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NBS SPECIAL PUBLICATION 586

IVau of *

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

National Bureau of Standards

Library,^ E-01 Admin. Bidg.

OCT 1 1981

191090

Research and Innovation

in the

Building Regulatory Process
NATIONAL BUREAU OF STANDARDS

The National Bureau of Standards' was established by an act of Congress on March 3, 1901. The Bureau's overall goal is to strengthen and advance the Nation's science and technology

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

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

the Institute for Computer Sciences and Technology.

THE NATIONAL MEASUREMENT LABORATORY provides the national system of

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

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

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

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

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

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

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

calibration services. The Laboratory consists of the following centers:

Absolute Physical Quantities2 — Radiation Research — Thermodynamics and

Molecular Science — Analytical Chemistry — Materials Science. THE NATIONAL ENGINEERING LABORATORY provides technology and technical ser- vices to the public and private sectors to address national needs and to solve national problems; conducts research in engineering and applied science in support of these efforts; builds and maintains competence in the necessary disciplines required to carry out this research and technical service; develops engineering data and measurement capabilities;

provides engineering measurement traceability services; develops test methods and proposes

engineering standards and code changes; develops and proposes new engineering practices;

and develops and improves mechanisms to transfer results of its research to the ultimate user. The Laboratory consists of the following centers:

Applied Mathematics — Electronics and Electrical Engineering2 — Mechanical

Engineering and Process Technology2 — Building Technology — Fire Research —

Consumer Product Technology — Field Methods.

THE INSTITUTE FOR COMPUTER SCIENCES AND TECHNOLOGY conducts

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

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

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

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

Programming Science and Technology — Computer Systems Engineering.

1 Headquarters and Laboratories at Gaithersburg, M D, unless otherwise noted; mailing address Washington, DC 20234.

2 Some divisions within the center are located at Boulder, CO 80303.
national atnaum

or avAmBABV

UZOUlBT

JUL 2 5 1980

Research and Innovation in the Hot cue -<Uf\

Building Regulatory Process

&^

i Proceedings of the Fourth

NBS/NCSBCS Joint Conference

Held in St. Louis, Missouri on September 11, 1979, in conjunction

with the Twelfth Annual Meeting of the

National Conference of States on Building

Codes and Standards (NCSBCS), Inc.

Sandra A. Berry, Editor

Building Economics and Regulatory

Technology Division Center for Building Technology

National Engineering Laboratory

National Bureau of Standards

Washington, D.C. 20234

Sponsored by

U.S. Department of Commerce

National Bureau of Standards

and

National Conference of States on

Building Codes and Standards (NCSBCS), Inc.

U.S. DEPARTMENT OF COMMERCE, Philip M. Klutznick, Secretary

Luther H. Hodges, Jr., Deputy Secretary

Jordan J. Baruch, Assistant Secretary for Productivity, Technology and Innovation

b- NATIONAL BUREAU OF STANDARDS, Ernest Ambler, Director

Issued June 1980
Library of Congress Catalog Card Number: 80-600080

National Bureau of Standards Special Publication 586

Nat. Bur. Stand. (U.S.), Spec. Publ. 586, 261 pages (June 1980) CODEN: XNBSAV

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1980

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

Price $7.00 (Add 25 percent for other than U.S. mailing).
PREFACE

The National BuAe.au ofi StandaAdA [UBS] and the. National Con^eAence o{

States on Building Code* and StandaAdA, Inc. [NCSBCS], developed and

caAAied out thiA VouAtk Annual NBS-NCSBCS Joint Convenience on ReAexuich

and Innovation in the. Building RegulatoAy Vaoccaa. The, Convenience waA

held on September 11 , 1919, in conjunction with the. Twelfth Annual

Meeting o{ NCSBCS in St. Louif>, MiAAouAi.

The, Joint Convenience provided an opportunity V on- ACAeaAcheAA {nom induAtAy, univeAAitieA , public inteAeAt gAoupA, and government to interact with Atate and local building Ae.gulat.oAy o^ictaJLs and code.

odminiAtAatonA . Tn addition, it provided a ^onum \oa the, exchange, oV

neAeoAch fiindLingA and ioA the, AepoAting oV innovative, pAacticeA among

AegulatoAy agencies.

The, pAoceedingA include, the. Aeventeen papeAA pneAented at the. vaAiouA

technical AeAAionA, the, opening AemaAkA, and the. Keynote, AddAeAA. In

addition, two papeAA oAe included which wexe not pACAented [denoted

by an aAteAUk in the table oV content*) at the actual conVeAence.

ACKNOWLEDGEMENTS

The editoA expACAAeA appAeciation $oa the aAAiAtance and coopeAation

oV the following NCSBCS State VelegateA and &ta&$ membeAA oV the

Building EconomtcA and RegulatoAy Technology VtviAion at NBS who

AeAved oa modeAatoAA to the technical AeAAionA

NCSBCS VelegateA NBS Stajj

Wi. Tacvoa JacobAon [Oxegon) Ma, ChaAleA T. Uah'a^ey

Wi. Jack KenJji [Cali-VoAnia) Wi. ThomaA K. TaiAon

Ma. JoAeph OaWLo [Rhode lAland) Wi. VatAick W. Cooke

In addition, appAeciation <U> expAeAAed to membeAA oV the National

ConVeAence oV StateA on Building CodeA and StandaAdA AtaVV {oa theiA

aAAiAtance in caAAying out the TouAth Annual NBS-NCSBCS Joint Conveni- ence on ReAeaAch and Innovation in the BuiZding RegulatoAy Vaoccaa.

iii
SI CONVERSION

The following list of conversion factors for the most frequently used

quantities in building design and construction may be used.

QUANTITY

LENGTH

AREA

VOLUME

CAPACITY

VELOCITY, SPEED

ACCELERATION

MASS

DENSITY

FORCE

MOMENT OF FORCE , TORQUE

PRESSURE, STRESS

WORK, ENERGY , QUANTITY OF HEAT

POWER, HEAT FLOW RATE

INTERNATIONAL (SI) UNIT

meter (m) millimeter (mm)

square meter (m2

)

square millimeter (mm1

)

cubic meter (m3

)

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

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

meter per second squared (m/s*)

metric ton (t) [1000 kg]

ki loqram (kg) gram (g)

metric ton per cubic meter (t/m3

) kilogram per cubic meter (kg/m 3

)

kilonewton (kN)

newton (N)

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

megapascal (MPa)

kilopascal (kPa)

megajoule (MJ) kilojoule (kJ) joule (J)

kilowatt (kW) watt (W)

COEFFICIENT OF HEAT watt per square meter kelvin TRANSFER [U-value] (W/mz «K) [= (W/m2 - °C) ]

THERMAL C0NDUC- watt per meter kelvin (W/irrK) TIVITY [k-value] [= (W/m^C)]

U.S. CUSTOMARY UNIT

foot (ft inch (in

square yard (yd*) square foot (ft2

) square inch (in 2

)

cubic yard (yd 1

) cubic foot (ft') cubic inch (in 5 ) gallon (gal) fluid ounce (fl oz)

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

foot per second squared (ft/s 1

)

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

ton per cubic yard (ton/yd 3

) pound per cubic foot (lb/ft')

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

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

ton-force per square inch (tonf/in 2

) ton-force per square foot (tonf/ft2

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

) pound-force per square foot (lbf/ft2

)

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

horsepower (hp) British thermal unit per hour (Btu/h) foot pound-force per second (ft*lbf/s)

Btu per square foot hour degree Fahrenheit (Btu/ft 2 «h«°F)

Btu per square foot degree Fahrenheit

( Btu/f

2 «°F)

APPROXIMATE CONVERSION

m 3.2808 ft 0.0394 in

m

2

1 .1960 vd1

I m

2 = 10.764 ft2

; mm2 = 1.55 x 10*J ,

m

3

1 .3080 vd 3 m' = 35.315 ft 3

, mm' 61 .024 x

10'

L 0.2642 gal mL 0.0338 fl o;

I m/s = 3.2808 ft/s km/h = 0.6214 mile,

m/s 2 = 3.2808 ft/s1

t = 1.1023 ton kg _ 2.2046 lb

q _ 0.0353 oz

t/m' 0.8428 ton/) kg/m 3 0.0624 lb/fl

kN = 0.1124 tonf

kN 0.2248 kip

N 0.2248 lbf

kN'm = 0.3688 tonf« N*m 8.8508 lbf-1

MPa 0.0725 tonf/ MPa 10.443 tonf/ kPa - 0.1450 lbf/1 kPa 20.885 lbf/I

MJ 0.2778 kWh

kJ 0.9478 Btu

J 0.7376 ft'lb

kW 1.3410 hp U 3.4121 Btu/h W 0.7376 ft- lb

W/m2 -K 0.1761 Btu/f

H/m>K 0.5778 Btu/f

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

(2) Unprefixed SI units are underlined. (The kilogram, although prefixed, is an SI base unit.) REFERENCES: NBS Guidelines for the Use of the Metric System, LC1056, Revised August 1977; The Metric System of Measurement, Federal Register Notice of October 26, 1977, LC 1078, Revised Novemb

NBS Special Publication 330, "The International System of Units (SI)," 1977 Edition;

NBS Technical Note 938, "Recommended Practice for the Use of Metric (SI) Units in Building Design and Construction," Revised edition June 1977; ASTM Standard E621-78, "Standard Practice for the Use of Metric (SI) Units in Building Design and Construction," (based on NBS TN 938), March 1978; ANSI Z210. 1-1976, "American National Standard for Metric Practice;" also issued as ASTM E380-76E

, or

IEEE Std. 268-1976.

iv
Table of Contents

Page

PREFACE ili

ACKNOWLEDGEMENTS iii

SI CONVERSION iv

ABSTRACT viii

OPENING SESSION

WELCOME , Willard E. Bryant

Maryland Department of Economic and Community Development

INTRODUCTION TO CONFERENCE , Thomas K. Faison

National Bureau of Standards

KEYNOTE ADDRESS - "CHALLENGES IN BUILDING REGULATION"

Rudard A. Jones

University of Illinois at Urbana Champaign

SESSION 1A - ISSUES IN BUILDING CODE ENFORCEMENT 11

Moderator: Charles T. Mahaffey, NBS

DEVELOPMENT FEE SCHEDULE SURVEY 13

Deborah D. Fontaine

Orange County Chapter Building Industry Association

Duncan M. Coffey

Calif ornians for an Environment of Excellence, Full

Employment and a Strong Economy through Planned

Development (C.E.E.E.D.)

^CRITERION FOR THE THERMAL INSULATION QUALITY OF A BUILDING.. 19

J. Uyttenbroeck

Brussels, Belgium

A REPORT: INDIANA BUILDING CODE ENFORCEMENT SURVEY-1979 33

David L. Bills

State of Indiana

SESSION IB - LEGAL, POLITICAL AND EDUCATIONAL ASPECTS OF CODE

ENFORCEMENT 43

Moderator: Trevor Jacobson, NCSBCS

LEGAL RELATIONS AND CONSIDERATIONS FOR CODE OFFICIALS

AND DESIGN PROFESSIONALS 45

John R. Groves, Jr.

State of Kentucky

THE EFFECTS OF CIVIL SERVICE, UNIONS, STATUTORY LAW AND

ECONOMICS ON SYSTEMS DEVELOPMENT IN MUNICIPAL REGULATORY

AGENCIES 59

Norton S. Remmer

City of Worcester, Massachusetts

v
Page

LICENSING OF BUILDING CODE OFFICIALS : THE EDUCATIONAL

REQUIREMENTS 71

Kenneth Albert

New Jersey Institute of Technology

SESSION 2A - STUDIES DEALING WITH HOUSING CODES 85

Moderator: Thomas K. Faison, NBS

*HOUSING STANDARDS: OBJECTIVES AND AGENDAS 87

Daniel L. Schodek

Harvard University

HOUSING STANDARDS: THEIR DERIVATION AND RATIONALE 103

Urs P. Gauchat

Harvard University

COMPARATIVE ANALYSIS OF PROVISIONS IN HOUSING CODES

AND REHABILITATION GUIDES 117

Patrick W. Cooke

National Bureau of Standards

PROBLEMS IN HOUSING CODE ENFORCEMENT: A FOCUS ON THE

BUDGET 135

Carol B. Meeks

NYS College of Human Ecology, Cornell University

SESSION 2B - ENERGY CONSERVATION AND THE BUILT ENVIRONMENT 149

Moderator: Jack Kerin, NCSBCS

DEVELOPMENT AND EVALUATION OF SOLAR STANDARDS AND

CRITERIA 151

Robert D. Dikkers

National Bureau of Standards

THERMAL MASS EFFECTS IN LOG HOMES 161

William Magruder and

Steven Winter

Steven Winter Associates, Inc.

ANALYSIS OF CODE RELATED RESPONSES FROM THE

SOLAR DEMONSTRATION PROGRAM 181

Joseph Greenberg

National Bureau of Standards

SESSION 3A - DESIGN CONSIDERATIONS AND THEIR IMPACT ON

CODE ENFORCEMENT 187

Moderator: Joseph A. Cirillo, NCSBCS

CONTRACTING FOR VALUE MANAGEMENT DURING DESIGN 189

Donald E. Parker

General Services Administration

vi
Page

BUILDING RECERTIFICATION AND DADE COUNTY, FLORIDA 197

Ralph Warburton

University of Miami

COMPUTER-AIDED DESIGN REVIEW: PREDICTING THE EMERGENCY

EGRESS POTENTIAL OF PROPOSED BUILDINGS 205

Fred I. Stahl

National Bureau of Standards

SESSION 3B - INNOVATIVE REGULATORY APPROACHES FOR METRICATION , INSULATION STANDARDS, AND CLIMATIC CONDITIONS 225

Moderator: Patrick W. Cooke, NBS

METRICATION—AN OPPORTUNITY FOR THE HARMONIZATION OF

AMERICAN BUILDING CODES 227

Hans J. Milton

Technical Consultant to the Center

for Building Technology

National Bureau of Standards

SETTING FORMALDEHYDE STANDARDS 253

Richard L. Meyer

State of Wisconsin

SNOW - WIND - ICE, ITS CHANGING EFFECT ON BUILDING

CONSTRUCTION 259

Charles V. Opdyke

State of Michigan

vii
ABSTRACT

The Proceedings of the Fourth Annual NBS-NCSBCS Joint Conference on Research and Innovation in the Building Regulatory Process contain

nineteen technical papers, the opening remarks and Keynote Address.

The subject matter covered in these Proceedings includes:

• Issues in Building Code Enforcement;

• Legal, Political and Educational Aspects of Code Enforcement;

• Studies Dealing with Housing Codes;

• Energy Conservation and the Built Environment;

• Design Considerations and Their Impact on Code Enforcement; and,

• Innovative Regulatory Approaches for Metrication, Insulation Standards

and Climatic Conditions.

Key Words: Buildings; building code enforcement; design; energy conservation; housing codes; regulatory approaches.

viii
WELCOME

by

Willard E. Bryant

Maryland Department of Economic and Community Development

National Conference of States on Building Codes and Standards, Inc.

Welcome attendees to the Fourth Annual NBS-NCSBCS Joint Conference on Research and Innovation in the Building Regulatory Process. The purpose

of the Conference is to inform and assist policy decision makers in the

building regulatory area through meaningful research findings and innovative administrative procedures. Researchers from industry, universities,

public interest groups, and government have the opportunity to interact

with State and local building regulatory officials and code administrators.

The subjects covered at this Conference can provide useful areas of study

for the various standing committees, ad hoc committees and subcommittees

of the National Conference of States on Building Codes and Standards, Inc.

(NCSBCS) . The presentations do have a direct bearing on the activities

of the committees and can provide topics for further discussion. This

Conference will also broaden the technical knowledge and expertise of all

the attendees.

The building regulatory process in this nation is the primary mechanism

for the regulation of safety and health in and around buildings. The

process of regulating building construction and occupancy is diverse and

decentralized. As a result, there is a need for the establishment of a more systematic understanding of the building regulatory process and a need to further identify the relationship between regulation and technical innovation.

This joint venture by NBS and NCSBCS further strengthens the bond between

the two organizations and is just one of many ways the two organizations

cooperate as stated in the Memorandum of Understanding between NBS and

NCSBCS.

The topics to be covered are:

• Issues in Building Code Enforcement

• Legal, Political, and Educational Aspects of Code Enforcement

• Studies Dealing with Housing Codes

• Energy Conservation and the Built Environment

• Design Considerations and Their Impact on Code Enforcement

• Innovative Regulatory Approaches for Metrication, Insulation

Standards, and Climatic Conditions

This Conference should continue to be as successful as the past three.

I thank each one of you for attending with a special thanks to those

making presentations and the session moderators.

1

INTRODUCTION TO CONFERENCE

by

Thomas K. Faison

Building Economics and Regulatory Technology Division, CBT

National Bureau of Standards

Mr. James G. Gross, who was to have made the introductory remarks is

unable to be here today, but he sends his best wishes for a successful

conference.

It is indeed a pleasure and an opportunity for me to be here and participate in this Fourth Annual Joint Conference. The preceding three

conferences have been very successful in establishing a precedent and the

opportunity to share experiences and present new ideas related to research

and innovation in the building regulatory process. The scope of each of

the conferences, including this one, has been broad; covering several

major issues relating to and frequently impacting upon the regulatory

process.

During the past several years, there has been considerable study of the

impact of building codes upon the cost of construction. There have been

implied and direct statements that some code requirements have a tendency

to drive costs upward and tend to stifle innovation, thus prohibiting the

use of more cost effective materials. The recent study which resulted

in the U.S. Department of Housing and Urban Development (HUD) document,

"Final Report of the Task Force on Housing Costs," alludes to building

regulations being a factor in not allowing more cost effective materials

and innovative building techniques. The Center for Building Technology

at NBS has recently made an initial effort at developing a methodology

for assessing code provisions with regard to benefits and cost. Expansion and refinement of this methodology for cost-benefit analysis will

be of value in future prioritization of building code related research.

One of the major efforts of NBS is to address these code related issues

from a technical approach to determine the technical rationale for the

requirements and establish the technical performance base from which

realistic criteria can be developed or for the modification of existing

provisions so that they are more responsive to current needs. In today's

sessions we will be looking at administrative procedures, energy conservation and new energy usage, standards development, housing codes, and

opportunities for improvement in these and other related topics. We

should have very interesting presentations and challenging discussion

periods throughout the day.

3
During the past year, NBS has had the opportunity to work closely with

organizations such as NCSBCS, the model building code organizations,

National Institute of Building Sciences (NIBS) , and particularly with

the State of Massachusetts in the development of Article 22 of the

Massachusetts Building Code as it relates to rehabilitation of older

buildings. NBS and NCSBCS are jointly sponsoring a conference on rehabil

itation in December of this year. This conference is to be held at the

Jack Tar Hotel in San Francisco, California on December 10-11, 1979. The

general topics of the rehabilitation conference include: Building Code

Development and Enforcement; Seismic Considerations and Solutions;

Legal Implications; Economic Approaches; and Energy Conservation. Literature announcing the conference is available.

We have also worked with the Council of American Building Officials

(CABO) and the U.S. Department of Energy in providing technical support

for the development of provisions to be included in the Document for

Code Officials on Solar Heating and Cooling of Buildings. This effort,

a first of its kind, is seeking to follow the consensus process from its

inception to the final acceptance by the American National Standards

Institute (ANSI) as a consensus document. CABO recently received accredi

tation by ANSI as fulfilling the requirements to develop consensus

standards

NBS looks forward to working with NCSBCS, providing technical assistance

where possible, and cooperating in the sponsorship of conferences such

as this one.

4
Keynote Address

CHALLENGES IN BUILDING REGULATION

by

Rudard A. Jones

Research Professor of Architecture

Director, Small Homes CouncilBuilding Research Council

University of Illinois at Urbana-Champaign

I am very happy to have the opportunity to participate in this NBS/

NCSBCS research conference by presenting the Keynote Address. When

I was invited to make this talk, there was no mention of any requirements or limitations; therefore, I have chosen to use this occasion

as an opportunity to present some personal thoughts on the "state-ofthe-art" of building regulation and to express some opinions as to some of the challenges we are now facing and will have to face in the

future.

I say "we" because, although I am not on the firing line administering

building regulation, my work at the University of Illinois is certainly

related to building process and building quality. As some of you may

know, when the University of Illinois' Small Homes Council was founded

in 1944, the Board of Trustees of the University charged the Council

to "keep abreast" of all that is "new" and "inform the public impartially." It further said that the Council should "cooperate with

industry." Accordingly, I feel knowledge of on-going activities in

building regulation is a part of my duties, and of other Council staff

members too.

In addition, I have had a long-time personal interest in the development of standards in the building area. For these reasons I feel I can say "we" without being too presumptuous.

I must also emphasize that this presentation today is the expression

of a purely personal viewpoint. I am not wearing my American Society

for Testing and Materials (ASTM) hat; I am not wearing my National

Institute of Building Sciences (NIBS) hat —nor my Building Research

Advisory Board (BRAB) hat —nor my University hat. In fact, I come

to you without any hat on my head whatsoever.

Building regulation is not static. We continually face new and expanding challenges. It seems to me that one of the most difficult

challenges we face is that of coping with the tremendous expansion of

the number of agencies that are intervening in the building regulation

system.

5
The Federal presence seems to increase constantly. For example, there

are now six Federal agencies that are setting standards, or rules, or regulations, on insulation. These are the Department of Housing and

Urban Development, the Department of Commerce, the Department of

Energy, the Consumer Products Safety Commission, the Federal Trade

Commission, and the Environmental Protection Administration.

The most serious Federal challenge to the building regulation system as

it functions today is the proposal of the Federal Trade Commission (FTC)

to regulate the operations of the voluntary standards writing

organizations

As you well know, building regulations rely heavily on voluntary

standards developed by other organizations such as the American Society

for Testing and Materials (ASTM) and the National Fire Protection

Association (NFPA) . In my opinion, the voluntary standards system^

as exemplified by ASTM, is working quite well and is performing a real

service to this country.

I submit that two of the major thrusts of the FTC are contradictory.

On the one hand they profess to be concerned about the development of

standards that will assure products of adequate quality. On the other

hand they are concerned that standards will not restrain trade. I suggest that any decent standard will create restraint of trade. That

is what we want to do; that is, we try to eliminate a poor product from

the marketplace. It is important to have both things; that is, you

cannot have completely unlimited trade and quality products at the same

time. The two goals are not compatible.

I further submit that the procedures proposed by the FTC staff would be

cumbersome and cause delay in the standards writing process while at

the same time they would set up a development schedule which could not

be achieved by the voluntary system. I believe the proposed ruling

would greatly curtail the effectiveness of the voluntary system and

might eventually lead to its dissolution.

In case you feel that I am unduly biased in this matter, read what the

Executive Director of the National Conference of States on Building

Codes and Standards, Inc. (NCSBCS) had to say in the July 1979 NCSBCS

Newsletter.

All the pro and con testimony on the proposed FTC rule is now on the

record; let us hope the FTC will decide not to issue the proposed

rule, or any other rule which will hamper the effectiveness of the

voluntary standards system.

The FTC situation points up an overall basic challenge: "How do we

preserve the prerogatives of the individual States, but, at the same

time, achieve a reasonable harmonization of building regulations?"

This is a difficult task, but members of NCSBCS are well aware of their success in the development of reciprocity with respect to the examination of mobile homes. We should also be aware of the attempt that is

6
being made to harmonize the building codes of the European Economic

Community. The more successfully we meet this challenge, the better

we shall be able to resist the federalization of building regulations.

Part of our problem in achieving harmonization of our codes is the

problem of language and vocabulary. We need to put aside our parochial

differences and develop a common language in order that we may communicate more readily. At the present time NIBS is initiating an effort to

develop a broad consensus on the meaning of some terms used in connection

with building regulations. For example, we need to develop and use clear definitions as to what is meant by standards, model codes, codes

of practice, specifications, etc. In this way we can expedite and

clarify communications between the various segments of the regulation

process

Another major challenge that we are facing relates to the scope of

building regulations. How do we handle the expanding role of building

regulations? We all know that our regulations are based on the idea

of protecting health, safety, and welfare. (In my classes at the

University I substitute the term "well being" for "welfare," inasmuch

as the term "welfare" has an entirely different connotation today than

it did when the idea was originally expressed.) There are two facets

of this expanding role. One of them has to do with a much higher

degree of protection and the other has to do with the broadening of

the groups that are to be protected.

Somehow or other we have to make a better assessment of the real benefit

of some of the protective measures that are being added to building

codes. In this respect we are beginning to hear about cost/benefit

assessments of new measures. This is a step in the right direction,

but it is not easily accomplished. For example, on the economic side

we can estimate some dollar costs of some of the new devices that are required for the building. On the other hand, we cannot very well

assess the cost to society of pricing housing out of the marketplace.

And, of course, it is very difficult and no one really wants to put

a dollar value on a human life. Nevertheless, we should take a good

look at some of the regulations that are proposed as life-saving

measures, and try to make a reasonable judgment as to their cost and

their effectiveness. The Center for Building Technology (CBT) at the

National Bureau of Standards has demonstrated one technique for this

type of evaluation with its study on the cost benefit ratio of the use

of ground-fault-interruptors in housing. Committee E6 of ASTM has

embarked on the development of some standard practices for performing

these types of economic evaluations.

A big part of the problem of expansion of the role of the building code

is related to the term "welfare." Originally, we were concerned with

the well being of the occupants of the house; this has been expanded

to include concern for the neighborhood and the city. The latest

expansion has to do with some of our societal objectives. The matter

7
of energy conservation falls into this category. The proposed and

existing regulations for energy conservation stem from an objective of our society as a whole rather than coming from protection of the

individual housing consumer.

The matter of elimination of architectural barriers to the physically

handicapped, particularly wheelchair users, is an example of our concern for the welfare of a special group of people. All of us can agree

that such provisions are desirable, but how far do we go? A few years

ago it was proposed that all housing should be designed and built to

accommodate paraplegics. The reasoning was expressed in the statement,

"I want to be able to visit all my friends."

In one of the hearings I testified against this pointing out that some features necessary to the handicapped would affect the general

population adversely. For example, a kitchen that is suitable for a wheelchair user is not suitable for others. Both populations cannot

be served by the same solution.

I also pointed out that economic considerations would effectively

eliminate the two-story house as a housing form, because it would

require an elevator or an extensive ramp system to accommodate persons

confined to a wheelchair. In these days, when land costs are a problem, and higher density housing seems to be one of our better

solutions, we cannot afford to rule out multi-level houses. Needless

to aay, I felt quite uncomfortable in presenting this testimony before

an audience which included a number of handicapped persons. Issues

such as these are charged with emotion, but we must try to evaluate

them objectively.

Another challenge which we face with respect to the expanding scope

of building codes and building regulations relates to the pressure

that seems to be increasing for the inclusion of items which I am

inclined to classify as "consumer protection items." We are beginning

to see some effort to include in building codes durability requirements for certain mechanical systems, as well as efficiency requirements

for these systems. I believe that we must look very carefully at such

requirements before we decide the building code is the proper place

for this type of protection.

The last challenge that I want to speak about relates more directly to

research activities. Most of us are in agreement that fundamentally

the idea of performance standards and codes is a good one. At the

same time we must recognize that the administration and the use of such

standards is difficult, unless we have a satisfactory means of assessing

the performance. This means that a great many more test methods and

other types of evaluating procedures must be devised. There is ample

room for expansion of research in this area. Furthermore, for the

purposes of building regulation it is necessary for us to develop much

more satisfactory means of predicting performance. This is particularly

8
well illustrated by the problems which are being encountered in

developing a performance code with respect to energy use. If the performance code is to specify energy use in terms of the amount of energy

that a building will use during a given period of time, we must have

some means of predicting from the plans and drawings of that building

the amount of energy that it will use. Such a system is not as yet

perfected, and until it is perfected, the use of performance energy

codes of this nature will not be feasible.

These are only a few specific reminders of the expanding challenges

that are constantly arising in building regulation. I would have

liked to comment on consumer participation as well as on the regulation of rehabilitation, but time constraints prevented this.

Thank you for giving me the opportunity to make these comments.

9

SESSION 1A - ISSUES IN BUILDING CODE ENFORCEMENT

Moderator: Charles T. Mahaffey

Building Economics and Regulatory

Technology Division

Center for Building Technology, NEL

National Bureau of Standards

Washington, D.C.

11

DEVELOPMENT FEE SCHEDULE SURVEY

and

Duncan M. Coffey

Californians for an Environment of Excellence, Full Employment

and a Strong Economy through Planned Development (C.E.E.E.D.)

In January of 1971, due to the rising costs of housing and the

insufficient supply of affordable housing in Orange County, California,

the Board of Supervisors passed a policy which mandated builders to

provide 25% of all new homes at affordable prices. Because of the high

cost of land, the escalating costs of labor and materials, and the

delays in the governmental processing, this task will not be easily

attained.

As a result, the Orange County Chapter of the Building Industry

Association—a trade association comprised of over 600 companies bound

together by the common desire to improve working, business, and profit

conditions in the building industry—with CEEED—a coalition of taxpayers, property owners, business and organized labor supporting property

rights, land use and free enterprise—joined efforts to research a development fee schedule.

This schedule incorporates 38 development fees which highlight the major

building, engineering and planning requirements needed for approval by

the local governments.

The study is based upon a hypothetical "model" consisting of 50 detached

single-family, wood framed dwellings, situated on a 10 acre parcel of

land, resulting in a density of 5 units per acre. In order the achieve an accurate study, 3 sized model units were researched. They are as follows:

Square Footage Square Footage

Living Area Garage Bedrooms Baths Sales Price

In addition to the above criteria, a supplemental study will be completed

and accompany the original study. The second study will focus on affordable housing and in particular, the effect of the County's new housing

element policy, The two studies will analyze development fee costs for

low cost/higher density units compared to high priced/lower density units.

Also, single-family versus multi-family, attached versus detached and

greater versus reduced square footage living area, will be considered.

Key Words: Affordable housing; development fee; planning cost;

1,300

1,500

2,000

400

400

400

2

3

4 2-1/2

2

2 $ 70,000

$ 90,000

$110,000

Proposition 13.

13
On June 6, 1978, California voters approved the passage of Proposition

13, the Jarvis Gann Amendment. The main purpose of this initiative was

to alleviate escalating property taxes. State and local governmental

agencies were faced with the problem of funding essential services

formerly covered by property tax revenues.

In the face of this decline in tax revenues, builders and developers

in California have experienced a 225% increase in development fees which

have been imposed at the city and county levels.

In January of this year, as a result of rising housing costs and an

insufficient supply of affordable housing in Orange County, the Board

of Supervisors passed a resolution under the state housing element which

required builders to provide 25% of all new homes at affordable prices.

Because of the high cost of land, escalating costs of labor and materials, and delays in governmental processing, this goal will not be

easily attained.

Orange County is the first county in California to comply with the

State's mandatory housing element and its plan is being viewed by many

as the prototype for affordable housing. Not only are state authorities

closely monitoring the results of this program, but national attention

as well is being focused on the plan.

As a result, the Orange County Chapter of the Building Industry

Association, a trade association which is comprised of over 600 firms

bound together by a common desire to improve working, business and

profit conditions in the building industry, in conjunction with

Calif ornians for Environment, Employment, Economy and Development

(C . E . E . E . D . ) , joined efforts to research a development fee schedule.

Our project involved detailed research on thirty-eight categories of

development fees assessed by the County of Orange, as well as the twenty

six cities under its jurisdiction.

These fees highlight many of the major building, engineering and plannin

requirements needed for approval by the local governmental agencies.

The study was based on a hypothetical "model" consisting of fifty

detached, single family, wood-framed dwellings, situated on a ten acre parcel of land, resulting in a density of five units per acre. In order

to achieve an accurate study, three sized model units were researched.

A 1300 square foot two bedroom-two bath home, selling for $70,000; a 1500 square foot three bedroom-two bath home, selling for $90,000; and

a 2000 square foot home with four bedrooms-two and one half baths,

selling for $110,000.

As evidenced by the attached criteria key, it is important that other

information be taken into consideration, in addition to the physical

characteristics. These include, but are not limited to an assumed

value of one gross acre of land being $100,000 and a predetermined per

lot improvement cost.

14
In accumulating the information, we personally visited each city to

acquire current and correct data. We then formulated each city's input

and returned the format to the appropriate city or county official for

their review.

However, because of frequent changes in fees, this analysis provides only

a partial comparison. A number of jurisdictions were in the process of

reviewing their fees at the time of the survey and a few substantial

increases may have occurred subsequent to the survey. These increases

are not reflected in the analysis.

After the cities reviewed and returned the informations it was converted

to a cost per lot breakdown for the fifty units in the hypothetical

proj ect

We then compared our findings to a 1975 Board of Supervisors survey

which was researched by California State University at Fullerton. Some

of the findings of this comparison for a 1300 square foot home are as follows

1. When averaging the 1975 study, the total development fees ranged

from $847.00 for the City of Seal Beach to $2,030 for the City of

Laguna Beach. The average total development fee per city was

$1,127.87.

2. When averaging the 197 9 study, the fees range from $1,260 for the

City of La Habra to $7,382 for the City of San Clemente. The

average total development fee per city was $3,437.31.

3. When comparing the 1975 study to the 1979 study, the percentage

increases in total development fees ranged from 33% for the City

of La Habra, to the City of Irvine with a 551% increase.. The

average total development fee percentage increase per city was

205%.

We have chosen the City of San Clemente to illustrate some of the trends

in the specific fee areas. The following breakdown is based upon the

1979 fees for a 1300 square foot home as shown on the development fee

schedule

For a 1300 square foot home, the City of San Clemente assesses charges

of $825.69 for building fees. These fees include building permits, plan

checks, electrical permits and plumbing permits. Under engineering fees,

flood and drainage, engineering and inspection, grading and inspection,

and sewer fees have been taken into consideration to arrive at a total

of $1,759.50. When determining the planning fees, it is important to

remember that all fees listed may not be applicable for any one project.

However, for our purposes, all will be taken into consideration. Planning

fees include conditional use permit fees, processing fees for environmental impact reports which are required by California law, as well as zone changes, variances and numerous other categories. The planning fees

for the City of San Clemente total $4,796.76. This extremely high

15
planning cost can be attributed to the park-in-lieu fee which is $3,538.00

per unit and an assessed school fee of $1,200 per unit.

In summary, the City of San Clemente charges a $7,381.89 per unit for

building, engineering and planning fees. When using the $7,381.89 figure, the total amount that the builder /developer must pay to the City of

San Clemente for our hypothical project will be $369,094.50. Please

keep in mind that the fees referenced are by no means the total fees

required by the agency, rather, they are some of the major fees only.

There have been frequent changes in fee structures throughout the County

since June 1978. In addition to the consistent fees which each jurisdiction assesses, a few cities have enacted new fees such as an energy

fee, a library fee, a seismic fee, an agricultural preserve fee and new

bedroom taxes.

Alfred Gobar & Associates, Inc., a well respected residential marketing

firm in Southern California, recently completed their "Concise Factors

for Housing Cost Increases in Orange County" which was prepared for

C.E.E.E.D. In their report, they conclude that fees have increased

annually over 30% since 1975. Therefore, the median rate of increase

for fees surpassed the rate of increase in home prices in the twentyseven jurisdictions studied.

The study has just been printed and it is in the process of being

distributed to county and city governmental agencies, in addition to any

interested parties within the building industry.

16
DEVELOPhV

CITY

BUILDING

PERMIT

1300 SO. FT.

PLAN

CHECK

1300 SQ.FT.

ANAHEIM 272.79 175.18

BREA 162.73 94.20

BUENA PARK 3ei . 59 238.70

COSTA MESA 1 56 . 78 77.00

CYPRESS 199.20 83.00

FOUNTAIN

VALLEY

156.68 77.00

FULLERTON 185.60 83.00

GARDEN

GROVE

181.50 112.75

HUNTINGTON

BEACH

177.60 88.80

IRVINE 543.65 103.80

LA HABRA 260.50** 130.25**

LAGUNA BEACH 345.00** 207.00**

LA PALMA 187.00** 93.50**

LOS ALAMITOS 220.50 143.33

NEWPORT BEACH 228.00 148.20

ORANGE 157.00 77.00

PLACENTIA 166.80 81.00

SAN CLEMENTE 640.19 87.50

SAN JUAN CAPISTRANO

1261 .00 425.75

SANTA ANA 177.60 88.80

SEAL BEACH 235.50** 117.75**

STANTON 192.57 94.50

TUSTIN 5<>5.67 81 .00

VILLA PARK 188.00 110.00

WESTMINSTER 191 .00 94.50

YORBA LINDA 258.57 127.50

COUNTY 188.00 111.00

* Al 1 Planning

** Data not conf Fees may not

i rmed by C i 1 be appl ical y

DEVELOPMENT FEE SCHEDULE t

RESEARCHED BY OE60RAH D FONTAINE ANU In,'.' a., u , ,, f , f , ,.,„ THE ORANL.L ' Oi.HI, l.„=PJLR Of l.'C M'JILOIN', INDui IF., .-.SOClATlON AND FOR

CALIFORNIANS FOR ENVIRONMENT EMPLOYMENT ECOHOMr S DEVELOPMENT (CEEED) BUILDING FEEB E

... MQIN

FEEERINO EB PLANNING FEES * TOTAL FEEB

rns

w s& PERMIT laiKCtlM

1 ir.,. T OWTIW

,;.:»,„ E.I.H. i.Tu. 1C.0OL l„i '" " •IKE ;o.r nS

I. <r

toTM

'•-, F1

jom

,„ I> .1.00 10.00 .,1 in.L •>.»

. j. „ w ).« .,,.« n 00 100 00 (.00 1 no ' ',0 o no OA

„.«, „..,. „„ w 1)1 ?i Sl.W M.S. 11.0. Imoo 111 no w 00 J. 40 l 00 N/A U ot> 11 a

»!.!. in to •>.. ».» ,„ ^ ..s.on • 111 on inn 00 1.-10 e 10 10 on 8 10 on ? 00 in nn t

If 00 1J.» •« ) fO 1. s no .,0.

„.« KM. „... »oco v. ... ,.. ..«, ; 00 I.«

r0tf>T«1. .1.1. „.» .... .. „ ,.0. .1.

».» no.00 ». 10 00 -777-

».. 1 .0 I.TM ~ ..00 ,0.

**TIN6TW U.00 ,„ m.o. ^ u.oo im.n noo.m

.

1,00 m ...

,„..„.,

1..00 11.0. .1.

11,00" >»!.«, ,.„

11.00- 110 no

1..O0 II10.no »

u.so mono

...00 mon

.1.00 •no. moo

M.on •il.nn I10..0

1MJ0AA

11 .on Sll no H0.0.

, noon- ,„ no- ^77777 1I.10- rSSi. .... s 00 ,.» ...

uoo i.n.oo- ...

CRITERIA KEY

The study was based upon a hypothetical "Model" consisting ot 50 detached,

single family dwellings, situated on a 10

acre parcel of land, resulting in a density of 5 units per acre In order to achieve an accurate study. 3 sized models were researched They are as

tOllOWS:

In addition, the following data should be

taken into consideration:

1. The assumed value of one gross

acre of land is $100. 000.00.

2. Building Permit—Also includes

strong motion (seismic) fee. bed- room fee. system development fee, energy fee, library fee. etc . when

applicable. 0

3. Electrical Permit— Based upon the square footage of living area and

garage area, plus hook up. 4 Plumbing Permit— Based upon the standard number of fixtures.

5. Engineering and Inspection fees- Based on 525,000 per lot. the assumed average lot improvement

cost for streets, curbs, gutters, side- walks, etc

6. Grading and Inspection—Hill cities— 6.000 cubic yards. Level cities —

3.000 cubic yards.

7. Sewer Fees— Represent the mini- mum fee assessed by the jurisdiction. A representative contacted each city and the county when gathering the

data To insure accuracy, the information was then returned for their review, However, a few cities failed to respond

to confirm the accumulated information and are noted with— 04

. Please keep in mind that this information is to be used for reference pur- poses only, not for actual computations.

a The City of San Juan Capistrano as- sesses a fee of S500.00 per unit to "pre- serve agriculture" within its city limits.

17

CRITERION FOR THE THERMAL INSULATION

QUALITY OF A BUILDING

by

J. Uyttenbroeck

Belgian Building Research Institute

Brussels, Belgium

In an effort to conserve energy in Belgium, the Belgian Standardization

Institute has published a draft of a proposed standard for thermal

insulation of a building. The concept and methodology is described in

this paper.

The global thermal insulation value, U , varies as a function of the

ratio of volume of the building to the exposed area of the building

(V/A) . The relationships are simple and the implementation, through

legislation and enforcement, is relatively straight-forward.

Key Words: Heat loss; standard; thermal insulation; U-value.

19
INTRODUCTION

With the world shortage of fuels and the costs of fuel steadily increasin;

there is need to establish limits for heat loss from heated building

spaces. In Belgium and other European countries, attempts have been made

to address this problem. The methodology for the Belgian thermal insulation standard for buildings is described here.

DEFINITIONS

Mean U-value of a Building

following expression:

The overall or mean U-value of a building "U 11 can be defined by the

EU A , EU A EU A , EaU.A- , Eb.U.A. TT ,

tt - ww+ gg+ rr+ f f + li (_2_) (E'<1- D

m EA + EA + EA + EA^ EA. w g r fx

In this expression

U , U , U , U. are the U-values of

w' g' r f 1

* the external walls (w)

* the glazed areas in the building enclosures (g)

* the roofs (r)

* the inferior* floors (f) and parts of the walls in contact

with the earth

* the interior walls between the building and un- heated rooms or spaces of other buildings (i)

2 A , A , A , Aj., A. are the areas (m ) of the above mentioned w g r f i building elements;

a and b are reduction factors.

In the Belgian proposal

a = 1 for inferior floors above the open air

a = 2/3 for inferior floors above non-heated spaces or rooms

and for walls in contact with the earth

a = 1/3 for inferior floors directly on the ground

b = 2/3 for interior separation elements between the building bein

considered and non-heated spaces or rooms of another building.

*The term "inferior" refers to transmission paths to the earth.

20
t = -io°c

e t . =

1

20°C

0 = 0°C

1 > .

9

f " 10 9 C

Figure 1; Illustration of Intermediant Heat Flow Paths

It must be noted that the Uf-values of floor above are the U-values

between the interior space of the heated building and the underside

of the floor or the earthside of the wall.

This approach, as illustrated in Figure 1, is based on the approximation that a normal interior temperature in the heated building is

t-j^ = 20°C, and the basic outdoor temperature is t e = -10°C (for the

greater part of Belgium) , which gives a total At of 30 K. The temperature on the outside of a wall in contact with the earth is considered

to be 0W

= 0°C and on the underside of the floor 0 f = +10°C.

Total Heat Loss Area of a Building A

The total heat loss area of a building is given by the sum of terms of

expression (1)

A = ZA + £A + ZA + EA_ + ZA, (m

2

) w g r f i

The heat loss area of a building does not always correspond with the

visible building envelope. For example, in the case of a building

where the insulation is placed on the attic floor, the roof area to

be taken into account is of course the area of this attic floor and

not the area of the uninsulated roof.

21
Figure 2: Illustration of Heat Flow Through the Ceiling Area

Rather than the Gross Area of the Roof.

Volume of a Building: V

'

! 3

,

The volume of a building is the total volume (m ) included in the heat

loss area A of the building and sometimes by some interior walls between

the building being considered and normally heated rooms or spaces of

another building.

BASIS OF A CRITERION

Unique Requirement

An acceptable basis for a criterion of the thermal insulation of a building seems to be that an allowance be established for each cubic

meter of the heated (protected or insulated) volume of the building

so that a given amount of energy that may be consumed to neutralize

the transmission losses of the building.

2

For a building with a global U

m

value (W/m K) and with a total heat loss area A (m ) the transmission heat losses per K are

U . A (W/K) m

v ' 3

And, the transmission losses per K and per m are

U

m ' |

= C (W/m3K)

22
If the above expression is limited to a given constant value C, an expression of equilateral hyperbole is arrived at

U

m

* |

= C (W/m3K) (Eq. 2)

The expression (2) is represented in Figure 3.

