of the need to look at all requirements in terms of one

general use facility that the need and the benefits of integrating data

and vunctions for several departments became more necessary and

desirable. At the present time, the capacity of the machine is not

fully utilized and the time schedule both for real-time, that is,

immediate computer response material, and batch porcess, is not fully

utilized. Recognizing the availability of the facility and with an increased awareness of the possible uses of the computer facility,

many separate departments in the last two years proposed programs for

the use of their departments. Several of these were for the Department

of Code Inspection, which incorporates Building Inspection and Housing

155
Inspection among its functions, the Fire Department an on-going

program for the Assessing Department, the Planning Department and

the Department of Public Works.

BACKGROUND

Many cities incorporate departmental computer facilities or programming of a central computer for regulatory functions. The system

in the Chicago building department was reported at the 1976 NCSBCS/NBS

Conference. The City of Springfield, Mass. uses a central computer for

several programs which integrate housing, assessing and building permit

data. Basically, the program has a data base of the assessor's records

identifying all properties, location, owners, details of building

character, rooms, residential facility condition on a scale of 1 to 5,

and the program updates all owner changes, building permit changes to

the physical structure, changes of physical condition, and is able to

print out maps based on discrete data showing condition of buildings

in any area (different types of residential and their condition can be mapped) based on intensity of print (white to black). The City of

Boston housing department computerizes all housing violations notices

and prints out standardized descriptions, while establishing a data

base of the date, location, violations, status, overall condition,

legal action period, and several other items for internal administrative control.

In the cases of Chicago and Boston, the systems are apparently

independent of other data bases in separate computers. Springfield

uses the central computer and integrates the data base for several

functions including housing, building and planning. However, the

system is not used for normal daily processing such as Boston and

Chicago.

While these examples show some of the programs in existance, the

fact is, that the scope and potential for integrating the data base

for use across a broad range of municipal responsibilities and objectives is tremendous.

EXAMPLES OF APPLICATION

I ARSON STUDY

The value of an integrated data base was illustrated when the

Department of Code Inspection and the Planning Department instituted

a study to determine the feasibility of predicting arson in buildings.

This was initiated about two years ago when the incidence of arson,

especially in residential structures, in many of the cities in

Massachusetts became epidemic in proportion. In many cases of suspicious fires there was a history of extensive housing code violations,

ultimately in some cases leading to condemnation, and tax and water

bill delinquency. It was known in some cases that large insurance

156
settlements occurred and that the property was subsequently abandoned,

with the City left to demolish the building and absorb the tax losses

and cost of demolition. The question arose as to the feasibility of

predicting the probability of arson. The prime indicators for such

predictions appeared to be the following 1) Tax delinquency, 2)

Condemnation, 3) Absentee ownership, 4) Location in "inner city".

In addition, the sequence of events leading to city demolition and

loss of tax revenue was analyzed to determine if there was any

significance to the pattern. Figure 1 shows relationships which were

derived. The important point in reviewing this work, in which all the

data was derived manually with a great expenditure of time and effort,

is the fact that there are several separate and independent data

bases involved. These are 1) Tax Collector's Office 2) Assessor's

Office, 3) Housing Inspection Records, 4) Building Inspection

Records, 5) Fire Department Records. As Figure 2 shows the data

base for the Assessor's is independent of all others as are the data

bases for all others except for Housing Inspection and Building Inspection, which have an informal link because they are in the same department. Assessor's records are available to the Tax Collector

on a batch basis, but there is not access to the same data by both

departments. If the data base was properly integrated, there would

be common access, based on address and ownership to all the indicated

agencies, and all the information necessary for maintaining a con- tinuously updated correlation for the arson study would be available.

II INSURANCE

Based on the results of this study I prepared legislation which

was submitted and passed, becoming effective January 1, 1978, which

allowed a local government to establish a first claim on any building

in excess of $1,000 if the building and/or housing commissioner versified

that the building was likely to subject to demolition under several

possible statutes. The law also provided that a claim may be instituted

by the Tax Collector if the damage exceeded $5,000 and the City had a record of outstanding taxes against the property. Figure 3A shows a flow chart used to control the acquisition of information and route it

for evaluation in determining if a claim on the insurance is warranted.

In this case the information involved is the following: 1) Buildings

which are condemned, 2) Buildings which are on a priority list for

demolition, 3) Buildings which have taxes unpaid, 4) Buildings which

had previous extensive violations of housing and/or building codes,

5) Buildings with absentee landlords, 6) Buildings whose owners have

other property in distress or who have a questionable record of property

mamagement or outstanding liens, or numerous suspicious fires. The

possible data sources are shown in Figure 3B as follows: 1) Bureau of

Land Use Control, 2) Bureau of Land Use Control, 3) Tax Collector,

4) Housing and Buildings Divisions of Code Inspection Department, 5)

Assessors/Tax Collector's, 6) Bureau of Land Use Control, Tax Collector,

Fire Department, Housing and Buildings Divisions.

The insurance law allows a period of 10 days to elapse between the

date of notification by the insurance company and the date of response

by the city to restrict the payment of the claim. Based on practical

157
experience in performing the limited information gathering required by

Figure 3A it is clear that only an integrated computer data base could

provide all the information needed within the time period available.

Ill OTHER EXAMPLES

A. Violations of the Housing Code often involve the necessity of a building permit to accomplish abatement. In many cases where a house

is condemned by the housing inspector, the owner takes out a building

permit for work and is issued a certificate of occupancy without

abating the housing code violations. In others, where buildings are subject to demolition, the previous owner has sold the building and

the new owner takes out a building permit while the building is being

processed for demolition. With an integrated data base, any change of

status on the building would show up immediately. A building permit

update on a condemned building or one subject to demolition could

immediately indicate a discrepancy. Changes of ownerships recorded for

buildings on these lists could also signal a review.

B. Census tracts or geographical areas based on other boundaries

could be tracked in terms of assessment of housing conditions, incidence

or arson, crime statistics, tax delinguency, absentee landlords and an evaluation of blight and potential blight areas or potential rehab

areas can be evaluated.

BASIS FOR SYSTEM

The basis for the use of any data is its reference to either an address or an owner. All municipal regulatory concerns can be related

to either the address or the owner as the computer address for reference.

With these two keys, which are essentially within the date base of the

Assessor and Collector of Taxes, all other information can be referred.

The following items all relate to an address or owner:

1. Assessor 1 8 Records

2. Tax Records

3. Municipal Liens and Bills

4. Fire Record

5. Demolitions

6. Building Permits/Inspections/Violations

7. Housing Inspections/Violations/Conditions

8. Condemnations

9. Lead Paint Inspections/Violations

10. Land Use

11. Electrical Permits/Inspections/Violations

12. Plumbing and Gasfitting Permits/Inspections/Violations

13. Fire Department Building Plans

14. Rodent Infestations

15. Street Maintenance

16. Tree Maintenance

17. Sidewalk Maintenance

18. Water supply/Distribution

158
In most cases there is a critical need to have a constantly

updated listing of ownership of a building or of land. Therefore, the

updating of the Assessor's records is essential, since all regulatory

functions depend on the ability to interact with a legal entity defined as the owner or the person or other entity responsible. Figure 4

shows the interaction of many of the regulatory functions with the

Assessor's Base as the repository of the computer reference keys, the

address and the owner. Based on these two keys, it is evident that

extensive information can be accumulated relative to regulatory functions, and planning functions for such things as systematic code

enforcement, rehabilitation and land use patterns.

INTEGRATION OF DATA

1. HOUSING CODE - BUILDING CODE - ELECTRICAL - PLUMBING

Current activity for either building code violations, housing

code, electrical or plumbing could be integrated so that any building

could not receive a certificate of occupancy, or a certificate of abatement of housing code violations while activity under any of the cited

codes was progressing. Since all are statutorily separate but necessarily

integrated activities it provides an important control.

2. CONDEMNATION - TAX BILLS - MUNICIPAL LIENS - BUILDING, PLUMBING

ELECTRICAL CODE VIOLATIONS - RODENT INFESTATION

Buildings which have a record, or start accumulating a record,

of tax bills, liens, and code violations have shown an overwhelming

consistency in leading to condemnation and further problems. The sooner these buildings are identified, the easier it is to expedite action

and the greater the likelihood of preserving the building.

3. SINGLE OWNER RECORDS

The determination of policy on buildings may depend on accumulating

all information on a single owner of many buildings relative to his

other properties including information on building condition, tax bills,

liens, condemnations, fire history, and demolition history.

4. OTHER USES - NON REGULATORY

The potential for non-regulatory use of information generated

within the regulatory process is extensive. Specific details of certain

alterations to buildings can be reported directly to fire department

data for updating their fire attack strategy. Planning based on evaluation

of building conditions can be done by aggregating specific information

for all addresses within a neighborhood. This can also be integrated

with street, sidewalk, water supply and tree maintenance programs for a

159
neighborhood or section of a city.

CONCLUSION

Examples and possible applications of the use of an integrated

data base in a local government have been demonstrated. The scope is even greater than this brief introduction reveals. Because so much of

the regulation, planning and services of a local government are addressed

by means of address and owner's name, there is an extensive base of

information available for any address, owner or aggregation of addresses.

The City of Worcester is now in the process of reviewing the functions

and programs which can be addressed through address and/or owner and

establishing priorities for program implementation to start accessing

information relative to the Assessor's records as the overall key

mechanism.

160
ALL TAX DELINQUENT, SUSPICIOUS FIRES & CONDEMNED PROPERTIES

1974 - JUNE 1977

1ST 237

CASES IN PROBLEM

PROPERTY POPULATION

232

SUSP.

FIRES

TAX

DELINQ.

PROPERTIES THAT HAD TAX DELINQUENCY

OCCURRING AS THE FIRST FACTOR -

98

74

56

113

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107 117

27

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51

JJL

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69

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15

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SUSP. FIRES

PROBLEM PROPERTY-ARSON RELATIONSHIPS

FIGURE 1

175

CONDEMN

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REQUEST FOR INFORMATION FORM (DEMOLITIONS)

Structure Address

Owner Address_

Insurance Co. Address

Date of Notification Received

Demolition Secretary:

A. Property previously demolished

B. Property previously in demolition

If A. or B., notify the Commissioner and send

notice of intent to the Insurance Company

Property not in demolition

If C. send copies to Housing Division, Superintendent of Buildings, and Tax Collector

2. Information - to be forwarded to the Commissioner of Code

_____ Inspection

Date A. Housing Division - Chp. 139

' B. Superintendent of Bldgs. - Chp. 143

C. Tax Collector - Taxes due - $

-^3. Commissioner of Code Inspection

1 A. Chp. 139 Forward to demo. sec.

1 B. Chp. 143 Forward to Bldgs. Div. & demo. sec. C. No demolition to inactive file

-V4.A. Demolition Secretary (Chp. 143) - notice of intent - Date

-^B. Bui lding s Division (Chp. 143)

i. Date order of demolition

Date demolished

Forward to demolition secretary

Demolition Secretary

A. Date - Notice of intent

B. Date - First hearing notice

C. Date - Hearing notice sent to Insurance Co.

D. Date - Funds released or Date - Dismissed . or Date - First demolition order:

To Insurance Co. To owner:

E. Date - Demolished

F. Date - Of billing

G. Date - Of lien

FLOW CHART FOR INSURANCE LAW

FIGURE 3A

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Exploiting the Computer

to Control the Application of

Design Criteria to Construction

by

Raymond E. Larson, Chief,

Planning and Design Systems

Development Team,

U.S. Army Corps of Engineers

Construction Engineering Research Laboratory

Champaign, IL 61820

The U.S. Army Corps of Engineers is sponsoring the development of

a Computer-Aided Engineering and Architectural Design System (CAEADS)

to aid the programmer, planner, designer, and constructor of facilij ties. One of the basic objectives of CAEADS is to provide for systematic application of design and habitability crit eria that are the

counterpart of building codes and standards adopted by federal, state,

and municipal agencies. This paper will describe the overall conceptual design of CAEADS and then go into some detail on the specific

system features that deal with criteria.

Key Words: Design criteria, Guide specifications, Habitability

I criteria , Computer-Aided Engineering and Architectural Design System

I (CAEADS).

167
INTRODUCTION

As the largest construction agency in the free world (1500 com- pleted projects per year), the Corps of Engineers is faced with a con- tinuing requirement to improve efficiency and responsiveness in the

face of growing complexities caused by new standards and criteria.

Examples of these challenges include greater concerns for the environment, the need to reduce energy consumption, and ever increasing ex- pectations in habitability and safety on the part of all people. Furthermore, the ominous inflation that has a long history of going up at

a faster rate in the construction industry than in the other segments

of the economy places added emphasis on the need to improve the overall process.

CAEADS is being developed toward this end. It is a system of

computer aids to be utilized in the construction design process beginning with the definition of a requirement for a facility and con- tinuing through all steps up to and including the preparation of con- struction plans, specifications, and cost estimates. The primary

objectives of CAEADS are to increase the productivity of the design

staff, improve the utility of the delivered facility, and to reduce

design and construction costs. The users of CAEADS include planners,

architects, engineers, specification writers, and cost estimators.

The system is intended to relieve architects, engineers, and technicians from repetitive unchallenging computations and processes and

to permit consideration of a larger number of design alternatives than

is now feasible. These professionals will, however, retain full technical responsibility for the products that are produced. Their opportunity to innovate will be enhanced. Human factors considerations,

particularly in relation to interfaces between people and machines,

will be given prime consideration in the design of CAEADS.

168
CONCEPT DESIGN OF CAEADS

CAEADS is oriented to individual projects and to the functions

accomplished in the production of contract plans, specifications, and

cost estimates. With this as a focus, CAEADS also responds to planning, programming, and budgeting needs. The diagram shown in Figure 1 depicts how the functions of CAEADS have been broken down into activity groups. A number of functions take place in each group. Information flow between functions is indicated.

The heart of CAEADS is a project description data handling subsystem. It is hierarchically designed to facilitate consolidation of

structural components into groupings such as wall, roof, and floor

sections and above this into assemblies of these groupings. The

project will have a three dimensional geometric representation and

provision is made for carrying an unlimited number of properties, addresses, and pointers at each level of the hierarchy. The overall

data base structure is divided into two components. The first of

these, termed "project-independent," contains design criteria, technical instructions, guide specifications, task cost guide, and other

information that has overall application to all projects. The second

component is the "project-dependent" portion of the data base. It

contains all of the information related to individual projects and

grows with each project as design progresses. Computer programs operate on project-independent data to produce project-dependent data.

A hierarchical structure is also used to define the concept

design of CAEADS. The four levels of the hierarchy are as follows:

1. Project

2. Design Phases

3. Activities

A. Disciplines

Figure 2 extends this notion to a further breakdown of detail in

describing the system design. The project as the first level is at

the center of a series of concentric rings. A project may consist of

a number of related facilities including utilities systems.

The Corps of Engineers has adopted three phases through which all

designs pass. The second level shows these phases.

At level 3, CAEADS is broken into nine design activities, each of

which takes place in one or more of the design phases. The individual

operating programs support these activities. The number of operating

programs to be developed for each activity is open ended.

The outer ring shows the professional disciplines served by

CAEADS. Each discipline may function in one or more of the design activities.

169
FUNCTIONAL

REQUIREMENTS

PROJECT

DEFINITION

DESIGN

CRITERIA

REVIEW

Li

FACILITY

DESCRIPTION

X

ENGINEERING

AND DESIGN

ANALYSIS

t

Li

GRAPHICS

SPECIFICATIONS

COST

ESTIMATING

CAEADS PRELIMINARY CONCEPT DESIGN

ACTIVITY DIAGRAM

Figure 1

170
171
Figures 1 and 2 are from a report prepared by Daniel, Mann, Johnson, and Mendenhall, Los Angeles, CA, on the detailed system design of

CAEADS. This work was accomplished under a contract with the US Army

Construction Engineering Research Laboratory, Champaign, IL.

I

!

!

I

i

!

i

i

172
METHODOLOGY FOR CONTROLLING DESIGN AND CONSTRUCTION

The Corps of Engineers utilizes three basic mechanisms for con- trolling design and construction to assure that prescribed standards

are met. These are:

Design criteria

Habitability criteria

Guide specifications

Design criteria prescribe the features of construction and values

for various coefficients that are included in applicable mathematical

equations and algorithms. Habitability criteria apply to human interaction with a specific structure and include dimensions, spacial relationships, environmental conditions, and standards of rapport.

Guide specifications provide the verbage to be utilized in describing

to the building contractor in specific and performance terms what will

go into a structure and, in some cases, methods for performing certain

tasks. The drawings supplemented by specifications describe to the

contractor what he must furnish the government.

173
DESIGN CRITERIA

Design criteria are defined in a wide range of documents. Each

document covers a specific component of a structure or broad specialty

area. Examples of components include walls, roofs, foundations, underground sewage conduit, and electrical pole line construction. Fire

prevention and safety are examples of specialty areas. The term,

design criteria, as applied by the Corps of Engineers, is synonymous

with codes and standards as employed by municipalities and other agencies .

Within CAEADS, design criteria will be stored in a criteria data

storage file which is a subset of the project- independent data base

described above. Information from the criteria filed will be called

for use in both design and review computations. Review is extensive

since the majority of the contract plans and specifications for con- struction accomplished within the Corps of Engineers is accomplished

by commercial A/E firms.

174
HABITABILITY CRITERIA

The Corps of Engineers is developing a Design Guide series that

provides basic planning and design considerations, Criteria^ and special organization principles for various facility categories. Examples of these categories are Administrative Offices, Recreation Centers, and Service Schools. A computerized system entitled Systematic

Evaluation and Review of Criteria for Habit ability (SEARCH) is being

developed to aid the staffs of the Chief of Engineers and design offices in checking and validating adherence to various criteria categories but primarily those relating to' habitability . SEARCH Is also

utilized to check and validate the criteria themselves for inconsistencies and conflicts. These criteria include area and space authorizations, walking distances, acoustical separation, visual control,

circulation, and handicapped access. SEARCH will also provide material take-offs and inventory listings of furnishings and equipment.

The computer can't, however, do all the thinking for us and subjective

judgements about aesthetics and overall habitability are, of necessity, left to experienced architects. The SEARCH system performs re- petative routine tasks for the designer and reviewer through easily

used input-output devices and procedures. This relieves these highly

qualified professionals from many mundane tasks and frees them to do

creative work. An overall flow diagram of the basic design evaluation

process is shown in Figure 3.

SEARCH provides heretofore unavailable design evaluation capabilities. This interactive system encompasses criteria management,

building representation, and evaluation procedures. A graphical terminal configuration including a digitizing tablet, a graphic display,

and an alphanumeric display or printer is utilized to input layout

configurations and related descriptive information from design drawings and to produce output products to the user. SEARCH programs process input information against criteria. Output products show required

values, actual values, and deviations. Figure 4 shows a computer produced graphical representation of a segment of a dental clinic that is

used to demonstrate the capabilities of SEARCH.

Area criteria are entered into SEARCH and output In the format

shown in Figure 5. This shows the area requirements for a group of

activities in a dental clinic called Area Group 4. Area criteria for

a particular structure may be divided into as many groups as desired.

For each activity, maximum and minimum area authorizations may be

specified as shown. The maximum applies to the total number of all rooms housing an activity. The minimum applies to each room in the

activity. Design guide page references are given on the right hand

side of the form.

Walking distance criteria is shown in Figure 6. The quantities

shown under REQD are the maximum authorized walking distances in feet

between two activities. For example, the maximum walking distance between oral surgery and the recovery room is zero implying that these

two should be adjacent.

175
176
ORT

<. TR_D

7

TR_D «

8

TR_D>2

UAIT

1

TR.D •

1

CORR •

1

T3

v

3

UAIT'2

RECE

C_SE • 1

1 MKie.i r

R*Y^

-^<RAY'3

Figure 4

177
REPORT CRITERIA AREA GROUP4

***********************************

** CRITERIA :AREA **

** C : DENT B1 ** ***********¥***********************

ACTIVITY MAX MIN PAGE

C_SECRETARY 100 DG101

CHIEF 125 DG13_45

NCOIC 90 DG13 45

ORAL_SUR 600 200 DG1 OT

RECEPTION 160 DG101

TOILET 200 DG101

VESTIBULE 75 DG101

WAITING 450 DG101

XRAY 300 100 DG101

TOTAL 2100

Figure 5

REPORT CRITERIA WALK ORAL SUR WAITING; *********************** ***T« *******

** CRITERIA : WALK   C : DENT B1 . **  ******** *T** ******* ****** **********

SPACE REL/W SPACE TYPE

ORAL_SUR

RECOVERY WALK_ALL

WAITING WALK_ALL

XRAY WALK ALL

WAITING

ORAL_SUR WALK_ALL

RECEPTION WALK_ALL

TR DENTAL WALK ALL

REQD PAGE

0

40

DG21

DG21

25 DG21

40 DG21

0 DG22

40 DG22

Figure 6

178
An evaluation of the areas of spaces in the proposed layout for

Group 4 activities is given in Figure 7. Note that deviations from

criteria are shown under DIFF. Given this information, the Architect

responsible for review of the design must decide whether to accept

each deviation or require a change in the layout to bring it in line with

criteria. The purpose of the evaluation as envisioned now is that it

be an aid to a decision maker rather than a dictatorial product since

judgement must always come into the picture in construction design.

The walking distance evaluation report is shown in Figure 8. The

extent of a departure from criteria is given under DIFF. A blank indicates the distance falls within criteria. An "NA" denotes that

there is no direct connection between two spaces through a corridor or other space in which passage is allowed. Access may, however, be possible through other rooms.

Other capabilities that currently exist under SEARCH include

evaluation of acoustical separation and handicap access.

Added features planned for development include evaluation of

emergency egress, traffic patterns, and visual control.

The SEARCH system was developed at the US Army Construction

Engineering Research Laboratory by Bruce Dains, Janet Spoonamore, Dale

Bryant, and Charles Growdon in cooperation with Robert Shibley of the

Office of the Chief of Engineers in Washington, DC, who served as Technical Monitor for the work.

179
REPORT EVALUATE AREA GROUP4

ft**********************************

** EVALUATION: AREA   C : DENT B1 D: DENT1 ** 

* * ** * *** * T******** * ******** * ft » *»* X

ACTIVITY— MAX- —ACTUAL -MIN- DIFF-—PAGE

C SECRETARY 100 118 18 + DG101

ru Tec 125 133 8 + DG13 45

NCOIC 90 97 7 + DG13_4 5

ORAL: 1 - 140 200 60- DG65

DRAT • r> 143 200 57- DG65

ORAL: 3 - 138 200 62- DG65

ORAL SUR Ann 1

I 717"Q_

RECEPTION 160 152 8- DG101

TOIL: 1 - 50

TOIL: 2 - 25

TOIL: 3 - 27

TOIL: 4 - 44

TOIL: 5 - 42

TOILET 200 188 12- DG101

VESTIBULE 75 112 37+ DG101

WAIT: 1 - 213

WAIT: 2 - 430

WAITING 450 643 193+ DG101

XRAY: 1 - 100 100 DG65

XRAY: 2 - 117 100 17 + DG65

XRAY: 3 - 98 100 2- DG65

XRAY 300 315 15+ DG101

TOTAL 2100 2179

Figure 7

180
i

REPORT EVALUATE WALK ORAL SUR; **********

*** * * * *********TF *******

** EVALUATION : WALK **

** C:DENT B1 D: DENT1 ** *XX****«*T* ************************

SPACE-REL/W/ SPACE TYPE REQD--ACTUAL——DIFF--PAGE

ORAL SUR : 1 RECOVERY : 1 WALK ALL 0 18 18 DG21

WAITING : : 1 WALK ALL 40 15 DG21

WAITING : 2 WALK ALL 40 48 8 DG21

XRAY :, 1 WALK ALL 25 N A NA DG21

XRAY : 2 WALK ALL 25 NA NA DG21

XRAY :. 3 WALK ALL 25 17 DG21

NO ACCESS TO 2 SPACES DIFFERENCE TOTAL: 26

ORAL SUR

RECOVERY : 1 WALK ALL 0 13 13

WAITING : 1 WALK ALL 40 1 1 WAITING ; 2 WALK ALL 40 55 15

XRAY : 1 WALK ALL 25 NA NA

XRAY : 2 WALK ALL 25 NA NA

XRAY : 3 WALK ALL 25 24

NO ACCESS TO 2 SPACES DIFFERENCE TOTAL: 28

UR : 3

RECOVERY . 1 WALK ALL 0 13 13

WAITING 1 WALK ALL 40 21

WAITING 2 WALK ALL 40 53 13

XRAY , 1 WALK ALL 25 NA NA

XRAY : 2 WALK ALL 25 NA NA

XRAY : 3 WALK ALL 25 22

NO ACCESS TO 2 SPACES DIFFERENCE TOTAL: 26

DG21

DG21

DG21

DG21

DG21

DG21

DG21

DG21

DG21

DG21

DG21

DG21

Figure 8

181
AUTOMATED SPECIFICATION PREPARATION SYSTEM (EDITSPEC)

The stand-alone phase of the automated specification system that

is in the final stages of development by the Corps of Engineers is

known by the acronym EDITSPEC. This system will replace current

manual procedures. An economic analysis shows a savings of approximately 35% in resource expenditures in addition to an improvement in

the quality of the specifications and resulting construction. In a follow-on phase of development, EDITSPEC will be integrated into

CAEADS so as to automatically pull those guide specifications that

apply to the facility being designed; Since the guide specifications

do not provide all the answers for a project, it is necessary to have

a capability to edit the initial file to satisfy all requirements and

this process is facilitated through automated techniques.

f At the present time, the Corps guide specifications are being

loaded into a data base. They are also being updated which is a con- tinuous process to keep them abreast of current technology. This data

base will be made available to all users over a nationwide commu- nications network and will always be current as compared with the cur- < rent process which depends on writing and printing change documents

and distributing to various design offices each of which must process

these changes into its own reference file. This is a lengthy process

that is fraught with opportunities for error and delay. The value of

having a current version of the guide specifications available to ev- eryone who utilizes them is readily apparent. The ability to assure

that the latest criteria are being followed is also significantly en- hanced .

The EDITSPEC system was developed by Mssrs. Wegener and Neely of

CERL in cooperation with the Huntsville Division, Corps of Engineers,

and the Multisystems , Inc.

182
FUTURE CAPABILITIES

An assessment of state-of-the-art developments in computer hardware and software indicates a growing capacity for expanding the use

j of automation in the design and review of construction plans and specifications. The basic test that will be applied all along the road

toward innovation in this area is proof of cost effectiveness. The

age old construction industry adopts new ideas slowly and, as has

always been the case, will be more rigorous than others in assessment

j of such proofs. In the long run, however, there is no stopping full

i exploitation of the computer, new uses will continue to come onto the

I scene. What can we expect from what we know now?

There are systems in being that permit architects and engineers

to accomplish design utilizing graphical terminals rather than con- ventional drawing boards. There is a capability to store in computerized digital format all information necessary to describe a facility

| in a three dimensional representation including all related attri-

| butes . This Information can be processed through a variety of review

, processes to assure adherence to criteria, codes, and standards and

results can be output in alphanumeric or graphical format to respond

to user specified needs.

The Corps of Engineers has a long term plan to exploit the computer in improving the quality of construction, reducing construction

I costs, and increasing the productivity of designers. To achieve this

i goal CAEADS will have the capability to meticulously apply design and

habitability criteria in both the preparation of contract plans and

specifications by in-house work forces and in the review of these

products which are accomplished in most cases by commercial Architect/Engineer firms.

183

CONSTRUCTION LABOR DEMAND SYSTEM: AN OVERVIEW

by

William F. Hahn

U.S. Department of Labor

Washington, D.C.

Currently under development by the Department of Labor is an extensive modelling effort designed to provide accurate forecasts at

a local level of future construction levels and on-site labor requirements. The Construction Labor Demand System (CLDS) is a computerized

management information system that provides continuously updated forecasts for local regions, for specific types of construction, and for

precise construction trades.

Actual construction project information is the nucleus of the CLDS

system. Information on hundreds of thousands of current and planned

projects are included in CLDS. Each project is time-phased to completion and estimates generated of the associated craft requirements.

Forecasts of construction initiations are accomplished through

econometric modelling. Initiation forecasts are transformed into

pseudo-projects within CLDS and pseudo-projects are combined with hard

project data for the generation of forecasts of construction activity.

A conversion subsystem translates construction activity into

demand for labor. Over 200 conversion profiles translate activity

levels into time-phased flows of requirements by occupation.

Key words: Building trades, construction industry, forecasting, labor

information systems, manpower projections, modelling.

185
INTRODUCTION

This paper reports on an innovative program under development

within the U.S. Department of Labor that is to provide detailed forecasts of construction activity and construction labor demand. The

Construction Labor Demand System (CLDS) was initiated in 1976 to meet

the needs of a Department that requires accurate and comprehensive information for structuring labor programs and policies. However, the

system was designed in a manner so as to have wide applicability for

other public agencies as well as the private sector.

Construction Labor Demand System is the descriptive name of a series of submodels and data bases for forecasting the volume, type,

and regional location of future construction activity and the associated on-site labor requirements. The function of the system is to: estimate construction activity by type in geographical regions and,

translate the estimated construction volume into labor requirements by

on-site craft by converting project characteristics (dollars, megawatts, etc.) into labor' craft time.

BACKGROUND

Planning and policy making relative to construction has long

suffered because of major data gaps. Dunlop and Mills (1)*, in a research paper in the early 1970' s on manpower utilization in construction noted that, improved planning awaits advances in the quality

of information on which decisions can be based and the mechanisms by

which the labor market situation is evaluated." A study paper on con- struction prepared by the Department of Commerce in 1966 for the

President's Advisory Committee on Labor-Management Policy (2) had

expressed a similar view, we still lack the sure factual toehold

which is so essential in appraising costs, prices, productivity, output, seasonality, unemployment and labor force characteristics. Our

knowledge of the industry structure, especially in its detail, is far

from adequate."

The notion of a computerized system that would provide advance and

accurate information as to the type, location, labor mix, and timing of new construction projects was first brought to the attention of industry leaders at a 1975 conference sponsored by the Federal Energy

Administration. It received wide endorsement, Martin Ward, General

President of the United Association of Plumbers and Pipefitters (3),

noting that such a system would be a great benefit to the con- struction industry as well as to the country... so that people who were

involved in construction could have some anticipated lead time not only

for on-site locations but also insofar as material supplies are con- cerned ..."

Shortly thereafter, the Department initiated in earnest the development of CLDS. The design plan called for the system to be developed

*The numbers in parenthesis refer to the citations listed in References.

186
on a modular basis, with subsystems being implemented as completed,

rather than waiting for all components to be in place before providing

output. The subsystems, themselves, were structured not only to improve and enlarge the statistical data base for construction but to facilitate the preparation of analytical reports and studies of practical use to the industry, construction owners and the public in general.

Several major elements of CLDS became operative in 1978, with full

implementation expected by mid-1980.

Assisting Labor in putting together the CLDS program have been the

Tennessee Valley Authority and the Department of Energy. Both agencies

are playing substantial roles in the development of the system as well

as in its implementation.

OVERVIEW OF SYSTEM

CLDS is a computerized management information system that is

designed to forecast the future volume, composition, geographic distribution, and associated labor requirements of construction activity.

Incorporating both on-line and off-line capabilities, the system provides continuously updated forecasts for local regions, for specific

types of construction, and for precise construction trades.

The system focuses primarily on the BEA economic areas of the

United States (4), although it also provides data on a State, region and

national basis. The areas - 183 in all and covering the entire U.S. - consists of a standard metropolitan statistical area (SMSA), that serves as a center of trade, and the surrounding counties that are economically related to the center. The BEA's do not divide SMSA's or counties but in some cases do cross State boundry lines.

Table 1 lists the major construction categories included in the

CLDS system. The system has the capability, particularly for those

types of construction associated with energy production, e.g. electric

power plants, to provide forecasts at a more detailed level, for example, coal-fired electric generating plants. Table 2 shows the occupations included in CLDS at the present time. In the future it is

planned to expand CLDS coverage to include technical and engineering

classifications

.

CLDS is being developed in two interrelated phases. Phase I, which will be fully operational in the next few months, provides an automated system capable of maintaining a data base of all "known" con- struction projects. Estimates of manpower demand are derived from valuations of construction activity. A construction craft conversion

system translates dollars spent on construction into labor work-hours

by craft. The system applies job progress patterns and craft profiles

for each construction type to individual project records in order to obtain a time profile of labor demand by craft.

A labor market information system cannot rely exclusively on reports of individual construction projects because as the forecast

< 187
horizon lengthens, the percentage of total construction activity

accounted for by projects known at the time of forecast must decline

(Figure 1) . Phase II calls for the operation by mid-1980 of an econo- metric modeling system that forecasts construction initiations by

region — the Regional Construction Initiations Forecasting Model

(RCIFM) . The forecast horizon is five years, estimates given by month

(1 yr.) and quarter (2-5 yrs.)

Forecasting initiation rather than activity has the advantage that

it utilizes all existing project information, so that forecasts will be

consistent with the levels of activity mandated by projects already

begun. The initiations forecasts will be transformed into project

level records by the Pseudo-Project Generator (PPG). Pseudo-projects

will be combined with hard project information for the generation of

forecasts of construction activity and labor demand (Figure 2).

Hard information on construction projects is the nucleus of the

CLDS system. It plays a critical role not only for the assessment of

the current situation in construction and its labor markets but for

those types of construction featuring long-lead times and lengthy con- struction provides valuable insight to future levels of activity.

Project data is entered into CLDS from a number of private and

government sources. In terms of quantity of project records the most

important source is the monthly statistical file from the F.W. Dodge

Division of McGraw-Hill Information Systems Company, Incorporated. A

monthly magnetic tape from Dodge (Dodge Construction Potentials) provides hard information for some 280 structure types of projects about

to begin construction. From Dodge sources, some 125,000-175,000 new

projects are entered into CLDS each year.

Data on ongoing and forthcoming residential construction (1-4

family units) and on direct Federal construction is supplied by the

Bureau of Census via monthly magnetic tapes. The Census data for residential construction is permits-based information. Since permits do

not cover all ongoing new construction, CLDS estimates are made to obtain totals for new residential construction.

Information on planned energy-related construction projects is

collected from secondary sources by the Denver and Pittsburgh offices

of the Department of Energy and forwarded to CLDS where it is entered

into the system. More detailed data on power plant projects are obtained from DOE's "Inventory of Power Plants in the United States" and

the "Construction Status Report." Pending 0MB approval, CLDS staff

will contact owners of major projects ($25 million+) to obtain cost,

industrial relations, and engineering data on each project and will

also monitor changes in completion date, training output, and craft

shortage data. A current project file will be maintained online at the

Department of Labor's computer center.

PROJECT DATA BASE

188
% Data Forecasted

100% r-

(Fig. 1)

INTEGRATION OF FORECASTS BY SECTOR

Residential

Other

Sectors

Energy

Residential

VA

7

'///////.

PROJECT DURATION

(Fig. 2)

Pseudo project(s)

NR-Institutional

Pseudo project(s)

NR-Commercial

A

Pseudo project(s)

NR-Nonbuilding

///////// /////777\ Pseudo project(s)

Energy

'///////////////////III I

Pseudo

J L J I L

1 2 3 4 5 6 7

189

9 10 11 12 Time
PROCESSING PROJECT INFORMATION

A labor conversion subsystem and other subsystems are used to transform the project file into estimates of labor requirements. One

routine in CLDS permits aggregation of the data by geographic unit, the

lowest level permitted being the approximately 3,100 counties in the

U.S. Another routine time phases each project: each project converted

to an appropriate time schedule of work which can be altered on an individual project basis as other information is obtained. The most sophisticated transformation utilizes engineering generated as well as survey

collected information to convert this stream of construction activity by

final use characteristics into labor requirements over time. A generalized table facility in CLDS makes the specification of these tables very

flexible, so that they can be specialized as the information supports.

The conversion subsystem is that portion of the CLDS body of soft- ware that translates construction activity into demand for labor.

Factors for accomplishing the conversion are derived from three sources: BLS surveys of labor and material inputs for selected types of construction, Amis Construction and Consulting Services, Inc. estimates of labor

requirements for 19 types of construction, and profiles developed in

consortium with the Bechtel Corporation's Energy Supply Planning Model

for some 100 types of energy-related construction.

Since 1958, the Bureau of Labor Statistics has been conducting

regular surveys of labor requirements for various types of construction.

In addition to providing snapshot average conversion factors for various

building types at any point in time, the repetition of surveys at intervals of three to eight years provides insights into the nature of

changes over time. BLS has completed surveys for the following types of

construction:

The estimating approach utilized by BLS involves a random sample

of the population universe of a specific class of projects to obtain a statistically reliable number of projects in the sample. The sample projects' construction activities are then field monitored through actual

observations or analyses of cost records to obtain a schedule of actual

work forces employed.

The Amis and energy-related profiles of time-phased flows of manpower requirements by craft were developed on the basis of engineering

LABOR .CONVERSION SUBSYSTEM

college housing

public housing

multi-family housing

single-family housing

Federal office buildings

elementary-secondary schools

general hospitals

Federal highways

sewer works

civil works

190
evaluation of construction resources needed to build generic facilities.

Principal information sources were based on past construction experience, literature and industry contacts. Amis developed factors, as with

BLS, are structured in terms of manpower flows per $1,000 (1975 dollars)

of project value. For energy construction, the labor requirements flow

and duration for specific projects are a function of type, output, cost,

and engineering criteria.

Approximately 120 separate conversion profiles are included in the

nonenergy sector of CLDS. Over 100 manpower conversion profiles have

been developed to translate current specific energy projects into timephased flows of labor requirements by occupation.

FORECASTING

Future and as yet unknown construction initiations will be generated from models being developed for CLDS by the Tennessee Valley

Authority for energy-related construction, and by the Institute for

Defense Analyses (IDA) for other types of construction. The logic and

assumptions underlying both the energy and nonenergy components are similar enough to allow aggregation when desired into one overall forecast for a designated geographical area.

In order to generate regional forecasts of construction activity,

it is necessary to forecast general economic and demographic variables

for each region. CLDS relies in large part on existing regional

modelling systems for forecasting the economic and demographic environment. Among systems potentially filling this role for CLDS are: the

Regional Energy, Activity, and Demographic (READ) Model (DOE), the

MULT IREG ION Model (Oak Ridge National Laboratory) and the National

Regional Input Evaluation System (Commerce)

.

The forecasting system designed for CLDS by IDA (5) is hierarchical. The first stage is a forecast of national economic activity,

generated by one of the major macroeconomic models (Wharton, DRI) . This

forecast is distributed regionally using READ, MULT IREGI ON, etc. The

CLDS Regional Construction Initiations Forecasting Model (RCIFM) con- verts the regional forecasts of general economic activity into a detailed

forecast of construction initiations.

The RCIFM consists of a set of forecasting equations, estimated

regionally, which relate each type of construction to local income,

industrial output, population, prices and costs. Because time series

data for individual BEA regions are too few to permit independent estimates, pooling of BEA data within major Census regions is done to generate a sufficient data base.

