NBSIR 73-278 (4 Volumes)

Model Documents for the Evaluation,

Approval, and Inspection of

Manufactured Buildings

VOLUME II - SUBMISSION DOCUMENTS

CES Project

Office of Building Standards and Codes Services

Center for Building Technology, lAT

National Bureau of Standards

Washington, D. C. 20234

September 1973

Preliminary Report

U.S. DEPARTMENT OF COMMERCE

NATIONAL BUREAU OF STANDARDS

NBSIR 73-278 (4 Volumes)

MODEL DOCUMENTS FOR THE EVALUATION,

APPROVAL, AND INSPECTION OF

^MANUFACTURED BUILDINGS

VOLUME II - SUBMISSION DOCUMENTS

R. D. Dikkers, H. R. Trechsel, P. W. Cooke, H. K. Tejuja, L. P. Zelenka

CES Project

Office of Building Standards and Codes Services Center for Building Technology, lAT

National Bureau of Standards

Washington, D. C. 20234

September 1973

Preliminary Report

This is a preliminary report issued with the express

intent to solicit comments and suggestions. Accordingly,

results and conclusions contained herein are not necessarily

those that will be included in the final report.

U. S. DEPARTMENT OF COMMERCE. Frederick B. Dent. Secretary

NATIONAL BUREAU OF STANDARDS. Richard W. Roberts, Director
PREFACE

In response to requests from the Executive Office of the President and the

National Conference of States on Building Codes and Standards (NCSBCS), the National

Bureau of Standards has undertaken specific research programs to remove or reduce

barriers created by the building regulatory process, so as to improve productivity

and Innovation in building construction. One of these programs is to establish a Coordinated Evaluation System (CES) by developing, in conjunction with the state

governments, model Informational documentation for use In the building regulatory

process.

This four-volume report outlines the results of an Initial study of documentation

needs, sample forms and checklists pertaining to manufactured buildings and components.

It is a preliminary report issued with the expressed Intent to solicit comments and

suggestions so that more comprehensive and more generally applicable model documentation can be developed.

A first draft of this report was reviewed during a 2 1/2 day meeting in April,

1973, by a group of consultants composed of representatives of state and local building officials, design professionals, third party evaluation and inspection agencies,

and industrialized building manufacturers. The review meeting was organized and

chaired by Mr. John Dunlap, Consulting Engineer of Sacramento, California. The other

consultants were:

Joseph Bartell, City of St. Petersburg

Jack Bono, Underwriters Laboratories, Inc. Kern E. Church, State of North Carolina

Jasper Hawkins, Hawkins and Lindsey, Architects

James M. Hicks, State of California

Glendon R. Mayo, Consulting Engineer

J. Dlllard Powell, Continental Homes

Ed Starostovlc, Product Fabrication Service

Joseph Stein, City of New York

Steve Wilson, National Homes Corporation

The comments of the consultants were most helpful in developing the model docum.ents contained in this report, and their valuable assistance is greatly appreciated

and herewith acknowledged.

ii
CONTENTS - VOLUME I

Page

1. INTRODUCTION 1

2. COORDINATED EVALUATION SYSTEM (CES) PROJECT 3

3. SCOPE OF CES MODEL INFORMATIONAL DOCUMENTATION 4

4. REGULATORY PROCESS FOR MANUFACTURED BUILDINGS AND

BUILDING COMPONENTS 5 4.1. Program Administration 5

a. Initiation of Action 7 4.2. Preparation and Submission 7

a. Building Systems 8

b. Compliance Assurance Program 8

c. Modifications and Variations 8

4.3. Preliminary Review ^

4.4. Evaluation 10

4.5. Approval and Disapproval 10

a. Notice of Completed Evaluation " 10

b. Stamp of Approval 10

c. Building Systems Approval Report 11

4.6. Fabrication, Inspection, Certification, Transportation

and Handling, and Installation 11

a. Fabrication 11

b. Inspection and Certification 12

c. Transportation and Handling 12

d. Installation 12

4.7. Local Enforcement Activities 13

4.8. Interstate Acceptance (Reciprocity) 14

5. MODEL INFORMATIONAL DOCUMENTS l4

5.1. Use of Documents 14

5.2. Submission 14

a. Building Systems 15

b. Submission Requirements for Manufactured

Building Components 17

c. Compliance Assurance Program 19

d. Modifications of Approved Systems and Variation of

Certified Units 21

111
CONTENTS - VOLUME I (Continued)

Page

5.3. Preliminary Review 23

5.4. Evaluation 24

a. Building System 25

b. Compliance Assurance Program 28

5.5. Approval and Disapproval 30

5.6. Fabrication, Inspection, and Certification 31

5.7. Local Enforcement Agency Activities 33

a. Building Permit Application 33

b. Building Permit 3^

c. Local Enforcement Agency Violation Report 34

d. Certificates of Occupancy 34

5.8. Interstate Acceptance (Reciprocity) 36

a. Introduction 36

b. Prerequisite for Interstate Acceptance 36

c. Process of Interstate Acceptance i . . . . 37

d. Model Documents 38

6. SUMMARY 40

7. REFERENCES 4l

APPENDIXES 43

iv
CONTENTS - VOLUMES II, III AND IV

Document

Number VOLUME II - SUBMISSION DOCUMENTS Page

S-01 Application for Building System and Compliance

Program Approval 1 S-02 General Submission Requirements 5 S-03 Architectural Submission 9 S-04 Structural Submission 13

S-05 Mechanical Submission 19

S-06 Plumbing Submission 21

S-07 Electrical Submission 23

S-08 Submission Requirements for Building Components 27

S-09 Compliance Assurance Program. 29

S-10 Application for Approval of Minor Modification

to an Approved Building System and/or Compliance

Assurance Program 63

S-11 Application for Approval of Variation to a Certified Manufactured Building or Component 65

VOLUME III - EVALUATION AND APPROVAL DOCUMENTS

E-01 Processing Record 1 E-02 ^ • Preliminary Review Checklist 3 E-03 Submittal Unsuitable for Processing 7 E-04 Evaluation Checklist - Architectural 9 E-05 Evaluation Checklist - Structural 17

E-06 Evaluation Checklist - Mechanical 21

E-07 Evaluation Checklist - Plumbing 25

E-08 Evaluation Checklist - Electrical 27

E-09 Certification of Products and Test Reports 31

E-10 Evaluation Checklist - Compliance Assurance Manual 33

E-11 Manufacturing Facility Evaluation Report 43

A-01 Notice of Comipleted Evaluation 49

A-02 Stamps of Approval 51

A-03 Building Systemi Approval Report 55

V
CONTENTS - VOLUMES II, III AND IV (Continued)

Document VOLUME IV - COMPLIANCE ASSURANCE AND LOCAL

Number ENFORCEMENT AGENCY DOCUMENTS Page

C-01 Manufacturer's Data Plate 1 C-02 In-Plant Inspection Checklist 5 C-03 Inspection Report 75

C-04 Noncompliance Tag ..... 77

C-05 Prohibited Sales Notice 79

C-06 Notification of Suspended Activities - . . . 8l

C-07 Label 83

C-08 Label Control Record 85

L-01 Standard Building Permit Application Form 87

L-02 . Manufactured Building Violation Report 89

L— 03 Certificate of Occupancy 91

vi
MODEL DOCUMENTS FOR THE EVALUATION, APPROVAL,

AND INSPECTION OF MANUFACTURED BUILDINGS

R. D. Dikkers, H. R. Trechsel, P. W. Cooke,

H. K. Tejuja, L. P. Zelenka

To assist the states In developing their building regulatory activities

and functions, the Coordinated Evaluation System (CES) Project has defined

and developed model informational documentation pertaining to the functional

areas of data submission, evaluation, approval, compliance assurance, installation data, and owner information.

This is a preliminary report which gives the results of the investigation

to date, and presents discussions of informational needs and sample model

documents pertaining to manufactured buildings and building components. The

model documentation is based on the Model Rules and Regulations for manufactured

buildings developed by a Department of Commerce sponsored working task group,

and the results of a comprehensive state-of-the-art study of most of the existing

state building regulatory programs. The documentation presented in this report

covers all functional areas except owner information which is not usually subject

to regulation and will be covered by a separate report. Emphasis was placed on developing documentation applicable primarily to one and two family detached

dwellings

Based on the comments received on this preliminary report, the documentation presented herein will be revised and a final report issued.

Key words: Building codes; certification; compliance assurance; evaluation;

industrialized building; inspection; model documents; NCSBCS; standards;

state regulation.

vii

CES DOCUMENT NO. S-01 Page 1 of 3

APPLICATION FOR BUILDING SYSTEM AND

COMPLIANCE ASSURANCE PROGRAM APPROVAL

The application form, CES Document No. S-01, was developed to serve three

purposes: As a transmittal of the required documents; as a request for evaluation;

and as a format to transmit some information not normally Included in the building

systems and compliance assurance documentation. It is not the purpose of this document to serve as a legal contract between a third-party Evaluation Agency and a manufacturer. Such a legal contract, where required, would need to be developed and

signed in addition to the "Application Form".

The form also Includes some information regarding the system or program which

will aid the Evaluation Agency in quickly determining the character of the system or program so that the review and evaluation can proceed more rapidly. The usefulness

of such additional Information in the application form depends on the Administrative

and/or Evaluation Agency's organization. Given below and on the following pages are

a list of form contents, instructions on how to fill out the form, and a suggested

application form.

Suggested Content of Application Form

1. Name of manufacturer and business or corporate address.

2. Address of fabrication plant or plants.

3. If application is for approval of a building system, name and address of

signing registered architect or professional engineer if required by state law.

If application is for approval of a compliance assurance program, name and

address of inspection agency.

5. Type of application (building system, compliance assurance program, or both).

6. If application is made for a compliance assurance program, an indication of

whether such program is based on a previously approved building system, and application and approval number of such system.

7. Building classification (occupancy, use, type of construction) for which

approval Is sought.

8. Type of system (building module, mechanical core unit, wall panel, etc.).

9. Basic materials used and construction method (wood frame, steel, concrete,

masonry )

10. Design parameters (live, wind, snow, and seismic loads, design temperatures).

11. Listing or index of documents submitted with application (plans, specifications, calculations, test reports, shop drawings, samples, compliance assurance

manual)

12. Indication of other states in which the submitted system or program may

have been approved, Including date, application number and approval number. If

approval of the application is sought on the basis of reciprocity, it should be so stated and the building systems approval record should be included in the submission.

1
CES DOCUMENT NO. S-01 Page 2 of 3

13.

14.

15.

16.

Space for recording fee deposit.

Signatures of applying manufacturer or his agent.

Space for approval signatures (s ) and/or stamp (s) with date of approval.

Space for application and approval numbers.

Instructions for Completion of Application Form

Section I . This section should reflect the type of approval sought. This application should be used when seeking approval for a new building system or a C.A. program

or a major modification to a previously submitted building system or a C.A. program.

Modifications of a floor plan or of a construction system, including electrical,

mechanical or plumbing systems constitute a major modification. A dimensional change

which does not change the system or configuration and which could be Incorporated in

the originally submitted plans by the Administrative Agency is one example of a minor

modification. Use CES Document No. S-10 when applying for a minor modification. If

application is submitted for a major modification to a building system or a C.A.

program, before the previously submitted system is approved, the application number

of the system should be indicated. If application for a major modification is submitted for major modification to a system which is partially approved (e.g. has a building system approval, but the C.A. program is still under process of approval or vice-versa), then both the application numbers and approval numbers (if any), should

be so Indicated.

Section II . If application is submitted for a C.A. program approval, the name of

Inspection Agency monitoring the C.A. program should be indicated. The space

(Name of Reg.. Architect/Prof. Engineer ) is to be filled out In cases where the services of a Reg. Architect and/or Prof. Engineer have been utilized.

Where additional space Is needed for the required listing of architects and engineers,

this additional information should be Indicated on the reverse side of the application

form. Where manufacturing operations are conducted in more than one location, indicate such locations on the reverse side of the form.