Figure 3: Global u Represented as a Function of the Area to Volume

Ratio

Equation 2 can also be written as

U = C . t (W/m2K) (Eq. 3)

m A

This is the expression of a straight line passing through the origin of

a diagram giving U as a function of V/A (Figure 4).

U 1 m

/ V/A

Figure 4: Global U As a Function of Volume-Area Ratio m

23
I

Practical Limitation of the Basic Criterion

The logical criterion as proposed above cannot be adopted for all kinds

of buildings. Indeed, as can be seen (Figure 3 or 4), such a simple

requirement will lead to requirements which would be too strict for

independent houses or in general for constructions with a high value of

A/V (Figure 3) or with a low value of V/A (Figure 4)

A unique requirement shall also lead to a very poor insulation for

buildings with a low A/V value (or a high V/A value)

So it seems necessary to adapt this simple requirement by fitting the

equilateral hyperbole or by adopting a straight line which cuts the U

axis in a point situated above the origin. It seems also logical to

limit the fitted curve or the straight line by two constant values for

small values of (A/V) and for great values for (A/V)

A general form of the requirement can be shown as in Figures 5a and 5b.

Figure 5a Figure 5b

Constant Values of U Established for the Extreme Regions of the Curves

m

24
REVIEW OF THE REQUIREMENTS APPLIED IN SOME EUROPEAN COUNTRIES

In a study (*) made on request of the European Communities the

opportunity was taken to make a comparison between the different regulations on the thermal insulation of buildings (transmission losses

only). In this study, translations of these different regulations

were made in a common language, through the use of a diagram giving

the maximum allowed Um

value as a function of the term A/V.

The result of this study is represented in Figure 6. As illustrated,

most of the national requirements represented more or less follow the

philosophy which has been described above.

0.5 1,0 1,5

Figure 6: Comparison of Several European Thermal Insulation Standards

25
PROPOSAL FOR A COMMON METHOD TO EVALUATE

THE THERMAL INSULATION VALUE OF A BUILDING

For the practical use of the proposed requirement it seems to be easier

to adopt a requirement under the form of a straight line rather than

under the form of a curve.

So, we propose that the presentation in a (U - V/A) diagram form (see

Figure 5b) be accepted. In such a diagram tlie requirement will be represented by a straight line which will be completely defined by the slope

(3) of the straight line and by the value of U corresponding to

V/A = 0 (U ). (See Figure 7.) m

mo

um

Umo

V/A

Figure 7: U is a Linear Function of V/A, the Slope of Which is

Determined by 3

Significance S of the Slope 3 and of the U Value , E mQ

Consider a building with overall dimensions

L length (m)

B depth (m)

H height (m)

The included volume is

V = LBH (m

3

)

The total heat loss area A equals

A = 2 (LB + BH + LH) (m

2

)

26
Let us indicate the window area as a fraction a of the total floor

area. So if h is the height of one story (h = free height between

two floors + the thickness of one floor), we can say that the total

floor area equals

? . LB (m

2

) h

And, the window area can thus be given by

a . 7^ . LB (m

2

) h

Transmission heat losses per K . The transmission heat losses are equal

to the sum of

- transmission losses through the vertical walls

Uw(2 LH + 2 BH - a §n

I BL) &

K

- transmission losses through the windows

U . • HLB

g h

- transmission losses through the roof

U . L . B

r

- transmission losses through the inferior floor

U

f

. a LB (with a = 1 or 2/3 or 1/3

in the Belgian proposal)

Global U-value of the building U . With the definition given above v

m

we come to

U (2 LH + 2 BH - a § . BL) + U ^ . HLB + U .LB + alK . LB

U = h S_h r f

m A

a HLB , TT ~ j \ - 2 U (LH + BH) + (U, + aUj LB

U = — —— (U - U ) + w— 1-

m h A g w A

U - a (U - U ) I 2_P , OH ± BH) + (Ur^Uf

)_LB,

m h g w A + A

(Eq. 4)

Discussion of the Equation 4 . The last term of the expression (Eq.4)

is the mean U value of the building, considering the building without

windows

27
Of course, this last term depends upon the shape of the building

but only in the case where the U values of the walls (U )

, the roof

(U ) and the floor (aU^) are very different, w

If we consider all of these opaque walls the same U value, the last

term of the expression (Eq. 4) is actually the common U value.

So we can say that for a given building this last term represents the

insulation value of the opaque parts of the building, and we can write

the expression (Eq. 4) as follows

a V

U = £ (U -U)y + U m h g w A mo

(Eq. 5)

Approximately, the expression (Eq. 4) is a linear expression between

U and V/A. m

The slope 3 of the straight line depends on the window percentage a and on the insulation value of the windows (U - U )

.

g w

The term U remains constant for the insulation of all the opaque

parts of tffe building.

Proposition of requirements . With the knowledge of the preceding paragraph we can now propose reasonable requirements.

Indeed, a requirement as indicated by the straight line 1 (Figure 8)

is a requirement which is very strict for the opaque building elements

(Umo

= small) but which is not strict at all for the glazed area (3 = high

Figure 8: Very Strict Requirement for Opaque Building Elements

28
A requirement as indicated by line 2 (Figure 9) is not strict for the

opaque walls but is very strict for the glazed area (3 = small).

V/A

Figure 9: Very Strict Requirements for Glazed Areas

Thanks to these considerations it is now possible to accept a basic

requirement in a reasonable way.

As an example, one country could require that for all future buildings

it will be necessary that opaque walls have at least a U-value

(U =1 W/m2K) and that the window area of single glazed windows

(U =5.5 W/m^K) must be limited at a = 25 percent of the total floor

aria. That means that the straight line corresponding to these hypotheses is given by

a V

U = £ (U - U ) . t + U

m h g w A m

If we accept h = 2.8 m

U

m

=

2.8 (5.5 - 1) J+l A

Or,

U = 0.40 ~- + 1

m A

Of course, this line does not represent a very well insulated building, but it can be useful to accept such a basic line corresponding,

for instance, to the insulation of buildings prior to the energy crisis,

29
New Belgian standard on the thermal insulation of buildings . In 1979,

the Belgian Standardization Institute (IBN) published a draft for a new standard NBN B62-301, "Level of the global thermal insulation of

a building."

The proposed standard indicates only the way to compute and to indicat

the global thermal insulation level or quality of a building. It, thu

does not indicate requirements.

This standard has defined in the (U^, 7-) graph (Figure 10) a basic

reference-line given by the following coordinates:

for V/A < 1 U = 1 W/m2K

m

for 1 $ V/A S 3 U_ = 0.5 (V/A + 1) W/m2K

for V/A > 3

m

U = 2 W/m2K

m

The degree of insulation corresponding to this basic line is indicated

by the solid line K 100.

2.0-

1.5_

1.0

0.5 -

1.4

Figure 10: A Proposed Method of Selecting Global Thermal Insulation

Values

30
Other lines can be determined as shown in Figure 10. For example,

the line K 90 is given by the broken line passing through Um

= 0.9

for V/A = 1 and through Um

= 1.8 for V/A = 3. The line K 90 is

taken to be a value of 90 percent of that of the baseline K 100.

Thus, the insulation requirements can be varied for geographic areas where the climatic conditions may be more or less severe than the cases stated in this paper.

It is anticipated that using this standard the task of legislating

thermal requirements of buildings is a relatively simple matter.

Indeed, with the selection of one value, for example K 70, the re- quired insulation level of buildings can be indicated.

This requirement takes into account all of the transmission losses of

a building and also of the shape of the building.

For builders and manufacturers the standard makes it possible to

indicate very precisely the insulation level of their buildings.

* G. Carpentier and J. Uyttenbroeck (C.S.T.C.), December 1975,

(XII/839/75-E) : Comparison of thermal insulation regulations in

the member countries of the E.E.C. (Report I).

31

A REPORT

INDIANA BUILDING CODE ENFORCEMENT SURVEY

1979

by

David L. Bills

Director of Code Enforcement

Administrative Building Council

State of Indiana

This survey of Indiana cities, towns, and counties was undertaken by

the Division of Code Enforcement of the Indiana Administrative Building

Council. Its purpose was to determine the status and effectiveness

of local building code administration and enforcement agencies. Its

findings will be used to provide guidance and priority to state level

programs to encourage the development and advancement of local building

regulatory agencies, which is a statutory mission of the Division.

The survey measured manpower resources and productivity; inspection

frequency; building permit fees; inspector training, and the status of

local ordinances pertaining to adoption of the statewide building code,

establishment of building departments, and regulation of unsafe

buildings.

The survey results depict the condition of statewide building regulation in a rural, small community environment with traditional political

influence on local governmental operations and services.

Key Words: Building departments; building inspection; code administration

Indiana building code enforcement; local government; political

appointments; survey of local building departments.

33
INTRODUCTION

The small town building department seems to have received little

attention in the various independent studies, periodical literature,

or texts of the building code administration and enforcement organizations and agendas - public or private. The voice of the grass roots

building official, as a combination administrator, plan reviewer, inspector, complaint investigator, and consultant to the community he

serves, is seldom heard; except to complain that he is overworked,

underpaid, and unappreciated. One of these voices in California suggested that 85% of all local building departments in the United States were basically a one-man operation (Ref. 1). If this were true,

perhaps a better understanding of the personnel, capability, performance

and political environment of the small building department would be

useful to the policy makers, code publishers, and related associations

in the building regulatory field. For this purpose, the Indiana Building Code Enforcement Survey was undertaken.

BACKGROUND

A brief explanation of the Indiana code administration establishment

will provide the basis and format for the survey. The Indiana Administrative Building Council is established and empowered to promulgate a mandatory statewide building code. Its adoption, with some amendment,

of a group of Uniform codes published by the International Conference of

Building Officials (ICBO) , is typical of procedures used by other states

with similar laws. Perhaps atypical, however, are two statutory provisions. The statute does not impose a duty on local government to es- tablish a building department or to hire inspectors: it simply states

that local executive officers (all elected officials) have a responsibility to enforce the promulgated rules and regulations of the Administrative Building Council. The second provision establishes the Office

of the State Building Commissioner, and creates operating divisions at

the state level. The Plan Review Division must check plans for all

buildings except one and two family dwellings and farm buildings. Local

building departments, thereby relieved of that traditional duty, are not

obligated to provide staff or funds for that purpose. The Code Enforcement Division provides assistance to local government in the establishment

and improvement of building departments. It employs thirteen regional

code administrators to deliver direct support to local building officials

in the form of advice, on-the-job training, and field inspection. These

thirteen employees provided the manpower vital to the execution of this

survey.

METHODOLOGY

In the summer of 1978, the Director of Code Enforcement developed a two-page survey form designed to record a number of facts about local

building departments. It was decided to survey all counties, cities,

and incorporated towns with an objective of 100% coverage. Also, the

survey would utilize a direct interview technique. The survey results,

34
therefore, would not be based on a sample of voluntary responses to a questionnaire. The survey form was tested in 26 jurisdictions with

each regional code administrator performing two interviews - one county

and one city. Completed forms, interviewer comments, and reactions

were analyzed. A revised survey form, written instructions, and tabulation procedures were prepared for initiation of the full survey in May

1979.

The entire project was to be an in-house task with no outside resources

or funds required, except for the use of a summer employee college student to assist in tabulation. The survey was completed in July 1979.

THE COUNTY BUILDING DEPARTMENT

There are 92 counties in Indiana. Marion County, which is merged with

the city of Indianapolis for building regulation purposes, was excluded

from the survey because of its highly urban character. It was felt that

its inclusion in either county (or city) statistical summaries would

distort the intended portrayal of typical Indiana communities. Also,

the nearly exact central location of Marion County suggested a division

of the state into four geographical quadrants (Fig. 1) for the purpose

of regional analysis of survey results. Such analysis is not included

in this report in the belief it is of lesser general interest. Data from

the remaining 91 counties, therefore, represents a 100% coverage of that

level of government.

Only 30 counties have adopted the current statewide building code, but

35 have established building departments by act of local ordinance;

with 30 of these adopting the current statewide building code and five

continue to enforce superseded codes. Only 12 counties have ordinances

specifically designed to regulate unsafe buildings for which separate

statutory authority is available. The typical county building department

employs two full-time technical personnel, usually a building commissioner

and an inspector. Both perform inspection duty which occupies 52% of

their time. They average about 3 inspections for each job covered by

a building permit. The building permit for a detached single family

dwelling (1500 square feet, $25,000, less lot) costs about $41.00 which

includes electrical, plumbing, and mechanical work as well. The chief

building official has served less than five years in the department.

Four out of ten of these personnel are political appointees of a Board

of County Commissioners. Their average annual salary is $10,500. Only

18% of the building departments have in-house training programs. Just

over one-third of all technical personnel are members of the Indiana

Association of Building Officials (IAB0) . Some counties have additional

part-time inspectors, but on the basis of full-time code enforcement

personnel, there are only 3 for every 100,000 residents living in unincorporated (and almost all rural) areas in counties.

35
County City Town

A. 10 24 33

B. 37.60 53.00 52.00

C. 4.5 5.6 5.4

County City Town

A. 11 21 7

B. 43.60 25.60 25.20

C. 2.6 3.0 2.8

County City Town

A. 4 14 4

B. 49.25 29.70 38.75

2.6 2.1 2.7

A.

County City Town

10 14 10

34.00 25.45 32.85

2.8 4.3 1.2

KEY:

A. No. of Bldg.

Departments

B. Permit fee $ Single Dwelling

C. No. of inspections

per permit

Figure 1: Geographical Quadrants

36
THE CITY BUILDING DEPARTMENT

There are 112 Indiana cities excluding Indianapolis and four separate

cities within Marion County. Survey data was collected for 104 cities

of which 61 have populations of less than 10,000, but more that 2000.

There were 73 city building departments of which 51 have ordinances

adopting the current statewide code. The remaining 22 cities either

enforce superseded state codes, or continue to enforce pre-1971 building

ordinances never repealed after the effective date of the statewide building codes. Reflecting a more urban environment, 54 cities have ordinances to regulate unsafe buildings by means of condemnation or other

abatement procedure. The average city building department has about

three full-time technical personnel, of which one is likely to be an electrical or plumbing inspector. They have about five years experience

on the job and perform almost four inspections per building permit for

new construction. The single family dwelling permit costs $33.50, and a few cities require separate electrical, plumbing, and mechanical permits.

Inspection and travel time account for about 50% of their time, and

another 32% is spent on administration and general public assistance

duties. Only 17% of these departments have in-house training programs.

The chief building officials work in a highly political environment

where 73% of them are direct appointees of Mayors. There is no civil

service organization in any of the cities surveyed. The chief building

official earns about $10,400 annually. Cities have about 1.3 full-time

technical personnel per 10,000 residents which seems to be a more favorable ratio than that of counties. However, a few large cities with more

complete technical staffs tend to improve the overall ratio to some

degree. Even though city building departments seem better staffed in

relation to population served, the survey finds only 15 of 61 cities

with population of 10,000 or less with at least one full-time building

inspector, and 31 of 104 cities with no building department at all.

THE TOWN BUILDING DEPARTMENT

Indiana's 428 incorporated towns yielded 313 survey reports. Interviewers

mostly found themselves talking with town clerk-treasurers, many of whom

work part-time and at irregular hours. The 115 missing reports represent

the interviewer's knowledge that there was either no building department

to survey or that a part-time inspector could not be located during nor- mal business hours because he was employed full-time in a business or on

a farm. A survey coverage of 73% was considered acceptable, considering the effort that would be required to achieve a very small amount of

additional significant data. We found only 54 (17%) towns with ordinances

that established a building department, of which 34 were using the

statewide building code. Surprisingly, 32 towns had ordinances to regulate unsafe buildings. Only 23 towns had full-time technical personnel

with a numerical average of 1.2 persons. Clearly, these are the "oneman shows" that code administrators speak of when considering the small

community. These officials averaged less than four years on the job.

Their productivity equaled their county colleagues with about 3 inspections per building permit, which took half of their workday. The new

37
house building permit cost $37.20. A ratio of full-time inspectors per

10,000 population was not calculated because it would be statistically

meaningless, considering the small population of any town, and the

fact that existing inspectors operate only within their town limits.

One can be sure, however, that the ratio is much smaller than that of

counties, on a statewide basis. Data on average annual salary was unreliable or unavailable. Some part-time inspectors were paid token

amounts to offset transportation expenses with the understanding that

most of their service was donated; much the same as the practice for

small town elected officials. Typically, 68% of the full-time inspectors were political appointees of the elected Town Board of Trustees.

Considering that only 23 of 423 Indiana towns are served with full-time

building inspectors and only 31 more with part-time inspectors, one must conclude that most construction in towns is completely unregulated.

FINDINGS

Analysis of the survey data resulted in a number of conclusions presented

here in a sequence following that of the Statistical Summary (Fig- 2).

Occasional references are made to the comprehensive 1970 survey and re- port of city building departments by Field and Ventre (Ref. 2). That

report noted that data was lacking on cities with populations less than

10,000. Generally, the conclusions of this report, while much smaller

in scope of subject matter, are consistent with their research results.

A. Personnel :

In 117 building departments with full-time technical personnel, averages ranked: 3 in cities, 2 in counties, and 1 in towns. Only three

cities had 10 or more. There was one such person (inspector) for each

12,500 Indiana residents on a statewide basis. Their average building

department service was about four and one-half years.

B. Ordinances :

Less than 30% of all jurisdictions have ordinances which adopt the

current statewide building code. Many ordinances are out of date

or obsolete. Forty percent of all jurisdictions have established

building departments with cities having the highest proportion at

70%. Separate ordinances to regulate unsafe buildings follow the same frequency pattern between the three levels of local government. Although enabling legislation exists to form joint building departments

among the three levels of government, it is not commonly employed.

Promotion of this procedure is a major goal of the state Division of

Code Enforcement.

C. Productivity :

Ratios of inspections performed per building permit were consistent

with an average of 3.3. Given the traditional foundation, framing,

and final inspections for light frame construction, performance would

38
PERSONNEL

Number per building department

Number per 10,000 population

Years of experience on job

BUILDING DEPARTMENT ORDINANCES

Percent adopting state building code

Percent establishing Building Official

Percent regulating unsafe buildings

Single dwelling building permit fee ($)

PRODUCTIVITY

No. inspections per building permit

Percent of time spent on inspection

TRAINING

Percent with in-house program

No. of outside training experiences

PROFESSIONAL MEMBERSHIPS

Indiana Assoc. of Building Officials

Other national associations

APPOINTMENT SOURCE

Percent of political appointments

SALARY

Average annual salary ($ 000 )

Figure 2: Statistica

COUNTY CITY TOWN STATEWIDE

2 .

2 .1 .2 . 03

0.3 1.3 0.8

4 .

5 .3 .4 .45

32 49 8 29.3

38 70 13 40

13.5 52 7 24.2

41.10 33.50 37.20 37.30

3.1 3.7 3.0 3.3

52 48 51 50

18 17 0 11.7

49 67 26 142

33 50 7 90

21 22 3 46

40.5 73 68 60.5

10.5 10.4 10.45

Summary

39
seem to meet only minimum required levels as advocated by model building

codes. Additional inspection tasks necessary to implement an energy

conservation code may well establish an increased workload. A showing

that only 50% of available manpower is spent on inspection and travel

is not surprising to the knowledgeable building official. Administrative tasks, such as record keeping, special reports, and inspection

scheduling, consume about 15% of his time with another 10% devoted to

direct public contacts to render advice and assistance. Study and

training to remain current in a rapidly changing building technology re- 1 quires most of his remaining productive time. Note that plan review

tasks are limited to dwellings because of the mandatory state level

plan review for public buildings mentioned earlier.

D. Training :

County and city building departments reported little formal in-house

training, which would normally be the predominant method. Greater re- liance is placed on individual study and on-the-job training. The

thirteen regional code administrators of the state's Division of Code

Enforcement attempt to provide "one-on-one" training experiences for

local inspectors. Two state electrical specialists of the Division

perform the same function. The survey found that there were 142 instances where local inspectors attended a group training activity

outside of their jurisdiction. This is significant in planning regional

training seminars, because the prospect of attracting a reasonable

number of attendees is small. In fact, only 46 of the reported instances

occurred in the southern half of the state over a period of 12 months.

As a consequence, the annual training school of the Indiana Association

of Building Officials is probably the only group training effort that

has a reasonable chance of success. Any substantial registration fee

for a group training program almost guarantees its failure, because

very few jurisdictions will reimburse building officials for such

expenses.

E. Professional Memberships :

The survey attempted to measure participation in recognized associations

of building officials and inspectors. Of 294 full-time local building

officials and inspectors, 90 were members of their state association

(IABO) , and 46 reported membership in ICBO, IAEI (International Association of Electrical Inspectors) , NFPA (National Fire Protection Association) , NACA (National Academy of Code Administration) , or other

related organizations. Professional recognition did not seem to be

a motivating force among Indiana building officials; which is understandable in view of evidence that job security in a political environment is not assured by peer group association or recognition.

40
F. Political Appointments :

Over 60% of full-time building officials and inspectors are political

appointees. This is not to say that whole building departments are

always wiped out with a shift in political affiliation of the executive

branch of local government, but the possibility exists, and unfortunately, becomes a reality too often. In this climate, as noted in

the Field and Ventre report, local building officials who survive must

be politically adaptive. There is probably no greater impediment to

impartial, competent, and professional building code administration and

enforcement than the patronage system of appointment, so traditional

with Indiana politicians.

G. Salary :

Annual salaries for full-time technical personnel averaged at $10,450.

Field and Ventre reported chief building official's salaries for cities

having populations between 10,000 and 29,000 to have a mean of $9,786.

That was in 1970. If Indiana building officials feel underpaid, they

seem to deserve sympathy in 1979. Future proposals for mandatory state

examination and certification of building inspectors, if enacted, may

provide the basis for equitable compensation for qualified and competent

personnel.

CONCLUSION

The Indiana Building Code Enforcement Survey of 1979 will serve as a useful tool to impress upon local elected officials the needs for improved and effective code administration and enforcement. Growing

consumer demands for quality, and now, energy efficiency, in their

buildings are being heard by local officials. More and more Indiana

communities are "getting the message" and are acting to fulfill their

legal responsibilities for public safety, health, and welfare in

building construction and maintenance. We believe the Indiana condition is typical of rural America, and that condition is not clearly

understood by the established model code publishers, the national

associations of code administrators, or Federal agencies regulating

the construction industry. We Hoosiers hope this report will provide

a measure of enlightenment.

ACKNOWLEDGEMENTS

The assistance of Tim Madden, a sophomore at Indiana Central University,

in the tabulation of incoming data, correlation, and totalling was invaluable. Typing and proofreading by our Division secretary, Vera

Rothenbush, was equally essential to the preparation of the report.

Their assistance is deeply appreciated, as is that of our thirteen code

administrators who became survey interviewers for the Summer of 1979.

41
REFERENCES

1. Letter of April 18, 1978, by Wallace H. Byron, Building Official,

City of Campbell, California.

2. "Local Regulation of Building: Agencies, Codes, and Politics,"

Charles G. Field and Francis T. Ventre, Center for Urban Studies

of the Massachusetts Institute of Technology and Harvard University.

42
SESSION IB - LEGAL, POLITICAL, AND

EDUCATIONAL ASPECTS OF CODE ENFORCEMENT

Moderator: Trevor Jacobson

Administrator, Building Codes Division

Department of Commerce

401 Labor and Industries Building

Salem, Oregon

43

LEGAL RELATIONS AND CONSIDERATIONS FOR CODE

OFFICIALS AND DESIGN PROFESSIONALS

by

John R. Groves, Jr.

Deputy Commissioner

Department of Housing, Buildings and Construction

Frankfort , Kentucky

In the last several years, the number of statutes, ordinances, and the

volume of case law affecting architects and engineers has increased

dramatically. The changing legal responsibilities of architects and

engineers has been a matter of great concern to individuals in those

professions. Professional liability insurance, negligence, statutes of

I limitation, reasonable care, duty, contract relationships, and numerous

other subjects have moved to the forefront of continuing education

efforts for registered design professionals. During this process, code

officials as well have found themselves increasingly involved with sometimes complex legal considerations. Code officials, in particular, have

moved out of the shelter of freedom from liability based on government

immunity into a legal posture in some ways similar to that of design

professionals. This has been intensified by the often overlapping

relationship between registered design professionals and code officials

in the administration of a variety of codes.

In the past, programs and articles on this subject have often taken an approach of admonishment rather than education. Code officials and

design professionals have been told that caution and self-protection are emerging as the basis for the conduct of day-to-day affairs. This

concept has been further supported with numerous cases and incidents

involving property damage, personal injury or death and resulting in the

legal determination of extremely large monetary judgments. While this

process may have a dramatic impact, it often ignores the need to continue

a normal professional relationship placing basic competency as the fundamental principle directing those concerned. Certainly lawsuits

illustrating a variety of problems confronting both design professionals

and building officials will continue. The notion, however, that judgment,

common sense and risk can or should be eliminated from the construction

and code administration process is in practice unrealistic. The legal

education of parties to the process cannot seek to eliminate every

possible misfortune which could befall those involved. To attempt to do so would cause the entire process to grind to a halt.

Based on the premise that scare tactics are not the appropriate vehicle

for the legal education of code officials and design professionals, this

paper will proceed to discuss a number of current legal developments of

interest to both. The goal will be to help in establishing prudent but

45
sensible ways of discharging professional obligations and enforcing laws

codes and ordinances in a manageable and professional manner. Inherent

in the process will be the translation of basic legal concepts into

workable professional practice techniques and procedures.

Key Words: Appeals process; architect; certification; checklists; code

official; consultant; engineer; equivalent life safety;

municipal attorney; product endorsement; professional

liability; variances

46
INTRODUCTION

The potential for catastrophic professional liability is no stranger

to design professionals in the United States. All licensed professionals

to some degree share this common status. While professional liability

has had its impact in the fields of medicine, law, engineering and

architecture, it has moved more slowly to encompass building code officials. Nevertheless, case law is beginning to reflect the existence of

serious potential liability issues for code administrators.

In the last several years, many regional and national meetings of code

officials have included seminars on legal aspects of code enforcement.

These programs have typically concentrated on the personal liability

potential of public officials charged with code enforcement. Those

sessions have done much to inform code administrators as to liability

problems and to identify particular areas where liability problems have

greater frequency. Often, however, those same programs have achieved

another purpose. Depending on the manner of presentation, the resulting

actions for code officials has been akin to establishing a military

defensive perimeter. Code officials, with good cause, have started to

feel a strangle-hold brought about in part by legal actions resulting

in professional liability against code officials based on loss of property or life or both. It is little wonder that the outcome has often

been a form of paranoia which is then reflected in day-to-day practices

at the local level. Such is not all together bad. As with other reactions, however, if the changes are extreme in nature, the effect on the

conduct of daily business can be unnecessarily restrictive. They can lead to a self-perpetuating condition which restrains and burdens the

normally acceptable and reasonable ways of doing business as between

code officials and those whom they serve. This paper is directed to

the notion that while liability problems exist and must be researched

and discussed, the application of the results of those efforts must be

undertaken in a reasonable way and in the context of building code

administration on a day-to-day basis.

Code officials are by no means free from liability. But the general

rule followed by most courts is not to hold code officials liable for

actions undertaken in good faith and to the best of the code official's

judgment and ability, even when those acts may have included an element

of negligence. This standard varies from jurisdiction to jurisdiction.

The fundamental preventive action for code officials, to be discussed

further, is to talk with the municipal attorney in the local jurisdiction

to determine what protection is afforded by local ordinance or state

statutes and what the history of liability for design professionals and

code officials has been in that particular jurisdiction.

Most courts still hold to the policy that the building code official is an advisor. Further, he (or she) is not responsible for giving professional information in the same way as a registered design professional.

The code official must exercise his best judgment and must give it free

from any personal or self-interest. Beyond that, any individual code

47
official's standard of acceptable professional performance is generally

a measure of his actions against those in the same profession having the same degree of experience and exposure to the building code enforcement

process. Many other factors may also be considered. The above will

suffice as a point of departure, however discussions as to the "discretionary" or "ministerial" nature of the actions of code officials, and

derivatives, will not be considered in this paper, those having been

addressed in an earlier NBS publication and other writings.

THE CERTIFICATION PROCESS

Many building officials are seeking to establish or are involved in

code certification processes to certify their own competency. It is

felt, and rightfully so, that the process of certification should upgrade

the knowledge and ability of the officials concerned. Also, certification is a means of establishing categories of qualifications for salary

purposes. Certification is in many ways a desirable goal. If properly

undertaken, it can lead to a high-level of training and competency.

Also, certification programs can establish minimum qualifications

necessary for building code officials or any sub-categories within the

broader classification of building code administration.

Certification, however, must be undertaken with caution. With the status

of certification also comes a status and level of professionalism which

the law recognizes. That status may be legally treated as a level of

knowledge and performance which the building official should have achieved

by virtue of fulfilling the requirements of a certification process.

This means that if the certification process becomes simply a label and

the educational and training requirements are minimized or not rigidly

enforced, a "certified" building code official may find that his expected

level of performance may be far greater than his actual abilities. An

individual so "certified" may be expected in legal terms to perform in

a way in which is realistically impossible. Thus, certification becomes

a double-edged sword; on the one hand it can benefit the code official

through the establishment of categories which will promote advancement

and salary improvement. At the same time it can create a level of

professionalism and competency against which the actions of that individual will be measured in a legal dispute.

Certification must be recognized as a process confirming a significant

legal status. It should never be discouraged. Conversely, it should

never be undertaken in anything less than a very serious and carefully

designed manner which will establish a level of professionalism which

the law will require of a person so certified.

Certification programs take many forms. They may be administered at the

municipal or the state level or through a national model code organization. Any certification process must show a documented attainment of a degree of knowledge and ability by those receiving certification status.

To do less is not only a disservice to the public served by the building

48
official, but may lead to personal liability for the building code

official who is expected to perform in a way in which he or she is

simply not capable of doing.

COORDINATING WITH THE MUNICIPAL ATTORNEY

One important step for any building code official is the development of

a strong working relationship with the local municipal attorney. This

relationship should be termed an alliance of sorts and serves at least

two purposes.

First, the municipal attorney can provide preventive legal advice by

establishing basic ground rules as to how complaints from those in

disagreement with the building code official can be processed. Second,

there should be a procedure as to how and when the building code official

is to present to the municipal attorney questions on legal interpretations of the building code.

The code official must establish a strong working relationship with the

municipal attorney. This should include periodic (meaning regularly

scheduled) contact with the municipal attorney. A continuing dialogue

on small or seemingly inconsequential problems may pay large dividends.

The discussion of a legal strategy which will give the building code

official the basis for cautious but effective day-to-day operations is

a must. Furthermore, those discussions should be undertaken in a climate of conflict/liability avoidance rather than in the midst of a crisis where legal action appears imminent.

Each building code official should arrange to meet with the municipal

attorney for a short period at least once every month. An informal

luncheon meeting can sometimes defuse problems which if not given legal

attention may lead to complications for both the code official and

municipal attorney.

DEVELOPING OFFICE POLICIES

In discussions with the municipal attorney, the building code official

should freely describe daily routines and how problems are normally

dealt with. Such discussion should also concentrate on office policies,

written or unwritten, which may be included in the enforcement of the

local building code. These last two items are important because of the

need to give legal status to those practices which may otherwise be not

legally enforceable if brought to a court of law. To say that a certain

practice is "office policy" is often an invitation for legal action to

determine just how legally supportable that policy may be. The need to

reduce policies to writing and to then see that they are followed in a consistent manner cannot be overly stressed. If brought to litigation,

a given office practice or procedure may be given legal recognition by

a court simply because it has been applied in a consistent manner over

a long period of time. This is not the recommended method of testing

the legality of a policy, however. Even though the history of application

49
combined with the reasonable nature of the policy when taken together

may result in favor of the building code official, it must first be

shown that the policy was known to all who were responsible for its

enforcement, and must have been applied consistently to all concerned.

This is obviously more burdensome than incorporating that policy into a law, regulation or ordinance before a lawsuit develops.

The establishment of reasonable consistent written policies in itself

reduces the potential for liability. The tendency toward arbitrary

decision making is minimized with the establishment of written policy.

The result will benefit the entire building inspection staff.

THE APPEALS PROCESS

Another step which can be integrated into day-to-day operations and

which will assist in minimizing the code officials potential for liability

is the establishment of an appeals board or committee at the local level.

Unfortunately, it is becoming increasingly evident that private citizens

are reluctant to become involved in the appeals process where the possibility of personal liability for their actions is present. Nonetheless,

there is much precedent for the establishment of such committees. When

properly constituted by professionally trained and informed persons,

successful challenges against those holdings become more difficult. Of course when an appeals committee reflects arbitrary or self— serving

interests in rendering decisions, those actions should be legally challenged. Where an appeals committee exists the code official has a final

option which in effect removes the ultimate decision and possibility of

personal liability from his shoulders.

Many code officials are often less than enthusiastic about appeals bodies.

This skepticism is usually based on the lack of technically trained

individuals serving on those bodies. Where an appeals body is not in

existence but contemplated, careful attention should be given to the

credentials of the board members. The experience requirements should

be written into statutes or regulations. Conversely, for boards which

are already in existence, the need to convince the appointing authority

of the necessity for competently trained members is essential. Also, as stated above, when an issue is given thorough analysis by a technically

experienced code committee, the resulting decision is also less prone

to produce liability than if non-professional and non-trained individuals make the decision based on a gut reaction or best judgment under

the circumstances.

This should encourage the code officials to take two steps; (1) to seek

the creation of an appeals committee, and (2) to be prepared to convince

not only the appointing authority, but potential members of the committee

as to the legal significance of appointing qualified members to the board.

50
VARIANCES VS. EQUIVALENT LIFE SAFETY

Probably every building code official has used the terms waiver and

variance. This is common nomenclature but it is often dangerous.

Whether a decision is reached by an individual building official or members of an appeals board, that decision should never be in terms of

a variance or waiver which imply that an otherwise legal requirement is

being either ignored or overlooked, and that nothing is being substituted

in place thereof.

Better terminology and the better practice is to use the term "equivalent

life safety." Documentation should then indicate that where a particular

provision of the building code may not have been fully met, there is

another factor present which off-sets the absence of that particular

requirement and which results in equivalent life safety for building

inhabitants. The possibility of substitutions to achieve equivalent

life safety usually exists. However, the need to make sure that the

intent of the building code is met regardless of what particular technical provisions are used is absolutely crucial. The importance of this

practice should also extend to the conversational language used by field

inspectors and code officials. The use of waiver and variance should be

strongly discouraged. Code officials should speak in terms of equivalent life safety documenting with correspondence the steps taken to ensure that an equivalent standard has been achieved.

CHECKLISTS

While many building code officials are reluctant to do so, the use of

checklists in plan review and field inspections can be a helpful procedure. Many building code officials are hesitant to use checklists,

feeling that their experience and ability to perceive and detect

deficiencies during an inspection process should override the use of a checklist. That argument also states that following a checklist puts

blinders on the code official and does not allow him to approach

problems with an open mind. On the other hand one of the most significant

and reoccurring problems encountered in the building inspection process

,

whether in plan review or field inspection, is that of finding code

discrepancies at points in the construction process after which the initial plan review has taken place.

Often design professionals, after having their plans reviewed, are told

that new and additional requirements which were not brought up prior to

construction will not be made a requirement. The requirements for

construction changes to comply with later imposed code provisions can sometimes spell catastrophe for a building owner who is financing construction on a very limited budget. Also it can be embarrassing to the

design professional who, while retaining ultimate liability for code

compliance, has relied greatly on the code official to review the

construction documents and to identify the major code discrepancies

which may be present on the construction drawings.

51
Obviously, if the project is not constructed in conformity with the

drawings and if that departure from the drawings represents a code

deficiency, then neither the architect nor the owner can be held to

blame if the change took place without their knowledge. In those

instances the contractor must be notified through the owner of the

problem and instructed to make necessary corrections. The architect

should also be informed by the code official of these actions.

When required code provisions are made known to the owner after

construction has started and after the architect and owner have been

lead, during the plan review process, to believe that code compliance

has been satisfied, both resentment of and embarrassment to the building j code official may result for not having identified that code provision

early in the process. The need for careful training of code officials,

continuing education and double checking of drawings can do much to

minimize this situation. In addition, the addition of the checklist in

the plan review process can also do much to eliminate oversights. The

code official should seek to write or adopt an already available checklist and integrate it as soon as possible into the plan review process.

The same use of a checklist also applies to field inspection. Many

local jurisdictions do not become involved in detailed plan review.

There, the process of building code enforcement takes place primarily

through field inspection. Where that is true, a field inspection checklist should be utilized for every inspection. In this way not only is a record available reflecting the results of each field inspection, but

the field inspector is given a format which will enable all code com- pliance matters to be considered and reviewed without reliances upon

memory. The need for a checklist is well established in other technical

fields as necessary even for those very experienced practitioners. The

senior airline pilot with several thousand hours will use a pre-rflight

checklist just as the student pilot. No less should be true of the

building code official. Technical provisions of building codes are often complex and lengthy. A checklist adapted to meet the local needs

and to be used as a document to record the results of plans review and

field inspections can be of great help in increasing efficiency and

minimizing liability in the building code enforcement process.

In very complex buildings where many technical provisions of the building

code may be brought into play, it is not unreasonable to require two

experienced members of the building code staff to conduct the plan review.

This, with the use of a checklist, can minimize the possibility of an overlooked code requirement.

The above items pertaining to plan review take special significance

where the building owner does not retain the service of a design professional during the construction process. Once the drawings have been

reviewed and deficiencies identified, it is the contractual duty of the

contractor to construct the building in accordance with the drawings as approved. With no design professional present during construction, the

code official has an increased dual responsibility. The first is a thorough plan review. The second is to conduct field inspections to

52
determine that the building is in fact being constructed in accordance

with the drawings as approved. In -many buildings, particularly those

of a residential or light construction type, the complexity of field

inspection is relatively minor. On larger buildings, however, where

significant structural, heating, cooling and ventilating matters are concerned, and when an architect or engineer may not be present to oversee construction, careful inspection by the building code official takes

on greater significance. Based on local ordinance or state law, building code officials may be able to compel the use of a registered design

professional during construction. Most states do not give this kind of

authority to building code officials on a statewide basis, however.

Conversely, many larger cities do allow the building official this

discretion. Also, apart from requirements of the building official,

several states now require architects to conduct inspections during

construction on buildings for which the architect is required by law

to prepare the drawings and specifications. The plan reviewer should

determine as early in the process as possible whether or not an architect

or engineer will conduct inspections during the construction process.

Where a design professional is present or available during construction,

code related problems which do arise can usually be solved quickly.

As a further note, where it appears that the owner may not be planning

to use an architect during the construction process, the building official

should not hesitate to discuss with the owner the advantages of retaining

a design professional for inspections. Most experienced building code

officials can cite many examples where the presence of a design professional on the job site during construction could have lessened code

related problems which arose during the construction process. When an architect is retained by the owner for inspection during construction,

his duty is to represent the owner as an agent. The architect inspects

to discover departures in construction from the working drawings. The

presence of a design professional is a form of insurance policy for both

the owner and the code official. The code official should make this point

forcefully to owners who feel that the use of design professionals during

the construction process is an unnecessary expenditure.

CODE OFFICIALS AS CONSULTANTS

All states require architects and engineers to pass a registration exam. While building code officials may also be subject to some certification

process, there are few states which require a professional license for

building code officials. The legal result has been to create a greater

standard of care to be exacted from architects and engineers, who by

their training and education are legally held to a high standard of

performance.

Because building code officials are not licensed, their legal standard

of care is not the same as architects and engineers. However, building

code officials may be certified and that certification process may

affect the legal standard of care which is applied to them. Even upon

becoming certified, however, a building code official is still not

53
subject to the same legal standard of care as a professionally licensed i architect or engineer. Case law, for the most part, still assigns the

responsibility for code compliance to the architect or engineer. In

practice this means the design professional must establish code compliance

in the drawings which he prepared and for which he is responsible. Many

design professionals will consult closely with code officials in this

process. Code officials are almost always glad to assist in this process

whether it be formally as with a plan review or informally based on a meeting at the job site. Nonetheless, regardless of the experience of

the code official and the lack of experience of the design professional,

the law will in most cases require the design professional to take ultimate responsibility for code compliance in building construction.

j Where an architect or engineer is not involved in the process the degree

of potential liability for the code official increases. In those

instances where no design professional is present, the code official is

usually working directly with the owner or contractor. Whether working

with owner or architect, however, the code official should avoid a posture

of consultant. The line between what constitutes a consultant and what

constitutes a building code official who advises as to the requirements

of the building code is a narrow and often nebulous one. Nonetheless,

building code officials must resist the impulse to suggest solutions to

building code problems where the solutions are architectural or construction in nature. Building code officials should limit their discussions

to written provisions of the code and leave the means and the specific

solutions for satisfying those provisions to the design professional.

When a building code official starts delineating the requirements for

proprietary materials or methods of construction, the possibility

for liability against the code official increases dramatically.

The practice of checking plans and indicating on the drawings areas which require corrections is also one which should be avoided by the

code official. Where discrepancies are found in the plan review, those

discrepancies should be reduced to references to technical provisions

of the building code. The solution as to how those references are to

be addressed should be left to the design professional or the individual

preparing the drawings for the owner. Building officials should strongly

resist the urge to "mark up" sets of drawings which are then returned

to the submitter. It is understandable that the non-complex nature of

many buildings lends itself to the code official making corrections on

the drawings which can then easily be followed by the builders and

which will assure the building code official compliance with the applicable codes. The point should still be remembered, however, that the

building code official is not the author of the drawings. To show

changes on the drawings is the responsibility of the designer and

carries legal implications which the code official should not presume,

and which may, if undertaken, reduce the designer's legal responsibility.

In correspondence and in conversation, the building code official should

indicate clearly that while the building code official is making a review

of the drawings to the best of his ability, the design professional and

54
the owner retain the ultimate responsibility in every case to conform

the building to the requirements of the building code. In practice,

this simply means that if the building official makes an oversight,

while he may be embarrassed and while the owner may be enraged because of

the additional costs, the building official is nonetheless not the

architect nor owner and is not therefore the person who is ultimately

responsible for compliance with the codes.

Building officials should be viewed as advisors to the design professiona

j who are giving guidance to the best of their professional ability but

i who are public employees, not in the private sector and who are not

realizing a business profit. The building official is in the public

sector and is giving his best advice on behalf of the public for the

protection of the public, and will, therefore, be comparatively insulated

from liability resulting from the risk undertaken by design professionals

in the private sector. Of course, when building code officials are guilty of acts of gross negligence, they too should be subject to

liability.

As the building code official is undertaking his work to the best of his

ability, the expectations from architects and engineers should only be

to the extent of their best ability. It is tempting for building code

officials to require from architects and engineers written certificates

of compliance with the codes. Frequently that language will be in the

form of an affidavit or a letter in which the design professional is

required to certify that the building as constructed meets all building

code requirements.

This requirement for certification has potentially damaging legal

implications for the design professional. An architect or engineer

cannot guarantee his work to be totally free from error. Statements

of performance should only require language indicating that the professional services rendered are to the professional's best ability and

knowledge. To do otherwise places the design professional in a legally

dangerous position of having given a warranty for his performance. If

warranty language is used, the design professional may be unable to

legally protect himself by showing that any mistakes which resulted were

reasonable. The use of language which is warranty or guaranty

in nature may further preclude the design professional from using a reasonable mistake argument to counter charges of negligence. As the

building code official can perform only to the best of his ability, no more should be expected from the registered architect or engineer.

PROJECT CIOSEOUT PROCEDURES

Regardless of the type of plan review or field inspection process

utilized on the local level, each office of building inspection should

develop a closeout process for each project. Whether the process

involves the issuance of an occupancy permit, final inspection certificate or some other method, a final statement of inspection and code

compliance should be issued by the building inspection official. By so

55
doing, the building official indicates that the building has been

constructed in a manner satisfying the minimum requirements of the

building code and is safe for occupancy by the public. It also establishes and documents a point in time at which the building has been

declared reasonably safe for occupancy under the terms of the building

code.

i

I In many instances, buildings can be brought to a point of substantial

completion and are, for all practical purposes, safe for occupancy.