The PPG converts annual forecasts for each type of construction to monthly forecasts of value and number of projects by size of projects.

The appropriate distribution for each type of construction is estimated

from historical patterns exhibited in the project data.

191
Psuedo-projects are merged with the known data to estimate con- tinuous flows of construction labor requirements at the BEA level.

Conversion factors will convert the activity estimates into labor re- quirements.

USES AND USERS OF CLDS

Any system that can forecast with reasonable accuracy future levels

of construction activity and job openings by craft is going to have a great deal of uses and a large number of users. This is particularly

true when these forecasts are specific for local geographical areas and

for monthly/quarterly time frames. The first evidence of the magnitude

of the demand for such a product surfaced in early 1978 when CLDS published its initial report (6) , an analysis of estimated labor requirements through 1981 for constructing electric generating power plants.

This analysis received worldwide interest and an update is now in preparation.

It should also be noted that the CLDS program is not limited to forecast activity. For example, also soon to be released by CLDS is a comprehensive analysis of seasonality and cyclicality in construction

in the United States. The paper will report on the identification by

the CLDS staff of seasonal, cyclical, and trend components in construction activity and employment data sets through the application of

spectral analysis, regression, and general statistical techniques.

Included in the report will be the results of component analysis in the

identification of specific component shares of activity and their con- tribution to instability.

I believe the implications of CLDS for planning and policy development for construction in both the public and private sectors are enormous. In Table 3, I have listed a few potential uses of CLDS within public agencies. Many more obviously would be appropriate and perhaps an even larger checklist could be drafted for the private sector.

I would like just briefly to comment on one potential benefit of

CLDS that perhaps is apt to be overlooked. CLDS can serve to restrain

cost increases in construction by reducing uncertainties and increasing

efficiency. Uncertainty as to future construction trends leads to hedging and price escalation (materials, money, labor). Increasing

efficiency leads to improved productivity. Not productivity in the sense of more bricks being laid per shift or concrete poured, but in

terms of enhancing the efficiency with which construction labor markets

function and the industry and construction owners plan future projects.

192
Table 1.

CONSTRUCTION TYPES

Single-family housing

Two to four family housing

Hotel & motel buildings

College housing

Five or more family housing

Manufacturing buildings

Industrial buildings

Retail trade & store buildings

Service stations & repair garages

Parking buildings

Miscellaneous commercial/manufacturing buildings

Commercial warehouses (excluding manufacturer owned)

Amusement, recreation, & social buildings

Church buildings

Government administration

Miscellaneous nonresidential buildings (public service)

Miscellaneous nonresidential buildings (material handling)

Office buildings

School buildings (excluding housing)

Health & hospital buildings

Airports (excluding buildings)

Bridges (including elevated highways & railways)

Communication systems

Dams & reservoirs

Sewage & waste disposal systems

Water supply systems (excluding dams & reservoirs)

Streets & highways

Civil works (excluding sewers)

Miscellaneous nonbuilding construction

Electric generating plants & transmission lines

Coal mining, processing & transportation facilities

Uranium mining, processing, & storage facilities

Oil production, processing, storage, & transportation facilities

Gas production, processing, storage & transportation facilities

Other specialized energy development, production & transportation

facilities

193
Table 2.

ON-SITE CONSTRUCTION OCCUPATIONS

1. Asbestos Workers

2. Boilermakers

3. Boilermaker-Welders

4. Bricklayers

5. Carpenters

6. Cement, Concrete Finishers

7. Drywall Installers

8. Electricians

9. Electricians-Linemen

10. Elevator Constructors

11. Glaziers

12. Ironworkers, Ornamental & Structural

13. Ironworkers, Reinforcing

14. Laborers

15. Lathers

16. Millwrights

17. Operating Engineers

18. Painters

19. Piledrivers

20. Pipefitters

21. Pipefitter-Welder

22. Plasterers

23. Plumbers

24. Roofers

25. Sheet Metal Workers

26. Softfloor Layers

27. Tile, Terrazzo, & Marble Setters

28. Truck Drivers

29. Other Construction Craftsmen

194
Table 3.

POTENTIAL UTILIZATION OF CLDS WITHIN PUBLIC AGENCIES

1. Evaluation of impact, cost and effectiveness of legislation,

programs, and policies.

2. Planning and coordination of craft training programs with anticipated job needs.

3. Analysis of socioeconomic impact on communities of major

construction projects.

4. Component analysis of construction unemployment rates, i.e.

seasonal, cyclical, trend, and random for policy development.

5. Estimation of craft, geographic and intraindustry mobility in

construction and potential labor supply.

6. Assessment of agency construction plans and time tables.

7. Assessment of regional trends in construction activity,

production, and labor usage which are anticipated.

8. Analysis of capital, and labor, and materials implications of

developing, storing, and transporting sources of energy (nuclear,

coal, etc.) Implications for resource allocation of conservation

and environmental initiatives.

9. Informational data base for assisting collective bargaining.

10. Long-range forecasts from ancillary models of CLDS, e.g., population shifts, employment shifts, demand and prices for fuels

and electric energy.

195
REFERENCES

1. Dunlop, J.T. and Mills, D.Q. , Manpower Development Utilization in

the Contract Construction Industry . Manpower Administration,

U.S. Department of Labor, May 1972, p. 7.

2 . Construction Industry, Report for the President's Advisory

Committee on Labor-Management Policy , U.S. Department of Commerce,

July 6, 1966, p. 19.

3. "Transcript of First Meeting of the Construction Advisory Committee

of the Federal Energy Administration," Federal Energy

Administration, Washington, D.C., March 11, 1975, p. 111.

4. "The BEA Economic Areas: Structural Changes and Growth, 1950-73,"

Survey of Current Business , November 1975, Vol. 55, No. 11 Issue.

5. Dr. R. William Thomas of the Program Analysis Division of the

Institute for Defense Analyses is in charge of the IDA modelling

effort for CLDS. The description of the forecasting scheme

included in this paper largely follows that outlined by Thomas and

his colleagues in an IDA working paper prepared for the Department

of Labor (July 1978).

6 . A Report on Labor and Capital Requirements for Constructing

Electric Generating Power Plants . Jointly released by U.S.

Department of Labor and U.S. Department of Energy, January 13, 1978.

196
PROPOSED CRITERIA FOR ESTABLISHING

ENERGY CONSUMPTION STANDARDS FOR

EXISTING BUILDINGS

by

Robert R. Somers II*, Timothy C. Scott**,

and Leroy S. Fletcher***

Department of Mechanical and Aerospace Engineering

University of Virginia

Charlottesville, Virginia 22901

Rising energy costs recently have compelled many municipalities

and industries to undertake energy conservation programs in the hopes

j of reducing energy expenditures. The current lack of government and

industrial standards specifying acceptable levels of energy use by

existing structures, however, makes it difficult for these organizations to determine if their facilities are wasting fuel. This paper

proposes that standards be established for the overall energy efficiency of existing buildings in terms of quantities which can be computed readily from available data, without need for elaborate computer

programs and/or engineering analyses. The paper discusses the type of

standards needed to meet these objectives, techniques for formulating

the standards, and facility classifications (based upon building

functions) for which guidelines should be developed. By being able to

pinpoint buildings using excessive energy without costly- or timeconsuming analyses, government and business groups can direct conservation efforts and funding to the most inefficient facilities, where

conservation programs will be of the greatest value.

Key Words: Conservation; energy cost; existing buildings, regulation,

retrofit; standards.

*Graduate Research Assistant

**Assistant Professor

**Professor and Chairman, P.E.

197
INTRODUCTION

The cost of all types of energy has increased dramatically in the

last few years, particularly since the oil embargo during the winter

of 1974. In the six-year span from 1970 to 1976, the well-head price

of natural gas rose over 160%, from 17.1 cents per thousand cubic

feet in 1970 to 44.5 cents per thousand cubic feet in 1976. During

the same period, coal prices more than doubled, increasing to a cost

of twenty dollars per ton in 1976 (1) . Electric rates have climbed

sharply in recent years, too. The Federal Power Commission reports

that in just three years (1974 to 1977) , electricity rates have gone

up an average of 44 to 70 percent (2) . As world-wide reserves of fossil fuels continue to diminish, energy prices can be expected to in- crease even further.

These high and ever-increasing energy rates have proven to be a serious problem to all segments of the United States economy. Industry, educational institutions, medical centers, businesses, and

government groups all have been faced with severe budget strains due

to unexpectedly high energy expenditures (3, 4). The problem is com- pounded by increasing consumer and taxpayer resistance to higher

prices for goods and services.

In an effort to minimize the economic impact of further energy

price increases, many organizations have initiated energy conservation

programs to reduce fuel consumption (4, 5, 6, 7). Although these programs may be implemented in a number of ways, most include three distinct steps: (a) a preliminary energy-consumption survey in which

facilities with a history of excessive fuel usage are singled out; (b) a detailed engineering analysis of the structures consuming excessive

energy to determine the reason for the energy waste; and (c) an implementation of structural modifications and managerial techniques to re- duce fuel usage. This type of program often runs into difficulty,

however, when a determination must be made as to which of the facilities are operating inefficiently. Many of the currently available

energy-consumption standards demand a complete engineering analysis of

the buildings in question before the efficiency of the structures can

be determined. Often, these standards do not permit the classification of entire structures as energy conservative or wasteful. Instead

the standards consist of performance guidelines or design criteria for

the energy-consuming subsystems within the building. For many organizations it is not cost effective to perform a complete engineering

analysis of every building they maintain, especially when the funds

that can be devoted to energy conservation programs are limited. Full

analyses also may take a long time to complete, demand specially

trained personnel, and require sophisticated computing facilities that

the organization may not posses. Clearly, a new system of energy

consumption standards are needed for existing buildings that an organi

zation can use to pinpoint existing buildings that are using fuel

wastefully. These standards should be based upon data that can be obtained easily by the group conducting the study, and should be applica

ble without the need for outside help, sophisticated computer programs

198
or excessive expenditures of time and money. Such a system would enable more conservation funds to be channeled into energy-saving capital improvements for the inefficient facilities.

The following paper proposes the adoption of a series of energyconsumption standards for existing buildings that meets these requirements. Specialized building classifications for which the proposed

standards should be established also are discussed.

EXISTING STANDARDS

The onset of the energy crisis has provided an impetus for the

formulation of energy consumption standards for both new and existing

buildings. For new buildings, the most significant system of standards promoting energy efficiency is ASHRAE 90-75 (8) . This publication presents design criteria for energy-using subsystems such as heating, ventilating, air-conditioning, and hot water supply units, as well as for other building characteristics related to energy usage

(interior lighting, roof and wall insulation, and so forth). A Federal Energy Administration (FEA) evaluation of the effectiveness of

ASHRAE 90-75 in reducing energy consumption in new structures concludes

that annual energy costs in typical new buildings can be reduced from

$.20 to $.70 per square foot (9). This represents a reduction in fuel

bills of 9 to 45 percent. The effect of partial or complete application of ASHRAE 90-75 standards to existing structures is not discussed.

Other important design standards recently developed for new

buildings include the Department of Housing and Urban Development's

Minimum Property Standards (HUD-MPS) for single family and low-rise

multiple family dwellings (10) and the General Services Administration's

(GSA) guidelines for energy-conservative design of new federal government office buildings (11). Like the ASHRAE 90-75 standards, these

criteria are concerned specifically with the energy efficiency of individual subsystems and concentrate on proper initial design of the

systems to reduce fuel consumption. The GSA standards are unique in

that they present a goal for the energy performance of the entire

building. This target value for new office buildings is 55,000 Btu

per equivalent gross square feet.*

Several energy-consumption guidelines for existing buildings have

appeared recently in the literature. These include the Federal Energy

Administration's ECM-1 and ECM-2 manuals developed by Dubin-MindellBloome Associates (12) , the Total Energy Management publication of the

National Electrical Manufacturers Association and the National Electrical Contractors Association (13), criteria for retrofitting buildings

presented by the FEA (14), and GSA standards for energy use in existing

*Equivalent gross square feet are defined as the number of square feet

of all building areas that are fully climate controlled, plus one-quarter

the number of square feet of all areas that are illuminated, but do not

require complete heating or cooling.

199
office buildings (3) . It is anticipated that the soon-to-be-released

ASHRAE 100 series standards for energy consumption in existing buildings,

like references 12, 13, and 14, will be similar in format to the ASHRAE

90-7 5 standards for new buildings, mandating minimal levels of energy

efficiency by individual systems- rather than setting performance goals

for entire structures. The GSA standards (3) set a maximum level for

fuel consumption in existing office buildings of 75,000 Btu per equivalent gross square feet.

All of the above guidelines for energy consumption in new or existing buildings present difficulties to the organizations employing

them. Only the GSA standards set maximum limitations on energy usage

for an entire facility. This means that in using current standards,

institutions must spend considerable sums of money in uncovering energy

waste in the buildings under their jurisdiction, reducing the funds that can be committed to capital improvements to reduce fuel usage. Additionally, detailed analyses create delays in the implementation of measures designed to reduce energy use. Finally, if a detailed study of a structure is needed before energy use criteria can be applied,

few institutions would ,be willing to periodically reevaluate the energy

consumption of their facilities in order to monitor changes in fuel use

due to the application of conservation methods or modifications in the

energy-consuming systems of the structure. This could seriously

jeopardize the long-term effectiveness of any major conservation effort.

PROPOSED NEW STANDARDS

The problems associated with the present energy consumption criteria for existing buildings indicate the need for a new system of

standards that set maximum energy consumption levels for buildings as complete units. In this sense, the proposed criteria would be similar

to the Environmental Protection Agency mileage ratings for automobiles,

since only the overall performance of a unit would be examined, not the

individual efficiencies of each of the unit's components.

It is proposed that three different performance standards be

established specifying acceptable energy-use levels in existing building

The three categories for which standards should be developed are:

1. annual energy use per gross building area

2. annual energy use per gross building area per heating

and cooling degree day*

3. annual energy use per occupant

The proposed standards would be given in units of BTU's, square feet,

and degrees Fahrenheit for energy use, building area, and temperature,

*0ne heating degree-day is defined as a day in which the average temperature is one degree Fahrenheit less than 65°F. One cooling degree-day

is defined as a day in which the average temperature is one degree Fahrenheit higher than 65°F.

200
respectively, in the English system: Kilojoules, square meters, and

degrees Celsius would be the units used for metric standards. This

will require the conversion of some energy usage (e.g. electricity use which normally is reported in kilowatt hours) to these units before

the standards can be used. It should be noted that once numerical

values have been determined for each of the three categories, energy

cost standards can be established if local utility rates are known,

simply by multiplying each quantity by cost per unit energy use.

The amount of energy consumption by any building" is a function of

many parameters. For this reason,' it is suggested that buildings be

classified according to their function, age, and type of fuel used,

with appropriate energy consumption standards for each category.

The first classification of buildings would be according to function. Energy use standards should be developed for the following

groups of buildings, based upon structural function:

1. office buildings

2. group domiciles (dormatories , nursing homes, etc.)

3. private residences

4. medical facilities

5. educational plants

6. recreation centers

7. storage locations (garages, warehouses)

8. industrial plants

9. public meeting area (auditoriums, churches)

10. commercial establishments

Additional building classifications can be employed as the need arises.

For example, a study of energy consumption by existing buildings in

Baltimore, Maryland (15) uses more specific functional classifications

to categorize commerical structures (see Table 1)

.

Structures may also be classified according to the type(s) of fuel

which they use. Two groupings are proposed: one for all-electric

facilities and one for buildings using a variety of fuels.

Additional standards could be developed for structures based upon

the type of construction used in the facility (wood frame, masonry, etc.)

and/or the building's age (a criterion that would reflect changes in

building methods throughout the years) . It was concluded in reference

15 that energy use was a definite function of a building's age, with

older facilities using less fuel than their newer counterparts. To a- void excessive complexity in the standards, these age and energy-use

factors could be presented in the form of percentages so that a basic

standard for a particular building function may be multiplied by the

appropriate factor(s) to account for its age and fuel use.

The three categories proposed for energy-consumption standards for

existing buildings each reflect a different aspect of a structure's

energy performance. All three quantities need to be considered to get an overall picture of a building's energy-consumption efficiency. The

first quantity, energy use per gross building area, has been used

201
previously by various government and industrial agencies to characterize structural energy efficiency (4, 13, 15), and has been termed the

Energy Use Index (EUI) . The annual Energy Use Index provides a basis

for comparison of several buildings of similar function within the same general climate region, since it readily portrays the effects of

varying structure size. The EUI, when computed on a monthly basis, is

useful also in determining seasonal variations in a structure's energy

use.

The annual energy use per gross building area per heating and

cooling degree-day is proposed as a second category for which standard

should be established since one value may be set as the criteria for

existing facilities of all climate regions - the difference in number

of heating and cooling degree days from one building location to the

next will account for differences in the thermal environment.

The final category for which energy-consumption standards should

be established for existing facilities, annual energy use per occupant

reflects the degree of energy efficiency that an existing structure

possesses in meeting the energy needs of the individuals using the

facility. This standard would help to quantify the energy needed to

maintain a reasonable comfort environment or perform a given task

within a structure. This standard will vary greatly with building

function, since the definition of occupant changes with structural

function. The occupants in an office building may be the employees

(plus, perhaps, the average number of visitors to the building), while

at a school the occupants may be defined as the sum of the number of

pupils and teachers.

The three proposed classifications for new energy-use criteria

for existing buildings are such that organizations can compute the

quantities needed for comparison with the three standards using data

that is obtained easily. The amount of energy used may be read from

utility bills or, if these receipts are missing, obtained directly

from the utility company. Building areas can be ascertained from

blueprints or actual measurements. Climate information for heating

and cooling degree-days may be found at local weather stations or located in the monthly reports of climatological data published by the

National Oceanic and Atmospheric Administration. Occupancy statistics

will come from employment records and attendance files. This means

that virtually any organization can compute the values needed using

personnel without specialized training. Once the proper quantities

have been calculated for each facility, they may be compared with the

proposed system of standards to determine if a building is energy

efficient. This will enable identification of inefficient structures

whose energy deficiencies need to be corrected. These standards, once established, also may prove to be valuable to organizations when deciding upon energy-consuming equipment purchases. Since it should be

easier to utilize these standards, organizations will be more likely

to continually monitor changes in energy consumption in their facilities .

202
DEVELOPING NEW STANDARDS

Before actual values for the three recommended energy-consumption

standards can be developed for existing buildings, a two-phase program

must be completed. First, the energy-use patterns of typical structures should be evaluated and catalogued. This data will help to indicate the average fuel-consumption levels of buildings before conser- vation efforts have been initiated. The second step is to reevaluate

the energy usage of these buildings after the establishment of prudent

conservation measures. In this manner, the magnitude of reductions in

energy use due to the conservation programs can be determined and

average fuel utilization rates of energy-efficient structures compiled.

The energy-consumption of the modified structures then will serve as the statistical basis for the system of standards for existing buildings.

Studies of this type should be conducted for each building function for

which standards are to be established.

Two methods can be used to analyze the energy use of existing

structures. These may be. termed the empirical and the theoretical

approaches. The empirical method deals directly with real buildings.

Utility records of these structures are examined to determine how energy was used in the past. Then, conservation techniques are applied to the

facilities, with operational and physical changes being used to reduce

fuel use. Records of fuel use are compiled following these modifications to document the lower energy- consumption levels that can be

achieved using proper energy management. Efficiency standards for existing buildings of a given functional classification can be developed

when a sufficient number of structures have been examined. A limited

number of studies have been published already which survey the

energy-use patterns of existing buildings. (References A and 15 are examples.) Most of these empirical analyses compute EUI values for

structures of various functions. Tables 1 and 2 present the results of

two of these studies. Unfortunately, these reports do not -document

energy-consumption levels after the implementation of conservation

methods

.

The empirical technique has three disadvantages. First, in order

to obtain a statistically significant data base, a large number of

structures must be examined. Second, the funds needed to pay for capital improvements in each of the facilities being evaluated would be

considerable. Finally, difficulties may be encountered in trying to

select structures which are truly representative of the average facilities of each building classification.

The theoretical approach to developing standards for existing

buildings substitutes a theoretical evaluation of models of typical

structures (and their fuel-consuming subsystems) for the statistical

examination of the energy use of actual buildings. A method similar

to this has already been used to evaluate the impact of ASHRAE 90-7 5 and HUD-MPS standards upon new building design (9, 16). In this type

of study, mathematical models would be developed to determine the fuel

consumption of typical buildings in each function category. The models

would describe the energy-consumption of structural subsystems (heating,

cooling, etc.) and the heat transfer characteristics of the building

203
envelope. After an analysis of the fuel use in the initial structural

configuration, reasonable modifications to the unit would be incorporated into the model to correct the energy inefficiencies. The energy- use levels of these retrofitted structures then would serve to indicate the standards that should be established for the facilities. The

theoretical technique for developing guidelines eliminates the need

for an extensive analysis of the energy performance of actual buildings.

Also, it does not require that conservation measures be implemented in

real structures. A major drawback to this technique is that it may be

difficult to establish exactly what type of construction, heating,

ventilating, and air conditioning systems, amount of usage, age, etc.

adequately represent an "average" building of a particular function.

The measures used to determine typical structures for evaluating the

ASHRAE 90-75 and HUD-MPS standards may be used as a starting point (9,

16) , but it is much easier to model new buildings using the most recent construction techniques than attempting to represent typical subsystems and constructions of older structures built during various eras. The theoretical method also has the disadvantage of not having a statistical data-base derived from energy-use histories of real buildings to

confirm the energy consumption values which it computes as proper for

existing structures. As with the empirical method, the classification

of buildings according to their function may pose some problems.

A better method for developing the system of standards recommended

for existing structures might be a hybrid study which employs both

empirical and theoretical evaluations of existing buildings. Statistical i and qualitative examinations of actual buildings would yield energy-consumption histories and facility profiles that would serve as guidelines

for development of mathematical models representing average structures.

These models would then be modified theoretically to correct excessive

energy usage and calculate the proper level of fuel use for various

building classifications. These recommended consumption levels could

be verified experimentally by selectively retrofitting some of the

actual buildings and measuring the decrease in energy usage.

j Regardless of what approach is actually adopted, a considerable

expenditure of time, money, and manpower will be required to establish

energy-use standards for existing buildings. A large undertaking of

this nature demands that a technically competent coordinating group

organize the effort. Two possibilities exist: either a government

agency could initiate and control the program to develop energy consumpj tion standards for existing buildings (e.g., the Department of Energy or the National Bureau of Standards) or one (or more) professional societies. , could implement the study. The American Society of Mechanical Engineers, j the American Society of Heating, Refrigerating, and Air-Conditioning

Engineers, and/or the American Institute of Architects would be logical

choices. A third possibility would be the formation of a joint government - professional society committee to develop the suggested standards.

SUMMARY

! With the heightened interest in energy conservation in both the

public and private sectors of the American economy, many groups have

|

204
'initiated programs to reduce energy use in existing facilities. Unfortunately, these efforts often are thwarted by the high costs, excessive time, and technical studies required to apply available

standards for existing buildings. A set of generally applicable energyconsumption standards for entire buildings is needed. Three quantities

are recommended for these standards:

1. Annual energy use per gross building area.

2. Annual energy use per gross building area per heating

and cooling degree day.

3. Annual energy use per occupant.

Values for each of these standards would be established for various

structural categories, based upon building function. Additional factors allowing for variations in the type of fuel used and building age

would be developed. These standards would lead to more effective use of

| energy conservation funds, since inefficient facilities could be deterI mined quickly and inexpensively, and the majority of the available

I money could be used to retrofit the wasteful units.

II

I

205
REFERENCES

1. "Energy in Focus - Basic Data," FEA/A-77/144 , Federal EnergyAdministration, Washington, D.C., 1977.

2. "Federal Power Commission 1977 Final Annual Report," DOE/FERC-0011

,

U.S. Department of Energy, Federal Energy Regulatory Commission,

Washington, D.C., July 1978.

3. "Energy Conservation Guidelines for Existing Office Buildings,"

Second Edition, General Services Administration, Public Buildings

Service, Washington, D. C . , Feb. 1977.

i

i 4. Fletcher, L.S., Kitis , L. , Somers , R.R. , II, and Conner, C.

,

"An Evaluation of Energy Use in Charlottesville Public Buildings and

Facilities (1972-1977)," Central Piedmont Urban Observatory,

Charlottesville, Va. , Dec. 1977.

5. Read, R. , "An Energy Program That Works!," Instruments and Control

Systems , June 1978, pp. 39-44.

6. Fletcher, L.S., Somers, R.R. , II, Miller, J.W. , Conner, C.A. , and

Chandler, B.C., "An Evaluation of Energy Use in Albemarle County Schoolsj

and Public Buildings (1972-1978) , University of Virginia, RLES Report No

UVA/ 5 30 119 /MAE, (December 1978)

7. Fletcher, L.S., Somers, R.R. , II, Kitis, L. , Miller, J.W. , Conner, C.A. 1

and Chandler, B.C. , "An Evaluation of Energy Use in Virginia State

Agencies and Institutions (1972-1977) , University of Virginia, RLES

Report No. UVA/ 530220 /MAE , (December 1978).

8. "Energy Conservation in New Building Design," ASHRAE Standard 90-75, j American Society of Heating, Refrigerating, and Air-Conditioning Enginee]

Inc., New York, N.Y. , 1975.

9. "Energy Conservation in New Building Design - An Impact Assessment of

ASHRAE Standard 90-75," Federal Energy Administration, Conservation Pap<

Number 43B, Washington, D.C. , 1976.

10. "HUD Minimum Property Standards," HUD documents 4900.1 (Single-Family

Construction) and 4910.1 (Multi-Family Construction), Department of

Housing and Urban Development, Washington, D.C.

11. "Energy Conservation Guidelines for New Office Buildings," Second Editior'

General Services Administration, Washington, D.C.

12. Dubin, F.S., Mindell, H.L. , and Bloome, S., How to Save Energy and Cut j Costs in Existing Industrial and Commercial Buildings , Noyes Data Corpora

Park Ridge, N.J., 1976.

206
13. "Total Energy Management," Ref B, First Edition, Developed by the

National Electrical Manufacturers Association and the National

Electrical Contractors Association, 1975

.

14. "Identifying Retrofit Projects for Buildings," FEA/D-76/467 , Federal

Energy Administration, Washington, D.C. , Sept. 1976.

15. "Physical Characteristics, Energy Consumptions, and Related

Institutional Factors in the Commercial Sector," FEA/D-77/040

,

Federal Energy Administration, Washington, D.C, Feb. 1977.

16. "An Energy and Economic Impact Assessment of HUD's Minimum Property

Standards," FEA/D-76/495 , Federal Energy Administration, Washington, D.C,

Oct. 1976.

*

207
TABLE 1

AVERAGE ENERGY USE OF BALTIMORE

CENTRAL BUSINESS DISTRICT COMMERCIAL BUILDINGS*

Annual Average Number of Number of

Energy Use Establishments Sq. Ft.

Use Type (BTU/ft 2

) Sampled Sampled

Restaurants 300,000 25 70,991

Night Clubs 253,192 23 42,479

Drug Stores 232,672 6 15,303

Food Stores 206,986 5 . 5,704

Department Stores 164,412 27 1,142,175

Hotels/Motels 146,597 6 950,400

Banks 144,634 15 68,743

Offices 124,647 87 6,477,049

Personal Services 117,318 26 46,299

Small Stores 95,378 132 383,443

Theaters 75,844 2 51,608

Warehouses 61,973 29 439,470

*Taken from "General Characteristics, Energy Consumptions, and Related

Institutional Factors in the Commercial Sector," (Feb. 1977) , reference (1

208
TABLE 2

ANNUAL ENERGY USE AND COST, BY CATEGORY,

FOR CHARLOTTESVILLE, VIRGINIA, PUBLIC

T) TTTT T"\ T XT O C BUILDINGS f i n "7 c n~i (iy / 6-/

/

FISCAL YEAR;*

Functional Category

Annual

Energy

Use

(Btu/ft 2

)

Number

of

Buildings

Total Area

of All Buildings

(Sq. Ft.)

Administrative 100359 3 26934

City Parking Garage 15837 1 217851

City Warehouse 52058 1 44400

Fire Department 129861 2 17172

Libraries 47969 4 25540

• Parks and Recreation 102590 8 62909

Public Centers 89525 2 43305

Public Works Maintenance 144065 4 131501

Schools 60956 12 983658

*Taken from "An Evaluation of Energy Use in Charlottesville Public

Buildings and Facilities (1972-1977)", (Dec. 1977), reference (4).

209

PROPOSED SOLAR ENERGY LEGISLATION LIKELY TO AFFECT

THE BUILDING REGULATORY PROCESS

by

Robert J. Smith, P.E., & Attorney

Associate Professor of Engineering

University of Wisconsin-Extension

Madison, Wisconsin

A number of researchers have identified and discussed numerous legal barriers to the effective utilization of various types of solar

energy. Much of the literature Slso makes specific recommendations

for legislation directed at removal of these barriers to solar

utilization. This paper discusses the context in which the legislation

has been drafted, the key features of the legislation, and their

potential effect on the building regulatory process. The objective

is to give state and local building regulatory officials and code

administrators an overview of what sorts of legislation may be introduced at the state and local level so that they may be better prepared

to deal with both the legislative proposals, and their implementation.

Key Words: Building regulation; energy conservation; legislation;

solar energy

211
INTRODUCTION

Something over 200 bills, resolutions, and the like dealing with

solar energy have been introduced in various legislatures around the

country. A few of them have been enacted

into law. Many of them have certain commonalities and implications

for the building regulatory process.

The purpose of this paper is to provide those concerned with the

building regulatory process with a better understanding of solar energy measures that have been and are likely to be enacted into law. With

a better understanding of what is here and what is yet to come, the

reader will be better prepared to evaluate, react to, and implement

the legislation.

The scope of the paper will be limited to generic groups of legislative approaches that have been suggested to remove already identified

barriers to utilization of solar energy. Specific details of individual

bills will not be addressed. Nor will the development of codes and

standards per se be considered. (There are several such projects underway including a major one funded by the U.S. Dept. of Energy).

The background and origin of the types of legislation will be considered first. Then some of the general features of all legislation

will be explained. Finally, the paper will consider the generic types

of legislation, why they were enacted or proposed, and some likely

implications for the building regulatory process.

ORIGIN AND NATURE OF LEGISLATION

A reasonably safe generalization is that any legislation is a proposal for a law to respond to a problem, and that in general, market

forces, or the "common law" or both have proved inadequate to achieve

certain desired results. Further, nearly all enacted legislation is

a compromise. And, the flexibility or effectiveness of certain legislation may be questionable, due to technical unknowns. Nevertheless,

with "solar energy" being a "buzz word" perceived to be quite popular

with voters, a good deal of such legislation can be expected. Because

of potential imperfections and compromises, building regulatory personnel

should be prepared to contribute their technical expertise as appropriate

AMERICAN BAR FOUNDATION STUDY

A multi-year study by the American Bar Foundation (financed by the

National Science Foundation) identified five somewhat intertwined legal

issues relating to solar energy utilization at the state and local level.

Indeed, "legal issues" may be but a euphemism for uncertainty, chaos,

and substantial barriers. In any event, the legal issues were:

1. Regulation of building materials through codes and standards;

2. Financing and marketing; 3. The role of public utilities; 4. Land

212
Lise planning; and 5. Access to sunlight. All but the third item will

be discussed, at least briefly, in this paper. In addition, we will

address consumer and insurer protection as a separate item although

|t may be considered by some to be a part of the financing and marketng issue.

i One of the end products of the American Bar Foundation (ABF)

ktudy was a series of model statutes. Rather well thought out, it is

representative of the best sorts of legislation that has been introduced in the various state houses around the country. The legislation

lis intended as a model and guide for those jurisdictions wishing to

effectively deal with the barriers identified in the report. A

[commentary accompanies the suggested language.

GENERAL LEGISLATIVE PROVISIONS

Nearly all legislation probably has (and certainly needs) certain

iprefatory sections. Definitions are important, and will, for example,

(determine the applicability of a specific law, e.g. does a given

installation qualify for a tax credit? The ABF study defines "solar

energy system" as:

"A complete design or assembly consisting of a solar energy

collector, an energy storage facility (where used) , and

components for the distribution for transformed energy (to the

extent that it can not be used jointly with a conventional energy

system) . Passive solar energy systems are included in this

definition, but not to the extent that they fulfill other

functions such as structural and recreational. [Optional for

certification] the definition includes only those systems which

are certified by the [official/agency] or which meet criteria

established by the [official/agency]."

Legislation may also may well include policy statements to better

Lndicate legislative intent and to assist the law in passing constitutional muster. Legislative intent is useful for administrative

Implementation and judicial interpretation. Constitutional questions

are inevitable in any preferential or regulatory situation . These

'policy and purpose" provisions are generally broad, general, and

far-reaching. It is of particular interest to note that the ABF study

includes as one of the several policy findings that "the use of solar

energy systems . . . requires effective legislation and efficient

administration of state and local programs to be of greatest value

to the citizens ..." In addition, one of the enumerated purposes is

to provide for fair and timely administrative proceedings on

issues related to use of solar energy systems."

THE BUILDING REGULATORY PROCESS PERCEIVED

AS A BARRIER TO SOLAR UTILIZATION

The building regulatory process has been looked upon with considerable

suspicion as a potential impediment to energy conservation and utilization

213
of alternate forms of energy. If nothing else, the scholars have

sensed substantial institutional resistance. This may be the reason

that the ABF legislation contemplates the establishment of a "Solar

Energy Development Commission" to be tasked with conducting a comprehensive study of how a state can encourage the use of solar

energy to satisfy the purposes of the act. The study is to include

"the need to modify existing laws and regulations for the design,

construction, alteration, or maintenance of structures in heating

and cooling systems, to remove any unreasonable impediments for the

installation and use of solar energy systems, and the desirability

of promulgating standards for state certification of solar energy

systems and the performance criteria that could be used if certification is deemed appropriate." The commentary to the ABF study notes

that there appear to be several major potential problems with local

building codes

1. The requirement for costly, cumbersome, and arguably

unnecessary energy system design (e.g. chimney and

plumbing clearances, design temperatures for heating

and cooling, inspection requirements for prefabricated

or modular units or components, boiler inspection

standards for glass and plastic substitutes.)

2. Code administrators with inadequate training or experience in dealing with solar energy.

3. Ambiguous codes and performance requirements.

4. Established interests supporting existing codes and the

inherent resistance to change.

Those attacking existing codes and their administration on the

above bases cite experiences with modular housing, condominiums, and

plastic pipe.

Thus the statutes would ultimately require better and more timely

reception of new technology by the code community. In the interim

exceptions would be permitted, determined by a state agency or some "qualified expert."

SPECIFIC LEGISLATION

The barriers to solar energy utilization noted above are widely

known and accepted. Most legislative proposals portend to cope with

but one at a time.

Tax Cred it s /Exemp t ions / Deduc t ions

By far the most prevalent type of legislation is that designed

to remove financial barriers and encourage individual and corporate

capital investment in solar energy systems. New Mexico has had an income tax credit since 1975. President Carter's Federal Energy

Act proposes graduated credits. Key to the application to all of

214
these statutes is just what sort of equipment qualifies for a tax

incentive. Indeed, many of the bills and enacted provisions require

some building regulatory agency to either define or certify qualifying

capital investment.

Consumer/Insurer /Lender Uncertainty

The lack of protection for a substantial capital investment is part

of the financial barrier to widespread utilization of solar energy.

Consumers sense that some solar technology is new, evolving, and untested, with many new manufacturers. Efficiency, dependability, and

safety are frequent legitimate questions. Insurers and lenders are also concerned about prospective risks. Widespread installation would seem to require input by code officials and not just privately retained

engineers (to evaluate systems) and lawyers (to draft contracts) . A

possible corollary result will be changes in occupational licensing

laws for installers.

Land Use Planning, Zoning and Solar Access

Assurance of an unblocked supply of sunlight is something every

potential solar energy system investor will want. Because of the

analogy and similarity to existing height, setback, and "bulk" regulations, it has been suggested that code and zoning agencies will become

involved in determining and enforcing legislatively created "rights

to sunlight," which are subject to complex definitions, descriptions,

and restrictions.

Solar Equipment Standards and Codes

Three states (Connecticut, Florida, and Minnesota) have legislation which requires state agencies to set performance standards for

solar systems. The Florida State Building Code provides that all new domestic hot water heaters be installed with a tee to allow easy

solar retrofit. The Minnesota State Building Code provides a special

allowance in energy budget calculations when solar is used.

Presumably many state and local agencies will be adopting the

standards mandated by Section 8 of the Federal Solar Heating and Cooling

Demonstration Act of 1974, which have been and are being developed

by the National Bureau of Standards.

SUMMARY

Over a dozen states are conducting studies of varying degree and

scope. Three states have enacted state code provisions dealing with

certain elements of solar installations. It would seem that in the

future there will be great pressure for innovation and that anyone

involved in the building regulatory process is going to play a leading

role in determining to what extent existing regulations need to be

modified.

215
National codes and standards are being developed. They will be

incorporated by reference into codes of many lesser jurisdictions.

The provisions for tax incentives will interface with the building

regulatory process for definitional and perhaps certification purposes

in over 20 states.

In conclusion, it seems that there are several common threads.

One relates to definitional problems, e.g., what qualifies for a tax

credit, for access to sunlight. It has to somehow be fully and fairly

defined. Second, there appears to be a trend towards greater input

from both the public at large and the political arena. Those involved

in the building regulatory process should accept — indeed welcome —

this "new" input and be prepared to effectively deal with it. It should

always be remembered that codes and solar incentives share an important common purpose — promoting the public health, safety and welfare.

REFERENCES

Armstrong, John^ and Linda Hudak, Optional Methods of E ncouraging the

Use of Solar Energy, State of Wisconsin, Department of Administration,

Office of State Planning and Energy, Madison, 1977

Miller, Alan S., Gail Boyer Hayes, and Grant P. Thompson, Legal Barriers

to Solar He ating and Cooling of Buildings , NTIS, Springfield, Va., 1977

Robbins, Richard L., New Laws to Encourage Solar Energy U se for Individual

Bui 1 di ngs , Lake Michigan Federation, Chicago, 1976

Thomas, William A., Alan S. Miller, and Richard L. Robbins, Overcoming Legal ' Uncertainties About Use of Solar Energy Systems , American Bar Foundation,

Chicago, 1978

i

216
CRITICAL PERFORMANCE STANDARDS

FOR PASSIVE SOLAR BUILDINGS

by

John K. Holtcm

Solar Technology Group

Building Economics and Regulatory Technology Division

Center for Building Technology

National Engineering Laboratory

National Bureau of Standards

Washington, D.C. 20234

An outline of a limited number of performance standards and evaluation

riteria for passive solar buildings is presented. Three levels of criteria

re described which are intended to categorize these into a few most needed

riteria concerning basic thermal performance, health and safety, and two

svels of additional criteria that are thought desirable to assess long term

sefulness of passive installations. Status of development of the criteria

s also discussed.

jy Words: Passive solar systems; performance standards; system

classification

217
INTRODUCTION

!