Section III . Calculations submitted should be identified, e.g. heat loss,

structural, electrical, etc. Approval numbers of the same system approved by other

states should be indicated and if approval reports from other states are included with

the submission, they should be so identified in the space C] other (specify) .

Section "V. In first line, applicant should indicate to what codes and standards

the building system conforms.

2
CES DOCUMENT NO. S-01 Page 3 of ^ STATE OF

Name, and kdid/iui, Acl]nu.yuAtAcutlv& Agzncy

APPLICATION FOR BUILDING SYSTEN AND CONPLIANCE ASSURANCE PROGRAM APPROVAL

NOTE: Applicants should complete all items (I-V) . Mark boxes where applicable.

I. TYPE OF APPLICATION

ED New System or Program EH Major Modification

ED Building System and C.A. Program

ED Building System (only)

ED Compliance Assurance Program (only)

ED Previous Application or Approval Numbers:

VIII. AGENCY USE ONLY

Building System Appl. No. C.A. Program Appl. No. Date of Application

Fee Deposit Received

Building System C.A. Program

II. IDENTIFICATION

Name of Manufacturer Tel. No. Address

Location of Manufacturing Plant

Name of Inspection Agency

Address

Name of Reg. Architect/Prof. Engineer Reg. No

Address State

III. DOCUMENTS SUBMITTED Qplans Dspecs DTest Data Shop Dwgs . Dc. A. Manual Dsample

calculations (Type) Other (Specify)

I I Other State or Agency Approvals/Listings

IV. DESCRIPTION OF MANUFACTURED BUILDING OR COMPONENT

A. Occupancy: EH One and Two Family Detached ED Other (Specify)

L- ., Type of Construction (Classification)

C. Type of Systems: ED Unitized Modular ED Core Unit ED Component

Architectural structural Mechanical Dplumblng Electrical

other (Specify)

D. Principal Construction Material: Qv/ood concrete Steel Masonry

other (Specify)

E. Energy Source: Keating Cooling

F. Design Parameters: Live Load Wind Load Snow Load Seismic Load

G. Design Temperatures: Summer V.^inter

V. SIGNATURES

This is to certify that the building system conforms with

Signature of Reg. Architect/Prof. Engineer (if reqd)

Signature of Applicant /Agent

Name and Title of Applicant/Agent

Address

VI. AGENCY USE ONLY DBldg. System Approved Dc.A. Program Approved

Signature of Agency Official Date

Name and Title

Date

Date

Tel. No.

3

CES DOCUMENT NO. S-02 Page 1 of 3

GENERAL SUBMISSION REQUIREMENTS

This CES Document discusses general Items which apply to all submission requirements (architectural, structural, electrical, mechanical, and plumbing), based on Part V, Section 1(A) of the Rules and Regulations.

Specifications

A separate set of specifications may be required in applications for approval of

complex or innovative building systems. For simple, conventional one and two family

dwellings, it is usual to show all pertinent information on the drawings or on tables

which have the same format as the drawings. Some Evaluation Agencies do appear to

favor the use of extensive specifications, while others prefer that all information

be given on the drawings. The CES submission documents are based on the premise that

specifications are not a necessary submission requirement.

Drawings

All drawings should be submitted in a single format and should be bound in sets.

The scale of the drawings should be marked on each drawing and should also be shown

graphically. It Is preferable that each sheet contain only drawings at a single

scale. If this is impractical, the scale (both numerical and graphic) must be given

for each part. The scale of the drawings and the size and style of the lettering

should be such that they can be easily read. As a rule, plans and sections should

be drawn to a, scale not smaller than 1/8 inch to a foot, and details should be shown

at a scale consistent with the complexity of the detail.

Specifically, Part V, Section 1(A) requires the following items to be placed on the submission drawings (numbers given below correspond to those given in the Rules

and Regulations):

(3) Identification of manufacturer and plant.

(5) Signature of registered architect or professional engineer if required by

state law.

(6) Clear distinction between that work which is to be performed in a manufacturing plant, and that work which is to be performed on-site.

(7) A 3-inch by 4-lnch blank space for approval stamp.

(12) Date and sheet number, and number of sheets in set.

In addition, the building system should be clearly identified on each sheet, and

a space for marking the nature and date of any revisions should be provided.

5
CES DOCUMENT NO. S-02 Page 2 of 3

References To Standards

Where Information necessary for the proper construction or installation of an element is contained in a standard and not repeated in the documents, such standard

should be clearly noted and Identified in all applicable places (drawings, specifications, calculations, etc.). Such identification should make reference to the specific

portion of the applicable standard, and if the standard is not contained in standard

reference publications, a copy of the standard should be included in the submission

documents. The same recommendation applies to test methods and test reports which

are discussed in greater detail in CES Document No. E-09.

Alternate Designs

According to the definition of "building system" as given in Part I(P), alternate

designs of a manufactured building or component may be submitted as a single building

system. Such alternates should be of the same construction method and for the same intended uses. Examples of alternates would be a manufactured building for which

approval is sought both with a gable end roof and with a hip roof ^ or a model which

has an alternate interior room arrangement, or is to be built in differing sizes.

Where such alternates are submitted as part of a building system, they should be

clearly identified on all documents and all information regarding the alternate con- struction must be given to permit their evaluation for code compliance in the same manner as required for the basic system. In particular it is not sufficient to indicate on the .documents only the alternate construction Itself, but also the influence

such alternate has on the basic system. For example, where an alternate addition of a room blocks a required exit way, it is mandatory that the documents show an alternate

exit.

It is also permissible to show a range of alternates in the building systems

submittal. For example, a range of widths may be given for a patio door which may

vary between 2 '-8" and 6'-0". In these cases header and jamb post schedules, together

with all necessary calculations, may serve to show how the structural requirements for

the various widths are met.

When submitting alternates it is particularly important that such alternates

also be recognized in, and coordinated with, the compliance assurance manual. Specifically, the inspection checklists must Include the necessary notations to alert the

inspector to the fact that alternates are to be inspected.

6
CES DOCUMENT NO. S-02 Page 3 of 3

Handling, Transportation, and Site Related Items

In order to properly evaluate a building system and to define the respective

jurisdictions of the state regulatory function and the local enforcement function, it

is necessary to clearly Indicate on all documents: (1) those code related items which

are constructed in-: lant (manufactured); (2) those items which are constructed on-site;

(3) the method of joining and connecting the manufactured unit to the site built parts;

and (4) to give such information on transportation, handling, and erection which may

be required to assure that concealed parts of manufactured and certified units can not

be damaged before completion of erection. The items associated with handling, transportation. Installation, and on-site work that may need to be included In the building

system submission are:

(1) Method of protection against the elements during transportation and storage;

(2) Lifting points and any temporary bracing required for the unit or for

individual parts and equipment;

(3) Tie-downs and supports needed during transportation, and total weight of

each certified unit;

(4) Details of field connections between adjacent units, including flashing of

field joints, etc.;

(5) Details of connection of the unit to its site built foundation, including a diagram showing location of such connections; sizes of required site-installed anchors

and bolts and the tolerance requirements for their location; method of adjustment for

levelling; utility connections, etc.; and

(6) Indication of any accesses which need to be incorporated in foundation walls

so that the units can be properly Installed and connected to utility services.

7

CES DOCUMENT NO. S-03 Page 1 of 4

ARCHITECTURAL SUBMISSION

Part V, Section 1(B)(1) to (3) gives the submission requirements in regard to

general construction details, building classification, space and fire safety. This

document discusses each of these requirements and provides additional details as an aid to the manufacturer in the preparation of the building system submission.

The documentation depicting the architectural, fire safety, and health and

safety items should provide the information necessary for the evaluator to determine

that these items conform to the requirements of the applicable codes. This documentation in general should consist of at least all floor plans, sections, and elevations.

In addition, these documents should also be suitable to serve the inspector in determining that the unit under construction or constructed is in fact built according to

the documents.

1. General

(a) Installation Details . This item is discussed in CES Document No. S-02.

(b) Exterior Elevations . All exterior elevations of the unit should be shown.

Such elevations should show the location of all openings, such as door, windows,

ventilators, etc., and should show the roof line or lines, roof draining system, eaves,

chimneys, steps, balconies, porches, lighting fixtures or their location, integral

plant boxes and similar ornamental attachments, and the location of the certification

label. In addition, floor and ceiling lines should be marked, and materials properly

identified. Schedules, tables, or part elevations may be used to show alternate

designs or ranges of alternate designs.

(c) Cross Sections . All necessary cross sections should be given to show floor

and ceiling levels, platforms, stairs, wall openings, chimneys, ventilators, roof

slopes and eaves, over-hangs and cantilevers, fixed awnings, porches, and the like.

All heights should be properly dimensioned, materials given by grade, type, etc., and,

if a site-built foundation is shown on the section, the dividing line between it and

the factory-built unit must be clearly defined. The cross sections also should shov; the levels for the site-built foundations or supports if the foundations are not

shown. Where a manufactured building is assembled on-site from manufactured components, the single components should be clearly identified and defined on the sections.

(d) Flashing Details . The method, size, material, and location of all flashings

must be shown and identified. Of particular interest are flashings or provisions for

them built into the unit, but used to cover joints on the building site, such as

9
CES DOCUMENT NO. S-03 Page 2 of 4

Joints between adjacent modular units, between manufactured components, and between

manufactured parts and slte-bullt elements. In these cases, the details must clearly

indicate by notes or otherwise what work Is to be done In the plant, and what work Is to be done on-site. Including an indication of whether the necessary material for

on-site work is provided by the manufacturer or by the Installer or builder.

(e) Attic Access and Ventilation . Location, size, and type of access to the

attic should be shown, including details of trap doors, ladders, etc., needed for

gaining access to the attic space, as well as any flooring or "cat-walks" within the

attic space. Also Included should be the necessary information regarding mechanical

devices used in the attic access, such as counterweights and balances, and the

clearances provided around and above the access area and the stairs or ladder leading

to it. , -

Attic ventilators should be shown and identified as to type and, in case of

mechanical or electrical devices, should be included in the appropriate wiring

diagrams. The air flow direction should be indicated and the capacity given.

(f) and (g) Finish Materials . All exterior and interior materials and their

finishes should be shown. Such information should Include not only the basic material,

but also the grade and any other Information to positively identify such materials,

including references to appropriate national standards if available, as well as pattern, type of application ("vertical siding" or "shingles"), and finish (painted,

stained, etc.). If louvers or perforated panels are a part of the exterior walls or the soffit, such parts should be shown and their type, material, and finish identified.

(h) Doors and Windows . Exterior doors, windows, and other openings should be

shown on the elevations keyed to appropriate schedules giving dimensions and other

pertinent data, and should be dimensioned on the plans and in the sections. Separate

schedules are often used for windows and doors with key letters or numbers on plans,

elevations, and sections to locate the particular items.

For application in high-wind areas, the wind resistance of the windows should be

given and references made to test results, certification, or standards of the window

and sliding door type and size used. In addition, for sliding or patio doors, the

glass should be identified to thickness and type (plate, safety, tempered, etc.) and

reference be made to test results, certification, or standards of such glass.

(1) Foundations . Recommended or suggested foundation plans should be shown,

giving the location and level of all connectors and anchors by which the manufactured

building or component Is attached, and showing the bearing loads acting on the foundation. For additional Information, see CES Document No. S-04 on structural submission

requirements

10
CES DOCUMENT NO. S-03 Page 3 of 4

In addition, the recommended foundation plans also should show access, vents, and

other Items that are required In the foundation to properly Install, connect, and

maintain the manufactured unit. See CES Document No. S-02 for an additional discussion on this Item.

(a) Occupancy - Use . Occupancy and use of the manufactured building, or of the

building In which a manufactured component Is to be Installed, Is to be given on the

application form (see CES Document No. S-01). However, this Information should be

repeated on the drawings.

In addition to the occupancy and use classification of the unit, each room within a manufactured building should be identified (such as living room, kitchen,

etc . ) .

(b) Area, Height, Number of Stories . The plans should contain the total building area. Heights and number of stories should be shown on the cross sections discussed above.