Because several items may not have been completed, however, the structure will not, in fact, be in compliance with the building code and can- not be described as such. Many local jurisdictions will use the device

of a temporary occupancy permit or a similar measure to permit occupancy

in all or part of the building under these circumstances. That temporary

occupancy permit takes into account the need to complete one or more

outstanding discrepancies in the building. The building official in his

judgment may properly feel that a building can be occupied without the

completion of these items. Yet to ensure that those items will be

completed in a reasonable period of time, a final occupancy certificate

should not be issued until all items are completed.

For legal purposes, a temporary occupancy permit should only be issued

when accompanied by an agreed order. An agreed order is a legal agreement in which the building owner states by a certain time he will complete

the outstanding items and that if he does not do so, he will be subject

to immediate court action. That agreed order, in effect, becomes a legal document which a court of law can enforce immediately. The presence of an agreed order is a form of incentive for the owner to complete

outstanding deficiencies at the earliest possible time.

ENDORSEMENTS OF PRODUCTS AND MATERIALS

Finally, it is not unusual for code officials, expecially on the state

level to be asked to certify certain materials as having met their

requirements. Frequently, manufacturers of certain items will refer to

the approval of certain State Fire Marshals in promoting their material.

This is a practice which the code official should avoid under all circumstances. The code official should establish testing criteria which

will allow for the use of materials under the building code. Most of

the model building codes will accept test results from agencies such as Factory Mutual, Underwriters' Laboratories and many others. Once these

results are made available and once they are indicated as having satisfiec

the requirements of the building code, then a local official may accept

their use. At no time, however, should the building code official give

a product endorsement or product recommendation.

A FINAL WORD

The continuing need for professionalism and consistency of performance

(at a high level) are fundamental ingredients in building code administration. As the process of code administration becomes more technically

56
complex and demanding, so also will the need for adopting anti-liability

procedures. This paper has sought to identify several of those practices

which should, if implemented, reduce the potential for liability while

allowing the code official to proceed with the business at hand in a thorough but expeditious manner.

57

THE EFFECTS OF CIVIL SERVICE, UNIONS , STATUTORY LAW AND ECONOMICS

ON SYSTEMS DEVELOPMENT IN MUNICIPAL REGULATORY AGENCIES

by

Norton S. Remmer, Commissioner

Department of Code Inspection

Worcester, Massachusetts

In 1973, the City Council of Worcester, Massachusetts voted to create

a new Department of Code Inspection which would incorporate all the

responsibilities for administration and enforcement of code and regulatory activities in the City in one Department under one administrative

j head

The initial concept was to include building and trade inspection, con- struction inspection, zoning, housing, fire prevention, weights and

measures, environmental inspection, subdivision, license board and

license commission inspections.

The plan was to proceed forward in three phases

1. The immediate incorporation of building, zoning and housing

responsibilities into the new department from the department of

public works and department of public health, respectively.

j 2. The integration of administrative processes for the building,

housing and zoning responsibilities and the development of

necessary procedures for the incorporation of the additional

functions and responsibilities.

3. The incorporation of the additional functions and responsibilities

over a period of time and systematic development of the administrative programs for integrating the functions.

It became apparent early in the process that the ability to pass home

rule ordinances had no relationship with the ability to implement the

ordinance due to union considerations, civil service requirements and

over-riding statutory requirements. The attempted implementation of an idealized system of management and organization required many modifications and trade-offs to try to accommodate the constraints of law,

budget and time which developed. Even the determination of the sequence

of many of the steps became a crucial factor in trying to organize such

an integrated regulatory system.

While the process is still continuing, the lessons already learned about

the limitations imposed on the creation of an idealized system are

important, and the questions for the future of such efforts, especially

in Massachusetts and states with similar situations are important to

consider

Key Words: Code administration agencies; civil service; idealized

system; reorganization

59
PURPOSE

The purpose of this paper is to describe a reorganization which took place

in Worcester, Massachusetts, which created the Department of Code Inspection, and the problems and complications of such a process when subject

to the constraints of civil service regulations, union rules and agreements!

statutory requirements and budgeting limitations. The paper is not intende

as a guide to others in reorganizing under similar circumstances, since it

would be impossible to account for all the variations in law and regulation

which might come into play. It is presented as a documentary of the proces

as it occurred with the hope that by having a detailed reference of such a

J

1 process many of the issues which evolved can be anticipated by others,

and the time and effort considerably reduced.

INTRODUCTION ,

On many occasions organizations decide to reorganize aspects of their

functional structure for various reasons. Often, in private industry,

the reorganization is a response to a need which is ultimately related to

improved sales and/or profits. In government, the need to reorganize can be created by many factors. Some of these factors can be easily identified

such as mandatory legislation, change in emphasis in public policy or public service programs and response to social influences and physical changes

In the case of government the result of reorganization tends to reflect a re-allocation of limited resources to either legally mandated requirements

j or needs which have developed a new emphasis.

The need for reorganization in this case could be categorized under three i headings; efficiency, service and modernization. Since the change was

the result of a local ordinance and not a state or Federal mandate, and

the need for reorganization was not a response to what was considered a critical issue, time was not an essential factor.

Worcester is an older industrial city in central Massachusetts with a population of about 180,000. The building stock is old, with many of the

typical New England "three decker" three family dwellings. The city has'

a large college population of over 25,000 students.

, The inspection responsibilities for the city were divided among many de- ' partments. By state statute housing inspection responsibility was vested

under the authority of the Board of Health. Building inspection and

zoning authority was vested in the Superintendent of Buildings within the

Department of Public Works. Plumbing and elevator inspections were administered by the Superintendent of Buildings. Wiring inspections were

under the authority of the Department of Street Lights and Wiring in the

Department of Public Works. In addition, fire prevention inspections are under the authority of the Fire Department, a subdivision inspection under

the authority of the Department of Land Use Control. Also there are other

related inspection activities which were considered in the initial evaluation of reorganization. On June 24, 19 75, the City Council passed an

i 60
ordinance, to become effective July 1, 1975, establishing a Department of

Code Inspection including the position of Commissioner, and providing for

very broad general powers (see Appendix 1). In September 1976 the Commissioner was hired and given the responsibility of creating the new

Department. The timetable established was as follows:

1976- 1977

To work out the details for the transfer of the Bureau of

Buildings and the Health Department housing inspection section to the Code

Inspection Department effective July 1, 1977.

1977- 1978 : To work out the details for the appropriate location of the

Department of Public Works wire inspection, zoning, subdivision inspection

and Conservation Commission inspections effective July 1, 1978.

1978- 1979 : To prepare the appropriate procedures for the coordination of

all remaining inspection activities with the Commissioner of Public Health

and Fire Chief and other appropriate officials.

BACKGROUND

Civil Service ; All the permanent positions within the Department of Code

Inspection, except for that of Commissioner, are civil service positions.

All the personnel transferred to the Department were in civil service

positions, with the exception of five individuals funded under a blockgrant funded project. The special constraints created by Civil Service

were as follows:

1. All job titles and descriptions must be taken from the state uniform

job listing and coding catalog. In cases where there is no title

and/or description suitable, a new title and description must be subject to an application and approval process. The approval is based

on an evaluation of the proposed table of organization. The process

time can take from six months to one year.

2. Filling all positions which represent promotions are subject to com- petitive examinations limited to departmental personnel who have

appropriate qualifications for such promotion.

3. Any individual who had a permanent civil service position prior to

October 1967 had the right to refuse to be transferred.

Union : All the personnel, except for clerical, transferring to the

Department, who were non-supervisory, were required to be members of the

union. At the time of initial Department creation and reorganization,

there were only two positions which were not in the union, one of which

was Commissioner. The policies proposed by the union in representing

its members in the reorganization were as follows:

1. Because the housing inspection unit positions were generally at a lower level than building inspection, all promotions related to

housing inspection or administration should be limited to personnel

transferred as housing inspectors.

61
2. A separation of responsibilities should be maintained. For example,

only building officials could have any zoning authority, even though

the Commissioner has the power to delegate zoning enforcement

authority to anyone in the Department.

Statutory Law : State law establishes the Board of Health as the authority

for enforcing the state laws empowering the enforcement of the uniform

mandatory state housing code.

Budget and Economics : The policy established for the creation of the

Department was that whatever reorganization took place relative to

positions and salaries would result in no net change in salary budget.

In other words, if re-gradings were proposed, other positions would have

to be either eliminated or down-graded so that the net effect was no change in salary budget.

PROCESS

Personnel Transfer :

1. Housing Inspection - Budgeted positions were transferred by City

Council vote to the new Department. By the authority vested in the

Qity Manager, personnel, except those in permanent positions prior

».to October 1967, could be transferred at his discretion to another

Department. The budgeted positions were allocated by the Department

of Public Health to the new Department and removed from the budget

of the Department of Public Health.

The Department of Public Health is a much larger Department than the

Department of Code Inspection. Personnel transferred out of Public

Health would have had the opportunity for advancement into many

supervisory level civil service positions available within that Depart

ment. Therefore, as the result of negotiations with the union, the

Department of Public Health made available a full sequence of three

promotional positions covering the three sequentially higher promotional grades existing above entry level. Therefore, out of a total

of 15 inspector positions transferred, 4 were above entry level.

2. Building Inspection - Building inspection positions, including plumbing and gasfitting and elevator inspection, and also clerical staff,

were transferred as a single entity without any changes by vote of

City Council.

3. Wiring Inspection - Wiring inspection was separated from the former

Bureau of Street Lights and Wires and four positions were transferred

with three permanent civil service incumbents.

Budget and Equipment Transfer : Budgets for ordinary maintenance and

capital equipment had to be negotiated with the Departments transferring

personnel since the basic assumption was that budgets transferred would

reduce the original Department's budget by an equal amount so there was

no net change. Ultimately, however, there was an overall increase in

62
ordinary maintenance budget since it became readily apparent that it was necessary to provide new services, materials and equipment which duplicated

that available in the other Departments but no longer available to the new

Department.

NEEDS

The creation of the Department of Code Inspection established new supervisory responsibilities and required a new management super-structure.

With many separate regulatory responsibilities in one Department, one of

the earliest objectives was to establish the organization and systems

necessary to supervise each responsibility, to coordinate responsibilities

and to train personnel for these responsibilities. As an example, it was necessary to establish a system of reporting and coordinating housing,

zoning, electrical, and plumbing complaints relative to the same address.

This required a supervisory position which did not exist within the

positions transferred. As another example, all court actions relative to

enforcement of any of the codes or regulations would have to be coordinated

through a single position, and a system would have to be established for

reporting information and collecting it. There were many systems which had

to be changed or created and many responsibilities which had to be created

or reassigned. Figure 1 of Appendix 2 shows the original organization.

It can be said that most of the needs for an efficiently functioning Department in terms of positions, organization, systems and responsibilities,

were anticipated with reasonable accuracy, prior to the creation of the

Department

PROBLEMS

1. One of the major problems encountered resulted from the position

adopted by local and state personnel agencies that no action could be

considered until all administrative steps and been formally accomplished. This meant, for instance, that it was not possible to

anticipate the date of transfer of the Department personnel and

positions by initiating action to change positions, job descriptions

and responsibilities prior to the formal creation of the Department.

As a result, only after all personnel and positions had officially

been transferred could any changes be made. The need for new

responsibilities and systems was immediate, as soon as the Department

started to function. The final results of this situation were as follows

a. Personnel had to be assigned on a temporary basis to specialized

assignments while waiting for approval of their transfer, on a provisional basis to the supervisory positions which were available.

In many cases both civil service regulations and union agreements

had to be tacitly ignored.

b. Some individuals had to be transferred to new positions several

times when positions were eliminated, consolidated or changed in

responsibility.

63
c. Some personnel had to be trained for positions on a provisional

basis with the expectation that the position, which was subject to a Civil Service Examination, would be permanently filled by others.

2. Because of civil service restrictions, the continuing use of prior

job descriptions, and union involvement, the use of qualified personnel in new or changed responsibilities has not yet been fully

effected. Promotions could only be effected on a sequential basis,

which meant, in especially two cases, that individuals highly qualified

for supervisory positions for which there were no available candidates

would require a process of sequential upgrading, through competitive

examinations to permanently fill the designed position. In the process of creating two new supervisory positions there was the uncertainty of obtaining approval during the six months and nine months

required for two positions.

3. Creating new supervisory positions and changing positions at lower

levels required approvals from the city personnel office, approvals

of job descriptions, titles and grades from the state civil service

office, and finally approval of the modification in the salary budget | by the City Council. The process was sequential based on the

approval of each prior agency and in most cases has taken approximately

two years. During the approvals process all developments in the

Department had to be tentative, subject to the possibility that the

lack of an approval at any point would require either an appeal or revisions to many elements of the reorganization.

I 4. The transfer of authority for administration and enforcement of the

Housing Code required a statutory amendment by the legislature. This

process required a full year to become effective and considerable

time and effort for lobbying.

RECOMMENDATIONS

Based on the experience in Worcester the recommendations which follow are intended to apply as generally as possible. It is recognized that there

are legal and statutory requirements which vary from area to area and any j program might have to be tailored to accommodate specific local constraints

1. It is essential that as early as possible in the process of designing

a reorganization, all the applicable local procedures and forms

should be cataloged - completely, accurately and preferably shown in some type of flow chart.

2. The basic changes of personnel in terms of numbers and positions

should be identified as early as possible and firm commitments made

concerning transfers of personnel, equipment, and budgets. Any

agreements with personnel or unions should be established as early

as possible and made firm.

64
3. Based on the two preceeding steps, a proposed Table of Organization

should be drawn up. In the case of Worcester, the first three steps

should have been accomplished in time to allow a full year prior to

the anticipated effective date of the creation of the Department.

4. The Table of Organization should reflect, as accurately as possible,

the personnel needs for the implementation of administrative systems

and enforcement functions.

5. Based on the Table of Organization, all the forms necessary for

effecting the changes should be completed. In the case of Worcester,

this would have required making many presumptions. However, from

experience, it is usually relatively easy to alter existing documents

as the situation changes.

6. The method and requirements for effecting promotions within the

system should be clearly identified and the sequence of steps necessary

to accomplish the promotion identified.

7. Probably the most effective method of dealing with the entire process

of reorganization would be to have individuals appointed who are responsible for liaison in the process. In Worcester's case, one individual from the personnel department should have been appointed

to help develop the necessary material, one from the City Manager's

office, one from each department affected and if possible, one at

the state level. Ideally, the package of materials necessary for

reorganization should have been prepared cooperatively to be available upon legal creation of the Department, so that all administrators

would know their role and responsibilities in effecting a rapid and

efficient transition.

65
Appendix 1-City Ordinance i

Code Inspection Department

Section

Section

Section

Section

Section

Section

Section

Section 8.

Section 9.

Section 10.

1.

2.

3.4.

5.

6.

7.

Establishment

Function

Personnel

Head of Department; Appointing Authority; Term

Duties and Responsibilities of Code Inspection Commissioner

Inspection Delegation

Advisory Code Inspection Committee

Joint Inspection Teams

Detail of Inspectors to the Department

Assistance to the Code Inspection Commissioner

Section 1. Establishment : Under the authority of the General Laws,

Chapter 43, Section 5, there is hereby established a Code

Inspection Department (hereafter referred to as "Department")

under the jurisdiction of the City Manager.

Section 2. Function : It shall be the function of the Department to

coordinate code inspection services required of the code

agencies of the City.

Section 3. Personnel : The Department shall consist of a Commissioner

of Code Inspection and such other personnel as the City

Council, with the advice of the City Manager, shall from

time to time authorize.

Section 4. Head of Department; Appointing Authority; Term : The Department shall be headed by the Commissioner who shall be

appointed by and shall serve at the pleasure of the City

Manager.

Section 5. Duties and Responsibilities of Code Inspection Commissioner : It shall be the duty and responsibility of the Commissioner:

a. To prepare the plans and objectives of the Department.

b. To prepare and organize the inspectional program.

c. To train departmental personnel in inspection techniques

and methods.

d. To supervise and coordinate the activities of the inspection personnel of the Department.

e. To prepare and to maintain a current library of applicable code inspection laws, including any amendments thereto.

f. To maintain a complete record of all inspections con- ducted by the Department.

66
g. To receive and investigate complaints of alleged violations of laws pertaining to agencies serviced by this

Department

h. To coordinate the Department's inspection activities with

other agencies.

i. Upon request of a code agency to review and investigate

the factual basis for the issuance of permits and to make

recommendations to the requesting agencies.

j. To perform departmental duties in conformance with the

requirements of State and local codes.

k. To administer the Department.

1. To perform such other duties that may be prescribed by

law.

Section 6. Inspection Coordination : The Commissioner, under the direction of the City Manager, shall perform such inspectional

duties as may be lawfully delegated to him by the several

departments, boards and commissions of the City, including

but not limited to the Commissioner of Public Health, the

Commissioner of Public Works, the Planning Board, the Conservation Commission, the Chief of Police, and the Chief of

Fire. Said inspections shall be conducted in accordance

with the requirements of the delegating authority and the

applicable code.

Section 7. Advisory Code Inspection Committee : There shall be within

the Department an Advisory Code Inspection Committee con- sisting of the Commissioner, the Commissioner of Public

Health, the Commissioner of Public Works, the Planning

Director, the Chairman of the Conservation Commission, the

Chief of Police and the Chief of Fire. The Commissioner

shall be the Chairman of the Committee. The Chairman of

the Executive Committee on Housing shall serve on the Committee ex officio.

The Committee shall review the inspectional activities of

the City and assist in the coordination of such activities.

The Committee shall establish a liaison system between the

various inspectional agencies of the City to ensure coordination and avoidance of duplication of inspections.

The Committee shall annually issue a report on the inspection

activities of the City.

67
Section 8. Joint Inspection Teams : The Commissioner, with the approval

of the City Manager, may establish joint inspection teams

that may include inspectional personnel from other city

agencies. Said teams may handle joint inspection of an area falling within the delegation of the participating agencies.

Section 9. Detail of Inspectors to the Department : Any department,

board or commission, with the approval of the City Manager,

may assign personnel to perform inspectional duties to the

Department. During the period of such assignment, the person assigned shall be under the supervision and direction

of the Commissioner.

Section 10. Assistance to the Code Commissioner : All inspectors, assign

personnel, and other personnel of the Department shall perform their duties prescribed by law under the direction and

supervision of the Commissioner.

68
Appendix 2-Figure 1

Table of Organization

Secretary

Commies loner

Assistant Commissioner

Administrative

Assistant

Housing Div. Chief Code Enforcement

Inspector r

Task Group * I Chief Code I Enforcement I Inspector

Code

"1

3.

Prlnclpal Code Enforcement

Inspector

I

I

. J Federally Funded

Enforcement

Inspectors

Senior Code

Enforcement

Inspector

Code Enforcement Inspectors

Building Div. Associate

Structural

Engineer

Court Coordinator

Inspection Construction Rehabilitation

Senior Building

Inspector

Building

Inspectors

Elevator

Inspectors

Associate

Struc tural Engineer

I

Chief Public

Safety Inspector

Senior Plumbing

Inspector

Plumbing

Inspectors

Supervisor

of Wlrlno

Wiring

Inspectors

3_ Construct Ion Rehahiy tatlon

Clerks of Works Foreman

Construction Rehabilitation

Crew

City of Worcester

Department of Code Inspection, As of 1/1/77

69
Appendix 2-Figure 2 Table of Organization

Secretary Commissioner

Head Clerk

Housing Dlv. Chief Sanitarian

r —rrrr7F | Task Group *

| Chief Sanitarian

Principal Sanitarian

"I Sanitarians

Federally Funded

Senior Sanitarian

1

Sanitarians

Court Coordinator

L_

Buildings Div. Superintendent

Associate

Structural

Engineer

Construction

Rehabilitation

Building

Inspectors

Associate

Structural Engineer

Senior Plumbing

Inspector

Plumbing

Inspectors

Supervisor

of Wires

Senior Wire

Inspector

Wiring

Inspectors

Elevator Inspectors

City of Worcester

Department of Code Inspection, As of 7/1/79

70
LICENSING OF BUILDING CODE OFFICIALS:

THE EDUCATIONAL REQUIREMENTS

by

Kenneth Albert

Assistant Professor of Civil Engineering

New Jersey Institute of Technology

Newark, New Jersey

The State of New Jersey has recently adopted a statewide body of

regulations known as the "New Jersey Uniform Construction Code."

The code is designed to achieve innovation and economy in building

construction and uniformity of standards throughout the State.

A unique set of standards and procedures for licensing code enforcement officials has been established along with the adoption of

existing recognized standards as subcodes. The first part of this

paper focuses on the problems associated with the development and the

regulation of the specialized courses for building inspectors and

code administrators which have been developed and implemented to

meet the educational standards established by the code. The broader

issues of licensing code officials and the establishment of educational criteria are discussed.

The second part of the paper proposes a model program for the implementation of the education component of the certification process.

Key Words: Building codes; building inspectors; code enforcement;

course development; educational requirements; inspection;

licensing; testing; training code officials

71
INTRODUCTION

The State of New Jersey recently adopted a statewide body of regulations

known as the "New Jersey Uniform Construction Code." The code is designed to achieve innovation and economy in building construction and

uniformity of standards throughout the State.

A unique set of standards and procedures for licensing code enforcement

officials has been established along with the adoption of nationally

recognized standards as subcodes. This revised New Jersey Uniform

Construction Code requires all inspectors and code administrators to be

licensed by the State of New Jersey prior to January 1, 1981. In order

to meet the educational requirements established by the code, specialized courses for building inspectors and code administrators have been

developed and implemented.

The first part of this paper will focus on the problems associated with

both curriculum development and the administration and regulation of the

code official courses. The second part of the paper will propose solutions to the problem of developing and implementing the educational

component of a program to upgrade the code enforcement process, which

may assist New Jersey and other states adopting similar legislation.

A NATIONAL TREND

It is useful to view the certification of building officials as part

of a national trend to improve the code enforcement process. High inflation and associated rising construction costs have provided a strong

impetus to develop statewide codes and adopt nationally recognized

subcodes. By eliminating the variation in regulations from town to

town, the statewide code is expected to eliminate or at least minimize

difficulties associated with the sometimes arbitrary plan review and

inspection procedures.

A uniform construction code will have a direct impact on reducing con- struction costs. For example, due to inflation, the time element in

construction projects has become an important cost factor. The statewide code would effectively reduce the time involved in plan review,

thereby dramatically reducing the inflationary impact of a delay at

this stage on the total cost of a project.

The adoption of statewide codes may also provide impetus for building

systems development. It is expected that performance codes, such as the Building Officials and Code Administrators International, Inc. (BOCA)

Basic Building Code, will allow for greater innovation and economy in

the building systems area. Unfortunately, the expectations of programs

such as Operation BREAKTHROUGH designed to increase building systems, in

the late nineteen sixties, have not been realized. Although we are passing through a relatively dormant period in the building systems area,

the utilization of performance codes would undoubtedly promote its

development

72
It is reasonable to expect that more states will begin to regard their

building regulatory practices as an influential factor in encouraging

construction in their states. The adoption of the Uniform Construction

Code in the State of New Jersey marks a progressive step in recognizing

the relationship between the regulatory process and the level of

construction activity.

Unfortunately, the reality of implementing the new code has not been

consistent with the expectations just outlined. Since July 1, 1977,

the effective date of the new code, New Jersey has been plagued by

problems associated with its administration. Delays in granting permits

appear to have increased dramatically. Permit fees have escalated, in some cases doubling, and a great deal of confusion and frustration on

the part of architects, builders and administrators has been generated.

It should be noted that we are in a period of transition and this

transition is a difficult one. It is clear that the success of the

new code is almost entirely dependent on the code enforcement personnel

who are responsible for carrying it out. The code requires a new level

of sophistication and increased technical knowledge to interpret and

administer the plan review and inspection process. An increased liability

on the part of the code enforcement personnel may also exist, an area

which will be explored in this paper.

LICENSING OF CODE OFFICIALS

Clearly an important part of the statewide code is the certification of

building officials. The administration and enforcement of a statewide

code must be carefully controlled if the desired uniformity is to occur. Recognition of the importance of this aspect of code enforcement

has been occurring in Canada. The first province-wide certification of

building officials began this year. A $45,000 grant from the Council

of Maritime Premiers was given to the Maritime Municipal Training and

Development Board to develop a system to standardize qualifications and

training for building inspectors which led to the certification of

building inspectors in Nova Scotia.

The certification of building inspectors is a direct outcome of many

years of work in Canada. In 1970, a report of the Committee on Uniform

Building Standards for Ontario recommended the adoption of a provincewide code and called for training and certification of building

inspectors. The BEAM program of the Department of Industry, Trade and

Commerce called for the adoption of a single code throughout Canada,

with certain area dependent modifications, and also addressed the need

for training code enforcement personnel.

The intimate connection between the adoption of a statewide or national

building code and the need for training and establishment of qualifications for code enforcement personnel has always been recognized.

However, determining the specific qualifications for building inspectors

is not a simple undertaking.

73
Chapter 23, Title 5 of the New Jersey Administrative Code, the enacting

legislation, established those qualifications. It provided for a combination of experience in construction and/or formal education in

architecture and engineering with the additional requirement of successful completion of an approved educational program. Three levels of

licensure were created: residential and commercial structures (R.C.S.),

industrial and commercial structures (I.C.S.), and high-rise and

hazardous structures (H.H.S.). Each classification of license required

the completion of a different approved course.

The New Jersey Administrative Code includes a statement concerning the

purpose of these courses:

"To carry out their responsibilities, code enforcement

officials must be fully knowledgeable about code standards

and adequately prepared to administer and enforce them

properly. Code enforcement education programs must meet

certain standards to ensure code enforcement officials

have the necessary technical and administrative training

to effectively enforce the Uniform Construction Code at

the local level."

The Administrative Code goes on to say that:

"Each institution is responsible for developing its code

enforcement courses within the general policies relating

to education and licensure of code enforcement officials

in the state." 2

Creating minimum educational standards, in theory, is a relatively

simple matter. However, developing courses for inspectors which will

assist them in their work, and at the same time provide some guarantee

that the participants will achieve the technical training necessary

to "effectively enforce the Uniform Construction Code" is a very

difficult task.

The New Jersey Administrative Code included a list of subject headings

for each of the licensing courses. Each college applying for course

approval, submitted an outline to the Department of Community Affairs,

(DCA) . The DCA then compared these outlines with the subject heading

list contained in the statute. Course approval was primarily based on

the inclusion of all subjects in the statute by each college outline.

The DCA's requirements were not detailed.

For example, one of the three subject requirements for the H.H.S. li- cense is "Advanced Structural Systems." The subject matter according

to the law is as follows:

74
"Structural design and analysis technique necessary to

check compliance with code for heavily loaded and technically advanced structural systems which characterize class

I buildings. Subjects covered should include pile and

other foundation systems used to bear very heavy loads,

analysis of high-rise framing systems including wind load

and seismic considerations . "3

The above was to be covered in 30 contact hours of instruction. The

description above, if taken literally, could be interpreted as a four-year program in structural engineering. A great deal of latitude

is obviously given to the individual colleges in the implementation of

this mandate.

When DCA officials were questioned about the lack of specific directions,

their response was: "We (DCA) did not want to inhibit the creative

development of courses by the various college teaching staff." In

addition, they emphasized that curriculum development was not within

their area of expertise while the colleges have had a great deal of

experience in this area.

CURRICULUM DEVELOPMENT

When New Jersey Institute of Technology first entered into discussions

with the Department of Community Affairs (DCA) , we were fortunate to

have on staff a number of faculty members who were very active in the

construction industry. Following State guidelines, we were able to

adopt a reasonable curriculum. However, during the first course, a number of serious problems began to emerge. In an effort to analyze

some of these problems, a questionnaire was circulated among participants requesting some personal data as well as basic technical questions. The following became apparent:

1. Academic Background - There was a great variation with respect to

academic background. The participants ranged from high school

graduates to graduates of engineering programs. Two individuals

held masters degrees in engineering.

2. Experimental Background - A large number of participants had some background in one or more of the construction trades, some with

more than 20 years experience in construction. There were several

architects and engineers. A number of individuals were novices,

most of whom were attempting to become residential inspectors for

private home owners or real estate agencies. The majority of

participants were presently employed as inspectors or code

administrators

3. Technical Capabilities - The participants' technical capabilities

varied from those who understood concepts of stress and force

systems to those who were unable to answer questions concerning

the nature of concrete.

75
While we expected some diversity among the participants, the degree

of variation in their technical capabilities was somewhat striking.

We were reassured, however, by the fact that most of the participants

were presently employed as building inspectors and, therefore, had a common basis of experience from which to work.

The information from this questionnaire forced us to re-think some of our original objectives. Several questions which were dealt with when

we first developed our curriculum had to be reanswered. Presenting in

a general way, what was actually done in a more specific fashion, we

asked ourselves the following questions:

1. What does a building inspector do?

2. What technical information does he/she need to carry out their

work?

3. What can we reasonably expect from their experience in the way of

technical expertise?

4. What technical information is likely to be lacking which can be

provided through a formal education experience?

It became evident that an evaluation of these questions is essential

to the development of code official courses. The second part of this

paper will focus on an analysis of these critical issues and their

application to the development of code official courses.

An additional and more immediate problem also emerged; how do we translate the highly technical material mandated by law into a comprehendable framework which code officials could use in their decision-making

process

The need to translate highly technical concepts into practical terms

will become clearer by way of an example. On May 16, 1968, in Canning

Town, London, England, a relatively small gas explosion in a high-rise

building known as Ronan Point blew out a single pre-cast panel on the

eighteenth floor. This set up a chain reaction which led to the partial

collapse of every floor of the structure. It was very much like building a house out of dominos and then removing one of the bottom dominos.

This type of failure is known as progressive collapse. The Ronan Point

collapse occured at a time when pre-casting and systems building in

general, were in a growth period in Europe and the United States. A

great deal of effort was directed at the study of this collapse. At

that time, the expectations of the large-scale housing industry were

invested, at least in part, in the pre-cast concrete industry. The

Ronan Point disaster ultimately led to the abandonment of over 20 relatively new, high-rise structures in England. Today, we know why this

failure occured and also how to prevent it. The solution effectively

lies in tying the structural members together in such a way that the

elimination of any one panel will not cause the adjacent panels to

collapse.

76
I use this example because in New Jersey, there is an active pre-cast

concrete industry. It should be noted that this industry is in the

forefront of technological development and has addressed this problem

extensively. The solution to progressive collapse is highly sophisticated and is only offered on a graduate level to students working in

this area. Therefore, many architects and engineers have not been ex- posed to this problem. With the exception of the Precast Concrete

Institute, the applicable codes do not address this problem adequately.

The enforcement of a performance code is particularly difficult in an

area such as progressive collapse. For example the BOCA code contains

the following:

"701.2 Progressive Collapse; Buildings and structural

systems shall provide such structural integrity that the

hazards associated with progressive collapse, such as that

due to local failure caused by severe overloads or abnormal

loads not specifically covered herein, are reduced to a level consistent with good engineering practice.

Although BOCA addresses progressive collapse in a manner consistent

with a good performance code, it is evident that there is a lack of

guidance for enforcement officials. Due to the existence of the precast industry in New Jersey it was felt that the problems associated

with progressive collapse should be addressed in the high-rise

seminar, one of the code official courses at the New Jersey Institute

of Technology (N.J.I.T.). Our primary concern was how to translate

the state-of-art technology related to progressive collapse into acceptable code enforcement practices.

The mathematics of pre-cast design are too sophisticated to be included

in such a seminar. In addition, it is not the responsibility of the

plan reviewer to either duplicate or verify the design work, of the

engineer. However, a conceptual appreciation of technical problems

such as progressive collapse, associated with a particular building

system would assist code enforcement personnel to assess with confidence,

those areas of high risk.

To facilitate pre-cast construction, the State has accepted responsibility for in-plant inspections and certification of building systems.

It is the responsibility of the appropriate subcode official to ensure

that the plans submitted for review are consistent with the certified

system and that such plans meet all the constraints of the certification.

In the case of progressive collapse, there are two areas in need of

special attention. Units delivered to the site must be inspected for

defects. The . second and more important aspect of the inspection process lies in the physical connections between concrete panels. It was

decided to include in the high-rise seminar a description of the

different types of connections and provide participants with actual

guidelines for an inspection which would ensure consistency between the

77
plans and the actual construction of these connections. Despite its

complex nature, it is necessary to include this material in the seminar

because of the degree of potential risk in this type of construction.

The primary point of this example is that a conceptual understanding

of a complex problem is both possible and necessary if the code enforcement process is to be successful.

Typically, if an engineer were asked how he solved a particular problem,

he or she would respond by simply reproducing the mathematical solution.

In fact, much of engineering education today is based on an analytical

approach. Application of such a theoretical approach to the code enforce

ment courses, most of which are taught by engineers, would be a disaster.

A much broader perspective, with a reasonable combination of the analytical and the conceptual is needed if we are to adequately train code

enforcement officials. The specific subject matter of these courses

should always be presented as they relate to job related functions and

actual decision-making.

Too often in an academic atmosphere, criticism by the participants

occurs without a subsequent re-evaluation on the part of faculty. Thus,

potentially useful feedback is lost. Training of code enforcement

personnel must be accompanied by carefully thought out goals and objectives based on a realistic skills assessment. The following is an analysis of course evaluations submitted by participants in code official

courses given at New Jersey Institute of Technology.

COURSE EVALUATION

Upon completion of each of the building inspector courses at the New

Jersey Institute of Technology, the participants were asked to evaluate the course with respect to instructors, content, written materials

and overall value. The results provided some insight into the needs

of the participants.

Almost all of the participants enjoyed the course and welcomed the

opportunity to take part in an academic process. It should be noted

that our courses were offered during normal work hours and, therefore,

most of those presently employed as code officials were excused from

their normal work. The overall consensus was that the information provided by the course would assist them in their work. The sessions

directly connected with plan review received the most enthusiastic

response. Those sessions dealing with stress, force systems, and structural analysis were, according to the evaluation, the most difficult to

understand. However, their comments indicated that they were intrigued

by this material and had we employed a somewhat different approach to

structural design and analysis, we might have been more successful. A

conceptual approach similar to the one used in the progressive collapse

example, would have been better received and of greater practical use.

78
Lastly, there was criticism concerning the lack of a text or support

material. The Uniform Construction Code, the appropriate energy subcode

and the BOCA code were the only required texts. The instructors supplemented their lectures with some additional material, however, the students

had no comprehensive text to refer to after each session. There were

many comments concerning the need for more reference material.

IMPLEMENTATION OF THE EDUCATIONAL COMPONENT

Thus far, I have described some of the difficulties encountered at one institution in developing the specialized courses for building inspectors and code administrators. The problems faced at the New Jersey

Institute of Technology are an indication of the magnitude of the much

broader issue of the lack of uniformity in course development statewide.

At present, the code official courses are being developed and implemented

independently by colleges and universities throughout the State and are approved by the Department of Community Affairs. The first courses were

offered in 1978 and after one year of experience, it is evident that

there is a wide variation in course content and testing among the different institutions. The participants, as well as the State, are aware of

these variations which undermine the strength and potential of the

certification process. Academic institutions are subject to the same variables encountered in other social agencies and private industry,

therefore, uniformity cannot be expected to occur automatically.

The source of many of the problems can be attributed to the State's

delegation of its responsibilities to the universities. Although the

universities have much to offer in the area of curriculum development,

the State must take responsibility for ensuring uniformity by developing

control systems, specific guidelines for course content and universal

testing procedures. The inclusion of some fundamental preparatory work

in the program to implement the new code would have resulted in a more

productive training and certification process.

The following is a multi-staged program for the implementation of a training program for code officials which, based on our experience,

would avoid most of the difficulties we have encountered.

I. Development of Job Descriptions

for Code Enforcement Personnel

Detailed job descriptions would include the technical functions, nontechnical functions, the responsibilities to the public as well as the

legal responsibilities and liabilities. Job descriptions already exist

in Civil Service classifications and within various public agencies.

However, a much more detailed description must be created which would

include, for example, not only plan review, but the technical functions

which are inherent in plan review. The New Jersey Uniform Construction

Code already contains much of the information needed for a detailed job

description, however, this information must be revised and reorganized

in order to establish a national skills assessment.

79
II. Skills Assessment

An assessment must be made of the skills necessary to carry out the

functions contained in the job descriptions developed in Stage I of

this program. The term "skills" is used in its broadest sense to mean

the analytical and technical capabilities and level of familiarity

with the construction process which a code official should possess.

Differentiation should be made between those skills which can be ac- quired from on-the-job experience and those skills requiring a basic

technical background.

A job oriented curriculum must be developed. The basis for the

curriculum should come from clearly stated goals and objectives which

arise out of the skills assessment. A minimum level of the participants skills established in Stage II should be used in developing the

curriculum. Those with insufficient background could upgrade their

skills using the training manual which will be described in Stage IV.

The main thrust of the curriculum should be to supply information and

background material, not ordinarily gained through field experience.

Course content would relate directly to the functions outlined in the

job description. The time in the classroom must be optimally used.

Mandatory continuing education for code enforcement personnel, however

desirable, is not a realistic possibility in the immediate future.

Once an individual is licensed he or she will remain licensed, therefore,

the classroom experience should instill an appreciation of code enforcement as a dynamic profession and should suggest the ways and means of

updating professional skills. If the classroom experience is a positive

one, participants may take a positive outlook towards future seminars,

such as BOCA's Professional Development Series, the International Conference of Building Officials' (ICBO) Short Courses, the Southern Building Code Congress International, Inc.'s (SBCCI) Education Program or the

continuing education programs offered by various colleges.

A comprehensive text must be developed and this overrides all other

concerns. A manual would serve the dual purpose of providing a guidance

document for the instructors as well as providing the necessary background and reference materials for the participants. The costs, and

it should be noted that there are costs involved, of developing such

manuals would not be exhorbitant and in most states, the costs could

easily be offset by their purchase. The organization of the training

manuals would be based on the information contained in the job descriptions, skills assessment and developed curriculum.

III. Curriculum Development

IV. Training Manuals

80
V. Faculty Selection

Faculty selection is the key to the success of the training program.

One of the primary criteria (with the exception of fire inspector)

should be experience in construction. The bulk of the responsibilities

of code enforcement personnel lies in the ensuring of consistency between plans and specifications and the construction process. The vast

majority of building failures, with the exception of foundation failures,

lies in the construction process, not in the design. Therefore, the

orientation of faculty with regard to construction is critical.

State training sessions should be offered to instructors. These could

be one-day sessions providing orientation and technical information.

In New Jersey, there is a reluctance on the part of the state to make

demands on the colleges based on the false assumption that it would

inhibit their interest and participation. My own experience indicates

that most instructors would welcome the opportunity to be involved in an orientation program.

VI. Course Evaluation

The state should review all written materials used in code enforcement

seminars. Participant evaluations should be distributed and also

reviewed by the state. At least one site visit by the state should

be made to each seminar which would serve the dual purpose of reviewing the course and also give the reviewer the opportunity to speak

directly to participants. An evaluation could then be made and sent

to the college along with recommendations for Improving the course.

VII. Testing

Presently, for each seminar offered in New Jersey a different test

is developed and administered by each institution. Participants

taking the same seminar at different institutions, take different

exams. Since these examinations are the only criteria for passing

or failing a particular seminar, the examination content is critical.

A solution to this obvious lack of uniformity is the development and

implementation of a single statewide examination for each seminar.

The thrust of this program is the development of a uniform and relevant educational process which will be part of the overall certification program for code officials. There are some costs involved in the

implementation of such a program. The costs should be more than

offset by savings in the construction process, obtaining ratables

earlier and by increased construction activity in the state. More

important than any of these, however, is the increased protection of

the public safety and welfare.

81
CONCLUSION

Since the enactment of the new code in 1977, there have been many

difficulties. Some are unavoidable during a period of transition.

There have been numerous articles in the newspapers concerning

legislative hearings, possible revocation of the new code, problems

with unlicensed municipalities and pending law suits related to the

code.

While there has been much criticism of the state govennment, I believe

that the Department of Community Affairs has done remarkably well

considering the enormity of the task. It should be stated that at

least some of the criticism stems from the conflict between the code

enforcement process and those individuals attempting to build. Most

architects, engineers and builders view themselves as competent professionals who obey the law and wish to carry out their work in as smooth and easy fashion as possible. The code enforcement process is

therefore often viewed as an enormous constraint which increases costs,

delays construction and in general poses obstacles to the construction

process

This negative view of the code enforcement process might be greatly

improved if code enforcement personnel were trained more effectively.

The training experience, if administered properly and used to its

fullest, can provide code officials with an appreciation of the con- cerns of the architect, engineer and owner while at the same time

assist those officials in gaining confidence in carrying out their

tasks. If an architect or engineer is confronted by a competent, knowlJ edgeable code administrator, who presents valid, specific reasons for

denying a permit, in essence that code administrator is acting as a consultant to the designer. When the plans are resubmitted and reviewed

only in regard to the specified problem areas, as the New Jersey law

provides, the designer will then gain a greater appreciation and

respect for code enforcement. The need for an efficient code enforcement process with well trained personnel is more pressing than ever before. We have arrived at a point in the history of the United States

in which large portions of our urban centers are filled with old and

decaying buildings. At the same time the economics of new construction

dictates that these buildings remain in service. Some of them undergo

renovations while others are being recycled; when in former years,

these buildings would simply be disposed of. In many cases, the owners

of older buildings are not properly maintaining them and do not fully

understand the implications inherent in such neglect. All of us are aware of the recent tragedies in New York City concerning the failure of

lintels, ornamental work and in one case the collapse of an entire

masonry wall.

In Newark, New Jersey the average age of a school building is over 50

years with many of the schools built in the late eighteen hundreds, yet

these buildings must be preserved. The Newark Board of Education

82
in conjunction with New Jersey Institute of Technology has just completed

the development and implementation of an inspection, evaluation and

rating system for the entire Newark school district. The inspection

crews included architects and engineers and all personnel underwent an intensive training program. From this program, it is evident that

inspection and code enforcement of these older structures, places an enormous burden on code enforcement personnel. Therefore, the training

and certification of building officials has never been more needed.

It is not unrealistic to assume that certification may incur greater

liabilities for code administrators. Although BOCA's Basic Building

Code states that building officials are "relieved from all personal

liability," the courts have already made exceptions to this general

rule where negligence has occured. If building officials become

entangled in legal actions to the extent that it interferes with their

performance, then perhaps legislation in this area must be enacted.

It is best to acknowledge and anticipate such a possibility. It is also

clear that code enforcement personnel, to avoid serious liability, must

thoroughly understand the codes. Therefore, certification, as long as

it is accompanied by a sound educational program, can ultimately

minimize the liabilities of building inspectors as well as ensure greater

public safety.

The universities have a responsibility and have shown themselves to be

willing to fulfill their designated role in the certification process.

The success of the training programs, however, will be dependent on

the implementation of the proper mandates, the necessary support and

the required controls by the states.

REFERENCES

1. "New Jersey Administrative Code," 5:23-5.6, Division of Administrative Procedure, Department of State, Trenton, New Jersey, filed

August 22, 1977.

2. Ibid.

3. Ibid.

4. "The BOCA Basic Building Code - 1978," Building Officials and Code

Administrators International, Inc., Chicago, Illinois, 1978.

83

SESSION 2A - STUDIES DEALING WITH

HOUSING CODES

Moderator: Thomas K. Faison

Building Economics and Regulatory

Technology Division

Center for Building Technology, NEL

National Bureau of Standards

Washington, D.C.

85
I

]

I

]

-
HOUSING STANDARDS : OBJECTIVES AND AGENDAS

by

Daniel L. Schodek

Associate Professor of Architectural Technology

Harvard University

Cambridge, Massachusetts

Housing standards imply a set of values and objectives that are rarely

made explicit. In addition to stated goals of health and safety, standards also implement certain national policies and agendas relating to

social planning. The nature of these objectives and their influence on

the formulation . of housing standards form the subject of this paper.

The paper traces the general development of national housing policies

in the United States and briefly highlights those in other countries.

It is argued that space and usability standards promote housing types

responsive only to a limited set of biased objectives and mitigate

against the development of housing responses to a broader range of

lifestyles, cultural values and climatic conditions.

Key words: Housing standards, housing policies, building regulations;

minimum property standards.