. The purpose of building codes and standards is to assure that people

are provided with products, buildings, and systems that are safe, healthful

and will perform to a reasonable level. The primary work of the National

Bureau of Standards (NBS) is to assist in developing performance standards

and methods of evaluation and measurement to be used in forming a sound and i equitable basis for the nation's codes and standards.

Solar energy systems and more particularly passive solar energy systems

j represent a new aspect of building that offers promise for the effective use natural energies to benefit building occupants. Passive solar energy systems^ are buildings or components which use solar radiation to heat occupied spaces

through natural heat transfer means (conduction, convection and radiation)

An example is a south facing sunroom with insulating drapes for control and a* massive stone interior wall designed for thermal storage. Along with the proi

of energy conservation goes the responsibility to provide safe and reasonably

effective installations. Consequently, a limited number of critical performai

standards and criteria are needed to assist in the successful introduction of

passive solar systems.

A PERFORMANCE STANDARDS AND CRITERIA

1 The National Bureau of Standards develops performance standards and crit<

through research and investigation on the basic properties of materials, the | function of systems and the processes of manufacture and construction. Based

on such work reasonable methods of testing, evaluation and measurement can bej

evolved. These methods are usually offered to consensus standards-writing

organizations to assist in their work of standards development. The organizaj

tions' tasks frequently involve committee deliberations, balloting of the

membership and resolution of dissenting viewpoints. The NBS work assists thii

process by providing timely technical groundwork. Examples of NBS initiated

standards are ASHRAE Standards 93-77 [1] and 94-77 [2] for testing collectors

and thermal storage which are based on NBS documents NBSIR 74-635 [3] and

74-634 [4].

In considering passive solar installations, it is important to recognize 1 that they often (but not always) are comprised of elements that are part of tl building construction and are also called upon to perform multiple functions—

their conventional building function and their solar heating or cooling role.

An example of this would be a concrete thermal storage wall on the exterior o| a building which absorbs solar energy and also carries roof loads and provides

lateral bracing. Because existing codes and standards apply to the convention

performance of such building elements, those aspects of performance which are I new or unusual because of their solar function may reasonably be considered

within the scope of solar standards and criteria. Thus, it is a focused apprc

that is being used by NBS in developing criteria to apply to passive solar

installations. This approach will, hopefully, introduce criteria that are needed to protect health and safety, and assure reasonable performance without

burdening passive solar development with a multitude of cumbersome, restrictiv

and redundant requirements.

218
In outlining an approach to this, we are considering the establishment of

several levels of criteria for development. The first level contains the most

needed criteria and the other two levels contain criteria which would be highly

desirable but perhaps not essential for public protection. These criteria are outlined in Table 1. Also noted in the table is a statement of the concerns

that these criteria are intended to address.

The Basic Thermal Performance Criteria (1st level) and the Detailed Thermal

Performance Evaluation Criteria (3rd level) are currently under development at

NBS and have been presented in detail at athe Second National Passive Solar

Conference [5]. It is felt that the basic criteria represent the simplest level

of evaluation that can provide a meaningful assessment of a passive installation's performance. It should be possible to make the needed measurements

with a minimum of equipment.

The detailed criteria should provide a relatively clear understanding of

how a system and its components work in a given environment. In developing

these criteria, it was found helpful to establish a classification system for

passive installations based on the manner in which energy is received and con- trolled and thus, its impact on conditions in the occupied space. The classification also reflects basic differences in the evaluation procedure. The

categories are the following: 1) Direct Gain - in which the separation of

collector, storage and space is difficult to thermally distinguish and measure

and thus collected energy and aperture heat loss are determined from calculations based on outdoor and indoor conditions (insolation, temperatures, wind

velocity) and the properties of the aperture; 2) Indirect Gain - in which it

is possible to thermally separate absorber/storage from the space and evaluation

can be made based on outdoor and indoor conditions and the properties of the

absorber and storage (and any air flows involved) and; 3) Isolated Gain - in which there is distinct physical separation of all elements and evaluation

can be made based on direct measurement of temperatures and flow rates.

The criteria for health and safety have been limited to those that appear

to be applicable to passive installations. Many of the criteria have been

developed in standards applied to active systems (see Solar Minimum Property

Standards [6] and Interim Performance Criteria [7, 8]) and a growing experience

with passive installations should allow for a tailoring of these criteria to

the peculiarities of passive.

Of particular concern, because passive systems may utilize large areas in

interior spaces (glazed apertures, solid or liquid storage masses), is the use

of combustible materials for thermal purposes such as insulation, absorption or reflection. It is not difficult to consider that entire wall or ceiling areas will be covered with fixed or movable materials that may present a fire hazard,

particularly in institutional or commercial applications, if not consciously

designed with this hazard in mind. Also, in passive installations where natural

air circulation is employed, large passages or chases may be desired to convey

air at low velocities throughout a building. This may present a significant

potential fire hazard because of the easy path for spread of fire. Studies are needed to correlate the type of hazard exposure presented in large, open, publicly

occupied spaces such as glazed shopping malls and glazed atrium hotels with those

219
of passive solar configurations. Such investigations could reasonably examine:

occupancy, construction, fire load, location, suppression techniques, sensing/

warning systems, mechanical ventilation, and natural convection flow (including

velocities and temperature gradients)

Fire hazard is also a potential problem where wood and other cellulose

materials are subject to sustained high temperatures (212°F or greater) for

long periods of time (years) and become desiccated [9]. Under such conditions,

it is possible for autoignition to eventually occur at the exposure temperature.

Collector areas built integrally with the wood framework of a building pose a possible condition of this type. In. such instances, venting under stagnation

conditions and shading during periods when heat is not withdrawn from the

collector area become important considerations.

Concern over temperature and pressure are probably limited to thermosyphon

hot water heaters where boiling conditions can be developed. Also, with these

systems, toxic fluids may be employed for freeze protection and thus safe

separation from the potable water circuit becomes essential. Inhibitors and

other additives may be employed in liquid storage elements or heat transfer

loops to prevent corrosion or fouling. These materials may be hazardous and

pose the problem of satisfactory disposal when cleaning, recharging or repairs

are necessary. The requirements for these criteria are probably not greatly

different from those of active [6, 7, 8], though static liquid thermal storage

tanks (possibly containing inhibitors) may be drained only infrequently which

lessens the extent of the disposal hazard.

Structural design will probably demand attention to unusual configurations

rather than development of numerous new requirements. The concern is over the use of heavy thermal storage masses located within buildings in positions that are unusual. For example, either solid or liquid elements incorporated into

walls or ceilings pose the need to consider seismic loadings and deflections

that may be quite different from conventional construction practice. Excessive

deflections can also result in glass breakage if careful attention is not given

to framing details.

There are a few additional personal hazards that should be considered.

Large glazed areas, though not new to buildings, may be located for thermal reasons in close proximity to pedestrian traffic areas and thus raise the need

to consider the hazard of potential breakage. Also, when building surfaces are designed to absorb solar energy efficiently, there is the possibility that elevated temperatures may be developed. Occupants must be protected from these

surfaces when they are above the hazardous temperature level.

The durability and reliability of a passive solar system is central to its

long-term usefulness. For the most part, these installations appear to offer

very attractive durability/reliability characteristics due to simplicity of

operation and lack of moving parts.

To maintain this durability and reliability, attention should be given to a few potential problem areas. Thin film glazing materials (plastics) may be

subject to thermal and ultraviolet degradation, wind flutter and low temperature

embrittlement. Air infiltration problems may be more severe due to extensive

use of glazing. Freeze protection may be required for storage or collector

220
elements containing water which are subject to freezing temperatures (exposed

Locations and long cloudy periods with low outdoor temperatures)

.

Controls for passive solar systems range from extremely simple manual

nethods such as shutters or shades to automatic sensor controlled subsystems,

ui issue to consider with manual controls is whether or not the system will be

self-protecting without human attention, that is, will it continue to collect,

store and release energy (albeit with wide temperature swings) to an extent

that will prevent unacceptable damage to the building and its contents. If

this is true, under severe weather conditions, the need for auxiliary back up

nay be modified. On the other hand, use of fully automatic passive system

;ontrols introduces the concern for mechanical reliability.

The effectiveness of controls for passive systems is often made difficult

iue to the need to provide radiation cut-off or insulation of large areas of

glazing or absorber surface. This requires moving large elements often comprised

3f fragile or flimsy insulating materials and to maintain tight edge seals for

effectiveness. In addition, some window insulation techniques may introduce

problems of moisture condensation and its potential resultant damage. Much

Ingenuity and effort has gone into developing such controls that are effective

it reasonable cost.

Means of assessing the capability of a passive solar system to provide

:ommonly accepted levels of comfort have not been agreed upon. Passive systems

jften (but not always) depend on significant internal temperature swings for

:heir effective operation and some designs provide varying thermal conditions

Ln different portions of the building. Such characteristics require an approach

:o comfort assessment that considers such factors as activity level, clothing

md space use as modifiers of traditional steady state indicators.

Micro-climate characteristics and weather data present problems for research

rork in all areas of solar energy and energy conservation. Because the most

effective passive solar systems are designed to take greatest advantage of

environmental assets and to minimize environmental liabilities, a knowledge of

these conditions is critical to good design and proper operation. Fog, smoke

and haze (including urban air pollution) can significantly reduce available

radiation, and snow cover can amplify radiation. The strength and direction of

>ri.nd on the building can have major influences on winter heat losses and summer

cooling effectiveness. Likewise, sources of moisture and humidity have importance for summer conditioning of passive buildings. Methods are needed to develop

nicro-climate data in a standardized format that can be used for design and

performance evaluation.

In the actual development and application of these criteria there will need

to be differences in some of the requirements because of the different building

accupancies to which they are addressed. Thus, for example, fire safety requirenents may very well be specifically developed for each occupancy such as: one and

two family residential, multi-family residential, institutional, commercial or industrial.

The development of performance standards and criteria is based on the growing

use of passive systems that provide the experience upon which to base evaluation,

rhe work at NBS is keyed to the national demonstration programs of the Department

221
of Energy (DoE) and the Department of Housing and Urban Development (HUD) both as an environment in which to learn and as programs which will' benefit from the

application of thoughtful criteria. It is planned to include needed criteria

for passive solar buildings into the existing Interim Performance Criteria, the

Intermediate Minimum Property Standards documents, and other test and evaluation

procedures for use in the demonstrations, in the Department of Housing and

Urban Development /Federal Housing Administration housing programs, and the

Federal Solar Building Program and thus to make them available for use by con- sensus standards and codes groups on a nationwide basis. This effort should

result in basic standards that can be interpreted and enforced by local building

officials and which are practical and cost effective for designers, contractors

and consumers.

222
TABLE 1

Critical Performance Criteria for Passive Buildings-First Level

Criteria Concern

Basic Thermal

Performance

Health and

Safety

Auxiliary Energy Used

o annual

o per square foot

o per degree day per sq. ft. Indoor Temperature

Outdoor Temperature

Fire Safety

o materials- fuel load, flame spread,

products of combustion

o configuration-penetrations

(chases, fire dampers)

o conditions-autoignition

Temperature/Pressure

o relief provisions

Toxicity/Combustibility

o separation of circulation loops

o disposal

Structural

o seismic

o deflection

Personal Hazard

o glazing

o heated components

overall system performance,

reduction in energy use, comparability of systems,

ccmfort

extensive use of plastics

path for spread of fire

desiccation of wood and cellulose

materials

thermosyphon systems-boiling

antifreeze fluids, inhibitors

heavy masses in elevated positions

glass breakage

large areas, hazardous locations over 140°F (60°C)

Critical Performance Criteria for Passive Buildings- Second Level

Criteria Concern Durability/ Exterior Envelope

Reliability Air Leakage

Freeze Protection

Solar Degradation

Controls Personal Operation vs. Automatic

Control Effectiveness

Habitability Mean Radiant Temperature

Temperature Swing

Activity Level

Air Distribution

Glare

thin film materials

large glazed areas uninsulated storage,

small passage components

fading of fabrics and finishes

reliability

leakage, losses

comfort

,

usefulness of spaces, comparability of systems

Critical Performance Criteria for Passive Buildings- Third Level

Criteria Concern Detailed Thermal

Performance

Evaluation

Micro -Climate

Characterization

Performance Factors Describing

o energy flow

o component performance

o system performance

o comfort levels Factors such as Degree Days, Typical

Weather Year, Etc. Maintainability Service Procedures and Manuals

verify predictive methods,

analytical studies to improve

performance,

analyze regional variation

comparability of evaluations,

analytical base line

long-term usefulness

223
REFERENCES

I

1. "Methods of Testing to Determine the Thermal Performance of Solar

Collectors," ASHRAE Standard 93-77, American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., February 1977.

2. "Methods of Testing Thermal Storage Devices Based on Thermal Performance,"

ASHRAE Standard 94-77, American Society of Heating, Refrigerating and AirConditioning Engineers, Inc., February 1977.

3. Hill, J. E. and Kusuda, T. , "Method of Testing for Rating Solar Collectors

Based on Thermal Performance," NBSIR 74-635, National Bureau of Standards,

Washington, D.C., December 1974.

4. Kelly, G. E. and Hill, J. E. , "Method of Testing for Rating Thermal

Storage Devices Based on Thermal Performance," NBSIR 74-634, National

Bureau of Standards, Washington, D.C., May 1975.

5. Ducas, W. , Streed, E. , Holton, J. and Angel, W. , "Thermal Data Requirements

and Performance Evaluation Procedures for Passive Buildings," Proceedings , 2nd National Passive Solar Conference, Philadelphia, Pa., March 1978, p. 411.

6. "Intermediate Minimum Property Standards Supplement, Solar Heating and

Domestic Hot Water Systems," 1977 Edition, HUD 4930.2, Department of Housing

and Urban Development, (available through Government Printing Office,

Washington, D.C. 20402).

7. "Interim Performance Criteria for Solar Heating and Cooling Systems in

Commercial Buildings," NBSIR 76-1187, National Bureau of Standards, Washington^

D.C. , November 1976.

8. "Interim Performance Criteria for Solar Heating and Cooling Systems in

Residential Buildings - Second Revision," NBSIR 78-1562, National Bureau

of Standards, Washington, D.C, November 1978.

9. "Fire Protection Handbook," 14th Edition, National Fire Protection Association, pp. 3-5, Boston, Massachusetts, 1976.

224
A CASE FOR MORE RATIONAL AND EXPLICIT BUILDING REGULATIONS

by

Howard M. Markman, FPE

Ventnor, New Jersey

Building regulations are unique in that they are as much a statement

of social attitudes and policies as they are of engineering and technology.

To be responsive to one concern is not enough. The consensus of the literature on the Beverly Hills Supper Club Fire in Southgate, Kentucky, was that

the codes as written are adequate and that this incident should have not

occurred. The fault was said to lie in the improper enforcement of the

applicable codes. While this statement may be true, the broader social

and policy issues were nowhere addressed.

Safety is a relative rather than absolute concept. No safety is

obviously not acceptable; total safety is not affordable, if possible at

all. To date, the building regulatory community has fixed the level of

safety with minimal input or interest from the public at large. But

inflation, the increasing cost of regulation, and the resistance to excessive government spending will lead to greater public interest in the

regulatory process. Regulations will be scrutinized as to their necessity,

effectiveness, and utility as a means of efficiently allocating protection

costs between the public and private sectors.

The challenge for the building regulatory community is to recognize

and meet this growing public concern.

Key Words: Building codes; code enforcement; fire prevention codes, fire

safety; master planning; regulation; standards.

225
INTRODUCTION

The evolution of fire protection has been little more than a continuous reaction to disaster. The automatic sprinkler was born

from the ashes of New England mills of "slow-burning" construction

that burnt during the second half of the nineteenth century. The

conflagrations in our cities at the turn of the century brought about

the Municipal Grading Schedule and a building code philosophy that

stresses structural stability and control of fire spread to adjacent

structures. In 1948, fire at the Cocoanut Grove Night Club claimed

491 lives [1:67], but gave us the "means of egress," spawned the

present day Life Safety Code, and taught us once again the ultimate

reality that fire kills.

On May 20, 1977, the Beverly Hills Supper Club (Southgate)

burned to the ground in Southgate, Kentucky taking 165 lives and

injuring 70 more. [2:48] The loss was so great that, at least for a few days, life safety from fire was a topic of national discussion.

But the discussion was a shallow one, for all people really wanted to

know was "Could it happen here?" Once assured by our leaders that it

could not, Southgate became a dead issue to the press and, therefore,

to the public.

But we are the professionals, charged with the question: What

will we learn from Southgate?

The title to a recent article in Fire Journal suggests: "Fire

Offers No Fire Protection Suprises." This warehouse fire in Merkenick,

Germany caused a loss of over 100 million dollars. [3:21-23] The

Southgate fire offers no "fire protection suprises" because the

engineering lessons of Southgate are the lessons of Cocoanut Grove.

The fires in Merkenick and Southgate resulted because existing

knowledge was ignored. These fires, more than chemical reaction, were a statement of this society's pervasive apathy - fire protection

is always someone else's responsibility.

The issues of Southgate, rather than technical, are emotional,

political, institutional in nature.

THE LESSON OF SOUTHGATE

Technology alone cannot solve the problems of society, for

knowledge without a commitment to act is an illusory gain.

Fire safety codes and standards are our statement of our knowledge. And after the Southgate fire, the code-writers were quick to

note that their respective codes already required the engineering and

technologi cal solutions that were found to be lacking at Southgate.

In the past, all that was done after a major fire -fas to add a few more sections to the codes. This time, however, there is nothing new

to suggest.

226
The problem at Southgate was that what was in the codes wasn't

in the building. Howard Tipton, Administrator of the United States

Fire Administration (formerly the National Fire Prevention and Control

Administration) at the time of the fire stated:

The failure of our fire safety system, as demonstrated in Southgate, Ky. , was not in the adequacy

of codes and standards, but in the enforcement of

existing standards that embody the lesson learned

again and again in tragic fires around the world. [4:2]

Charles Morgan, President of the National Fire Protection Association, wrote an editorial in Fire Journal entitled "The Kentucky

Lesson: Code Enforcement Crucial." He wrote, in part:

What, then, is the lesson that the fire protection

community should take from the Kentucky tragedy?

Certainly, the answer is not that there is a need

for more codes and standards, ... for at least in

Kentucky the codes were not the problem. What is

needed is more emphasis on proper enforcement of

codes that are already in effect. [5:3]

But five years before the Southgate fire, the President's National

Commission on Fire Prevention and Control wrote in America Burning:

A law is effective only to the extent that it is

enforced. [6:81]

If one lesson of Southgate is the need for code enforcement, the

lesson, again, is not a new one.

The literature on the Southgate fire left the impression that our codes are fine, the fire fighters and fire suppression effective,

and the technology complete; if only those people in Kentucky had

just been a bit more diligent, everything would have been perfect.

But it is grossly unfair to single out the state and local officials

in Kentucky, for there are Southgates all over this country. They

have always existed. Until there is a force sufficient to induce

change, they will always remain.

After the Cocoanut Grove fire in 1942, a County Grand Jury

impaneled to investigate the fire returned indictments against ten

individuals, including four city officals. Besides the indictments,

the Grand Jury issued the following statement:

[W]e have found certain conditions which in the

interest of public safety must be corrected as speedily

as possible.

Realizing that we, as a Grand Jury, have no power to

correct such conditions . .

. , we wish to record certain

conclusions which the evidence compels us to draw, even though such evidence may fall short of establishing will227
fulness or corruption required to make neglect of duty a criminal offense.

1. We have found among members of various departments

charged with the protection of public safety, laxity,

incompetence, failure to fulfill prescribed duties

effectively and also lack of complete knowledge of duties.

2. We have found shifting of responsibility and a tendency

by various officials in different important departments to

rely too much on their subordinates without exercising

sufficient and proper checks on such subordinates. Officials

in each department seemed to attempt to shift the responsibility to some other department and vice versa.

3. We have found no complete coordination between building

department, fire department, police department and licensing

board with respect to various types of inspections intended

to be made to insure public safety in addition to protecting

the public health, morals, etc. [1:72]

On August 2, 1978, the Special Grand Jury impaneled to investigate

the Southgate fire issued its report, though it returned no indictments.

Among its findings:

There appeared to be a complete breakdown in interdepartmental communications [in the Fire Marshal's

Office] causing not only double work, but also

allowing certain deficiencies noted by one department

to slip by another department unnoticed. ... [T]here

seemed to be a breakdown in communications between

various state agencies. [7:11-12]

[I]t appeared that there was often a complete breakdown in communications between local agencies and state

agencies. Each party frequently expected and/or thought

the other had the duty to perform certain operations. [7:15]

These findings reflect scant progress for thirty-five years' effort.

There is more to a code than engineering. A code is a law, and as such its administration and public acceptance is influenced by the

powerful economic, social, and human and moral needs and wishes of the

people. As regulators and protectors, we have forgotten the human

element.

Our goal should be code compliance, not code enforcement. Code

enforcement imparts an attitude of combativeness - an Us vs Them type

of siege mentality. But researchers in a recent study of fire code

inspections and fire prevention concluded that "the value of an annual

inspection lies more in the persuasive effect of the inspector's

presence." Yet though "almost everyone appears to believe that

'selling' fire prevention is the key to success in obtaining [code]

compliance, inspectors have had little training and policy guidance

228
on ways to accomplish this 'selling'." [8:50] Preliminary findings

from another study of local code administration programs indicates that

the interest and political support of top city officials is a major

element of an effective effort. [9]

A change in attitude is not a panacea. For those who place

profit above life safety, the only effective motivator will remain the

the legal sanction. But our institutions must build upon the premise

that most people will comply with the law if it is fair and wellreasoned, and that involvement, explanation, and communication

will prove more successful than brute force and coercion.

Among the conclusions of the Southgate Grand Jury:

The . . . Commonwealth [of Kentucky] should consider

legislation codifying the responsibilities of both

local and state agencies, plus builders, architects

and owners, requiring communication among all that

obviously would be most advantageous, and presenting

this legislation in a manner in WHICH it CAN BE

UNDERSTOOD BY LAYPERSONS, because the lion's share

of the work that is performed is by laypersons.

Inspections of public buildings should be conducted

when the buildings are ACTUALLY IN USE and not

necessarily when most convenient for the inspector

or the operator. Furthermore, there should be no notification that an inspection of any type will be made.

Both local and state inspection and regulatory agencies

should be granted by statute authority to mandatorily

enforce regulations if necessary up to and INCLUDING the

actual CLOSING of ANY ESTABLISHMENT THAT DOES NOT

COMPLY with mandatory regulations. GRACE PERIODS of

compliance SHOULD BE GRANTED SPARINGLY. [7:16-17] (emphasis added)

An informed public will act responsibly. But the ability to

educate and motivate both private citizens and key officials is

dependent upon clarity of purpose and thought.

THE CODES QUESTION: HOW SAFE WILL WE PAY TO BE ?

Implicit in the findings of both Grand Juries is the expectation

or reliance on government officials to guarantee some acceptable level

of public and personal safety. Yet this same "public" forced the

repeal of the mandatory seat belt-ignition interlock, ignores the

safety benefits of the 55 mph speed limit, and generally decries any

governmental efforts to legislate morality and social responsibility

through the guise of protecting the public welfare. On July 1, 1977,

the then Governor of New Hampshire vetoed a bill mandating smoke detectors

in new residential construction, calling the law "one more instance

of government acting in a paternalistic, big brother attitude." [10]

229
This paradoxical attitude of the public towards government imposed

safety must not be taken lightly. Codes constrain personal freedom by

limiting the manner in which property and property rights may be used

and enjoyed. A code is more than a recommended guide of acceptable

engineering practices; it is a social, political and economic statement

that distinguishes private right from public duty.

In reality, neither the patrons that sit in an overcrowded room with inadequate exits nor the proprietor that seats them ever give

conscious thought to the likelihood of fire and the attendant

danger. Yet the proprietor, not the patron, is held accountable by

society should a fire occur. By law, the proprietor has the legal duty

to act "reasonably" to protect the safety of patrons. The patron, in

turn, has the right to rely upon this duty. [One must wonder whether

the net effect has been to institutionalize public apathy towards fire?]

The burden of personal safety from fire has been removed from the

individual. Our citizens are not required to evaluate their immediate

surroundings to decide whether the "risk" is too great or the danger

"unreasonable.

The public relies upon others to decide what is safe and to define

what acts are reasonable. In the area of fire safety, this decisionmaking process has historically been fulfilled by the voluntary consensus

standards organizations such as the National Fire Protection Association,

the American Society for Testing and Materials, and the model code

organizations: Building Officials and Code Administrators International,

Inc.; International Conference of Building Officials; and Southern

Building Code Congress International.

For example, Section 102.1 of the 1976 Edition of the NFPA Life

Safety Code states: "The purpose of this Code is to specify measures which will provide that DEGREE of PUBLIC SAFETY from fire which can be REASONABLY REQUIRED." [emphasis added] This language is significant

because it embraces three fundamental concepts.

First, in the hypothetical cited above, the duty owed by the

proprietor to the patron is not absolute. The actions of the proprietor,

even when judged with the benefit of hindsight and measured to a high

standard of care, must only be "reasonable." Compliance with applicable

fire safety codes can be used as evidence of "reasonableness," thereby

forcing the individual to bear his own loss. Second, doctrines of

constitutional law dictate that government, in the exercise of its

police powers, may inhibit the exercise of private rights and personal

freedoms only to the extent necessary to protect the general welfare.

A code which requires more than is necessary is open to challenge.

This is why the model codes are sometimes referred to as "minimum"

codes. Finally, the language illustrates that the code reflects the

writers' collective judgment as to what society expects, or the

economy can afford, in protecting life and property from fire.

This institutional arrangement, whereby the codes and standards

adopted at the local level are developed at the regional or national

level, has been acceptable for two major reasons. First, the level

of safety provided has been acceptable to the public. Second, the

costs to society have been affordable.

230
But the economic and political conditions upon which this institutional structure were built are slowly changing. Inflation runs rampant because an expansionist economy cannot be maintained with only

limited resources. Despite great wealth, the nation can no longer

afford the costs of fire, which include not only the direct and indirect

losses from fire, but the cost to government of providing fire protection

and the cost to business, ultimately the consumer, of regulation.

It is these latter costs, the cost to government and the cost

of regulation, not the life and injury loss, that will fuel the call

for change in our regulatory system. Willie Hammer, writing in the

Handbook of System and Product Safety, notes that:

Injuries and deaths are deplored, but more frequently

the economic factors constitute the motivating force

that produces corrective action. Injuries and death

constitute an important factor and a moral requirement

when safety is considered, but they lack the broad

applicability that use of the dollar provides as a measure. [11:3]

And examples abound.

The hearings conducted by the United States Senate on the Voluntary

Standards and Certification Act of 1976 [12] and the Voluntary Standards

and Accreditation Act of 1977 [13] were in response to allegations

that codes and standards were being used to foster anti-competitive

business and marketing practices. Though legislation was not enacted

by the Congress, the Federal Trade Commission has issued a Notice of

Proposed Rulemaking which addresses similiar issues. [14]

One of the reasons sections of Local Law 5, the New York City

"high-rise" code, was found at trial to be unconstitutional was the

prohibitive cost of compliance. The court held that it was an unlawful taking of the landlords' property. Though this ruling was reversed

on appeal, the issue will be raised again. [15]

The present structure of the insurance industry is not designed to

deal with the problem of arson. Arson creates cash flow problems because

money must be held in reserve until the claim can be resolved. Premium

schedules do not account for the socioeconomic and criminal forces that

underly the arson problem. Attempts by the industry to limit coverage

not only bring charges of red-lining, but can even lead to more arson when insurance becomes unavailable or prohibitively expensive.

The economic and political power of the insurance industry is immense.

If necessary, the industry will intervene, and dominate, as it did

at the turn of the century, to protect its economic well-being. [16]

During the Summer of 1977, budgetary constraints forced the

District of Columbia government to reduce manning levels in various

fire stations throughout the city on a rotating basis. Claims were

made that this action resulted in losses of life that may otherwise have

been avoided.

231
The paradox of Proposition 13 is that the cost of running and

complying with government is expected to decrease, but without a reduction in services. This not only calls for greater efficiency

and productivity, but clear and ordered planning.

Fire prevention and control master planning is a guide local

governments can use in planning for their fire protection needs.

Master planning involves nothing more than: 1) identifying the

human and material population at risk [present and planned]

2) identifying the available resources, and 3.) expressing the level of

costs and losses the community is willing to accept. Only then are alternative approaches evaluated to identify feasible or optimal

solutions. Key to the whole effort, though, is being able to predict

the outcome of each proposed approach. [17]

Codes are important to this process because they can limit the

maximum potential hazard that a community must address. Limitations

on heights and areas, building set-back requirements, and bans on hazardous materials or processes are common examples. Codes can also

be used to allocate fire protection costs and responsibilities

between the public and private sectors.

If all the buildings in a given area had automatic sprinkler

protection, the required fire flow would be lower than if the buildings

had not been sprinklered. The city would save money on a smaller

water supply [which is generally sized to meet fire protection and

not domestic consumption needs] and fewer fire personnel and equipment.

The property owner pays for the installation and maintenance of the

sprinkler system. If every dwelling had a fire alarm system wired

directly to fire dispatch headquarters [assuming proper installation

and maintenance], smaller,, quicker and cheaper fire apparatus, most

likely with fewer personnel, would be adequate for most calls.

Because of earlier detection, the fire should be smaller, so occupants

of the burning dwelling have more time to safely escape, property

damage is decreased, and fire fighters face less of a danger. The

potential hazard is reduced, fire losses should decrease, and the

city saves money on smaller equipment, fewer injured personnel, and

lower manning levels. Again, the property owner, not the city, bears

the cost of providing and maintaining the fire protection system.

This type of analysis should be made for every code section. For

each provision, it should be possible to know: what it is supposed

to accomplish, what it will cost, how safe it will make us, and what

would would happen if it were removed from the code.

The legislative history of a statute, e.g., hearing transcripts,

speeches, and other exhibits and documentation, is helpful in understanding and explaining the purpose [i.e., intent] and justification

for the law. The legislative history can be useful in deciding

whether a particular class of persons, activity or feature are within

the scope of the law, and in resolving conflicting interpretations or ambiguities. Codes are laws [at least they are written with the

expectation of subsequent legal adoption], but where is their legislative

232
history? Where are the committee reports detailing their findings?

Where are the hearing records and exhibits that show the issues

actually considered, the assumptions made, and the data relied upon?

The Beverly Hills Supper Club had been constructed in stages. As

the various additions were made to the Club, the effect of the new

construction upon the existing portions was apparently never considered.

The resultant arrangement of rooms and corridors made exiting haphazard

and confusing. The same can be said for codes as well. One amendment

is added to another, but the impact of these individual changes upon

the entire code body is not given due consideration. The trend in

codes today may be to place greater emphasis upon life safety, but the

underlying code philosophy remains the protection of property from

conflagration. A zero-based analysis of our codes is overdue.

These issues are highly relevant because efforts to restrict the use of property and to transfer costs to the private sector invite

challenge both politically and in a court of law. Local officials

[mayors, members of council, administrators], who often do not understand fire protection and building regulation, will be called upon to

justify the soundness of the laws they pass and administer. They, in

turn, will look to the local code official for explanation. But where

can the code official turn for guidance?

SOUTHGATE: A CODE ANALYSIS

The argument against a "national" code has always been that local

conditions are too varied to be addressed by "one" code. Climate,

topography, land use practices, regional costs and availability of

building materials, community wealth, and existing fire protection

capabilities are relevant factors and codes should be compatible with

local conditions. A code that is incompatible with local social

attitudes and politics will never generate the community support

necessary for voluntary compliance or the leadership support critical

to vigorous administration and enforcement.

By definition, present-day codes must be different because the

code-writers themselves resist uniformity. But how does a community

chose the code it wants? In reality, the controlling factor usually is

which model code organization has the closest home office. [Birmingham, Chicago, or Whittier] In theory, the code selected should be the

one that best meets the needs of the community. This code analysis was

completed to develop a sensitivity for the local official who would

rather "master plan" an answer than simply pick a city. The fire

problem to be controlled was a simplified version of the Beverly Hills

Supper Club.

The study included the relevant portions of the major model

building and fire prevention codes used in the United States today.

The sponsoring organizations of these codes are: the American Insurance Association, the Building and Code Administrators International,

233
Inc., the International Conference of Building Officials, and the

Southern Building Congress International, Inc. The National Fire

Protection Association's Fire Prevention Code and Life Safety Code

[which is neither a building nor a fire prevention code] were also

analyzed.

The topios considered were: height, area, and construction

requirements; automatic sprinkler protection; emergency evacuation

training of staff; alarm systems; posting of "maximum occupancy"

signs; occupancy permits; number of exits and exit capacity, and

occupant loading. The analysis of exiting requirements and occupant

loading was limited to the Cabaret Room because all but two of the

people that died were found in this room. [18:53] The study included

the codes current around 1970, when the club underwent a major rebuilding after a fire, as well as 1977, when the large loss-of-life fire

occurred. The Cabaret Room was not built until after the 1970 renovation, so only the exiting requirements for the codes in effect during

1977 were studied. The code requirements have been summarized in

three charts included in the appendix to this paper. A list of assumptions made and a floor plan of the Cabaret Room have also been included.

Each reader must reach his or her own conclusion as to the ease

or difficulty of analyzing and comparing the various codes. Though I found the exercise to be difficult, both in gleaning the specific

requirements from the code and in analyzing these requirements once

collected, there is no way to know how typical these problems truly

are. What is confusing or ambiguous to one may be clear to another.

[There were instances, though, during a technical review of the code

analysis when four fire protection engineers either could not agree or understand what the code required.] I would like instead to

highlight certain points that typify the difficulties I encountered

and illustrate the real-world relevance of this exercise.

The fire prevention codes do not address such major topics as height, area, allowable construction classifications, automatic sprinkler protection, and exiting. Either by their silence or specific

reference to the building code, these codes make the dangerous assumption that first, there is a building code in force, and second, that

the structure has been or will be constructed according to the code.

With the exception of the 1970 edition of the Life Safety Code,

this structure would not have met any of the height, area, and con- struction requirements, even with sprinkler protection. By 1977, the

Life Safety Code had been amended, so that the structure was no longer in compliance with any of the codes. Exiting capacity was

insufficient under all codes.

If the building were in the plan review stage, and if the official

responsible for administering the fire prevention code had the opportunity to participate in the review process, it is a simple enough

matter to apply the provisions of the building code. But if the

building was an existing structure, then it is typically "grandfathered"

or exempted, and the building code would not apply. Other than a few

obscure sections and vague phrases about "distinct hazard" and "imminent

234
peril," there are no standards or guidance provided to help the local

official evaluate the safety of existing buildings. Without meaningful

measures, how does one convince a judge [or anyone else] that a business

that has been operating for years poses an "imminent peril" to the

community?

Even if the structure complied with the building code at the time

of construction, if the conditions were unacceptable such that a code

change was warranted, then how can the continued operation of that

structure be justified? If the condition is hazardous, it would seem

to be a valid exercise of the police power to either order the condition corrected or cause the use of the structure to be discontinued.

If the condition can truly be tolerated, perhaps the new code provision cannot be justified.

There were instances where the written word appeared to be inconsistent with the intent of the code. The 1976 Edition of the Life

Safety Code provides a typical example.

Section 8-1.6 (c) provides that "in buildings of noncombustible

construction, a class C assembly [50-300 people] shall be permitted

[only] AT the level of exit discharge." (emphasis added) The converse

of this provision is that a class A assembly [1000 or more people] is

not permitted in a building of noncombustible construction, even if

sprinklered.

Section 8-1. 6(d), however, says that 11 In buildings of ANY TYPE

construction, a class A, B, or C place of assembly shall be permitted

in any story BELOW the level of exit discharge if the . . . place of

assembly ... [is] provided with complete automatic sprinkler protection."

(emphasis added)

If a class A place of assembly located on the ground floor of a sprinklered unprotected noncombustible structure is not permitted, why

or how does it become safe, and therefore acceptable, if it is moved

to the basement? [The level of exit discharge is normally the street

level.] Again, under Section 8-1. 6(d), if there were no "opening

between the level of exit discharge and the exits serving the place of

assembly," the structure above the class A place of assembly could be

as poor as unprotected wood frame with no automatic sprinkler protection.

The most difficult part of the analysis came when the codes were

placed side by side and compared. The exiting requirements were

essentially identical, but this is where the similarity ends. With

sprinklers present in the structure, the allowable heights and areas

varied from "not permitted" to 16,000 sq. ft. /two stories in height.

One code would allow a one story structure of an unlimited area. Only

two buildng codes would require an alarm system; only one regular

staff training. All but one fire prevention code requires an operating

permit, and all but one building code requires that the maximum safe

occupancy be clearly posted. Unfortunately, the "all buts" refer to

different codes.

235
The only meaningful technique to compare the codes was to first

independently study each code. [Read the data in the three charts as columns rather than rows. ] The difficult aspect of this method is

finding an overall design approach or philosophy towards fire safety

from the individual code sections. None was explicitly stated. [Though

these sections have been placed in a neat chart for this analysis, they

are scattered, in reality, throughout the text of the code.] But once

the design approach was identified, it became much easier to compare one code to another and to assess the code's usefulness to the community.

For example, the 1976 edition of the Life Safety Code does not

require automatic detection, automatic sprinklers, or manual alarm

systems for public assembly occupancies. It does, however, focus upon

staff training, exit capacity, flammability of interior finishes, and

permissible types of construction.

The Southern Standard Building Code emphasizes automatic sprinklers

and manual alarms, and allows increased heights and/or areas. Construction types and interior finish requirements are less strict, and staff

training is not required. The exit capacity requirements are only

slightly more demanding than those of the Life Safety Code [3 vs 2 independent exits; 6.5 vs 6.0 units of total exit capacity].

These two approaches are not the same. While the Life Safety Code

emphasizes passive fire protection [features inherent to the structure

itself], the Standard Code relies upon dynamic protection systems [mechanical

or electrical systems added to the structure]. The Life Safety Code

relies upon a trained staff to notify building occupants of a fire [the

only code to require staff training] , while the Standard Code requires a manual alarm system. The Standard Code requires automatic sprinklers;

the Life Safety Code controls the type of construction and its interior

finishes. A community with a strong water supply may wish to require

sprinkler protection over more expensive construction or smaller buildings. If the places of assembly experience a large turnover of personnel,

it would appear unwise to rely upon such a force in the event of an emergency.

Both of these approaches are valid engineering solutions, and a community should be able to fully understand and exercise the choices

before it. But even the level of sophistication to be able to compare

one code to another is inadequate. In the example above, a community

with a strong water supply and a stable work force could not take

advantage of both without amending either of the codes. While local

amendment of a model code is common practice, altering the code without

an understanding of how the sections interrelate or the code-writers'

original purpose could have unknown consequences on the overall fire

protection system. There should be the flexibility to chose among different

solutions to specific problems.