(c) Type of Construction . The basic type of construction classification for the

manufactured building is to be given in the application form (CES Document No. S-01).

If the actual construction of various parts or elements of the building are of different materials and construction methods, each such method should be properly Identified

so as to permit the evaluation and classification of the building.

(d) Fire Resistance Ratings . Where required the fire resistance ratings should

be given for all rated stairway enclosures, doors, walls, floor, and roof assemblies,

partitions, columns, and shaft enclosures. Where such ratings are tied to specific

or proprietary materials and/or systems, such materials or systems must be identified

on the drawings and other documents. The ratings should make reference to tests

performed, certification or labeling, etc.

(a) Fire Resistance Rated Assemblies . All fire resistance rated assemblies

should be adequately detailed. Openings in walls, floors, ceilings, partitions and

other building elements must be dimensioned and provision for such items as fire

dampers must be identified, including any rating of such equipment. The exact location and extent of any required fire rated wall or partition should be clearly shown.

For example, it must be indicated whether a fire separation wall extends above a celling to the underside of the floor above, whether it stops at the finished ceiling

height, or whether it bypasses the floor or roof above.

2. Building Classification

3. Space and Fire Safety

11
CES DOCUMENT NO. S-03 Page i| of 4

(b) Exit, Stair, and Passage Enclosures . The width of all aisles, exits,

corridors, passageways, and stair enclosures should be shown. The method of dimensioning should clearly show whether such dimension refers to rough or clear dimensions,

and whether the dimension is taken between walls or between handrails. On stair platforms, the dimension between the stair railing or newel post and the back wall of the

landing or platform should also be shown.

(c) Toxicity and Flamespread Classification . According to the Model Rules and

Regulations, the toxicity and flamespread classifications should be shown for all

finish materials. For all such ratings, reference should be made to the appropriate

test reports, certifications or labellngs. The exact extent of all flammable finish

surfaces should be noted on the drawings, and any interruptions of such surfaces

should be shown. :

In regard to fire safety, reference should also be made to CES Documents No. S-05

md S-07 which discuss mechanical and electrical submission requirements.

12
CES DOCUMENT NO. Page 1 of 6

STRUCTURAL SUBMISSION

Part V, Section 1(B) (a) through (1), of the Rules and Regulations gives

the submission requirements for structural items in general as well as in specific

terms. This document discusses each of these requirements in detail as an aid to

the manufacturer in the preparation of the structural submission documentation.

The requirements as given below are based on a typical, conventional submission.

It is recognized that with the increased use of computers and computer based design

and drafting methods, alternate submissions based on such new methods should also

be acceptable to the evaluator.

General Requirements

The documentation depicting the structural system for manufactured buildings

should provide the information necessary for the evaluator to determine that the

structural design of the proposed units complies with the regulations. For small

structures, all pertinent information is often included on the structural drawings

rather than in separate specifications.

The structural drawings or separate specifications should contain a section

of general notes. These notes should include a listing of all of the standards

followed in designing the structure and those applicable to its fabrication, the

design loadings and the grade or quality of material to be utilized in constructing

the structural system.

It is permissible to use a format for structural calculations and drawings

that permits flexibility in construction, such as showing variations in the spans

of members, the locations of walls and openings, etc., provided that the drawings

specifically define the element to be varied and clearly identify the limits of its

variation. As a general rule, the drawings should depict the system at its maximum,

and identify elements that can be omitted or reduced. Examples of this include the

depiction of a wall with the maximum number and size of openings that would occur

in the units produced, and noting those that may be omitted, reduced or moved within

the maximum and minimum dimensions shown; the depiction of a floor plan with maximum

and m.inimum dimensions for the width and length of the structure and the location and

length of bearing and shear walls; and the scheduling of the type and size of Joists

or rafters to be used for various spans. In the drawings, the information must be

presented in a manner that can be readily interpreted by the evaluators and inspectors.

The calculations must substantiate the adequacy of units incorporating the combinations of variations that produce the least capacity to support the design loads.

The structural drawings should clearly and specifically Identify the elements

that are to be constructed in the plant and those that are constructed or installed

at the installation site. It is preferable that all work to be performed at the site

13
CES DOCUMENT NO. S-04 Page 2 of 6

to be depicted on a sheet of the drawings separate from those showing the construction

to be performed In the factory.

(a) Engineer's Calculations of Structural Members, Where Appropriate.

Calculations should be provided for all members and connections supporting other than

nominal loads. The only exceptions to this requirement are stru^oural members utilized

in accordance with specifications contained In the regulations or otherwise approved

by the Administrative Agency (or Evaluation Agency). Examples of these exceptions are the use of wood rafters or joists as specified by the model building codes, and the use of open web steel joists selected from load and span tables prepared by an industry

association and approved by the Administrative Agency.

The calculations should be organized in a comprehensive manner and be clearly

identified with the element of the structural system they pertain to, so the evaluator

may easily review the design processes. The calculations should list the design loads,

including the controlling combinations of loads, the standards which were followed in

preparing the design, and the material, grade and size of members and connectors

selected to satisfy the design requirements. Unless otherwise approved by the Administrative Agency, the standards for the design and for the materials selected should be

those contained in or referenced by Part III, Section 1 of the Rules and Regulations.

The use of materials or construction methods for which approved standards do not exist

may be permitted when their adequacy has been substantiated to the satisfaction of

the Administrative Agency.

The calculations should also substantiate the capability of the structure to

withstand lifting stresses, and unless specific exemption is granted, design

loads due to wind or seismic forces. Both the calculations and the drawings should

Identify the points of lifting and support during transportation. The calculations

should provide a complete analysis of how these loads are resisted by the structure,

including points of concentrated loads and the anchorage of lifting inserts if any.

If lifting slings are used, the analysis should Include the effects of the vertical

concentrations at the floor and the horizontal reactions of the slings at the floor

and eave lines. Appropriate impact factors should be applied to lifting loads. The

analysis substantiating the adequacy of the structure to withstand design loads

due to wind or earthquake should include calculations for both individual elements

and the structure as a whole. A complete analysis should also be made of the

connections

Where the analysis of the structure is performed through the use of a computer,

a copy of the applicable programmer's manual should be submitted with the computer

print-out unless specific exemption is granted. In this case, sketches of the

structural framing with the members numbered as entered in the program should be

Included.

14
CES DOCUMENT NO. S-04 Page 3 of 6

(b) Design Soil Bearing Value . In many Instances, the foundation may not be

Included In the building system submission. In these cases, the manufacturer or builder should obtain approval of the foundation from the local jurisdiction as provided by Part IV, Section 5 of the Rules and Regulations.

However, if a "manufacturer submits one or more foundation designs, each such

design should identify the required minimum soil bearing capacity. When this is done,

the drawings should clearly note that the foundation for a specific site should be

approved by the regulatory agency with the appropriate jurisdiction, prior to its

installation. The substantiation of the adequacy of foundation systems should include

the effects of expansive soils when encountered, considerations of depth of footings

to avoid frost-heaving, as well as proper bearing capacity.

Regardless of whether or not the foundation is part of the structural submittal,

the structural drawings should show the location and magnitude of all loads to be

supported by the foundations. Particular attention should be given to concentrated

loads such as those resulting from the reaction of beams supporting relatively large

loads that may be supported on isolated footing pads. With the exception of small

structures (generally one story), the loadings should be broken down into dead, live

and lateral loads to provide the information necessary to consider the results of

soil settlements.

(c) Structural and Framing Details of all Floors, Roof and Walls . The

structural drawings should Include a framing plan for each floor and the roof.

Repetitive framing plans for the floors of structures with more than one story may

be combined on one drawing, provided that variations are minor and are clearly

identified

Framing plans should identify the material, size, location and orientation of

all structural members, bracing and bridging, and the structural materials acting as the surfaces of the floors and roof. The connections of the walls and floor to the

foundations should be detailed. Structural framing around all openings, including

those for mechanical ducts, should be shown, as well as that supporting mechanical

equipment

Where the use of alternate or optional framing or surfacing materials is proposed,

these options must be clearly Identified on the drawings.

(d) Details and Stress Diagrams of Roof Trusses . Trusses should be thoroughly

detailed on the structural drawings, including the dimensions for length and rise of

the truss; and the size, material and orientation of each member. The connections

at each joint should be clearly shown and the connecting device or method specifically

15
CES DOCUMENT NO. S-04 Page 4 of 6

identified. Connectors should be located by dimensions from the sides and ends of

the members connected. Structural adhesives used in connections should be specifically identified and the standard applicable to their use referenced on the structural

drawings

The analysis of trusses should take full account of their me'i-hod of support. For

example, it is not acceptable to submit an analysis of a truss supported at its ends,

when in the actual structure it also bears on interior walls. Line stress diagrams

are acceptable. Where the loads occurring between panel points Induce bending

significantly affecting the member stresses, such effects should be Included.

(e) Detail of Reinforcing Steel . The structural drawings for concrete elements

should clearly show the size, number, spacing and location of the steel reinforcing

bars. In addition, the drawings should conspicuously note the grade of reinforcing

steel to be used and the maximum spacing of bar supports. The structural detailing

should include the clearance of the reinforcing from the concrete surfaces, and the

lengths, laps and any bending for each bar. The specific requirements for radii of

bends should be noted.

The tabulation of reinforcing In schedules is acceptable, providing the format

used provides for ready interpretation of the Information by Inspection personnel not

necessarily skilled at inspecting concrete construction.

All items to be embedded in concrete structural elements should also be clearly

detailed, including minimum concrete coverage and embedment of anchorage and, in cases of possible obstructions, relationships to the steel reinforcing. The structural drawings should show mechanical and electrical elements to be cast in the

concrete, including conduits.

(f) Complete Loading Schedule . The structural drawings should contain a listing

of all of the maximum loadings the structure has been designed to withstand. This

listing will include the floor and roof live loads, wind, seismic, and the dynamic

factors applicable to the lifting of the unit.

(g) Column Loads and Column Schedule . With the general exception of one and

two-story buildings, the drawings for all structures should contain a tabulation, in

schedule form, of the material, size, orientation, length and location of columns or studs used in the structure. Also included on this schedule or readily keyed to It should be a tabulation of the vertical design loads. The live loads and dead loads

should be indicated separately.

(h) Lintel Schedule . The structural drawings should contain a tabulation of the

material, size and orientation of the members supporting the loads over the openings

in all walls and partitions of the structure. Where members of different sizes are

16
CES DOCUMENT NO. S-QiJ Page 5 of 6

used over openings of the same width because of a variance in the loads supported,

the limitations applicable to their use should be clearly identified. For example,

it is not sufficient to differentiate between headers used in bearing walls and those

used in non-bearing partitions, unless the drawings specifically identify those walls

which are bearing walls.

(i) Size, Spacing and Details of All Structural Elements . All of the information necessary to construct and inspect every element that serves to support the loads

the structure has been designed to withstand must be included on the structural

drawings. Major members should be shown on framing plans and wall sections. Smaller

elements, such as anchorages or connections should be shown on appropriate detail

drawings keyed to the framing plans and sections. References to locations or spacings

of items with critical tolerances should be specific, such as in the case of anchor

bolts for columns or tiedowns for shear walls.

All penetrations of structural members by electrical, plumbing and mechanical

components must be fully detailed or described, including the size and location of

holes. Such dimensions may be expressed as maxima and minima.

(j) Grade or Quality of All Structural Elements . Where the adequacy of a structural element is dependent on its being of a particular grade or quality, such

information should be included in the building system. As a general guide, all the

data necessary to duplicate the design of the structure if the original computations

were not available, should be included. Examples of this data are the required grades

of lumber, plywood, bolts, structural steel, reinforcing steel, and the design strengths

should be based on a code or standard referenced by Part III, Section 1 of the Rules

and Regulations.

Where the structural system includes an element or material for v;hich a standard

has not been previously approved, the information on the drawings should include the

properties necessary to determine its adequacy for the use proposed, i.e. ultimate

bending and shear strength, yield strength if applicable, factors of safety, modulus

of elasticity, shear modulus, etc.