87
INTRODUCTION

The idea of social planning is an anathema for most Americans. Yet the I nature of much of current living environment—which many, but not all,

of us find so comfortable—is largely a consequence of specific social

planning agenda, primarily by virtue of the fact that housing standards

are one way such agenda are translated into action.

The purpose of this paper is to examine the implied social planning

objectives and biases in our prevalently used housing standards. Standards in this country are shown to promote an Image of an "American

House" derived largely from a limited set of social planning biases,

even when this consequence may be detrimental to many segments of the

population

There is all too often a tendency to think of standards as measures that are objectively determined and thus implicitly have sacrosanct status.

This status is hardly the case with respect to measures used in scientific or technical fields and patently untrue when it comes to measures

used in connection with usability and living quality notions in housing.

In the case of housing standards, it is argued in this paper that all

measures in one way or another reflect larger socio-economic planning

objectives and are consequently manifestations of particular biases.

They are objective only with respect to the biased viewpoint assumed.

The assertion that housing standards reflect specific social planning

biases could be explored in many ways. This paper chooses to do so by

a quasi-historical review of the development of national housing policies

and related standards and by contrasting major trends in the United States

with those in other countries. Attention will be restricted to earlier

events that have historically shaped our housing policies and standards.

Current policies and standards will be only briefly addressed as a manifestation of further steps in a chain of continuing events. Since the

history of these events is complex, no attempt will be made to do

anything other than highlight primary milestones.

EARLY DEVELOPMENT OF HOUSING STANDARDS

Public measures related to housing have generally evolved along two

different lines over the years. One set of measures relates almost

exclusively to the safety of construction and protection of property.

The second set relates more to the healthfulness and general living

quality of housing.

The first set of measures have a long history, dating back to the well

known provisions in the Codes of Hammurabi that deal with the adequacy

of building construction. Through the years measures of this type have

evolved into our current building codes. Efforts in the 19th century

directed towards controlling conflagrations were particularly important

in giving building codes their current form. An excellent treatise on

this subject is contained elsewhere (1).

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The remainder of this paper will deal with the second set of measures

that relate to the healthfulness and general usability and living

quality of housing. These measures also date back into antiquity, with

examples including the regulation of building lines in Nineveh during

the reign of Sennacherib (705-681 B.C.) and the prohibition in the

Campus Martius in fourth century Rome of huts and hovels. The Elizabethan

Poor Laws of 1601 which provided for workhouses is yet another example.

Still it is during the industrial revolution that such measures began

assuming their current form. The industrial revolution was a watershed

in the development of housing measures for two primary reasons: (1) the

rapid urbanization that took place in Europe and the U.S. in that era,

and (2) the rapid development of new political ideologies and social

consciousnesses

As rapid urbanization took place in the 19th century, existing housing

stocks and means for constructing new dwellings proved incapable of

providing adequate housing for the burgeoning urban populace. For many,

housing conditions were appalling and unhealthful conditions existed in

many cities (2)

Many private groups sought to relieve conditions. The New York

Association for Improving the Condition of the Poor, started in 1843 for

example, was a coalition of merchants and businessmen formed to combat

slums. This organization was, of course, reflective of a larger social

reform movement growing at the time which sought to ameloriate all of

society's ills, not just poor housing.

In New York City, efforts of this type eventually led to some governmental

intervention. In 1856, a panel of legislators investigated slum conditions in the city. The well known tenement House Act of 1867, with

minimum standards for water, sanitation and repair, was enacted later.

Competition for the design of a low cost residential structure to make

housing available at low rent to all resulted in 1879 in one of the

first social housing designs in history—the famous "dumbell" units.

Interestingly, the awarding jury declared that requirements for "physical

and moral health" could not be satisfied on the 25 x 100 foot lot size

stipulated in the competition.

Another major tenement house law was passed in 1901 in New York that

applied to New York City and Buffalo. This legislation came to be

regarded as the nation's first housing code. It included requirements

for light, sanitation, ventilation, occupancy, building and maintenance

standards, and condemnation procedures for unfit buildings.

In addition to reform groups, other private organizations provided

initiatives in the provision of housing. Industrial employers became

active in providing housing for their workers—an initiative probably

spawned as much by the failure of the market mechanism to provide housing as by more lofty goals, although the latter were present in many

instances as well. Of central interest herein is that while much of the

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housing produced in this way was minimal in nature, some projects were

carefully designed and regarded as model housing projects. Thinking

about space and amenity standards was undoubtedly present, if not well

documented in the literature of the day.

Other private groups promoting improved housing were various philanthropi

organizations. An active movement was developed by these groups. Private initiatives in the form of housing corporations also developed,

primarily in Europe. By and large, however, most private initiatives in

the 19th century proved unequal to the task of assuring adequate housing. Many initiatives, such as housing provided by employers, engendered

problems of their own. Government intervention, however, was still

largely resisted. The influence of the laissez-faire philosophy that

was so prevalent during the times reached into all quarters.

What extensive government interventions that did develop in the 19th

century were largely initiated in other countries as a result of the

need for improved sanitation and not housing per se . The Public Health

Act in England in 1848, for example, followed a severe cholera epidemic.

The Shaftsbury Act in 1851 became England's first significant housing

legislation. The act allowed local governments to clear out slums by

constructing new dwellings. Many other countries followed suit. Slum

clearance and sanitation endeavors occured not only in cities such as London and Birmingham, but in Brussels, Paris and several German cities

as well. Many of the slum clearance projects, unfortunately, merely

displaced tenants. Several German cities imposed not only safety standards, but limited building heights and densities. Also stipulated were minimum requirements for ventilation, sunlight and ceiling heights.

In Europe, housing legislation concerned with the provision of adequate

finance for the construction of low cost dwellings also appeared, e.g.,

in Belgium in 1889, an act made government funds available at low interes

rates to finance the construction of dwellings for industrial workers.

By and large, however, most governmental efforts in the 19th century were

not able to meet the needs that existed.

THE CITY BEAUTIFUL AND THE INNOVATIVE 1910'

Towards the end of the 19th century and beginning of the 20th century,

a movement began occuring that was to have major significance on housing and housing standards later. This was the emergence of the "garden

city" movement. The notion of the garden city with its departure from

an intense urban fabric and back to the land ideals had almost instant

appeal to many individuals of the day.

The year 1910 marked the approximate beginning of a really amazing

period in the development of housing. With the 1907 depression over and

a severe housing shortage present, the impetus for new housing was

strong. By now urban reformers had much more of an image of the ideal

city than ever before, an image influenced not only by the social

90
reformers and those concerned with sanitation, but by the image of the

city beautiful as well. In all spheres related to housing, there was much more of a consciousness about the role of housing in the city.

The symbolic artifacts of a city; its centers, squares, monuments and

boulevards, ceased to become the sole concern of the city planner and a wider spectrum of concerns emerged. In the United States, many remarkable projects were developed, such as those in Billerica, Forest Hills

and Youngstown. Many aspects of the garden city movement was directly

incorporated into many housing developments constructed at the time in

this country and abroad.

The Russell Sage Foundation published in 1914, a landmark document in

housing reform entitled, "A Model Housing Law." The document was authored by Lawrence Veiller who later did some very important work

vis-a-vis the development of housing standards.

World War I caused a permanent change in the housing situation here and

abroad. The Rent Restriction Act was passed in England in 1919 to curb

rising prices. Similar acts were later passed in France and Germany.

The Bolsheviks nationalized all urban housing in Russia in 1917. The

destruction of life and property were unparalleled. Government actions

were virtually mandated. The birth of massive public intervention in

housing had taken place.

The entrance of the United States into the First World War caused the

shortage of housing in this country to become even more acute. Certainly

housing near major war industry production centers was inadequate. A

Council on National Defense in 1917 created a study that led to something

that was unique in American history at the time—the construction and

management of housing by a large central organization (the United States

Housing Corporation) . Also important was the creation of the Housing

Division of the Emergency Fleet Corporation.

A fair number of units resembling English garden suburbs were completed

by these organizations before their termination at the war's end.

Importantly, from the viewpoint of standards was the work of Lawrence

Veiller, mentioned previously, who formulated standards for housing

constructed by the United States Housing Corporation. Later these standards became the basis for many developed during the active years of the

nineteen thirties in the U.S.

THE INTER-WAR PERIOD

The aftermath of the First World War strongly influenced the nature of

the housing policies in this country and abroad. Certainly there was a housing shortage immediately following the Armistice. Many of the

measures related to housing introduced in many countries during the war were initially mantained.

91
Abroad, rent controls were often maintained well into the inter-war

period. While serving some national aims, an effect of rent control

was often to inhibit new housing construction by the private sector.

The impetus for governmental intervention, a movement with pre-war roots, was thus strengthened. The changing nature of the political situations

in many countries also influenced the housing policies pursued. Certainly the socialistic movements present also called for governmental

intervention in housing.

As a consequence of these developments, there was in Europe a marked

shift towards public rather than private initiatives in housing. Between

1924 and 1930, for example, over one half of all units built in Germany

were publicly financed. Many other countries had comparable experiences.

Many critical issues that are still of concern developed during this

period which relate to the form of public support and the role of the

private sector. A characteristic of housing efforts in Europe in the

twenties was an upward adjustment or enforcement of minimum standards in

implemented programs. This often resulted in higher costs to users who were in turn unable to afford them. Governmental subsidy programs were consequently required to maintain access to housing. Questions emerged

of the type of subsidies offered and the target population, including

whether "deep" subsidies to a relatively few individuals are more or less preferable to "shallow" subsidies to a great many. A mix of subsidies was usually used with the former often primarily undertaken by

governmental authorities.

During this same period, a number of important studies were made in

Europe which related to housing standards, e.g., Sven Reimer made

surveys in Denmark in the nineteen-twenties on household possessions,

attitudes and activities.

The nineteen-thirties saw a lessening of government support of housing

in Europe as the housing shortage subsided. More emphasis was placed

on slum clearance projects (Sweden was a major exception).

In the United States, there was relatively little activity in housing

in the twenties—the period of significant developments in Europe.

Undoubtedly, this is attributable to some extent to the lack of war damaged housing. Housing needs were thus different than in Europe. A

surge in housing starts in 1922 reduced what demand there was present

for governmental intervention in housing. Not until the thirties did

the U.S. government intervene in a manner analogous to the public

interventions that were so frequent in Europe in the twenties.

There remained in the twenties, however, an interest in housing on the

part of many individuals in the United States. Several studies were made in the twenties about the amount of space needed by an average

family and minimal furnishings required. At the national level, an organization entitled, "Better Homes in America" was created in 1922.

Herbert Hoover, Secretary of Commerce, was its first President and Vice

President Calvin Coolidge was Chairman of the advisory council. The

92
able James Ford was its executive director. Franklin D. Roosevelt

was on the advisory board. The goal of this organization is of central

interest vis-a-vis the development of later U.S. housing policies and

our current housing standards. The history of this organization and its

influences are discussed in detail elsewhere (3)

Of central interest herein is that a goal of Better Homes in America was

to encourage the construction of single family homes. This was done by

a variety of means. Importantly, the organization primarily addressed

the needs of middle-class Americans living in small communities, instead

of being concerned with poor people in urban settings (the focus of

many pre-war efforts) . This conservative stance paid little attention

to the housing of low-income groups. Many of the individuals involved

with this group became active in forming policies and standards during

the more active years of the thirties.

The U.S. Bureau of Standards produced a series of uniform codes dealing

with building standards and zoning. Much of this work became the basis

for legislation later enacted at State and local levels. The mood of

these efforts was undoubtedly influenced by the Better Homes movement.

With the coming of the Great Depression, the government found itself

with two great problems: (1) the need to generate jobs and (2) the

almost complete collapse of mortgage credit and the system of home

finance then in use. Mortgage foreclosures, for example, leaped from

68,000 in 1926 to 250,000 in 1932.

In 1931, President Herbert Hoover convened the White House Conference

on Homebuilding and Homeowner ship . Although opinion as to what to do was divided in the conference, several steps were soon taken. The Home

Loan Bank system was created in 1932 and authorized to extend loans to

its member institutions through Federal Home Loan Banks.

The Subsistence Homestead Program was developed in the early days of the

Roosevelt Administration. The Home Owners Loan Corporation was set up

in 1933 to further support the mortgage market.

The National Recovery Act of 1933 provided for a public housing program.

The Public Works Administration began to grant low interest loans to

non-profit and limited dividend corporations for the construction of

inexpensive apartments in 1933, but the program generated little interest.

The Federal Housing Administration (FHA) was created by the National

Housing Act of 1934 to provide a system of mortgage insurance. The

major impetus was primarily that of creating jobs, but the FHA eventually

caused major changes in the methods used in financing housing. The

FHA was admired by many in this country and in Europe as a model of

appropriate public intervention in housing. Others in this country

wished for stronger action.

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The National Housing Act of 1937 created the Public Housing Program.

A salient feature of this Program is that a subsidy program for lower

rents was established—a practice already commonly experimented with in

several European countries. The Program held that the development,

ownership and management of projects were the domain of local governmental authorities. The Program was intended for low income families

(families of fully employed blue-collar and semi-skilled workers were

intended to be eligible) . The total impact of the Program, however, was relatively small.

With the U.S. entry into World War II, many of the housing activities

of the Federal government were coalesced into the National Housing

Agency. The war years also saw the development in 1944 of the Influential Veteran's Mortgage Guarantee Program administered by the

Veterans Administration (VA)

While many of the programs started in this era were related directly to

housing, other agendas were also being served. One was that housing

was being used as a level to get the overall economy (in a state of

slump) moving again. Thus aid was primarily directed towards benefiting

the housing sector as a whole, thereby improving the whole economy,

rather than directly at the poor and/or under -housed

As part of the renewed interest in housing assisted by public sector

support, some housing standards were formulated. The Public Works

Administration issued in 1935 a document containing spatial standards,

construction specifications, and even prototypical plans for housing

projects. The document engendered much public debate in the literature

of the day concerning approaches to housing standards (4)

Also relevant were the works of specific individuals such as Walter Gropius, who propounded theories dealing with the heights and

spacings of buildings with the objective of insuring environmental

goals such as sunlight into apartments and so forth. These were later

to influence directly the zoning laws of New York City.

The Housing Act of 1937 initiated new investigations of housing standards

at the governmental level. As discussed in detail elsewhere, guidelines

for this program were the outgrowth of research undertaken by the Committee on the Hygiene of Housing of the American Public Health Association

(5) . Many members of this committee had been a part of the Better Homes

organization. Criteria for housing developed by the Committee were

founded in principles of physical or mental health. This committee

later joined with the Committee on Physical Standards of the National

Association of Housing Officials. The result was recommended minimal

square footage for each room of a "home." These figures were accepted

by the U.S. Housing Authority in its standards (6).

Efforts by the American Public Health Association in relation to

housing standards continued in the late thirties and into the forties.

A book was published by the Association entitled, Housing for Health (7)

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A 1942 report of a subcommittee chaired by James Ford, who headed the

original Better Homes organization, introduced the concept of "usability"

into standards, arguing that stipulation of square footage measures

alone was inadequate. Systematic studies, largely sponsored by the

John B. Pierce foundation, were later conducted on how Americans use

their homes.

Interestingly, it has been observed by Handlin that these studies did

not produce results that were substantially different from those prepared by Lawrence Veiller in connection with the original United States

Housing Corporation in 1918 (8)

POST-WAR EVENTS

After the Second World War, housing was again in severe shortage in

Europe. There was, of course, unprecedented destruction of housing in

Europe during the war. In most countries, governments had to assume the

primary responsibility of restoring depleted housing stocks. In Great

Britain, for example, 85% of the new housing units completed between

1945 and 1951 were sponsored by local authorities. Some 56% of the

housing built in West Germany in the fifties was what was termed

"social housing." Other countries had similar experiences. With time

the extent of governmental aid to housing in Europe has reduced. No

longer do housing policies resemble those in the pre-war years. Programs

were reformed to encourage private enterprise to a greater extent.

In the United States the demand for housing literally exploded after the war as eight million men and women were demobilized between September

1945 and June 1946. A Federal Housing Expeditor was appointed. Wartime

housing legislation was reintroduced in the Veterans Emergency Housing

Act of 1946. Constant housing activity brought pressure on interest

rates and Congress struggled to maintain low rates through various supports, such as the Federal National Mortgage Association which was

created in 1948. Interestingly, it has been observed that the Public

Housing Program begun earlier was viewed at the time by many as a kind

of creeping "socialism" (9)

The Housing Act of 1949 was a milestone. Its emphasis on "a decent home

and suitable living environment" and that "private enterprise should be

encouraged to serve more of the total need" still largely characterizes

our current policies. Importantly, the act also took a stand on one of

the more controversial issues of the day—was Public Housing to be the

only Federal vehicle for slum clearance—by establishing a separate slum

clearance and urban development program.

Although the 1949 Act appropriated large sums for public housing, the

program was curtailed in the 1950's. With time public housing lost many

of its working residents and more and more came to house large concentrations of the very poor.

95
The Housing Act of 1954 made few major policy changes. "Workable

program" requirements for community improvements were developed. In

public housing, high density, minimum amenity designs, fostered by the

Act led to some highly undesirable projects.

Throughout the fifties, a huge number of middle class families received

support through the FHA program. Single family detached units were

built by the droves.

The Housing Act of 1959 marked a major breakthrough for advocates of

Federal subsidies in privately owned buildings. Section 202 of the act

authorized direct Federal loans to non-profit private sponsors of

rental projects for the elderly and handicapped. The well known 221(d) (3)

program established by the Housing Act of 1961, expanded opportunities

for private developers.

The move towards subsidies in privately owned buildings contained in the

Housing Act of 1965 included the development of the controversial Rent

Supplement Program. The cabinet level Department of Housing and Urban

Development was created the same year.

The Housing Act of 1968 continued the emphasis on the use of housing

subsidies in private housing through the Section 235 and 236 programs.

It also made FHA mortgage insurance available for the first time in

declining urban areas—thus marking a major policy shift —and for families

with poor but defensible credit ratings. It also authorized large

appropriations for new ownership and rental programs.

This era also saw the initiation of the Operation BREAKTHROUGH

experiment in 1969. Originally conceived as a Federally sponsored

program to foster the development of housing technologies, the program

changed character with time and social objectives (10).

The well-known housing moratorium imposed in 1972 during the Nixon

administration sent a shock reeling through the housing market. By and

large, however, the moratorium affected only the volume of housing

produced and not policies as to what type of housing was encouraged.

The seventies did see a disenchantment with the subsidy policies of the

late sixties. There was also a marked decrease in emphasis on urban

housing and a shift towards suburban housing. The thrust of most

programs was on enabling home ownership. The housing acts of the late

seventies saw little innovative change in policy.

As has already been observed by Maisel and others, it is interesting to

note that most national housing policies have built up with time as a series of ad hoc solutions to particular pressing needs or problems (11) .

1 As Burns and Grebler have noted, one looks in vain for a grand design in

the history of the housing policies of any country(12). Yet, it is evidenl

that policies have been slowly but surely shaped by underlying socioeconomic attitudes and objectives, as well as by direct images of

improved living environments.

96
Insofar as specific housing standards are concerned, the measures used

in later significant Federally sponsored programs that provided much of

the housing in this country, e.g., the FHA programs, have not dramatically

altered in intent and contents from their immediate predecessors.

The formalization of the FHA Minimum Property Standards with their

extensive room requirements was a major point in the evolution in

Federally sponsored standards related to housing. These standards were

later refined and altered in many ways, but their basic structure was

not radically changed for many years. The possibility of combining

certain rooms that began to be allowed in the sixties was a small but

important move towards flexibility.

Among the more important studies done anywhere in post-war years was the

Parker Morris Report of 1961 in Great Britain, entitled, "Houses for

Today and Tommorrow" (13) . This report of a subcommittee of the Central

Housing Advisory Committee stressed even further existing functionalist's

approaches to standards. It states, for example that "... the right

approach to the design of a room is first to define what activities are

likely to take place in it, then to assess the furniture and equipment

necessary for these activities, and then to design around these needs

. . . " The thrust of these studies were reminiscent of earlier efforts,

particularly in their orientation towards activities as the primary

generator for standards.

The late sixties and early seventies saw a wealth of quasi-scientific

studies on the use of buildings. The "performance concept" was very

much in vogue at the time and explored in several studies, often relating

to the technical development of components for building systems. Other

studies were more broadly defined in scope and attempted to generate

standards by detailed studies of "affectable characteristics," e.g.,

(physiological, psychological and sociological) in relation' to a chain

of performance requirements of increasing specificity that dealt with user

needs and activities.

Specific programs, such as Operation BREAKTHROUGH, also fostered the

development of specific standards, albeit most were more directed

towards improvements in technical domains normally covered by building

codes rather than use or spatial standards.

By and large, however, these later studies did not lead to dramatic

changes in nationally applicable standards having broad impacts. The

development of HUD Standards in the early seventies, by contrast, were

significant. The provisions that dealt with room furnishing requirements

as an alternative to dimensional requirements seemed at the time quite

a significant change, again reflecting a strongly f unctionalistic viewpoint and very reminiscent of the Parker Morris study and recommendations

Perhaps because of the rather curious choices of the specific furnishings

used as reference measures, however, the change has not proven as altogether productive as anticipated at the time.

97
In sum total, housing standards dealing with general housing quality and

liveability have not radically changed from those conceived years ago.

The functionalistic viewpoint as reflected by minimum requirements for

internal spaces and activities remains undiminished as are basic con- cepts of usability. The focus is thus still on defining units from the

inward out and thus having the total unit or building result as a con- sequence of aggregating discrete requirements.

I MAJOR TRENDS IN U.S. HOUSING POLICIES: INFLUENCES ON STANDARDS

It is clear from the preceeding discussion that the development of

housing standards closely parallels the development of national housing

policies which are in turn a manifestation of larger socio-economic

goals. The remainder of this paper speculates on the consequences

vis-a-vis housing standards of these larger relationships. The thrust

of the argument is that housing standards tend to be both broadly

applicable and reflective of specific biases about lifestyles and

housing norms to a counter-productive extent.

An important characteristic of our national policies is that governmental

intervention in housing has typically served multiple agenda. The

policies begun in the thirties of using aid to housing as a way of

affecting or balancing the overall economy are still very much in existence. Policies largely view housing in terms of its importance to the

national economy (which undoubtedly is true) and its multiplier effects

when intervention is made. Hence programs typically aid the housing

sector as a whole rather than specific groups (some programs are, of

course, more directed but their extent and impact has historically been

minor) . This general attitude is in marked contrast to many other

countries, e.g., Great Britain, where policies have historically been

more concerned with interventions directly at the source of the perceived

housing problem. A consequence of the orientation assumed in the U.S.

has been to reinforce subtly the notion and development of standards

that are generally applicable to the whole housing sector rather than

encourage the development of more specialized measures for groups at the

actual perceived problem level, e.g., low-income minority groups.

A salient feature of our current policies is the continued emphasis on private enterprise as the primary mechanism for providing housing. This

immediately casts the role of standards and methods for assuring they are met in a very different light than in situations where action directly

by governmental authorities is the main vehicle for the provision of

housing. Financial incentives of one type or another are consequently

typically involved as well as withholding of funds if standards are not

met. Again this tends to reinforce the development and use of broad

universally applicable standards rather than ones responsive to specific

needs

Another factor that undoubtedly led to the emphasis in this country on universally applicable standards was the historical public health

rationale for government intervention in housing. As has already been

98
noted, public health issues were originally one of the dominant influences

underlying minimum requirements for ventilation, sunlight, and sanitation, and later, minimum areas for functional spaces. The important

contributions by the American Public Health Association in the thirties

and early forties literally set the tone and content of housing standards

for many years to come. Public health directives were obviously the

primary focus of efforts rather than other possible criteria or objectives for standards, e.g., climatical, cultural (lifestyles), or related

to concepts of density or site planning. With time, needs springing from

those other concerns have led to modifications of the developed standards, but their essential thrust and character remained largely the

same

The public health orientation also tended to foster universally

applicable standards since they dealt largely with issues e.g.,

egonometric, not perceived to be dependent on the precise characteristics

of different user groups but rather on common human needs.

Perhaps the most interesting of all influences in the development of our current standards are those of the Better Homes movement in the

twenties and the earlier city beautiful movement. In particular, the

goals and biases of the Better Homes in America movement directly

influenced crucial standard development activities in the thirties.

As noted earlier, many of the leaders of the Better Homes movement were

involved with the development of housing policies in the thirties.

Of particular interest is the orientation of Better Homes towards single

family housing and its concommitent focus on middle class values and

lifestyles. As such, the objectives of this housing movement constituted

a particular social planning objective, as did the more liberal movements in the 1910' s in other ways.

Many of the values and aspirations of the Better Homes movement evidently

became part of the policies developed in the thirties and the standards

originated then by a confluence with the public health movement, through

the people involved if by no other mechanism. Specific family structures

and ways of life, for example, were reflected and encouraged by the standards developed by their implication that dwelling units are, and must

be, composed of individual defined-use rooms.

The Better Homes movement reflected an aspiration towards a certain way

of life that was regarded as universally appropriate, hence associated

standards were perceived to be universally appropriate as well. These

biases were certainly reflected in post-war standards developed from

those in the thirties. Since there is invariably an economic incentive

to building housing conforming exactly to the minimum standards in force,

the physical form of much of our current housing in a direct reflection

of these biases and implied social planning agenda.

As a sidelight, it is interesting to observe that the Better Homes

movement had an effect on other Federal agencies and organizations

99
concerned with housing than just those already mentioned. It has been

effectively argued by Handlin, for example, that the Division of Building and Housing, created as part of the National Bureau of Standards in

1921, implicitly took a similar conservative stance to the Better Homes

organization by only assuming the role of gathering data for the construction industry and recommending construction codes primarily in relation

to single family houses (14). This was at a crucial time in the fledgling

development (that was tentatively begun in the 1910-1920 period) of

building systems designed to meet the needs of urban housing. Many of

these systems were technically unique and, vis-a-vis the type of housing

provided, socially innovative (15). It is well known that the technical

development of this type of housing stagnated in the inter-war period (16)

It has been argued that the crucial role of leadership that could have

been provided by the Division of Building with respect to this type of

housing was not assumed.

It is also interesting to observe that standards only slowly respond to

changes in policy directions. The liberalizing influences in the sixties,

for example, did not immediately lead to significant commensurate changes

in the intent and focus of applicable standards.

Another important point is that standards control, to a greater or lesser extent, the entry of individuals into the housing market. This

is the same issue originally faced by housing reformers in Europe in

the twenties. As standards increased, so did construction costs which

in turn raised purchase and rental costs beyond the reach of many that

desperately needed the housing, thereby complicating the issue enormously. Current standards implicitly take a strong position on this balance

between standards and costs and thereby control who has access to

housing. It can certainly be argued that there are those who would prefer not to have housing built according to standards responsive to

middle class biases about what constitutes acceptable housing, but

rather have more flexible standards more responsive to their own perceived needs and with greater accessibility.

CONCLUSIONS

The overall consequence of the influences discussed above is that housing standards in recent years have promoted the notion of an "American

House" with its middle class biases, and, perhaps, mitigated against

the development of other housing forms.

Housing built according to common standards generally tends to have the same spatial and functional characteristics no matter what climatic

conditions are present or what specific housing needs are addressed.

The form of housing provided in the deep south is not unlike that provided in the north despite obvious differences in local ways of life and

customs (including specific differences such as the role of outdoor

living) . Obviously this is in marked contrast to the sharp regional

differences that developed in housing not controlled by such standards.

100
It is argued here that standards could advantageously be made more

responsive to the needs and desires of a broader spectrum of people.

Our current standards do not promote an adequate range of responses

to differences in lifestyle, derived from personal preferences or as influenced by cultural values, or lifestyles as influenced by climatic

conditions. Another paper argues this point in detail and recommends

several fundamental changes in our standards (17). Housing need not

be the same, only equal.

It should always be remembered that housing standards reflect one way

in which implicit national social planning objectives are translated

into action. An understanding and articulation of these objectives and

principles can help to focus incremental improvements in housing standards by minimizing the risk of counter-productive changes. By the same

token, conscious changes in national priorities and social planning

objectives can be shown to imply corresponding changes in the make-up

and technical content of housing standards. While the opportunities

for constructive action are great, so are the possibilities that

standards can promote counter-productive ends.

REFERENCES

1. Colling, H. , and Colling, R. , Modern Building Inspection , Building

Standards Monthly Publishing Company, 2nd. Edition, Los Angeles,

California, pp. 13-110.

2. See, for example, Lubove, R. , The Progressives and the Slums , University of Pittsburgh Press, Pittsburgh, 1962; and Bowley, M.

,

Housing and the State 1919-1944 , Allen and Unwin, London, 1945.

3. Handlin, David P., "Housing and City Planning in the United States,

1910-1945," The Martin Centre for Architectural and Urban Studies,

Cambridge, Great Britain, 1976.

4. Ibid., p. 318.

5. Ibid., p. 328.

6. Ibid., pp. 328-329.

7. Committee on the Hygiene of Housing of American Public Health

Association, Housing for Health , Lancaster, Pennsylvania, 1949.

8. Handlin, op.cit., p. 330.

9. Pawley, Martin, Architecture Versus Housing , Praeger Publishers,

New York, 1971.

10. See a discussion on this point in Schodek, D. L., "Operation

BREAKTHROUGH: The Changing Image," Industrialization Forum , Vol. 4, No. 5, 1973, pp. 11-18.

101
11. Nevitt (Ed.), The Economic Problems of Housing , pp. xi-xii.

12. Burns, L. S., and Grebler, L., The Housing of Nations , Halstead

Press, John Wiley and Sons, New York, 1977, p. 94.

13. Central Housing Advisory Committee, "Homes for Today and Tomorrow,"

HMSO, London, 1961.

I

14. Handlin, op.cit., pp. 324-325.

15. See, for example, the discussion in Schodek, D. L., "Precast

Concrete Housing," Journal of the Precast Concrete Institute , Vol. 23, No. 6, Nov. -Dec, 1978, 00. 54-66.

16. Ibid., p. 64.

17. Gauchat, Urs P., "Housing Standards: Their Derivation and Rationale.

4th Annual NBS/NCSBCS Joint Conference on Research and Innovation in

the Building Regulatory Process, St. Louis, Missouri, September 1979,

102
HOUSING STANDARDS: THEIR DERIVATION AND RATIONALE

by

Urs P. Gauchat

Associate Professor or Architecture

Harvard University

Cambridge, Massachusetts

The quality of housing is mandated by minimum standards. The standards

are based on egalitarian principles and on the assumption that housing

anywhere in the United States would meet certain norms. Space standards, in particular, imply social planning objectives which apply

throughout the country regardless of location, climate, or user group.

These standards, perhaps unwittingly, promote the notion of an "American

House. 11

Although fair in the sense of providing equality, the present system

does not allow an adequate range of responses to different lifestyles

and cultural backgrounds. It is the purpose of this paper to propose

housing solutions that more adequately reflect regional characteristics

and personal predilections. The proposals are based on the premise that

housing standards should be based on the notion of equivalency rather

than equality.

This paper first examines the key determinants of quality in housing;

then analyzes the effects of current property standards; and finally,

suggests modifications that would render housing standards more

responsive and flexible.

Key Words: Equivalency; housing standards; minimum standards;

space standards.

103
Background

During the 19th century rapid urbanization, together with an influx

of immigrants, created an unprecedented need for housing in the

United States. Cities expanded rapidly and new subdivisions sprang

up block by block. Construction of speculative buildings and rental

property emphasized quantity rather than quality: much of the housing was substandard, overcrowded, unsanitary and devoid of natural

light and ventilation. Until the old tenement law was enacted in

1867, housing construction proceeded unchecked. By stipulating

minimum standards of construction and design, the law did much to

curb the spreading fires and disease and represented the first deliberate public effort to maintain a modicum of housing quality

regardless of occupants' income. A new tenement law, passed in 1901,

further raised the minimum standards for speculative and rental

property.

The development of housing standards in this country was heavily

indebted to the public health movement. Concern for disease and fire

prevention became the major determinant of minimum requirements. The

quality of housing and the quality of life it contains were thus primarily determined by a series of preventive measures designed to

reduce the probability of unwanted events, such as the collapse of a building. Periodically these standards were revised based on empirical

knowledge derived from specific events. The present standards are

thus an accumulation of incremental changes rather than an extrapolation of a coherent set of principles.

It is interesting to look at the political climate which surrounds

the governmental involvement in the control and sponsorship of housing.

The control by government of the construction of housing increased

gradually from the latter half of the 19th century to the present

level. In the beginning government sponsorship was only minimal.

Although the Federal government declared "it was getting out of the

business of housing" in 1919, the spectacular rise in foreclosures

during the Depression demanded its intercession. In this context, the

idea of a Federally guaranteed private loan program was conceived.

Originally intended as a temporary measure, various forms of subsidized

or minimum housing have since become a permanent segment of the housing

economy. Because the program was conceived as a temporary measure

during the Depression, people who became permanent residents were, and

still are, viewed with suspicion. Housing standards, therefore, define

minimal rather than optimal living conditions. Since housing built to

minimum standards rarely becomes a valuable addition to the total inventory, it perpetuates the notion of a temporary abode from which to

aspire to bigger and better things.

104
The quest for acceptable minimum requirements has been pursued assiduously since the beginning of space standards. Based on economic

motivations, the minimum standards were gradually refined to achieve

the least initial cost. The implied policy seems to be to house the

most people possible for a given amount of money, rather than provide

optimum living conditions for a limited number of people.

As a contrast in philosophy, the English government has taken the

stance that space standards ought to ensure a supply of new housing

i which is comparable to that provided by the private market regardless

I of the amount of subsidy or government sponsorship. As a result of

this attitude the government has been forced to construct a much

larger portion of the total housing stock than has been the case in

this country.

The United States Housing and Urban Development Act of 1968 (as amended

in 1977) declares that: "The Congress affirms the national goal, as

set forth in Section 2 of the Housing Act of 1949, of a decent home and

a suitable living environment for every American Family." The terms

"decent" and "suitable" are as pliable as the lawyer's use of the word

"reasonable." They are relative terms which reflect a level of aspiration rather than a well-defined standard. Housing that some consider

decent and suitable, others will scorn as inadequate. Minimum standards, therefore, have not only relative values associated with a certain

economic level, cultural background and region of the country, but they

also have to be fair and equal, regardless of where and under what

circumstances they apply.

The Status Quo

Like all other construction activities, housing is subject to a plethora

of rules and regulations to ensure that the housing is technically

sound and conducive to the health and safety of the occupants. Minimum

property standards generally consist of regulations that control the manner and method of building and space standards that stipulate minimum areas for human habitation. One of the major implications of space

standards is the notion that in case of insufficient private incentives,

the government provide the necessary means to construct minimum standard

housing. Apart from protecting the public from unscrupulous speculators

and landlords, space standards give physical dimensions to a national

standard of living.

Particularly for middle and low- income families, minimum space standards have become the measure of quality to which market and non-market

housing is built. The closer the margins for profit are, the lower

the rental and sales price, the more the housing tends to be built to

the absolute minimum allowed by law. As with any set of regulations,

prescriptive space standards can be interpreted so that they are economically advantageous. These interpretations, by their sheer

reputation, become the norm. The norm, in this case, is not defined in

terms of explicit social objectives, but as an indirect result of the

minimum space standards.

105
Space standards depend on the jurisdiction and the form of financing.

Each state, or in some cases each county, has its own standards.

Federally funded projects have to follow guidelines set by the Department of Housing and Urban Development (HUD) . Generally, all prevalent

standards are based on the same premises and therefore only vary

slightly, if at all.

Space standards typically stipulate minimum areas and dimensions for

specific human activities; they also mandate access to common services

such as water, seWer , gas and electricity. The inside of a dwelling

is defined in terms of its major components, the size and dimension of

which are related to the number of bedrooms. The living area, for

example, increases in size in a three-bedroom unit as compared to a one-bedroom apartment. The assumption is that depending on the number

of bedrooms a unit must conform to the same space standards regardless

of how and by whom they are used. The edicts of fairness and egalitari,

policies are thus adhered to.

There are two methods of controlling minimum space standards: one is

based on a definition of minimum areas and dimensions for living,

dining, and bedrooms as well as kitchens and bathroom; the other

stipulates minimum furnishings typical for each room and allows for

adequate use and circulation space.* Both methods result in unit plans

which are comparable in size and level of amenity. They are derived

from the probable occupancy of a certain unit type: the requirements

for an efficiency apartment are thus based on the expectation that it

would contain a single occupant; the standards for a two-bedroom apartment are based on the probability that occupants would be a couple

with a child, etc. Space standards, therefore, can result from

extrapolating space requirements based on a number of bedrooms and

presumably a corresponding number of occupants. Although this policy

covers the majority of housing in the U.S., it does not achieve the

stated objective of providing adequate housing in all cases.

Standards Based on Parameters

The present minimum property standards not only set some criteria for

the quality of housing, but they also indirectly favor particular

housing types. These housing types are found in great proliferations

across the nation. Unit plans and aggregation types tend to be

similar regardless of where and in what context the housing is built.

If it is the intention to produce the largest number of similar housing units, then the present standards have fully succeeded. If the

construction of housing is to proceed based on the egalitarian notion

that they have to be literally the same, then this goal should be made

explicit in terms of social goals and objectives. No such policy has

been stated as part of a Housing Act, or in a preamble to the FHA or HUD standards. The absence of a policy statement gives rise to the

suspicion that the proliferation of the same type of housing happens

not by design but by default.

*See HUD Minimum Property Standards 4900, 4910, 4920 and 4930.

106
The principle of space standards for housing is not in question;

standards are absolutely necessary to protect the population (particularly those that have economic limits put on their choice of housing)

from exploitation by speculators and landlords. The issue, therefore,

is the particular form that the standards take. On the surface it seems that the new HUD standards, which offer a choice between minimum

areas and dimensions for each activity and minimum furnishing requirements, allow sufficient scope for interpretation. It turns out,

however, that both sets of HUD standards are based on the notion of

a national norm. Although never explicitly stated, the norm defines

an average user whose daily functions can be allocated to a number of

specific rooms. The standards are substantially more prescriptive and

specific than a cursory examination would indicate.

The systematic erosion of national origins and cultural differences

stems from the idea of America as a melting pot; this idea is contradicted by the pride with which descendants of immigrants still refer

to the "old country." Immigrants tended to settle in areas which then

took on some of their ethnic and national characteristics. Many of

these areas are still intact and often provide character and identity

to an otherwise undistinguished urban fabric.

Some of the original ethnic neighborhoods are still intact and are considered as positive attributes to the life of a city. Much of the

housing built in the nineteenth century reflects climatic and regional

differences. The same housing type, such as a row house, can be

found in a startling array of incarnations. Row houses in Boston and

Philadelphia, for instance., are markedly different from those in

New Orleans or Savannah. The differences manifest regional characteristics, establish local customs and provide a sense of place.

The question here is how to maintain and encourage regional variations

without subverting the basic intentions of minimum space standards. To

this end it is suggested that the existing standards be modified in

format but not in intention, i.e., that the existing minimum requirements be replaced by a series of parameters to encourage local solutions

which respond more closely to particular regional and cultural contexts.

Using these parameters fully maintains the principle of equality

while reducing the probability of all American families having the

same housing.

There are a number of specific parameters which could take the place

of the existing minimum space standards. The parameters not only give

more scope and freedom to the design of housing, but they explicitly

state the underlying objectives and principles.

1. Density is now controlled as a function of the number of bedrooms

in a unit. All parts of a dwelling unit are scaled to the number

of bedrooms and presumably the number of occupants. A direct

correlation between the bedroom count and the number of occupants,

however, is not a reliable presumption. An absolute minimum size

107
for any dwelling unit, whether owner -occupied , leased or rented,

is therefore proposed. The minimum unit would, however, be

adequate for single occupancy; each additional occupant could

require a proportional increase in i_he minimum space requirements.

Space standards would thus reflect the maximum number of occupants

for a given unit size or, conversely, the unit size would determine the maximum legal occupancy.

Space standards are expressed in terms of specific rooms for a normal range of human activities. Present requirements are based on the premise that certain human activities require the exclusive

use of a space and others do not. It is assumed that bedrooms,

for example, need to be separate from living areas (except in

efficiency units) and that they be sized to accommodate the necessary furniture. The stipulation of specific rooms used exclusively

for one function, therefore, precludes the use of a room for more

than one purpose. A bedroom designed in accordance with minimum

standards, for instance, cannot properly double up as a study or a workroom. It is thus suggested that beyond controlling the size and

number of bathrooms (depending on the number of occupants) and a minimum amount of kitchen equipment, the division or non-division

of the rest of the unit's space cannot be controlled. The tradeoffs of which rooms to increase or decrease would be left to the

local market conditions and personal preferences. This does not

mean, however, that the amount of space per person should be

reduced; on the contrary, in order to increase the number of planning options a degree of redundancy has to be introduced.

This approach to space standards is also appropriate for the .increasing number of buildings which are rehabilitated rather than

replaced. The unit plan, with the planning constraints imposed

by the location of the bathroom and kitchen, can be adapted to

the preferences and living habits of each long term occupant.

Apart from being less restrictive, this approach would encourage

housing solutions which may be unorthodox but are better suited to

local conditions. Extended, harsh winter months in the northeast

call for ideal arrangements of space which differ from those for

a southern climate which rarely gets uncomfortably cold. A number of types would evolve which best organize the disposition of

spaces in keeping with preferences and contextural factors.

Rather than standard minimum units, a number of locally acceptable interpretations would, over time, predominate in particular

reg ions

The specific area requirements could be supplemented by a series

of non-binding design guidelines for particular user groups.

Present requirements are based exclusively on living arrangements

which fall within the expected life cycle from being single to

raising a family to being elderly. Apart from the handicapped,

no special provisions are made for user groups such as roommates,

extended families and single parents. A closer fit between user requirements and the design of units can maintain the quality of

housing without implying normative standards of behavior.

108
4. The climatic and seasonal characteristics of an area should

play an integral part in the development of housing. Housing

in hot arid climates, for example, is likely to be used differently than housing in temperate zones. The present energy

codes deal solely with the technical aspects of controlling

natural temperature fluctuations in an efficient way; they do

not, however, address the regional differences in life style

and activities. The most energy-efficient housing will result

from technical improvements such as insulation and heat pumps,

combined with appropriate planning and design responses. It

is therefore suggested that the minimum space requirements have

sufficient flexibility to permit, for example, covered but unenclosed living spaces such as porches.

5. It is further suggested that the division between public and private could be more open to interpretation. Space standards would

not be reduced, but the same area per person could be distributed

differently. Thus, two or more units could contribute a proportion of the square footage to joint facilities such as libraries

and workshops. These additional facilities would markedly increase

the livability of minimum units yet not increase their size substantially. A formula could be devised to encourage experiments

in this direction by allowing a reduction in the size of each

unit (up to a reasonable limit) based on a proportion of the areas

used for shared activities. Only those facilities would be

counted which are designated for the exclusive use by two or more

units. The particular function of a shared space, however, would

not be subject to controls.

6. Compensatory factors should be built into the minimum standards

for cases where the physical context affects the quality of the

housing. Environmental conditions may not allow reasonable living

conditions without some help in establishing neighborhood amenities

such as recreation, schools and other community facilities. The

establishment of compensatory factors recognizes that living con- ditions are not defined simply by the design and amenities within

a unit, but also by the physical characteristics of the site and

the availability of the essential amenities.

Conclusion

The present government-imposed criteria for housing, including the

space standards, are working well in the sense of providing equal

housing across the nation; they do not, however, allow sufficient

scope for local customs, climatic conditions, and existing urban

patterns. Current standards should, therefore, be modified in format

rather than in intent.

The basic thesis of this paper is that instead of attempting to make

all housing equal, standards should make housing equivalent. Rather

than employ prescriptive standards based on specific rooms for each

human activity, it might be possible to achieve the same ends without

exerting as much control over the means.

109
The mechanism described here consists of several design parameters

which would control the size and amenities offered by various types

of accommodation without prejudicing the solution. Specifically,

these recommendations are:

• Space standards based on an absolute minimum area for any

dwelling unit, with additional space increments for each

occupant

• Abolition of room designations for particular human activities

in favor of overall area and service requirements.

• Non-binding guidelines addressing the functional requirements of specific user groups.