If one approach was specifically considered and rejected, this

decision should be so stated and the reason(s) given. Otherwise, the

codes should embrace all approaches available with today's knowledge and

technology.

236
The United States Congress, in legislation creating the United

States Fire Administration, declared "(F) ire prevention and control is

and should remain a ... local responsibility." [19] To discharge

this responsibility effectively, officials must be able to either

select or modify a code that meets unique local needs. Given that

codes today state no goals or assumptions, have no documentation,

offer no design alternatives, and evidence, without searching and

guessing, no coherent design strategy, and considering that many local

jurisdictions, particularly smaller and rural communities [like Southgate]

,

lack technical expertise, the prognosis for rational code planning is

not good.

SOUTHGATE: THE SOLUTION IS CLEAR

Having previously cited code enforcement as the primary factor in

the Southgate fire, Mr. Morgan went on in his editorial to state:

But this call for more emphasis on code enforcement

should not be interpreted as an attempt to let those

of us who write codes off the hook. Like it or not, we too have responsibilities when it comes

to code enforcement. We must initiate a dialogue

with code-enforcement agencies to ensure that

the latter understand not only the details,

but the intent of the codes we write. [5:3]

This is the true lesson of Southgate. To say that code enforcement

was the problem is to only state the effect, not the cause.

The responsibility Mr. Morgan speaks of is owed to far more than

"code-enforcement agencies." What about builders, architects, engineers

and property managers? City planners, mayors, city councils, attorneys,

and judges? What about the public, who ultimately bears the loss?

Every facet of the building regulatory process is hampered by this

lack of understanding and documentation of the codes.

A fire prevention inspector cannot be an effective motivator and

educator if he can only cite the letter of the law.

Code officials cannot generate the political support necessary

when they are unable to rationally show the benefits and purposes of

their regulations. Adequate support improves the likelihood of adequate

resources, necessary to improve the quality and quantity of personnel.

It also increases the effectiveness of the "stick," which is still too

often required.

Unless the public understands the purpose of a code program,

there will be no pressure to encourage [or require] elected officials

to have a strong program and to commit limited municipal resources.

Fire regulations, particularly fire prevention codes because they are concerned with operating businesses, are often seen as another instance

237
of government strangling the free enterprise system. An irritated

business community carries far more clout than a code official. Where

the local economy is dependent upon one or two major industries, the

resistance can be even stronger. Were this the case in Southgate, the

people should have been made to understand that a vigorous code program

was intended to protect this local treasure, not destroy it. A lax

program may appear politically appealing in the short term, but the

price for this lack of understanding is a pile of rubble instead of a job.

The shift from specification to performance codes is affected

because design professionals do not know their design objectives. Code

officials are wary of leaving the safety of the black letter of a code

to accept innovative designs when they have no explicit basis for

comparison between the design and the code.

Once a building is in operation, the continued vitality of the

built-in protection is lost when fire doors are blocked open and holes

are poked through floors and walls. These acts are done both in

ignorance of the implications and a belief that fire protection is a nuisance. The law requires features of safety, but makes no attempt

to see that owner or occupant are aware and understand the purposes of

these requirements.

Most importantly, this lack of clear intent makes it impossible

for a city to rationally plan for its fire protection needs. If

Southgate were on the drawing board today, no code would have permitted

it to be built. If the city was committed to its existence, then

either additional public protection (e.g., another fire station) would

have to be provided or the risk of an inadequately protected structure

would have to be accepted. If the building were within the parameters

of the codes, then there is little guidance to select or modify the

appropriate code. If Southgate had already been built, the building

would most likely be exempt from the building code and the fire prevent

codes offer no guidance.

The list is endless but the message is always the same. Until

the intent of codes can be understood, their adoption, administration,

acceptance, and enforcement will be met either by resistance or apathy.

The function of code-writers is to express a social policy in

engineering terms. The policy which is developing calls for fewer

regulations and less money for government. The code community must

respond to this challenge through clear and purposeful regulations.

Historically, the public interest in building regulation is

aroused only after a major loss. The opportunity to educate and

motivate the public in a calmer forum is to be welcomed and used to

full advantage.

238
LIST OF CODES ANALYZED

1. American Insurance Association (AIA)

Chart 1 - National Building Code - 1967 Edition

National Fire Code - 1970 Edition

Charts 2 & 3 - National Building Code - 197 6 Edition

National Fire Code - 1976 Edition

2. Building Officials & Code Administrators International, Inc. (BOCA)

Chart 1 - Basic Building Code - 1970 Edition

Basic Fire Prevention Code - 1970 Edition

Charts 2 & 3 - Basic Building Code - 1975 Edition with 1976 Supplement

Basic Fire Prevention Code - 1975 Edition with 1976 Supplement

3. International Conference of Building Officials (ICBO)

Chart 1 - Uniform Building Code - 1970 Edition

Uniform Fire Code - 1971 Edition

Charts 2 & 3 - Uniform Building Code - 1976 Edition with 1977 Supplement

Uniform Fire Code - 1976 Edition with 1977 Supplement

4. National Fire Protection Association (NFPA)

Chart 1 - NFPA 101 - Code for Safety to Life from Fire in

Buildings (Life Safety Code) - 1970 Edition

Charts 2 & 3 - NFPA 101 - Code for Safety to Life from Fire in

Buildings (Life Safety Code) - 1976 Edition

NFPA 1 - Fire Prevention Code - 1975 Edition

5. Southern Building Code Congress International, Inc. (SBCC)

Chart 1 - Standard Building Code - 1969 Edition

Charts 2 & 3 - Standard Building Code - 1976 Edition with 1977 Supplement

Standard Fire Code - 1976 Edition with 1977 Supplement

239
GENERAL ASSUMPTIONS

Throughout this exercise, all assumptions were made in favor of compliance

with the code or the least stringent code provision was applied.

The assumptions made were:

o Occupancy Use: public assembly.

o The structure complied with all requirements for unprotected noncom- bustible construction. Several codes would have required one-hour

floor-ceiling assemblies.

o The structure was outside the fire limits.

o The stage in the Cabaret Room was a "non-working" or "non-theatrical"

stage.

o The structure was considered to be two stories in height.

o There were no exposures so that area increase credits for separation were applied when available.

o There was fire department access to two sides (or 50% of the perimeter)

of the building; area increase credits were applied when available.

o For Chart 1, the net floor area was estimated to be 16,000 sq ft;

the net floor area for Chart 2 was simply taken to be 50% of the

gross floor area.

o For purposes of Charts 1 & 2, the minimum occupant load was taken to

be 15 sq ft per person. The actual occupancy was taken to be

approximately 2000 people.

o The intent of Question la. of Charts 1 & 2 is whether total sprinkler

protection was required under the code. While some of the requirements

for partial sprinkler protection have been noted, the list should not

be considered exhaustive.

240
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SPECIAL NOTES FOR CHART 3

In completing this section of the analysis, several additional assumptions

or decisions were made.

o Exit H was 1.5 units (level). The NFPA report, addressing the total

capacity of the night club, merely showed these units as serving both

the Garden and Cabaret Rooms. The Cabaret Room was credited the full

1.5 units, as opposed to 0.75 units, because the various codes only

recognize ^ units when added to one or more full units. The effect

is only a matter of degree because there was insufficient exit

capacity in any event. Note also that Exit H was reported as being

locked at the time of the fire. [18:8,67]

o The following floor plan shows that the Cabaret Room was divided into

four "levels." If railings are assumed to be at the borders between

levels, then there is a major obstacle to free movement between levels

and through the aisles to the exits. Note also the chairs located

at the steps between levels.

However, it is not believed that the codes really intended to require

exits from each level. Therefore, the required number of exits was

computed for the room as a whole. What you have is the "best case"

analysis. Were independent exits from each level required, the answers

to Questions 3 and 4 would rise by a factor of 2 - 3.

o The occupant load, number of independent exits, and number of exit

units were computed on the basis of 15 sq ft per person.

o Actual occupancy of Cabaret Room: 1200 - 1300 people.

243
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245
REFERENCES

j 1. Anonymous, "Flammable Decorations, Lack of Exits Create Tragedy

at Cocoanut Grove," Fire Engineering , Vol. 130, No. 8, August 1977.

2. Grimes, Alan S. , "1977 Multiple-Death Fires in the United States,"

Fire Journal , Vol. 72, No. 4, July 1978.

3. Anonymous, "Ford Warehouse Fire Offers No Fire Protection Suprises,"

Fire Journal , Vol. 73, No. 1, January 1979.

4. Tipton, Howard D. , "Standards Enforcement and Sprinkler Installation

Can Save Lives, Says NFPCA Head," United States Department of Commerce

News /National Fire Prevention and Control Administration , No. FP 77-1*

October 5, 1977.

5. Morgan, Charles S. , "The Kentucky Lesson: Code Enforcement Crucial,"

Fire Journal , Vol. 72, No. 1, January 1978.

6. America Burning : The Report of the National Commission on Fire

Prevention and Control , U.S. Government Printing Office, Stock

No. 5200-00004, 1973.

7. "Report of the Special Grand Jury," Cambell Circuit Court, Division

No. One, Newport, Ky. , August 2, 1978.

8. Hall, John R. , Jr, £t al . , Fire-Code Inspections and Fire

Prevention : What Methods Lead to Success ? , The Urban Institute,

Washington, D.C., NSF Grant No. APR 76-19148, December 1978.

j 9. Hattis, David B. , A Study of Effective Approaches to Code

Administration and Enforcement , Building Technology, Inc. , Silver

Spring, Md., NFPCA Contract No. AO1-78-00-1026 , final report due

March 1979.

10. Veto Message of Governor Meldrim Thomson, Jr. , New Hampshire House

Bill 975, July 1, 1977.

11. Hammer, Willie, Handbook of System and Product Safety , Prentice-Hall,

Inc., Englewood Cliffs, N.J., 1972.

r 12. S. 3555, 95th Cong., 2d Sess. (1976)

13. S. 825, 96th Cong., 1st Sess. (1977)

14. 43 Fed. Reg. 57,269 (1978) (to be codified in 16 CFR Part 457)

15. McCallin v. Walsh , 407 N.Y.S.2d 852 (1978)

246
16. For a full discussion of insurance issues, see Steveson,

Galvin, Fire Insurance : Its Nature and Dynamics , United

States Fire Administration, Washington, D.C., NFPCA

Grant No. 76007, October 1978.

17. For information write: Master Planning, United States Fire

Administration, P.O. Box 19518, Washington, D.C., 20036.

See also Hickey, Harry E. , Public Fire Safety Organization : A Systems Approach , National Fire Protection Association,

Boston, 1973.

18. Best, Richard L., Reconstruction of a Tragedy : The Beverly

Hills Supper Club Fire , National Fire Protection Association,

Boston, 1978.

19. Section 2(5) of the Federal Fire Prevention and Control Act of

1974, as amended, 15 U.S.C. § 2201

247

FORMULATION AND EXPRESSION ANALYSIS OF STANDARDS AND REGULATIONS

J. W. Mel in and R. L. Tavis

University of Illinois at Urbana-Champa i gn

Urbana, 1 1 1 i noi s

ABSTRACT

A systematic technology for the translation of a standard, building code,

regulation or specification into a graphical network and decision tables is

presented. This technology leads to a clear concise expression which aids

in the understanding of the document. It may also be used to improve the

clarity, consistency, completeness of the provisions. A brief example is used

to illustrate the process of using the technology.

KEYWORDS: Decision tables; Formulation analysis; Information networks;

Regulations; Standards

249
INTRODUCTION

Standards, building codes, specifications, and regulations are used to

describe detailed provisions governing the construction, installation and manu^

facture of the built environment. The objective of this study is to improve

the national productivity by making standards easier to understand and by improving the probability of their correct and efficient use. The technology

herein is applied to standards but could be equally used to translate building jj codes, regulations, or specifications. The immediate objective of this study

is to provide the writers of standards with the technology which will assist

them in producing clear, correct and complete documents. This same technology^

will permit the user of a standard to translate it into a more understandable ' form and thereby comprehend what is literally stated by the document.

APPROACH

The written document, herein called the "textual expression," is a linear

sequence of words describing the provisions desired for a built facility.

The entities being regulated often have very complicated interrelationships.

These cross-references tend to confuse the user. The approach described here

provides for the translation of the textual expression of any standard (propos or existing) into a technical expression consisting of a graphical display of jj the precedence, called the information network, and a set of tabular displays

of logical meaning, in the form of decision tables. r|

k

BACKGROUND

The use of the information network and decision table to express the mean

(precedence and logic) of a specification derives principally from the work of

Fenves, Gaylord and Goel [l]* and Nyman, et al [2,3]. The computer assisted

transformation was developed by Harris, et al [4,5*6]. Applications of the

technology [10] lead to many of the policies on which this presentation is bas

TECHNOLOGY

The technology for literal translation of a textual expression consists o three basic tools; the decision table for expressing the functional and logic

relationships in a document; the information network for expressing the precedt

relationships; and the outline classification, which is used to develop the

arrangement and scope of the provisions. The latter is described by Harris [r

and is not presented herein.

k. 1 Dec is ion Table

I There are many forms of decision tables, however, the limited entry table

with a single output datum is used in this study. A limited entry decision

table is composed of conditions, actions and rules. A condition is a logical

statement which may have only one of two values —true or false; an action is

The number in parenthesis refers to the list of references,

250
in a general sense, any operation; that is, it may be the assignment of a value

to a variable by means of a formula or a statement of control that may indicate

that the next procedure is to be initiated. A rule is a statement that describes

a set of conditions in order that a specific action can be performed. The

decision table is a structure for defining a set of rules. The conventional

structure of a decision table is shown in Fig. 1. The condition stubs list each

condition in the table, one per row. The action stub does the same for the

jactions. The condition entry lists the combinations of values of conditions.

! Each column in the condition entry defines a rule. The action entry indicates

the action to be executed for each rule. The rule can be thought of as a logical "AND" function, that is, the rule is not satisfied unless each of the con- dition entries is matched.

The entries may be true (T), false (F), or immaterial (I). The immaterial

I is used when a particular rule does not depend on the value of the condition.

'It is also advantageous to use implicit entries in the rules when a condition

I is implicitly true (+) or implicitly false (-). For example, in Fig. 8, if the

condition "welded splices" is true, it follows that the condition "mechanical

splices" is false, therefore, the minus sign is used rather than the FALSE.

The decision table may also be displayed in the form of a decision tree

:|(also see Fig. 8). Each node of the tree represents a condition having a true

branch and a false branch. Each path is a rule leading to an action or an

ELSE. The ELSE indicates that a table is incomplete and that for the given

entries of the conditions along that path, no action has been specified. Most

but not all, of the else rules can be easily explained. For example in Fig. 6,

if the condition "Axial Compressive Force not > 0.1 f'Ag" is not true, the

ELSE 1 is obtained, implying that the member is a column and not a beam. The

use of implicit true or false automatically eliminates many ELSE paths in the

decision tree.

The decision table is an excellent aid in determining the uniqueness of a verbal expression and evaluation of completeness of a document. The uniqueness

is lost when two or more rules have identical condition entries, or when immaterial and implicit entries result in effectively allowing two rules to have

identical condition entries. This situation is referred to as a redundant rule.

k.Z Information Network

The information network is a graphical presentation of the precedence of a document. The nodes on an information network are data items which are identifiers,

or qualifiers and modifiers, or perhaps are a condition such as a boolean fact,

which may be true or false. Thete data items which immediately pertain toa

particular datum are called the j ngred ients of thet datum. Conversely, the

the datum is dependent upon its ingredients. This precedence is specified by

attaching each of the ingredients to the datum of the data list, as shown in

Fig. 3« The resulting information network is shown in Fig. h.

k.3 Bases for Precedence

There are two major bases for definition of the precedence of the data items

in the information network- The format which pertains to the physical order of

the textual expression and the logic which is defined primarily by the meaning

of the information network.

251
Precedence based on format relies on the concept that the textual expression

establishes precedence through the order and arrangement of the statements in

the document. For example, "provisions of this section" would have as its ingredients the various provisions appearing physically in that section.

Many data items are descriptors which qualify, categorize or limit in some £ form the scope of some other data item. These descriptors are attached as ' ingredients to the data item which they describe. Precedence may also be based ^ on what is called equivalence. The writers of the document may use a variety of 1 words to make the document more readable, and yet mean the equivalent with

these words. In defining equivalence, it is necessary for the analyst to determine one of the words as being the base word and then attaching the other words t|

the base datum and identify them as having the equivalent meaning in this parti- ' cular position in the document.

The precedence is also defined through decision tables, figures and equation

The decision tables are developed having a single dependent which is the outcome

of the decision table. All of the data items in the conditions, and the ingredients to the actions become ingredients to that dependent datum in the information

network. Precedence is defined by the input variables that are necessary to

evaluate the output datum of each table given in the document. Similarly, the > input data i t«ms for an equation are obviously the ingredients for the dependent \ output datum of an equation. Thus, the format and logic of the text is used to

define the precedence of the information network. In some cases the ingredients \ are obvious; in other cases, several trial decision tables are developed before

all the ingredients are evident.

PROCESS OF ANALYSIS

A systematic process for translating the verbal expression into a technical

expression has evolved. The process is essentially a cyclic process within a cyclic process. The outer cycle consists of:

1) Analysis, that is a translation from textual expression to technical

expression, which produces decision tables, and information networks,

and an index or data list.

2) Commentary, which produces an explanation of the decision tables,

information network and index.

3) Interaction with the writers of the document which produces a new

textual expression of the document.

The outer cycle is repeated until a consensus is reached.

The analysis step above is itself an iterative process consisting of:

1) Indexing, which produces a linearly indexed data list;

2) Precedence, which establishes the ingredience of the information

network, and produces the information network;

252
1 3) Logic in which the rules, conditions, and actions of the decision

tables are defined and the decision tables are a product of this step.

This translation step is iterative in that additional data items will be

added to the data list as the decision tables are produced and the decision

tables will aid in the definition of the ingredients of the information network.

[The information network is a guide in defining what decision tables should be

tor i tten.

The order of these steps has been the object of considerable debate, but

jit is really not important since every analysis involves several iterations

after which time, where yOu start is of no consequence. The user of a standard

usually is prohibited from changing the document but would find the analysis

step beneficial in understanding the document.

Indexing

The first step in the indexing is to underline the textual expression.

This underlining was done to identify conditions, provisions, descriptors,

qualifiers, actions, which might be candidates for the data list. The next step

is to linearly sequence by ten or some other increment, thus allowing for additions and still permitting the maintenance of a linear sequence in the data list.

(The major advantage of maintaining a sequential listing of the verbal expression

is that this provides an immediate cross-reference between the information network

and the decision tables and the textual expression thus tying the technical

expression to the verbal expression, in a manner in which it is easy to go back

and forth. This aids the iterative process of producing the technical expression.

For large documents, several chapters may be indexed separately, again

maintaining a sequential numbering system within chapters or sections with the

last two or three digits, and letting the thousands and ten-thousands digits

indicate chapter.

The policy on what is a datum is not an exact science and requires a good

deal of compromise between benefit of detail and the cost of detailed analysis.

The problem is similar to the problem that the accountant has in definition

of accounts or the planner has in definition of activities.

COMPUTER AIDS

There are two computer aids which have been developed to aid in the analysis

of a document. One, called TABLE, is used to develop decision tables and the

decision trees. The second is a program, called NETWORK, used to produce a graphical display of the information network. There is no question that the

decision tables, decision trees, and the information network could be produced

iby hand. However, due to the iterative process involved in developing a technical

(express ion of the document, the computer programs become very helpful, if not

essential, because it is so easy to make slight changes to data for the computer

program and produce a new network or a new decision table and decision tree, and

experiment with various technical expressions. A more detailed description of

these programs is presented in Structural Research Series 423, 424, and 425 [4,5*6].

253
The input to the TABLE program are conditions, rules and actions as shown j in Figs. 5 and 7« The output is a decision table and decision tree such as shown in Figs. 6, 8 and 9- A subset of the input to the information network is i shown in Fig. 3? and the resulting information network is shown in Figs, ka and'

itl ILLUSTRATION

I The illustration comes from a study conducted for the Applied Technology

Council (ATC), on a document called "Recommended Comprehensive Seismic Design

Provisions for Buildings." The example comes from Chapter 11: Reinforced Concrete, Section 5, Categories C and D, Construction, and specifically, the Section 11.7> Flexural Members of that document. This example was part of a large

study performed and sponsored by the National Science Foundation and the Nation)

Bureau of Standards.

7-1 I ndexi ng

i An example of a subsection of seismic provisions documents is shown in Fig

with the underlined data and the sequence numbers. A subset of the resulting

data list is shown in Fig. 3« Again, the numbering of the textual expression

clearly identifies the location of each decision table datum. Sometimes an assumed datum, a phrase not in the text, is added to clarify meaning, such as 2332, which separates a provision being required, 2330, from the provision beini

met, 2332. Each assumed datum may also be added to the document.

7.2 Defining

The format and logic rules are both used to define the precedence. Node 2> is an example of a definition of flexural members; Node 2330 indicates that fie

ural members are those members which have an axial compressive force less than ' Node 2350, 10% of f times the gross area. The conditions of the decision tabl<

shown in Fig. 6 all become ingredients to the dependent datum 2332, "Dimensions

Flexural member acceptable." Each of these conditions become ingredients as shj

in Fig. ka, "Node 2332." In addition, cross-references are shown. For example

2490, "Spiral Reinforcement," is an ingredient to 2^70, "Lap splicing," but it

is also an ingredient to 25^+0, "Lap splices." The minus sign indicates that th

datum item has been previously referenced. The asterisk following it in Fig. %

indicates that this has a tree following it which is not reproduced at that poii

but the user is referred to the first use of the datum item to see the entire t This permits tremendous economy in representing the information network. In Fig. ha, Node 1320, the section on ordinary moment frames, is attached to the

requirements for Section 11.6, which is required for longitudinal reinforcement.

These cross-references may not only refer to other sections of the document, but

also to other references outside the document. For example, in the case of

Node 2610, "Ref. 11.1," which happens to be from the AC I 318 Specification for

Reinforced Concrete and refers to a section of that document, which must be met

in order to have longitudinal reinforcement acceptable, as defined in Node 2602.

7.3 Logic

Development of decision tables involves identification of conditions, definition of actions, and the rules leading to those actions. In Fig. 9 is an

254
an illustration of the use of a multiple action having really only one output,

namely, "Maximum Hoop Spacing," but it is defined by several equations, thus,

all of the ingredients to the equations are ingredients of datum node 2930,

"Maximum Hoop Spacing in Flexural Members." The ingredients of the conditions

are also ingredients of the output datum of the table.

In Fig. 3, the dots indicate that the condition is immaterial. The

letter "I" is used on input (see Fig. 7), but using the dots on output is

clearer than the letter "I." The minus sign is used for implied false, both

on input and output.

Conditions h. and 5 of "Dimension of Flexural Members Acceptable" Node 2332

is an example of an "OR clause, which is literally what the text states. In all

probability the authors of the text really meant to use an "AND." It is essential that the analyst translate literally in the translation step and then

question the meaning in the commentary phase. The less interpretation done by

the analyst the more useful the technical expression and commentary will be to

the writers of the document. Especially since arguments of interpretation

between analyst and authors tend to destroy the objective of the entire exercise

The first four conditions of Node 25^0, "Lap Splices Permitted," Fig. 6,

could be reduced to a single condition simply by connecting the conditions with

an "AND." This is usually not apparent during the development of the table and once the table is finished the reduction would serve no useful purpose.

The ELSE rules could be eliminated by adding an action called "Lap Splices

Not Permitted," but again, once each else is understood the addition of the

extra rules and actions to make the table complete is unnecessary.

CONCLUSION

A systematic technology for formulation and expression analysis has been

presented. This translation allows both users and writers of standards and

regulations to view what is literally stated in the verbal expression. It is our opinion that this technical expression will not only encourage and aid in

the generation of more complete, clear, and understandable standards, but will

also foster the correct and efficient application of this standard to the built

env i ronment

.

255
REFERENCES

1 . Fenves, S. J., Gaylord, E. H., and Goel, S. K., "Decision Table Formulation'

of the I969 American Institute of Steel Construction Specification." Civil

Engineering Studies, SRS No. 3h7, University of Illinois, Urbana, Illinois,!

August I969.

2. Nyman, D.J., Fenves, S.J., and Wright, R.N., "Restructuring Study of the

American Institute of Steel Construction Specification," Civil Engineering

Studies, SRS No. 393 > University of Illinois, Urbana, Illinois, January I97!

3. Nyman, D.J., and Fenves, S.J., "An Organizational Model for Design Specifications," Rejp_or_t__R23j^t^ Department of Civil Engineering, Carnegie-Mellon

University, Pittsburgh, Pennsylvania, September 1973.

i iffI

'

1 scol •.; T . n f nfiwno- '

1 * > t a H

k. Harris, J.R., Mel in, J.W., Tavis, R.L. and Wright, R.N., "Technology for

the Formulation and Expression of Specifications, Volume I: Final Report,"

Civil Engineering Studies, SRS 423 , University of Illinois, Urbana, lllinoi

December 1975.

5. Harris, J.R., Mel in, J.W. and Albarran, C, "Technology for the Formulation

and Expression of Specifications, Volume II: Program User's Manual" Civil

Engineering Studies, SRS klk, University of Illinois, Urbana, Illinois,

December 1975.

' v,

; 1 !>a s ( a) i i 9 d bluoj at \ 3 m

6. Wright, R.N., Harris, J.R., Mel in, J. W. and Albarran, C, "Technology for

the Formulation and Expression of Specifications, Volume 111: Technical

Reference Manual," Civil Engineering Studies, SRS 425j University of lllinoi

Urbana, Illinois, December 1975.

7. Fenves, S.J., "Tabular Decision Logic for Structural Design," Journal of

the Structural Division , American Society of Civil Engineers, Vol.92,

No. ST6, December I966.

8. Wright, R.N., Boyer, L.T. and Mel in, J.W. "Constraint Processing in Design, 1 Journal of the Construction Division , American Society of Civil Engineers,

Vol. 98, No. ST1, January 1 97 1 -

9. Fenves, S.J., Rankin, K. , and Tejuja, H., The Structure of Building Specific

t ions , Building Science Series 90, National Bureau of Standards, Washington

D.C., September 1976.

10. Cunningham, L.K., Melin, J.W., and Tavis, R.L., "Detailed Application of a Technology for Formulation and Expression of Standards," Civil Engineering , Studies, SRS kkS , University of Illinois, Urbana, Illinois, January 1978.

11. Harris, J.R. and Wright, R.N., "Systematic Organization of Standards and

Codes," Center for Building Technology, National Bureau of Standards, Washii

ton, D.C.

256
CONDITIONS

ACTIONS

STUBS ENTRIES

Figure 1, Regions of a Decision Table

257
jffi/pscc. 11.7 special Ko::rr;T frame requirements

.2ff50 Special Moment Frames shall be designed and detailed in accordance with the

32.6> P provisions of this Section ^ OAlO For determining the required lateral reinforc ement in components of special moment OJl?0 francs in which the s hear stress due to seismic f orc25_ is eqt/al to or greater than one-

/X3,4?balf of the t otal de"sion shear stress end the axi al compre ssive force due to dead loads-2jc\i7

^j^/z^and seismic forces is less than 0.05 f^Ag, the concrete shear stress v r shall be assumed^J^

to be zero. Q330 1

.7.1— FLEXURAL—MEMBERS '2.35^

3.3^0 The _ajnal_compressive force, on the member shall not exceed.0.1Q_fpA

g ^ The clear D&hO JLPULfor the member shall not be less than four times its effective depth. The width- to-

±"?)9.D depth ratio shall not be less than 0.3. il'^hO

Woo

#3#7The width shall net be less than 10 inches or' more than the width of - the sup0.4/0 porting member (measured on a plane perpendicular to the longitudinal axis of the flexural member) plus lengths on each side of the supporting member not exceeding three-fourths o f 9^30 the depth of the flexural member.

2t//'W (A) LONGITUDINAL REINFORCEMENT. Longitudi nal reinforced/it shall comply £f?D

with the requirements price. 11.6 and the additional "requirements aiven in this Section. Syfao

AH ID Lap splicing of tensile/reinforcement is permitted only if hoop or spiral

35pOreinfj>rje;^nt_ is provided over the lap length. The maximum spacing of the transvfrse rein-^oA0

^^.force^en t over the length of the splice shall not exceed the smaller cf 4 inches or d/A.Zfj^O

$-y}Q Lao splices shall not be used ^l 1 within the .joint s. (?) within a distance of twice the Zls60

9.010 member depth from the face/yf the joint, or (3) at locations where fl exural yielding mayA5ff£? occur in connection with/inelastic lateral di s placrments of the frame. ajS<r *s9o at,/p

S.^OOJisldeJ splices conforming to R ef. 11 .1 Sec. 7.5.5.1 and approved mechan- QbO-O

9Jc3n 1ca ^ splices conforming to Ref. 11.1 Sec. 7.5.5.2 may be used for splicing provided not

CLlrfJ more than alternate bars in' each layer of longitudinal reinforcement are spliced at a ^~l>50

&]?l?9 section and the distance between splices of adjacent bars is _?4 in. or more measured along

ftAcA7 the longitudinal axis of the frame component. AU'JO

3/<fc0eam longitudinal reinforcement terminated in a .CQ.1umj]_ shall be ex tended Jffy

nbCOto the far face, oflhe confined column core and anchored to develop the SJXCng.th_nf the parage?

by means of adequate straight embedment length and .-/if required, a_sj^ad^_hccju3i'sc>

34/0

MOO (B) SPECIAL LATERAL REINFORCEMENT. S pecial lateral reinforcement, shall comp1f47<9<3

0\ud with the r equirements given below. The d esign shear forc e shall be determined assuming ^V-Z-C? (L'}30 that .ultimate resisting moments of opposite sign act at the .joint faces and that the member qj/^

l/y~0{s, loaded with the tributary gravity load along its span. The ultimate resisting moments

5^170 shall be calculated using the properties of the member at the joint faces without s trcngth 'A'}S<> fr/UO re duction factors and assuming that the stress in the tensile reinforcement is equal to U'JlO

p9flO l.25fy.

3

c/0_Ho.&ps_ shall be provided in the following regions; $$20

Ag5<?0ver a length equal to twice the men-ber depth measured from

the face of the supporting merger toward midspan, at both ends

of the flexural member£.'650

Over le ngths equal to twice the member depth on both sides of

a section where flexura l yielding may occur in connection with

£f90 inelastic lateral displacements of the frame.

AtfoO Wherever compression reinforcement is required.

The fir s t hoop shall be located/not more than 2 in. from the face of a

O0<//- jLl20 .supporting remb er. Haxinun spacing of the hoops shall not exceed (11 d/4. (2) eight times

W:Q the. diamet er or the smallest longitudinal bars, (c) ?A times the diameter of the hoop bars.A?£f?

bWO or jd) U inches. mo Wicre hoops are required, lo ngit^ffui al bars shall have lateral swvart_3oo&

3olO 'conforming to provisions for ties in Ref. 11l_._l_ for members subject to bending and axial 3c30

. load. lo'J-O

Figure 2, Textual Expression

258
222C -LATERAL RE 1 NF ORCE M£ n j « 2230

2230 TUNTINijEl) IhRUJGH THE JOINT"

224C «sEC. ll« r ' SRECIA L mOnEnT FHAmE RE OU I RE hEnT S" 2250

225C "SPECIAL MOmEM FRAMES" 2260

2260 "PROVISIONS 0*" THIS SECTION" 22?C 2330 3040 4o5 0 2270 "(.Art^At. REINF'JRCEMENT" 2280 23CC 228C "SHEA* STRESS OuE To SEISvIC FORCES" 2290 2320

2290 "TOTAL OESIGn ShEa" S[RESS"

2300 "AxlAU CUMPRESSIvE STRESS" 2310

2310 "O.05 F>C AG" 232C "CONCRETE SHEAR STR£Ss» VC" 2330 H 3

/ « 1 1 . ? . 1 - FLEXUHAL MEMHERS" 2332 234 0 2AA0 2/00

2332 Aw36"0ImENSI0N JF FlExURAL MEMBER ACCEPTABLE" 2360 2360 2390

23AC "axIAL COMPRESSIVE FORCE" 2350

2350 "0.10 F C AS" 2360 "CLEAR SPAN" 2 37U 2370 "EFFECTIVE DEPTH"

?3B0 "wlOlH-lU-OEPlH RATlO"

2390 "wIOTH" Z'OO 2110 2q2o 2030

2«oo "io inches" 2410 "wlOlH z

( TH E SUPPORTING MEMBER"

2420 "LENGTHS"

2430 «kOT ExCEEOlNG 3/4 cEpTH OF FLEX. MEMBER." 2440 "11.7.1(A) L0N3ITU0INAL RF InFORCEmEnT" 2450 2460' 2450 "REQUIREMENTS OF SEc. 11,6" 1320 2460 "REiUIREMENTS GIVEN .8ELO.1" 2540 2602 2470 "LAP S PL IC InG OF TE NS lL£ REINFORCEMENT" 248o 2490 2510

2480 "HOOP"

2490 "SPIRAL REINFORCEMENT" 2500

25oC "LAP LE\GtH"

251C "MAXIMUM SPACHii - TRANSVERSE REINFORCE hENT" 2520 2530

252C "fOuH INCHES"

2530 "0/4" 2540 H32"LAP S»L1CES" 2460 2490 251C 255o 2560 2580

2550 "hlfhlN. THE JOINTS"

2560 "WITHIN A OISTAnCE r F" 257C

2570 "MEMBER OEPTH"

2580 "LOCATIONS "HE RE FLE XL « A L YIELCING" 25?0

259C "j n ELaSt1C LATERAL DISPLACEMENTS"

260C "<ELOE0 SPLICES"

2602 ahJa -lONGI TUOINAL RE InfCRCEmENT ACCEPTABLE"

26C2 247 0 254o 2600 26l c 2t2 C 263o 264c 26* 0 261C "REF. 11.1 SEC. 7.5.5.1"

262C "

4 PPR Q VEU MECHANICAL sPLICEs"

2630 "REF. 11. 1 SEC. 7.5.5.2"

264C "ALTERNATE BARS" 2650

265C "LATER"

2660 "DISTANCE" 26?0 2670 "SPLICES if ADJACENT BARS" 2

6fl C 26«0

2680 "21 INCHES" 2690 "lCNGITuOINAL 4<IS"

?70C "11.7.1(d) SPECIAL LATERAL RE I nF cRC EMENt" 2710

2710 «r£ JUIREMENTS GIVEN 6ELCn" 2/2C 2760 2B10 2930 2982

272C M38 "OESIGN SHEAR FORCE" 2730 2750 2730 "ULTIMATE RESISTING HqMEnTS" 274C

2740 "JOINT FACES"

275C "TRIBUTARY GRAVITY LOAD"

2760 H3« "ULTIMATE R£SlS T I N

li MOMENTS" 2770 2780 2790

2770 "JOINT FACES"

2780 "STRENGTH REDUCTION FACTORS"

2790 "STRESS" 2800 2800 "1.25 FY" 2810 MOO "HOOPS SHALL 8E PrOi/IOED" 2830 2860 2900

1820 "FOLLOWING REGIUNS"

2630 "LENGTH- 2»-»0 2u5o

2840 "mEMPER OEPTH" 2»5C "hqIH EsOs OF FLEXURAL M£MBEH"

2860 "LENGTHS" 2370 ^880 287C "MEMBER OEPTH -1 ?680 "FLExURaL YIELDING" 28*0

2890 "INELASTIC LATERAL DISPLACEMENTS"

2900 "COMPRESSION REINFOqCEMENT REOUlREO"

2910 "FIRST HOOP" 2920 2920 "SUPPORTING MEMJER"

2930 M4 1 "MAxlMUM SPACING OF THE HOOPS" 2910 294o 2*50 296o 2970

2940 "0/4"

2950 "DIAMETER OF SMALLEST LONGITUDINAL BARS"

2960 "24 x DIAMETER UF HqOP BARS"

2970 "12 UCMES"

2960 "HOOPS"

2982 Aw42 "HGO^S ACCEPTABLE" 29d0 299C 301O

2990 "LO^GIROINAL RARS" 3cO0

3000 "lAIERAl SUPPORT"

3010 "PROVISIONS OF TIES" 3020 3030

3O20 "REF. 11.1 » 303C "wEMPEHS 'ItMJlNu AND AXlAL LUAC"

3040 "11.7.2 • NEMRE'IS S L Bj. TO SEnCInG AnO AMAL LqaO"

Figure 3, Data List

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261
59300 C FILE M32

59*00 C 59500 TITLE "USE Of LAP SPLlCEs PERMITTED"

59600 nUMEE* qF RULES 2 C^DITionS 6 ACTIONS 1 59700 RULES

59800 1TTTTTI1

59900 2 T T T T F T 1 60000 CONDITIONS

60100 1 "NOT USED WIThIN JOINTS"

60200 2 "NOT USED WITHIN DISTANCE*

60300 "20 FROM JOINT FACE"

60400 3 "NOT USED WHERE YIELDING*1 60500 "MAY OCCUR"

60600 A "HOOP REINFORCEMENT OvEr"

60700 "LAP LENGTH, Orf" 60800 "SPIRAL REINFORCEMENT OVER"

60900 "LAp LENGTH"

61000 5 "MAylMUM SPACING OF"

61100 "TRANSVERSE RE I nF jRC Em En T

61200 "NOT > 0 INCHES"

61300 6 "MAylMUM SPACING OF"

6H00 "TRANSVERSE RE I NF qRC Em E n T"

61500 "NOT > 0/4"

61600 ACTIONS

61700 1 "USE OF LAP SPLICES PERMITTED"

618Q0 END

Figure 5, Input data for Node 2540

262
1{Node 2332 inuvx M36/B29 1

DIMENSIONS OF FLEXURAL MEMBERS ACCEPTABLE

2.3*0 1 2

1 AXIAL COMPRESSIVE FORCE NOT * T T

>0.1CIf cAg ^55-^ *

2 C LEARNS PAN NOT < 4d -23^2 * T T

3 WIDTH TO DEPTH RATIO N0T2.3fP * T T

< 0.3 A590

*

4 WIDTH NOT < 10 INCHES * T F

5 WIDTH NOT > (WIDTH SUPPORTING.*^ . T

MEMBER* + LENGTHS EACH SIDE^V^*

NOT > 3/4 OF FLEXURAL &f&Q * MEMBER * MEASURED ON PLANE * PERPENDICULAR TO * LONGITUDINAL AXIS OF * FLEXURAL MEMBER * **************************************

1 DIMENSIONS OF FLEXURAL * X X

MEMBERS ACCEPTABLE *

DECISION NETWORK SUCCESSFULLY COMPLETED

DERIVED DECISION NETWORK

CI + + + C2 + + + C3 + + + C4 + + + Rl

_ - - - C5 +++R2

- - - ELSE

- - - ELSE

- - - ELSE

- - - ELSE

Figure 6, Decision Table for Node 2332

263
62200 C FILE M34

62300 C 62400 TITLE »» LONGITUDINAL RE I N f 0r CE mEN T ACCEPTABLE"

62500 NUMBER qF RULES 2 C-;j N DlTlON s 5 ACTIONS 1 62600 RULES

62700 1 T - T I T T T T 1 62800 2 F T I T T T T T 1 62900 CONDITIONS

63000 1 %ElDEO SPLICES"

63100 2 "AMOVED MECHANICAL SPLICES"

63200 3 "CONFORMS TO AC I 318-71"

63300 "SEc* 7.5.5. 1"

63400 * "CONFORMS TO AC I 318-71"

63500 "SEC 7,5.5.2"

63600 5 "NOT MORE THA.N ALTERNATE"

63700 "BARS l N EACH LAYER SpLiCEO"

63800 "AT SECTION"

63900 6 "DISTANCE BETWEEN SPLICES"

64000 "AT ADJACENT BaRS < 2<| INCHES"

64100 7 "USE OF LAP SPLICING ACCEPTABLE"

64200 8 "TNESION SPLICING ACCEPTABLE"

64300 ACTIONS

64400 1 "LONGITUDINAL RE I NFORcEwEM " 61500 "ACCEPTABLE"

646Q0 ENO

Figure 7, Input Data for Node 2602

264
—

2602 Indm M3VB29

LONGITUDINAL REINFORCEMENT ACCEPTABLE &6>0$-

1 WELDED SPLICES 2^£>0 * T F

2 APPROVED MECHANICAL SPLICES^^* - T

3 CONFORMS TO ACI 318-71 2Jc>/£> * T . SEC. 7.5.5.1 *

4 CONFORMS TO ACI 318-71 iL(t>30 * . T

SEC. 7.5.5.2 *

5 NOT MORE THAN ALTERNATE 0.(o^0 * T T

BARS IN EACH LAYER SPLICED^5^ * AT^SEgTION * 6 DISTANCE BETWEEN SPLICES O-^O * T T

OF ADJACENT BARS < 24 INCHES *

7 USE^F LAP SPLICING ACCEPTABLE * T T

8 TENSION SPLICING ACCEPTABLE T T ******************************************

1 LONGITUDINAL REINFORCEMENT * X X

ACCEPTABLE *

DECISION NETWORK SUCCESSFULLY COMPLETED

DERIVED DECISION NETWORK

+++C6 +++C7 +++C6 +++C1 +++C3 +++R1

- - - ELSE

----C2+++C4+++R2

- - - ELSE

- - - ELSE

- - - ELSE

- - - ELSE

- - - ELSE

- - ELSE

Figure 8, Decision Table for Node 2602

265
Node 2930 Index Hk]/B3k

MAXIMUM HOOP SPACING IN F.M. 2$3<P

09/0 1

1 FIRST HOOP WITHIN 2 INCHES * T

FROM FACE OF SUPPORTING * MEMBER 2f£<? * ***************************************

1 MAX HOOP SPACING = * X

MIN(al, a2, a3, a4) * WHERE: * al = d/4 * a2 = 8 X DIAMETER OF %950 * SMALLEST LONGITUDINAL * BAR * a3 = 24 x DIAMETER OF * HOOP BARS - * a4 = 12 INCHES 2-9/^ *

DECISION NETWORK SUCCESSFULLY COMPLETED

DERIVED DECISION NETWORK

CI + + + Rl

- - - ELSE

Figure 9, Decision Table for Node 2930

266
LIFE-CYCLE BENEFIT-COST ANALYSIS OF

HOUSING SAFETY REGULATIONS

by

Jeffrey L. Walters, Area Manager

Technology + Economics, Inc.