(k) Elevation of Structural Elements, Walls or Sections Thereof Providing

Resistance to Vertical Loads or Lateral Forces . The drawings should depict the

structural system in such manner that it will be constructed in accordance with

the approved design. In most instances It is not possible to accomplish this by

relying on the architectural drawings and the structural roof and floor framing plans

alone. As a minimum requirement for showing wall construction, a section through each

exterior wall and each bearing wall should be shown on the drawings. It may be necessary to show more than one section through walls supported at the level of ceilings

that vary in height. Where the construction is particularly complex, elevations of

17
CES DOCUMENT NO. S-OH Page 6 of 6

the walls should be shown. This would Include conditions where substantial tledowns,

or metal straps providing continuity around openings in wood walls are used to resist

lateral loads; and the reinforcing around openings in concrete walls.

(1) Complete Details of All Structural Connections . With the exception of

simple connections, such as the typical end nailing of studs to tc and bottom plates

which can be covered by notes, all connections should be detailed. The orientation

and extent of each member at a Joint should be shown clearly. The detail should show

which members are supported by connecting devices and which are supported by bearing

on other members. The connecting devices should be identified, and dimensions shown

locating them with respect to the ends and sides of the members connected, and the

spacing to other connectors in the Joints. This requirement includes nailed connections where splitting of the lumber may occur.

18
CES DOCUMENT NO. S-05 Page 1 of 2

MECHANICAL SUBMISSION

Submission requirements for mechanical Items contained In manufactured buildings

or building components are given in Part V, Section (B)(5), (a) through (h) of the

Rules and Regulations. This document discusses these requirements as an aid to the

manufacturer in the i:^reparation of appropriate submission. Subsections (i) and (j),

relating to sprinkler and elevator systems are not discussed since these requirements

do not normally apply to one and two family dwellings.

1 2 (a) Location - Equipment and Appliances . Drawings should show and dimension

location, size, and clearances for all equipment and appliances, e.g., fans, warm air

furnaces, boilers, absorption units, refrigerant compressors and condensers.

(b) Heat loss calculations, where appropriate . Many trade and professional

associations and individual equipment manufacturers have developed heat loss and heat

gain calculation forms. The manufacturer should submit his calculations in one of

these formats. Examples of such formats have been published by the National Environmental Systems Contractors Association and the National Warm Air Heating and Air

Conditioning Association.

(c) Schedules of equipment and appliances . Schedules of equipment and appliances should be shown on the drawings to check whether the equipment used Is listed

by an approved testing agency and adequately sized to perform in accordance with the

code and standard. Therefore schedules should show whether equipment and appliances

are listed or labeled by approved agencies and also Indicate manufacturer's name,

make, model number, BTU/hr, and input rating. Other drawing details to aid proper

evaluation are: details of motors, fans, controls, filters, safety devices, connectors, valves, automatic shut-off devices, and pressure relief devices.

Since the type of equipment used in a machinery room determines the fire resistance requirements of the enclosure, it Is Important that the machinery room drawings

be adequately detailed with the equipment properly located and identified.

(d) Duct and register details . Drawings should show location of all ducts, air

inlets and outlets, and air dampers and registers. Special attention should be given

to ducts located in attics and crawl spaces in order to satisfy fire protection

requirements where applicable. Details of material, support, length, size, pitch

and insulation of ducts should be provided. Where the systems approach is used when

In this context, "equipment" is a general term including materials, fittings, devices,

appliances, and apparatus used as part of or in connection with the installations

regulated by the mechanical code.

2 In this context, "appliance" is a device which utilizes fuel or other forms of energy

to produce light, heat, power, refrigeration or air conditioning.

19
CES DOCUMENT NO. S-05 Page 2 of 2

submitting plans for approval (Vol, I, p. 16), the above details, including openings

and ducts for combustion air, for each system submitted for approval should be indicated. Where the ducts, air inlets and outlets penetrate fire barriers, drawings

should show necessary details.

(e) Clearances from combustible material or surfaces . Dra^ilngs should show

clearances from combustible material or surfaces for heat producing appliances

(furnaces, boilers, etc.), and all ducts, flues, and chimneys. Isometric views of

heat producing appliances showing all clearances (side, back, front, top) are helpful

to the plan evaluator and in-plant or field Inspector.

(f) Combustion air details . Methods of providing required combustion air should

be described. Sufficient make-up air should be provided to take care of combustion

devices and exhaust fans in the buildings. Drawings should show location and area of

all ventilation and combustion air openings and ducts. Plow directions should be

indicated

(g) Flues, vents and chimneys - details . Details of material, size, type and

locations should be provided for flues, vents, and chimneys. Such details should show

clearances from air Intakes and other vents and flues.

(h) Fire safety requirements . Location and construction details of all fire

dampers should be clearly Indicated on the drawings. A schedule showing fire damper

locations in various rooms, corridors, etc., on each floor facilitates plan review.

Also complete • drawings of fire sprinkler systems, standpipe system or fire alarm

system should be submitted, if required.

20
CES DOCUMENT NO. S-06 Page 1 of 1

PLUMBING SUBMISSION

Submission requirements for plumbing items contained in manufactured buildings

or building components are given in Part V, Section (B)(6), (a) through (f) of the

Rules and Regulations. This document discusses these requirements as an aid to the

manufacturer in the preparation of an appropriate submission.

(a) Layout requirements . A plan or schematic drawing of the plumbing layout,

including but not limited to, size of piping, fitting, traps and vents, cleanouts

and valves, gas, water, and drainage system, should be provided.

Drawings should include a riser diagram for each plumbing stack. Such diagrams

should show pipe, vent, and trap sizes, cleanout fixtures, interceptors and floor

drains. Connection and installation details between pipes, fixtures, and appliances

should be provided. Drawings should also show proper slope of waste and vent lines

and how such lines penetrate walls and floors without destroying structural and fire

integrity of such members.

(b) Materials, equipment, and appliances . All plumbing materials should be

shown either on drawings, on schedules or in the specifications. All fixtures should

be located on appropriate drawings. Fixture unit capacity of system(s) and the make,

model and rating/capacity of equipment and appliances should also be indicated. In

addition, indicate whether equipment and appliances are listed or labeled. In general, listing, labeling, and location of equipment and appliances is covered under

mechanical and electrical submissions. However, rating and capacity of some appliances and equipment is covered by the plumbing code, e.g., sizing of gas piping for

gas burning appliances.

(c) Safety controls . Details, make, and model of safety controls (such as for

water heaters), their location, and any listings or labelings should be shown. Most

mechanical codes include requirements for hot water heaters. However, in some instances these requirements are included In the plumbing code rather than the mechanical code.

(d) Pipe supports . Drawings should provide details of pipe and fixture supports

(i.e., type and spacing). Where applicable pipe protection such as wrapping or sealing should be indicated.

(e) Details of vents above roofs . Details of location of vents above roofs and

required clearances, including but not limited to clearances from air Intakes, other

vents and flues, should be provided.

(f) Methods of testing . Information on test methods and results, if required,

should be furnished to the Evaluation Agency. These tests may include the following:

(1) VJater system test; (2) Drainage and vent-system test, (a) water test, and (b)

air test; (3) Fixture test; i^) Shower stall test.

21

CES DOCUMENT NO. S-07 Page 1 of 3

ELECTRICAL SUBMISSION

Submission requirements for electrical Items contained In manufactured buildings

or building components are given In Part V, Section (B)(7), (a) through (1) of the

Rules and Regulations. This document discusses these requirements as an aid to the

manufacturer in the preparation of an appropriate submission.

(a) Service equipment details . A plan of service equipment, including service

entrance, conductors, service raceway and clearances above ground and above structures

should be provided. Also details of wall penetration and service entrance cable protection should be shown.

(b) Grounding of service equipment . Methods and details for grounding service

equipment, raceways, or cables should be shown.

(c) Single line diagram - Electrical Installation . Single line diagrams should

be shown for the entire electrical distribution system, telephone system, T.V. antenna

system and fire alarm system. Details of electrical distribution switchboard and

individual panels should be provided. Each circuit should be identified.

(d) Load calculations . Calculations for branch circuit and service loads,

including methods and assumptions used should be submitted. Basis for calculating

branch circuit and feeder loads are given In NEC Article 220 and typical example

calculations are given in NEC, Chapter S. Page 3 of this document gives a suggested

form for calculating the service load.

(e) Sizes of all feeders and branch circuits . Drawings should Identify and

Indicate sizes and materials for each feeder and branch circuit.

(f) Details for main disconnect and overcurrent protective devices . Sizes,

ratings and locations of main disconnect and overcurrent protective devices should

be indicated on drawings.

(g) Interconnection details . The method and location of Interconnection between

prefabricated components or buildings should be shown. All materials and devices

should be located, identified, and listings or labellngs given.

(h) Outlets and junction boxes . Installation details and location of all outlet,

switch and junction boxes and fittings should be provided on drawings.

(1) Installation of fixtures . Drawings should show methods of mounting and

wiring of all fixtures.

In addition to the submission requirements (a) through (1) identified in the

Rules and Regulations, the following information should also be provided:

23
CES DOCUMENT NO. S-07 Page 2 of 3

Location of Equipment and Appliances . The location of all equipment and of all

fixed and stationary-^ appliances should be shown and located on the drawings.

Listings . Any listing and labeling of wiring, fixtures, equipment and appliances

should be provided, giving name of agency and code or standard used as basis for

listing. -

,

Name plate rating of all appliances and equipment . Name plate rating of all

electrical appliances to be used should be provided giving the identifying name and

the rating in volts and amperes, or in volts and watts. When the appliance is to be

used on a specific frequency it shall be so marked. Where motor overload protection

external to the appliance is required, the appliance shall be so marked.

^Electrical codes define "appliance" as utilization equipment, generally other than

Industrial, normally built in standard sizes or types, which is installed or con- nected as a unit to perform one or more functions such as clothes washing, air

conditioning, food mixing, deep frying, etc.

4 "Fixed appliance" is defined In the electrical codes as an appliance which is fastened

or otherwise secured at a specific location.

"Stationary appliance" is defined in the electrical codes as an appliance which is

not easily moved from one place to another in normal use.

2ii
CES DOCUMENT NO. S-07 Page 3 of 3

CALCULATION SHEET FOR SERVICE LOADS

ASSEMBLY RATING:

Mfr. Model Size

General Light Load ( 15 amp circuits):

L X W = ft. ^ X 3 watts/ft. ^ = watts

Small appliance load ( 20 amp circuits):

Circuits x 1500 Watts = watts

(1) Total = watts

First 3000 @ 100% = watts

3001-120,000 Watts (® 35% = watts

Remainder Watts @ 25% = watts

(2) Total = watts

Total Watts (2) -j- 230 Volts = Amps/

DISTRIBUTION PANEL

LEG A LEG B General Lighting & small appliances Amps

Nameplate amperes for motor & heater loads

Air Conditioner Motor Amps

Furnace Blower Motor Amps

Exhaust Fan Amps

Amps

Amps

Add 25% of amperes of largest mtr. Amps

Total Nameplate Am.peres * Disposal Amps

Dishwasher Amps

Water Heater Amps

Clothes Dryer Amps

Wall mounted over Amps

Cooking Unit Amps

Amps

*Where no. of these appliances, exceeds three, use

75% of total Amps

Furnace Amps

Amps

Free Standing Range Amps

TOTAL

Panel Rating Amps

Main Disconnect Rating Amps 2-pole

25

CES DOCUMENT NO. S-08 Page 1 of 1

27

CES DOCUMENT NO. S-09 Page 1 of 33

SUBMISSION REQUIREMENTS FOR COMPLIANCE ASSURANCE PROGRAMS

Index

Document Volume II Sub j ect Page Number Page Number

General Requirements 2 30

Revision of Compliance Assurance Manual 3 31

Organizational Structure 4 32

Training and Qualifications 5 33

Uniform System of Audits 6 3^

Compliance Records 7 35

Control of Changes 8 36

Control of Working Drawings 9 37

Serial Numbering System 10 38

Control of Labels 11 39

Control of Procurement 12 40

Receiving Inspection 13 4l

Protection of Materials 14 42

Disposition of Rejected Materials 15 43

Corrective Action 15 43

Testing and Inspection Equipment 16 44

Frequency of Inspection 17 45

Authority for Compliance Assurance 20 48

Production Flow Diagrams 21 49

Inspection Checklists 22 50

Code Compliance Workmanship Standards 23 51

Disposition of Noncompliant Construction 24 52

Final Inspection and Certification 25 53

Handling and Storage 26 54

Packing, Packaging and Shipping 27 55

Transportation 28 56

Installation Control 29 57 Field Repairs 32 60

Permission for Inspection 33 6l

I

29
CES DOCUMENT NO. S-09 Page 2 of 33

General Requirements

Certain requirements and administrative information are basic to the preparation

and submission of the compliance assurance manual. This additional information is

defined as follows and should be reflected in submitted compliance assurance manuals.