• Climate- as a key determinant of house form.

• Limited reduction of minimum space requirements for individual

units that share facilities.

• Compensatory factors for adverse contextural conditions.

Local and regional differences do not have to be at odds with egalitarianism. In fact, responsive regulation could be a major factor in

assuring the survival of local and regional characteristics which are

under threat of erosion. The result of uniformity and conformity,

although in keeping with the letter of the law, would be incompatible

with the self-determination of each community. Differences in terms

of culture, ethnic make-up and climate can become a positive attribute

of local distinctions in form and character; it can maintain the

identity of a community, and help to strengthen an often fragile urban

f abr ic

Finally, the proposals suggested here are intended to promote discussion

of how best to maintain the quality of housing without promoting a particular type of housing. The specific recommendations are thus

offered in the spirit of encouraging a review of the present system of

regulating housing quality rather than as a definitive answer.

110
EXISTING HUD STANDARDS , BASED ON MINIMUM ROOM DIMENSIONS AND FLOOR AREAS

Living Room 120 SF

Dining Room 100 SF

Secondary

Bedroom 80 SF

Master

Bedroom 120 SF

0

ft

Bathroom 35 SF

Storage 48.5 SF

Kitchen 60 SF

111
PROPOSED STANDARDS

Minimum Required Area

320 SF

:area added for two additional people

::::::::: :2eO::SF: ::::::::::

Total Area for Three Occupant Unit 580 SF

o

r i E3

Bathroom Core Unit

35 SF

Minimum Kitchen Core Unit

112
EXISTING HUD STANDARDS BASED ON FURNITURE LAYOUT

—3* 2"—

1 —

L IS

r ©

'l* Dining Room

Living Room

-3'6"- Master Bedroom

Secondary

Bedroom

O O

O

+2'0"+ Kitchen

n

r p

1 • 3" 1 '3" 1 '3" Bathroom

113
TYPICAL HUD FURNITURE REQUIREMENTS

Couch

3'0" x 6' 10" Easy Chairs

2'6" x 3'0"

Desk with

Chair

1'8" x 3'6"

Television

Set End Table1 1'4" x 2'6" 1*6" x 2'3"! I m

E~3 E

Table for Four

2'6" x 3*2"

I

JZL

Twin Beds

3'3" x 6'10"

Dresser

1'6" x 4*4' Chair Crib

1'6" x 1'6" 2'6" x 4'6'

Twin Bed Dresser

1'6" x 3*6"

Chair

114
PROPOSED MINIMUM AREA REQUIREMENTS

OCCUPANCY MINIMI basic

unit

All ur

JM NE" plus

1

lits

r spa

plus

2

Ln sq

:eplus

3

Jare

plus

4

Feet

TOTAL

NET SPACE BATHROOM

AREA KITCHEN

AREA GRAND TOTAL

AREA PER UNIT

1 320 320 35 40 395

2 320 1 30 450 3 5 60 545

3 320 130 1 30 580 35 60 675

4 320 1 30 1 30 1 30 710 55 70 835

5 320 1 30 1 30 1 30 1 30 840 70 80 950

115

COMPARATIVE ANALYSIS OF PROVISIONS IN HOUSING CODES

AND REHABILITATION GUIDES

by

Patrick W. Cooke

Building Economics and Regulatory Technology Division

Center for Building Technology, NEL

National Bureau of Standards

Washington, D.C.

The performance levels of existing buildings generally do not comply

with the standards for safety or function that are required of new

buildings. To have a solid base for regulatory authorities and others

to use in establishing minimum requirements pertaining to life safety

and health issues pertinent to the reuse of existing buildings and to assure an adequate level of acceptance in terms of the traditional

intent of codes, it is essential to have a good understanding of the

regulatory provisions for codes currently in place that address

occupancy, maintenance and rehabilitation.

This paper highlights some of the more explicit comparisons that were

available from a comprehensive analysis of the content of seven code

documents that relate exclusively to the occupancy, maintenance or rehabilitation of existing residential buildings. This sampling of

detailed comparisons indicates some of the inconsistencies among code

documents with respect to uniformity as well as non-scientific approaches

taken in the development of code provisions.

Key Words: Code provisions; comparison; existing buildings; housing

codes; model codes; performance levels; regulations;

rehabilitation.

117
INTRODUCTION

This paper reports on a study undertaken to identify and compare the

performance levels of selected code provisions contained in seven lodel

codified documents which deal with the occupancy, maintenance and re- habilitation of existing residential buildings. While the primary

regulatory intent of these documents, as a group, is to establish minimum

standards essential to good health and which make existing dwellings

safe, sanitary, and fit for human habitation, they individually take

different approaches in attempting to achieve their defined goals and

objectives. Aside from establishing minimum standards for what is

claimed to be public health and safety, there is also a tendency to

include provisions that establish various levels for housing amenities

and arbitrary standards of liveability (i.e., comfort) for dwellings.

In this regard, the performance levels of such regulatory criteria and

their degree of enforcement can and do have significant economic and

social impacts on our existing stock of housing, as well as on the direct

and extent of upgrading when converting existing buildings of all types

to residences through rehabilitation.

This comparison study was carried out with the following purposes in

mind

1. An analysis of this type will assist in identifying both implicit

and explicit levels of performance currently required for existing

residential buildings.

2. The summarized data, presented in a rational format for comparison,

will provide a logical baseline from which selection of any revised

compliance levels can be established by regulatory authorities.

3. The project could assist in the identification and definition of

needed research study areas relative to the technical bases of

regulations and development of priorities.

4. By consolidating similar provisions from the various code documents

on a one-on-one basis, the degree of uniformity or non-uniformity

among what are ostensibly model regulations promulgated for local

adoption and enforcement on a national or regional basis can be

demonstrated

The study output relates to current and ongoing research programs at the

National Bureau of Standards' (NBS) Center for Building Technology (CBT)

Most significant of these research areas is the Building Rehabilitation

Technology Program which has among its several goals the development of

the technical basis of regulations [1]*. The regulatory strategy developed

by the State of Massachusetts [2] for the rehabilitation of existing

buildings suggests that the levels of performance may be less than that

for new construction as long as minimum life-safety and health levels

* References are listed at end of paper.

118
are maintained. The codes included in this comparison study have no direct effect on new construction, since existing buildings generally

do not comply with the standards for safety and function that are required

of new buildings. The study results, therefore, should give a good

measure of what is perceived as minimum levels of acceptability regarding

the performance of existing residential buildings. They will also be used

in an ongoing CBT project on the development of a methodology for establishing the performance levels of existing buildings.

CODE DOCUMENTS INCLUDED IN STUDY

To obtain a realistic measure of current performance levels for existing housing, several model housing codes, as well as those available

standards developed especially for rehabilitation of residential properties, were considered for detailed examination in the study. A total of seven

code documents were finally selected; five model housing codes which have

different spheres of influence or constituencies in various parts of the

country and two guideline documents which have been developed at the

national level and relate specifically to the physical rehabilitation of

buildings for residential occupancy. The following is a brief description

of each of the seven selected code documents.

1 . APHA-CDC Recommended Housing Maintenance and Occupancy Ordinance , 1975 Revision [3] - This code was first published in 1952 by the

Committee on the Hygiene of Housing of the American Public Health

Association (APHA) to assist municipalities with the development of

legislation necessary to regulate the quality of housing. It is con- sidered by many to have been the first fundamental model housing code

in this country. The first revision, in 1967, was drafted by APHA

in collaboration with the Office of Urban Environmental Health Planning, U.S. Public Health Service. Additional revision was necessary

as housing conditions changed resulting in the 1975 version, which

is a cooperative effort of the APHA's Committee on Housing and Health

and the Center for Disease Control (CDC) of the U.S. Department of

Health, Education and Welfare.

2. New York State Model Housing Code, 1974 Edition [4] - This code is

published as a guide to New York municipalities for voluntary adoption in meeting housing regulation requirements under Federal and

State urban renewal and housing programs. The code is divided into

four major parts covering: (1) conventional residential premises,

(2) mobile homes, (3) migrant housing, and (4) administration and

enforcement. The part on conventional residential buildings is designed to be consistent with the New York State Building Construction

Code, which regulates new construction.

119
!

i

3. Uniform Housing Code, 1979 Edition [5] - The International Conference

of Building Officials (ICBO) promulgates the Uniform Housing Code for

the conservation and rehabilitation of housing. It is intended to be

compatible with the Uniform Building Code.

I

4. Standard Housing Code, 1979 Edition [6] - The Standard Housing Code is

J published and maintained by the Southern Building Code Congress

International, Inc. (SBCCI) as a minimum code for the use, occupancy

and maintenance of existing buildings.

5. The BOCA Basic Property Maintenance Code, 1978 Edition [7] - This code

is published by the Building Officials and Code Administrators International, Inc. (BOCA) to establish minimum acceptable standards for

the maintenance of existing buildings.

6. Code Enforcement Guidelines for Residential Rehabilitation [8] - BOCA

developed a set of rehabilitation provisions and published them under

the title "Code Enforcement Guidelines for Residential Rehabilitation"

(First Edition, 1975). The studies that formed the basis for these

guidelines were conducted under a contract with the U.S. Department

of Housing and Urban Development (HUD) . Although published by BOCA,

the other three model code organizations cooperated in their development. The "Code Enforcement Guidelines" are also contained in the

"BOCA Basic Property Maintenance Code," 1978 Edition, as a separate

appendix.

j 7 . HUD's Minimum Design Standard for Rehabilitation for Residential

Properties [9] - Guidelines setting forth basic objectives and provisions specifically related to building rehabilitation have been

issued by the U.S. Department of Housing and Urban Development-Federal

Housing Administration (HUD-FHA) for use under various HUD-FHA mortgageinsurance programs dealing with property rehabilitation. These HUD

guidelines, contained in Handbook 4940.4 entitled, "Minimum Design

Standards for Rehabilitation for Residential Properties," were originall;

issued in September 1973. Several additions (e.g., provisions for

handicapped, elderly, lead-based paint hazards, thermal performance

measures, and earthquake hazards) and certain changes (e.g., to fire

protection and life safety provisions) were made to the Handbook and

incorporated in later versions.

COMPILATION OF MAJOR CODE AREAS FOR COMPARATIVE ANALYSIS

As would be expected, the organizational approach, format of the content,

and style of presentation for each code document deviated extensively.

Also, the treatment and extent of coverage in the context of specific code

provisions varied significantly from code to code. To make valid one-on-om

comparisons, the code documents had to be dissected and rearranged in a format that would facilitate comparison. Sixteen major code areas were decided upon after studying the overall content of the seven documents. Not I codes had provisions that addressed all of the major code areas. Similarly

120
in those major code areas where provisions existed, the degree and extent

of coverage fluctuated from code to code. Even though this unevenness with

regard to the provisions and their extent of coverage exists among the seven code documents, no direct or indirect attempt has been made to rank

or grade the codes. The sixteen major code areas decided upon for the

study are as follows:

1 Structural Requirements 8. Ventilation Requirements

2. Space, Occupancy and Facility 9. Mechanical Requirements

Requirements 10. Electrical Requirements

3. Windows and Doors 11. Plumbing Requirements

4. Stairs, Ramps, Landings, 12. Health and Sanitation

Porches, Balconies 13. Elevators

5. Fire Protection/Fire Safety 14. Chimneys, Vents and Incinerators

6. Means of Egress/Exits 15. Noise Abatement Requirements

7. Light and Illumination 16. Quality of Materials and Products

SPECIFIC COMPARISONS OF SELECTED CODE PROVISIONS

The following tables have been condensed from those contained in the full

study report [10] to illustrate some of the more explicit requirements in

the codes examined. The five housing code documents have been grouped

first in the tables with the two rehabilitation guideline documents also

grouped together below the housing codes.

Space, Occupancy, and Facility Requirements

Minimum floor area for habitable rooms - Room sizes based on floor area

are used to set maximum density in terms of number of occupants in dwelling units and for defining what is or is not a habitable room. Table 1

summarizes the minimum required floor area for habitable rooms in the code

documents examined.

The codes generally require at least one habitable room per dwelling unit

and as indicated there is general agreement among the housing codes that

for the first occupant the floor area should be at least 150 square feet.

The APHA-CDC Ordinance, Standard Housing Code, and BOCA Housing Code agree

on the 100 square feet requirement for each additional occupant, while the

New York State and Uniform Housing Code do not address additional occupants.

These latter codes do have minimum horizontal dimensions for the habitable

room, but differ by three feet on the minimum length of the dimension.

The BOCA Rehabilitation Guidelines defer to local codes and ordinances,

while the HUD Rehabilitation Standards set its minimum room areas on the

number of bedrooms in the living unit.

121
Table 1: Minimum Floor Area for Habitable Rooms

CODE/ STANDARD First Occupant

(Sq. Ft.) Each Additional

Occupant (Sq. Ft.) Minimum Horizontal Dimension (Ft.)

APHA-CDC ORDINANCE 150 100 -

N.Y. STATE MODEL . 150 • - 10

UNIFORM (ICBO) 150 7

STANDARD (SBCCI) 150 100

BASIC (BOCA) 150 100

REHAB GUIDELINES

(BOCA) As required by local code or ordinance

HUD/FHA MINIMUM

REHAB STANDARDS

140 for 1 and 2 bedroom units

150 for 3 or more bedroom units 10

" 1

Minimum floor area for sleeping purposes - Rooms to be used for sleeping

purposes also have minimum floor area requirements. These floor areas are

also prescribed on the basis of number of occupants as indicated in Table

Table 2: Minimum Floor Area for Sleeping Purposes

CODE/ STANDARD Floor Area Per Occupant

(Sq. Ft.) Minimum

Horizontal Dimension

(Ft.)

APHA-CDC ORDINANCE 70 for one occupant

50 per occupant for more

than one occupant

N.Y. STATE MODEL 80 7

UNIFORM (ICBO) 70 for one or two occupants

50 per occupant for more than

two occupants

7

STANDARD (SBCCI) 70 for one occupant

50 per occupant for more than one occupant

BASIC (BOCA) 70 for one occupant

50 per occupant for more

than one occupant

REHAB GUIDELINES

(BOCA)

HUD/FHA MINIMUM

REHAB STANDARDS

70 for single bedroom

110 for double bedroom

78 2/3

122
The 80 square feet given for the New York State Code is apparently not

based on occupant density, however, the provision is not clear as presented in that code. The other housing codes specify an area of 70 square

feet for the first occupant, except the Uniform Housing Code which allows

two occupants in the same 70 square feet room. Minimum horizontal dimensions of seven feet for sleeping rooms are given by only two of the

housing codes (New York State and Uniform) and the HUD Rehabilitation

Standards, which sets its minimum room areas again on number of bedrooms

in the unit. The BOCA Rehabilitation Guidelines have no specific

requirements

Minimum floor area for kitchens - The code documents examined treat minimum

kitchen area requirements with some variation and in other cases do not

have any specific requirements. Table 3 depicts the code requirements.

Table 3: Minimum Floor Area for Kitchens

CODE/ STANDARD Kitchen Floor Area (Sq. Ft.) Minimum Horizontal

Dimension (Ft.)

APHA-CDC ORDINANCEArea adequate for circulation and

required equipment

N.Y. STATE MODEL 60 7

UNIFORM (ICBO)

STANDARD (SBCCI)

BASIC (BOCA) 50 for 1 to 5 occupants

60 for 6 or more occupants

REHAB GUIDELINES

(BOCA)

HUD/FHA MINIMUM

REHAB STANDARDS

50 for 1 and 2 bedroom units

60 for 3 or more bedroom units 5 1/3

The APHA-CDC Ordinance is a simply stated performance requirement, the

New York State Model specifies a 60 square feet minimum area with a minimum

horizontal dimension of seven feet and the BOCA Housing Code scales the

requirement to the number of occupents. The HUD Rehabilitation Guidelines

either do not address the requirement or leave it to local regulations.

Minimum ceiling height for habitable rooms - Ceiling requirements for

habitable rooms also differ among the code provisions examined, as indicated in Table 4.

123
Table 4: Minimum Ceiling Height for Habitable Rooms

CODE/ STANDARD Minimum Ceiling

Height (Ft.)

Rooms With Slopin g Ceilings Portion of Floor

Area Required for Clear Ceiling

Ceiling Height Disallowed (Ft.)

APHA-CDC

ORDINANCE 7 1/2 5

N.Y. STATE MODEL 7 1/2 1/2 5

UNIFORM (ICBO) 7 1/2

7 for kitchens, halls and bathrooms

1/2 5

STANDARD (SBCCI) 7 1/2 5

BASIC (BOCA) 7 1/3 1/3 5

REHAB GUIDELINES

(BOCA) 7 1/2 5

HUD/FHA MINIMUM

REHAB STANDARDS

. . . permit average person to move about comfortably and create

no unpleasant sensation (Guide suggests 7 1/2')

Three codes have a seven feet minimum, two specify seven and one-half

feet, and another requires seven and one-third feet. The HUD Rehabilitation Standards proposes that ceiling heights be such that they will permit

the average person to move about comfortably and create no unpleasant sensa

tion and suggests as a guide that minimum heights be seven and one-half

feet. There is general agreement among five of the codes on the minimum

fraction of floor area and clear ceiling height for rooms with sloping

ceilings to qualify as habitable rooms. All specify that at least one- half of the floor area of such rooms must meet the minimum ceiling height

requirement; but the BOCA Housing Code reduces the fractional floor area requirement to one-third of the area. The codes are consistent in disallowing any portion of the room with ceiling heights less than five feet

from being considered as part of the required area of habitable space.

Natural Lighting

Minimum requirements for natural lighting in habitable rooms - Daylighting

of habitable rooms by means of windows or other glazed exterior openings

is a minimum requirement of all seven codes reviewed. The following data

is a tabulation of the salient requirements for natural lighting.

124
Table 5: Minimum Requirement for Natural Light in Habitable Rooms

CODE/ STANDARD Window Area, % of Floor

Area of Room

Other Conditions

For Natural Light

APHA-CDC ORDINANCE 10% No structures closer

fL lian l 1 d 1 1 J

T ft- L L » t-o LU rpntH 1 — '-| U I rpd i ^ window

N.Y. STATE MODEL ±U/o Mi1 IUbtot"L f1 aLr a^o i^i U J. T"o 1 c fI

t"LTi uV W1

open space

UNIFORM (ICBO) 10% Min. glazed area of 10 sq . ft. required

STANDARD (SBCCI) 8% At least 15% of floor

area for skylights

BASIC (BOCA) 8% No structures closer

than 3 ft. to required window

REHAB GUIDELINES

(BOCA) 8% Openings to open directly onto street, or alley

or onto a court located

on same lot as building

HUD/FHA MINIMUM

REHAB STANDARDS 10% Applies to new remodeled

rooms

The required minimum window area for admission of natural light to

habitable rooms is 10 percent of the floor area for four of the codes and

8 percent for the remaining three. The Uniform Housing Code further

specifies an absolute minimum glazed area of ten square feet and the

Standard Housing Code requires the minimum daylighting area to be 15

percent of the floor area if the required opening is a skylight.

Ventilation

Minimum requirements for ventilation of habitable rooms - All of the

code documents evaluated require natural ventilation of all habitable

rooms. Practically all of the codes directly integrate their ventilation

requirements with the provisions for natural light, since the natural ventilation requirements usually are a function of the window area reauirements

for natural lighting. The specific requirements applicable to natural

ventilation are summarized as follows.

125
Table 6: Minimum Requirements for Ventilation of Habitable Rooms

CODE/STANDARD Required Minimum Clear

Area Natural Ventilation

Provisions for Alternate

Means of Ventilation

APHA-CDC ORDINANCE

45% of min. window area Other approved device affording adequate ventilation

N.Y. STATE MODEL 5% of floor area Mechanical ventilation

may be provided in addition to natural ventilation, but not as

a substitute

UNIFORM (ICBO) 5% of floor area

Min. area of 5 sq.ft.

required

Mechanical ventilation

may be used as alternate,

2 air changes/hour, 20% fresh air

STANDARD (SBCCI) 45% of min. window area Mechanical ventilation

may be used as alternate, except in sleeping rooms

BASIC (BOCA ) 45% of min. window area Mechanical ventilation

may be used as alternate

REHAB GUIDELINES

(BOCA) 5% of floor area Mechanical ventilation

may be used as alternate,

2 air changes/hour; 80% maximum recirculation

HUD/FHA MINIMUM

REHAB STANDARDS

5% of floor area Provides an exception for interior rooms

Minimum natural ventilation criteria are based on 45 percent of the minimuc

glazed area of openable windows or other exterior openings (e.g., skylights, etc.) for three of the codes. "Minimum glazed area" is the require

ment for natural light for habitable rooms and as indicated previously is

normally 8 or 10 percent of the floor area.

The other four codes use 5 percent of the floor area of the room as the

minimum requirement for openable area to allow for circulation of outside

air. The Uniform Housing Code further stipulates an absolute minimum opem

able area of 5 square feet for natural ventilation. Overall, it appears

that these two arbitrary 'rule of thumb' approaches (i.e., 45 percent of

glazed area and 5 percent of floor area) to specifying ventilation provisions are for all practical purposes equivalent but more significantly

appear to lack any rational technical basis for ensuring the attainment of an important health goal.

Minimum Requirements for ventilation of bathrooms - The code requirements

for ventilation of bathrooms are summarized in Table 7.

126
j Table 7: Minimum Requirements for Ventilation of Bathrooms

CODE/ STANDARD Minimum Bathroom Ventilation Requirement

APHA-CDC ORDINANCE Same as for Habitable Room, except no window required

if approved mechanical ventilation provided

N.Y. STATE MODEL Natural Ventilation: Min. opening of 1 1/2 sq. ft. Mechanical Ventilation: Exhausting min. of 25 cfm

UNIFORM (ICBO) Natural Ventilation: 5% of fin floor area; Min. opening of 1 1/2 sq. ft. Mechanical Ventilation: 5 air changes/hour j 100/^ fresh air

STANDARD (SBCCI) Same as for Habitable Room, except no window required

if approved mechanical ventilation provided

BASIC (BOCA) Same as for Habitable Room, except no window required

if approved mechanical ventilation provided

REHAB GUIDELINES

(BOCA) Natural Ventilation: 5% of floor area Mechanical Ventilation: 5 air changes/hour, 100% fresh

air

HUD/FHA MINIMUM

REHAB STANDARDS

Same as for Habitable Room, except no window required

if approved mechanical ventilation provided

Overall, the code provisions are inconsistent or incomplete in defining

mechanical ventilation air quantities in terms of air changes per hour

and amount of recirculation allowed. In several cases the codes defer

to an "approved" system of mechanical ventilation and in most cases the

term approved means approved by local regulatory officials.

Electrical Requirements

Minimum electrical service and facilities - The following tabularized

information provides a digest of the minimum code requirements for

electrical service to a dwelling along with an indication of the electrical facilities required per habitable room.

127
Table 8: Minimum Electrical Service Requirements

CODE/ STANDARD Minimum Requirements

For Electrical Service Electrical Outlets/FixturesPer Habitable Room

APHA-CDC ORDINANCE 1- 15 amp circuit/dwelling

unit^No sharing with other

units)

2 convenience outlets (1 may

be ceiling or wall fixture)

N.Y. STATE MODEL 1-15 amp circuit/400 sq.

ft. of floor area or fraction

1 outlet/20 ft. or fraction

(1 fixture may be substituted

for outlet)

UNIFORM (ICBO) (where available within

300 ft. of building)

2 convenience outlets (1 may

be ceiling or wall fixture)

STANDARD (SBCCI) (where available to the building)2 convenience outlets (in addition, at least 1 wall

switch controlled fixture

in bedrooms

BASIC (BOCA) (where available to the building)

2 convenience outlets (1 may

be ceiling or wall fixture)

REHAB GUIDELINES

(BOCA) ...replace systems of inadequate capacity or

that are potential

hazards

...distribution of fixture and/or outlets shall be so as to provide satisfactory illumination

HUD/FHA MINIMUM

REHAB STANDARDS 2-15 amp general lighting circuits 1-20 amp appliance circuit (New electrical work)

...system of wiring to safety

supply electrical energy

The three major model housing codes do not specify any minimum requirement for electrical service capacity in dwelling units but leave it

subject to its' availability to the premises. On the other hand, the

rehabilitation guideline documents are definite in their requirement for

such service and assume that electrical service exists or will be install

in conjunction with the building rehabilitation process. The APHA-CDC

Ordinance has a minimum requirement of at least one 15 amp circuit per

dwelling unit* which is quite low in contrast to the New York State Model

Housing Code's requirement of one 15 amp branch circuit for each 400

square feet of total dwelling unit floor area and an additional 15 amp

small appliance circuit in kitchens. With certain variations, four of

the housing codes require a minimum of two convenience outlets per habitable room. In most cases, a ceiling or wall light fixture is allowed to

fulfill the requirements for one of the convenience outlets, except for

the Standard Housing Code, which requires that bedrooms have a wall

switched light fixture in addition to the two convenience outlets.

* "Dwelling Unit" is defined as a room or group of rooms located within

a dwelling forming a single habitable unit with facilities used or intended to be used by a single family for living, sleeping, cooking

and eating purposes.

128
The New York State Model Housing Code differs from the other codes by

j basing the number of convenience outlets on the perimeter of the room

(1 outlet per every 20 feet or fraction thereof). In contrast to the

housing codes as a group, the rehabilitation guideline documents do not

prescribe any minimum distribution of convenience outlets or lighting

fixtures throughout various rooms. For the most part, the requirement is

stated in terms of "satisfactory illumination," "supply electrical energy

for proper illumination," etc.

The minimum outlet and lighting requirements given for kitchens, bathrooms,

and other spaces, when specified, vary from being the same as for a habitable room to as many as a combination of four outlets and fixtures. Table

9 summarizes the required minimum outlets and fixtures by type of dwelling

space.

Table 9: Minimum Electrical Outlets/Lighting Fixtures*

CODE/STANDARD Habitable

Rooms KitchensKitchenettes

Bathrooms, Halls,

Laundry

Outlets Fixtures Outlets Fixtures Outlets Fixtures

APHA-CDC

ORDINANCE

21

0

1 1

N.Y . STATE MODEL 1 outlet/20 ft. or fraction. (1 fixture may be substituted)

2 1 1 1

UNIFORM (ICBO)

2

1

0

1

1

STANDARD (SBCCI) 2 1 in

bedrooms 3 1 1 1

BASIC (BOCA)

2

1

0

1

3

2

0

1

1 1

REHAB GUIDELINES ...distribution of fixtures and/or outlets shall be so as to (BOCA) | provide satisfactory illumination

HUD/FHA MINIMUM ...be provided and so distributed as to assure healthful con- REHAB STANDARDS j ditions and satisfactory illumination in all rooms

* "Outlet" refers to wall type duplex electric convenience outlets.

"Fixture" refers to a wall or ceiling type electric light fixture.

Where a code allows substitution of a lighting fixture for a con- venience outlet, both alternatives are given in the table separated

by a dashed line.

129
Heating Facilities

Minimum comfort requirements for habitable rooms - The minimum indoor

thermal standards for winter heating required by the code documents

studied are given in Table 10 . The room location or conditions for

measurement of the required ambient indoor temperature are also given.

Table 10: Minimum Comfort Requirements for Habitable Rooms

CODE/ STANDARD Minimum Temperature To

Be Maintained (°F) Measurement Conditions

ArnA—CDC UKDINAflLfc, 68 3 ft. above floor under ordinary winter conditions

N.I. biAlr. riUULL 70

(55 from 11:00 p.m.

to 6:00 a.m.)

5 ft. above floor

3 ft. from exterior wall

UNIFORM (ICBO) 70 3 ft. above floor

STANDARD (SBCCI) 70 3 ft. above floor under ordinary winter conditions

BASIC (BOCA) 65 3 ft. above floor

3 ft. from exterior wall

REHAB GUIDELINES

(BOCA) As required by local code or ordinance

HUD/FHA MINIMUM

REHAB STANDARDS

70

(75 in housing for

the elderly)

. . .when outside temperature

is at the design temperature

The minimum indoor temperature that the heating system must maintain

ranges from 65°F to 70°F among the code documents, except that the

BOCA Rehabilitation Guidelines defer the requirement to local regulations. Also, the New York State Model Housing Code is the only code to

allow a night setback temperature of 55 °F from 11:00 pm to 6:00 am, and

the HUD Rehabilitation Standards specifies a temperature of 75 °F in

housing for the elderly.

As indicated by the data, the exact conditions for measurement of the room temperature varies to some extent among the codes.

130
Domestic Hot Water Facilities

Minimum water heating and service requirements - All of the codes specify

that "hot water" or "heated water" facilities be provided. Where a temperature is specified in the codes it varies considerably among the

codes. Neither of the rehabilitation guideline documents specifies a minimum temperature level or range to be maintained for domestic hot

water. Where given, the required temperatures varied from a low of 110°F

(Uniform Housing Code) to a high of 130°F to 140°F from 6:00 am to

midnight (New York State Model Housing Code) . The three other housing

codes were in apparent agreement with a minimum temperature requirement

of 120°F. The Standard Housing Code has a specific requirement of 30

gallons for the storage capacity of the water heater, as does the HUD

Rehabilitation Standards. The comparative information on the specific

code requirements for domestic hot water facilities are summarized in

Table 11.

Table 11: Minimum Water Heating and Service Requirements

CODE/ STANDARD TEMPERATURE °F STORAGE CAPACITY

APHA-CDC ORDINANCE 120 ...provide supply

and distribution

N.Y. STATE MODEL 130-140

from 6:00 a.m. to midnight. . .provide hot water supply

system

UNIFORM (ICBO) 110 . . .necessary for normal operation

STANDARD (SBCCI) 120 30 gal.

BASIC (BOCA) 120 ...adequate amount

for required kitchen sink, lavatory basin, bathtub and laundry facility

REHAB GUIDELINES

(BOCA) Provide hot water ...provide supplyand distribution

HUD/FHA MINIMUM

REHAB STANDARDS Provide domestic hot water and storage for each unit

... in quantities

sufficient for

the needs of occupants (30

gal. for gas

or oil; 52 gal. for electric)

131
SUMMARY

The results of this evaluation, which in its final form will compare and

analyze in detail all the technical provisions in the applicable code

documents, should give a good profile of the performance levels expected,

at least from a regulatory viewpoint, for existing residential buildings.

I

I Based on preliminary results, as indicated by the comparisons presented

in this paper, there exists significant variations in similar provisions

among the several codes. For example, for natural ventilation in habitable rooms, the code requirements vary from fixed dimensions of five

square feet to five percent of the floor area to forty-five percent of th< glazed area. Another consideration is the perception that many of the

code provisions have been developed empirically and are lacking in

scientific merit. In this regard, a research agenda is needed to develop

health, safety, and social well-being criteria from which meaningful

provisions for housing codes and rehabilitation standards can be

formulated

REFERENCES

1. Berry, Sandra A., Editor, "Proceedings of the National Conference on Regulatory Aspects of Building Rehabilitation," NBS Special Publication 549, National Bureau of Standards, Washington, D.C., August 1979.

2. Gross, James G. , James H. Pielert and Patrick W. Cooke, "Impact of

Building Regulations on Rehabilitation - Status and Technical Needs,"

NBS Technical Note 998, National Bureau of Standards, Washington, D.C.

May 1979.

3. APHA-CDC Recommended Housing Maintenance and Occupancy Ordinance , 1975 Revision; U.S. Department of Health, Education and Welfare,

Public Health Service, Center for Disease Control, Atlanta, Georgia

30333.

4. New York State Model Housing Code , 1974 Edition; New York State Division of Housing and Community Renewal, Housing and Building Codes

Bureau, Two World Trade Center; New York, New York 10047.

5. Uniform Housing Code , 1979 Edition; International Conference of

Building Officials (ICBO) , 5360 South Workman Mill Road, Whit tier,

California 90601.

6. Standard Housing Code , 1979 Edition; Southern Building Code Congress

International, Inc. (SBCCI) , 900 Montclair Road, Birmingham,

Alabama 35213.

7. BOCA Basic Property Maintenance Code , 1978 Edition; Building Officials

and Code Administrators International, Inc. (BOCA), 17926 South

Hals ted, Homewood, Illinois 60430.

132
8. Code Enforcement Guidelines for Residential Rehabilitation , 1975

Edition; Building Officials and Code Administrators International

Inc., (BOCA), 17926 South Halsted, Homewood, Illinois 60430.

(Also printed as Appendix B in the BOCA Basic Property Maintenance

Code , 1978 Edition.)

9 . Minimum Design Standards for Rehabilitation for Residential Properties , HUD Circular 4940.4, February 1978 (revised through August

22, 1978), U.S. Department of Housing and Urban Development,

Washington, D.C. 20410.

10. Cooke, Patrick W. , "Comparison of Selected Codes and Standards Relating to Existing Residential Buildings," National Bureau of

Standards, Washington, D.C. (In review.)

133
I

\
PROBLEMS IN HOUSING CODE ENFORCEMENT:

A FOCUS ON THE BUDGET

by

Carol B. Meeks, Ph.D.

Associate Professor

Dept. of Consumer Economics and Housing

NYS College of Human Ecology, Cornell University

Ithaca, New York

A housing code is one option available to communities concerned with

maintenance of housing quality. Housing code administrators in New

York State identified lack of financial and human resources as two key

problems in code enforcement.

Primary attention in this paper is given to analysis of community housing

code budgets which varied considerably among communities.

In a log-log regression equation, the size of per capita housing code

budgets was significantly influenced by the number of housing code

inspections conducted, the percent of revenues obtained from property

taxes and the percent of owner occupied housing.

Practitioners can compare the results with their own situation.

Key words: Budgets; economic analysis; enforcement; housing codes;

personnel.

135
One of the major indicators of a community's viability is the quality of

its housing stock. A housing code is one weapon that local communities

can use to attack poor quality housing. However, that a community has

a housing or building code is no guarantee that minimum standards of

health, safety and welfare are being met, that blight is arrested or that the housing stock has improved. Effective code administration and

enforcement are necessary to assure that minimum standards of housing

quality are being achieved. A sample of 133 housing code administrators

in New York State identified the following problems in order of priority

in housing code enforcement:

1. lack of financial resources,

2. lack of human resources,

3. lack of public interest, and

4. lack of standard relocation housing.

Each of these problems will be discussed in this paper. However, primary

attention is given to factors which have been found to influence the

size of community housing code budgets, since financial concerns were

identified both here and in previous work by Lieberman and Slavet and

Levin as a primary problem in code administration.

Housing Code Budget Model

Obviously a city has a demand for a variety of goods and services,

housing codes being only one of these items. *• A city's preferences can be expressed as follows:

U = U (E, D, C, M) where

Li V» E = code enforcement

D = quality of housing

C = characteristics of a city and its residents

M = all other municipal goods and services

Barnet Lieberman, "The Administrative Process—Housing Code Enforcement," The Urban Lawyer , 3: (1971), p. 45; and Joseph S. Slavet and Melvin

R. Levin, New Approaches to Housing Code Administration , (NCUP Research

Report No. 17), Washington, D.C.: U.S. Government Printing Office, 1969,

p. 44.

A housing code is designed to preserve and protect existing

structures, and set standards for facilities' conditions for use and

occupancy for the health, safety and general welfare of the occupants.

136
This equation states that a municipality's preferences depend on housing

codes as well as all other municipal goods and services, characteristics

of the city, housing code enforcement, and quality of housing.

The city attempts to maximize its preferences within the confines of

its budget. The budget is allocated for code enforcement (P]tE) and all

other goods and services (P^M) . The city's budget constraint can be

expressed as:

TR = P

£

E + P^

where TR = tax revenues

Allocation of resources for housing codes will depend on the amount of

resources or revenues, the cost of code enforcement relative to other

goods and services, and the preference for housing codes relative to

other goods and services.

Variables which contribute to a community's costs, resources, and

preferences for housing codes account for the position of the community's

budget line and the community's preference structure as represented by

its indifference curve between housing code enforcement and all other

goods (Figure 1). To the extent that these variables differ between

cities, the position of the budget line will differ, assuming the price

of housing codes relative to all other goods is the same in both communities .

Variables which contribute to the costs per unit of housing code enforcement will determine the slope of the budget line (Figure 2) . To the

extent that these variables differ between communities, the slope of the

budget line will differ. Even if the preference structure as represented

Figure 1. Housing Code Budget Lines Figure 2. Costs Per Unit of Housing

for Two Cities Code Enforcement Determine the Slope of the

Housing Code Budget Line

137
by its indifference curve is similar, less housing code enforcement will

be purchased by the community with the higher costs.

3

Code enforcement has both a quantity and quality dimension. The effectiveness of code enforcement is determined to a great extent by factors

which increase or decrease the quality and quantity. Therefore, housing

code enforcement (E) can be expressed as:

E = QL

I

where QT = Quality of inspection

Li

I = Number of inspections

This breakdown implies that a given number of inspections in one municipality will not have the same effect as the same number of inspections in another city, to the extent that the quality of inspections

varies between municipalities.^ However, quality of inspections is not

observable, only quantity is. Since quality is unobservable and there

is a confounding between quality and price, this study examines housing

code budgets to avoid trying to separate quality from price.

Data

This study analyzes a set of variables which are thought to represent

city preferences and characteristics and resources available, as they

relate to housing code enforcement expenditures.

Data used in this study were obtained from a mail questionnaire sent

in 1975 to 198 housing code administrators in communities in New York

State which were over 3000 in population and identified as having a housing code. ^ After additional mail and telephone follow-ups, the

eight page questionnaire was completed by 133 officials or 67 percent

of those contacted, representing 39 cities, 39 towns, 53 villages and

2 boroughs of New York City.

Variables

Housing Code Budgets

The measure of expenditures for housing code enforcement is the housing

code budget as specified by survey respondents. The budget includes all

Barbara Sherman, "Factors Related to the Probability that

Municipalities in New York State Participate in Housing Rehabilitation

Programs," M.S. Thesis, Cornell University, January 1979, p. 47.

4

Sherman, p. 47.

~*For more details on sample and data collection see Carol B. Meeks

and Eleanor Oudekerk, A Review of Housing Codes in New York State , Research Paper 77-1, Department of Consumer Economics and Housing,

Cornell University, Ithaca, New York, 1977.

138
components of the housing code program since local officials could not

separate enforcement expenditures from other expenditures. Housing code

budgets for 1975 in New York State ranged from a low of zero to a high

of $20 million—the zero in smaller communities and the $20 million in

the boroughs of New York City (Table 1) . About half the sample spent

less than $20,000. Villages spent the least and cities in general the

most. Smaller communities had lower budgets than larger communities.

Mean and median budgets were examined by community size (Table 2)

.

Within each group as well as between groups, there was a considerable

range in the size of the budget. Places of 100,000 or less tended to

have average budgets not too dissimilar from their medians. However,

places over 100,000 exhibited considerable differences in the amount

spent, so that the very high budgets of a few communities skewed the

mean.

Since size of community played a key role in variance of housing code

budgets, per capita expenditures were examined. It was found that

expenditures for the majority of respondents were similar to the ranges

reported by Slavet and Levin in 1967 in which communities under 100,000

averaged between $0.71 and $1.31 per capita. ^ The range of per capita

expenditures in the New York State communities went from $0.86 to

$8.08.

In describing the amount of variation in a population, a measure called

the coefficient of variation is often used.' It is the standard deviation expressed as a fraction or percentage of the mean. It is a measure

of the variation in a variable relative to the size of the variable.

A knowledge of the relative variation allows for the evaluation of the

variability in budgets or per capita budgets over population size. The

coefficient of variations for both budget and per capita budget are large (Table 2).

Per capita budget is the measure used in the regression analysis. The

measure of per capita budget is the housing code budget divided by

number of year-round housing units. Number of year-round housing units

is highly correlated with population (r = .997). Year-round housing

units was thought to be a more stable measure of a community's size and

housing needs than population since household size is declining.

Independent Variables

A set of seven independent variables were chosen for empirical examination. These variables were thought to relate to community preferences

and budget constraint.

Slavet and Levin, p. 145.

^George W. Snedecor and William G. Cochran, Statistical Methods , Ames

Iowa: The Iowa State University Press, Sixth Printing, 1973, pp. 62-63.

139
Table 1. Housing Code Enforcement Budgets, By Type and Size of Municipality.

Municipality Population of Municipality

(in thousands)

Cities Towns Villages Boroughs 3-10 10-25 25-50 50-100 100+ Total

Budget % % N % N % N X N % N N % N %

Under $5,000 4 (10.3) 12 (30. 8) 18 04. 0) - 24 (40. 0) 9 (22.5) 1 (12. 5) 34 (25.6)

5,001-20,000 12 (30.8) 7 0.7. 9) 20 (37. 7) - 22 (36. 7) 15 (37.5) 2 (13 3) 39 (29.3)

20,001-50,000 8 (20.5) 2 ( 5 1) 4 ( 7 5) - 2 ( 3. 3) 4 (10.0) 6 (40 0) 1 (12 5) 1 ao.o) 14 (10.5)

50,001-100,000 4 (10.3) 1 ( 2 6) 1 ( 1. 9) 1 ( 2.5) 2 (13 3) 2 (25 0) 1 ao.o) 6 ( 4.5)

100,001-1 million 3 ( 7.7) 3 ( 7 7) 1 ( 1. 9) 2 (13 3) 1 (12 5) 4 (40.0) 7 ( 5.3)

1 million20 million 2 ( 5.1) 2 (100. 0) — 4 (40.0) 4 ( 3.0)

Not reporting 6 (15.4) 14 (35 9) 9 (17 0) - 12 (20. 0) 11 (27.5) 3 (20 0) 3 (37 5) 29 (21.8)

Totals3

39 (100.1) 39 (100 .0) 53 (100 • 0) 2 (100 0)60(100 .1) 40 (100.0) 15 (99 9) 8 (100 .0) 10a00. 0)133(100.0)

Columns do not add up to 100% due to rounding.

Table 2. Description of Budget and Per Capita Budget Expenditures

by Size of Municipality

Population N Mean

Standard Deviation

Coefficient

of Variation Range

BUDGET ($) 3,00-10,000 48 7,270 6,113 .84 0 to 24,000

10,001-25,000 29 14,670 14,312 .97 0 to 72,705

25,001-50,000 12 60,978 63,516 1.04 7,830 to 223,199

50,001-100,000 5 70,000 52,915 .76 0 to 135,000

100,001 and over 10 4,276,797 7,392,727 1.72 30,000 to 20,000,000

All places 104 429,078 2,523,243 5.88 0 to 20,000,000

PER CAPITA BUDGET ($) 3,000-10,000 48 1.30 1.08 .83 0 to 4.05

10,001-25,000 29 0.86 0.70 .81 0 to 3.36

25,001-50,000 12 1.86 1.82 .98 .31 to 6.74

50,001-100,000 5 1.20 1.00 .83 0 to 2.68

100,001 and over 10 8.08 16.50 2.04 .15 to 54.16

All places 104 1.89 5.39 2.85 0 to 54.16

140
Number of Inspections. It is expected that economies of scale result

as the number of inspections increases. "Not only will the average

fixed costs of code enforcement decline as the number of inspections

increases, but over some range, average variable costs are likely to

decline as well."^ At any given time, one more inspection is not likely

to require an additional inspector or more support staff.

However, number of inspections was highly correlated with number of

complaints (r = .813) and number of inspectors (r = .852). So that as number of complaints increase, number of inspections increase so that

number of inspectors needed increase. Because of multicollinearity

concerns, only number of inspections is used in the analysis.

Age of Housing Code. Effective code administration requires time for

development and organization. Age of the housing code was thought to

partially represent the institutionalization of the code and the experience of personnel and the municipality with it. To some extent it

also represents a city's preference for housing codes and desire for

quality housing.

More than 70 percent of the housing codes in the survey were less than

15 years old. Eight municipalities had housing codes prior to 1954;

49 more adopted them between 1955 and 1964 and 70 communities adopted

one between 1965 and 1975.

The condition of housing within a community reflects the city's preference for housing and the cost of maintaining or improving that stock.

Several variables were selected to represent housing condition.

Age of Housing Stock. Cities with a higher percentage of older housing

units are thought to have a greater percentage of poor quality housing.