Cambridge, Massachusetts

Increasingly the public is demanding that proposed building

safety regulations be justified by evidence that they generate

benefits commensurate with their costs. This paper discusses a methodology developed by the author to assess the life-cycle costs

and benefits of performance standards for increased safety in the

home. The methodology was developed, under contract with the

Department of Housing and Urban Development, for the assessment of

the life-cycle costs and benefits of proposed performance standards

for mobile homes. However, with appropriate modifications, it can

be applied to the analysis of virtually any building regulations

for increased safety.

The need for life-cycle analyses of building regulations is

being increasingly acknowledged, and some excellent efforts have

been made to develop comprehensive practical methodologies, but

not a1 1 of the fundamental issues have been addressed at this time.

Therefore, this paper focuses principally on fundamental conceptual

issues. A secondary purpose is to describe the basic methodology

for actually measuring the costs and benefits of regulatory options.

Key Words: Building codes; building regulations; cost-benefit

analysis; life-cycle analysis; safety regulations.

267
1 . 0 INTRODUCTION

In July of 1976, Technology + Economics, Inc. was awarded a contract

with the Office of Policy Development and Research at the Department of

Housing and Urban Development to perform a Life-Cycle Cost-Benefit and

Risk Analysis of the Results of Mobile Home Safety Research.-*- The principal objective of the research was to assess the life-cycle costs and

benefits of potential changes in the Federal Mobile Home Construction

and Safety Standards for increased fire and wind safety in mobile homes.

For both the fire and wind safety studies, T + E was to be given

a set of proposed performance standards that were more stringent than

the existing standards; subject typical mobile homes to detailed engineering analyses to determine the most probable design responses to the

proposed standards; then perform a comprehensive life-cycle benefit-cost

analysis to determine which of the alternative standards was most costbeneficial. To accomplish' the last of these requirements—the lifecycle benefit-cost analysis—a comprehensive methodology had to be developed. A review of the literature on the economic impacts of building

codes indicated that at that time very little had been done to develop a life-cycle benefit-cost methodology. Consequently T + E set out to

develop such a methodology.

As with all such research, the first step was to determine if

related methodologies had been developed by others for use in ascer- taining the economic impacts of other types of safety regulations.

Fortunately, some work had been sponsored, principally by the Department of Transportation, on life-cycle benefit-cost analysis of safety

measures, ^ and this work became the foundation of the methodology

eventually developed by T + E. This foundation has been built upon by

integrating the results of related safety research performed by T + E

for the Consumer Product Safety Commission^ with basic principles of

economic analysis concerning the marginal costs and benefits of government or private action. The resulting methodology was first applied

to the analysis of a hypothetical set of proposed fire safety regulations for mobile homes in the winter of 1977 and is continuing to be

used, with modifications, for the analysis of many proposed mobile home

structural changes for increased safety.

The T + E effort is only one manifestation of increased interest

in ways to understand the economic impacts of building regulations.

The guidance of James C. McCollom of the Office of Policy Development and Research is gratefully acknowledged.

2 Available through NTIS under the key words: benefit-cost analysis;

life-cycle analysis; safety analysis.

3 Robert F. Stone, et al. , "A Systematic Program to Reduce the

Incidence and Severity of Bathtub and Shower Injuries," CPSC Contract

#P-74-334, June 1975; and Robert F. Stone, et al., "Injury Cost Project,"

CPSC Contract #C-75-0102, September, 1976.

268
Another significant effort has been underway at the National Bureau

of Standards. In fact, a paper was presented at the NBS-NCSBCS Joint

Conference on Research and Innovation in the Building Regulatory

Process in 1976, entitled "Economic Impacts of Building Codes" that

reported on the first stages of the NBS effort. ^ As the first substantial published effort to develop a methodology for the analysis of

the life-cycle, economic impacts of building codes, the NBS report

has set the framework for discussion of such analyses. However, as the seminal effort in this area, the NBS report provides only the

foundation of a comprehensive life-cycle benefit-cost methodology.

This paper is intended to build upon that foundation.

The principal purpose of this paper, then, is to expand upon

the conceptual framework for assessment of the economic impact of

building codes that was first presented to the conference two years

ago by John McConnaughey of the National Bureau of Standards. A

secondary purpose is to discuss some of the major operational methodologies developed by T + E to actually complete an analysis of the

kind outlined.

2.0 DISTINCTION BETWEEN BENEFIT-COST ANALYSIS

AND OTHER FORMS OF POLICY ANALYSIS

As noted in the McConnaughey paper in 1976, the National Bureau

of Standards suggests three general categories of building code

economic impacts; (1) benefit and cost impacts associated with

specific building code provisions, (2) building code impacts which

affect income distribution, and (3) aggregate impacts of the building

code system upon the construction industry as a whole. ^ This paper

focuses on the methodology needed to analyze the first set of these

impacts, but there is need for a brief discussion of how it differs

from the other two types of analyses.

Cost-benefit analysis is a formal procedure for determining the

relative economic efficiency of alternative policies (or regulations)

.

The terms oost and benefit are defined more narrowly than in general

English usage so that the analysis focuses only on changes in the

quantities of resources that must be committed for specific purposes.

In addition, the formal comparison of costs and benefits is based upon

specialized principles and procedures which are mostly derived from

economic theory.

In contrast, an analysis of the effects of building codes on income distribution is not principally concerned with questions of

economic efficiency. A distributional analysis deals only with changes

in some peoples' well-being at the expense of others, an issue which

is basically political and requires that the dollar gains of one group

be weighed against the dollar losses of another.

John S. McConnaughey, Jr., "Economic Impacts of Building Codes,"

National Bureau of Standards, Washington, DC, January 28, 1977.

5 McConnaughey, p.l.

269
Finally, an analysis of the aggregate impacts of the building

code system upon the construction industry as a whole is different

from a cost-benefit analysis because it does not consider the benefits

derived from regulation, and looks only at the impact on one set of

actors that might be affected by the regulations. Such an analysis

is only partially concerned with allocation efficiency and only

partially concerned with the political ramifications of regulation.

All three types of analysis are components of overall policy

analysis and all three deal with economic issues, but only costbenefit analysis deals exclusively with concepts of allocative

efficiency according to traditional economic principles.

3.0 THE BASIC CONCEPTUAL FRAMEWORK FOR LIFE-CYCLE BENEFITCOST ANALYSIS

The methodology being < discussed here is one that can be used to assess the costs and benefits of a specific building code designed to

increase the safety of housing. Thus the goal is to compare the

additional costs that might result from a new regulation with reductions in loss-of-life, personal injury, property damage, and

associated costs that would result from the regulation during the

useful economic lifetimes of the homes. The appropriate methodology

is marginal economic analysis of the life-cycle effects of regulation.

To be comprehensive in estimating the marginal costs of a regulation, the analysis must consider the incremental costs incurred

by (1) governments—to develop, implement, and enforce the new regulation

(2) manufacturers and retailers—to produce and sell the structure; (3) consumers—to operate and maintain their homes over the lifetimes of the

structures; and (4) consumers—who are no longer able to purchase homes

because the price has been raised by regulation.

In estimating the incremental benefits of a regulation, a number

of steps must be taken. First, data must be obtained concerning the

costs currently being borne by home owners and the public because homes

are not as safe as they would be if the regulation were in effect.

(Estimates of these costs are necessary because they indicate the

magnitude of the benefit that could be derived from a totally effective

safety regulation.) Once these potential benefits have been estimated,

the second step must be to determine the proportion of them that could

actually be achieved by the regulation. A variety of techniques are available depending upon the nature of the safety concern and the

amount of experimental or experiential data available.

To be successful, both the cost and benefit analyses must rest

on a set of well-defined concepts and methodologies. As noted by

McConnaughey , a significant reason for conflicting opinions concerning

the impact of building codes is "the lack of a consistent language

or set of specific definitions concerning building codes and their

270
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271
impacts." The following are definitions of all key concepts that

are integral to the understanding of a cost-benefit analysis of a residential safety regulation.

3.1 GENERIC TYPES OF COSTS AND BENEFITS

The T + E benefit-cost methodology is based upon four general

cost and benefit distinctions. The first distinction is that costs or benefits may be real or pecuniary. Real costs are those incurred

as the result of the withdrawal of resources from other uses. Real

benefits are those derived by the final consumer of the regulated

product, and others who may be affected, which reflect an addition

to community welfare.

In contrast, pecuniary costs and benefits are those derived from

changes in relative factor prices occasioned by market adjustments to

the regulation. They result in the accrual of gains to the owners of

some factors of production that are offset by the losses of others.

Consequently, pecuniary costs or benefits do not reflect gains to

society as a whole. They are relevant, therefore, only if one is

interested in examining the distributional consequences of the

regulation. In the T + E methodology, only real costs and benefits

are taken into account.

A second distinction can be drawn between direct and indirect

costs and benefits, also called primary and secondary effects. Direct

costs and benefits are those associated with the -main regulatory

goals, whereas indirect effects are generally considered to be byproducts of regulation. Thus building regulations for increased

fire safety, for example, should have such direct benefits as reduced

personal injury, fewer deaths, and decreased property damage , but they

may also produce the indirect benefits of increased structural

durability or decreased operating and maintenance costs.

A third distinction can be drawn between tangible and intangible

costs and benefits. Tangible costs or benefits are those that can be valued in the market, whereas intangible impacts cannot be assigned

a market value. Given appropriate detailed data, it should be possible

to determine the economic value of reduced death, personal injury, or property damage resulting from a safety regulation. Consequently,

these benefits are considered tangible. In contrast, increased

feelings of safety or satisfaction felt by the consumers of housing

built to a new safety standard are much more difficult to quantify,

and are therefore considered to be intangible. It must be left to

those who are ultimately responsible for instituting, or not instituting,

a safety regulation to assess the importance of these intangible

factors

McConnaughey , p . 1

272
categories of cost are likely to be incurred due to a new safety

regulation: direct initial costs, direct recurring costs, and

indirect recurring costs.

Direct Initial Costs

These are incurred only once, when the regulatory authority

develops and implements the regulation, and, in response, private

organizations alter their operations to comply. These include

standard development costs, standard implementation costs, and

standard compliance costs

.

Standard development costs include all resources allocated by

governments and the private sector to develop the proposed standard.

At the local level, these costs could be quite small because the

local government may simply adopt a model code developed by a national

code making organization, but at the Federal level, the resources allocated to the development of a standard—the Mobile Home Construction

and Safety Standards, for example—can be substantial. Included would

be the services of engineering and economic consultants such as T + E;

the services of administrators and engineers at HUD that are directly applied to regulation development; the services of expert

witnesses and the testimony of private sector representatives; and

supplies, secretarial and clerical, and even office rental costs

that are devoted to formulating the regulation.

Standard implementation costs include the resources initially

allocated by government to put the regulation into effect. They may

include reorganization of government; training of individuals to oversee the regulatory process; conferences and contacts with representatives of the private sector; initial intense enforcement of the new regulation; and adjudication costs for defense or clarification

of the regulations in court.

Standard compliance costs include the resources utilized by

organizations or individuals in the private sector to respond to the

regulation. They could include the following specific types of costs:

research and development, reorganization, and capital costs. Research

and development costs are unlikely to be substantial if the new regulation is a prescriptive materials standard; but they could be

substantial if the regulation is a performance standard allowing a variety of hardware or design responses. Reorganization costs could

be incurred if organizations found it necessary to create new units

to deal exclusively with paper work or issues directly associated

with the new regulation. Initial capital costs could be incurred if

(1) firms were forced to prematurely scrap or retire existing capital

equipment in favor of new equipment; (2) firms were forced to

purchase new types of capital equipment that had a higher depreciation

value per home produced than the equipment replaced; or (3) firms were

forced to apply more of the same types of capital per home produced.

273
Finally, a distinction can be drawn between initial and

recurring costs and benefits. Initial costs are those incurred

only once by government and private organizations when a new regulation is being developed and implemented. Initial benefits

are those enjoyed by consumers of the regulated structure when the

structures are first purchased, and are obtained only once.

In contrast, recurring costs and benefits occur every time a home is produced, or every year it exists. A recurring cost from

a new regulation, for example, could be the additional materials

needed to meet the regulation every time a new home is built.

Alternatively, recurring benefits are those that accrue to consumers

and to the public every year that residences built to the new regulation

are lived in. For example, a regulation that increased the fire

safety of housing would make this housing safer every year, and consumers and the public would annually accrue the benefits of

decreased property damage, loss-of-life, injury, and related costs.

It should be noted that the NBS paper presented at this conference

in 1976 also refers to initial and recurring costs and benefits.

According to the NBS paper "initial costs are direct labor, materials,

equipment, overhead and profit costs. Recurring costs are future

maintenance, repair, and operating costs. The NBS and the

T + E definitions of these terms differ due to a difference in

analytic perspective. The NBS benefit-cost methodology is designed

to assess only the direct impact of a regulation on the initial price

of a structure and the ensuing costs of using the structure over its

lifetime. In contrast, the T + E methodology is designed to address

all the incremental costs associated with developing, instituting,

enforcing and complying with a regulation. Thus in the T + E framework,

both the initial and recurring costs referenced in the NBS paper are considered to be recurring costs, and initial costs in the T + E

framework have an altogether different meaning. Figures 1 and 2 should assist in demonstrating this distinction and the following

detailed definitions should further clarify the overall T + E

conceptual framework.

3.2 SPECIFIC TYPES OF COSTS TO BE ESTIMATED

The correct measure of costs is always opportunity cost--the

value of foregone alternatives. Thus the cost of any building

regulation should be assessed in terms of the resources that must be

withdrawn from other uses to be applied to its development, implementation, enforcement, and compliance. In terms of the cost

distinctions drawn in the preceding section of this paper, three

McConnaughey , p . 5

274
Direct Recurring Costs

In contrast to direct initial costs, direct recurring costs are incurred more than once in response to a new regulation. They are incurred on a continuing basis as resources are reallocated for

enforcement and compliance.

Enforcement costs include salaries, fringes, and direct expenses

that must be applied to enforcement of the regulation in question.

If a new regulation could be enforced by an existing regulatory team

without additional expense, then the marginal enforcement costs for a new regulation would be zero.

Recurring compliance costs are the additional operating costs

incurred by housing producers for direct labor, materials, administration/overhead, and profit to meet the requirements of the new regulation.

These cost increases are likely to be the largest single component of

additional costs due to regulation. In fact Weidenbaum, in a study

of the costs imposed by Federal regulation of all types, found that

in 1976, compliance costs were about 20 times the administrative costs

for regulatory agencies.^

Indirect Recurring Costs

These costs are not incurred in the course of developing, implementing, or directly complying with a regulation change; rather, they

are possible unintended results of regulation. The extent to which

indirect costs are considered in a cost-benefit analysis of a new regulation depends upon whether the analysis is considered to be general or partial. General analyses attempt to trace the effects of a regulatory change through all sectors of the economy; whereas partial

analyses concentrate on the more immediate interdependencies within

the sector under analysis. The impacts of a single building code

regulation, especially if effected at the local level, will not have

significant widespread impacts. Therefore, a partial analysis is

both more practical and more appropriate.

In a partial analysis framework, the indirect costs of regulation

that are of most concern are as follows: (1) potential increased

consumer operating and maintenance costs (operating and maintenance

costs for a home could rise due to a fire safety regulation, for

example, if wall or ceiling materials with a lower frame spread

rating but with greater maintenance needs were required to replace

materials with a higher flame spread rating but lower maintenance

needs) ; and (2) possible exclusion of marginal housing consumers from

the purchase of a home (if the price of a home were raised due to regulation, some potential customers would be precluded from purchasing a home because they could no longer afford the higher down payments or

the greater monthly installments; thus some individuals would be forced

Murray L. Weidenbaum, "On Estimating Regulatory Costs" in

"Regulation" Journal, May/June 1978, American Enterprise Institute,

Washington, DC, p. 17.

275
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276
to live in housing that had lower utility to them than the home they

would have purchased. The resulting loss of consumer satisfaction would

be a cost of regulation)

.

3.3 SPECIFIC TYPES OF BENEFITS TO BE CONSIDERED

In assessing the benefits derived from a residential safety

regulation, no distinction need be drawn between initial and recurring

effects because benefits accrue in a stream over the lifetime of the

homes that are affected. In considering benefits, the essential

distinction is between those that are direct and those that are indirect.

Direct benefits, as defined earlier, are those intended by the

imposition of the regulation—its major purpose. In contrast, indirect

benefits are those considered to be by-products of the regulation—not

directly intended, but nevertheless a result of the regulation. These

benefits can be either tangible (i.e., quantifiable) or intangible

(non-quantifiable)

.

Direct Tangible Benefits

The principal goal of residential safety regulation is to reduce

accidential loss-of-life . The magnitude of this reduction can be

estimated by contrasting the number of lives that would have been

lost in the absence of regulation with the number that might be lost

if the regulation were effected. This estimate must be made for

every year that the safety regulation is expected to be effective.

A second anticipated benefit of safety regulations is a reduction

in the costs of personal injuries due to the safety problem being

addressed. These costs can be decreased either through a reduction in

the frequency of personal injuries or through a decrease in their

average severities. Thus the pre-regulation incidence and average

severity of injuries must be contrasted with estimated post-regulation

incidence and severity figures.

A third major goal of residential safety regulations is to decrease

property damage. If the regulation is effective, two types of property

damage will be reduced: direct damage to the home, and damage to

the personal effects of the occupants. As with personal injury costs,

property damage costs can be reduced in two ways: through reductions

in the frequency of damage, or through reductions in the average

severity of damage

.

Increased life safety and decreased property damage are generally

accepted to be the principal goals of safety regulation, but they are not the only beneficial results of an effective regulation. Other direct

277

I
effects will include reductions in insurance costs, post-damage

clean-up costs, alternative lodging costs, and foregone income. The sum of these reductions could be substantial.

The reference to reduced insurance costs is not to lower

damage payments made by insurance companies—these reductions are counted in estimating lower life-safety and property damage costs.

Instead, the reference is to reduced insurance company costs of

adjusting and processing claims due to the reduced number of such

claims.

Post-damage clean-up costs refer to the resources that must be

allocated to clean-up and repair items not directly a part of or in a home but that are damaged nonetheless. Such items include

shrubs, utility connections, telephone hook-ups, lawns, and related

improvements. A new regulation that reduces either the incidence or severity of a safety problem is likely to reduce the incidence and

severity of clean-up costs as well.

Similarly, when a home is damaged so severely that the occupants

are required to seek alternative lodging while their home is being

repaired or replaced, the occupants are likely to incur increased

lodging costs. The difference betweei direct expenditures for

alternative lodging and the costs that occupants would have incurred

for lodging in their usual home is the marginal cost of alternative

lodging that must be considered. Reductions in these costs will

come from reductions in the number of safety problems that are severe enough to warrant alternative lodging.

Finally, when a residential safety problem occurs, even in the

absence of personal injury, the occupants often must take time from

their usual productive activities to negotiate with claims adjusters,

find alternative lodging, oversee the clean-up and repair of their

homes, find alternative schooling or transportation for their

children, etc. This time away from work frequently results in a direct loss of income to the occupant. New safety regulations that

reduced the frequency or severity of damage to homes would almost

certainly reduce the amount of income foregone by its occupants

Indirect Tangible Benefits

Regulations often produce unintended results that may be either

advantageous or detrimental. Those that are advantageous are deemed

to be indirect benefits. If these benefits are capable of being

assigned a value, then they are considered tangible. Two types of

indirect, tangible benefits could result from a residential safety

regulation: increased durability of the structure, and reduced

operating and maintenance costs.

Increased durability could be manifested through an extension of

the useful economic life of the home or through higher resale value

as the home ages (independent of resale value changes due to increased

safety) . To estimate the impact of a safety regulation on durability,

the specific changes must be compared with the types of structural

features that are known to increase durability.

278
As noted in Section 3.2, a new building safety regulation could

increase maintenance or operating costs. However, a regulation could

just as easily result in a decrease in these costs. Only by assessing

the specific regulation can the impact on operating and maintenance

costs be assessed.

Intangible Benefits

In addition to producing the types of direct and indirect tangible

benefits described above, a safety regulation could produce less obvious

and less measurable benefits. The two most likely intangible benefits

are increases in occupants' feelings of safety, and decreases in pain

and suffering.

If a new safety regulation made homes noticeably "safer," the

purchasers of these homes would probably feel safer. These increased

feelings of security would be an intangible benefit of the regulation.

A decrease in the number of lives lost or the frequency and

severity of personal injuries due to a regulation would certainly

be accompanied by a decrease in the amount of pain and suffering

felt by residential occupants, their friends, and relatives. This

decrease in suffering and pain would be a substantial intangible

benefit and should be considered when deciding whether to institute

a new safety regulation.

4.0 TECHNIQUES FOR MEASURING LIFE-CYCLE COSTS

AND BENEFITS OF POTENTIAL REGULATIONS

The conceptual framework described in Section 3.0 assures that

all important costs and benefits are considered in analyzing the

effects of a residential safety regulation, but it does not describe

the actual procedure for accomplishing a life-cycle benefit-cost

analysis. Actually, there can be no guide book which provides detailed

instructions regardless of the regulation or the regulatory setting

because each regulation and each setting has its unique characteristics.

Nevertheless, there are a set of basic operational steps that must be

taken to successfully accomplish a life-cycle benefit-cost analysis.

The following is a list of these steps.

1) Determine existing costs of the safety problem to be

addressed by the regulation.

2) If the regulation is a performance standard, perform

engineering analyses to determine the most probable structural

responses to the standard.

3) Estimate the costs of standard development, implementation,

enforcement and compliance (life-cycle)

.

279
4) Determine the impact of structural changes on existing

safety costs, i.e., estimate all life-cycle benefits.

5) Compare the potential costs and benefits of the regulation.

All of the specific actions that must be taken to assure that

each of these steps is correctly taken cannot be described here, but

some of the key considerations can be mentioned.

4.1 DETERMINATION OF EXISTING COSTS OF THE SAFETY

PROBLEM

Since the direct benefits of a regulation are reductions in the

costs of a safety problem, the first requirement of a benefit-cost

analysis is an estimate of how great the safety problem would be in

the absence of any new regulation. The appropriate baseline data, then, are drawn from the experience of homes that are most like the ones that would exist if the regulation were not put into effect. Two

basic pieces of information are needed regardless of the type of baseline cost being considered: the frequency with which the cost is

incurred annually (for example, the frequency of fires in housing and

the frequency of loss-of-life due to fires) denoted as FD^j —the frequency of damage for cost type j in year i; and the average annual

cost of the damage when it occurs (for example, the average cost of

property damage due to fire, or the average cost of fire injuries)

denoted as ACDj_j —the average cost of damage for cost type j in year i.

With this information it is then possible to estimate the

expected annual cost of damage (ECD^j) for each cost type as follows:

ECDij = FDij ' ACDij

These estimates then provide the foundation for determining the

net present value of the expected costs of the safety problem over

the lifetime of the average baseline home. The expected, future,

annual costs of each type of damage must be discounted by an appropriate discount rate to obtain its present value. Then these

present values must be summed as follows:

Total present value of FD . ACD

the expected costs of = Z E

i J TM £

1 J ^_

the safety problem with- i=i j=i (i+r) 1 i=l j=l (l+r)

1 out new regulation

Where m = the expected life of the home; n = the number of cost categories; and r = the real discount rate.

The use of expected cost figures reduces the cost-benefit analysis

to a comparison of the costs and benefits of regulation that would accrue

to a single average home. This approach presents certain minor computational problems at some points, but advantageously eliminates the need

to make projections of future annual sales -of regulated homes or deal

with other aggregate market data.

280
4.2 ESTIMATION OF THE COSTS OF REGULATION

Methodologically, attention must be focused on initial costs—those

incurred only once —and recurring costs —those incurred every time a home is built—because these two costs types must be treated differently

in estimating the regulatory costs that are generated for each home

that is produced.

Initial costs are incurred only once by government and private

organizations when a regulation is effected, but these costs will

enable government and industry to assure the production of a great

many homes in conformance with the regulation. Thus the magnitude of

these costs is relatively meaningless unless their value per home

produced is estimated. The following equation provides a way to

estimate the value of initial costs per home produced.

if H- • x TIC = £ — r

i=1 (1+r)

Where TIC = the total initial cost of regulation; = the number of

regulated homes produced in year i, x = the value of initial costs per

home produced; r = the real discount rate; and m = the number of years

the initial cost changes will be effective.

In contrast to the relatively complex technique needed to determine the value of initial costs per home produced, estimation of the

direct recurring unit costs is quite straightforward. The additional

costs of labor, material, administration/overhead, and profit needed

for the production of each home are the recurring unit costs. These

costs can be ascertained through direct engineering cost analyses.

Estimation of indirect recurring costs requires knowledge of the

price elasticity of demand for the housing in question and the impact

of the regulation on operating and maintenance costs. The latter

requirement only calls for engineering cost analysis, the former

requires detailed market data. Reasonable estimates can be made

without detailed market data, however, by assuming a reasonable range

of price elasticities.

4.3 ESTIMATION OF THE BENEFITS OF REGULATION

To estimate the total life-cycle benefits of a regulation both

direct and indirect benefits must be determined. The direct benefits

of a safety regulation are reductions in the costs of property damage,

loss-of-life , and injuries that would otherwise occur. As noted

earlier, the expected cost of damage (ECD) is a function of the frequency

of the damage (FD) and the average cost of such damage (ACD) . Thus, all

other things remaining the same , a decrease in the expected cost of

281
damage will result from a decrease in the values of either of these

parameters. To estimate the magnitude of these decreases due to

regulation, a number of approaches can be taken. Decision tree analysis is an excellent technique as is its companion, fault tree analysis.

Analyses of case study materials and engineering tests are also quite

useful

Once the reductions in the magnitude of FD and ACD have been

estimated for each cost type j , it is then possible to compute annual

expected costs of damage and obtain their present values as indicated

in Section 4.1.

Then,

Total present value of

ECDR

the expected costs of _ „ „ i

j

the safety problem j_ =]_ j=]_ (1+r)"*"

after regulation

m n ECD. . - ECDR.

total direct benefits = L h i=l j=l (1+r) 1

Indirect benefits can then be estimated through engineering cost analyses,

5.0 CONCLUSION

A number of forces—for example, high rates of inflation, and the

development of increasingly more sophisticated building technologies

are prompting consumers, housing producers, and elected officials to

demand evidence that proposed building regulations are reasonable. At

a minimum a regulation can be said to be reasonable if it generates

economic benefits that at least equal the costs of regulation.^ The

conceptual framework for life-cycle benefit-cost analysis described in

this paper is presented to further the use of this minimum criterion

for determining reasonableness and to assure the appropriate costs

and benefits are identified and measured correctly.

The widespread application of life-cycle benefit-cost analysis to the

consideration of building safety regulations will require increasing

integration of economic theory with building engineering analyses, and

will require the development of texts that outline practical approaches to

these analyses. The data requirements of these analyses will be considerably greater than the data needs for the current regulation development

processes (unless generally accepted multipliers or coefficients can be

developed) , and consequently, analytical costs will be higher. However,

these costs should be more than recovered through increases in the efficiency of new regulations. It cannot be argued that the existing regulation development procedures are adequate because there is an error towards

too much safety. Over-regulation requires that consumers purchase costly

safety features that are not efficient. Conversely, under-regulation

means that more resources could be advantageously employed to reduce

safety damage

See McConnaughey , p. 6 for other criteria of reasonableness.

282
REGULATORY IMPLICATIONS OF ADOPTING

A METRIC BUILDING CODE

FOR THE PROVINCE OF ALBERTA, CANADA

by

Alastair J. M. Aikman, P. Eng.

Building Standards Branch

General Safety Services Division

Department of Labour, Alberta, Canada

With the notable exception of the United States and Canada the

majority of the world's countries use the metric system of measurement.

Canada is now converting to the metric system on a voluntary basis. The

period of conversion is spread over a number of years with each section

of the economy establishing its own targets. The construction industry

established January 1, 1978 as the date to begin using metric measurements. The Province of Alberta is experiencing a rapid and smooth

transition from foot-pound units to SI (metric) units and the construction

industry is in the forefront.

The Alberta Construction Association receives major credit for its

I educational programmes and government has co-operated fully by

responding to the industry's requirements rather than by dictating its own ideas. The province introduced a metric building code in April 1978

with no opposition because it was supported by all groups involved in

construction.

Key words: Building codes, construction, metric.

283
INTRODUCTION

In 1970 the Canadian government decided that the SI (metric) system

should become the predominant measurement system in Canada. The construction industry developed a timetable for implementation of the metric

conversion process. January 1, 1978 was selected as the date when new construction projects would start to be tendered and built in the SI

(metric) system of measurement. The construction industry and the

government of the Province of Alberta accepted this timetable and have

successfully met the challenge. This paper reviews the background for

metric conversion, outlines some steps to encourage general acceptance

of the new system, discusses timing for introducing metric units into

building codes, and concludes with some suggestions which can help other

regulatory agencies who may be involved in metric conversion.

METRIC SYSTEM STARTS

Until the french revolution measurement systems were highly individual to specific countries and could vary even within the boundaries

of one country. Standards of measurement were often set by and related

to the king or ruler. Although standard weights and measures were often

kept at a central location it was no easy matter to verify the accuracy

of measurement at remote locations. With the coming of the revolution

in France, those who had overthrown the king also wished to replace the

measurement system associated with the king's regime with a system more closely attuned to the common man. The length standard was chosen as one ten millionth part of a meridian between the pole and the equator.

Most other standards were defined in terms of natural phenomena. In addition to the selection of the measurement standards they decided to

base the multiples and submultiples of their base units on powers of

ten.

It took many years and restrictive legislation before the french

people accepted their new system. As other countries experienced

revolutions and overthrow of monarchical regimes the new authorities

frequently modelled their systems on the french example and the metric

system of measurement was usually adopted. The United States is one of

the few countries that did not adopt the metric system after a revolution.

SOME COUNTRIES WHO DIDN'T CONVERT TO METRIC SYSTEM

By the middle of the twentieth century Canada, other members of

the British Commonwealth, and the United States were about the only

countries left who had not converted to the metric system. However even

in these countries the metric system was used in scientific circles and

most people had some elementary knowledge of metric terminology. Since

1873 two measurement systems were legal in Canada, the foot-pound system

in common use and the metric system in scientific use. Virtually all

legislation was written in foot-pound units and most business and

commercial transactions were undertaken in these units.

284
In recent years these countries found themselves in an increasingly

isolated position as more and more international trade was conducted in

metric units. Without the dubious benefit of a revolutionary regime to

order a change of units, industry and government started to discuss

methods of implementing a conversion process to the metric measurement

system. In a totalitarian regime it would be simple to decree a change

to a new system but in democratic societies government and business have

to be responsive to and responsible to the citizens of the country.

CANADA DECIDES TO CONVERT TO THE SI (METRIC) SYSTEM

Although the United States is Canada's largest trading partner the

balance of her international trade is carried on with countries who use or are in the process of converting to the metric system. In recent

years nearly ail other Commonwealth countries, such as Great Britain,

Australia, and New Zealand had decided to convert to the metric system.

Canadian industrialists approached the government of Canada and recom- mended that Canada should also convert and that the sooner it was done

the less traumatic it would be.

Thus, in January 1970, a white paper "Metric Conversion in Canada"

was tabled in the federal parliament. This paper stated that it was the

government's intention that the international system of measurement

known as SI, based on the metre, would become the predominant system but

that the conversion process would be voluntary and that the costs of

conversion would have to be absorbed by those undertaking the conversion

process. In this way government accepted and endorsed the change but

hoped that it would not attract a negative response from the citizens at

large as would have happened if it had introduced the new system by

direct legislation.

Once the decision was made to convert it was obvious that good co- ordination would be needed to make sure that the best possible system

would be developed. In 1971 a Metric Commission and a Standards Council

of Canada were established to lead and co-ordinate the change to the SI

(metric) system. It was the intention of government that regulations

and other legislation would respond to the decisions of industry.

PLANNING FOR METRIC CONVERSION

Many sectors of the economy were defined, one sector being the

construction industry. Committees of volunteers, experts in the re- levant fields, were established to develop rational and co-ordinated

plans. Each sector established a metric conversion plan, including

target dates arrived at by a consensus of the committee members involved. By 1975 the construction industry had established a conversion

plan and soon thereafter decided that January 1, 1978 should be termed

M-Day. This was defined as "the first day of Metric Construction Year

in which the Canadian Construction Industry will work in SI (metric).

Following M-Day, drawings and specifications, materials and components

which are necessary in metric terms will become available".

285
It must be emphasised that at that point in time neither federal nor provincial governments had passed any legislation which would force

the metric system on the construction industry. The decisions had

originated from industry. Although government representatives were

involved in many committees they did not control the decisions of the

committees.

The Canadian construction industry in general is not an exporting

industry and so had no ready market other than in the foot-pound system.

The construction industry sector approached all levels of government and

requested that action be taken to ensure a market in 1978 for metric

materials in sufficient quantity to justify a conversion process.

Without an assured market few companies could absorb the costs of con- version. The federal and provincial governments and many large municipalties assured the construction industry that after January 1, 1978 all

plans and specifications for new construction that was funded by them

would be issued in SI (metric) units.

ALBERTA ESTABLISHES A METRIC CONVERSION BRANCH

The government of the Province of Alberta was aware at an early

stage that the metric system was coming and established a metric branch

to assist Alberta citizens and business convert to SI (metric) as easily

as possible. It was the intention that government would respond to

public initiative although it was inevitable that certain commitments

would have to be honoured to maintain unity with other provinces and

with the federal government.

One of the early tasks of the metric branch was to review all

government legislation and identify all cases where dimensions occurred.

This review produced a book with nearly 300 pages. Dimensions in Acts

and regulations of the province could be identified easily enough but in

the case of national documents, such as standards and codes, referenced

by the regulations, no attempt was made to list dimensions on the

assumption that the committees writing those documents would do so and

make the necessary conversion.

BUILDING CODE LEGISLATION

The majority of construction projects are regulated by building

codes which set out the requirements that must be satisfied before

construction can proceed. A building code is a piece of legislation

enacted by a political body. In Canada the federal government has no authority over building legislation, this authority was retained by the

provinces at the time of confederation. Until recently all Canadian

provinces had delegated the authority to enact building legislation to

each municipality but the increasing complexity of building codes and

their administration and demands by the construction industry had con- vinced many provinces that they should establish uniform provincial

building codes.

286
In Canada since 1941 there has been a model building code known as the National Building Code of Canada. The National Building Code,

sponsored by the National Research Council of Canada* had no force

unless adopted by a provincial or municipal government. Although it was slow to gain acceptance at first, it gradually reached the position that

by 1970 it was adopted in whole or in part by most municipalities in

Canada.

Alberta became the first province in Canada with a uniform provincial

building code when it enacted The Alberta Uniform Building Standards Act

in January 1974 and the Alberta Building Regulations in April 1974. The

Alberta Building Regulations adopted, with minor variations, the 1970

edition of the National Building Code of Canada. In the 1970 National

Building Code of Canada measurements were in the foot-pound system

together with approximate metric values in parentheses.

In 1975 the Building Standards Branch, which is responsible for

administering the building standards legislation, knew that the metric

system was on the way but was also faced with a new (1975) edition of

the model code (The National Building Code of Canada) referenced by the

building regulations. A decision was made to introduce the new edition

of the model code, after consultation with the construction industry,

but to leave decisions on introducing metric values until the construction

industry indicated that it was ready. It was obvious that this would

happen in 1978 but that was well in the future. Because of lengthy

discussions with some members of the construction industry and the need

to resolve numerous conflicts between the model building code and other

provincial legislation it was March 1977 before the 1975 edition of the

National Building Code of Canada was adopted.