(Note: The Administrative Agency should specify the number of copies of the compliance assurance manual to be submitted.)

(1) Name and address of Inspection Agency should be indicated. Also, if not

submitted separately, detailed qualifications of the Inspection Agency should be

presented

(2) Approval of compliance assurance manual by the Inspection Agency with date

of approval should be indicated on a cover sheet to the manual.

(3) The compliance assurance manual should be properly indexed to all regulatory

requirements and all pages of the manual consecutively numbered.

CJ) The individual plant name and manufacturer location to which the manual

applies should be indicated.

(5) The manual should contain copies of all inspection forms, records, checklists, labels, tags, stamps, insignia, etc., for both the manufacturer and Inspection

Agency along with their intended usage for compliance assurance program activities.

(6) The manual should also contain a brief statement in the form of an introduction to the manual to describe the type of manufactured buildings or components

to be produced, inspected and certified along with the purpose for the compliance assurance manual in the overall control of construction leading to production unit

certification

(7) The compliance assurance manual should contain either a copy of the contract

between the manufacturer and the Inspection Agency or an official signed statement

by a responsible officer of the manufacturer that such an agreement is in force and

effect.

In addition to the above, organization of the compliance assurance manual should

provide for the following:

(1) A space of 3 inch by ^ inch should be provided on the cover sheet of the

compliance assurance manual for affixing the Approval Stamp of the Evaluation Agency.

A margin of 1 inch should be provided on each following page for affixing the

Alternate Approval Stamp.

(2) Compliance assurance manuals should be in such a form that Individual pages

may be readily removed or replaced.

30
CES DOCUMENT NO. S-09 Page 3 of 33

Revision of Compliance Assurance Manual

Citation . Part V, Section 2(A)(1), "A procedure for periodic revision of the

manual"

Administrative Interpretation . It Is essential that all approved changes and the

resultant additions or deletions to Inspection procedures and Inspection checklists

affecting construction control be made available to the appropriate Inspection

personnel (I.e., manufacturer or Inspection Agency) and that all such changes be

documented as revisions to the compliance assurance manual.

The compliance assurance manual should contain a formalized procedure covering

the following points:

(1) All changes to the compliance assurance m.anual should be submitted to the

Administrative Agency within ten (10) days of the change.

(2) Changes In the manufacturer's portion of the compliance assurance manual

should be accompanied by any required changes In the Inspection Agency's portion

of the manual.

(3) The compliance assurance manual should be formally reviewed at least every

three (3) months by the manufacturer and the Inspection Agency and be updated as required

Comment . The compliance manual should be updated periodically as changes and

additions to the manufacturer's and Inspection Agency's programs occur and modifications to the approved building system are made. Any revisions to the manufacturer

compliance control program should be coordinated with the Inspection Agency and

include their concurrence. Also, any changes in name, address, ownership or location

per Part IV, Section 7(A) and (B) of the Rules and Regulations may affect an approved

compliance assurance manual and thus require its revision and resubmission. Either

CES Documents No. S-01 or S-10 should be used when making application for modifications to an approved compliance assurance program.

31
CES DOCUMENT NO. S-09 Page 4 of 33

Organizational Structure

Citation . Part V, Section 2(A)(2), "An organizational structure for Implementing

and maintaining the compliance assurance program and Its functional relationship to

other elements of the organization structure of the manufactur:^ .-

. which structure

shall provide for Independence from the production department".

Administrative Interpretation . The manufacturer and the Inspection Agency should

each maintain an authoritative and effective organizational element as the focal point

for the compliance assurance program.

To be totally effective, the manufacturer's compliance control activity should

be an Independent activity, such that the plant officer responsible for implementing

and maintaining construction compliance is free of any functional obligations with

respect to production management that could potentially compromise compliance.

The compliance assurance manual should provide the following:

(1) A chart depicting the manufacturer's organizational setting and functional

relationships for compliance control and production responsibilities should be

Included. The chart should indicate where and by whom coordination with the Inspection

Agency should be carried out.

(2) A current functional statem.ent in the form of a directive signed by the plant

manager should be Included which defines the functional obligation, responsibility and

authority of the manufacturer's compliance control activity or, as appropriate, those

of the Inspection Agency.

Comment . Of utmost consequence to the overall effectiveness of the compliance assurance program is the organizational freedom and authority to:

(1) Continuously detect actual or potential deviations, marginal code compliance

workmanship and trends or conditions which could result in noncompliances;

(2) Objectively assess, document and report findings during all phases of

construction

(3) Obtain any required corrective actions to preclude recurrence of noncompliances;

(4) If necessary, refuse to attach labels to noncompllant units of production

until such units have been brought into compliance.

32
CES DOCUMENT NO. S-09 Page 5 of 33

Training and Qualifications

Citation . Part V, Section 2(A)(2)(a), "Company officers and employees in charge

of the compliance assurance program must be identified, and their training and

qualifications specified"

Administrative Interpretation . Regardless of plant size, adequately trained and

qualified personnel to Implement and maintain compliance are necessary.

In response to this requirement, the compliance assurance manual should provide

the following:

(1) Identification of the individual responsible for directing the manufacturer's

compliance control program along with that person's background qualifications and

training. If not the same person, the manufacturer should also identify the individual

who will be responsible for the receipt, control and attachment of labels when not

directly controlled by the Inspection Agency.

(2) Job descriptions prescribing minimum qualifications and training requirements

for individuals responsible for compliance control or who make accept/reject determinations with respect to code compliance of the construction.

(3) For each Job description above, a brief background summary in the form of a resume' should be provided outlining the educational background, experience, job

training, licenses held and any other qualifications of individual personnel assigned

to maintain compliance.

(4) The extent of any training activities to be provided in collaboration with

the Inspection Agency should be indicated.

Comment . Training and qualification requirem.ents for compliance personnel should

give consideration to the following technical factors:

(1) Ability to read and understand drawings, specifications and Inspection

checklists defining the dimensions and assemblage of manufactured buildings or com- ponents and the physical properties required thereof.

(2) Familiarity with the appropriate acceptance tolerances, standards and codes

and the ability and skill levels required to objectively inspect buildings or com- ponents for code compliance, dimensional accuracy, and intended function.

(3) Capability to understand and use appropriate inspection and production

test equipment.

33
CES DOCUMENT NO. S-09 Page 6 of 33

Uniform System of Audits

Citation . Part V, Section 2(A)(3), "A uniform system of audit (in-depth

analysis of program effectiveness and means to identify deficiencies) to monitor

program performance periodically".

Administrative Interpretation . The Inspection Agency and the manufacturer

should audit the adequacy of the compliance assurance program on a periodic basis

of at least once a month. A summary report of such audits along with any corrective

actions taken by the manufacturer should be prepared by the Inspection Agency on at least a quarterly basis and submitted to the Administrative Agency.

Audits should Include, in addition to assessing construction compliance, an examination of compliance assurance procedures, inspection checklists, process

controls and Inspection records as well as implementing corrective actions to

correct all identified noncompliances.

The compliance assurance manual should provide the manufacturer's and/or Inspection Agency's checklists for conducting audits and the procedures for reporting

audit findings and corrective actions to the Administrative Agency.

Comment . An example of an audit examination of a production operation would

include:

(1) An inspection of production units from that station for construction

compliance

(2) An examination of the adequacy of required documentation (e.g., inspection

checklists, code compliance workmanship standards, etc.);

(3) A determination of the familiarity of operator and supervisory personnel

with compliance to required documentation;

(4) A review of any prior corrective actions taken;

(5) An evaluation of the adequacy of applicable accept/reject criteria.

34
CES DOCUMENT NO. S-09 Page 7 of 3S

Compliance Records

Citation . Part V, Section 2(A)(4), "Complete and reliable records of manufacturing and site operations, if any (suitable means of storage, preservation and

accessability of copies of forms to be utilized shall be included)."

Administrative Interpretation . Records are considered one of the principal

forms of objective evidence of compliance and as such the manufacturer and the

Inspection Agency should assure that records are complete and reliable. Compliance

records, test reports and laboratory analyses should be available for review by the

Administrative Agency and copies of Individual records should be furnished upon

request

The manufacturer and the Inspection Agency should maintain their respective

compliance records on file and specify in the compliance assurance manual where

such records (or logbooks) will be available for Inspection for a minimum period

of time as may be required by the Administrative Agency.

The compliance assurance manual should also provide the basis upon which the

manufacturer and the Inspection Agency systematically analyze and use records as

a means for management action and should include the procedure for assuring the

availability, currency, completeness and accuracy of compliance records.

Comment . Individual compliance records should provide evidence that required

inspections and production tests have been performed, including component or subsystem identification J unit serial number. Inspection or production test involved,

inspection c-haracteristics , number of compliant items, number of noncompllant item.s,

nature of code noncompliances, basic causes for rejection and date of inspection.

When inspections or production tests so require, the actual measurements or observations obtained should be indicated.

35
CES DOCUMENT NO. S-09 Page 8 of 33.

Control of Changes

Citation . Part V, Section 2(A)(5), "A system to control changes In production

or Inspection procedures".

Administrative Interpretation . The manufacturer and the Inspection Agency

should ensure that manufactured buildings or components are fabricated. Inspected

and production tested to the latest approved building system drawings and specifications. Necessary changes should be approved and so evidenced on applicable production documents and Inspection checklists.

The compliance assurance manual should provide a procedure by which the manu- facturer and the Inspection Agency can formally control all documents affecting

construction compliance and for the Incorporation of approved changes to such

documents . ,

Comment . Applicable compliance documentation may Include:

(1) The approved building system;

(2) Applicable fabrication or shop-level drawings (e.g., working drawings);

(3) Inspection checklists.

Revised documentation should indicate by special notation all items approved for

change together with the effective date of change and reference to the source approval

document that initiated the change.

The manufacturer should assure that all documents affecting construction compliance are distributed to the proper personnel at the proper times In order to assure

that all Inspection functions, including Inspection Agency activities, are accom- plished in accordance with the latest approved documents. The manufacturer's system

should also provide for the prompt removal of all obsolete drawings and changed

requirements from points of Issue and use.

36
CES DOCUMENT NO. S-09 Page 9 of 31

Control of Working Drawings

Citation . Part V, Section 2(A)(6), "A system to assure that working drawings

and specifications, working Instructions and standards, procurement documents, etc.,

conform to the approved building system".

Administrative Interpretation . Subsequent to the approval of the building system

documents by the Administrative Agency as substantiating the adequacy of the manufactured building units to be constructed, it is common practice for some manufacturers

to prepare fabrication or shop drawings. The purpose of these drawings is to make

maximum use of the materials and effort used to construct the units by delineating

detailed layout schemes to be followed by production operators. Such drawings and

any subsequent changes thereto should be formally reviewed for compliance with the

approved building system. The reviews should be performed by a person other than

the one preparing the shop drawing.

The procedure by which working drawings, working instructions and standards

and other implementing documents are reviewed for compliance and formally controlled

should be defined in the compliance assurance m.anual.

Comment . It is recommended that inspectors (manufacturer or Inspection Agency)

not use shop level or working drawings that have not been approved by the Administrative Agency in conjunction with the system being inspected. To maintain independence

from any influence of the manufacturer's organization. Inspection Agency compliance

inspections and audits should be made on the basis of the information contained in

the approved building system.