In addition, it is expected that newer housing units are built to the

higher standards included in modern building codes. Municipalities

with poorer quality housing are expected to require more resources for

code administration to improve that stock. Thus, there would be a greater demand and larger budget for housing codes. However, code

enforcement programs often avoid areas with the most serious problems

so that budgets may not actually increase with age of the housing stock.

The variable used to measure age of a city's housing stock is the percentage of housing units built before 1939.

Plumbing Facilities. Housing lacking in plumbing facilities will not

meet most housing codes so that a community may require a larger budget

for inspection and enforcement. Plumbing facilities is measured as percent of housing lacking some or all plumbing.

Housing Tenure. Studies have found that poor quality housing

tends to be concentrated among central units rather than owner occupied

Sherman, p. 52.

141
units. ^ Rental housing often receives more attention from housing code

officials than owned housing since tenants are likely to complain. In

addition, owners may have more legal protection of their privacy. 10

Cities with a large percentage of owned units are thought to demand less

housing code enforcement and thus, less money is needed for a housing

code program.

Income. Low income households usually occupy poor quality housing.

H

If a community has a large number of low income households, their

housing stock may be poorer. Property owners are not likely to make

investments in areas in which there is little likelihood of return.

Low income households may demand code enforcement whereas property

owners may discourage its use. Household income was measured as percent of families below poverty.

Municipal Revenues . As a municipality's revenues increase, more funds

become available for expenditures and hence, there are likely to be more funds available for housing codes. Although state and federal

assistance could be provided for housing code programs, local revenue

is the most important source. Slavet and Levin report that most financial support for housing code programs is generated via the local

property tax. 1 ^

Respondents in the present study relied heavily on general revenues for

their housing code programs. Over one-half of the communities relied

on general revenues exclusively and another 25 percent relied upon it

for half to 95 percent of their code enforcement budget.

Special revenues were not specified as a financial source for code

enforcement by 77 percent of the sample. However, for three communities

less than 25,000 in population, this was their sole source of support.

More than 60 percent of the communities did not use fees at all. Most

Michael A. Stegman, Housing Investment in the Inner City: The

Dynamics of Decay , Cambridge, Massachusetts: The MIT Press, 1972, p. 34;

William G. Grigsby and Louis Rosenburg, Urban Housing Policy , Rutgers

University, N. J. : Center for Urban Policy Research, 1975, p. 62.

10Kathleen L. Barber, "Inspecting the Castle: The Constitutionality

of Municipal Housing Code Enforcement at Point of Sale." Loyola University of Chicago Law Journal , Vol. 10, No. 1 (Fall 1978), p. 1.

^U.S. Department of Housing and Urban Development, Housing in the

Seventies , Washington, D.C.: U.S. Government Printing Office, 1974, p.

169; David Birch, et al., America's Housing Needs: 1970 to 1980 , Cambridge, Massachusetts: Joint Center for Urban Studies, 1973, p. 4, 12;

Grigsby and Rosenburg, p. 67.

12

Slavet and Levin, p. 153.

142
of those communities which did cite fees as a source of funds stated

that they were not intended to cover all costs of enforcement. In the

analysis, percent of revenues derived from real property taxes and

assessments was the variable used.

Empirical Results

Of the 133 communities with housing codes, complete data existed for

86. Table 3 contains means and standard deviations of the independent

variables used in the equation. A log-log regression equation was estimated to determine the variables influencing per capita budget

(Table 4). 13

Multiple regression analysis is appropriate when examining the relationship between a continuous dependent variable and a set of independent variables. It allows for the examination of the net relationship

between the dependent variable and each independent variable, holding

all other variables in the equation constant. The regression coefficients

for a log-log equation are interpreted as follows: for each one unit

change in the independent variable, there is a percentage change in the

dependent variable of the amount of the coefficient.

2

The regression equation had an R of .38 which indicates that 38 percent

of the variation in housing code budgets was accounted for by the variables

included (Table 4). The equation was significant at the .01 level.

Number of inspections performed significantly increased the budget. For

each one percent increase on inspections conducted, the budget per

capita increased by ten percent.

Percent of owner occupied housing had the expected effect. As percent

of owner occupied housing increased, the per capita budget decreased by

two percent.

As the percent of revenues a community received from property taxes

increased, the amount allocated per capita for housing code budgets

increased one percent.

A linear regression equation was also run. The same variables

were significant and in addition percent of families below poverty

were significant at the .05 level. However, it was thought that

given the small dollar changes made in per capita budgets, percentage

changes were easier to understand. A regression equation was also

estimated with budget as the dependent variable, the same independent

variables were included as discussed here with the addition of year-round

housing units. Only two variables, number of year-round housing units

and number of inspections, were significant in the budget equation. It

is thought that the effect of population overwhelmed the effect of the

other variables.

143
Table 3. Means and Standard Deviations of Variables Used in the Regression Analysis (N=86)

Variables Mean S D.

Per Capita Budget ($) 1 39 1 46 Number of inspections 3,572 59 11,386 20 Age of housing code (years) 11 58 6 32 Percent older than 1939 60 78% 20 82% Percent lack of plumbing 2 99% 1 84% Percent owner occupied 61 68% 16 37% Percent below poverty 6 78% 2 98% Percent revenues property taxes 39 75% 17 33%

Table 4. Results of Log-Regression Analysis of Housing Code Budgets

(N=86)

Variables B^ Standard error

Number of inspections 0 10786* 0.04553

Percent lack of plumbing 0 00506 0.05701 Percent older than 1939 0 00055 0.00552 Percent owner occupied -0 02037** 0.00685

Percent families below poverty 0 05436 0.03675

Percent revenues property taxes 0 01278* 0.00552

Age of housing code -0 10184 0.12305 Constant -0 11092

F 6 84120**

R

2 0 38040

*significant at .05 level

**signif icant at .01 level

144
Although only statistically significant at the ten percent level, as

the percent of families below the poverty level increased, per capita

housing code budgets increased by five percent. Sternlieb found that

per capita municipal costs increase as the percent of families below

the poverty level increases.-^

Neither plumbing, age of housing, nor age of housing code were significant,

Human Resources

The most comprehensive codes and the most ambitious housing goals will

have no practical effect without adequate qualified staff to administer

and enforce a program. Much of the criticism leveled at many communities

for their failure to implement effective code enforcement programs identifies the problem of inadequate, poorly trained, underpaid personnel

in a low status occupation. This study reviewed the training,

qualifications and selection process of housing code inspectors and

administrators in the New York communities under study.

Qualifications

No clearcut picture merged regarding the basic qualifications needed

for housing inspectors. This confirms Hale's findings that there is no agreed-upon job description nor clear definition of qualifications other

than that of experience in construction.-^ In the current study respondents described basic qualifications consistently to include knowledge

or experience in building and construction, often for a specified period

of time. Most of the municipalities (77%) required some combination of

education, experience, and special knowledge. Nearly half also required

some form of examination.

Perhaps indicative of a trend toward careful definition of staffing

standards are the requirements listed by two of the municipalities. One

14

George Sternlieb, Housing Development and Municipal Costs , Rutgers

University, N. J. : Center for Urban Policy Research, p. 34.

"^Comptroller General of the United States, Enforcement of Housing

Codes: How It Can Help to Achieve the Nation's Housing Goal , Report to

the Congress, June 26, 1972, Washington, D.C.: U.S. General Accounting

Office, p. 47; Slavet and Levin, pp. 118-119.

16Robert L. Hale, Jr. and Aliceann Fritschler, The Present State

of Housing Code Enforcement , A Report to the U.S. National Commission

on Urban Problems by the National Association of Housing and Redevelopment Officials, October 1968, p. 221.

145
community which employed 17 inspectors required an associate degree,

state certification as environmental health technician, completion of a 12 week training course, and a civil service examination. The other

municipality employing 43 inspectors, which included "several different

titles, graded by skill and responsibility," insisted on high school

graduation plus three years experience in housing code enforcement, or

two years college plus one year as a trainee, or an equivalent combination of training and experience.

Size of Inspection Staff

The literature suggests no single preferred method for determining the

exact number of inspectors needed to carry out an effective housing

program. Most analyses revolve around HUD guidelines for staffing

ratios and workload formulae. These call for one inspector per 10,000

people or one per 1000 substandard dwelling units, based on the premise

that one inspector can inspect, reinspect, and obtain compliance on an average of 200 substandard dwelling units, or 600 standard units over a five year period.17 Both Hale and Taylor point out that the size of a community, the number of substandard dwellings, the age and type of

dwellings all have a bearing on the number of inspections, hence, the

number of inspectors needed.

The number of housing inspectors employed in communities in New York

State reflected the size of the municipality. The widest range in the

number of inspectors occurred among the largest communities. One place

over 100,000 had only one inspector while two declared that over 400 were in their employ. Sixty percent of the sample met or exceeded the

HUD suggested ratio of one inspector per 10,000 people. Twenty-four

percent of the sample employed one inspector per 10,001 to 20,000 people.

Another way of viewing the adequacy of the inspection staff is to look

at the relationship between the number of inspectors hired and the number

of inspections conducted. Over half the communities with one inspector

estimated that they did 250 or fewer inspections annually. Another 17

percent of the sample with a single inspector inspected an estimated

501 to 1500 places yearly.

Lieberman suggested that one full-time inspector should be able to

conduct 1900 inspections annually. On this basis, the survey data

indicated that 80 percent of the communities with one inspector were

Slavet and Levin, pp. 127-128.

18Hale, pp. 218-219; Daniel M. Taylor, A Guide for Codes Adoption

and Enforcement , Birmingham, Alabama: Southern Building Code Congress

International, Inc., n.d. , pp. 29-30.

146
adequately staffed. However, there is no information regarding the kind

of inspection made, the average length of time needed to complete the

job, or the amount of support staff available. Two other factors com- plicate the situation, the use of part-time inspection staff and the use of inspectional services of other departments or agencies.

Although only tentative conclusion can be made about housing code

personnel, it is noteworthy that there is a trend toward more professionalism, with increasingly well-defined staffing standards, especially in areas employing large numbers of inspectors.

Other Problems

Two other problems identified in the survey were lack of public interest

and lack of standard relocation housing. Citizens had little influence

in the adoption of a code and only 40% of the communities had a citizen

advisory or review board so that it is not surprising that there is a lack of public interest.

Relocation assistance may be offered to families forced to move because

of housing code violations. Most relocation assistance is available

from urban renewal, public housing or welfare agencies in the community.

Over half the municipalities (58%) did not give such aid. If assistance

was given, it was most frequently available in cities (46%) through public

agencies; two thirds of the towns and villages had no relocation assistance programs.

Summary and Conclusions

Housing code administrators in New York State identified lack of financial resources as a key problem in housing code enforcement. Other

problems identified included lack of human resources, lack of public

interest and lack of standard relocation housing .

Primary attention was given to financial resources. Housing code

budgets ranged from zero to $20 million with a mean of $429,078. The

mean per capita budget was $1.89.

Regression analysis indicated that number of inspections, percent of

housing owner-occupied, and percent of revenues derived from property

taxes all significantly influenced the size of housing code budgets in

the expected manner.

In looking at their own communities, housing code administrators can

use the data to compare their situation with other similar communities.

In addition, administrators with knowledge about their community situation and changes which may take place can make some predictions about

Howard A. Schretter, Housing Code Enforcement Study Guide , Athens, Georgia: University of Georgia, 1971, p. 54.

147
future needs and the budget necessary to finance the needs. For

example, if rental units are being converted to owned units, the role

of housing codes may decrease so that over time a smaller budget is

needed or the kind of inspection program conducted could change.

Similarly, if a community is experiencing an economic decline so that

family incomes are depressed, there may be a greater need for housing

code enforcement and hence, a larger budget. Thus, this study enables

practitioners to gain from the aggregated experiences of other housing

code officials and indicates areas for comparison and possible improvement in their own agency's functioning and budgeting.

This research was supported through Hatch Funds, Project 411 "Implications

of Housing Codes for Families and Rural Communities."

Special thanks is given to Jennifer Gerner, Assistant Professor,

Department of Consumer Economics and Housing, New York State College

of Human Ecology, Cornell University, Ithaca, New York for her helpful

comments on the paper.

148
SESSION 2B - ENERGY CONSERVATION AND

THE BUILT ENVIRONMENT

Moderator: Jack Kerin

Chief, Division of Codes and Standards

Department of Housing and Community

Development

921 10th Street

Sacramento, California

149

DEVELOPMENT AND EVALUATION

OF SOLAR STANDARDS AND CRITERIA

by

Robert D. Dikkers

Group Leader, Solar TechnologyCenter for Building Technology

National Engineering Laboratory

National Bureau of Standards

Washington, D.C.

Many organizations, including the National Bureau of Standards (NBS)

,

American Society of Heating, Refrigerating and Air -Conditioning

Engineers and the American Society for Testing and Materials, have

been very active during the past several years carrying out activities

relating to the development of standards and performance criteria

for solar heating and cooling applications. This paper, which describes various activities and accomplishments to date pertaining to

the development and evaluation of solar heating and cooling standards

and criteria, updates previous information presented by the author

at the First NBS/NCSBCS Joint Conference held in 1976.

Key Words: Buildings; cooling; durability/reliability; performance

criteria; safety; solar collectors; solar energy; standards

thermal performance

151
INTRODUCTION

Considerable progress is being made in the development of standards and

criteria which will help provide a sound base for a viable solar heating and cooling industry. The purpose of this overview paper is to

describe some of the major program efforts which are underway in both

the public and private sectors to develop and evaluate such standards

and criteria, and to outline some of the related accomplishments which

have been achieved during the past few years.

A number of key objectives to help stimulate the use of solar energy

are specified in the DoE National Program Plan for Solar Heating and

Cooling of Buildings (DoE/CS-0007 , July 1978). One of these objectives

relates to the development of solar performance standards and criteria,

with appropriate provisions for consumer protection. Another objective

pertains to the availability of accredited private sector testing

facilities. A major emphasis of National Bureau of Standards (NBS)

efforts during the past five years has been working with the Department

of Energy (DoE) , the Department of Housing and Urban Development (HUD)

and other members of the building community to help accomplish these

obj ectives.

STANDARDS DEVELOPMENT, EVALUATION AND IMPLEMENTATION

Prior to examining specific standards activities, it is important to

have some understanding and appreciation for the overall steps in the

process of accelerating the development, evaluation and implementation

of solar standards and criteria. The first step in this process

(Figure 1) is to identify needed standards and set priorities for their

development. Plans to identify such needs and priorities have been developed by NBS in conjunction with the American National Standards

Institute (ANSI) Steering Committee on Solar Energy Standards Development [1,2].*

An important second step (Figure 1) to accelerate the development of

standards is the preparation of proposed or draft standards for re- view and comments. Many of the NBS solar projects will result in the

publication of proposed standards which are submitted to standardswriting organizations such as the American Society for Testing and

Materials (ASTM) and the American Society of Heating, Refrigerating

and Air-Conditioning Engineers (ASHRAE) for consideration and processing into national consensus standards. An example of this

activity was the NBS work [3] which aided in the development of ASHRAE

Standard 93-77, "Methods for Testing to Determine the Thermal Performance of Solar Collectors."

*Numbers in brackets [ ] refer to references at the end of this paper.

152
The third step (Figure 1) is the development of consensus standards.

Some consensus standards may take many months or several years to

develop because of the lack of adequate technical data, the existence

of sound but conflicting points of view, etc. Regardless of time

delays, the consensus standards development process is an extremely

important step because it permits direct input from all interested

parties—designers, consumers, industry representatives, regulatory

officials, etc.

FIGURE 1 - Standards Development, Evaluation and Implementation

After draft or consensus standards are promulgated, the need for

evaluating and validating such standards continues (Step 4) . In the area of a new or rapidly growing and changing technology such as solar

energy, the evaluation and validation process is vital. As necessary,

such standards should be revised as better data and information becomes available (Step 5) . Feedback from the DoE National Solar Data

Program is being utilized by NBS and various standards-writing

organizations to assist in the revision of standards and performance

criteria.

153
When voluntary standards are utilized in procurement specifications,

certification programs and regulatory code documents, at the Federal,

State and local level, the standards implementation step (Step 6)

has been completed. However, the overall standards development,

evaluation and implementation process is a continuous and interactive

process and should receive the continued attention it deserves. In

regard to solar heating and cooling applications, various activities

are underway in all of these standards development, evaluation and

implementation steps.

A matrix or list of needed solar standards can be developed from the

general outline shown in Figure 2. It includes a consideration of

various technologies, applications, performance areas, physical elements,

etc. Although the emphasis in this paper is on heating and cooling, DoE,

in cooperation with various organizations, is also developing standards

and criteria for other solar technologies (i.e., photovoltaics

,

biomass) . The remainder of this overview paper describes solar heating

and cooling systems, components and materials standards activities

from the standpoint of three performance attributes—thermal, durability/

reliability and safety.

• Technologies — Heating/Cooling/Photovoltaics/Biomass

• Applications — Residential/Com mercial/lndustrial • Performance — Thermal/Reliability/Durability/Safety

• Physical elements — Materials/Components/Systems

• Procedural — Design/lnstallation/Operation

• Acceptance — Testing/ Lab accreditation/Certification

FIGURE 2 - General Outline of Needed Solar Standards

THERMAL PERFORMANCE STANDARDS

Collectors . As previously described, a test standard to measure the

thermal performance of solar collectors has been developed. Since the

publication of this standard (ASHRAE 93-77), the evaluation and development of thermal test standards has continued. ASHRAE has recently com- pleted and approved ASHRAE Standard 96 which will contain procedures

for the testing of unglazed solar collectors. NBS work on evaluating

154
ASHRAE 93 in regard to concentrating collectors is also continuing.

In conjunction with Wyle Laboratories, NBS has recently completed an experimental study in which various heat transfer fluids were

examined to determine the effects of their properties and flow rates

on the thermal performance of several different types of collectors.

In 1978 and 1979, NBS completed and published results of continuing

DoE sponsored collector research studies designed to improve and

experimentally verify thermal performance test procecures [4,5].

Earlier this year, NBS completed a study comparing experimental

test results determined in accordance with the German BSE and ASHRAE

procedures for five flat plate liquid collectors [6]. In the BSE

procedures, the thermal loss characteristics of the collector are determined under indoor laboratory conditions. Such testing reduces

the required test time by minimizing the dependence of testing upon

outdoor weather conditions and also improves the reproducibility of

test results because testing can be carried out under controlled

laboratory conditions. For all five flat plate collectors tested,

the differences between the efficiency curves determined by using the

BSE and ASHRAE collector test procedures were less than the total

uncertainty associated with the ASHRAE Standard 93-77 curves. Investigation of these collector test methods and the use of solar simulators

is being conducted in support of International Energy Agency activities

to develop acceptable worldwide test methods.

Collector Ratings . In November 1978, the ANSI Solar Standards Steering Committee established an ad hoc committee consisting of ASHRAE,

Air-Conditioning and Refrigeration Institute (ARI) , Solar Energy

Institute Association (SEIA) and Solar Energy Research and Education

Foundation (SEREF) to work toward the establishment of a national

thermal performance rating standard for solar collectors. To the

greatest extent possible, such a rating standard for solar collectors

should apply to a broad range of use applications (i.e., hot water,

heating, etc.) and climatic regions. It should also provide fair and

reproducible rating values for use by designers, manufacturers, installers and consumers. The establishment of the previously mentioned

ad hoc committee was prompted by the current existence of four different methods for rating solar collectors. All four methods—two developed

by industry (ARI and SEIA) and two developed by States (Florida and

California) —although somewhat different in their approach, utilize

ASHRAE 93-77 as the basic test procedure. Because of the importance

of this activity, NBS, with DoE support, is currently providing technical

assistance to the ANSI ad hoc committee.

Testing Laboratory Evaluation . Another important activity being conducted in regard to solar collector thermal performance standards is

the identification and evaluation of qualified testing laboratories.

The initial effort to identify qualified testing laboratories was

155
carried out by the Air -Conditioning and Refrigeration Institute Foundation (ARIF) and was summarized by NBS in a report published in November

1978 [7]. Subsequently, SEREF was given an additional contract task

by DoE to conduct intercorrelation measurement checks (i.e., solar

radiation, temperature, flow, data acquisition) at laboratories

participating in the DoE interim collector testing program.

Storage Devices . A test standard to measure the thermal performance of

storage devices has also been completed. The development of this

standard, ASHRAE 94-77, was accelerated using a draft standard developed

by NBS [8,9]. Studies to evaluate ASHRAE Standard 94 have also been

completed. The results of these studies carried out on water storage

tanks, pebble beds and phase-change devices were published by NBS in

October 1978 and May 1979 [10,11].

Hot Water Systems . NBS has been conducting a solar hot water system

testing program for DoE. One of the purposes of this program is to

provide data for the validation of current, widely used computer programs and involves the collection of detailed performance data on six

instrumented solar domestic hot water systems over a twelve-month

period. Test results from this study, including data collected during

the first eight months of operation of these systems, was recently

presented at the International Solar Energy Society meeting held in

Atlanta [12]. In general, the results to date indicate that the

current computer programs (i.e., F-Chart, Solcost) predict long-term

performance reasonably well.

The second objective of this hot water system test program is to assist

ASHRAE Project Committee 95 in the development of a test standard for

packaged residential solar hot water systems. The proposed ASHRAE

test method allows for a separate test of a collector array and then

inputting the appropriate thermal output of this collector array into

the rest of the system through the use of a conventional energy source. This proposed ASHRAE standard will be available for public review and

comments in September 1979.

Systems Evaluation . In conjunction with other government agencies,

NBS developed a list of thermal performance factors with accompanying

data requirements and measurement accuracies for use in the evaluation

of systems and component performance [13]. This document has been

used extensively in the National Solar Demonstration Program and an updated version has been accepted by the International Energy Agency

Task Group for guidance in evaluating solar energy systems in Europe

and Asia.

DURABILITY/RELIABILITY STANDARDS

Materials . In regard to durability/reliability standards, NBS completed a survey to assess materials performance in operating solar

systems about 18 months ago [14]. This survey was very useful in

156
identifying test standards which needed to be developed for a number

of materials used in solar systems. The strategy to develop these

materials standards is to identify approriate performance requirements

and then to develop appropriate test methods to measure this performance. Draft standards which are being developed by NBS are being

prepared in close cooperation with ASTM committees (E44 and Dll) . ASTM

Committee Dll has approved two standard specifications covering rubber

seals used in solar systems [15,16] based on NBS research [17] and has

two other standards pertaining to rubber seals for use in solar systems

under development. DoE sponsored materials standards projects currently

underway at NBS pertain to cover plates, insulation, absorptive coatings,

rubber hoses, and metallic and non-metallic containment materials.

NBS materials standards research work includes laboratory testing,

and field testing in various containers designed to simulate the high

stagnation temperatures and other exposure conditions that solar

collector materials will experience under actual in-use conditions.

Where possible, such field and laboratory testing is also being correlated

with observations and data gathered from DoE and HUD solar demonstration

proj ects.

Collectors . Work is also underway at NBS and ASTM to develop durability/

reliability standards for collectors. Test data from the DoE interim

testing program, which involves approximately 150 collectors, will be

very useful in validating a number of test procedures (i.e., ASHRAE

93-77, thermal shock, 30-day stagnation) which have been developed to

date. It will also provide valuable information to assist in the

development of industry rating and certification programs.- The current

DoE collector testing program also includes various other provisional

tests (i.e., rain, thermal cycling, structural, fire, hail) [18] which

will be conducted on a smaller number (approximately 25) of collectors.

Such data will provide a basis for developing other related durability/

reliability test standards.

Late last year, NBS initiated a comprehensive test program with DoE

which will be very useful in evaluating current test procedures for

predicting collector durability/reliability [19]. In this program,

eight different collector types, along with associated small materials

specimens, will be tested. Testing of these collectors and materials

is now underway at test sites located in Arizona, California, Florida

and Maryland. These sites were picked to examine a reasonably broad

range of climatic factors. In the NBS durability/reliability test program, collector thermal performance will be determined after 3, 15, 30,

60, 120 and 240 days of stagnation. Currently, the 30-day stagnation

test for solar collectors has been widely used. Test data collected

in this program should be useful in determining collector thermal

performance degradation relationships between field and laboratory

tests and assessing the validity of the stagnation test exposure

conditions

.

157
SAFETY STANDARDS

Collectors . Structural and fire tests of collectors wtiich will be

carried out in the DoE interim collector testing program will provide

data for development of needed safety standards. In regard to collector!

Underwriters' Laboratories (UL) is also developing a product standard

which will address safety. A draft of the proposed UL standard is ex- pected to be available for public review and comment by September 1979.

Heat Exc hang er

s

. The American Society of Mechanical Engineers (ASME)

is currently developing a standard which will address safety requirements pertaining to residential liquid-to-liquid heat exchangers.

Their current approach is to classify heat transfer fluids into different groups according to their toxicity and then to define the different

heat exchanger designs which are required for these various fluid

groups.

i PERFORMANCE CRITERIA

The development of interim and definitive performance criteria for

solar heating and cooling systems was mandated in the Solar Heating

and Cooling Demonstration Act of 1974. The development of these

criteria and related evaluation procedures, as well as the HUD Intermediate Minimum Property Standards for Solar Hot Water and Heating

Systems and the Model Solar Code Document being prepared by the Council of American Building Officials (CABO) , are to a large extent

dependent upon the availability of consensus standards.

The various performance criteria and intermediate standards developed

by NBS for DoE and HUD have been used as a technical base for evaluating systems in the residential and commercial demonstration programs

[20,21,22]. In developing definitive performance criteria for solar

systems, NBS is, therefore, attempting to utilize all available data

and information which are being collected from demonstration projects

by DoE, HUD, NASA, Argonne National Laboratory and various DoE and

HUD demonstration program support contractors. These data, and data

from DoE research and development projects form an important data

base for both solar standards and performance criteria development.

Definitive performance criteria documents for residential and com- merical solar systems are scheduled to be completed by NBS in

December 1979. It is recognized, however, that since all data will

not be collected and all needed consensus standards will not be completed by December 1979, there is a vital need to continue active

work on solar heating and cooling standards and performance

criteria into the early 1980' s.

158
CONCLUSION

Since solar performance criteria and standards are and will continue

to be used in a number of new and continuing Federal, State and local

solar programs, it is important to continue the development and evaluation of solar performance criteria and standards which will aid and

accelerate the establishment of a viable solar heating and cooling

industry.

REFERENCES

1. Waksman, D., Pielert, J., Dikkers, R. , Streed, E. , "Plan for

the Development and Implementation of Standards for Solar Heating and Cooling Applications," NBS Report NBSIR 76-1143, August

1976.

2. Waksman, D. , Pielert, J., Dikkers. R. , Streed, E. , Niessing, W.

,

"Plan for the Development and Implementation of Standards for

Solar Heating and Cooling Applications," NBS Report NBSIR 78-1143A,

June 1978.

3. Hill, J., Kusuda, T., "Method of Testing for Rating Solar Collectors Based on Thermal Performance," NBS Report NBSIR 74-635,

December 1974.

4. Streed, E., Thomas, W. C. , Dawson III, A., Wood, B., Hill, J.,

"Results and Analysis of a Round-Robin Test Program for LiquidHeating, Flat-Plate Solar Collectors," NBS Technical .Note 975,

August 1978.

5. Hill, J., Jenkins, J., Jones, D. , "Experimental Verification of

a Standard Test Procedure for Solar Collectors," NBS Building

Science Series 117, January 1979.

6. Jenkins, J., "A Comparison of Test Results for Flat-Plate Water

Heating Solar Collectors Using the BSE and ASHRAE Procedures,"

Proceedings of the 1979 International Congress of the International Solar Energy Society, Atlanta, GA, May 28-June 1, 1979.

7. Niessing, W. , "Laboratories Technically Qualified to Test Solar

Collectors in Accordance with ASHRAE Standard 93-77: A Summary

Report," NBS Report NBSIR 78-1535, November 1978.

8. ASHRAE Standard 94-77, "Methods of Testing Thermal Storage Devices Based on Thermal Performance."

9. Kelly, G. , Hill, J., "Method of Testing for Rating Thermal Storage Devices Based on Thermal Performance," NBS Report NBSIR

74-634, May 1975.

159
10. Hunt, B. , Richtmyer, T. , Hill, J., "An Evaluation of ASHRAE

Standard 94-77 for Testing Water Tanks for Thermal Storage,"

NBS Report NBSIR 78-1548, October 1978.

11. Jones, D. , Hill, J., "Testing of Pebble-Bed and Phase-Change

Thermal Energy Storage Devices According to ASHRAE Standard 94-77,"

NBS Report NBSIR 79-1737, May 1979.

12. Fanney, A. H. , Liu, S., "Experimental System Performance and

Comparison with Computer Predictions for Six Solar Domestic Hot

Water Systems," Proceedings of the 1979 International Congress

of the International Solar Energy Society, Atlanta, GA, May 28-

June 1, 1979.

13. Streed, E., McCabe, M. s Waksman, D. , Hebrank, J., Richtmyer, T.,

"Thermal Data Requirements and Performance Evaluation Procedures

for the National Solar Heating and Cooling Demonstration Program," NBS Report NBSIR 76-1137, August 1976.

14. Skoda, L. , Masters, L. , "Solar Energy Systems - Survey of

Materials Performance," NBS Report NBSIR 77-1314, October 1977.

15. ASTM Standard D3667-78, "Specification for Rubber Seals Used in

Flat Plate Solar Collectors."

16. ASTM Standard D3832-79, "Specification for Rubber Seals Contacting Liquids in Solar Energy Systems."

17. Stiehler, R. , Hockman, A., Embree, E. , Masters, L., "Solar Energy

Systems-Standards for Rubber Seals," NBS Report NBSIR 77-1437,

March 1978.

18. Waksman, D. , Streed, E., Reichard , T., Cattaneo, L., "Provisional

Flat Plate Solar Collector Testing Procedures: First Revision,"

NBS Report NBSIR 78-1305A, June 1978.

19. Streed, E., Waksman, D. , "The NBS Solar Collector Durability/

Reliability Program," First International Conference on Durability

of Building Materials and Components, Ottawa, Canada, August 1978.

20. "Interim Performance Criteria for Solar Heating and Cooling Systems in Commercial Buildings," prepared for ERDA by NBS, NBS

Report NBSIR 76-1187, November 1976.

21. Holton, J., et al , "Interim Performance Criteria for Solar Heating and Cooling Systems in Residential Buildings - Second

Revision," NBS Report NBSIR 78-1562, November 1978.

22. "Intermediate Minimum Property Standards Supplement - Solar

Heating and Domestic Hot Water Systems," 4930.2, U.S. Department

of Housing and Urban Development, 1977.

160
THERMAL MASS EFFECTS IN LOG HOMES

by

William Magruder

and

Steven Winter

Steven Winter Associates, Inc.

New York, New York

To improve thermal standards for log homes, certain adjustment factors

must be established to account for the effects of thermal mass. Alternative definitions for these factors are presented as the "mass factor"

and the "AR effect." These factors will be a function of at least six

parameters, which are discussed here in terms of their relevance to log

homes. The six parameters of concern are wall mass, wall color, location of mass, air infiltration, HVAC set-point schedule, and climate.

The paper concludes with a summary of the results of a BLAST computer

analysis of a log home in Des Moines.

Key words: BLAST; effective U-value; heat capacity; log home; mass

factor; AR effect; thermal mass.

161
INTRODUCTION

Log homes are enjoying increasing popularity as a result of the

industrialization of their production. Their popularity makes it

important to know how their thermal performance compares with conventional construction. To account for the possibility that heat storage

in log walls significantly effects either peak or average thermal loads,

it is necessary to consider dynamic rather than steady state conditions.

A number of studies on what has come to be known as "thermal mass" provide;

suggestions for the thermal evaluation of log walls. Most of these

studies have been focused on masonry and concrete buildings. Some

masonry structures, built centuries ago, employ their thermal mass with

such effectiveness and such economy, that we feel instructed by the

sensibility of primitive builders working with indigenous materials.

The success with which adobe has been used in desert regions is a famous example. Like adobe, log construction has an ancient history to

recommend it. Log construction seems to have originated in pre-historic

Sweden, where its popularity over many centuries attests to its viability

in cold climates. The question is, can log homes still compete with

alternative building systems in terms of thermal performance? This paper

presents the beginnings of an answer to that question.

1

Log homes today bear only superficial resemblance to their ancestors.

Before proceeding, it is necessary to establish what "log home" now

means. Most log homes are no longer made "by hand" but are pre-cut in

a factory where their production is, to some extent, industrialized.

The industrialized sector of the log homes industry includes about 100

of the estimated 250 log home producers in the country. The total number of units delivered by all log home producers in 1977 is estimated

at over 30,000, 80 percent of which are used as primary residences.

The largest log home manufacturer has produced as many as 2,200 homes

in a single year. Neither production nor placement of log homes is

concentrated in any single region of the country. Because producers are widely distributed across the United States, and because log home packages can be transported great distances without damage, it is now possible to place log homes in any city in the country. This means that log

homes are now going into a wide variety of climates, including extremes

of hot-dry and hot-humid as well as the colder climates in which log

homes first evolved. Just as "log home" does not connotate any

place or climate, it is not associated with just one type of wall, but

many. Log walls differ in species of wood, thickness, section profile,

and joint detail. Some walls are intended to look very rustic, others

very finished.

) In spite of differences in their products , log home manufacturers share

a common problem: to meet stringent U-value prescriptions without

compromising the "solid" character of the log wall, it may be necessary

to beef up the thermal resistance of floors, ceilings, and windows.

Many manufacturers feel that the extra insulation required has not

proven cost-effective. Their surveys of energy use in log homes have

tended to indicate that R-values are not a good basis of predicting log

home thermal performance. Two years ago, the Log Homes Council, the

162
industry's main trade association and a branch of the National Association

of Home Manufacturers, resolved to find better ways to evaluate the

thermal performance of log homes. This led them into participation with

two major research organizations: ASHRAE and NBS.

ASHRAE Standard Project Committee 104P was formed at the request of the

Log Homes Council. The objective of this committee is to produce a standard compatible with ASHRAE Standard 90-75, which will determine appropriate U-value adjustment factors for log homes. The scope of the

Committee has been enlarged to include all heavyweight wall materials.

Committee 104P proposes to develop its standard through a comprehensive

computer study.

At the National Bureau of Standards, the Log Homes Council will participate in field tests of six 20 ft. x 20 ft. structures, one of which will

have log walls. The log walls will be designed to be as nearly "typical"

as possible. The energy requirements of the test structures will be

monitored over a one year period. These will be the most extensive thermal tests of a log building ever carried out.

The ASHRAE and NBS studies share the same goals and face similar problems.

Both studies seek to generate factors that have previously been defined

as "Effective U-values," "mass factors," and "AR effects." Some clarification of these terms is called for. Mass factors and Effective U-values

are generally defined in terms of a ratio of the energy consumption

associated with a certain U-value and certain thermal mass effects, divided by the energy consumption associated with the same U-value but with

thermal mass neglected. The "AR effect" refers to the change in R-value

that must accompany a change in thermal mass, in order to hold energy

consumption constant. It is important to note that the AR effect can be

relatively large, even when the mass factor is considered to be small.

This is apparent in curves generated by the Portland Cement Association

that plot the energy consumption of heavy and lightweight walls over a range of R-values (Figure 1) . Energy codes that equate "acceptable"

levels of thermal performance with U-value or R-value prescriptions can use the AR factor to account for thermal mass effects. In addition to

the improvement of codes and standards, thermal mass research should

also contribute to the development of passive solar design tools.

Mass and AR factors have been difficult to put into widespread use because they tend to be sensitive to changes in a number of variables.

Not only does a wall have one AR in St. Louis and another in Los Angeles,

it is also likely that this factor will change with its color, orientation,

and other variables that will be reviewed here. The mass factors

developed by the Masonry Industry Committee in 1976 constitute a "first

generation" of results that are presented as a function of only two

variables : wall-weight and degree days (Figure 2) . The next generation

of mass factors will require a more complicated format for selection,

as they will be tied to more detailed information about the building

envelope and climate. Based on past research, we can predict with

some confidence what variables will most influence thermal mass effects.

163
• • io a m « i-r * «')/ & • ic u m » • i'r i n" i »..

10 is Fo 5 iE 3irc"Ji^» 1*0 is To 5 Jsrc-n;

won * »<rtl II

MB mi a The effect of wall R values on peak and annual heating loads. L

(lightweight) walls are compared with H (heavyweight) walls at

six cities, representative of the results from all studies made.

Figure 1

164
Capacity Insulation

Correction

Graph

Correction

Factor. M

80

.70

.60

\ t

t

&

0 2.000 4.000 6.000 8.000 10,000 DEGREE DAYS

Influence Of Wall Weight On U Value Correction For Heating Design

Figure 2

165
i

Each of these shall be discussed here in terms of its impact on log

home thermal performance.

REVIEW OF THERMAL MASS PARAMETERS

1. Wall Mass

As a factor influencing thermal performance, the "massiveness" of

a wall can be measured in many different ways. Typical measures

of massiveness are presented here (Figure 3) in order to show that

wall weight (in lbs/ft 2

) and wall heat capacity (in BTU/ft2 °F) are not necessarily a good indicator of thermal mass. A wall's thermal

performance depends not only on its mass and heat capacity, but

also on its conductance, so thermal mass is perhaps best measured

by a quality like "time lag," which combines all three of these.

Comparing solid wood walls to concrete walls of the same thickness, we find that wood walls have over twice the time lag even though

they appear to be much less massive in terms of weight and heat

capacity. Even when log walls are very light and thin, such as a

4 inch cedar wall weighing 7 lbs/ft2

, they can be shown to have over twice the time lag of 2 x 4 frame walls of approximately equal

weight

.

If we focus just on the wood walls of Figure 3, we see that:

1. Large differences in wall weight and heat capacity do not

correspond to equally large differences in time lag;

2. the log wall with the highest R-value is the log wall with the

lowest thermal mass.

The species and moisture contents of Figure 3 were selected to

establish the widest range of values possible for a particular wall

thickness. More typically, the in-service moisture content of log

walls will average between 9 and 12 percent, depending on geographic

location.* Seasonal or short-term deviation from the average moisture

content is not great enough to significantly change properties like

conductivity and time lag. For these reasons, it will probably be

sufficient to calculate the thermal performance of all log species

at a constant moisture content. At 12 percent moisture content, for

example, time lag changes little from species to species, ranging

from 8.4 hours, for 6 inches of Northern White Cedar, to 8.9 hours

for the same thickness of Southern Yellow Pine. We can summarize

all of this by saying that all species of wall-logs have about the same thermal mass.

Moisture content of wood is defined as the weight of the water in the

wood expressed as a fraction of the weight of ovendry wood.

166
COMPARATIVE THERMAL MASS INDICES

Heat Conductivity

k Density,

D D(.5ft.) Capacity

,

C D(.5ft)c Dif fusivityd-k

DC

Time Lag

t=(.5ft) J7T

2 Wd

BTU lbs. lbs. BTU BTU ft.2

hr ft.^) ft.

3

ft.

2

lb.°F ft'To'F hr

.

hr.

Northern White Cedar

(at 0% moisture content) 0.050 20 10.0 0.30 3.0 0.00833 7.57

Lodgepole Pine

(at 16% moisture content) 0.075 29 14.5 0.42 S.X 0.00616 8.81

Southern Yellow Pine

(at 30% moisture content) 0.114 44 22.0 0.50 11.0 0.00518 9.60

Concrete 1.0 140 70.0 0.2 14.0 0.0357 3.66

Figure 3

167
2. Wall Color

The effect of color on the thermal performance of log walls has

been investigated by Bickle, using a computer program to generate

"Effective U-values" at three different solar absorbtivities

(Figures 4, 5, 6, 7). Since the importance of color is expected

to vary with the amount of available sunlight, Bickle has reported

on a number of climates.

For each of the climates studied, the results show that heating

loads associated with log walls will be greatly affected by their

color. The effects of color appear most dramatic in a place like

Albuquerque, which has lots of sun; but they are also significant

in very cold places like Bismarck, and very cloudy places like

Seattle. Bickle finds that a well-insulated frame wall is not

influenced by color to the extent that the log wall is. Those

points where a curve for the log wall (about RIO) crosses a corresponding curve for the frame wall (about R16) establish the

magnitude of the AR effect at a specific color and orientation.

For example, in Seattle, the R 10 log wall facing south, with an absorbtivity of 0.85, will contribute the same heating load as the

R 16 frame wall with the same orientation and absorbtivity. In

Albuquerque, this point of equivalent performance occurs at an absorbtivity of 0.25. These findings apply only to heating loads,

however, and the effect of color on total heating and cooling loads

has yet to be determined. Further research is also required to

establish the range of solar absorbtivities characteristic of log

walls

.

3. Location of Mass Relative to Sun and Wall Insulation

We see from Bickle 's graphs that a wall's location relative to the sun may strongly influence its thermal behavior (Figures 5, 6, 7).

As would be expected, the heating load is lowest for those walls

that see the most sun. Where the performance (i.e., "equivalent

U-value") of the south facing log wall equals the performance of the

south facing frame wall, we do not find the other orientations

similarly related. This implies that the AR effect changes with a wall's orientation. Bickle does not provide enough data to quantify

the AR for all orientations. Also, Bickle 's approach yields a AR

that is somewhat special. In order to isolate the performance of one particular orientation, the internal surface temperature of all

other walls has been assumed to be constant, as though only the one orientation was "exposed." This means that Bickle 's results may not

accurately predict a wall's performance when it is one of many

exposed surfaces, each with a different orientation. However, Bickle

reports good correlation between his effective U-values and field

measurements of in-service frame walls.

The location of mass is also important in terms of the amount of

"internal mass." The internal mass of log homes may be somewhat

higher, on an average, than conventional homes, since their roofs

168
HEATING EFFECTIVE U-VALUES

Wall Orientation

Location Wall

Type**

North East South West

L* M D L M D L M D L M 0

Albuquerque Frame 0.066 0.062 0.057 0,063 0.055 0.046 0.060 0.045 0.031 0.064 0.057 0.049 Albuquerque Log 0.094 0.076 0.057 0.082 0.047 0.013 0.065 0.006 -0.053 0.084 0.052 0. 020 Bismarck Frame 0.062 0.060 0.058 0.061 0.057 0.053 0.059 0.053 0.048 0.061 0.058 0.054

Bismarck Log 0.100 0.093 0.087 0.094 0.081 0.067 0.090 0.068 ' 0.053 0.095 0.O-J3 0.070

Seattle Frame 0.069 0.067 0.064 0.069 0.065 0.061 0.067 0.062 0.056 0.069 0.065 0.060

Seattle [ Log 0.103 0.093 0.084 0.101 0.088 0.076 0.097 0.077 0.058 0.100 0.087 0.073

*WALL COLORS i L - Light, Solar Absorptivity - 0.2 M - Medium, Solar Absorptivity =0.5

D » Dark, Solar Absorptivity =0.8

* 'WALL TYPESt Frame - 1" Stucco, 1" Technifoam, 3-1/2" Batt, 1/2" Gypbd U - 0.062 BTU/hr. ^F ft. 2

Log - 7-1/4" Pine U - 0.0.99 BTU/hr .°f ft. 2

Figure 4

169
Figure 5

170
Figure 6

171
Effective U-Factor vs. Solar Absorptivity

=- of Outside Surface for Walls of - - - Cardinal Orientation Located in

BisiTiaxck, North Dakota

Figure 7

172
and floors are often composed of heavy timbers supporting structural

wood decking. In a timber frame house studied by the Bookhaven

National Laboratory, the exposed post, beam, and deck structure was

found to have a thermal storage capacity equal to that of the floor

slab and chimney combined. Mitalas , in Canada, has identified the mass of the interior as one of the most important influences on the

AR effect. According to Mitalas, the buildings like log homes,

where the wall-mass is in direct contact with the interior space

,

the AR effect is found by adding the wall mass to the mass of the

floor, partitions, furniture, etc. His graphs (Figure 8) predict

that the AR effect will be negligible at the low R-values of log

walls. However, it appears doubtful that these results can be

applied to log walls, since the mass of the walls is only characterized by its weight in lbs. /ft 2

. Another limitation of this study

is that it is based on an average of Canadian climates only.