ALBERTA CONSTRUCTION ASSOCIATION EDUCATES ITS MEMBERS IN THE METRIC SYSTEM

By 1977 the Alberta Construction Association had assumed a lead

role in educating its members for the coming impact of metric conversion.

At first seminars titled "Metrics for the Construction Industry" were conducted in many cities of the province to introduce senior management

to the metric system and show them how their companies could improve

productivity and simplify their operations. These seminars attracted

representatives from manufacturers, contractors, architects and engineers.

Although many were highly sceptical of metric conversion before the

seminars the majority were convinced of the value of the metric system

by the end of a seminar.

Further series of worskshops titled "Work Metric" were given across

the province to help estimators and job superintendents understand the

cost implications and the effect of metric conversion on day to day

operations. A final series of workshops titled "SI and the Construction

Industry" were offered to people such as specification writers and

secretaries to help them understand the technical usage of various terms

so that an accurate communication process between designer and contractor

would be established.

287
The Alberta Construction Association state that the key to their

highly successful programme has been the co-operation of the Alberta

government metric branch. Instead of mandatory regulations the metric

branch offered assistance and encouragement to an industry association

and then helped that industry move in the right direction. The metric

branch supported the Alberta Construction Association by encouraging all

government employees involved with construction to attend their seminars

and workshops rather than developing in house programmes.

The seminars and workshops of the Alberta Construction Association

were so well received that they have been requested and conducted coast

to coast in Canada as no other construction association had developed

anything as successful. In large part the acceptance of metric values

by the construction industry in Alberta is due to these seminars and

workshops.

DESIGNERS START TO USE METRIC DIMENSIONS

Simultaneously with the Alberta Construction Association's educational programmes the Provincial Government and Municipal Governments

started plans for metric dimensioned projects. Consultants designing

projects for tendering after January 1, 1978 were required to design and

detail the projects in SI (metric) units. Once these designers encountered

the simplicity of the SI (metric) system they started using it for

projects for non-government clients as well.

As designers started on projects in metric units the question arose concerning the legality of the units when the building code was in footpound units. It was explained to these designers that the main interest

of the building code is safety and that their designs were fully acceptable as long as the magnitude of the metric dimension gave results the same as or safer than the foot-pound value.

NATIONAL CODES AND STANDARDS INCLUDE METRIC VALUES

As soon as the construction industry established a conversion plan,

standards and code writing organizations started the process of converting

their documents to metric values. Close co-operation between industry

and these organizations was essential to make sure that measurements

related to product sizes would apply after the products themselves were converted to the metric system.

The committees responsible for the National Building Code of Canada

had started on a new cycle of code revision in 1975 and decided to treat

the code revision and metric conversion as related items but not to

integrate both in one document. In July 1977 the latest edition of the

Code was published and in it all dimensions were in the foot-pound

system. A separate document was published giving recommended metric

equivalents to most dimensions and a list of standards which were written

with metric values. Because there is a time lag of several months

between the writing and the publishing of the National Building Code of

288
Canada the editors were unable to reference the metrically converted

standards which were published in 1977 and for many materials were able

to only soft convert the values pending manufacturers' agreements on hard conversion values.

ALBERTA CONSIDERS A METRIC BUILDING CODE

By mid 1977 the construction industry in Alberta had accepted the

proposed conversion to metric and the Building Standards Branch were

requested to develop proposals for implementation of a metric building

code. The Building Standards Branch reviewed available documents, met

with industry representatives and drafted a number of proposals for

public comment. The proposals were presented at a public meeting in

November 1977 to which representatives of all groups in the construction

industry were invited.

The concensus of the meeting was

(a) that a further series of code changes should not be

introduced at the same time as the SI (metric) system;

(b) that as far as possible the values recommended in the

metric supplement to the 1977 National Building Code of

Canada should be adopted;

(c) that the equivalent foot-pound values be placed in

parentheses after the SI (metric) value to help code

user's relate to familiar sizes while becoming familiar

with a new system and that the equivalent foot-pound

values should be consistently rounded off to two decimal

places (fractions would not be used to be consistent with

decimal usage in the SI (metric) system;

(d) that the latest standards would be referenced, particularly

those using SI (metric) units; and

(e) that the metric building code should be introduced as soon as possible.

ALBERTA INTRODUCES A METRIC BUILDING CODE

As soon as the Building Standards Branch had the support of the

construction industry of the province for the introduction of metric

values in the Building Code the staff started to prepare the necessary

documentation. It was soon evident that there were 2000 individual

numbers, over 120 tables and charts and 130 references to standards

which had to be considered. In the case of dimensions related to

products many phone calls had to be made to manufacturers to determine

the sizes they would be producing if they intended to make changes at

the same time as converting to metric values. Standards writing organizations had to be contacted frequently to determine what stages they had

reached for metric conversion of specific standards.

289
In establishing metric values the following rules were kept in

mind:

(a) dimensions which could be relaxed with no serious effect

upon safety were rounded off and relaxed i.e. a permissible

building area of 6,000 sq. ft. was rounded off to 600 m

2 to keep familiar numbers in front of the code user, this

appears in the regulation as 600 m

2 (6 458.35 sq ft) and

thus is a 7.6% relaxation.

(b) metric dimensions which had been established by the

National Building Code committees were maintained to

promote national unity in the construction industry

except where manufacturers had established rational hard

converted sizes not recognized in the National Building

Code.

In less than 6 weeks a draft of a regulation was prepared and

submitted to the government's legal staff for review. Although the

content was acceptable the legal staff had just developed new rules for

the writing of legislation to help make it more understandable to the user and they insisted that the building regulation be revised completely

to agree with the new style. Further time elapsed during the rewriting

and then the regulation was submitted in February to the legislators for

approval and adoption. Because of the construction industries wholehearted

support no delays were experienced and the province had a metric building

code in force by April 15, 1978.

STATUS OF METRIC ACCEPTANCE IN ALBERTA

The Alberta Construction Association expects that by the end of

1978 over 80% of all new building construction starts in the Province of

Alberta will be in SI (metric) terminology. This is far in advance of

any other province in Canada and the Alberta Construction Association

attributes it to the excellent co-operation between their industry and

the provincial government. It is also due to the fact that general con- tractors are insisting that their suppliers quote on metric products and

frequently refuse to do business with suppliers who have not yet converted

to metric. The mechanical and electrical contractors have lagged behind

but are now catching up.

At the beginning of July the realty companies decided to convert

all their listings to metric terminology and the two major mortgage

agencies operating in the Province have set September 1, 1978 and

January 1, 1979 as dates after which they will not advance financing

unless the project is defined and detailed using SI (metric) terminology..

It appears that the target date of January 1, 1980 for complete

conversion will be achieved in Alberta with the exception of some alterations to existing privately owned buildings.

290
CONCLUSION

The lessons we have learnt in Alberta and the regulatory implications

you should keep in mind as you are on the threshold of metric measurements

are:

1. In a democratic society government must respond to the citizens.

2. The potential users of the metric system must be educated to

understand the system and must convince themselves that there

are advantages in the system.

3. In converting a building code the dimensions for materials

must be established in consultation with the manufacturing

industry.

4. Where dimensions in the building code, such as permissible

building areas, travel distances and setbacks are of an arbitrary nature and have been established to give convenient

values in the foot-pound system they should be rounded off in

the metric system to give equally convenient metric values.

5. Unless it can be established that a foot-pound value cannot be

relaxed without serious effect upon safety the rounded off

metric value should be relaxed and not made more stringent.

6. Where a model code is referenced by local legislation the

local authority should not attempt to develop metric values

which differ from those of the model code. This implies that

the model code agencies must lead the way in preparing documentation.

7. The first time a building code is issued in metric mode

equivalent foot-pound values should be retained in close

proximity to the metric value because citizens should be given

a choice of dimension system until they learn the metric

system and because many users of the code will need familiar

benchmarks until they understand the magnitudes of unfamiliar

units.

8. Good communication and sound educational programmes must

precede the introduction of a metric building code so that it can be used and accepted when it becomes law.

291

I

AN APPROACH TO THIRD PARTY

APPROVAL FOR INDUSTRIALIZED HOUSING

by

C. Morgan Edwards, President

CME Associates, Inc.

And Executive Vice President

Industrialized Housing Manufacturers' Association

Harrisburg, Pennsylvania 17108

The Commonwealth of Pennsylvania a few years ago found themselves

I in a unique position of trying to determine which agenices were qualified

to represent the state for the evaluation and inspection of industrialized

housing products to be sold in the state. This paper is a summary of the

experience of Pennsylvania in this area. The use of Third Party agencies

was not created by Pennsylvania, but it is believed that the approach

used by Pennsylvania deviated from previous practices at the time.

It is the hope of the writer of this paper that by summarizing the

Pennsylvania experience, others will be stimulated to refine the approval

process for selection and use of third party agencies.

Key Words: Agencies; approval process; evaluation; industrialized housing

products; inspection; regulation; third party.

293
BACKGROUND

The year of 1972 found Pennsylvania joining the ranks of many

other states across the country. It was the year that legislation

was passed and signed into law requiring industrialized housing products, including mobile homes, to be regulated at the state level.

Unlike many other states that had taken this route, Pennsylvania had

very little experience with operating statewide building regulatory

programs. In fact, the department assigned the responsibility of

administering these programs, had had no previous experience in this

area. The result of this inexperience was the need for a long period

of research and development. This of course delayed the implementation

of the programs.

The word "programs" means two pieces of legislation passed because,

while a mobile home is an industrialized housing product, it is built

to a different standard from the other products.

This paper does not deal with the total development of the Pennsylvania programs, but instead focuses on one specific phase of development. This paper deals with the third party approval process

as utilized in Pennsylvania.

THIRD PARTY DEFINED

Over the past decade, the term third party has become very common

among many state and federal building regulatory officials around the

country. The term "third party", has taken on special meaning with

the growth of industrialized housing as a state regulated industry.

I believe no paper on this subject would be accurate without giving North Carolina credit for their role in the development of this

concept. North Carolina was one of the first states to pass legislation requiring the in-factory inspection of industrialized housing

products. They quickly recognized that their standard on-site method

was not practical. The high volume production of many factories would

require the state to have a full-time inspector assigned to them. They

also recognized that the units would have to be inspected at the factory

because when the homes arrived at the site, much of the work could not

be inspected. There was also the problem of factories being located

outside of the state's boundaries, but were shipping units into the

state for erection. North Carolina resolved their problem by utilizing

the service of a large nationally recognized testing laboratory to do

the in-plant inspections. The use of this agency can be considered the

294
origin of the third party system of industrialized housing regulation.

THE NEED FOR AN APPROVAL PROCESS

A number of years passed between the time North Carolina initiated their program and the passage of the Pennsylvania legislation.

During that time, many of the states started programs and many agencies

began to perform third party tasks. The. agencies were of a great

variety. Some used staffs composed of professional engineers, while

others used technicians or a combination of both. Most agencies a- dopted the state's personality of their initial approval.

When Pennsylvania decided to use the third party approach, they were

bombarded with requests for agency approval. This was due to the over

one hundred factories located in Pennsylvania. There were also many

plants outside of Pennsylvania selling units into the state. Pennsylvania made inquiries to some of the states having third party programs

as to what was their method of approval. They found a wide variety of

considerations, but the most common practice was to rely on an agency's

reputation. To start the Pennnsylvania Mobile Home Program, this was

the approach used and a limited number of agencies were approved. However, it was quickly learned that the selection process that had worked

in other states would not work in the Commonwealth. Many of the agencies

not selected protested the decisions made by Pennsylvania and threatened

with law suits.

Pennsylvania was not the only state faced with this problem. The

third party's approval process in general was being questioned. With

a crisis point near at hand, the states, thru NCS/BCS and the National

Bureau of Standards, encouraged the American Society of Testing and

Materials (ASTM) to formulate a committee to develop a criteria or

standard for the approval of third party agencies.

By the time the first draft of the ASTM standard came off the

press, Pennsylvania was in desperate need of an approval system.

There was an interim mobile home in operation, but the Pennsylvania

Industrialized Housing Program had been delayed for more than two

years. Drawing upon the experience gained from the mobile home program and the consulting team that was used to design the industrialized

housing program, all elements were in place except the approval process for the third party agencies. This same consulting team was

called upon to undertake the problem. They used the ASTM draft as a base and added the necessary Pennsylvania requirements.

295
INITIAL AGENCY APPROVAL

The consulting team, along with the Pennsylvania staff met to

define the steps that would be necessary for approval. The steps

agreed are as follows.

1. An application was developed based upon the requirements defined in the Pennsylvania Rules and Regulations.

(Sample application shown in figure 1)

2. Each agency was required to complete this application and

provide the necessary supporting documentation.

3. The Pennsylvania staff reviewed each agency's submission

per a standardized check list, (figure 2)

4. Once all of the data was assembled, the consulting team

and the Pennsylvania staff met and developed a standardized

interviewing format. (Instruction sheet of guide - figure 3)

5. An interviewing team of state and consultant personnel visited each of the agency's primary offices to interview key

personnel identified in the agencies' applications. Visits were made to secondary sites when deemed necessary.

6. Each interviewing team prepared written summaries of their

findings, along with the standardized interview format.

7. A meeting of all of the persons was then held at which time

all data was reviewed and compared.

8. Each agency that made an application was sent a written

critique of their agency's operation, along with recommen- dations .

9. The agencies that were found acceptable were required to

sign a written agreement with the state. This agreement

defined the conditions and terms that both parties were

expected to adhere to.

The above steps were necessary for the initial approval and a similar process has been used for each year's reapprovals. Presently

the process is carried out by state personnel. Figure 4 outlines

a typical cycle.

296
A THIRD PARTY AT WORK

We have discussed the evolution of Pennsylvania's program and

its process. At this time a brief review of the work requirements

of an agency should be given.

Representing the state, a third party agency has two primary

work functions, to evaluate and to inspect. For Pennsylvania, an agency has two primary evaluation activities.

1. Evaluate a manufacturer's product design and all supporting

data to insure that it met the building standard requirements.

2. Evaluate a manufacturer's production controls to determine

the manufacturer's ability to produce the product as designed.

An agency has two functions to perform through inspection.

1. Inspect a reasonable number of in-production units at

the factory to insure that the approved design is being

produced.

2. Inspect the production records of the factory for each

unit produced. These records should include check-off

data as the unit passes through the assembly line.

The agency is required to keep a central record of all the

activities defined above with state personnel reviewing the records from time to time.

THE PENNSYLVANIA EXPERIENCE

Before making any suggestions or recommendations as to how other

states or federal agencies could use the approval process defined above,

I think that some of the findings of the Pennsylvania experience should

be discussed.

Looking at some of the more general findings, it was found that:

1. Some of the agencies' written applications drastically

differed from" the information that was learned during

the interviews.

297
2. Some of the agencies described in their applications how they would like to see their operations

run and not how they were actually being run.

3. Some of the agencies used resumes of persons

not directly involved in the third party process or activities of the agency.

4 . Some of the agencies were not familiar with the

requirements of the Pennsylvania program.

While the above comments are somewhat negative, this

does not mean that most of. the agencies were not trying

to do the job to the best of their ability. Most of the

problems identified above were the result of a lack of

direction being given to the agency by the various states

using the agencies, or just basic conflicts in the requirements between the various states. Several agencies

made note of the fact that Pennsylvania was the first

state that had actually visited their facilities or sat

down with them to review the process to be used in carrying out the state's requirements.

Pennsylvania permits the agencies to apply in four

different catagories. They were allowed to choose if

they would like to be:

1. An Evaluation Agency

a. Mobile Home

b. Industrialized Housing

2 . An Inspection Agency

a. Mobile Home

b. Industrialized Housing

Most agencies elected to be involved in all four areas of

third party activities of the state of Pennsylvania.

Eleven applications were made to the state of Pennsylvania for approval as third party agencies. Of these eleven,

two agencies were rejected as not meeting the overall requirements of the state. Five of the remaining nine were

conditionally approved providing elements of their operations

were upgraded during the course of the first year of approval.

However, one general limitation was placed on all of the

agencies. That is, they were limited to evaluations and

inspection to low-rise construction systems. This did not

present a major problem since most industrialized housing and

mobile homes are single family attached or detached. Some

specific problems that surfaced as a result of this review

process were:

298
1. Most agencies did not rely or utilized the manufacturers compliance control program or any of

the in-house checks that the manufacturer used

to insure that the unit was being built in compliance with the approved design.

2. Agencies did not insist upon the manufacturer

maintaining an up-to-date certification package

which reflected the current models approved

by the agency.

3. Only one agency required that the manufacturer have

special trained persons in the design review and

inspection process. This agency required that

each year a specific designated person from each

manufacturing facility that they serviced, attend

a training session run by the agency.

4. The frequency of inspection varied from agency

to agency. Note Pennsylvania had followed the

lead of other states and required that some portion of each major construction area of a unit

be inspected during the construction process.

This frequency could be varied depending on the

degree of inspection performed by the manufacturers

themselves. The agencies were asked to make a clear distinction between manufactured facilities

where they were required to approve 100% of the

production versus those factories which there was

only a portion of the units inspected.

5. Most agencies were reviewing the manufacturers'

transportation requirements as a part of the

design review, but few were conducting an occasional actual check of the transporting process

to insure that their approvals or criteria were

sufficient to insure that the unit was delivered

in a sound condition.

6. Agencies approved manufacturers' erection plans

and instructions which showed how a unit was to

be installed. However, few were making site

visitations to determine if these instructions

were feasible, practical or even being carried

out

.

Other areas of concern by the evaluation team as

they reviewed the various agencies was the agency's use

of independent consultants and part-time employees in

lieu of direct employees of the agency. This was a particular problem with some of the smaller third party agencies.

299
The major concern was that some of the independent consultants or part-time employees appear to .have been involved in the design or inspection process of manufacturers as part of their other businesses. This would present

a direct conflict of interest, where they were approving

or inspecting products that they themselves had been involved in representing a manufacturer. Another problem

of concern was the growth problem of smaller third party

agencies. While some of the smaller agencies were doing

a very adequate job with a limited number of manufacturers,

if the size of their business was to increase drastically,

it could greatly effect their ability to perform. It was

also a concern that some of the smaller agencies may be

effected by the loss of a major client. This could effect

their independent judgement with regards to representing

a state.

After going through the initial review process of third

party agencies, one of Pennsylvania's major concern's was

how to measure the performance from year to year of the various agencies. During the review process, a matrix was

developed to determine the relative quality of agencies

as they compared to each other. This has been utilized in

subsequent years to determine improvements or poor performance

by agencies. Figure 5 is an outline of this matrix.

The information to be inserted in each block for the

respective agencies was developed from an individual sheet

which used the same catagories and rated the agency in each

catagory from seven points for being perfect and zero points

for being hopeless. (See figure 6)

ABOUT THE CONSULTANTS

All through this paper the consultant team has been

mentioned as the primary tool of approving the third party

agencies used in Pennsylvania. It may be of some concern

as to how this consultant group was selected and who were

the participants. Because there was no identifiable group

with expertise in this area, the consultant team was amalgamated from a number of individuals who had had experience

in the industrialized housing regulatory process and with

third party agencies. The team was headed by David Falk

of a well known law firm in Washington, D.C. Mr. Falk

brought not only leadership to the team, but also a vast

experience from HUD in industrialized housing, where he had

participated in Operation Breakthrough. He was most familiar

300
in the Pennsylvania program since he had been involved in

the writing of the rules and regulations for the program

and had done extensive research as to what other states

had done in this area.

There were two engineers involved in the process, Mr.

Charles Hagberg and Mr. John Dunlap. Both of these gentlemen had worked for state agencies involved in industrialized

housing regulation. Their activities in these agencies had

not been just as engineers but as primary administrators of

state's program. After their involvement in two different

states as building regulatory officials, both were under

contract with the National Bureau of Standards to evaluate

various aspects of the industrialized housing regulatory process, including third party agencies. Tyrell Brooke came

from a consulting firm based in Washington, D.C. His firm

had been involved in a number of building regulatory reviews

outside of the industrialized housing arena and he served

as a valuable resource for comparison for what was being

done in other areas. The state of Pennsylvania was represented by C. Morgan Edwards, who was the Chief Administrator of Industrialized Housing Regulatory Program for

the state.

RECOMMENDATIONS

In reviewing the process that was carried by the state

of Pennsylvania, one may conclude that the process was rather

lengthy and overly involved. But in reaching this conclusion, one must be considered that by the time Pennsylvania

entered into the third party regulatory process for industrialized housing, a number of independent engineering firms

and other types of agencies were beginning to feel that they

could enter the third party business. The more that Pennsylvania investigated the practices in other states, the

clearer it became that a precise procedure must be utilized

in determining which agencies would qualify and which agencies

v/ould not qualify to represent the state in this manner.

In concluding, I would like to make the following recommendations to any state or federal agencies which find

themselves in a situation of using third party agencies

to carry out the evaluation and/or inspection functions.

1. The ASTM Standard E541-75 should be used as a basic criteria for defining the expectations

, of an independent agency.

301
*Note: This is the document discussed earlier in

the paper as being in the draft stages when Pennsylvania designed their approval process.

2. A written application should be required, requiring

agencies to submit documentation defining their

qualifications to participate as a third party

agency.

3. Some form of on-sight visitation should be made

to verify the application data, as well as observe

the agency in operation.

4. A performance system should be designed to determine whether the approved agencies are increasing or

decreasing their performance over a given period

of time.

5. A re-approval process should be used at least

annually to insure that agencies are continuing

to carry out performance as originally approved.

302
COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF COMMUN.TY AFFAIRS SUMMARY OF APPLICATION FOR APPROVAL

BUREAU OF HOUSING AND DEVELOPMENT

Date of Application Name and Address of Applicant

Branch Office Locations

This is an EE! INITIAL

application for: REAPPROVAL

MOBILE HOMES INDUSTRIALIZED HOUSING

Evaluation Agency D Evaluation Agency D Inspection Agency Inspection Agency FEE S FFF %

DCA USE ONLY

FEE ENCLOSED TOTAL FEE * n Approved

Date O Rejected Date

Application Information

is found on

page(s):

INFORMATION REQUIRED IN APPLICATION:

a. the legal character and good standing of the applying person;

b. the financial strength of the applying person;

c. the qualifications of the management and technical personnel of the applying person;

d. the range of salaries and other compensation of the technical personnel (including inspectors) of the applying

person, excluding all principals, principal officers, and directors of the applying person;

e. the policies and procedures of the applying person for the hiring, training and supervision of all technical personnel, including education and training following changes in the codes and standards applicable under these

regulations;

f. the extent, if any, to which the applying person will engage independent consultants and the functions the independent consultants will perform;

g. the prior experience of the applying person in performing similar or related functions;

h. the capability, if any, of the applying person to perform testing, including the nature of such testing and the facilities and personnel to perform it, and the identity, facilities, experience, and key personnel of any

independent testing agencies with which arrangements have been made for testing services and the nature of such testing services;

i. the extent, if any, to which the applying person is affiliated with or influenced or controlled by any

producer, manufacturer, supplier or vendor of products, supplies or equipment used in industrialized housing or housing components;

j. the procedures to be used by the applying person in discharging the responsibilities under the regulations

of an evaluation agency or inspection agency, as the case may be. An applying person seeking approval as an

inspection agency should furnish representative examples of compliance assurance manuals it would use for each

type of construction for which is seeks approval, and state its policy with respect to the frequency at which it will conduct inspections of each phase of the manufacture, transportation and installation of industrialized housing, housing components or mobile homes.

FIGURE 1 303
Agency Name Primary Office

Address

THIRD PARTY APPLICATION CHECKLIST

FIGURE 2

Primary Contact

Telephone

ELEMENTS SUBMITTED SATISFACTORY

A. Managerial Affiliations

B. Agency Affiliations

C. Personnel Affiliations

D. Personnel Affected by Outside

Inf 1 uence

A. Articles of Incorporation'

B. By-Laws

C. Organizational Structure

D. Stock Ownership

E. Professional Authority and Liability Responsibility

F. Staff Qualifications:

1 . Structural

2. Mechanical

3. Electrical

4. F1re Protection

5. Miscellaneous

6. Summary of Staff Education

7. List of Consulting Enaineers

8. Organization Chart

G. List of Advisory Persons

H. Evaluation Experience

I. List of Contracts with Persons Other Than Employees

A. Description of Evaluation Process

B. Description of Testing, Analysis,

and Recording

C. Address of Central Records

D. Two-year Record Maintenance

E. Methods and Procedures

3TJ4
INTERVIEW INFORMATION GUIDE FOR INTERVIEWING THIRD-PARTY AGENCIES

APPLYING FOR APPROVAL UNDER PENNSYLVANIA MOBILE HOME

AND INDUSTRIALIZED HOUSING PROGRAMS

Preliminary Instructions:

1. The purpose of the Interview Information Guide is to assure the relevant information is asked of each third-party

agency applicant and recorded in an uniform amnner to facilitate comparisons and evaluation. In some instances, I have

summarized some of the specific characteristics we are looking

for to aid you in your investigation of the agency. Each person participating in the interview should be thoroughly familiar with the agency's written application and with the content of the Interview Information Guide before the interview

begins. It will be noted that the information listed in the

Interview Information Guide is presented in the order of the

listing of the criteria for evaluating third-party agencies

in the regulations. However, do not feel that you should re- strict your inquiry to matters listed in the Interview Information Guide if other matters seem relevant to the agency's

qualifications

.

2. At the start of every interview, each third-party

agency should be informed that the interview constitutes

an integral part of the application and evaluation process.

Responses to questions to the agency will become a part of

its application and will be placed in the permanent file

of the third-party agency maintained by the Department of

Community Affairs.

3. After the conclusion of the interview, the interviewer should fill out a new Interview Information Guide which

organizes the information gathered during the interview in a more organized manner than is likely to come from notes made

during the interview. This should be accomplished as rapidly as possible after the conclusion of the interview while'

impressions and memories of the conversations remain vivid.

4. A final blank page has been included at the end of

each Interview Information Guide. This page may be used to record any additional observations you wish to make about the

third-party agency. This page may also be used to record observations if you are able to visit a manufacturer's plant

which is serviced by the third-party agency.

5. Each agency has been asked to furnish, as supplemental

information if not included in its earlier application, its

latest financial statement, an organizational chart, flow

charts, illustrating its procedures in performing as an evaluation and inspection agency, a litigation report and a list

of clients representing 20% or more of its gross billings.

This information should be made available to you during your

interviews, if not previously furnished. The organization

chart and flow charts should be particularly helpful to you

in gaining an understanding of how the agency is structured

and how it operates.

6. Specific numerical references to sections in the

regulations are to sections in the regulations for the In- dustrialized Housing Act. However, a parallel section can

be found in the regulations for the Uniform Standards Code

for Mobile Homes Act. July 3, 1974

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307
FIGURE 6

AGENCY NAME

APPROVED AS:

THIRD PARTY RATING

DATE OF VISIT: ELEMENTS OF QUALIFICATION

n a o H

ORGANIZATION CONSIDERATION

1 . Conflict of Interest Manufacturers

Engineering

Others

2 . Dependence

Manufacturers

Testing Facilities

Outside Consultants

3 . Litigation

Direct

In-Direct

4 . Problem with Other States Suspension/Revocation

Other

5 . Other Considerations

Consumer Complaints

Agreement Violation

Co-operation with Dept.

EVALUATION AGENCY

1. Staff

Manager

Engineers

Technicians

2 . Administ. Procedures

Collection of Data Documentation

Back-Up Services

Training

3 . Evaluation Review

Structural

Electrical

Mechanical

Plumbing

Revisions

Transport/Instal

4 . Quality Assurance

Plant Evaluation

Staff

Procedures

Inspection Manual

308
FIGURE 6

AGENCY NAME!

APPROVED AS:

THIRD PARTY RATING

DATE OF VISIT

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ELEMENTS OF QUALIFICATION

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INSPECTION AGENCY

1. Staff

Manager

Supervisors

Inspectors

2 . Administ. Procedures

Inspection Reporting

Analysing

Testing

Up-Dating

Documentation

Rotation of Staff

3 . Review Inspection Reports Check List

Frequency

Monitoring

4 . Quality Assurance

Quality Control Procedures

Tests/Records

Site Visits

5 . Seal Controls

Record Keeping

309

STRUCTURAL INSPECTION OF COMPLEX STRUCTURES

by

Claude G. Cooper, P.E., Director, Division of Inspection

Services, Fairfax County, Va.

Gerald P. Berson, P.E., Chief, Permits and Plan Review,

Fairfax County, Va.

This paper provides a look at what a local county government,

burdened with the responsibility of inspecting all new construction,

has done to insure quality construction, proper inspection and code

compliance for large or complex structures, with a minimum of expense

to the tax payers.

Key Words: Code enforcement; County Building Code; critical

structures program; expense; inspection requirements; pre-construction conference.

311
INTRODUCTION

On March 2, 1973, a portion of a high rise building under construction

collapsed at Bailey's Crossroads, Virginia. Fourteen workmen were

killed and forty-three were injured. For two weeks, the national news media focused on the tragedy.

COLLAPSE AT BAILEY'S CROSSROADS, VIRGINIA

COLLAPSE AT BAILEY'S CROSSROADS, VIRGINIA

312
313
A NEW INSPECTION PROGRAM

During the aftermath, the Fairfax County Government examined its

inspection program to determine what could be done to reduce the possibility of future tragedies within the County.

The first alternative open to the County was to write new requirements into the County Building Code and to hire additional inspectors

to enforce them. Those who endorsed this alternative advocated at

least one inspector full time on every job. The County reviewed this

proposal and rejected it because it meant adding too many additional

people at a time when the economy was in a recession. And now with

the current attention focused on government spending, this decision

is still valid. Evaluation of the building codes indicated that they were adequate in their construction and inspection requirements. The

County also evaluated the private sector of the architectural and

engineering community and found that professionally qualified people were available to perform the required inspection.

The County decided to adopt a mechanism for enforcing the

nationally recognized codes to ensure that professionally qualified

people were involved during critical construction activities.

The County Board of Supervisors promulgated a policy requiring

all critical structural work to be monitored by a professional en- gineer or registered architect. This could be either the engineer

or architect of record or someone acceptable to the County. The

Board also stated that these people would control the contractor's

activities. This meant that critical activities such as pouring

concrete and stripping formwork could not proceed without their approval

Finally, the Board stated that County inspectors would monitor the

projects on a random basis to ensure that the operation was satisfactory

In practice, the procedure works as follows. After the plans have

been submitted, the Chief of Plans and Permits reviews them to determine

whether or not the design comes within the scope of the critical structures program. If the design does, then the applicant is notified that

construction operations must be monitored by a professional engineer or architect.

The scope of the program is defined to include:

o Structures more than six stories or 75 feet in height.

o Structures with unique design features; such as an underground

school with radial reinforcing bar patterns.

o Deep foundations, such as drilled piers.

o Large retaining walls.

o Structures with broad expanses of area such as a shopping

mal 1

314
After the plan review is complete and the inspection firm has

been selected, a pre-construction conference is held. The construction

conference includes:

1. The design engineer or architect.

2. The structural superintendent.

3. The general superintendent.

4. The Chief Building Inspector and his personnel, and

5. The engineer or architect responsible for performing the

required inspections.

Some of the topics discussed at the pre-construction conference

are

:

1. Scope of duties for the inspection firm.

2. Rate of testing and the Code requirements involved.

3. The forms that will be used to report and verify progress, and

4. The control features that will be required.

After the conference, the building permit is issued and construction

can begin.

During construction the inspection firm submits reports to the

design engineer or architect and to the County. For example in

reinforced concrete construction, the inspection firm is expected

to verify the:

1. Size, number and location of reinforcing bars.

2. The condition of the batch plant.

3. The proportioning of the concrete mix, and

4. The accuracy of form work and shoring.

The inspector is also required to personally observe every concrete

pour. The results of this inspection are monitored by a County

Inspector who maintains surveillance over 8 to 10 projects to insure

everything is progressing satisfactorily.

315
If an unusual situation arises or if an ambiguity in the plans

is discovered, the design engineer or architect qf record is called

in by the County for a resolution. Once the determination is made,

construction resumes.

All reports are required to be certified by the engineer who

supervises the inspection and testing effort. At the completion of

the critical structures portion of the project, a final report is

required. This report must certify that those elements of the

building which he inspected have been constructed according to

approved plans and all pertinent building codes.

The advantages of the program are obvious:

1. The quality of construction has improved because it has

been more closely monitored.

2. The design engineer is more involved in construction.

Therefore, he has a better idea of what is happening

to his design during construction.

3. Any decisions regarding plan ambiguities are resolved by

qualified people, and

4. The inspection agency is backed up by the legal enforcement ability of the County. This insures that any deficiency noted by the inspection agency will be corrected.

Naturally, the program does have costs associated with it, however,

they do not appear significant.

Some testing firms have complained because the County allows

either the owner or the contractors to contract with them for services. They would like the County to adopt a policy requiring

the owner to employ the inspection firm. They feel they have more leverage on the job if the owner hires them. We concur with this

thinking but we have not as yet found a way to legally compel such

a procedure.

Some designers have been apprehensive about their professional

liability if they make inspections. However, several engineering

testing firms have willingly entered this arena. The testing

laboratories in the Washington area have organized into a selfpolicing group, (WACEL). A majority of the member firms have

worked successfully on large buildings in the County.

Owners, however, have been quite pleased with this procedure

even though it does represent an additional cost for them. For one

10 story condominium apartment building where the average cost of

316
I

A WELL DESIGNED SHORING SYSTEM

317
TAKING A CORE SAMPLE FROM A CONCRETE SLAB

CHECKING THE SPACING AND

NUMBER OF BARS COULD BE A PROBLEM

318
I

I

CHECKING THE SPACING AND CONCRETE

COVER OVER THE REINFORCEMENT STEEL

319
a unit was $50,000.00, the cost of complex structures inspection

was $50.00 per unit. Another 200 unit apartment building where the

average cost of a unit was $78,400.00, the cost of complex structures

inspections was $91 .00 per unit.

CONCLUSION

Fairfax County's experience indicates that it is possible to

insure that Code requirements are satisfied without drastically

altering the size of the County staff. This can be done by promulgating procedures that insure professionally qualified people are required to monitor construction and that existing Codes are en- forced.

i

320
LIGHTING Aim BUILDING CODES FOR ENERGY CONSERVATION

by

Marietta S. Millet, J. R„ Bedrick, G. S. Spencer, & G. B. Varey

Department of Architecture

and

Built Environment Study Teaching and Research Group,

Institute for Environmental Studies

University of Washington

Seattle, Washington

The role of lighting within the purpose of building codes is

discussed. A review is made of the continuing controversy over the

visual performance criteria being used as the basis for IES

(Illuminating Engineering Society) recommended levels of illumination.

These levels are the present design procedure base levels for the

ASHRAE 90-75 and NCSBCS Code for Energy Conservation lighting power

budget procedure. The third section of the paper lists the objectives

of an energy-conserving building code for lighting and compares the

NCSBCS code with a lighting power budget approach recommended for

Seattle by the Citizens' Task Force on an Energy-Conserving Building

Code, on which the author serves. The final issue discussed is an alternative for the future, a performance standard. Thorough

evaluation of lighting alternatives for energy conservation will

require detailed analysis, such as computer simulation, that looks at

the interaction of the building components and systems. A lighting

computer program which has been developed at the University of

Washington to predict illumination levels from daylight and from

artificial light sources is described briefly, and its inclusion in a larger building performance simulation outlined.

Kay Words: Building codes; building performance simulation;

computer applications; energy conservation; illumination

standards; lighting distribution simulation; visual

performance.

321
INTRODUCTION

Many states and cities have recently completed, or are in the

process of, writing energy-conserving building codes. Due to federal

mandate, these standards must match or exceed ASHRAE 90-75 in their

potential for saving energy use through building design. In the field

of lighting, a controversy has arisen over the proper form that these

standards should take. Lowering illumination levels is one of the

effective ways to reduce energy consumption for lighting. Since there

has been much well-founded criticism of the official Illuminating

Engineering Society position that its recommended levels of

illumination should be followed, both the background for the setting

of these levels and also alternative research approaches are examined.

Objectives of a code for energy conservation in lighting are listed,

and ASHRAE 90-75 (1) and an approach taken in Seattle (2) are evaluated

according to these objectives.

A new approach to building codes is being considered now: a performance code. Some considerations necessary to a performance code

for lighting are mentioned. The use of computer programs to simulate

building performance and energy use would seem to be necessary to

allow use of performance codes and to encourage innovation and accuracy

in building design. A computer program, UWLIGHT , which simulates light

distribution in rooms from daylight and from artificially-generated

light, is described briefly.

i BUILDING CODES AND LIGHTING

The stated purpose of building codes is to promote the health,

safety, property, and public welfare of the occupants and neighbors of

a building. (3) However, it is often difficult to know where to draw

the line in assessing health and safety with respect to illumination.

It has been stated categorically that no organic damage to the eye or human visual system will result from low levels of illumination. (4)

An analogy to hearing is helpful in understanding this concept: we may

have to strain to hear a faint noise, but it will not cause damage to our auditory system as loud noises can. Furthermore, with regard to

safety, only very low levels of illumination are necessary in order to see well enough to move about safely. An example is a moonlit country i scene, where the average illuminance may be around .01 f ootlamberts

,

but it is still possible to walk about without aid of a flashlight.

In buildings, a minimum level for safety ranges between ,5 and 5 footcandles (2,5), although these levels would never be proposed for

work areas. In terms of health and safety, then, illumination levels

are not a major factor. Design of the building systems to prevent

them from collapsing on people or burning needlessly ia an appropriate

area of regulation for health and safety of the occupants, as is design j for sanitation to prevent the spread of communicable disease.

The performance of the people working or living inside these

buildings does not seem to be an appropriate area of regulation for

health and safety, however, once the miminum standards have been met.

It is well-recognized that illumination levels alone do not account

for differences in human visual performance. Factors involved in |i

322
visual performance beyond illumination level include the quality of

the lighting installation; the physical and performance characteristics

of the task; the physiology of each person's visual system; and the

mental condition of the person with all the many variables that

entails. (6,7) Certainly a massive research effort is needed if these

variables are to be explored systematically and useful results

obtained. Even if such research were to be completed, a word of

j caution must be entered: lighting is inextricably linked to perception

i and aesthetic judgment of an environment, and reaction to it is

difficult to quantify. Even a brief look at recent buildings will

attest to the individuality of design aesthetics. It would be

restrictive to legislate lighting in such a way as to narrow available

choices within the context of reasonable energy use. It would be

helpful to know, however, the physical parameters of "comfortable

lighting" just as it is helpful to know ranges of temperature,

| humidity, and air movement which produce occupant comfort. (8) It

is difficult to factor in all of the variables, however. Questions

about preferences are now being asked and researched by Prof. John

Flynn at the University of Pennsylvania, but it would seem that in

the case of lighting this is information for designers, not for codes.