37
CES DOCUMENT NO. S-09 Page 10 of

Serial Numbering System

Citation . Part V, Section 2(A) (7), "A serial numbering system for buildings

or building components".

Administrative Interpretation . Each unit of production to be certified should

be assigned an individual serial number. This serial number should be permanently

attached to the unit in a uniform accessible location at the early stages of

construction.

The compliance assurance manual should indicate the manufacturer's system of

individually serializing each unit of production to be certified and should identify

the point in the production flow at which serial numbers will be applied.

Comment . Any inspection records or production travellers used as part of the

manufacturing process and which are unique to individual units of production should

bear the serial number of the unit to which it applies. The use of lot or batch

numbers may be more practical for control and identification purposes of high

production volume components not requiring individual data plates.

38
CES DOCUMENT NO. S-09 Page 11 of 33

Control of Labels

Citation . Part V, Section 2(A)(8), "The method of safekeeping, handling and

attaching labels and Identification of those employees responsible therefor".

Administrative Interpretation . Labels should be under the direct control of

the Inspection Agency and should only be applied to compliant units by the manufacturer's personnel after the manufacturer's production process consistently produces

compliant units and the compliance control efforts of the manufacturer are capable of

assuring on-going compliance.

The compliance assurance manual should Identify the Inspection Agency employees

with responsibility for release of labels and. If possession of labels Is granted the

manufacturer In accordance with Part IV, Section 3(B)(2)(d) of the Model Rules and

Regulations, the Identification and background qualifications of the manufacturer's

representative who will have custody of labels. The manual should also stipulate the

specific procedures and controls to be utilized by both the Inspection Agency and the

manufacturer for the Issuance, handling, possession, safekeeping, procurem.ent and

records of attachment, damage or misuse of labels. When possession of labels is

granted the manufacturer's personnel in accordance with the Rules and Regulations,

the method by which the Inspection Agency replenishes a manufacturer's supply of

required labels should be controlled and the methodology outlined in the compliance

assurance manual.

Comment . Labels should be serially numbered and individually accounted for by

the Inspection Agency to the Administrative Agency. This should be accomplished

through a Label Control Record (CES Document No. C-08) which cross-references each

label with the serial number of the manufactured building or component to which it is

affixed and gives an approximate date of usage.

Final inspection should Include a check that labels are affixed to units in a manner that precludes removal and are located as indicated by the approved building

system.

39
CES DOCUMENT NO. S-09 Page 12 of 33

Control of Procurement

Citation . Part V, Section 2(B)(1), "Procedures to assure effective control

over procurement sources to ensure that materials, supplies and other Items used in

production and site operations, if any, conform to the approved plans, specifications

and quality requirements".

Administrative Interpretation . The manufacturer is responsible for the adequacy

and compliance of all purchased or subcontracted construction materials Including; as appropriate, raw materials, building components, subsystems, and equipment. The

selection of procurement sources and the nature and extent of control to be exercised

by the manufacturer is dependent upon the particular type of materials, products or services, the supplier's demonstrated capability to perform, and the objective evidence of compliance made available.

The compliance assurance manual should define the manufacturer's procedure for

ensuring the adequacy and control of procured building components, materials, products

and services including procedures for selection of qualified sources, incorporation of

all applicable design, code compliance workmanship standards and associated compliance

requirements in subcontracts and purchase orders.

Comment . To assure an adequate and economical control of procured materials and

products, the manufacturer should utilize to the fullest extent, objective evidence

of compliance furnished by suppliers and subcontractors (e.g., building components,

subsystems, equipment, etc., acceptance labeled by an approved inspection agency;

product approvals and listings by UL, ICBO, BOCA, etc.; building and construction

industry grade marks for materials; and similar recognized programs that promulgate,

regulate or enforce standards).

40
CES DOCUMENT NO. S-09 Page 13 of 33

Receiving Inspection

Citation . Part V, Section 2(B)(2), "Procedures for Inspection of materials,

supplies and other Items at the point of receipt".

Administrative Interpretation . The manufacturer should ensure that subcontracted

or purchased building components, materials and products to be incorporated into the

regulated aspects of the construction are subjected to compliance inspection upon

receipt, as necessary, to verify conformance to applicable purchase orders, drawings

and specifications, catalog descriptions, industry standards, etc. Receiving inspection verflcation checks may Include, as appropriate, examination for damages due to

shipment and handling, visual inspections, physical and dimensional checks, and any

functional tests needed to assure compliance.

The compliance assurance manual should contain instructions and Inspection

checklists for conducting receiving inspections. Receiving Inspection instructions

should specify any sampling inspection techniques, special methods of inspection or test, and the applicable accept/reject criteria for each inspection characteristic.

Comment . Manufacturer receiving inspections should complement and supplement

procurement source compliance control, industry standards, recognized product and

materials approvals, agency listing and labeling programs, etc., rather than ignore

or unnecessarily duplicate such accepted measures of control. Appropriate procured

materials and products should bear evidence of such approvals or be accompanied with

required data, specimens, test reports, certifications, laboratory analyses, etc.

41
CES DOCUMENT NO. S-09 Page l4 of 33

Protection of Materials

Citation . Part V, Section 2(B)(3), "Method of protection of materials, supplies

and other Items against deterioration prior to their Incorporation In the certified

buildings or building component".

Administrative Interpretation . Manufacturer Instructions should designate how

purchased Items and raw materials are to be stored, including the degree of weather

protection to be furnished. Included should be directions on the support of the item,

the protection from mechanical damage, and any special controls for the temperature,

humidity, or exposure to sunlight, where these conditions could adversely affect the

performance of the item or material.

The compliance assurance manual should contain any manufacturer Instructions or inspection checklists necessary for the protection of materials against deterioration.

Comment. Manufacturer stores, warehouses and other storage facilities for raw materials, components and in-process work should be adequate for the type of certified

building or building component being produced. All such materials should be adequately

protected from weather, corrosion, deterioration, mechanical damage and other adverse

conditions. Materials having definite characteristics of degradation with age and/or

exposure should be marked to indicate the useful life and expiration date.
CES DOCUMENT NO. S-09 Page 15 of 33

Disposition of Rejected Materials

Citation . Part V, Section 2(B)(4), "Provision for disposal of rejected materials,

supplies and other items".

Administrative Interpretation . The manufacturer should establish and maintain an effective and positive system for controlling nonconforming material, Including procedures for its identification, segregation, and disposition. Repair or rework of non- conforming material should be in accordance with approved manufacturer procedures.

Information should be Included regarding the procedures to be followed with respect

to materials that have been damaged, such as the necessity to regrade or test

materials that have been exposed to excessive moisture.

The compliance assurance manual should include the procedure to be followed

regarding the identification and disposition of rejected materials, supplies and

other items to be Incorporated into the regulated aspects of the construction.

Comment . All nonconforming materials should be positively identified and

segregated to prevent unauthorized use, release to production or co-mlngling with

conforming materials. The manufacturer should maintain a positive system for

identifying the inspection status of materials, components, subassemblies, etc.

Corrective Action

Citation -. Part V, Section 2 (C)(1), "Procedures for timely remedial and preventive measures to assure product quality".

Administrative Interpretation . The compliance assurance program should detect

and promptly correct assignable conditions adverse to construction compliance.

A procedure should be contained in the compliance assurance manual which defines

the corrective action program for all major noncompliances, failures, and critical

latent defects discovered by the manufacturer, the Inspection Agency or other state

and regulatory agency inspections and tests In-plant and during and after site installation.

Comment . Segregating noncompliant construction from acceptable units of production

is not enough for an effective compliance assurance program; the cause of the noncompliant condition must be found and corrected. Occasionally the cause of infrequent

or non-repetitive noncompliances cannot be determined and the only action possible is

to reject and repair or rework the defective items.

43
CES DOCUMENT NO. S-09 Page l6 of 33

Testing and Inspection Equipment

Citation . Part V, Section 2(C)(2), "Provision, maintenance and use of testing

and Inspection equipment to assure compliance with the approved building system".

Administrative Interpretation . The manufacturer's compliance control program

should include and provide maintenance for suitable inspection, measuring, and production test equipment necessary for compliance assurance activities and to determine and ensure compliance to building system requirements and applicable code compliance

workmanship standards and tolerances. Appropriate records of equipment calibration

or maintenance checks should be maintained current. The due date or other identification attesting the due date of the next required calibration or maintenance check should

be displayed on each applicable item of inspection, measuring, and production test

equipment or control device.

The compliance assurance manual should identify each item of required testing and

inspection equipment and the station or point in the production process each will be

used. The procedure by which such equipment should be periodically validated for

accuracy should also be included.

Comment . Such measurement devices as pressure gauges, compression and tensile

test machines, weighing scales, leak detectors, temperature indicators and control

equipment, moisture meters, dial indicators, etc. should be initially calibrated

against certified measurement standards, and at established Intervals thereafter

to assure continued measurement accuracy. The objective is to assure that any necessary inspection and production test equipment or control device is adjusted, replaced

or repaired before it becomes Inaccurate.

44
CES DOCUMENT NO. S-09 Page 17 of 33

Frequency of Inspection

Citation . Part V, Section 2(C)(3), "Provision for frequency of sampling

inspections"

Administrative -nterpretation . The frequency of Inspection Agency audit inspections should consider various factors, each of which affects the overall construction

compliance of manufactured buildings or building components. Among these influencing

factors are: production volume; design complexity of units; the qualifications of the

manufacturer's own In-house compliance control organization; and the experience record

of the manufacturer.

It is important to note, and for the manufacturer's compliance control personnel

to understand, that the audit inspections by the Inspection Agency personnel are to serve only as a verification of the manufacturer's program. Performance and viability

of the overall compliance assurance program depends entirely on the conscientious

efforts of the manufacturer's personnel.

The frequency of inspection by the Inspection Agency should be no greater than

that necessary to assure construction compliance. An approach toward accomplishing

an adjustable frequency of Inspection based on construction compliance performance

of the manufacturer is outlined in the commentary to this requirement. Based on the

estimated or average dally (or weekly) rate of manufacturing, the frequency of inspection coverage, including criteria for recommending possible adjustments, to be provided

by the Inspection Agency should be outlined in procedure form in the compliance assurance manual.

Comment .' Based upon existing inspection practices, a suggested inspection frequency should initially provide at least one inspection by the Inspection Agency of all

four of the major subsystems (i.e., structural, mechanical, plumbing and electrical)

on each unit produced (100? inspection); with no less than one inspection visit per

month to maintain proper record keeping and reports to the Administrative Agency. As the construction compliance performance of the manufacturer improves (e.g., the number

and severity of code violations decreases), an adjustment of the sampling rate (i.e.,

frequency of inspection) should be Implemented by the Inspection Agency and the Administrative Agency so notified.

A reduction in the frequency of inspection can be based on one of three concepts:

(1) inspecting every construction item on one unit, but not inspecting all units, e.g.

inspection of every construction item on one unit out of four constitutes a 25% inspection frequency; (2) Inspecting some, but not all construction items on each production

unit, e.g. Inspection of one quarter of all construction items on each production unit

also constitutes a 25? inspection frequency; (3) In practice, a combination of the two

above concepts may be more appropriate to a particular fabrication process and plant

layout. Regardless of the sampling method and the frequency of inspection required, it

is suggested that: (1) not less than one out of ten consecutive units be inspected;

and (2) within ten consecutive units each construction feature should be inspected at least once. The purpose of these limitations is to assure an even and reasonable

^5
CES DOCUMENT NO. S-09 Page l8 of 33

distribution of the units inspected, so as to prevent the Inspection Agency, for

example, from achieving 25% inspection frequency by inspecting 25 consecutive units

out of 100 units and leaving the next 75 units uninspected.

A suggested minimum approach to frequency of inspection for manufactured buildings

which allows for fluctuations in degree of construction compliance by the manufacturer

is offered by the following description of a multilevel sampling 'nspection process.

The process is illustrated by the diagram in figure 1. It should be pointed out that

the inspection frequencies suggested herein and by the accompanying diagram are not

necessarily applicable to building components. It is likely that construction of building components could be regulated through the use of sampling rates substantially lower

than those suggested herein.