It may be that different climates call for different strategies in

the location of thermal mass. Olgyay formulated recommendations for

arranging massive walls, lightweight walls, and internal masses to

suit four different climate types (Figure 9) . Log homes could be

designed with such recommendations in mind. Where internal mass is

desirable, log homes could replace conventional 2x4 interior

partitions with solid log partitions. Thin log walls could be used

for some orientations, thick log walls could be used for others.

These kinds of options have yet to be fully explored.

Air-infiltration

Very little is known about air-infiltration in log homes. Apparently,

full-scale log homes have yet to be tested for air-tightness. Small

one-space log structures and log panels have been tested "in-house,"

but all data is proprietary and remains unpublished. The preliminary

results of these tests have been summarized as follows:

1. The air- tightness of a log wall relative to a 2 x 4 frame wall

depends almost entirely on the care with which joints in the log

wall are caulked. A well caulked log wall may be somewhat more air-tight than a frame wall, while a poorly caulked log wall can have twice the air-leakage of a frame wall.

2. Most air infiltration occurs at the corners of the log wall.

During one set of tests of a log structure, sealing the corner joints lowered infiltration by about 25%.

3. Very little infiltration occurs through the vertical joint

where two logs butt together.

In spite of a lack of test data, there is some reason to believe

that air-infiltration is important to the determination of the AR

of log walls. The infiltration load is quite possibly independent

of the R-value of the wall. If this is true, then as we increase

173
0 100 200 300 400 500 600

MASS PER UNIT FLOOR SURFACE

AREA, d (kg/m

2

) RELATION BETWEEN THERMAL RESISTANCE

AND MASS OF BUILDING ENCLOSURE

COMPONENT

MASS LAYER IN DIRECT CONTACT WITH INTERIOR SPACE AIR TYPE OF ENCLOSURE: ENCLOSURE FOR BUILDING WITH A

HIGH RATE OF HEAT LOSS RELATIVE TO INTERNAL HEAT GAIN

Figure 8

174
SCALE FOR INSULATION VALUES

DIURNAL TEMPERATURE RANGE °F

SCALE FOR LAG VALUES

Figure 9: Proper Location of Massive Walls (shown in black).

17 5
or decrease the infiltration load, the total load will increase or decrease by the same amount, no matter what the R-value of the wall

Refering to the graphs of Figure 1, a change in the infiltration

load would raise or lower the curves without changing their shape.

Since these curves all have a decreasing slope with increasing R,

these results are implied:

1. The AR associated with a certain total load, will decrease as infiltration decreases. That is, as the curves of Figure 1 are lowered, they become closer together when measured along a line

of constant total load.

2. The AR attributed to a wall of given R-value should not change

as the infiltration load is varied. If, for example, we find

that a "heavyweight" wall of RIO has the same load as a "lightweight" wall of R12, then the loads of these walls will still

be equal if we add or subtract a constant infiltration load.

HVAC Set-Point Schedule

Certain operating characteristics are critical to the determination

of AR values. These include the thermostat set-point schedule and

the use of natural ventilation. Natural ventilation is of proven

value, expecially in hot-arid regions, but it is difficult to model

and control, so its effect on AR values has not yet been quantified

The thermostat set-point schedule is commonly specified by the

following

1. Temperature at which heating is supplied

2. Temperature at which cooling is supplied

3. Hours of the day during which heating or cooling is supplied

4. Night-time temperature "set-back"

With respect to these variables, there is no reason to believe that

log homes will be operated differently than conventional homes.

The importance of the set-point schedule has been established by

past research. By means of computer simulation, Leslie has

determined that thermal mass is much more beneficial under a con- tinuous heating regime than it is under an intermittent one. In

the case of continuous heating, Leslie found that the removal of

heat capacity from the walls and roof could increase the heating

energy requirement by 16%. Under the intermittent regime, which

allowed heating from 4 p.m. to 11 p.m. only, this increase was only

6%. For some climates, Leslie found that increasing the wall-mass

under intermittent heating actually increased the heating load.

This raises the possibility of negative AR factors. The selection

of a "typical" set-point schedule of an "average" AR is problematic

176
even when all variables except the set-point schedule are held

constant. A set-point schedule that is chosen to minimize total

loads will probably not also maximize the AR effect.

6. Climate

It is generally assumed that thermal mass becomes significant

only where the daily temperature swing is relatively high and the

mean daily temperature is not extremely high or low. A rule of

thumb has been formulated by Francisco Arumi in terms of a "temperature ratio," r, which is defined for the heating season by the

formula:

r = (T, - T )/AT, where T\ = thermostat set-point

n m n T = mean annual temperature

m

and, AT = amplitude of daily temperature

swing

Arumi finds that the thermal mass of masonry walls is only

significant when the temperature ratio is less than unity. When the

temperature ratio is greater than one, thermal mass is not expected

to reduce the wall's load by more than 5%. Judging from Bickle's

findings, log walls do not conform to this rule. The "effective

U-values" found for log walls in Seattle and Bismarck show significant deviation from the steady state value, even though these

climates have temperature ratios greater than 2. It is possible

that Arumi' s rule was developed for walls with time-lags that are low compared to that of Bickle's log wall. Further research is

required to establish the temperature ratio value that signifies

a "good" climate for log walls.

BLAST ANALYSIS OF LOG HOME IN PES MOINES

The results of our use of the BLAST computer program to model a log home

in Des Moines, Iowa, are only in partial agreement with the findings

presented above. The log home used in this study is a typical ranch

model which sits on a heated basement that is partially exposed on the

south side. The walls of the house face the cardinal directions, with

the longitudinal axis of the house running East-West. We were able to

systematically vary some of the thermal mass parameters previously

described, but not all of them. The wall mass, the mass of the rest of

the house, and the climate were taken as a given, while the wall color,

infiltration rate, and HVAC set-points were assigned a range of values.

Properties of the log walls that were held constant are as follows:

Thickness

:

Density

:

Wall weight

:

Conductivity

:

Heat capacity:

Time lag

:

0.634 ft. (7.61 inches)

27.65 lbs/ft. 3 17.54 lbs/ft. 2 0.0689 BTU/lb. 2 hr. (°f/ft.)

0.335 BTU/lb. °F

10.17 hr

177
For purposes of comparison, thermal loads were also calculated for the same house with 2x4 frame walls in place of the log walls. Two frame

versions were used, one at about R7, and one at about Rll. These are

the results of computer runs using 1977 weather data (Figure 10)

.

1. The AR effect can be estimated here for only one set-point schedule,

one color, and one air infiltration rate, at which point the R9 log

wall results in a slightly lower total load than the Rll wall.

2. Contrary to Bickle's findings, the color of the log wall does not

appear to be an important influence on either heating or cooling

loads. Because color changes have opposite effects on heating and

cooling loads, the total load appears to be completely indifferent j, to color.

3. Changes in the set-point schedule considered here altered total

loads slightly, but did not magnify or diminish thermal mass effects.

REFERENCES f

1. Arumi , E., Thermal Inertia in Architectural Walls , National Concrete

Masonry Association, 1977.

I 2. Bickle, L. , Effective U-values for Log Walls , Log Homes Council,

National Association of Home Manufacturers, 1978.

i

i 3. Goodwin, S. E., and Catani, M. J., The Effect of Mass on Heating and

Cooling Loads and on Insulation Requirements of Buildings in Differ- J ent Climates , ASHRAE Transactions, Volume 85, Part 1, 1979.

4. Jones, R. , Krajewski, R. , and Dennehy , G. , Case Study of the Brownell

Low Energy Requirement House (Thermal Storage Analysis) , Bookhaven

National Laboratory, Associated Universities, Inc., 1978.

5. Leslie, S. F. , Annual Heating Energy Demand of Heavy Domestic

Buildings , Building Research Association of New Zealand, 1976.

6. Mitlas, G. P., Relation Between Thermal Resistance and Heat Storage

in Building Enclosures , ISSM 0701-5232, Division of Building Research,.

National Research Council of Canada, 1978.

7. Olgyay, V., Design with Climate , Princeton University Press, 1963.

178
LOG VS. FRAME IN DES MOINES

Schedule A (70°-75° float) Schedule B (70° constant)

ABS.=.50

air

Changes per

hour

ABS.=.78

air changes per

hour

ABS.=.90

air changes

per hour

ABS.=.50

air changed

per

hour

ABS.=.78

air changes

per

hour

ABS.=.90

air changes

per hour

= 1 =0 = 1 =0 =1 = 0 =1 =0 = 1 =0 =1 = 0

R9 LOG heating

cooling

9.728

1.557

9.674

1.609

2.193

1.698

9

1

651

632

10.40

2.506

2.404

2.359

total 11.285 11.283 3.891 11 283 12.906 4.763

R7 FRAME

heating

cooling

10.550

2.006

11.34

2 .935

3.311

2.731

total 12.556 14.275 6.042

Rll FRAME

heating

cooling

total

9.556

1.841

11.397

Figure 10: Thermal loads in 10 Btu/year

179

ANALYSIS OF CODE RELATED RESPONSES

FROM THE SOLAR DEMONSTRATION PROGRAM

by

Joseph Greenberg

Project Leader

National Bureau of Standards

Washington, D.C.

This paper is based on a report prepared jointly for the Department of

Housing and Urban Development (HUD) and the Department of Energy (DoE)

under activities carried out by the National Bureau of Standards (NBS)

relative to the Solar Heating and Cooling Demonstration Program. The

report documents and analyzes building regulatory information gathered

by HUD Contractor personnel during the course of the Solar Residential

Demonstration Program—from inception of the program (late 1975) through

September 30, 1978.

Although not all builders and local code officials participating in the

demonstration program were interviewed for the study, the total number

of participants interviewed was of sufficient size to postulate trends

and draw reasonable conclusions regarding the building regulatory as- pects of the program. The report concludes that existing codes do not

present a barrier to the installation and acceptance of solar systems;

however, code officials need additional training and better back-up

material to properly evaluate solar systems.

This paper summarizes and presents the major findings included in the

report.

Key Words: Building code; code official; demonstration program;

institutional constraints; solar builder/developer; solar

energy

.

181
INTRODUCTION

The objective of the project reviewed by this paper is the analysis of

data collected for the HUD Solar Residential Demonstration Program to

provide an insight into those aspects of the building regulatory process

that inhibit, impede, or otherwise adversely affect the installation

and use of solar hot water and space heating and/or cooling systems.

The project was designed to provide:

An analysis of the response by the participants in the demonstration program as to real or perceived regulatory problems encountered

during the conduct of the program.

An analysis of the adverse impacts, if any, resulting from differences in various regulatory statutes.

A recommended course of action, as articulated by the participants

in the demonstration program, regarding current and future

regulatory needs.

An assessment of the documentation and training needed to assure

an orderly and efficient system for the evaluation and acceptance

of solar systems.

The HUD Demonstration Program is structured in cycles; each takes place

sequentially in a different time frame with various projects awarded

for each cycle. Although the HUD Solar Residential Demonstration

Program is expected to have a total of five cycles, the report was limited to data gathered during the first three cycles and includes data

collected from late 1975 to September 30, 1978—the cutoff date of the

report.

DATA SOURCES

To assure an orderly and systematic method of identifying and collecting

the pertinent data associated with the regulatory aspects of the HUD

Solar Residential Demonstration Program, each organization having

responsibility for the collection of data was identified. The data

collection instruments (questionnaires and reports) were collected and

a review made of each document to assess its value as a data source for

regulatory information. Those valuable to the project were then singled

out for study and the appropriate mechanisms established to collect the

data; either through the NBS Solar Data Base or through direct contact

with the custodial organization. To facilitate the handling and analysis of the information, special computer print-outs were developed using

the information stored in the NBS Solar Data Base.

Organizations collecting data for the Solar Residential Demonstration

Program were

182
Real Estate Research Corporation - RERC

American Institute of Architects Research Corporation - AIA/RC

U.S. Department of Housing and Urban Development /Boeing - HUD/Boeing

The RERC data are by far the most pertinent to the study and are used

to generate most of the conclusions and trends presented. The broad

scope of the questions asked and the variety of respondents (demonstration builders, non-demonstration comparative builders, and local building code officials) allow for comparisons to be made and differences in

responses to be analyzed.

SAMPLE SIZE

Regulatory questions were responded to by fifty percent (50%) of the

single family builder/developers engaged in constructing solar equipped

demonstration houses , and approximately ten percent (10%) of the multifamily builders /developers. In addition, RERC interviewed non-demonstration, non-solar comparative single family builders at approximately

fifty percent (50%) of the locational areas where solar demonstration

programs are being conducted. The demonstration builder data, both

single family and multi-family, approximately reflected the number of

site locations visited; the usual scheme is to generally interview only

a single demonstration builder/developer per location. However, the

number of comparative builders varied from one to four. In addition,

responses were received from eighty-seven (87) local building code

officials, which represents responses from approximately thirty-two

percent (32%) of the two hundred seventy-two (272) site locations,

comprising the demonstration program during that time frame.

FINDINGS

The major findings that are detailed and analyzed in the report are summarized below:

A. Constraints/Technical Issues

1. Approximately eighty percent (80%) of the local building code

officials indicated that there are no major barriers in building

codes at present which would impede the installation of solar

energy systems in their jurisdictions, while a smaller percentage (approximately 64%) foresaw no future problems. Those

officials identifying current problems specified administrative

difficulties as the most frequent reason for these problems.

Anticipated new code requirements and structural concerns were

identified by those officials who expected future problems.

2. Some local building code officials reported that the codes used

in their jurisdictions contain provisions for solar systems.

There was no indication that the processing and acceptance of

solar energy installations was affected adversely or advantageously by a jurisdiction's adoption or lack of adoption of

solar energy provisions.

183
3. Approximately one-quarter of the local building code officials

indicated that their departments had studied the question of

potential impact of solar energy systems on building codes and

of these, one-third indicated a need for standards for solar

systems and components.

B. Approval and Inspection of Solar Systems

1. The solar demonstration builder/developer faces no greater or lesser difficulty than that routinely faced by non-solar builders in obtaining approval from building inspectors during the

planning and construction phases of their projects. From the

builder/developer perspective, it appears that regulatory issues

have not impeded the acceptance of solar systems on the Solar

Residential Demonstration Program.

2. Approximately one-quarter of the local building code officials

indicated that solar applications presently require additional

processing time and approximately one-half of these local

building code officials expect that the need for this increased

processing time will continue.

,W or I

3. The number of waivers requested for solar installation is low.

However, if a waiver is requested, the chance of having the

waiver granted is excellent. In addition, approximately one- quarter of the local building code officials required design

changes to be made on solar systems installed in their

jurisdictions.

4. System approvals and site inspections normally were handled in

a routine manner; however, approximately one-quarter of the

local building code officials reported that additional site inspections were required for them to become familiar with the

solar installations or to run plumbing or other physical tests.

5. The greatest concern of the local building code officials

identifying problems with solar systems meeting code requirements are the toxic fluids used in these systems.

6. Approximately two-thirds of the local building code officials

indicated building code problems in the installation of a solar system in an older structure; citing an overwhelming con- cern with structural adequacy of the buildings. In addition,

approximately one-quarter of the local building code officials

indicated that multi-family solar installations would entail

unique considerations from an approval point of view because of

the inherent complexity of these larger installations.

7. Certification of solar equipment, with approved testing conducted

by any qualified testing institution, was desired by one-third of

184 —
the local building code officials prior to their issuing a building permit.

Code Official Training and Technical Support

1. Generally, the knowledge and educational background of the

local building code official and the sources of solar energy

information available to him varied greatly from jurisdiction

to jurisdiction. If the processing of solar applications is to

be accomplished more effectively, the code official's knowledge

of solar energy systems must be upgraded by education, training

and actual experience.

2. Areas of assistance identified by the local building code official include: the training of evaluators and inspectors; the

development of manuals of accepted practice and inspection

guidelines; development of feasibility data; development of

efficiency data for different solar systems; certification of

equipment and systems; and, need for standards.

3. The sources most often used by the local building code official

for information related to solar energy are trade publications,

manufacturer's data, national and local associations, and govern

ment agencies. Other important sources are universities and

independent agencies. Developers and financial institutions

were rated low as sources for solar information.

185

SESSION 3A - DESIGN CONSIDERATIONS AND

THEIR IMPACT ON CODE ENFORCEMENT

Moderator: Joseph A. Cirillo

State Building Commissioner

12 Humbert Street

North Providence, Rhode Island

187
I

I
CONTRACTING FOR VALUE MANAGEMENT DURING DESIGN

by

Donald E. Parker

Director, Value Management Division

Office of Construction Management

Public Buildings Service

General Services Administration

Washington, D, C.

This paper describes the content and application of the General Services

Administration (GSA) Value Management (VM) Program requirements

incorporated by regulation in all architect-engineer (A-E) contracts.

The objective of this VM Program is to control the cost of construction

by performing VM studies at various points in the design process with

the objective of recommending changes to design work in progress.

The VM process requires the understanding and agreement of two parties - the client and the designer. VM study forces the enhancement of

communication between these two parties. It provides the freedom to

challenge codes, criteria, needs, desires, and specifications in a professional atmosphere.

Because the economic measure of value is life cycle cost, the program

controls life cycle cost as well as initial cost. Thus, it has been

effective in reducing maintenance and energy cost in addition to ensuring

the project budget is met.

Required VM service design contracts can be expected to provide an average

$10 return for every dollar invested in cost of the service.

Key Words: Economic analysis; life cycle cost; value management;

value study.

189
INTRODUCTION

The General Services Administration (GSA) Public Buildings Service (PBS)

incorporates a Value Management (VM) Services Contract Clause in each of

its professional services contracts with architect-engineer (A-E) and

construction managers (CM) involving the design of buildings, extensions,

alterations, and improvement projects with estimated construction costs

(ECC) over $200,000. This clause establishes minimum contractor performance and scope of service concerning Value Management during design.

Our intent in requiring the use of VM principals and techniques is that

their application will result in:

1. Reduced overall costs without degradation of the essential performance

of the project.

2. Reduced potential for design deficiencies as reflected in reduced

numbers of change orders during construction.

3. Positive control of costs.

4. Savings in time for design by eliminating unnecessary design work,

adding to a clarification of the design scope, reducing false starts, and

preventing the loss of time that occurs when budgets are exceeded.

The simple reason we require the designer to perform VM is, besides the

client, the A-E's decisions have the most influence over expenditure of

funds during a facility's life. (See figure 1.)

1

I For example, the client, through the code or criteria he uses, may prescril

the quantity of plumbing fixtures to be provided. This does restrict the

A-E's influence on what it will cost to provide and operate the plumbing \ system. However, he does retain the next greatest influence on these cost!

because he does determine layout, arrangements, materials, colors, etc.

By the time the construction contractor enters the scene, he can influence!

the cost of materials and installation by only a few percent. Maintenance

and operations personnel are left with the least influence because they

must live with that given them.

Clearly, the greatest potential for savings is to provide a way for the

A-E to perform VM during design and at the same time permit him to questioi

client criteria.

190
LIFE

\ USING AGENCY

\ Standards t Criteria ! CYCLE X

COSTS

|§\ .Architect • Engineer

\. Initial Contractor

>^ / Operation & Maintenance Personnel

TIME LIFE CYCLE

Figure 1: Decision Maker's Influence on Cost

DEFINITION

At this point it is important to emphasize that contracting for VM is not

contracting for just cost reduction services or economic analysis to

determine which is the cheapest system. In fact, our VM requirements are

not a substitute for economic analysis or life cycle costing services

which are still required in our A-E contracts.

Then it is important to state the formal definition of VM to understand

what the service is and how it relates to other A-E contract requirements:

"VM is an organized effort directed at analyzing the function of

goals and services for the purpose of achieving necessary functions

at the lowest overall cost, consistent with achieving necessary

operational, maintenance, safety, reliability and other performance

features .

Analyzing the above definition with regard to our contract services , one will see the full implication of VM as a specific process which requires

application of a specific methodology.

191
For example, the term "organized effort" in the definition translates into:

* identifying and dedicating resources to perform VM (the contract

sets these aside for VM use)

* deliberately investing these resources in potential areas of

savings (rather than spending the resources to see what will

happen)

* using multidiscipline teams

* formally following through on ideas until resolution is reached.

Of course, this process is aimed at identifying and eliminating all

unnecessary costs without sacrificing required performance. The

methodology takes over here. Value is enhanced by improving the

relationship of worth (amount you are willing to pay for a function)

to cost through the study of function (purpose for which an item or practice exists or is being considered) . Identification of unnecessary

costs is established by analyzing the functions of the design or item

under review. Elimination of unnecessary costs is the result of

implementing alternative means to achieve the required function.

Now, the cost referred to above is not just initial construction cost.

Rather, it is life cycle cost ("lowest overall cost" in the definition).

Life cycle cost (LCC) of any item (building, system, component) is the

total cost to the owner or user for acquiring it plus operating, supporting

maintaining, repairing and/or replacing it over the full life span it is

needed

.

VM uses LGC as the economic measure of value. Doing this ensures that

required performance is maintained when changes are adopted. More often

than not, VM enhances the performance reliability of the service or products to which it is applied.

VALUE SERVICE REQUIREMENTS

GSA's handbook, A-E/CM Value Management Services (PBS P 8010.1), is the

document referenced in A-E contracts which specifies the requirements

for these services.

During negotiation of fee for the basic design work, a separately

identified fee is negotiated for doing VM work. However, GSA requirements

do not provide for incentive sharing, with A-E or CM, of savings achieved

during design or construction.

The amount of VM effort we require increases as the dollar value of

construction increases per the levels of service briefly described below:

192
Level 1 - Projects between $200,000 to $1,000,000 require development

of cost models and A-E consideration of client generated

value study proposals.

Level 2 - Projects between $1,000,000 to $5,000,000 require the A-E

to perform VM studies of criteria and systems.

Level 3 - Projects between $5,000,000 to $30,000,000 require the

conduct of a VM workshop for the project in addition to

the studies.

Level 4 - Projects over $30,000,000 require assignment of a project

manager to oversee and coordinate all the VM services

under contract.

It is not enough, however, to simply require VM to be performed during

design without the client being prepared to support the effort. In our

case, GSA has issued written guidance to respond to issues that can be

anticipated to arise from requiring VM services during design. These

involve

:

Design schedule . We require that all design schedules include provisions

for performing value studies and time to implement expected results. A

tight design schedule and an urgent need for design completion is not cause to permit VM services to be deleted from the contract. Such

situations intensify the need for increasing value services. The faster

the project is issued, the more susceptible to poor value it is.

Changes to codes, criteria . Because the VM program encourages innovation

and initiative, changes are an expected product. In GSA Regional

Commissioners and Assistant Commissioners are authorized to consider

requirements in all PBS publications as general guidance rather than rigid

standards in order to approve and implement results from VM efforts.

Where definite advantages can be expected, deviations are authorized

provided that a professional judgment has been made that a safe, adequate,

more economical, or better design or procedure will result. This authorization for worthwhile deviations does not apply to deviations from

statutory and similar requirements included in Public Laws, Federal

Procurement Regulations, Executive Orders and similar regulations, such

as - statutory requirements include provisions for the handicapped, air

and water pollution abatement and control, and the use of specifications

which are non-proprietary.

Compensation for changes . Assuming A-E's perform their professional

responsibility during design, the client should be prepared to provide

additional compensation to implement changes when necessary. GSA permits

A-E's to be compensated for implemented changes resulting from value

studies when they affect completed and approved design work to date. The

193
entitlement and the amount of compensation is determined by the Contracting

Officer before the A-E is authorized to .proceed with any changes. Such

compensation is limited to the additional costs of redesign. Value

Management changes intended to bring the project, as designed by the A-E,

back within the budget are expected to be accomplished by the A-E without

additional compensation.

SCOPE OF APPLICATION

Our VM service requirements provide for repetitive consideration of VM at

all stages of design. We know that the highest return on investment from

VM application can be expected early in the design process, before the cost

of redesign in order to implement a change adversely affects the savings

potential

.

But design is not a simple, straight forward process. It is an interactive

process. Each step in programming or design of a project represents a known baseline that starts out broad in content and becomes more and more

definitive as the time goes on. The heart of our VM requirements is to

work against a given baseline in order to change or redirect the baseline

and arrive at an end result that will satisfy the original functions. For

this reason, VM is applied repeatedly as various points or phases during

the design process.

Concept stage . The purpose of the conceptual phase is to translate

requirements and program directives into feasible concepts which will

result in defining future operational and support requirements. During

this stage a VM criteria review is performed. The designer is requested

to question, study, or recommend changes to Government-imposed restrictions

whether they be performance criteria, scope requirements, standard

prescriptive specifications or special instructions.

At this stage, a cost/worth model with parameter cost is developed and

reconciled with the project budget to set a cost baseline to control

initial costs through design.

Similarly, this is the time to establish LCC goals for the entire facility.

Very often, the VM activity during this stage identifies issues for further

detailed study and consideration for the next VM study.

Tentative stage . During the design tentative stage of design, approved

concepts are definitized, preliminary drawings and outline specifications

are started, and sufficient detailed information is developed to substantiate all quantity and cost that have been presented in the program

194
directive. This is the most opportune time to question performance

characteristics. VM effort at this stage is directed toward creating

value indexes of function, cost, and worth of each system as a whole,

and its major subsystem.

VM task team studies are conducted at this stage, often in the form of

workshop, with the objective of generating changes to the design. We

require that task team reviews be performed by individuals not responsible

for the original design. This is intended to prevent extensive

interruption of the design process as well as provide a less prejudicial

value review.

VM studies at this stage of design are directed toward system studies.

The studies concentrate on system selections as expressed by single line

drawings and calculations for foundation, superstructure, mechanical,

electrical, fire protection, and vertical transportation. In addition,

system relationships, design configurations, space efficiencies and scope

requirements are reviewed. Information derived from independently performed

economic analysis on alternate systems by each engineering discipline is

also used to arrive at recommendations for improving project value.

Working drawing stage . It is during the working drawings phase that

specific (final) design details are formulated. Materials are selected

and specifications created. VM effort at this stage is concentrated on eliminating unnecessarily restrictive detail for requirements, ensuring

standards for details, minimizing the different types of quantities, and

eliminating items not necessary.

VM study activity deals with components of the various building systems

rather than the systems themselves. Effort is made to study areas where

the cost to make a change (redesign) is minimal compared to the potential

savings. Schedules for equipment, hardware, windows, doors, finishes and

materials fill in this category as do specification requirements.

When projects are phased or fast tracked into bid-packages, VM study is

conducted on each package prior to release for bids . The VM studies

concentrate on all items of procurement in the bid-package as well as the

interface with items that might influence cost savings on subsequent bidpackages .

CONCLUSION

Since the inception in 1973 of the VM Service Contract Clause in A-E/CM

professional services contracts, studies by designers as well as GSA's

own in-house staff, have resulted in elimination of more than $32 million

195
of unnecessary cost in facility designs. This represents a return of some $10.20 for every dollar spent on the program. Many A-E's have

accepted the methods and procedures of VM as proposed by GSA and view

this approach as an opportunity to enhance the capability of their

practice for the present and future benefit of their clients.

Value Management encourages innovativeness , ingenuity, and imagination

in reducing cost without sacrificing required quality or function. It can serve as a beneficial tool to address the problems of scarce re- sources while maintaining sound quality construction. The Value Manage

ment Program in GSA continues to promote teamwork, enhance communication

improve productivity, reduce waste, increase cost consciousness, and

encourage personal development because Value Management provides a definite avenue of change.

196
BUILDING RECERTIFICATION AND DADE COUNTY, FLORIDA

by

Ralph Warburton, AIA, AICP, PE

Professor of Architecture and Planning

University of Miami

Coral Gables, Florida

One of the major problems in maintaining environmental quality is the

need for continual routine monitoring of existing private-sector con- struction to ensure structural integrity over time. Dade County,

Florida has an operating ordinance which provides a model deserving

significant consideration in this regard, so that extensive loss of

life and property can be minimized.

On May 21, 1975, the Dade County, Florida Commission adopted Ordinance

75-34, providing for routine examination by private-sector architects

and engineers of structures over 40 years old (and re-examination at

10 year intervals thereafter) to verify their continued eligibility for

a Certificate of Occupancy. The ordinance covers all private-sector

buildings providing facilities for over 10 persons and having over

2,000 sq. ft. of floor area, except for 1 and 2 family residential

structures.

At present, about 6,000 buildings have felt the effects of this ordinance, with about 75% receiving immediate recertification and about

10% requiring enforcement measures. Buildings are currently coming

under the ordinance provisions at the rate of about 700 per year.

Evaluation of potential generic issues, considering the program development to date, indicates no serious defects in the program and the

immense benefits to the public from such an ordinance covering privatesector buildings.

In fact, the Dade County Ordinance presents a model worthy of national

attention and adoption as appropriate as part of new state/local

building code legislation as well as through revisions to professional

established standards and policies.

Key Words: Architects; codes; earthquake; engineers; Florida;

inspection; legislation; recertif ication.

197
CONTEXT

Introduction

One of the major problems in maintaining environmental quality is the

lack of procedures for the continual routine monitoring of existing

private-sector construction to ensure maintenance of design quality

over time. It has been recognized that our significant building stock

must be maintained at an appropriate level of quality to ensure maximum livability as well as minimal catastrophic losses from such causes

as fire, hurricanes, earthquakes, etc. This recognition at the

federal, state and local level is outlined in this paper, together with

material on the Dade County, Florida, recertif ication program which

provides for periodic inspections and certifications of existing privatesector buildings utilizing private-sector design professionals.

Background Overview

Apparently, the first United States law for the inspection of existing

buildings was adopted in New Orleans in 1856. It stated: "The Mayor

and Surveyor shall examine theatres and places of public resort for

structural stability, and take suitable measures to prevent accidents

that might result from any negligence in the construction of the building or from any mismanagement of the proprietors." (Ref. 1, italics

added.

)

From this has developed, principally in the 20th century, the "system"

of model codes, local codes and state codes which often encompass

elements intended to ensure from the outset the safe continuance of

the use for which the building was constructed. Maintenance of housing

quality is provided for through housing codes. As late as 1969, a sur- vey of the building code field included little material on building

quality maintenance - covering only housing codes and use violations.

(Ref. 2.)

This survey also covers the transition from specification codes to

performance codes; the latter allowing broad leeway to designers in

selected materials and methods to achieve desired results, within es- tablished engineering and architectural parameters. Performance

orientation in building codes has been widely advocated since its benefits are many (Ref. 3), but it requires an increasingly greater degree

of technical sophistication on the part of the code enforcement

personnel.

The increasing extension of the building code responsibilities toward

maintenance and performance-orientation areas, simultaneously, can be

illustrated in regard to the developing national concern about

earthquakes

.

198
Earthquake Hazard Mitigation Developments

In 1975, a panel of the National Academy of Science stated that the

"...modification of and even demolition of unsafe structures must be

included in the goals of structural design and maintenance to be pursued

by public and private officials." (Ref. 4.) The evaluation of the long

term performance of repaired buildings was called for in 1977 (Ref. 5).

Also in 1977, the American Institute of Architects Research Corporation

called for the generation of problem solving strategies in maintenance

procedures and techniques (Ref. 6). The issue was discussed further in

the 1978 report of Earthquake Hazards Reduction , prepared by the Executive Office of the President, which outlines some state measures taken

to review structures (principally publicly assisted and/or licensed

hospitals and schools) for their soundness with respect to potential

earthquake damage (Ref. 7). Washington publications sponsored by the

Veterans Administration, the General Services Administration, and the

Department of Defense within the past decade have identified vital non- structural as well as structural systems, and advanced evaluation

systems for existing buildings which have potential application to re- certification approaches (see Ref. 8 for summary). And, guidelines for

the repair and strengthening of existing buildings and for emergency

post-earthquake inspections have been proposed in the Applied Technology

Council recommended tentative provisions. (Ref. 9.)

Local Government Background

Are local government code procedures available to cope with the outlined

subject matter? The key tool would be development of the certificate of

occupancy concept, requiring periodic re-inspection for maintenance of

the right to continue to occupy a structure. A recent national pilot

survey by mail, carried out by researcher Philip Martin under the

author's direction, strongly suggests that this tool is in its initial

evolving stages of development.

Several quotes from response letters by local building officials are illustrative. In Boston, "The Building Department does not have a recertif ication program...," although voluntary recertif ications are possible (Ref. 10). "The City and County of Denver has no program for

recertifying buildings after their initial construction." (Ref. 11.)

"Recertif ication of existing buildings is not required by the

(Los Angeles) code." (Ref. 12.)

The response from San Francisco was more positive: "In apartment houses

and hotels, we have a triennial inspection of the public areas for

maintenance and to ensure compliance with the Housing Code, including

retroactive provisions, and a program in which the worst 1000 apartment

or hotel buildings each year are completely inspected including all rooms

of all the dwelling units. That is the extent of the Bureau of Building

Inspection's recertif ication program. The Fire Department has programs

for inspection of public assembly, and a general program, when personnel

are available3 for maintenance of office buildings." (Ref. 13, italics

added.

)

199
Local Government Reliance on Private Sector Architects/Engineers

While the term "recertif ication of buildings" is not in the Chicago

vernacular, its Department of Buildings is required to inspect many

types of buildings annually for code compliance, with fines being

assessed for non-compliance. In addition, jointly recognizing problems

connected with technical sophistication and manpower, the City Council

enacted a 1978 ordinance requiring that a registered private-sector

architect or structural engineer inspect "...every exterior wall and

enclosure of or part of a building five stories or more in height..."

at least once every ten years; every five years when the building

reaches the age of 35 years. If deficiencies are found, "...repairs,

reinforcements or precautionary measures..." are required. (Ref. 14.)

The metropolitan area of Dade County, Florida has an operating recertif ication ordinance, using private-sector architects and engineers, that

is far in advance of those indicated above. (Ref. 15.) (The ordinance

was adopted primarily to address problems connected with early building

when no building code was in force. This resulted in, among other things

the use of sea sand and water in some concrete mixes.) Thus, the Dade

County ordinance provides a procedural model deserving significant

consideration in earthquake prone areas so that extensive loss of life

and property can be minimized.

THE DADE COUNTY ORDINANCE

Coverage

On May 21, 1975, the Dade County, Florida Commission adopted Ordinance

75-34, providing for routine examination of structures over 40 years

old (and re-examination at 10 year intervals thereafter) to verify

their continued eligibility for a Certificate of Occupancy. The ordi- nance covers all private-sector buildings providing facilities for over

10 persons and having over 2,000 sq. ft. of floor area; except for 1

and 2 family residential structures.

"Recertif ication" is construed to mean "...the requirement for specific

inspection of existing buildings and structures and furnishing the

Building Official with a written report of such inspection as prescribed..." conforming, in general, with a 7-page guidelines form

issued by the Building Official. (Ref. 16.)

As buildings reach the initial 40 years of age, or the 10 year renewal

age, a "Notice of Required Inspection" is sent to the owner of record

giving him 90 days to file an inspection report prepared by a licensed

private-sector architect or engineer of his choosing. According to the

ordinance, "such engineer or architect shall undertake such assignments

only where qualified by training and experience in the specific technical

field involved in the inspection and report." (Ref. 15.)

200
Inspection Report

The inspection report form encompasses structural elements in some

detail, but mechanical and electrical systems are not included. A

review of some main topical headings is illustrative: Present Condition of Structure, Masonry Bearing Walls, Floor and Roof Systems,

Steel Framing Systems, Concrete Framing Systems, Wood Framing,

Windows. Under the Concrete Framing Systems heading for example, the

inspecting engineer or architect is asked to give a full description

of the structural system, analyze any cracking with regard to significance, estimate the general condition of the system, evaluate the

extent of rebar corrosion and recommend repairs, and analyze any

samples of concrete obtained from spall areas.

If any defects are noted in such report, the owner has 150 days after

the date of the "Notice of Required Inspection" to correct the situation - if it is not corrected, as attested to by the certification of

the inspecting architect or engineer bearing his seal and signature,

the originally issued certificate of occupancy for that building may

be revoked.

Application

At present, about 6,000 buildings have felt the effects of this

ordinance, with about 75% receiving immediate recertif ication, 15%

undergoing expeditious repairs, and about 10% requiring enforcement

measures. Buildings are currently coming under the ordinance provisions

at the rate of about 700 per year. As a consulting architect and

engineer, the author has directly participated in this recertif ication

program on behalf of a private-sector owner, and was able to discharge

these responsibilities in a non-problematic manner. From inception,

and during the five years since adoption, the program has had wide

professional and political acceptance among all facets of the

community.

EVALUATION

While the Dade County ordinance is evidently a landmark law which

could have major impact, some prospective problem areas can be

identified with regard to owners, a/e f s and local governments.

Owner related issues include time requirements, a/e qualifications,

equitable enforcement, effect on real estate capital and rental values,

ability to secure repair loans, and effect on insurance costs. Architect and engineer related issues include contract standards, fees,

professional liability, and threshold for minimum repairs. Local

government related issues include enforcement organization structure

and personnel, and unrepairable defects.

201
However, evaluation of these potential generic issues, considering the

program development to date, indicates no serious problems with the

program as well as the immense benefits to the public from such an ordinance covering private-sector buildings.

The 6,000 building operational scale of the Dade County program is

comparable to the magnitude of the problem in many cities, such as earthquake prone San Francisco. There, for example, it has been

estimated that 4,200 potentially hazardous buildings are located

within a 200 block area where severe damage may happen in the event

of a 1906-type earthquake. (Ref. 17.)

In fact, the Dade County ordinance presents a model worthy of

national attention, including further research, and adoption as appropriate as a part of new state/local building code legislation

as well as through revisions to established professional standards

and policies and so that the desired environmental quality of our urban areas is maintained.

REFERENCES

1. Colling, R. C. and H. , editors; Modern Building Inspection ; Building Standards Monthly Publishing Company, Los Angeles,

California; 1950.

2. Sanderson, R. ; Codes and Code Administration ; Building Officials

Conference of America, Inc.; Chicago, Illinois; 1969.

3. Warburton, R. ; "A Progressive Approach to Zoning and Building

Codes;" Systems Building News , W. R. C. Smith Publishing Company, Atlanta, Georgia; July 1971.

4. Panel on the Public Policy Implications of Earthquake Prediction;

Earthquake Prediction and Public Policy ; the National Academy

of Science, Washington, D. C; 1975.

5. Hanson, R. D.; Repair, Strengthening and Rehabilitation of

Buildings . .

.

; University of Michigan Department of Civil

Engineering; Ann Arbor, Michigan; October 1977.

6. American Institute of Architects Research Corporation;

Architects and Earthquakes: Research Needs ; The Corporation,

Washington, D. C; 1977.

7. Working Group on Earthquake Hazards Reduction, Office of Science

and Technology Policy, Executive Office of the President; Earthquake Hazards Reduction ; the Office, Washington, D. C; 1978.

202
8. Yancey, C. W. C. and A. A. Camacho; Aseismic Design of Building

Service Systems; The State of the Art ; U.S. Government Printing

Office, Washington, D. C; 1978.

9. Applied Technology Council; Tentative Provisions for the Development of Seismic Regulations for Buildings ; U.S. Government

Printing Office, Washington, D. C. ; 1978.

10. Letter dated 27 September 1978 from R. L. Granara, Assistant

Building Commissioner, Boston, Massachusetts.

11. Letter dated 27 September 1978 from W. J. Miller, Director,

Building Inspection Division, Denver, Colorado.

12. Letter dated 2 October 1978 from B. R. Whitson, Chief, Special

Projects Division, Conservation Bureau, Department of Building

and Safety, Los Angeles, California.

13. Letter dated September 1978 from R. C. Levy, Superintendent,

Bureau of Building Inspection, San Francisco, California.

14. Letter dated 26 September 1978 from John F. Connelly, Coordinator,

Special Projects, Department of Buildings, Chicago, Illinois,

and attached documentation.

15. Ordinance No. 75-34 by the Board of County Commissioners of Dade

County, Florida, amending the South Florida Building Code

adopted by Ordinance No. 57-22, as amended, adding. a new subsection 104.9 Recertif ication. Adopted 21 May 1975.

16. Dade County, Florida, "Recommended Procedural Guidelines for

Building Recertif ication," 21 May 1975.

17. Department of City Planning; "A Community Safety Plan for the

Comprehensive Plan of San Francisco;" City of San Francisco,

California; July 1974. Discussed, with other background in:

American Institute of Architects Research Corporation; Summer

Seismic Institute for Architectural Faculty ; The Corporation,

Washington, D.C.; 1977.

203

COMPUTER-AIDED DESIGN REVIEW:

PREDICTING THE EMERGENCY EGRESS POTENTIAL

OF PROPOSED BUILDINGS1

Fred I. Stahl, Ph.D.

Environmental Design Research Division

Center for Building Technology, NEL

National Bureau of Standards

Washington, D. C.

This paper discusses the potential use of computer simulation techniques

by building code officials, as tools which aid in the prediction of

building performance. As a case in point, the BFIRES program for simulating emergency egress during building fires, developed at NBS , is

presented. The program is described from the user's viewpoint, and a specific example of its application in assessing building design is

treated.

Key words: Building codes; building fires; computer-aided design;

computer simulation; fire research; human performance;

modeling; regulatory process; simulation

The research reported here was funded by the Center for Fire Research,

NBS, through its NBS-HEW Fire/Life Safety Program, and by the Center

for Building Technology, NBS.

205
INTRODUCTION

Goals and Objectives

Since 1977, the Environmental Design Research Division of the Center for

Building Technology, National Bureau of Standards (NBS) has been actively

developing a technique for simulating the emergency egress behavior of

building occupants via computer [1,2,3]^. Long range goals of this

ongoing activity have been (a) to develop a deeper understanding of human

behavior during fire situations, and (b) to develop a standardized technique for analyzing alternative building designs from an emergency egress

viewpont. The latter aim provides the focal point of this paper.

The principal technical product of this research activity is BFIRES, a dynamic stochastic computer simulation of emergency egress behavior by

building occupants during fires. The objectives of this paper are to

acquaint the 'reader with the purpose and structure of BFIRES, to suggest

the utility of computer-aided design review by building designers and

code officials, and to present an example illustrating an application

of the BFIRES program. This paper should not, however, be construed as

a "user's manual"

Computer-aided Design Review: Why?

Regulatory mechanisms in current use usually require the compliance

official to determine whether a given building design conforms to applicable regulations. When the building under review deviates little from

local or accepted standards the review process is often straightforward.

But when the regulatory official is confronted by a novel or highly

specialized building program or design solution, he may be forced to

exercise considerable discretion without the benefit of either past

experience or reliable analytical tools. When considering life safety

from fire for example, there currently exist no standardized tools with

which to predict the emergency egress potential of specific building

designs in relation to various fire or emergency scenarios.

A simple example illustrates this point. According to section 5-1201

of the Life Safety Code (1973 edition),

Exits shall be so located and exit access shall be so arranged that

exits are readily accessible at all times. Where exits are not

immediately accessible from an open floor area, safe and continuous

passageways, aisles, or corridors leading directly to every exit

Numbers in brackets indicate references which appear at the end of

this paper.

Preparation of a BFIRES user's manual is currently in progress.

Researchers wishing to use the program should contact the author.

206
shall be maintained and shall be so arranged as to provide convenient access for each occupant to at least 2 exits by separate

ways of travel, except as a single exit or limited dead ends are permitted by other provisions of this Code.

This section, and in general Chapter 5 of the Life Safety Code , prescribes ready access to exits in the hope that during a fire, alternative egress pathways will protect occupants from the blocking of any

single exit or path. However, the Code provides designers and building

officials with neither a method for testing the adequacy of any given

design, nor a means for comparing design alternatives in terms of life

safety costs and benefits (e.g., time required to evacuate a floor, potential number of persons trapped on the floor, etc.). Without standardized

tests and evaluative methods, how is the building official to determine

the adequacy of a proposed egress scheme for those buildings too complex

for straightforward code review?

"BFIRES : " A COMPUTER MODEL FOR PREDICTING EMERGENCY EGRESS

BEHAVIOR

Purpose

BFIRES was specifically designed to simulate—by digital computer—the

movement of people within building enclosures in response to life

threatening stimuli (i.e., fire and smoke). Originally planned for use

in evaluating health care facility designs, the program permits users

to simulate such special activities as rescuing nonambulatory persons,

in addition to simulating more frequent and general categories of emer- gency response (e.g., exit seeking, threat evasion, the deterioration

of emergency responses resulting from inhabiting a toxic environment,

etc.). In its current form BFIRES is applicable to a broad range of

building occupancies.