The purpose of energy-conserving building codes is to assure the

conservation of energy used in building construction and operation

without adversely affecting the health and safety of the occupants,

i There is ample evidence that the prevalent lighting design practice

has resulted in the consumption of proportionately large amounts of

a building's energy use, mainly through the provision of high levels

of illumination as recommended by the IES. (9,10) These IES

recommended levels are the basis for the NCSBCS and ASHRAE 90-75,

Section 9 (lighting) energy-conserving codes, which are essentially

the same. (1, 11) In effect, all these codes require is that, the

lighting energy use for all the different parts of a building must be

designed using specific tasks for each area and the IES recommended

illumination levels for each task. (12,13) Once the design is completed, the projected energy use for that design cannot be exceeded.

No energy use limit is actually set; the design procedure could

result in an "energy budget" of five watts per square foot for

lighting. Although Tao has shown in a recent article (14) that

judicious use of ASHRAE 90-75 can result in more energy savings than

the energy limits set by North Carolina, Massachusetts, and California

codes, he also points out the fact that tasks could be so chosen by

the designer to get a higher lighting power budget than needed. Of course we all hope that project designers will follow good practice

and not inflate the budget, but the fact is that this method of setting

a power budget allows inflation.

VISUAL PERFORMANCE CRITERIA: THE CONTROVERSY OVER ILLUMINATION LEVELS

Major savings in energy use for lighting can be achieved by

lowering illumination levels. (2,9,10,15,16) There are many other

means, too, such as using efficient light sources and luminaires

,

dimming, switching, designing for non-uniform lighting levels, and

using dayllghti,: all of which have been practiced by some designers

323
for many years. But the relative merits of using these latter

measures, versus a combination of these approaches with reduced

illumination levels, is a long and continuing controversy. Some of the

early and current research work in the area of visual performance and

prescribing illumination levels is reviewed here as background for

understanding the different approaches and the effect of their results

on visual performance and energy consumption for lighting.

There are two opposing schools of thought on the levels of

illumination that are necessary for optimal visual performance. One of

these schools of thought relies on laboratory tests of human visual

performance to obtain data to establish illumination levels. (17,18,

19) The other approach involves testing the total task performance of

human subjects in as realistic a work setting as possible. (20,21) In

the 1940' s, Luckiesh, a proponent of laboratory vision experiments,

opposed Tinker, who worked in the other manner. (18,21,22,23) The

proposed illumination standards resulting from Tinker's work were lower

than those resulting from Luckiesh 1 s, and each criticized the other.

Even in the same "school" of visual performance testing, differences

in methods lead to different results and implications for establishing

lighting standards. For instance, Yonemura et al. (19,24) have set up

laboratory experiments investigating parameters of human vision that

lead to different conclusions that Blackwell's work (17) which, as the

basis for IES recommendations, is explained below. The experiments of

Yonemura e_t al. were conducted at threshold (illumination level at

which one can just detect "something") and suprathreshold (range of

illumination in which one can definitely see) levels, rather than only

at threshold as Blackwell's had been conducted. Their data for

threshold visibility corroborated Blackwell's findings, but showed

different relationships between task contrast and level of illumination

as light levels were raised. In fact, according to Yonemura' s work,

there seems to be an optimum illumination level for certain types of

tasks, and visual performance may even fall off above this level.

There is also a matter of the interpretation of results as well as experimental method. For example, the work of Smith and Rea is

sponsored by the Illuminating Engineering Research Institute (IERI) and

is cited by them as supporting their recommended illumination levels.

(20) This research also forms the basis of Ross and Baruzzini's

Federal Energy Administration report which questions the validity of

those levels. The situation is complicated. Is the basis for using

IES recommended levels of illumination supported and justified by

unquestioned evidence solid enough to warrant their use a a prescription

for energy- conserving lighting codes at this time? The answer is no. A brief review of the development of current IES recommended levels

is given as background for that opinion.

The research work upon which current IES recommendations are based

was done by Blackwell and reported in 1959. (17) His work follows the

school of thought that bases visual task performance analysis on laboratory experiments. Blackwell investigated visual performance

using contrast discrimination as the experimental parameter. The

variables that were studied are task luminance, size of the detail to

be identified, contrast between task and background, and recognition

324
time. The Blackwell experiments were conducted* at threshold visibility

and the results extrapolated for application to suprathreshold . The

results of Blackwell ? s work have been presented in the form of a Visibility Level curve relating the task contrast (e.g., the difference

in the luminance of the letters on this page to the luminance of the

paper) to the luminance of the background of the task material. (25)

The "necessary" level of illumination for a certain Visibility Level

can be found by figuring the amount of incident illumination needed

on the background of known reflectance to achieve the prescribed

background luminance. The curve chosen for figuring illumination

needed for suprathreshold visibility is the Visual Performance

Criterion Function, known as VL8 because it has been displaced up the

vertical scale of the graph by a factor of 8 from the curve obtained

from experimental data (1.9 to account for conditions of realistic

work, 2.78 to account for a moving target, and 1.5 to account for

locating the target) . (25)

Both the experimental approach and the application of the results

have been questioned. Was the design of the experiment really relevant

to real-world situations? How much did the isolation of the visual

task from other aspects of perception we normally use — touch, hearing

smell — affect the visual performance of the subjects? Is the choice

of 99% theoretically perfect performance as a parameter a reasonable

one, especially in light of the fact that amounts of illumination

necessary to raise performance from 95% to 99% accuracy are very large?

For example, for a particular task, a 200% increase in illumination

would be necessary to achieve a 4% increase in accuracy. Finally, is

extrapolation from threshold data to suprathreshold levels by a simple

multiplier valid? (24)

The question of the relationship of the Blackwell experimental

setup to real-world applications has been investigated by Smith and

Rea. (10) The visual task used in Blackwell 's experiment was the

detection of a luminous disk subtending four minutes of arc to the eye

when it was exposed for 1/5 second. Smith and Rea conducted experiment

in which subjects were given realistic tasks (reading, check sorting,

and proof reading) at levels of illumination ranging from 1 to 450

footcandles. As a result of these experiments and a survey of other

research, the FEA report strongly recommends that VL8 be abandoned as the sole indicator for performance with regard to lighting for the

following reasons: it is based on visual performance related to only

one very difficult task; relating visual performance to the Visibility

Level has been shown to vary in ways that are not yet completely

understood or predictable (see 3130^23); results ^predictdd f rora VL8 .'do not agree with tests that measure performance; and the use of Visibilit

Level criteria alone ignores the contribution of other factors such as contrast, size, and performance time, which have been shown to be more

effective than raising the level of illumination for improving

performance. (29)

Experiments in the area of total task performance are currently

being conducted by Smith and Rea. (20,22,26) Their latest work in

visual performance as reported by Ross is with numerical recognition,

32 5
thought to be one of the more difficult visual and cognitive tasks

likely to occur in typical office work. Subjects worked at a real

task matching columns of numbers under realistic conditions. The

conclusions drawn from this experiment are, first, that task

performance is improved little, if any, for most office tasks by

adding illumination to the task once 20 to 30 footlamberts brightness

is achieved. (This brightness is achieved for most tasks in the range

of 30 to 50 footcandles incident illumination.) Second, no amount of

added illumination to achieve brightnesses in the range of 30 to 150

footlamberts can compensate for task material with poor contrast (such

as gray letters, rather than black). Third, performance with poor

quality task material such as handwriting (rather than typing) cannot

be improved significantly by increasing brightness above 10 footlamberts.

And further, no increase above 10 footlamberts can cause significantly

improved performance for the older subjects. (22) A recent article

by Smith (26) points out that plotting psychophysical data such as the

results of these experiments on linear abscissa, as Ross has done, is

inaccurate and that the data should be plotted on logarithmic scales

for brightness. In either case, analysis of the numbers on the graphs

leads to the same conclusion: that above a certain brightness level,

inordinately large amounts of additional light (and therefore energy)

must be added to achieve very small increments of improvement in

visual performance.

Several recent reports have stressed the relationship between

illumination levels and productivity with the warning that reduced

illumination levels may cause productivity to drop, necessitating

longer working hours, and thus more energy expenditure for the same amount of work. But, there are also reports that show no drop-off in

measured worker productivity with decreased illumination level. (22)

Quantity of light is only one of many factors influencing performance

and productivity and may not even be the most effective in improving

production. Other approaches can be taken. Improving the quality of

the task material (such as using a clean Xerox copy rather than a smudged fifth carbon)has been shown to improve visual performance of a task more effectively than increasing the illumination. (22) Another

example comes from China, where people doing embroidery work are required to do eye exercises at certain intervals throughout the day.

Several studies conclude that worker productivity is unlikely to fall

due to lighting level alone. (22,27)

No agreement has been reached in the professional lighting

community regarding the results of the various experimental approaches

to establishing illumination guidelines related to human visual

performance. There persist several disagreements on means and results.

The IES of North America continues extrapolating research results in

the line of previous interpretation of Blackwell's work, while reasonable

interpretation of the work of Smith and Rea and Yonemura et al. points

toward other alternatives. Hopkinson notes (28) that once minimum

levels are achieved, the provision of more illumination depends on

326
economics. When we are faced with real problems in the national

economy concerning the cost and supply of energy for buildings,

lighting included, we may be able to reach an agreement concerning

illumination levels and energy use for lighting. A reasonable

approach is one suggested by Thornton (29) : "The central question

before us all in these times is: How little lighting power can be used

to illuminate a worker's task without measurably reducing his

performance?"

It is difficult to get a true feeling for the elements of the

illumination level dabate by reading research results and differing

opinions. The most useful information is first-hand experience, and can be acquired very simply by carrying around a light meter for a day

to measure the light levels which you experience during a typical

day and to compare these measurements with your reaction to the

different environments. A simple footcandle meter can probably be

borrowed from a local office which deals in lighting products or from

a college or university. It is also possible to use a photographic

light meter by taking some comparison measurements with it and a footcandle meter and marking a footcandle scale on the photographic

light meter. It is important in this exercise to describe first how

you respond to the environment you are going to measure: pleasant,

unpleasant; cheerful, gloomy; bright, drab; easy to see and work,

difficult to see and work; etc. Than take a few measurements. In

exercises done by my students, the illumination level in environments

rated "good" have varied between 2 footcandles and 8000 footcandles

(the latter outdoors) . This exercise may convince you better than

research results that no unsafe or unhealthy conditions will be forced

on the American populace by following codes for lighting which limit

energy, use and may affect illumination levels. The. normal eye adapts

well to changing conditions, and the quality of the luminous environment

is more important than quantity after minimal needs have been met.

OBJECTIVES OF AN ENERGY-CONSERVING CODE FOR LIGHTING

A reasonable approach to addressing lighting in building codes is one recommended by Ross and Baruzzini, consultants to the Seattle

Energy Office, in their work on writing an energy-conserving building

code. (2) This approach will be compared with ASHRAE 90-75 in meeting

objectives set for this type of code.

Recent work on energy codes for light basically agree on the

objectives that lighting standards should meet. These objectives,

taken from Ross and Baruzzini' s Seattle report, state that lighting

codes for energy conservation should:

1. effectively and measurably reduce energy consumption;

2. be simple to understand for both designers and code officials;

3. not restrict the design approach;

4. be equitable and economical for building owners and tenants; and

32 7
5. be flexible and amenable to revision.

Each objective will be applied to the NCSBCS approach and to the

Seattle approach. Both code methods result in a lighting power budget,

the former in watts /square foot of net useable floor area, and the

latter expressed in watts/gross square foot of building area.

1. The first objective can be met by simply limiting energy allowable

for lighting, making sure that the limit allows good lighting

installations. This approach has been used in California,

Massachusetts, North Carolina, and Oergon — with some variation among

them — as well as Seattle. The current California code has lighting

power budgets designated for approximately 360 tasks and building

types. The North Carolina code uses a single number for all lighting

energy limits (3 watts/square foot), Massachusetts sets six use

categories (four indoor and two outdoor) , and Oregon uses fifteen

categories (thirteen indoor and two outdoor)

For the Seattle Energy Code, nine categories of lighting energy use have been identified by Ross and Baruzzini: seven for interior

occupancies and two for exterior lighting. Unit Power Budgets for each

category have been designated for the most part on the basis of Ross

and Baruzzini 's studies for the National Bureau of Standards. (See

Appendix I, Unit Power Budgets) Their brief survey of Seattle's current

energy use for lighting offices and markets showed an average

connected lighting load of 5.1 watts/square foot for offices and 6.3

watts/square foot for markets. Obviously the proposed code limits of

1.7 watts/square foot for offices and 2.4 watts/square foot for retail

spaces will effectively and measurably reduce energy consumption. As

explained in the previous section, the NCSBCS/ASHRAE 90-75 code ensures no such savings. In fact, the lighting section of this code is listed

in a recent article as a loophole in the ASHRAE 90-75 code. (30)

2. The second objective, that lighting codes be simple to understand

for both designers and code officials, is also met by the Seattle

proposal. The lighting power use in a building is simply the total

installed watts for lighting divided by the gross floor area. Both

figures are calculated as part of standard practice in figuring

electrical loads or in figuring building area, making the final

calculation check easy. The fact that the lighting energy budget is

set by the designer in the NCSBCS approach means that code officials

would have to know all the original design assumptions and be able to

calculate all the back-up material in order to check out the validity

of the budget. Since this back-up material is based on task

definition and the entire IES calculation process, code officials

would have a lot to learn. In the Seattle and other energy limit

approaches, only the numbers need to be verified.

3. The third objective, not to restrict the design process, is

addressed by both approaches, but in different ways. The power

budget approach of Seattle and others puts no restrictions on design

method. Although ASHRAE 90-75 specifies the lighting design process

and requires its completion in order to establish the budget, once

32 8
established the allowable lighting energy can be used in any way.

4. The fourth objective is that the code be equitable and economical

for building owners and tenants. ASHRAE 90-75 fails in this respect

due to the wide vicissitudes it allows in setting power budgets.

Depending on the design, two buildings of the same size next door to

each other with the same operating schedule could easily have lighting

energy uses that differ by a ratio of 5 to 1, and the quality of the

lower energy-use installation could actually be better. Since

owning and operating costs are generally ten times the first costs of

a building, cost benefits will continue to accrue where lighting energy

use is limited. Although lighting design fees will increase in order

to meet fixed power budget limits with good designs, reductions in

energy use will return that investment approximately thirty-five

times. (2) There will be additional savings through reduced airconditioning loads since each watt of lighting requires approximately

half a watt of air-conditioning. (10) A fixed power budget approach

spreads these costs and benefits equally among building owners and

tenants. A variable power budget limit, as set by ASHRAE 90-75, does

not

.

5. The fifth objective, being flexible and amenable to revision, is

met easily by the Seattle proposal, since any new definitive research

results or other findings can be reviewed by expert consultants, base

calculations figured again, and a new unit power budget set. The

NCSBCS /ASHRAE 90-75 approach, on the other hand, is based on the entire

illuminating engineering process and all its background and assumptions.

To alter or revise this procedure would be to change the code. The

lighting level recommendation procedure is in fact in the .process of

revision with the planning of the sixth edition of the Lighting

Handbook , scheduled for publication in 1980. This process is

necessarily lengthy as it is careful, but it may result in both a new method of recommending lighting standards and higher recommended

levels of illumination. The introduction of an energy-conserving code

for lighting based on this procedure will not meet the objective of ease of revision. When changes occur in recommended practice, code

officials will have to learn the new system in order to review the

calculations.

The conclusion to be drawn from this review is that the ASHRAE

90-75 approach meets the third objective while the Seattle approach

meets all five objectives. Objectives 2 and 5 are of particular

interest to code officials. It seems more economical to pay a recognized expert consultant once to set appropriate and reasonable

power budget limits than to have code officials continuously checking

lengthy calculations. This checking may even have no bearing on conserving energy since no limits are set by the 90-75 procedure.

The power-limiting approach also serves as an incentive to

manufacturers and designers to explore new approaches, since the

power budget is set and compliance cannot be avoided by writing

one's own budget. In regard to the realistic possibilities of

meeting the proposed power budget limits, office and school lighting

329
,systems have been installed at 1.5 watts/square foot and .9 watts/

square foot, below the recommended 1.7 watts/square foot limit. (2)

ALTERNATIVE FOR THE FUTURE : PERFORMANCE CODE FOR LIGHTING

This report has considered viable code alternatives for immediate

implementation. The best alternative for the future, in the author's

opinion, is a total building energy budget approach. Also called a performance standard for building design, this approach considers the

energy required to provide habitable conditions and occupant comfort

within a building in a certain climate zone. Regulations based on

this type of criteria would meet all five objectives of an energyconserving building code for lighting, and it would do it in concert

with other building systems. The interface among the various building

systems — building envelope, HVAC, and lighting — would be most fairly

observed under a total energy budget approach, and the most freedom and

allowance for innovation would be fostered.

There are currently two national efforts underway to develop codes

and standards of this type. One is a HUD-sponsored American Institute

of Architects study, and the other is an NBS study. Some preliminary

findings of the NBS study have been released (7,31), and it is

interesting to consider briefly how the performance approach can be

used in building codes for energy conservation in lighting.

Many new factors are added to the usual lighting considerations

when they become part of a total building energy budget.

The time-dependent nature of use of the lighting system becomes a prominent factor, demanding detailed analysis of duration of use with

regard to climate (available daylight), occupancy, and control systems.

When considering use of available daylight, large-scale issues such as building orientation must be considered along with building subsystems

such as the building envelope. Glazing for daylighting allows added

heat loss and heat gain as well as admitting light, so that the thermal

balance of the overall building performance must be studied in order to

predict the role of that glazing as an overall energy-saver or energyloser for a particular building. If daylighting can be used to good

effect, then the artificial lighting should be designed to supplement

it. Interaction of the artificial lighting system with mechanical

systems and structural and ceiling systems must also be considered.

This very brief outline serves to give an idea of the inherent

complexity in a total building energy budget approach to lighting, its

design, and codes about it. The potentials for designing and building

truly climate-responsive and energy-conserving buildings is the strength

of this approach. However, it will require sophisticated analysis of

proposed building designs in order to predict accurately the expected

energy-consuming performance of a completed building.

UWLIGHT , a computer program recently developed at the University

of Washington by a research team working on energy conservation in

building design for the State of Washington, is an example of a

330
resource for analysis of lighting energy use. The. program simulates

the light distribution in a room resulting from both daylighting and

artificial lighting installations. The daylighting component of light

distribution in a room is calculated according to the C,I.E.

(International Commission on Illumination) concept and definition of

the Daylight Factor, which is the ratio of illumination at a given

point in a room to that light available outdoors on a -horizontal

surface from the unobstructed sky. . Light from the sky is calculated

using two C.I.E. standardized formulas for light distribution, the

CLE, Standard Overcast Sky and the C,I.E. Standard Clear Sky, Light

reflected from obstructions outside the room and reflections among

interior room surfaces are also calculated. The artificial lighting

component is calculated by a point-by-point method beginning with

photometric data about light distribution from the fixture. This data

is available from most lighting fixture manufacturers.

Interref lections of light within the room from these sources is

calculated at the same time as interref lections from daylight sources. Results of the calculations can be expressed in Daylight Factor for

daylight sources or in footcandles for both daylight and artificial

light sources. (32)

UWLIGHT is intended for use as a design tool, and as such it has

been kept separate from a larger building thermal performance

simulation program, UWENSOL, developed under the same research project.

(8) Use of UWLIGHT in design and building analysis problems is as a preprocessor to UWENSOL. A particular lighting design can be tested

and refined by using UWLIGHT . The resulting energy requirements are fed into UWENSOL by adjusting the daily schedule of artificial

lighting operation. The effects of daylighting design are evaluated

along with the other thermal transfer considerations when the window

and skylight data (location, type of glazing, type of shading devices,

type of moveable insulation) are entered into the program. The

effects of several lighting alternatives and all their details can be

analyzed by making runs changing these parameters alone and comparing

the resulting total building energy use for a defined period of time.

CONCLUSION

In accordance with the stated purpose of building codes, to

promote the health and safety of the populace, it does not seem proper

for codes to specify a lighting design procedure as done in ASHRAE

90-75. In view of the facts of the continuing controversy over illumination level and visual performance, it does not seem valid to

base energy-conserving codes for lighting on the achievement of

lighting levels above 50 footcandles except for special conditions.

Evaluating ASHRAE 90-75 and the Seattle approach against objectives

for an energy-conserving code for lighting, the Seattle approach is

clearly superior. Given the complicated interactions among building

subsystems which must be considered in a performance code for energy

conservation in lighting, computer simulation seems necessary as a design and analytical tool. A computer simulation program for

lighting, UWLIGHT , is described briefly.

331
REFERENCES

1. American Society of Heating, Refrigerating, and Air-Conditioning

Engineers, Design and Evaluation Criteria for Energy Conservation

in New Buildings , ASHRAE Standard 90-75, August 1975.

2. Ross & Baruzzini, Inc., "Recommendations, Seattle Energy Code,"

Prepared for Seattle City Energy Office, June 1978.

3. International Conference of Building Officials, Uniform Building

Code , 1976 edition, Section 102, p. 23.

4. National Institute for Occupational Safety and Health, The Occupational Safety and Health Effects Associated with Reduced Levels of

Illumination , Proceedings of a Symposium July 11, 12, 1974. HEW

publication No. (NIOSH) 75-142.

5. Illuminating Engineering Society, "EMS-5, Energy Management and the

lighting of office buildings," 1977.

6. Levy, Allan, "The CIE visual performance system," Lighting Research

and Technology , Vol. 10, No. 1, 1978, pp. 19-27.

~

7. Ross and Baruzzini, Inc., "Lighting Energy Budget for Office Buildings,

draft report prepared for NBS, April 1978.

8. Heerwagen, Dean R. and A. F. Emery, C. J. Kippenhan, and G. B. Varey,

"The need for a more explicit definition in building regulations of

the internal thermal environment in buildings," Proceedings of the

Second Annual NBS/NCSBCS Joint Conference on Research and Innovation

in the Building Regulatory Process, September 1978, in press.

9. Appel, J. and J. J. Mackenzie, "How much light do we really need?",

Building Systems Design , Feb/Mar 1975, 27-31.

10. Ross and Baruzzini, Inc., Lighting and Thermal Operations : Energy

Conservation Principles Applied to Office Lighting , Conservation

Paper No. 18, Federal Energy Administration, Washington, D. C.

,

April 1975.

11. BOCA, ICBO, NCSBCS, and SBCCI, Code for Energy Conservation in New

Building Construction , December 1977.

12. Illuminating Engineering Society, "EMS-IR, IES Recommended Lighting

Power Budget Determination Procedure," January 1973.

13. Illuminating Engineering Society, "EMS-3, Example of the use of the

IES recommended lighting power budget determination procedure," 1976.

332
14. Tao, William, "Systems Approach for Energy-Conserving Power Budget,"

Lighting Design and Application , Vol. 8, No. 3, March 1978.

15. Federal Energy Administration, "Energy Conservation and Environment."

Conservation Paper No. 3, Washington, D. C. , 1974.

16. Lam, William M.C., "ASHRAE 90-75 Lighting Standards: Energy Conservation or Smoke Screen?" seminar address to Governor's Council on

Energy, Concord New Hampshire, July 1976.

17. Blackwell, H. R. , "Development and Use of a Quantitative Method for

Specification of Interior Illumination Levels on the Basis of Performance Data." Illuminating Engineering , V. 54, 317-353, 1959.

18. Luckiesh, Matthew, "Footcandle Levels—Threshhold, Ideal, Optimum, and

Recommended," Illuminating Engineering , V. 43, 1948, 395-415.

19. Yonemura, Gary T. , W. M. Benson, and R. Tibbott, "Levels of Illumination and Legibility," NBSIR 77-1306, Center for Building Technology,

NBS, November 1977.

20. Illuminating Engineering Research Institute, "Progress Report" on work

of Smith and Rea at Ohio State University, No. 1 through No. 8. Dated

October 29, 1976 through October 28, 1977, New York.

21. Tinker, Miles A., "Trends in Illumination Standards," Illuminating

Engineering , V. 43, 1948, 866-881.

22. Ross, Donald K. , "Task Lighting—yet another view," Lighting Design

and Application , Vol. 8, No. 5, May 1978.

23. Yonemura, Gary T. , "Task lighting—another view," Lighting Design

and Application , November 1977, 27-30.

24. Yonemura, Gary, T. , and Y. Kohayakawa, "A new look at the research

basis for lighting level recommendations," NBS Building Service

Series 82, March 1976.

25. Illuminating Engineering Society, I.E.S. Lighting Handbook , Fifth

Edition, New York, 1972.

26. Smith, Stanley W. , "Is there an optimum light level for office tasks?",

Journal of the IES, Vol. 7, No. 4, July 1978, pp. 255-258.

27. Bitterman, M. E. , "Lighting and Visual Efficiency: The Present

Status of Research," Illuminating Engineering , V. 43, 906-922, 1948.

28. Hopkinson, R. G. , and J. B. Collins, The Ergonomics of Lighting , MacDonald Technical and Scientific, London, 1970.

333
29. Thornton, W. A., "Illumination for task performance—an opinion,"

Lighting Design and Application , October 1977, 32-33.

30. Duffy, Gordan, "Engineer says ASHRAE refuses to block 90-75 loopholes,'

ASHRAE News, May 29, 1978.

31. Stein, Richard G. and Associates, "Illumination Criteria Project,

Performance Standards for a Prototypical School," Ch. IVB,

"Methodology." Prepared for NBS, March, 1978.

32. Bedrick, J. R. and M. S. Millet, G. S. Spencer, D. R. Heerwagen and

G. B. Varey, "The Development and Use of the Computer Program UWLIGHT

for the Simulation of Natural and Artificial Illumination in Buildings,"

Proceedings of Second Annual Passive Solar Energy Conference, March

1978, in press.

334
APPENDIX I

LIGHTING POWER BUDGET LIMITS

from

SEATTLE ENERGY CODE (2)

TYPE OF OCCUPANCY UNIT POWER BUDGET. . (watts/square foot/

1. Office buildings, libraries, hospitals,

clinics, laboratories, police stations,

banks, court houses

2. Retail stores, enclosed shopping areas

3. School buildings

4. Museums, art galleries, field houses,

gynmasiums, indoor recreational

facilities, fire stations, restaurants

5. Auditoriums, public assembly, passenger

terminals, maintenance garages,

aircraft hangars

6. Warehouses, indoor storage

7 . Indoor parking garages

8. Special Task Requirements:

Description

8a.

8b.

8c.

9. Total Interior Lighting Power Budget

(Sum of lines 1 through 8c)

10. Exterior Power Budget:

10a. Building perimeter:

10b. Outdoor parking area:

ft. times 7.5^

ft. times 0.05

1.7

2.35

1.65

1.5

0.5

0.7

0.2

(2)

11. Total Building Lighting Power Budget

(Sum of lines 9, 10a and 10b)

(1) Watts, not volt-amperes

(2) Minimum of 1 KW

(3) Include stage lighting or special task lighting in 8.

335

TAX SHELTER IN CONSTRUCTION:

PUBLIC OBJECTIVES AND PRIVATE INCENTIVES

by

Urs P. Gauchat

Associate Professor of Architecture

Harvard University

Building as an activity is strongly conditioned by both the taxation

system and the building regulatory mechanism. Since both of these systems

represent public commitments and funds, it is reasonable to assert that

the ensuing consequences should, whenever possible, be mainly in the public interest. The main purpose of the regulatory system is to protect

the public by maintaining adequate health and safety standards. An os- tensible goal of the incentives as related to building is to further

public objectives by encouraging specific activities perceived to be of

societal value, which are not adequately covered by a free market situation.

It is felt that current tax incentives in building, however, are not always

in the public interest, but rather serve private interests instead.

It is felt that some conceptual changes in the building process and

pattern of ownership could best combine the intent of the regulatory and

taxation systems with public interest objectives. It is suggested that

the tax incentives in building could be designed to draw distinctions

between those aspects of building which are market-related (and hence in

the private interest) and those portions which are health and safety or- iented (and hence in the public interest) . It is further suggested that

tax incentives in building bear a direct relationship to the degree of

public utility involved.

The implications of this proposition are examined in the light of

increasing economic pressures to produce large quantities of housing

efficiently and economically.

337
INTRODUCTION

The Role of Taxation and Regulatory Systems in the Building Industry

Building is an important segment of the economy: approximately

half of all private funds invested each year are placed in construction

and real estate projects.

Since construction vies with other forms of investment for

capital, some strong incentives are needed to ensure a steady flow

of funds into building projects. To attract capital into this segment

of the economy the government has increased the actual profitability

of investments in the construction sector by a series of tax incentives.

These incentives are complemented by a complex regulatory structure

or constraint system which controls the activity of building to ensure

a modicum of health and safety for the occupants. These incentives

and constraints are strongly linked: incentives increase the profitability of investing capital in buildings; constraints increase building

costs and consequently reduce profitability. Any new regulations,

therefore, have to be associated with the concomitant financial inducements in order not to upset the balance of incentives and constraints.

Incentives

The incentives which account for the huge sums attracted with

regularity to construction are closely linked to the American taxation

system. Real estate and construction offer one of the prime forms of

tax shelter. Investment in these areas allows the investor to take

advantage of special tax provisions which, in turn, reduce the total

amount of tax liability. These reductions in taxes are, in fact,

equivalent to a public subsidy. In 1977, for instance, 10.3 billion

dollars were allowed as tax deductions to housing mortgage holders,

based on interest payments. This subsidy far exceeds the figure spent

yearly on all forms of public housing. In addition, portions of real

estate which are non-owner occupied can be depreciated yearly (usually

at an even rate over the length of a mortgage) . This practice results

in further income tax reductions by reverting income tax liability to

capital gains tax some time in the future. Not only are capital gains

taxes usually lower than income taxes , but it also makes funds available

to the owner until such time that the property is sold. The owner, in

fact, is borrowing money from the public at no interest. The present

high rate of inflation makes this arrangement even more advantageous.

Constraints

Constraints imposed on building take two principal forms: codes

and zoning ordinances. Codes regulate the manner in which things are built and tend to be enforced with police power. Their objective is

338
to protect the public from unsafe building practices and to curb excessive uses of energy. Codes maintain basic levels of safety and health

by establishing standards that must be met by anything built. Regulations apply, regardless of the purpose of a structure or its public

utility. Codes regulate construction in terms of either specified

performance levels or prescriptive methods.

Zoning ordinances tend to control what can be built where. They

determine the land use, occupancy, bulk, setbacks, height limitations,

and land coverage. Any change in either codes or zoning ordinances

has a significant impact on the cost and profitability of a building

venture. More stringent code requirements usually increase costs,

whereas more lenient stipulations reduce initial costs. The introduction of additional code provisions, therefore, tends to be counterbalanced

by some financial inducements or tax incentives, in order not to affect

the quantity of construction.

The balancing of incentives and constraints in the building industry

has become an important aspect of governmental control of the economy.

The purposeful channelling of funds into construction through taxation

incentives assures a sufficient flow of capital for new projects. The

elimination of special tax provisions would siphon off funds into other, more lucrative forms of investment and thus create a necessity for

increased public sponsorship of essential building projects, including

housing. Under the present scheme, the government's role is restricted

to the sponsorship of only those projects which are considered in the

public interest and which cannot find private sponsorship. However,

many projects, although essential to the functioning of society, are not

considered sufficiently profitable by the private sector to warrant

private investment without additional inducements. An obvious case in

point is the government's sponsorship of various forms of public housing.

THE INCENTIVE SYSTEM: PUBLIC VERSUS PRIVATE INTERESTS

Generally, the regulatory system is not meant to serve as a policy

device, either explicitly or implicitly, concerning what is built. Its concern is solely to control how something is built. The role of a policy device for encouraging what is built falls on the shoulders of

the taxation system. It is through such mechanisms that building activities perceived to be of some societal value are encouraged.

The taxation and regulatory systems are ostensibly meant to serve

the public, however this intention is not always evident in practice.

There are inequities in our present incentive system. In the case of

housing, the paradoxical nature of tax incentives can be clearly demonstrated. The amount of tax shelter bears a direct relationship to the use of a building: the more the initial price, the more the amount of

allowable tax deduction. Thus, two projects of identical size—one

339
designed for the luxury market and one designed for low and moderate

income—receive the same degree of financial inducement, despite the

fact that the recovery of initial expenditure is faster and more assured

in luxury housing. Given a free market situation, the development of

luxury housing is incomparably more profitable in terms of return on investment than lower income housing. This situation is further exacer- bated by the higher tax incentives associated with the more expensively

appointed luxury units. For the same number of units, luxury housing

costs considerably more; and this qualifies for a much larger tax

deduction. The public is therefore subsidizing a portion of the

additional cost required to ensure the market advantage associated

with luxury housing. This situation favors not just investment in

housing, but investment in luxury housing. Yet, luxury housing is

already profitable and does not require the same degree of additional

financial inducements as housing built for lower income brackets.

RESTRUCTURING THE INCENTIVE SYSTEM

The basic notion of tax incentives for encouraging activities

which are in the public interest, such as the construction of housing,

has become an integral part of many basically capitalist economies.

It is not the purpose of this paper to broach the subject of the

respective merits of political ideologies, but rather to reexamine

the present system in terms of its own objectives. It is suggested

that improvements within our existing context can be made which

further larger societal purposes, by more explicit control of the use

of tax incentives. The suggestions to be ma'de are based on the implicit

relation that exists between the taxation and regulatory systems as applied to building construction.

Given some of the inequities of the present taxation system, it

is suggested that clearer distinctions be made between the aspects of

buildings which are safety and health-related and those that are marketrelated, and that these distinctions be reflected in both the taxation

and regulatory mechanisms. Those aspects of a building devoted primarily

to health and safety would receive the benefit of continued or even increased governmental incentives, e.g. depreciation allowances or interest deductions, while those responding primarily to the market

conditions would either be decreased or eliminated.

i Neither the taxation nor regulatory system distinguishes between

these widely differing aspects of building, but instead apply incentives

blanketly. The end effect is that tax incentives foster the inclusion

of items which serve private interests as much as items strictly related

to health and safety. The unfortunate consequence is that many building efforts are diverted away from the most socially desirable projects.

No distinction is made in the amount of incentive associated with building in relation to the degree of public utility that a structure provides.

i

340
In any building some aspects relate directly to assuring the health

and safety of building occupants. These aspects include such components

as the structure and basic service distribution and subsystems, as well as fire alarms, sprinkler systems, and other safety devices. Most

of these components relate to the basic building shell. These components

are controlled by building regulations and can be considered to be in

the public interest. It can be argued that all other aspects of a building benefit primarily the owner or developer because they respond

primarily to market conditions. The appointment of a rentable unit,

the facilities, the exterior and interior finishes and the landscaping,

all contribute to the profitability of a project and thus ultimately

benefit the owner. Generally, the aspects of building that are primarily

conditioned by market considerations tend to serve private rather than

public interests.

In this context, it seems appropriate to propose two significant

differences in the application of tax incentives to building construction. First, it is suggested that only those portions which clearly

serve public interests be subject to tax incentives. Market-related

aspects of buildings should not benefit from blanket legislation but

should instead rely on a reasonable return on investment without governmental inducements. The second notion which is advanced proposes that

the degree of public utility and social purpose be reflected in the

associated tax incentives. Under this scheme, an attempt would be made

to use tax incentives as a compensation mechanism to make up for the

lack of profits in some essential, socially desirable building types.

Both these suggestions subscribe to the idea of investment in

building for profit. They are, however, critical of the present system

which seems inequitable and often not in the best public interest.

METHODS FOR TARGETING TAX INCENTIVES

Having established the principle that a differentiation should be

made between those parts of a building dealing with the public interest

and those affecting the marketability, a question arises about the

feasibility of actually making such distinctions. There appear to be

several possible models which can be employed to achieve these ends.

Three of the models are briefly outlined below in order to stimulate

further discussions about this subject.

The models differ in approach, however they all have the same objective—a more defined targeting of tax incentives. The first model

designates a blanket percentage of the building as a function of the

building type; the second model is based on the square footage of

buildings devoted to health and safety measures; and the third model

stipulates a separation by trade of all potentially hazardous and

controlled portions of a structure. Obviously the definition of which

parts of a building are in the public interest affects the choice

341
of models. Thus, by . inference , a description of the model implies

a definition of the separation between public and private interests.

Model 1

This approach assumes that the components of a building can be defined to be either mainly market-related, and thus in the private

interest, or mainly safety and health-oriented. Proposed buildings

would be subjected to an examination of each component for a scientifically determined representative sample of a certain building type.

In the case of housing, some initial analyses indicate that approximately sixty percent of construction costs are devoted to components

directly or indirectly related to the marketing of the final dwellings.

These components make the distinctions in quality between one building

and another. The quality of a building, in turn, is reflected in

rental and sales levels, thereby directly relating to the interests of

the owner. Essentially, the remaining components relating to health

and safety are similar for all types of units. Based on information

such as this, specific ratios can be established which define the

percentage of a building which can typically be considered in the

public interest and therefore become the subject of special tax treatment. Thus, for each building type norms would be established which

could then be applied to specific building projects for taxation

purposes

The application of this method allots a fixed percentage of the

initial construction cost for special tax treatment. As the construction cost varies, so does the proportion of allowable tax deductions.

Model 2

This method is based on a space allowance approach. Space allowances, of course, are an accepted taxation device. In this method

analyses are made of different building types with the intent of

determining relative square footages of spaces that primarily serve

intents of health or safety and those that serve market objectives.

Luxury housing, for example, typically has larger space requirements

for individual rooms than do low-income units. A space allowance

approach would address these market-related differences between various

housing types quite directly.

In a typical housing project, corridors, vertical egresses,

bathrooms , and kitchens are normally regulated in one way or another

by public health and safety measures. It can consequently be argued

that they represent the public interest; all other spaces are considered

to represent strictly marketing concerns. While somewhat simplistic,

distinctions of this type could serve as a feasible basis for establishing space allowances to be used for tax deduction purposes. In a

342
typical housing project, for example, about seventeen percent of the

gross square footage of a building is used for corridors and vertical

egresses. In addition, minimum space standards are stipulated in

standards and regulations for bathroom and kitchen spaces. The

combination of both these square footages could be used to arrive at

appropriate space allowances.

Since each type of area such as a kitchen, bathroom, or bedroom

area costs different amounts per square foot, it would be necessary

to make adjustments in order to establish some degree of parity.

Since corridors are similar in cost to apartment space, this can be

counted as equivalent square footage. The bathroom allowance, because

of its higher relative cost, would be counted at, say, four times the

rate of normal space. Thus a typical required minimum of 35 square

feet for each bathroom becomes a 140 sq. ft. allowance. Similarly, the

kitchen areas traditionally cost on the order of three times the amount

of non-service space. Thus a 60 sq. ft. kitchen space would be turned

into a 180 sq. ft. allowance.

In order to arrive at a total for an apartment building, all of

these adjusted allowances would be considered. Thus, typically, for

a building consisting of a number of 800 sq. ft. units, approximately

48% could be used for special tax consideration.