Inspections are initiated by 100% agency inspections of a prescribed number of

production units (several states require that at least the first ten units be examined).

During this period of full time inspection activity, the Inspection Agency should also

evaluate the competency of the manufacturer's compliance control organization to produce units in compliance with the approved building system and compliance assurance

manual. This evaluation should give consideration to noncompliant conditions detected,

satisfactorily corrected to preclude recurrence, and documented through implementation

of the manufacturer's own compliance control program and prior to discovery of such

conditions by Inspection Agency personnel.

At such time as the manufacturer's process consistently produces compliant units.

Inspection Agency full time coverage may be reduced to a periodic (e.g., 50%) inspection surveillance program. Inspection Agency plant visits for such surveillance

Inspections should be on a random unannounced basis.

When major construction noncompliances are detected solely by the Inspection

Agency during audit Inspections at the first sampling rate (e.g., 50^), the Agency

inspectors should backtrack and inspect all units produced prior to the unit found

deficient and subsequent to the last unit previously inspected. Also, according to

the sampling process, audit inspections return to the 100% level for the next M units

or production as depicted in the flow diagram in figure 1. If the M units are compliant, then periodic audit inspections may be resumed

as before. Audit inspection coverage may even be reduced further to the second

level sampling rate (e.g., 25%) when a prescribed number of production units (e.g. ten) are found in compliance at the first sampling rate. The same conditions apply as above for shifting from one sampling rate to a lower sampling rate. When noncompliant

production is found by the Inspection Agency, the frequency of inspection has to be

Increased or could possibly return to full-time inspection coverage.

It is recommended that before the Inspection Agency reduces its inspections at any of the above levels notice should be sent to the Administrative Agency of such

action.

46
CES DOCUMENT NO. S-09

FIGURE 1 PLOW DIAGRAM

MULTILEVEL SAMPLING INSPECTIONS

BY INSPECTION AGENCY

Page 19 of 33

100% LEVEL

Inspe

of un

ct 100?

Its

If "N" con found to b

shift to 1

secutive units are

e in compliance,

evel No. 1

If a noncompliance is

found among the M

units shift to 100^

inspection

1

Sarapl

level

ing rate

No. 1 Inspe

rate

of pr

ct at of "X"%

oduction

if "N" uni

be in comp

to level N

if a noncompliance is found

-while at "X"% rate, backtrackand shift to level IR ^ Level No . IR

Level No. IS

Res

Ins

rat

of

ume pection at

e of "X"%

production

ts are found to

liance, shift

o. 2

if (N' compl

to Le

if the M units are

•in compliance, shiftto level IS

-if a noncompliance is

found after resuming

inspection at "X"%

rate, shift to 100?

inspection

Inspect next

M units following

noncompliant unit

-M) units are in

iance, shift

vel^ No . 2

if a noncompliance

is found among the M

units, shift to Level IR

Sampl

level

ing rate

No. 2 Inspe

of "Y produ

ct at rate

"% of

ction

-if a noncompliance is found —

while at "Y"% rate, backtrack

and shift to level 2R

Level No. 2R

Inspect next

M units follov;ing

noncomipliant unit

if the M units are

in compliance, shift

to level 2S

Level No, 2S

Resume

inspection at rate of "Y"%

of production

-if a noncompliance is foundafter resuming inspection

at "Y"% rate, shift to

Level IR

if (N-M) units are in

compliance, shift

to level No. 2

KEY "N" : "M" ;

"X"

Tty"

Number of production units inspected at 100? frequency (e.g., N = 10)

Number of production units inspected at levels No. IR and 2R, but less

than N (e.g., M = 5

)

First sampling rate after leaving 100? inspection (e.g., X = 50?)

Second sampling rate after leaving "X" sampling rate (e.g., Y = 25?)

'^7
CES DOCUMENT NO. S-09 Page 20 of 33

, •. Authority for Compliance Assurance

Citation . Part V, Section 2(C)(4), "Provision of necessary authority to reject

defective work and carry out compliance assurance functions, notwithstanding any

conflict with production department goals and needs".

Administrative Interpretation . The compliance assurance activities of the manu- facturer's compliance control organization and the Inspection Agency should not be

overridden in any form by plant or site construction schedules or other needs, goals

or functions of the manufacturer's production department.

The compliance assurance manual should contain a provision whereby the manufacturer's compliance control activity or the Inspection Agency have the authority to

reject noncompllant construction of all regulated aspects of the building system and

to refuse to attach labels to such units of production until such time as they have

been brought into compliance. This authority should also include the provision for

the Inspection Agency to Inspect all units produced prior to the unit found deficient

and subsequent to the last unit previously inspected by the Inspection Agency.

Comment : Response to the requirement in the compliance assurance manual should

also be in accord with the response submitted to that for the "Organizational Structure"

(e.g.. Part V, Section 2(A)(2) of the Model Rules and Regulations).

48
CES DOCUMENT NO. S-09 Page 21 of 33

Production Flow Diagrams

Citation . Part V, Section 2(C)(5), "A schematic of the manufacturing operation

showing the location of inspection stations, and "hold" points for mandatory Inspection characteristics".

Administrative Interpretation . Material flow charts, production sequence diagrams

and/or plant layout diagrams should be Included in the compliance assurance manual.

The sequence, type and frequency of manufacturer and Inspection Agency Inspection,

production test and labeling points, including those for materials receipt and storage,

should be specifically Indicated on material flow charts or plant layout diagrams

showing the production flow of all fabrication and assembly operations. Inspection

Agency control points should be identified separately, but should be correlated with

the number and descriptive title of the manufacturer's designations. The individual

In-Plant Inspection Checklists (CES Document No. C-02 ) for each station should

correspond with the production sequence Indicated on flow diagrams.

Mandatory Inspection characteristics (i.e., those critical inspection characteristics of the construction which if not in compliance up to a certain point in

the production sequence, cannot later be corrected and will thus jeopardize life and

safety) and their respective "hold" points should also be individually designated.

Comment . Production flow diagrams should be supplemented by estimated or average

dally (or weekly) rate of manufacturing and shipment of units. The Inspection Agency

should attest to its capabilities and available resources in support of the compliance assurance inspection and labeling aspects of such schedules. The Inspection Agency

should also indicate the degree of inspection coverage to be provided during multiple

shift plant operations or other periods of extended plant operations.

49
CES DOCUMENT NO. S-09 Page 22 of 33

7 ~ Inspection Checklists

Citation . Part V, Section 2(C)(6), "Inspection and test procedures. Including

accept/reject criteria and mandatory Inspection characteristics".

Administrative Interpretation . The In-Plant Inspection Checklists (reference

CES Document No. C-02) should be jointly developed by the manufacturer and the Inspection Agency for the particular system to be produced. These checklists, which should

serve as the basis for manufacturer compliance control inspections and Inspection

Agency monitoring evaluations, should be submitted as part of the compliance assurance

manual. Individual inspection and test procedures should bear evidence of Inspection

Agency concurrence and should be production station oriented in accordance with the

sequence outlined in the Production Flow Diagrams (reference Part V, Section 2(C)(5))

submitted with the compliance assurance manual.

Comment . For production testing, detailed procedures should be prepared describing each step in the testing process, the recording of results, the method of determining compliance including permlssable tolerances and the frequency of testing.

Procedures should include identification of the test equipment to be used, and, where

applicable, the means to be used in determining that it is properly calibrated. The

procedures should be of sufficient detail that they can serve as checklists.

50
CES DOCUMENT NO. S-09 Page 23 of 33

Code Compliance Workmanship Standards

Citation . Part V, Section 2(C)(7), "Standards of workmanship".

Administrative Interpretation . The manufacturer in conjunction with the

Inspection Agency should provide any necessary code compliance workmanship standards

to supplement or complement acceptance standards referenced by codes, drawings,

specifications or inspection checklists. Such workmanship standards should compliment accepted codes and industry standards and may be in the form of models, work

samples, visual aids, photographs or sketches prepared to assist production and

inspection personnel.

The compliance assurance manual should contain any necessary code compliance

workmanship standards.

Comment . Code compliance workmanship standards should be developed to describe

those inspection characteristics of the construction that are difficult to quantify

or describe. When design changes are initiated and approved, affected code compliance workmanship standards should be reviewed and replaced as necessary.

51
CES DOCUMENT NO. S-09 Page 24 of 33

Disposition of Noncompllant Construction

Citation . Part V, Section 2(C)(8), "Provision for disposal of rejects".

Administrative Interpretation . This provision is similar tc Part V, Section

2(B)(4) of the Model Rules and Regulations, "Disposition of Rejected Materials",

except that this requirement addresses noncompllant construction during the production

process

The procedure in the compliance assurance manual covering the disposition of

rejected materials may be expanded to also cover noncompllant construction or, if

necessary, a separate procedure for control of construction noncompliances may be

included. .

Comment . There should be a method of physically identifying construction

deficiencies by attaching a piece of flagging or a tag to the item or element in

question. This identification should be removed by the person responsible for

signing off that element of the construction only when the construction deficiency

has been corrected. The inspection form accompanying the unit should contain a notation for all but minor deficiencies that are readily corrected, to provide the means of communicating the effectiveness of the manufacturer's compliance control

efforts to the Inspection Agency. Noncompllant units should be identified and their

disposition noted in the compliance record as required in Part V, Section 2(A)(4),

discussed on page 7 of this document (page 35 of this report volume).

52
CES DOCUMENT NO. S-09 Page 25 of 33

Pinal Inspection and Certification

Citation . Part V, Section 2(D)(1), "Procedures for final Inspection of all

manufactured buildings or building components before shipment to the site or storage

point, including 'identification and labeling".

Administrative Interpretation . The compliance assurance manual should provide

a procedure for final in-plant inspection (or final production test, if necessary)

of all completed manufactured buildings or building components prior to shipment to

building sites, staging areas or storage points. In-plant final inspection checklists should provide for verifying that the officially approved certification label

and the manufacturer's data plate, as applicable, have been properly affixed in the

correct location and that labels, whether applied by the manufacturer or the Inspection Agency, are formally controlled and records maintained on label usage. Labels

and data plates should be checked to ensure that they bear correct information and

that removal of the label cannot be accomplished without destruction.

Comment . Proper unit identification and final inspection status of completed

units should be readily determinable from identification markings and inspection

records. Individual unit inspection records should be verified and retained by the

manufacturer or Inspection Agency in accordance with the procedure on "Compliance

Records", Part V, Section 2(A)(4) in the compliance assurance manual.

53
CES DOCUMENT NO. S-09 Page 26 of 33

Handling and Storage

Citation . Part V, Section 2(D)(2), "Procedures for handling and storing all

finished manufactured buildings or building components, both at the manufacturing

plant or other storage point and after delivery to the building .s'te".

Administrative Interpretation . The procedures for handling the finished buildings

or components should be described in detail, including a description of all equipment

to be used, giving capacity and any other pertinent data required to document suitable

handling. Handling equipment and fixtures should be capable of performing the specific

task for which selected. Equipment should be proof-loaded and test operated prior to

actual manufactured building or component lift to verify capabilities.

If certified manufactured buildings or components are to be stored outside

any time between leaving the last fabrication station and site Installation, proper

precautions should be documented to ensure that the finished product can not deteriorate due to the Influence of adverse weather conditions, including humidity, heat

and cold, wind forces, etc. The environmental protection should permit access of a compliance assurance inspector to periodically examine the interior for water or weather damage or other degradation. The frequency of inspection should depend upon

local conditions and should be Indicated in the compliance assurance manual.

Comment : Storage plans should give consideration to:

(1) Water ponding or infiltration on roofs, sides or bottom of units;

(2) Excessive humidity levels caused by Improper ventilation;

(3) Cracking or racking caused by storing on an un-level surface, by too great

a span length between supports, or by over-stacking of units.

(4) Exposure to high wind forces or other unfavorable weather conditions which

could damage the building or component.