The effect of this method is interesting because the allowance

tends to be a larger percentage for lower income housing than for

luxury housing. It therefore introduces some kind of economic gradient

and compensates for higher rentals or sales. The method is also useful,

since space figures are far easier to determine than actual construction

cost figures.

Model 3

This method is based on an analysis of actual cost breakdowns by

trade. The sum of the costs associated with those trades whose activities can directly or indirectly affect the health and well-being of

building occupants would form the basis for tax concessions. Thus,

typically, the work done on the structure, the plumbing, the electrical

and the HVAC can be used for special tax concessions. Actual cost

breakdowns into trades varies with each project in direct proportion

to the actual cost of a building.

The effect of this type of assessment is to make those portions

of a building which typically tend to be controlled by codes and regulations eligible for favored tax treatment. No differentiation is made

between buildings built for minimal or luxury standards. For an average

housing project, the percentage of health and safety-related portions

is approximately 30 percent of the total cost. However, this figure

will vary with each building project. The advantage of this model is

that allowances are neither set based on averages (see Method 1) nor

343
Type of Targeting Assessment Method

• 1 f Tax Incentive

Percentage of Fixed proportion of Norms assessed Percentage of

t~L.\Jn t*LCIa 1 HiLIUi "i±±UXl(g 1 fl "i no flprnfrliTiP t~ ri types building types

Square footage Variable percentage Allowances Square footage

dpvofrpd tr> heal th W J_ g 1. KJ O O O VJ UQ1 C- baspd on pCt "I_L 1_I_ nwfl U WGLIL. nf*p<_ and safety footage depending legal minima

on the deviation

from FHA minima

Differentiation Variable depending Based on cost Portion of

by trade of on construction breakdown by construction

code determined cost trade cost

portions of

building

METHODS OF TARGETING TAX INCENTIVES

i

Type Benefit Proposal

Interest

deduction

Income tax

reduction

no, or only partial, allowance

for interest deductions

Depreciation Transfer of income

tax liability to

capital gains

Variable rates of depreciation

for different portions of

a building

Capital gains Calculated at a fraction of normal

income tax

No capital gains tax on public

interest portion of buildings

TYPES OF TAX INCENTIVES ASSOCIATED WITH BUILDING

344
legal minimum space requirements (see Method 2) , but instead the

actual figures for each project provide the basis for assessments.

No matter how assessments are arrived at, they can then be

translated into one or several of our present tax shelter possibilities.

An amendment of the present interest rate deduction scheme and/or

depreciation allowance, as well as a modified capital gains tax

formula could be used. The exact method of assessment and the specific

translation into non-targeted tax incentives would, of course, have to

be worked out in exacting detail and subsequently refined over an extensive period. The choice of methods is therefore not addressed

here. Some form of distinction of costs into public and private

interests and the adjustment of tax concessions accordingly is indeed

possible.

CONCLUSION

The case for a carefully targeted incentive program for stimulating

aspects of building, which are deemed in the public interest, has been

presented above. The implications of this idea, however, warrant some further observations.

The proposed idea does not question the basic notion of introducing

governmental incentives to stimulate private participation in socially

desirable ventures. On the contrary, it makes more effective use of

public money by directing financial inducements exclusively into areas which correspond to public objectives.

The total level of funding for the public subsidies to building,

even after redistribution, may stay at their present level or be adjusted

upward or downward. Specific levels of funding are political decisions

which are best left in their present arena. However, the specific

levels chosen should reflect the need for certain building types which

are not adequately addressed by the market.

The most significant implication of a careful implementation of

the proposed models is the probability that building activities, which

are fully supported by public funds, can be kept to a minimum. Subsidies

in terms of tax incentives could make additional building types which are now in the public domain attractive enough for private participation and

investment. It thereby discharges a social responsibility by only

partial use of public funds by establishing new partnerships between

public and private vested interests.

Attracting capital to building, particularly those portions which

do not provide competitive returns on investment, is an increasing

problem. The choices which present themselves are: an expansion of

full public sponsorship, or more carefully targeted incentive programs

for private capital. The political and ideological implications of

345
taking either of these alternatives are profound and far-reaching. An

expansion of public sponsorship puts an increasing number of buildings

in public ownership and thereby saddles society with the ongoing responsibility for the continued maintenance of these projects. Gradually

an increasing percentage of buildings will become a public responsibility.

This incremental change in the pattern of ownership is compatible with

socialist ideologies. A carefully targeted incentive system, on the

other hand, reduces public involvement in the production and operation

of buildings to an absolute minimum. This will cause an expansion of

private ownership rather than a heavier reliance on the public sector.

The second option seems to be more in keeping with present national

objectives and economic policy.

Inaction or a refusal to enact proposals akin to the models discussed in this paper will gradually increase the amount of public

ownership. This seems undesirable unless there is an explicit realignment of economic and ideological objectives. The implementation of a redefined incentive system associated with building therefore becomes

a matter of considerable importance and urgency.

346
RESOURCE ZONING AND LAND USE PLANNING:

AN EXAMINATION OP URBAN INFRASTRUCTURES

by

Urs P. Gauchat

Associate Professor of Architecture

Harvard University

and

Daniel L. Schodek

Associate Professor of Architectural Technology

Harvard University

Buildings cater to the full array of human activities. They are disposed over the landscape in a range of patterns and densities. Each

pattern not only designates spatial arrangements of building masses, but

also sponsors a series of mostly invisible supply and distribution networks.

Existing infrastructures, particularly in urban areas, tend to be

old, badly maintained and often in less than excellent condition. Each

network has a maximum carrying capacity which is determined by the type

of system and its state of repair. While it is possible to envision far more technologically advanced infrastructure systems than we now possess,

the extent of the investment in our current systems is so vast as to mitigate

against any radical changes in the forseeable future. Land use policies

therefore must more directly begin to face the issue of how best to cope

with an infrastructure system of a fixed or even declining quality and

capacity.

The capacity of existing infrastructure systems, particularly of

water and sewerage, can be a determining factor in imposing density and

other land use constraints. Thus, many typical city zoning ordinances

are directly or indirectly influenced by the character of the existing

infrastructure. Zoning regulations based mainly on these considerations

may rot, however, be the most socially or economically advantageous.

This paper proposes an approach to land use planning involving the

concept of Resource Zoning. This type of zoning draws a clear distinction

between ordinances that relate to social goals and those that relate to

constraints imposed by the existing infrastructure. It is felt that the

idea of Resource Zoning would not only prove valuable in the context of

land use planning but could also provide the necessary incentive for the

development of innovative practices in the design of service systems for

individual buildings.

347
THE CONTEXT

Introduction

Our society is a highly complex organism. Its fabric is made up

of many constituent parts tied together by a plethora of supply and

distribution networks. These networks connect disparate parts of our environment into a series of interdependent fabrics. The extent and

intricacy of these fabrics tend to bear a direct relationship to the

complexity and state of technological advancement of a society. In

most of the Western World the connective networks which make up urban

infrastructures are of staggering size and complexity. Fuel and water

supply, sewage disposal, and other support networks tend to be taken

for granted, and are scarcely noticed as separate distribution systems.

However, our increasing dependence on centrally organized and controlled

systems has reached an unprecedented level during the last few decades.

The addiction of our society to elaborate and complex infrastructures has many consequences. Of particular interest are the effects on current land use patterns and building practices. Conversely, the

shifting desirability of land affects the patterns of demand and thus

affects the character and location of the networks. The relationship

between infrastructure and land use policies has remained surprisingly

unexplored by land use planners, building code officials, architects,

engineers and others having a professional interest in how the activities of our society are accommodated.

More generally, however, the total reliance of our society on elaborate infrastructures poses some fundamental questions, particularly

in view of newly espoused national priorities dealing with the allocation of resources. The physical characteristics of our present infrastructure systems evolved in a context of apparently inexhaustible

supplies and resources. All forms of consumption were encouraged, with

the result that systems emerged which, by our current standards, often

promoted wasteful and thoughtless squandering of limited resources.

One of the first serious challenges to the attitude of infinite supplies was posed by the not too distant Arab oil embargo. Ever since, there

has been some public awareness of the need for realignment of societal

objectives in an age of scarcity. The situation mandates that resource allocation and conservation measures be actively and vigorously pursued.

Consequently a systematic examination of infrastructure systems has

become an issue of higher priority than ever before.

It is within this general context that this paper begins to

critically deal with the relationship between infrastructure, land use patterns and building practices. Suggestions are advanced for land use policies dealing with the problem of how to cope with large, and often

deteriorating, infrastructure systems in urban areas. These suggestions

are followed by some speculative observations about how resource allocation and management policies might foster innovative practices in the

design and construction of individual buildings.

348
The Historical Development of Infrastructures

Direct public involvement in the establishment of common networks,

particularly those that cannot be easily amortized, is a tradition

which dates back to the earliest civilizations. Even in Greek and

Roman times, elaborate road networks which, parenthetically, often

served the dual purpose of channelling sewage, were considered of

military importance and therefore in the public domain. Potable

water was transported for miles in Roman aqueducts through what

appeared to be insurmountable topographical obstacles.

Despite early examples, most important public works and private

utility projects are products of the 19th and 20th centuries. In the

early 19th century, horse-drawn vehicles still rattled over cobblestoned streets which were strewn with refuse. Sewage was collected

in cesspools which were cleaned out at infrequent intervals and

therefore added an all-pervading aroma to urban settings. Streets were

not lit at night since the only readily available source of lights were

individual kerosene and oil lamps. Only water was transported and

distributed in coherent networks; and then primarily in a few major

urban areas. Water was brought into the houses of the well-to-do; all

others had to avail themselves of wells, fountains, and other public

water sources.

It was during the same period, however, that the first of a series

of key developments occurred which kindled public imagination and made

people embrace the development and implementation of particular infrastructure components. The change was brought about primarily by a series of specific inventions coupled with the industrial revolution.

The use of coal gas for lighting was shown to work by Lebon around 1800,

yet it was not until the construction of a central gas works in London

in 1814 that the idea took hold. By mid-century, most English communities sported their own gas works which distributed gas to individual

households. The invention and manufacture of gas cooking stoves after

1860 made gas a chief source of domestic power. The technical improvement of gas lights and the reliability of the power supply had a considerable impact on the general pattern of life. Public gas lights

illuminated the streets, and thus the sun was no longer the major determinant of waking and sleeping hours.

Water closets, initially invented by Joseph Brainate in 1778,

quickly became accepted by the wealthier households. These contraptions

emptied into cesspools and, although an improvement over an outhouse,

they still produced a considerable stench. It was not until Edwin

Chadwick advocated a central sewerage system for London that real

improvements could be made. The system, as implemented just over a hundred years ago in London, has remained basically unchanged to this

day. Many sections are, in fact, still in operation in their original

state. Central sewerage networks soon became accepted in the United

States and were systematically installed in all major cities by the

turn of the century. Electricity, particularly after Edison's and

349
Swarm's invention of the vacuum light bulb, rapidly gained in popularity. Siemen's invention of the dynamo made the supply of reliable

quantities of electricity possible. Soon, electrical power began to

supplant gas as the main source of power for lighting. The invention

of the telephone and its rapid acceptance towards the end of the 19th

century ensnarled households in yet another set of umbilical cords.

The success of steam driven boats spurned the development of

the railroads, particularly in the latter half of the 19th century.

Travel was made easy, safe, and speedy for masses of. .travellers ; and

goods could be reliably transmitted over great distances. The invention of the internal combustion engine made the car a logical replacement for horse and buggy. The industrial production of the motor car soon added another item to the arsenal of things without which present

life is unthinkable and impractical. Transportation systems also

became an essential part of the distribution chain for supplying

heating fuel. Heating systems based on coal and oil developed early

and remain popular to this day. These systems tend not to rely on

a fixed network, but instead are hauled to their point of usage on waterways, rail and roads in carriers of various sizes.

The rapid development and mass production of machines such as refrigerators, washing machines, dryers, electric irons, and a plethora

of appliances and gadgets made our reliance and dependence on centrally

run or controlled systems almost complete. At this point, very few

of even the most remote rural houses can be considered autonomous, and

in cities, even the semi-autonomy of a building is unthinkable and

economically unfeasible.

The Demand on Infrastructures

The demands our society places on its infrastructures are staggering. In terms of rough order of magnitude, the average American household now consumes approximately 200,000 gallons of potable water per

year, which is used for anything from drinking to flushing toilets.

Each household generates an average 160,000 gallons of sewerage per

year and discards approximately 8,000 pounds of garbage and solid waste.

In addition, a staggering 8,400 KWH of electricity and 1,400

gallons of heating fuel are expended. An average family ingests approximately 4,000 pounds of food, which must be made accessible in nearby

shops

More difficult to measure, but nevertheless present in even the

most rudimentary households, is the access to telephone, radio, and

television.

Maintaining a constant supply of goods and services to our society

is an enormous problem. A temporary breakdown of any one of the systems

becomes calamitous even after brief periods, as was amply demonstrated

350
INTER NATIONAL REGIONAL LOCAL

NATIONAL

SITE BUILDING UNIT

Distr

.

• • • •

Dest.

Generator Generator

Generator Dist. —•-—-4—><

Supply Supply Process Dist. Dlst.

Supply Process X

Dist

Process

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FIGURE 2 SCHEMA OF MAJOR DISTRIBUTION NETWORKS FOR HOUSING.

351
by the disruptions and civil strife caused by the infamous New York

blackouts.

Whether we consciously appreciate the fact, our society and the

buildings which house it are completely dependent on the existence

and continual functioning of these support systems.

THE STATUS QUO

The Organization of Infrastructures

Generally, metropolitan infrastructures can be divided into three

major components with differing characteristics. First there are the

distribution systems inside buildings (or intrastructure) which link

individual usage points with major public utilities. Thus, in the case

of electrical power, regardless of the number and location of power

outlets, lights and appliances in a building, all electrical power

emanates from a single metered point which, in turn, is connected to

the main power supply. Usually, the distribution systems within a building are privately owned and constructed in accordance with applicable codes and regulations.

The second primary infrastructure consists of utility networks or infrastructures which link individual distribution systems with major

supply points. There are many interwoven fabrics of this kind which

carry commodities such as water, electricity, gas, and telephones to

each metering point. Basically these systems consist of a series of

interrelated networks which have to be carried over or under the public

road network or through easements on private land. These systems tend

to be publicly owned, or privately owned but publicly controlled. The

sheer size and relative reliability of these systems are one of the

unrecognized pillars of our social and economic structure.

The third component of an infrastructure consists of the major

central supply or collection points, whether they be power plants, gas

works, or sewerage treatment plants. These major facilities also tend

to be publicly owned or under publicly controlled private ownership.

The size and political clout of these corporations can affect the outcome of political discussions dealing with their operation and control.

However, regardless of size or political importance, the major suppliers

and producers feed their product into local or regional arterial systems

which through their many capillaries reach every single household (see

Figure 1)

A distinguishing feature among the three primary infrastructure

components is the relative susceptibility of the different components to

change. Of the three components, the local or regional distribution

network, which takes utilities from the supplier to each building, is

the least susceptible to change. The sheer size of investment in the

352
present systems strongly mitigates against the introduction of new

technology which is not directly compatible with the existing networks.

New technologies which would demand the replacement of our road networks or existing city-wide sewage disposal networks, for example,

are neither practicable nor feasible in existing urban areas.

A further illustration of the importance of investments in this

part of the infrastructure is the spectacular financial failure of most

American new towns. Much of the failure has been attributed to the

inordinately high cost of establishing entire distribution networks

from scratch. The staggering costs on a per user basis for new towns

gives some indication of what the possible replacement costs for

existing infrastructure systems would be.

In contrast, it is evident that at the microscale the distribution

system within buildings, or intrastructure , although at present con- strained by building codes, could potentially adapt well to technological innovations. Most of the innovations possible in this domain

could be incrementally introduced and thus would not require massive

investments of public funds.

Similarly, at the macroscale the supply of resources can become

subject to technological innovations without affecting the general

nature of the infrastructure. The obvious example is electrical power,

which can be supplied by any number of generating principles without

any impact on the distribution system.

The assertion that some parts of the infrastructure have a builtin resistance to change is further borne out by an examination of

present city fabrics. In most cities, the present water distribution

and sewerage systems were built around the turn of the century; the

basic forms of most electrical distribution systems have remained

basically unchanged for half a century; many of the gas lines now in use are of an even earlier vintage; the layout of road networks, except

for the interstate highway system, are substantially unchanged since

the 19th century; and a preponderance of public transit systems date

from the same period as well. Many of these same systems are by now

dilapidated or verging on the need of replacement.

The Ownership Patterns of Infrastructures

The ownership of infrastructure components follows an interesting

pattern which is dependent on the density and size of projects. In

the case of housing, for example, the utility companies tend to deliver

to each site or building. Thus comparing typical suburban housing

with high density urban housing, interesting differences emerge. In

the case of low density suburban housing, the utlity network is brought

in close proximity to each dwelling unit; whereas in an urban high-rise

structure, the utilities are brought to the site only, leaving the

distribution to each individual dwelling unit in private hands.

353
c o

$ CO

Mi

4/ 4/ 4/

a o

§ h a f M

l-l t) O

h3 W

^ H

HIGH DENSITY AND LARGE SCALE DEVELOPMENTS

LOW DENSITY AND

SMALL SCALE DEVELOPMENTS 4/4/ 4/

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5

N.T.S.

FIGURE 1 OWNERSHIP OF INFRASTRUCTURE IN RELATION TO DENSITY.

354
In housing of a suburban density, the distribution networks are owned and operated by utility companies. Only the cost of distribution

within the unit to each usage point is defrayed by the private owner. The cost of distribution in low density areas is relatively high on a per unit basis, particularly when costs of continual maintenance are considered. In high density urban housing the distribution to each

unit within a building is both installed and maintained by the owner,

who also bears all costs. The final expenses of the intrabuilding networks are borne by the consumer. There is therefore no parity in the

ownership of utility distribution networks at various densities. For

higher densities a pattern of ownership emerges which places a relatively

larger portion of the distribution networks in private ownership (see

Figure 2).

In public or publicly controlled companies , expenditures to expand

service or to maintain a network are passed on to the consumer as part

of the utility charges. The cost of providing service to a suburban

house, both in terms of initial and continued expenditures, obviously

far exceeds the costs associated with urban high density housing on a per unit basis. The final effect is an indirect subsidy of public

funds for low density privately owned suburban housing. The exact size

of the subsidy per unit is dependent on the terrain and building density;

however, it often amounts to a sizeable sum, particularly taking into

account the ongoing expenses for maintenance.

Since utility costs are assessed on a per unit measure of use, the

occupants in high density areas are, in essence, providing a subsidy

to occupants in low density areas. This policy is publicly condoned;

however, its financial impact is quietly absorbed. The most important

aspect of this observation is the decided financial encouragement given

to lower densities. If that objective were an explicit piece of a societal restructuring program, then the encouragement and financial

inducements for lower density development would be appropriate. In the

absence of any specific supporting legislation reflecting agreed upon

societal objectives, the unequal distribution of infrastructure installation and maintenance costs is worth pondering about.

It is interesting to note that in some states planned unit developments (P.U.D.'s) are treated much like an apartment complex, i.e. leaving

the distribution to each unit in private hands. This reasonable and

equitable approach does, however, not extend to all low density suburban

areas which are not developed as an entity. The cost of maintaining an extended suburban distribution network far exceeds the costs for similar

delivery capacities in high density areas. The continual care and

attention demanded by a highly articulated capillary system will become

acute when whole distribution systems need to be systematically replaced

or significantly overhauled some twenty to fifty years from now. It is

likely that these events will usher in a crisis, the porportions of

which are hard to contemplate at this point. Not only will the scarcity

of resources be a key planning consideration, but the cost and upkeep

of the infrastructure system will become equally if not more important.

355
Infrastructures and Land Use Planning

The symbiotic relationship between the infrastructure and the use

of land for construction strongly indicates that the design, installation and management of distribution and delivery systems be an integral

part of any land use planning policies. The increasing scarcity of resources and the economic commitment to present channels of distribution strongly favor solutions which make use of the existing infrastructure without overtaxing its capacity. In particular, approaches which

are innovative and conserve resources either at the source of production

or at the point of usage should be encouraged. The rationale behind

most ordinances deals primarily with local objectives. Zoning requirements therefore largely address politically perceived social and

economic goals.

Only in rare cases is the capacity of the infrastructure a direct

consideration in the development of zoning guidelines. Usually an

ad hoc approach is taken, in which the effects of each project (in

relation to its demands on the infrastructure) are considered on a one-by-one basis. This process does not take adequate account of the

additive nature of these incremental changes, with the ensuing result

that development patterns emerge which may not be desirable in terms

of general societal objectives. As a corollary, vague infrastructure

arguments are at times used to dissuade development, without any basis

in fact. The ambiguous nature of most analyses of the cumulation

effect of zoning changes in relation to the carrying capacity of the

infrastructure is a serious impediment to both informed long-term

planning and farsighted short-term measures.

RESOURCE ZONING

The Concept

Many of the problems inherent in our current approaches to zoning

could potentially be reduced by establishing clearer distinctions

between zoning objectives serving social and economic goals and those

serving to maintain acceptable demand levels on existing infrastructure

systems

It is therefore suggested that a concept termed Resource Zoning

be introduced and become an integral part of zoning procedures. Under

this model the quantifiable effects of a project on the infrastructure

would become a determinant of the magnitude and type of development.

The allowable maxima would be determined in the framework of long-range

plans dealing with the conservation or expansion of available resources

and with the state of repair and capacity of the infrastructure. Thus,

instead of a piecework approach, the effects of the addition or deletion

of sources of supply could be properly anticipated and planned. The

356
zoning plan of an area thus would take full account of the necessary

infrastructure capacity and monitor the effect of incremental zoning

changes to make sure that the existing or proposed systems are properly

utilized

.

Given a capacity of the infrastructure to deliver services,

demands can be balanced through zoning ordinances which increase

densities in one area or decrease them in another (and vice versa)

.

Resource zoning measures of this type could be made an explicit part

of standard zoning ordinances or form an independent but parallel set

of measures to be considered alongside traditional stipulations governed

by social and economic considerations. A resource audit of existing

infrastructures would by necessity precede the introduction of Resource

Zoning. A resource audit would reveal the systems which are critical

in determining the overall capacity of the infrastructure to support

given densities. Depending on the planning objectives, this audit

could give rise to the exploration of new supply sources or act as a limiting factor in determining density levels. The question of whether

or not to expand supply sources would be left as a local political

decision, as always.

A determination of capacities is an engineering task involving

the systematic analysis of each system. The technical limitations,

state of repair, and delivery capabilities would have to be taken into

account in arriving at optimum operating levels. It should be noted

that the optimum operating capacity for some systems is lower than

the maximum carrying capacity. The life expectancy and maintenance

requirements of systems can be altered drastically by continual intensive use. All these considerations would have to be factored in to

determine the separate and joint capacity of the systems which constitute an infrastructure.

Thus the formulation of specific Resource Zoning measures would

be preceded by three separate operations: A resource audit, a demand

forecast, and a determination of the optimum operating capacities of

each system. The critical infrastructure determinants can thus be

identified and become the subject of Resource Zoning stipulations.

These zoning stipulations would limit the amounts which can be taken

out or put into the existing infrastructure in a quantifiable,

unambiguous way.

Despite the additional efforts required, planning strategies based

on the concept of Resource Zoning would be more apt to avoid unnecessary

redundancy and to prevent the precipitation of crippling shortages.

The result is more resource-conscious planning and responsible management of the networks which constitute an infrastructure.

An added advantage of this approach is that it necessitates

accurate demand forecasting as part of the zoning procedure. This will

allow public and private utility companies to prepare in advance for

357
an expansion or rechannelling of supply sources to meet expected

demands. In many instances the supply sources do not increase their

capacity gradually, but in quantum leaps. Often the construction or exploitation of additional supply sources requires lead time of years,

or even decades.

An equally important aspect of Resource Zoning is more subtle in

character. Infrastructures consist of many overlapping networks,

each responding to its own logic and principles of distribution. Each

supplier tends to make separate estimates and projections of need.

Rarely do these estimates coincide and almost never do they find an expression in the formulation of zoning mechanisms. Thus different

systems within the infrastructure are often designed for varying

density levels. Each of these systems is likely to be based on a projected capacity incongruent with the capacities of other systems.

As part of a responsible planning effort it seems highly desirable to

have all portions of an infrastructure synchronized in terms of their

capacity to deliver.

Resource Zoning is potentially most useful if used in parallel

with zoning stipulations dealing with social and economic objectives.

The primary advantage of Resource Zoning is that critical determinants

are made explicit in quantifiable terms which can be understood by

building professionals, users, and utility companies alike. It establishes a rational common denominator and provides a framework for the

development of enlightened zoning strategies. Obviously, social and

economic objectives have to be taken into account as well and in many

instances override infrastructure considerations.

Effects on Building Innovation

Resource Zoning, by limiting the demands placed on the infrastructure, would strongly encourage strict conservation measures and technological innovations. The fixed quotas imposed by an infrastructure would

not become a finite limitation of building density but instead could

encourage the use of systems designed to place less strain on the

capacity of central networks. The complete dependence of individual

buildings on an infrastructure could give way to partial or even full

autonomy of a building or groups of buildings. Thus allowable densities

could be increased commensurate with the degree of independence from

the infrastructure systems. Allowances for variations in densities and

other zoning constraints could thus be made to respond to other social

and economic pressures if suitable innovations were introduced to maintain reasonable demands on existing systems.

Technical innovations do exist which substantially extend the use

of centrally supplied utilities without imposing any danger to the

health and safety of the occupants. One example is the already well358
proven Lliliendahl system, which reduces the consumption of fresh water

by approximately 40 percent. This device recycles water on the reasonable assumption that the flushing of toilets does not require drinking

water. It sets up three parallel systems: , one for drinking water

(white); one for non-potable water and for flushing, watering, etc.

(grey); and unusable waste water (black). By reducing consumption,

this idea dramatically increases the utility of a water source without

the need for an increased capacity. Similar devices exist for other

utility systems and, given sufficient raison d'etre , could be mass produced at relatively short notice.

The rewording of codes and other constraining mechanisms could

serve as an inducement to innovation without subverting the objectives

of safeguarding public interests. The societal and economic costs of

not exploring these alternatives seem high, without any apparent benefit

other than maintaining the status quo . Given the changing nature of our society and the increasing scarcity of resources, some revisions

are becoming inescapable.

Proposed Studies

Further studies are needed to develop the idea of Resource Zoning

more fully. To this end a specific country or district could be designated as a study area. A resource audit could be carried out and coupled

with a demand forecast and identification of the relative capacities

and states-of-repair of each infrastructure system.

Several existing computer-based models could then be used to analyze

the network of exisitng systems and their relative demand levels with

the objective of determining optimum resource allocation strategies.

The TOPAZ* model, for example, is of particular interest. TOPAZ facilitates the manipulation of a variety of interactive functions which are

placed in a set of interconnected zones. This model allows the consideration of pattern flow between various zones as determinants in the resource allocation analysis. Given the capability of such a system, various

resource zoning strategies could be devised and tested.

Regardless of the mechanism used to determine allocation and distribution of resources, the present condition of infrastructures imposes

a state of urgency which requires prompt action at a national and local

level. Critical shortages and calamitous breakdowns in key components of our infrastructures, although infrequent now, are likely to increase

dramatically over the next decades. Serious studies are therefore called

for and can precipitate preventive actions critical to the survival of our civilization.

*T0PAZ is an acronym for Technique for the Optimum Placement of Activities

into Zones originally developed by the C.S.I.R.O., Australia.

359
Summary

Our society is a fragile organism: it is ensnarled in a series of

umbilical cords—each essential to its survival. Our dependence on a plethora of systems is a major technological achievement, but it gives

rise to some concerns.

An age of scarcity has precipitated some special problems. The access

to limited resources and the wisdom with which they are applied become

key determinants of societal objectives. The realization of collective

aspirations is conditioned by the availability of resources. Therefore,

the proper management and use of resources have a critical effect on

the standard of living and the prospering of our society.

The magnitude, complexity and age of the systems which constitute

an infrastructure make them vulnerable to technical failures. These

failures are coupled with an increasing reliance on centrally controlled

systems. Thus, we are exposed to the continual threat of major breakdowns and disruption of vital services.

Individual levels of consumption are still steadily rising. The

notion of conserving limited resources, although sound in principle,

and acceptable as an abstract notion, is far from implementation. The

resistance to individual sacrifices has hampered any serious conservation efforts and produced no significant reduction in demand levels. »

In this context, some dramatic steps are needed. However, dramatic ; steps in a democratic society are fraught with difficulty, unless a major j crisis can penetrate public apathy and resistance to change.

Resource zoning throws the problem of distribution and allocation

of resources into relief at the occasion of each building project. Yet,

since Resource Zoning attacks the problem at a local level, it obviates

the necessity for stringent national measures. Resource planning and

allocation can extend the use of the existing infrastructures without

overtaxing present systems. Innovations at the supply and use ends of an infrastructure can reduce the limitations placed on our soceity by

finite resources and distribution systems.

I,

j

a

I

I

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I

I
<BS-114A (REV. 9-78) •^Wt Accession Ho' "< U.S. DEPT. OF COMM. BIBLIOGRAPHIC DATA

SHEET

1. PUBLICATION OR REPORT NO. NBS SP 552

4. TITLE AND SUBTITLE

RESEARCH AND INNOVATION IN THE BUILDING REGULATORY PROCESS

5. Publication Date July 1979

^Organization Code

7. AUTHOR(S)

Patrick W. Cooke, Editor

8. Performing Organ. Report No.

9. PERFORMING ORGANIZATION NAME AND ADDRESS

NATIONAL BUREAU OF STANDARDS

DEPARTMENT OF COMMERCE

WASHINGTON, DC 20234

S/Tasfe/Woi* Unit No.

11. Contract/Grant No.

|12. SPONSORING ORGANIZATION NAME AND COMPLETE ADDRESS (Street, City, state, ZIP) National Conference of States on Building Codes

and Standards, Inc.

1970 Chain Bridge Road

McLean, Virginia 22101

13. Type of Report & Period Covered

Final

snsoflng Agency Code

15. SUPPLEMENTARY NOTES

(Proceedings of the Third NBS/NCSBCS Joint Conference

(Library of Congress Catalog Card Number: 79-600090

I | Document describes a computer program; SF-185, FIPS Software Summary, is attached.

16. ABSTRACT (A 200-word or less factual summary of moat significant information. If document includes a significant bibliography or

literature survey, mention it here.) The third NBS/NCSBCS Joint Conference on Research and Innovation in the Building Regulatory Process was held in Annapolis, Maryland on September 12, 1978, The proceedings

of the Joint Conference include the opening remarks, the Keynote Address and the 24

papers presented at the technical sessions dealing with various aspects of building

regulatory research and innovative administrative application of building codes and

standards. The eight technical sessions were organized around the following themes:

o Regulatory Aspects of Fire Safety

o Standards Development Activities and the Building Regulatory Process

o Accommodating Provisions for the Elderly and Handicapped in Building Regulations

o Implementation of Energy Conservation Building Regulations at the State Level

o Application of Computers and Information Systems for Building Regulation and

Construction

o Energy Conservation, Solar Energy and the Built Environment

o Issues Concerning the Intent, Formulation and Economic Impact of Regulations

o Metrication, Industrialized Buildings and Complex Structures

In addition, three other research papers covering Lighting, Tax Shelters, Resource

Zoning, and Land Use Planning are also included.

17. KEY WORDS (six to twelve entries; alphabetical order; capitalize only the first letter of the first key word unless a proper name;

separated by semicolons) Administrative procedures; buildings; building codes; building

regulations; construction; economic impacts; environmental considerations; innovative

practices; regulatory research; standards development.

18. AVAILABILITY [J Unlimited

For Official Distribution. Do Not Release to NTIS

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20402, SD Stock No. SN003-003- 02091-5

tZ] Order From National Technical Information Service (NTIS), Springfield, VA. 22161

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(THIS REPORT)

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INSTRUCTIONS

FORM NBS-114A: BIBLIOGRAPHIC DATA SHEET. This Bibliographic Data Sheet is an NBS adaptation of the form prescribed by COSATI guidelines (Appendix F, NBS Manual for Scientific and Technical Communications).

Item 1 • Complete if information is available- otherwise Publication Office will complete later. If non-NBS

publication, state "see item 15". (Enter other agency sponsor's report number if requested to do so, and enter NBSIR number under item 8).

Items 2, 3, 6, 10, 14 - Ignore, these are reserved for possible future use.

Items 4, 7 - Complete as shown on manuscript. When NBS-114A is resubmitted along with NBS-266, following

publication of non-NBS media papers, these items must agree with published paper.

Items- 5, 21, 22 - Leave blank, Publication Office will complete.

Item 8 - Leave blank unless other agency sponsor's number appears as Item 1; then enter NBSIR number here.

Hem 9 - If not NBS, blank out and enter Grantee/Contractor name and address, or both if performed jointly.

Item 11 - Complete when applicable.

Item 12 - Enter NBS name and address, other agency sponsor's name and address, or both if joint sponsorship.

State "same as item 9" when appropriate.

Item 13 - Enter "Interim", "Final", or period covered.

Item 15 - Enter other relevant information, i.e., related or superseded documents. Also used by Publication

Office for Library of Congress catalog number, and entry of non-NBS media citation upon receipt of Form NBS-266 from author.

Item 16, 17 - Complete with special care. Guidance given in NBS Manual. Abstract must agree with the one in the published paper.

Item 18 - Indicate "Unlimited" - for open-literature documents cleared under NBS editorial procedures, or "For official distribution. Do not release to NT1S" - for limited, restricted, or need-to-know material (See 5.1.4.2.1 of Brady memo dated January 16, 1973 "Reports to Sponsors.) Publication Office wil" mark appropriate "order" box and complete Stock No. when known.

6 U.S. GOVERNMENT PRINTING OFFICE: 1979 O—281-067 (167)
NBS TECHNICAL PUBLICATIONS

PERIODICALS

JOURNAL OF RESEARCH—The Journal of Research

of the National Bureau of Standards reports NBS research and development in those disciplines of the physical and

engineering sciences in which the Bureau is active. These

include physics, chemistry, engineering, mathematics, and

computer sciences. Papers cover a broad range of subjects, with major emphasis on measurement methodology, and

the basic technology underlying standardization. Also in- cluded from time to time are survey articles on topics closely

related to the Bureau's technical and scientific programs. As

a special service to subscribers each issue contains complete

citations to all recent NBS publications in NBS and non- NBS media. Issued six times a year. Annual subscription: domestic $17.00; foreign $21.25. Single copy, $3.00 domestic; $3.75 foreign. Note: The Journal was formerly published in two sections: Section A "Physics and Chemistry" and Section B "Mathematical Sciences." DIMENSIONS/NBS

This monthly magazine is published to inform scientists, engineers, businessmen, industry, teachers, students, and

consumers of the latest advances in science and technology, with primary emphasis on the work at NBS. The magazine

highlights and reviews such issues as energy research, fire protection, building technology, metric conversion, pollution

abatement, health and safety, and consumer product per- formance. In addition, it reports the results of Bureau pro- grams in measurement standards and techniques, properties of matter and materials, engineering standards and services, instrumentation, and automatic data processing.

Annual subscription: Domestic, $11.00; Foreign $13.75

NONPERIODICALS

Monographs—Major contributions to the technical liter- ature on various subjects related to the Bureau's scientific and technical activities. Handbooks—Recommended codes of engineering and industrial practice (including safety codes) developed in cooperation with interested industries, professional organizations,

and regulatory bodies. Special Publications—Include proceedings of conferences sponsored by NBS, NBS annual reports, and other special

publications appropriate to this grouping such as wall charts, pocket cards, and bibliographies.

Applied Mathematics Series—Mathematical tables, manuals, and studies of special interest to physicists, engineers,

chemists, biologists, mathematicians, computer programmers,

and others engaged in scientific and technical work.

National Standard Reference Data Series—Provides quantitative data on the physical and chemical properties of

materials, compiled from the world's literature and critically evaluated. Developed under a world-wide program co- ordinated by NBS. Program under authority of National Standard Data Act (Public Law 90-396).

NOTE: At present the principal publication outlet for these data is the Journal of Physical and Chemical Reference Data (JPCRD) published quarterly for NBS by the American Chemical Society (ACS) and the American Institute of Physics (AIP). Subscriptions, reprints, and supplements

available from ACS, 1155 Sixteenth St. N.W., Wash., D.C.

20056.

Building Science Series—Disseminates technical information developed at the Bureau on building materials, components,

systems, and whole structures. The series presents research

results, test methods, and performance criteria related to the

structural and environmental functions and the durability and safety characteristics of building elements and systems. Technical Notes—Studies or reports which are complete in themselves but restrictive in their treatment of a subject.

Analogous to monographs but not so comprehensive in scope or definitive in treatment of the subject area. Often

serve as a vehicle for final reports of work performed at NBS under the sponsorship of other government agencies.

Voluntary Product Standards—Developed under procedures

published by the Department of Commerce in Part 10, Title 15, of the Code of Federal Regulations. The purpose

of the standards is to establish nationally recognized require- ments for products, and to provide all concerned interests with a basis for common understanding of the characteristics of the products. NBS administers this program as a supple- ment to the activities of the private sector standardizing

organizations.

Consumer Information Series—Practical information, based on NBS research and experience, covering areas of interest to the consumer. Easily understandable language and

illustrations provide useful background knowledge for shopping in today's technological marketplace.

Order above NBS publications from: Superintendent of Documents, Government Printing Office, Washington, D.C.

20402. Order following NBS publications—NBSlR's and F1PS from

the National Technical Information Services, Springfield, Va. 22161.

Federal Information Processing Standards Publications (FIPS PUB)—Publications in this series collectively constitute the Federal Information Processing Standards Register.

Register serves as the official source of information in the Federal Government regarding standards issued by NBS

pursuant to the Federal Property and Administrative Services Act of 1949 as amended, Public Law 89-306 (79 Stat. 1127), and as implemented by Executive Order 11717

(38 FR 12315, dated May 11, 1973) and Part 6 of Tide 15 CFR (Code of Federal Regulations).

NBS Interagency Reports (NBSIR)—A special series of

interim or final reports on work performed by NBS for outside sponsors (both government and non-government).

In general, initial distribution is handled by the sponsor;

public distribution is by the National Technical Information

Services (Springfield, Va. 22161) in paper copy or microfiche form.

BIBLIOGRAPHIC SUBSCRIPTION SERVICES

The following current-awareness and literature-survey bibli- ographies are issued periodically by the Bureau: Cryogenic Data Center Current Awareness Service. A litera- ture survey issued biweekly. Annual subscription: Domestic, $25.00; Foreign, $30.00.

Liquefied Natural Gas. A literature survey issued quarterly.

Annual subscription: $20.00.

Superconducting Devices and Materials. A literature survey

issued quarterly. Annual subscription: $30.00. Send subscription orders and remittances for the preceding bibliographic

services to National Bureau of Standards, Cryogenic Data

Center (275.02) Boulder, Colorado 80302.
U.S. DEPARTMENT OF COMMERCE

National Bureau of Standards

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