54
CES DOCUMENT NO. S-09 Page 27 of 33

Packing, Packaging and Shipping

Citation . Part V, Section 2(D)(3), "Procedures for packing, packaging and

shipping operations and related inspections".

Administrative Interpretation . After final in-plant inspection, all operations

required for cleaning, preservation, packaging, packing, skidding, loading, blocking

and bracing aboard the transporter, as appropriate to the type of unit, should be

monitored as part of the compliance assurance program. The purpose of these activities

is to ensure that deliverable manufactured units are protected against damage or deterioration due to adverse environmental factors or shipping.

The compliance assurance manual should include, as appropriate, those inspection

characteristics that identify precautionary measures to protect plumbing, mechanical

and electrical subsystems and included appliances and fixtures from damage. In many

instances design considerations or minimal protection devices Installed into the

manufactured building or component's construction during the production cycle can effectively minimize normal shock and vibration damage.

Pre-transport compliance inspections should assure that all internal packaging

and parts protection has been properly accomplished and that "ship-loose" items are fully secured.

Comment . If manufactured buildings or components have been in storage between

the time of final in-plant inspection and packaging (i.e., three weeks in winter

environments; six weeks in other environments), a re-inspection prior to shipping

should be performed to verify that the manufactured buildings or components are in

fact still in compliance.

55
CES DOCUMENT NO. S-09 Page 28 of 33

Transportation

Citation . Part V, Section 2(D)(4), "Procedures for transportation, including

all measures to protect against damage while in transit, and setting forth the modes

of transportation to be utilized and the carrying equipment and procedures".

Administrative Interpretation . Procedures should be outlined in the compliance

assurance manual to ensure that during the in-transit phase, which occurs between the

final station on the plant assembly line and the actual installation of the unit at the site, adequate precautions are taken to protect the compliance integrity of

manufactured buildings or building components.

In-transit and/or on-site verification checks should ensure that the manufactui'ed

building or component has suffered no damage during hauling and transport. Construction site receiving inspection reports or other documentary evidence to this effect

should be available for submission to local enforcement agencies or the Inspection

Agency, if necessary.

Comment . The transporter should not impose excessive shock or vibration loads

to the manufactured building or component. Appropriate shock and vibration absorption

devices should be employed where necessary to dampen such adverse forces to preclude

damage to transported units.

Provision for transportation and delivery may be under the cognizance of commercial carriers or other subcontractors, but such arrangements should include conformance

with all regulatory requirements as well as protection of the construction compliance

integrity of manufactured buildings or components.

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CES DOCUMENT NO. S-09 Page 29 of 33

Installation Control

Citation . Part V, Section 2(E)(1), "Installation procedures including component

placement, equipment and procedures, field erection and finishing work, utility

connection instructions and all appropriate on-site Inspection criteria and test

descriptions".

Administrative Interpretation . Construction compliance for this aspect of the

work should be the responsibility of the builder/erector who may or may not be the

manufacturer. The compliance assurance program should clearly define the procedures

which will Indicate compliance of the site installed certified manufactured building

or component to the codes and standards which formed the basis of the certification.

The procedures should indicate the scope and frequency of installation inspections and

should include inspection checklists with applicable criteria and any functional

testing techniques indicated. Inspection procedures for installation control should

be made available to local enforcement agencies.

Comment . The inspection procedures to be established by the manufacturer should

recognize and provide for the susceptibility of the manufactured building or component

to incorrect installation resulting in code related deficiencies. The procedures

also will depend on the location of the interface between the manufactured building

or component and the site Installed provisions for its erection. For example, if

the foundations are a part of the manufactured and certified unit, soil bearing

characteristics directly affect the performance of the unit In service and thus must

be included in the inspection provisions. However, the inspection procedures for a manufactured roof component designed and certified to be installed on load bearing

walls which are not a part of the certified unit will have to Include the load bearing

characteristics of the walls, but not the soil bearing characteristics which are necessary to properly support the site erected walls. It should be understood that

the omission of any item of installation control in the manufacturer's compliance

assurance manual does not relieve the builder/erector from complying with any local

requirement for such items.

According to the above discussion, the following list of items may have to be

considered in the development of on-site installation procedures and Inspections.

( 1 ) Site work

Where specific site work is a precondition for the proper In-service performance

of the manufactured building or component, such site v;ork or site related investigations should be detailed in the m.anuf acturer ' s installation Instructions. Examples

of such items are:

(a) Soil bearing value

(b) Frost line

(c) Ground water table

(d) Chemical and physical soil characteristics

(e) Surface water drainage

(f) Topography, slope, and other site related considerations

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CES DOCUMENT NO. S-09 Page 30 of 33

( 2 ) Foundations and Substructure

Where the In-servlce performance of a manufactured building or component Is dependent on specific foundation characteristics, such characteristics and their

determination should be detailed In the manufacturer's installation instructions.

Examples of such items are: - .

•

- (a) Accuracy of horizontal and vertical foundation layout.

(b) Size, dimension, and reinforcement of footings, pilings, etc.

(c) Size, dimension, material, and reinforcement of foundation walls,

slabs, etc. - (d) Clearances from utility lines.

(e) Location and layout, including dimensional tolerances, for key ways,

anchor bolts, sleeves, and other items Imbedded in or Integral with the

foundations.

(f) Provisions for testing concrete and pilings.

(g) Provisions for testing fabricated items such as reinforcing steel,

anchor devices, etc.

( 3 ) Utilities and Services

The proper utility connections and devices used in the field installation of

manufactured buildings or components can directly affect the performance of any

mechanical, plumbing, or electrical subsystems which may be a part of the manufactured

unit. Accordingly, such field connections and the devices to be used should be

detailed in the building system and should be controlled by proper Instructions and

installation procedures. Items to be Included in such procedures could be:

(a) Water supply; location, size, material, type of connector.

(b) Gas supply; location, size, material, type of connector.

(c) ' Sewer; location, size, material, type of connector.

(d) Electricity; location and type of connector; rating In volts and

amperes

(e) Air; location, size, material, and type of ducts and duct connectors.

( 4 ) Structural Installation

The structural connections of the manufactured building or component to the site

or site work should be adequately detailed in the building system. The installation

control procedures should give the Information necessary to verify that the structural

connections were Installed as detailed. The following items may be included in the

procedures

(a) Attachment of anchors and foundation plates to site-built foundations

or other work.

(b) Attachment of anchors and foundation plates to the manufactured building or component.

(c) Detail, size, and material of anchors and anchor plates.

(d) Intermodule or component connection; location, size, material and

type of connectors.

(e) Roof connectors; location, size, material, and type of connectors.

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CES DOCUMENT NO. S-09 Page 31 of 33

( 5 ) Fire Protection Provisions

The building system should Include details of all field installed fire protection

provisions required for the fire related type of construction and other classifications given in the application for approval of the building system and in the building

system approval reports (CES Documents No. S-01 and A-03). The installation control

procedures should permit the verification that such field provisions have in fact

been installed, including such items as:

(a) Fire stopping, both between certified manufactured units and between

them and any field construction.

(b) Field applied fire protection of columns, beams, and other structural

elements or of partitions and walls to achieve the required fire rating.

(c) Connection of unit to fire alarm systems, sprinklers, and stand

pipes, including location, type of connection and connection devices.

(6) Testing

The installation control procedures should include on-site testing procedures

for use by those responsible for the Installation, inspection, and testing of field

Installed manufactured buildings or components, including:

(a) Mechanical tests - Furnace operation, including gas supply; flues and

combustion air; system balance, including supply and return air volumes;

thermostat operation; air conditioning system.

(b) Plumbing tests - Water pressure tests, waste and vent line tests,

including hydrostatic or air tests; hot water heater operation.

(c) Electrical tests - Service; main panel, incoming service, branch

circuitry, switches, outlets, and installed appliance operation.

59
CES DOCUMENT NO. S-09 Page 32 of 33

•. ,^ , . Field Repairs

Citation . Part V, Section 2(E)(2), "Organizational provisions for field repair

and disposal of rejects".

Administrative Interpretation . The compliance assurance manual should contain

specific criteria to define the responsibility and liability of the manufacturer and

builder/erector for making the necessary field repairs and rework to bring any

deficient on-site installed units into compliance. The procedures for handling

field noncompliances affecting the regulatory aspects of the construction should be

covered including the reporting to the manufacturer and the Inspection Agency of any

noncompliances attributable to improper or inadequate plant inspection.

The compliance assurance manual should also state the procedure to be used for

withdrawing labels from units found not in compliance with regulatory requlrem.ents

in the field. This procedure should also indicate how backtracking of "suspect"

units in the field or in the plant which could have a similar noncompliant condition

is to be accomplished.

Comment . It is essential that field repairs be conslstant with in-plant

construction control and that the effectiveness of the compliance assurance program

be assessed by a measure of building site noncompliance history. A unit found not

In compliance In the field should be Investigated and identified either as a single

incident peculiar to that unit or as a possible noncompliant condition common to a number of similar units.

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CES DOCUMENT NO. S-09 Page 33 of 33

Permission for Inspection

Citation . Part V, Section 2(F), "The manufacturer should provide the Administrative Agency with written permission, signed and notarized, for the Administrative

Agency to inspect his manufacturing facilities, his products, and building sites

under his control at any reasonable time without prior announcement".

Administrative Interpretation . The manufacturer should provide written permission, signed and notarized, for such Inspections by the Administrative Agency as part

of the compliance assurance manual submittal.

Comment . Any special conditions relevant to granting such permission for Inspec

tion should be indicated in writing. These conditions could include any proprietary

or restricted plant areas, safeguards to be employed for inspecting hazzardous

operations or any limitations or additional permissions required for the Inspection

of any subcontractor activities.

61

CES DOCUMENT NO. S-10 Page 1 of 1 STATE OP

Ncumz and AddAUi ojj AdnU.itiit'uitlv^ Agmcy

APPLICATION FOR APPROVAL OF MINOR MODIFICATION TO AN APPROVED

BUILDING SYSTEM AND/OR COMPLIANCE ASSURANCE PROGRAM

CD Modification of Building System [H Modification of Compliance Assurance Program

Application is hereby submitted for approval of modification ( s ) detailed below to

the building system and/or compliance assurance program. Unless otherwise stated the

modifications shall be subject to the same conditions, agreements, limitations and

statements contained in the original application for approval and in the building

system approval report.

GENERAL INFORMATION

Name of Manufacturer '__

Previous Application No. Previous Approval No. Effectiveness (Label Number(s) or Date(s))

Oral Authorization Obtained O Yes EH No Date

Documents Submitted (Specify)

DESCRIPTION OF PROPOSED MODIFICATIONS ( S

)

Name of Inspection Agency

(Name of Applicant) (Title) (Signature) (Date)

(Name of Architect/Engineer (if required) (Signature) (Date)

AGENCY USE ONLY Fee Required

Modifications Approved CI! Modifications Disapproved

Remarks

Changes to the Building System Approval Report

(Name of Evaluator) (Title) (Signature) (Date)

(Name of Agency Official) (Title) (Signature) (Date)

63

CES DOCUMENT NO. S-11 Pa^e 1 of 1 STATE OF

Name and kddAU,i,

APPLICATION FOR APPROVAL OF VARIATION TO A CERTIFIED

MANUFACTURED BUILDING OR COMPONENT

Application is hereby submitted for approval of variation(s) to a certified

manufactured building or component. Unless otherwise stated the variations shall

be subject to the same conditions, agreements, lim.itations and statements contained

in the original application for approval and the building system approval report.

GENERAL INFORMATION

Name of Manufacturer

Name of Builder or Owner

Previous Application No. Previous Approval No. Label Serial Number (s)

Unit Serial Number

Location of Unit

Documents Submitted (Specify)

DESCRIPTION OF PROPOSED VARIATION(S)

(Name of Applicant) (Title) (Signature) (Date)

Nam.e of Architect/Engineer (if required) (Signature) (Date)

AGENCY USE ONLY Fee Required

n Variation(s) Approved d Variation(s) Disapproved

Remarks

(Name of Evaluator) (Title) (Signature) (Date)

(Name of Agency Official) (Title) (Signature) (Date)

65