A Cautionary Note

To date, considerable effort has been devoted to developing BFIRES

[1,2] and to analyzing the program's sensitivity to important parameters

[2] . However, extremely little research has yet been undertaken regarding the predictive validity of BFIRES (i.e., the ability of the program

to predict the performance of real human beings during actual fire

emergencies). Although a recent investigation of the predictive capabilities of BFIRES yielded positive results [3], that study was extremely

narrow in scope^" and the findings do not readily generalize to other

Fires in two-bedroom dwelling units were studied, in which the kitchen

was the room of fire origin. BFIRES simulated fire outcomes were found to agree, in most respects, to results of real fires reported

in the National Fire Protection Association Fire Incident Data Organization (NFPA-FIDO) data base.

207
occupancies or fire conditions. Consequently, the reader is cautioned

that BFIRES

in its present form—is not advocated for practical application by the building design and regulatory communities. Thus, references

in this paper to the program's use are hypothetical. It is hoped, of course that future versions of the program will prove to be valid and

reliable for practical applications.

Concept and Structure of BFIRES

BFIRES simulates the perceptual and behavioral responses of building

occupants involved in fire emergencies. As in real fires, simulated

occupants may respond to a fire alert although they are quite distant

from actual fire products which may have been confined in some distant

part of the building. Or their behavior may result from a direct con- frontation with toxic agents. The program can simulate a wide variety

of emergency scenarios, primarily because it deals with human behavior

at a very fundamental level. Specifically, the basic unit of occupant

behavior generated by BFIRES is the individual momentary response to

the state of the environment at a discrete point in time, t. BFIRES

conceptualizes a building fire event as a chain of discrete "time frames"

(t-p t2 , • •

• , tn

) and for each such frame, it generates a behavioral

response for every occupant in the simulated building. If each "frame"

could be replayed sequentially as in the case of a movie or animated

film, a complete "picture" of the building fire event would be seen

(i.e., the simultaneous egress performance of all occupants in response

to a migrating fire threat). See Figure 1.

The response generating capability of BFIRES is based upon an information

processing explanation of human behavior, and suggests that building

occupants act in accordance with their perceptions of a constantly

changing environment. Between any two time frames t^ and t .j.^ , the

environment undergos change; e.g., people have altered their locations

in space, smoke has advanced to new locations, and the building itself

may have undergone physical changes. When preparing a behavioral response

at t. +^, a simulated occupant first gathers information which describes

the state of the environment at this point in time. Next, he interprets

this information, relating it to the emergency egress goals guiding his

overall behavior. This is accomplished by comparing current with previous

distances between the occupant, the fire threat, and the exit goal, and

by comparing "knowledge" about threat and goal locations possessed by

the occupant, with amounts possessed by other nearby simulated persons.

Current locations of physical barriers (e.g., walls or doors) and of

other occupants are also taken into account. Finally, he evaluates

alternative responses and selects an action as his response for time t^.

The selection of a behavioral response (i.e., the decision to move in a particular direction) results from the comparison of available move alternatives against the occupant's current move criteria. For example,

an occupant who knows the locations of both the fire threat and of a safe exit will favor moves which minimize his distance to the exit goal

and/or maximize his distance from the threat. This response is likely

208
T-N

>

As the event unfolds, the state of the environment at

time t suggests several alternative states for time t+1

.

BFIRES probabilistically routes the event through time

by constructing a logical sequence of states in Markovian

fashion.

Figure 1: The Building Fire as a Sequence of Discrete Events

209
to change his physical position within the building, and hence to create

a new environmental information field to which all occupants must respond

during the next time frame in the chain, tj^v" This cycle continues

until the fire event is completed.

In order to simulate information processing and behavior, BFIRES assumes

that people possess "libraries of response programs" within their brains

[4]. In broad terms these programs are thought to be acquired through

learning and experience, and are also assumed to undergo change over

time. The simulation program makes use of a simplified version of this

model, as is shown in Figure 2. Thus, the BFIRES executive program

routes simulated occupants through the perception (information gathering),

interpretion, and response processes. Each of these processes calls upon

a library of computer subroutines, each of which is responsible for producing some aspect of simulated occupant behavior (see Figure 2). Of

course, several additional "nonbehavioral" subroutines are required which

enable the user to communicate with BFIRES, i.e., to input initial

scenarios and to retrieve from the computer data describing fire event

outcomes. BFIRES was written in FORTRAN-V, and is currently operating

on the UNIVAC 1108 and INTERDATA 7/32 computers at NBS

.

A Technical Approach to

Computer-aided Design Review

Because BFIRES recreates fire events as they unfold over time, it is

possible to use the program as a building design and regulatory tool.

This may be accomplished by creating a building fire scenario (which

depicts anticipated real world conditions), entering this scenario into

the computer, executing the BFIRES program, and finally interpreting the

computer's output. As more scenarios are executed for a given design,

the more thoroughly will the design be tested. Comparisons between test

results for several design alternatives could substantially aid the process of selecting the best scheme from a life safety viewpoint. A flow

chart illustrating the technical approach to computer-aided design review

is presented in Figure 3. An example is discussed below.

AN EXAMPLE ILLUSTRATING THE APPLICATION OF "BFIRES "

Scenarios

An example illustrating the possible uses of BFIRES involves the floor

plans shown in Figures 4 and 5. These represent typical designs for a wing of a health care or nursing facility. The two plans are identical

in most respects, and differ only in the location of the exit stairs.

In Figure 4 the exits are remotely located at opposite ends of the floor,

while in Figure 5 they are centrally located. At the moment of fire

ignition, 12 occupants are assumed to be spatially distributed as shown

in the figures.

In addition to considering differences in floor plan design, differences

in occupant distribution are also compared. Figure 4 illustrates the

situation in which all occupants are fully ambulatory, and may be assumed

210
LOG VS. FRAME IN DES MOINES

ABS.=.50

air changes

per

hour

Schedule A (70O-75O float)

ABS.=.78

air changes per

hour

ABS.=.90

air changes

per hour =0

Schedule B (70° constant)

ABS.=.50

air changed

per

hour

=1

ABS.=-78

air changes

per

hour =0

ABS.=.90

air changes

per hour

= 1

R9 LOG heating

cooling

total

9.728

1.557

11.285

9.674

1.609

11.283

2.193

1.698

3.891

9.651

1.632

11.283

10.40

2.506

2.404

2.359

! 12.906 4.763

R7 FRAME heating

cooling

total

10.550

2.006

12.556

11.34

2.935

3.311

2.731

14.275 6.042

Rll FRAME heating

cooling

total

9.556

1.841

11.397

Figure 10: Thermal loads in 10 Btu/year

179

ANALYSIS OF CODE RELATED RESPONSES

FROM THE SOLAR DEMONSTRATION PROGRAM

by

Joseph Greenberg

Project Leader

National Bureau of Standards

Washington, D.C.

This paper is based on a report prepared jointly for the Department of

Housing and Urban Development (HUD) and the Department of Energy (DoE)

under activities carried out by the National Bureau of Standards (NBS)

relative to the Solar Heating and Cooling Demonstration Program. The

report documents and analyzes building regulatory information gathered

by HUD Contractor personnel during the course of the Solar Residential

Demonstration Program—from inception of the program (late 1975) through

September 30, 1978.

Although not all builders and local code officials participating in the

demonstration program were interviewed for the study, the total number

of participants interviewed was of sufficient size to postulate trends

and draw reasonable conclusions regarding the building regulatory as- pects of the program. The report concludes that existing codes do not

present a barrier to the installation and acceptance of solar systems;

however, code officials need additional training and better back-up

material to properly evaluate solar systems.

This paper summarizes and presents the major findings included in the

report.

Key Words: Building code; code official; demonstration program;

institutional constraints; solar builder/developer; solar

energy

.

181
INTRODUCTION

The objective of the project reviewed by this paper is the analysis of

data collected for the HUD Solar Residential Demonstration Program to

provide an insight into those aspects of the building regulatory process

that inhibit, impede, or otherwise adversely affect the installation

and use of solar hot water and space heating and/or cooling systems.

The project was designed to provide:

An analysis of the response by the participants in the demonstration program as to real or perceived regulatory problems encountered

during the conduct of the program.

An analysis of the adverse impacts, if any, resulting from differences in various regulatory statutes.

A recommended course of action, as articulated by the participants

in the demonstration program, regarding current and future

regulatory needs.

An assessment of the documentation and training needed to assure

an orderly and efficient system for the evaluation and acceptance

of solar systems.

The HUD Demonstration Program is structured in cycles; each takes place

sequentially in a different time frame with various projects awarded

for each cycle. Although the HUD Solar Residential Demonstration

Program is expected to have a total of five cycles, the report was limited to data gathered during the first three cycles and includes data

collected from late 1975 to September 30, 1978—the cutoff date of the

report.

DATA SOURCES

To assure an orderly and systematic method of identifying and collecting

the pertinent data associated with the regulatory aspects of the HUD

Solar Residential Demonstration Program, each organization having

responsibility for the collection of data was identified. The data

collection instruments (questionnaires and reports) were collected and

a review made of each document to assess its value as a data source for

regulatory information. Those valuable to the project were then singled

out for study and the appropriate mechanisms established to collect the

data; either through the NBS Solar Data Base or through direct contact

with the custodial organization. To facilitate the handling and analysis of the information, special computer print-outs were developed using

the information stored in the NBS Solar Data Base.

Organizations collecting data for the Solar Residential Demonstration

Program were

182
Real Estate Research Corporation - RERC

American Institute of Architects Research Corporation - AIA/RC

U.S. Department of Housing and Urban Development/Boeing - HUD/Boeing

The RERC data are by far the most pertinent to the study and are used

to generate most of the conclusions and trends presented. The broad

scope of the questions asked and the variety of respondents (demonstration builders, non-demonstration comparative builders, and local building code officials) allow for comparisons to be made and differences in

responses to be analyzed.

SAMPLE SIZE

Regulatory questions were responded to by fifty percent (50%) of the

single family builder /developers engaged in constructing solar equipped

demonstration houses, and approximately ten percent (10%) of the multifamily builders /developers. In addition, RERC interviewed non-demonstration, non-solar comparative single family builders at approximately

fifty percent (50%) of the locational areas where solar demonstration

programs are being conducted. The demonstration builder data, both

single family and multi-family, approximately reflected the number of

site locations visited; the usual scheme is to generally interview only

a single demonstration builder/developer per location. However, the

number of comparative builders varied from one to four. In addition,

responses were received from eighty-seven (87) local building code

officials, which represents responses from approximately thirty-two

percent (32%) of the two hundred seventy-two (272) site locations,

comprising the demonstration program during that time frame.

The major findings that are detailed and analyzed in the report are summarized below:

A. Constraints/Technical Issues

1. Approximately eighty percent (80%) of the local building code

officials indicated that there are no major barriers in building

codes at present which would impede the installation of solar

energy systems in their jurisdictions, while a smaller percentage (approximately 64%) foresaw no future problems. Those

officials identifying current problems specified administrative

difficulties as the most frequent reason for these problems.

Anticipated new code requirements and structural concerns were

identified by those officials who expected future problems.

2. Some local building code officials reported that the codes used

in their jurisdictions contain provisions for solar systems.

There was no indication that the processing and acceptance of

solar energy installations was affected adversely or advantageously by a jurisdiction's adoption or lack of adoption of

solar energy provisions.

183
3. Approximately one-quarter of the local building code officials

indicated that their departments had studied the question of

potential impact of solar energy systems on building codes and

of these, one-third indicated a need for standards for solar

systems and components.

Approval and Inspection of Solar Systems

1. The solar demonstration builder/developer faces no greater or lesser difficulty than that routinely faced by non-solar builders in obtaining approval from building inspectors during the

planning and construction phases of their projects. From the

builder/developer perspective, it appears that regulatory issues

have not impeded the acceptance of solar systems on the Solar

Residential Demonstration Program.

2. Approximately one-quarter of the local building code officials

indicated that solar applications presently require additional

processing time and approximately one-half of these local

building code officials expect that the need for this increased

processing time will continue.

3. The number of waivers requested for solar installation is low.

However, if a waiver is requested, the chance of having the

waiver granted is excellent. In addition, approximately one- quarter of the local building code officials required design

changes to be made on solar systems installed in their

jurisdictions.

4. System approvals and site inspections normally were handled in

a routine manner; however, approximately one-quarter of the

local building code officials reported that additional site inspections were required for them to become familiar with the

solar installations or to run plumbing or other physical tests.

5. The greatest concern of the local building code officials

identifying problems with solar systems meeting code requirements are the toxic fluids used in these systems.

6. Approximately two-thirds of the local building code officials

indicated building code problems in the installation of a solar system in an older structure; citing an overwhelming con- cern with structural adequacy of the buildings. In addition,

approximately one-quarter of the local building code officials

indicated that multi-family solar installations would entail

unique considerations from an approval point of view because of

the inherent complexity of these larger installations.

i 7. Certification of solar equipment, with approved testing conducted ! by any qualified testing institution, was desired by one-third of
the local building code officials prior to their issuing a building permit.

Code Official Training and Technical Support

1. Generally, the knowledge and educational background of the

local building code official and the sources of solar energyinformation available to him varied greatly from jurisdiction

to jurisdiction. If the processing of solar applications is to

be accomplished more effectively, the code official's knowledge

of solar energy systems must be upgraded by education, training

and actual experience.

2. Areas of assistance identified by the local building code official include: the training of evaluators and inspectors; the

development of manuals of accepted practice and inspection

guidelines; development of feasibility data; development of

efficiency data for different solar systems; certification of

equipment and systems; and, need for standards.

3. The sources most often used by the local building code official

for information related to solar energy are trade publications,

manufacturer's data, national and local associations, and govern

ment agencies. Other important sources are universities and

independent agencies. Developers and financial institutions

were rated low as sources for solar information.

185

SESSION 3A - DESIGN CONSIDERATIONS AND

THEIR IMPACT ON CODE ENFORCEMENT

Moderator: Joseph A. Cirillo

State Building Commissioner

12 Humbert Street

North Providence, Rhode Island

187

CONTRACTING FOR VALUE MANAGEMENT DURING DESIGN

by

Donald E. Parker

Director, Value Management Division

Office of Construction Management

Public Buildings Service

General Services Administration

Washington, D. C.

This paper describes the content and application of the General Services

Administration CGSA) Value Management (VM) Program requirements

incorporated by regulation in all architect-engineer (A-E) contracts.

The objective of this VM Program is to control the cost of construction

by performing VM studies at various points in the design process with

the objective of recommending changes to design work in progress.

The VM process requires the understanding and agreement of two parties - the client and the designer. VM study forces the enhancement of

communication between these two parties. It provides the freedom to

challenge codes, criteria, needs, desires, and specifications in a professional atmosphere.

Because the economic measure of value is life cycle cost, the program

controls life cycle cost as well as initial cost. Thus, it has been

effective in reducing maintenance and energy cost in addition to ensuring

the project budget is met.

Required VM service design contracts can be expected to provide an average

$10 return for every dollar invested in cost of the service.

Key Words: Economic analysis; life cycle cost; value management;

value study.

189
INTRODUCTION

The General Services Administration (GSA) Public Buildings Service (PBS)

j incorporates a Value Management (VM) Services Contract Clause in each of

its professional services contracts with architect-engineer (A-E) and

construction managers (CM) involving the design of buildings, extensions, | alterations, and improvement projects with estimated construction costs

(ECC) over $200,000. This clause establishes minimum contractor performance and scope of service concerning Value Management during design.

Our intent in requiring the use of VM principals and techniques is that

their application will result in:

1. Reduced overall costs without degradation of the essential performance

of the project.

2. Reduced potential for design deficiencies as reflected in reduced

numbers of change orders during construction.

3. Positive control of costs.

4. Savings in time for design by eliminating unnecessary design work,

adding to a clarification of the design scope, reducing false starts, and

preventing the loss of t ime that occurs when budgets are exceeded.

The simple reason we require the designer to perform VM is, besides the

client, the A-E's decisions have the most influence over expenditure of

funds during a facility's life. (See figure 1.)

I

| For example, the client, through the code or criteria he uses, may prescrij

the quantity of plumbing fixtures to be provided. This does restrict the

A-E's influence on what it will cost to provide and operate the plumbing

j system. However, he does retain the next greatest influence on these cost

because he does determine layout, arrangements, materials, colors, etc.

By the time the construction contractor enters the scene, he can influence1 the cost of materials and installation by only a few percent. Maintenance

and operations personnel are left with the least influence because they

must live with that given them.

Clearly, the greatest potential for savings is to provide a way for the

A-E to perform VM during design and at the same time permit him to questioi

client criteria.

190
LIFE

\ USING AGENCY

\ Standards & Criteria

CYCLE K

COSTS

|j\ .Architect - Engineer

Initial Contractor ^ / Operation & Maintenance Personnel

/

TIME - LIFE CYCLE

Figure l: Decision Maker's Influence on Cost

DEFINITION

At this point it is important to emphasize that contracting for VM is not

contracting for just cost reduction services or economic analysis to

determine which is the cheapest system. In fact, our VM requirements are

not a substitute for economic analysis or life cycle costing services

which are still required in our A-E contracts.

Then it is important to state the formal definition of VM to understand

what the service is and how it relates to other A-E contract requirements

"VM is an organized effort directed at analyzing the function of

goals and services for the purpose of achieving necessary functions

at the lowest overall cost, consistent with achieving necessary

operational, maintenance, safety, reliability and other performance

features ."

Analyzing the above definition with regard to our contract services , one will see the full implication of VM as a specific process which requires

application of a specific methodology.

191
For example, the term "organized effort" in the definition translates into:

* identifying and dedicating resources to perform VM (the contract

sets these aside for VM use)

* deliberately investing these resources in potential areas of

savings (rather than spending the resources to see what will

happen)

* using multidiscipline teams

* formally following through on ideas until resolution is reached.

m Of course, this process is aimed at identifying and eliminating all

unnecessary costs without sacrificing required performance. The

methodology takes over here. Value is enhanced by improving the

relationship of worth (amount you are willing to pay for a function)

to cost through the study of function (purpose for which an item or practice exists or is being considered) . Identification of unnecessary

costs is established by analyzing the functions of the design or item

under review. Elimination of unnecessary costs is the result of

implementing alternative means to achieve the required function.

Now, the cost referred to above is not just initial construction cost.

Rather, it is life cycle cost ("lowest overall cost" in the definition).

Life cycle cost (LCC) of any item (building, system, component) is the

total cost to the owner or user for acquiring it plus operating, supporting,!

maintaining, repairing and/or replacing it over the full life span it is

needed

.

VM uses LCC as the economic measure of value. Doing this ensures that

required performance is maintained when changes are adopted. More often

than not, VM enhances the performance reliability of the service or products to which it is applied.

VALUE SERVICE REQUIREMENTS

GSA's handbook, A-E/CM Value Management Services (PBS P 8010.1), is the

document referenced in A-E contracts which specifies the requirements

for these services.

During negotiation of fee for the basic design work, a separately

identified fee is negotiated for doing VM work. However, GSA requirements

do not provide for incentive sharing, with A-E or CM, of savings achieved

during design or construction.

The amount of VM effort we require increases as the dollar value of

construction increases per the levels of service briefly described below:

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Level 1 - Projects between $200,000 to $1,000,000 require development

of cost models and A-E consideration of client generated

value study proposals.

Level 2 - Projects between $1,000,000 to $5,000,000 require the A-E

to perform VM studies of criteria and systems.

Level 3 - Projects between $5,000,000 to $30,000,000 require the

conduct of a VM workshop for the project in addition to

the studies.

Level 4 - Projects over $30,000,000 require assignment of a project

manager to oversee and coordinate all the VM services

under contract.

It is not enough, however, to simply require VM to be performed during

design without the client being prepared to support the effort. In our

case, GSA has issued written guidance to respond to issues that can be

anticipated to arise from requiring VM services during design. These

involve

Design schedule . We require that all design schedules include provisions

for performing value studies and time to implement expected results. A

tight design schedule and an urgent need for design completion is not cause to permit VM services to be deleted from the contract. Such

situations intensify the need for increasing value services. The faster

the project is issued, the more susceptible to poor value it is.

Changes to codes, criteria . Because the VM program encourages innovation

and initiative, changes are an expected product. In GSA Regional

Commissioners and Assistant Commissioners are authorized to consider

requirements in all PBS publications as general guidance rather than rigid

standards in order to approve and implement results from VM efforts.

Where definite advantages can be expected, deviations are authorized

provided that a professional judgment has been made that a safe, adequate,

more economical, or better design or procedure will result. This authorization for worthwhile deviations does not apply to deviations from

statutory and similar requirements included in Public Laws, Federal

Procurement Regulations, Executive Orders and similar regulations, such

as - statutory requirements include provisions for the handicapped, air

and water pollution abatement and control, and the use of specifications

which are non-proprietary.

Compensation for changes . Assuming A-E's perform their professional

responsibility during design, the client should be prepared to provide

additional compensation to implement changes when necessary. GSA permits

A-E's to be compensated for implemented changes resulting from value

studies when they affect completed and approved design work to date. The

193
entitlement and the amount of compensation is determined by the Contracting

Officer before the A-E is authorized to .proceed with any changes. Such

compensation is limited to the additional costs of redesign. Value

Management changes intended to bring the project, as designed by the A-E,

back within the budget are expected to be accomplished by the A-E without

additional compensation.

SCOPE OF APPLICATION

Our VM service requirements provide for repetitive consideration of VM at

all stages of design. We know that the highest return on investment from

VM application can be expected early in the design process, before the cost

of redesign in order to implement a change adversely affects the savings

potential.

But design is not a simple, straight forward process. It is an interactive

process. Each step in programming or design of a project represents a known baseline that starts out broad in content and becomes more and more

definitive as the time goes on. The heart of our VM requirements is to

work against a given baseline in order to change or redirect the baseline

and arrive at an end result that will satisfy the original functions. For

this reason, VM is applied repeatedly as various points or phases during

the design process.

Concept stage . The purpose of the conceptual phase is to translate

requirements and program directives into feasible concepts which will

result in defining future operational and support requirements. During

this stage a VM criteria review is performed. The designer is requested

to question, study, or recommend changes to Government-imposed restrictions

whether they be performance criteria, scope requirements, standard

prescriptive specifications or special instructions.

At this stage, a cost /worth model with parameter cost is developed and

reconciled with the project budget to set a cost baseline to control

initial costs through design.

Similarly, this is the time to establish LCC goals for the entire facility.

Very often, the VM activity during this stage identifies issues for further

detailed study and consideration for the next VM study.

Tentative stage . During the design tentative stage of design, approved

concepts are definitized, preliminary drawings and outline specifications

are started, and sufficient detailed information is developed to substantiate all quantity and cost that have been presented in the program

194
directive. This is the most opportune time to question performance

characteristics. VM effort at this stage is directed toward creating

value indexes of function, cost, and worth of each system as a whole,

and its major subsystem.

VM task team studies are conducted at this stage, often in the form of

workshop, with the objective of generating changes to the design. We

require that task team reviews be performed by individuals not responsible

for the original design. This is intended to prevent extensive

interruption of the design process as well as provide a less prejudicial

value review.

VM studies at this stage of design are directed toward system studies.

The studies concentrate on system selections as expressed by single line

drawings and calculations for foundation, superstructure, mechanical,

electrical, fire protection, and vertical transportation. In addition,

system relationships, design configurations, space efficiencies and scope

requirements are reviewed. Information derived from independently performed

economic analysis on alternate systems by each engineering discipline is

also used to arrive at recommendations for improving project value.

Working drawing stage . It is during the working drawings phase that

specific (final) design details are formulated. Materials are selected

and specifications created. VM effort at this stage is concentrated on eliminating unnecessarily restrictive detail for requirements, ensuring

standards for details, minimizing the different types of quantities, and

eliminating items not necessary.

VM study activity deals with components of the various building systems

rather than the systems themselves. Effort is made to study areas where

the cost to make a change (redesign) is minimal compared to the potential

savings. Schedules for equipment, hardware, windows, doors, finishes and

materials fill in this category as do specification requirements.

When projects are phased or fast tracked into bid-packages, VM study is

conducted on each package prior to release for bids . The VM studies

concentrate on all items of procurement in the bid-package as well as the

interface with items that might influence cost savings on subsequent bidpackages .

CONCLUSION

Since the inception in 1973 of the VM Service Contract Clause in A-E/CM

professional services contracts, studies by designers as well as GSA's own in-house staff, have resulted in elimination of more than $32 million

195
of unnecessary cost in facility designs. This represents a return of some $10.20 for every dollar spent on the program. Many A-E's have

accepted the methods and procedures of VM as proposed hy GSA and view

this approach as an opportunity to enhance the capability of their

practice for the present and future benefit of their clients.

Value Management encourages innovativeness , ingenuity, and imagination

in reducing cost without sacrificing required quality or function. It can serve as a beneficial tool to address the problems of scarce re- sources while maintaining sound quality construction. The Value Manage

ment Program in GSA continues to promote teamwork, enhance communication

improve productivity, reduce waste, increase cost consciousness, and

encourage personal development because Value Management provides a definite avenue of change.

196
BUILDING RECERTIFICATION AND DADE COUNTY, FLORIDA

by

Ralph Warburton, AIA, AICP, PE

Professor of Architecture and Planning

University of Miami

Coral Gables, Florida

One of the major problems in maintaining environmental quality is the

need for continual routine monitoring of existing private-sector con- struction to ensure structural integrity over time. Dade County,

Florida has an operating ordinance which provides a model deserving

significant consideration in this regard, so that extensive loss of

life and property can be minimized.

On May 21, 1975, the Dade County, Florida Commission adopted Ordinance

75-34, providing for routine examination by private-sector architects

and engineers of structures over 40 years old (and re-examination at

10 year intervals thereafter) to verify their continued eligibility for

a Certificate of Occupancy. The ordinance covers all private-sector

buildings providing facilities for over 10 persons and having over

2,000 sq. ft. of floor area, except for 1 and 2 family residential

structures.

At present, about 6,000 buildings have felt the effects of this ordinance, with about 75% receiving immediate recertif ication and about

10% requiring enforcement measures. Buildings are currently coming

under the ordinance provisions at the rate of about 700 per year.

Evaluation of potential generic issues, considering the program development to date, indicates no serious defects in the program and the

immense benefits to the public from such an ordinance covering privatesector buildings.

In fact, the Dade County Ordinance presents a model worthy of national

attention and adoption as appropriate as part of new state/local

building code legislation as well as through revisions to professional

established standards and policies.

Key Words: Architects; codes; earthquake; engineers; Florida;

inspection; legislation; recertif ication.

197
CONTEXT

Introduction

One of the major problems in maintaining environmental quality is the

lack of procedures for the continual routine monitoring of existing

private-sector construction to ensure maintenance of design quality

over time. It has been recognized that our significant building stock

must be maintained at an appropriate level of quality to ensure maximum livability as well as minimal catastrophic losses from such causes

as fire, hurricanes, earthquakes, etc. This recognition at the

federal, state and local level is outlined in this paper, together with

material on the Dade County, Florida, recertif ication program which

provides for periodic inspections and certifications of existing privatesector buildings utilizing private-sector design professionals.

Background Overview

Apparently, the first United States law for the inspection of existing

buildings was adopted in New Orleans in 1856. It stated: "The Mayor

and Surveyor shall examine theatres and places of public resort for

structural stability, and take suitable measures to prevent accidents

that might result from any negligence in the construction of the building or from any mismanagement of the proprietors/1 (Ref. 1, italics

added.

)

From this has developed, principally in the 20th century, the "system"

of model codes, local codes and state codes which often encompass

elements intended to ensure from the outset the safe continuance of

the use for which the building was constructed. Maintenance of housing

quality is provided for through housing codes. As late as 1969, a sur- vey of the building code field included little material on building

quality maintenance - covering only housing codes and use violations.

(Ref. 2.)

This survey also covers the transition from specification codes to

performance codes; the latter allowing broad leeway to designers in

selected materials and methods to achieve desired results, within es- tablished engineering and architectural parameters. Performance

orientation in building codes has been widely advocated since its benefits are many (Ref. 3), but it requires an increasingly greater degree

of technical sophistication on the part of the code enforcement

personnel.

The increasing extension of the building code responsibilities toward

maintenance and performance-orientation areas, simultaneously, can be

illustrated in regard to the developing national concern about

earthquakes

.

198
Earthquake Hazard Mitigation Developments

In 1975, a panel of the National Academy of Science stated that the

"...modification of and even demolition of unsafe structures must be

included in the goals of structural design and maintenance to be pursued

by public and private officials." (Ref. 4.) The evaluation of the long

term performance of repaired buildings was called for in 1977 (Ref. 5).

Also in 1977, the American Institute of Architects Research Corporation

called for the generation of problem solving strategies in maintenance

procedures and techniques (Ref. 6). The issue was discussed further in

the 1978 report of Earthquake Hazards Reduction , prepared by the Executive Office of the President, which outlines some state measures taken

to review structures (principally publicly assisted and/or licensed

hospitals and schools) for their soundness with respect to potential

earthquake damage (Ref. 7). Washington publications sponsored by the

Veterans Administration, the General Services Administration, and the

Department of Defense within the past decade have identified vital non- structural as well as structural systems, and advanced evaluation

systems for existing buildings which have potential application to re- certification approaches (see Ref. 8 for summary). And, guidelines for

the repair and strengthening of existing buildings and for emergency

post-earthquake inspections have been proposed in the Applied Technology

Council recommended tentative provisions. (Ref. 9.)

Local Government Background

Are local government code procedures available to cope with the outlined

subject matter? The key tool would be development of the. certificate of

occupancy concept, requiring periodic re-inspection for maintenance of

the right to continue to occupy a structure. A recent national pilot

survey by mail, carried out by researcher Philip Martin under the

author's direction, strongly suggests that this tool is in its initial

evolving stages of development.

Several quotes from response letters by local building officials are illustrative. In Boston, "The Building Department does not have a recertif ication program...," although voluntary recertif ications are possible (Ref. 10). "The City and County of Denver has no program for

recertifying buildings after their initial construction." (Ref. 11.)

"Recertif ication of existing buildings is not required by the

(Los Angeles) code." (Ref. 12.)

The response from San Francisco was more positive: "In apartment houses

and hotels, we have a triennial inspection of the public areas for

maintenance and to ensure compliance with the Housing Code, including

retroactive provisions, and a program in which the worst 1000 apartment

or hotel buildings each year are completely inspected including all rooms

of all the dwelling units. That is the extent of the Bureau of Building

Inspection's recertif ication program. The Fire Department has programs

for inspection of public assembly, and a general program, when personnel

are available, for maintenance of office buildings." (Ref. 13, italics

added.

)

199
Local Government Reliance on Private Sector Architects/Engineers

While the term "recertif ication of buildings" is not in the Chicago

vernacular, its Department of Buildings is required to inspect many

types of buildings annually for code compliance, with fines being

assessed for non-compliance. In addition, jointly recognizing problems

connected with technical sophistication and manpower, the City Council

enacted a 1978 ordinance requiring that a registered private-sector

architect or structural engineer inspect "...every exterior wall and

enclosure of or part of a building five stories or more in height..."

at least once every ten years; every five years when the building

reaches the age of 35 years. If deficiencies are found, "...repairs,

reinforcements or precautionary measures..." are required. (Ref. 14.)

The metropolitan area of Dade County, Florida has an operating recertif ication ordinance, using private-sector architects and engineers, that

is far in advance of those indicated above. (Ref. 15.) (The ordinance

was adopted primarily to address problems connected with early building

when no building code was in force. This resulted in, among other things

the use of sea sand and water in some concrete mixes.) Thus, the Dade

County ordinance provides a procedural model deserving significant

consideration in earthquake prone areas so that extensive loss of life

and property can be minimized.

THE DADE COUNTY ORDINANCE

Coverage

On May 21, 1975, the Dade County, Florida Commission adopted Ordinance

75-34, providing for routine examination of structures over 40 years

old (and re-examination at 10 year intervals thereafter) to verify

their continued eligibility for a Certificate of Occupancy. The ordi- nance covers all private-sector buildings providing facilities for over

10 persons and having over 2,000 sq. ft. of floor area; except for 1

and 2 family residential structures.

"Recertif ication" is construed to mean "...the requirement for specific

inspection of existing buildings and structures and furnishing the

Building Official with a written report of such inspection as prescribed..." conforming, in general, with a 7-page guidelines form

issued by the Building Official. (Ref. 16.)

As buildings reach the initial 40 years of age, or the 10 year renewal

age, a "Notice of Required Inspection" is sent to the owner of record

giving him 90 days to file an inspection report prepared by a licensed

private-sector architect or engineer of his choosing. According to the

ordinance, "such engineer or architect shall undertake such assignments

only where qualified by training and experience in the specific technical

field involved in the inspection and report." (Ref. 15.)

200
Inspection Report

The inspection report form encompasses structural elements in some detail, but mechanical and electrical systems are not included. A

review of some main topical headings is illustrative: Present Condition of Structure, Masonry Bearing Walls, Floor and Roof Systems,

Steel Framing Systems, Concrete Framing Systems, Wood Framing,

Windows. Under the Concrete Framing Systems heading for example, the

inspecting engineer or architect is asked to give a full description

of the structural system, analyze any cracking with regard to significance, estimate the general condition of the system, evaluate the

extent of rebar corrosion and recommend repairs, and analyze any

samples of concrete obtained from spall areas.

If any defects are noted in such report, the owner has 150 days after

the date of the "Notice of Required Inspection" to correct the situation - if it is not corrected, as attested to by the certification of

the inspecting architect or engineer bearing his seal and signature,

the originally issued certificate of occupancy for that building may

be revoked.

Application

At present, about 6,000 buildings have felt the effects of this

ordinance, with about 75% receiving immediate recertif ication, 15%

undergoing expeditious repairs, and about 10% requiring enforcement

measures. Buildings are currently coming under the ordinance provisions

at the rate of about 700 per year. As a consulting architect and

engineer, the author has directly participated in this recertif ication

program on behalf of a private-sector owner, and was able to discharge

these responsibilities in a non-problematic manner. From inception,

and during the five years since adoption, the program has had wide

professional and political acceptance among all facets of the

community.

EVALUATION

While the Dade County ordinance is evidently a landmark law which

could have major impact, some prospective problem areas can be

identified with regard to owners, a/e's and local governments.

Owner related issues include time requirements, a/e qualifications,

equitable enforcement, effect on real estate capital and rental values,

ability to secure repair loans, and effect on insurance costs. Architect and engineer related issues include contract standards, fees,

professional liability, and threshold for minimum repairs. Local

government related issues include enforcement organization structure

and personnel, and unrepairable defects.

201
However, evaluation of these potential generic issues, considering the

program development to date, indicates no serious problems with the

program as well as the immense benefits to the public from such an ordinance covering private-sector buildings.

The 6,000 building operational scale of the Dade County program is

comparable to the magnitude of the problem in many cities, such as earthquake prone San Francisco. There, for example, it has been

estimated that 4,200 potentially hazardous buildings are located

within a 200 block area where severe damage may happen in the event

of a 1906-type earthquake. (Ref. 17.)

In fact, the Dade County ordinance presents a model worthy of

national attention, including further research, and adoption as appropriate as a part of new state/local building code legislation

as well as through revisions to established professional standards

and policies and so that the desired environmental quality of our urban areas is maintained.

REFERENCES

1. Colling, R. C. and H. , editors; Modern Building Inspection ; Building Standards Monthly Publishing Company, Los Angeles,

California; 1950.

2. Sanderson, R. ; Codes and Code Administration ; Building Officials

Conference of America, Inc.; Chicago, Illinois; 1969.

3. Warburton, R. ; "A Progressive Approach to Zoning and Building

Codes;" Systems Building News , W. R. C. Smith Publishing Company, Atlanta, Georgia; July 1971.

4. Panel on the Public Policy Implications of Earthquake Prediction;

Earthquake Prediction and Public Policy ; the National Academy

of Science, Washington, D. C; 1975.

5. Hanson, R. D.; Repair, Strengthening and Rehabilitation of

Buildings . .

.

; University of Michigan Department of Civil

Engineering; Ann Arbor, Michigan; October 1977.

6. American Institute of Architects Research Corporation;

Architects and Earthquakes: Research Needs ; The Corporation,

Washington, D. C. ; 1977.

7. Working Group on Earthquake Hazards Reduction, Office of Science

and Technology Policy, Executive Office of the President; Earthquake Hazards Reduction ; the Office, Washington, D. C; 1978.

202
8. Yancey, C. W. C. and A. A. Camacho; Aseismic Design of Building

Service Systems: The State of the Art ; U.S. Government Printing

Office, Washington, D. C; 1978.

9. Applied Technology Council; Tentative Provisions for the Development of Seismic Regulations for Buildings ; U.S. Government

Printing Office, Washington, D. C; 1978.

10. Letter dated 27 September 1978 from R. L. Granara, Assistant

Building Commissioner, Boston, Massachusetts.

11. Letter dated 27 September 1978 from W. J. Miller, Director,

Building Inspection Division, Denver, Colorado.

12. Letter dated 2 October 1978 from B. R. Whitson, Chief, Special

Projects Division, Conservation Bureau, Department of Building

and Safety, Los Angeles, California.

13. Letter dated September 1978 from R. C. Levy, Superintendent,

Bureau of Building Inspection, San Francisco, California.

14. Letter dated 26 September 1978 from John F. Connelly, Coordinator,

Special Projects, Department of Buildings, Chicago, Illinois,

and attached documentation.

15. Ordinance No. 75-34 by the Board of County Commissioners of Dade

County, Florida, amending the South Florida Building Code

adopted by Ordinance No. 57-22, as amended, adding' a new subsection 104.9 Recertif ication. Adopted 21 May 1975.

16. Dade County, Florida, "Recommended Procedural Guidelines for

Building Recertif ication," 21 May 1975.

17. Department of City Planning; "A Community Safety Plan for the

Comprehensive Plan of San Francisco;" City of San Francisco,

California; July 1974. Discussed, with other background in:

American Institute of Architects Research Corporation; Summer

Seismic Institute for Architectural Faculty ; The Corporation,

Washington, D.C.; 1977.

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!
COMPUTER-AIDED DESIGN REVIEW:

PREDICTING THE EMERGENCY EGRESS POTENTIAL

OF PROPOSED BUILDINGS1

Fred I. Stahl, Ph.D.

Environmental Design Research Division

Center for Building Technology, NEL

National Bureau of Standards

Washington, D. C.

This paper discusses the potential use of computer simulation techniques

by building code officials, as tools which aid in the prediction of

building performance. As a case in point, the BFIRES program for simulating emergency egress during building fires, developed at NBS , is

presented. The program is described from the user's viewpoint, and a specific example of its application in assessing building design is

treated.

Key words: Building codes; building fires; computer-aided design;

computer simulation; fire research; human performance;

modeling; regulatory process; simulation

The research reported here was funded by the Center for Fire Research,

NBS, through its NBS-HEW Fire/Life Safety Program, and by the Center

for Building Technology, NBS.

205
INTRODUCTION

Goals and Objectives

Since 1977, the Environmental Design Research Division of the Center for

Building Technology, National Bureau of Standards (NBS) has been actively

developing a technique for simulating the emergency egress behavior of

building occupants via computer [1,2,3]^. Long range goals of this

ongoing activity have been (a) to develop a deeper understanding of human

behavior during fire situations, and (b) to develop a standardized technique for analyzing alternative building designs from an emergency egress

viewpont. The latter aim provides the focal point of this paper.

The principal technical product of this research activity is BFIRES, a dynamic stochastic computer simulation of emergency egress behavior by

building occupants during fires. The objectives of this paper are to

acquaint the 'reader with the purpose and structure of BFIRES, to suggest

the utility of computer-aided design review by building designers and

code officials, and to present an example illustrating an application

of the BFIRES program. This paper should not, however, be construed as

a "user's manual"

Computer-aided Design Review: Why?

Regulatory mechanisms in current use usually require the compliance

official to determine whether a given building design conforms to applicable regulations. When the building under review deviates little from

local or accepted standards the review process is often straightforward.

But when the regulatory official is confronted by a novel or highly

specialized building program or design solution, he may be forced to

exercise considerable discretion without the benefit of either past

experience or reliable analytical tools. When considering life safety

from fire for example, there currently exist no standardized tools with

which to predict the emergency egress potential of specific building

designs in relation to various fire or emergency scenarios.

A simple example illustrates this point. According to section 5-1201

of the Life Safety Code (1973 edition),

Exits shall be so located and exit access shall be so arranged that

exits are readily accessible at all times. Where exits are not

immediately accessible from an open floor area, safe and continuous

passageways, aisles, or corridors leading directly to every exit

Numbers in brackets indicate references which appear at the end of

this paper.

Preparation of a BFIRES user's manual is currently in progress.

Researchers wishing to use the program should contact the author.

206
shall be maintained and shall be so arranged as to provide convenient access for each occupant to at least 2 exits by separate

ways of travel, except as a single exit or limited dead ends are permitted by other provisions of this Code.

This section, and in general Chapter 5 of the Life Safety Code , prescribes ready access to exits in the hope that during a fire, alternative egress pathways will protect occupants from the blocking of any

single exit or path. However, the Code provides designers and building

officials with neither a method for testing the adequacy of any given

design, nor a means for comparing design alternatives in terms of life

safety costs and benefits (e.g., time required to evacuate a floor, potential number of persons trapped on the floor, etc.). Without standardized

tests and evaluative methods, how is the building official to determine

the adequacy of a proposed egress scheme for those buildings too complex

for straightforward code review?

"BFIRES : " A COMPUTER MODEL FOR PREDICTING EMERGENCY EGRESS

BEHAVIOR

Purpose

BFIRES was specifically designed to simulate—by digital computer—the

movement of people within building enclosures in response to life

threatening stimuli (i.e., fire and smoke). Originally planned for use

in evaluating health care facility designs, the program permits users

to simulate such special activities as rescuing nonambulatory persons,

in addition to simulating more frequent and general categories of emergency response (e.g., exit seeking, threat evasion, the deterioration

of emergency responses resulting from inhabiting a toxic environment,

etc.). In its current form BFIRES is applicable to a broad range of

building occupancies.

A Cautionary Note

To date, considerable effort has been devoted to developing BFIRES

[1,2] and to analyzing the program's sensitivity to important parameters

[2] . However, extremely little research has yet been undertaken regarding the predictive validity of BFIRES (i.e., the ability of the program

to predict the performance of real human beings during actual fire

emergencies). Although a recent investigation of the predictive capabilities of BFIRES yielded positive results [3], that study was extremely

narrow in scope* and the findings do not readily generalize to other

Fires in two-bedroom dwelling units were studied, in which the kitchen

was the room of fire origin. BFIRES simulated fire outcomes were

found to agree, in most respects, to results of real fires reported

in the National Fire Protection Association Fire Incident Data Organization (NFPA-FIDO) data base.

207
occupancies or fire conditions. Consequently, the reader is cautioned

that BFIRES

in its present form—is not advocated for practical application by the building design and regulatory communities. Thus, references

in this paper to the program's use are hypothetical. It is hoped, of course that future versions of the program will prove to be valid and

reliable for practical applications.

Concept and Structure of BFIRES

BFIRES simulates the perceptual and behavioral responses of building

occupants involved in fire emergencies. As in real fires, simulated

occupants may respond to a fire alert although they are quite distant

from actual fire products which may have been confined in some distant

part of the building. Or their behavior may result from a direct con- frontation with toxic agents. The program can simulate a wide variety

of emergency scenarios, primarily because it deals with human behavior

at a very fundamental level. Specifically, the basic unit of occupant

behavior generated by BFIRES is the individual momentary response to

the state of the environment at a discrete point in time, t. BFIRES

conceptualizes a building fire event as a chain of discrete "time frames"

(t-^, t2,..., t n

) and for each such frame, it generates a behavioral

response for every occupant in the simulated building. If each "frame"

could be replayed sequentially as in the case of a movie or animated

film, a complete "picture" of the building fire event would be seen

(i.e., the simultaneous egress performance of all occupants in response

to a migrating fire threat). See Figure 1.

The response generating capability of BFIRES is based upon an information

processing explanation of human behavior, and suggests that building

occupants act in accordance with their perceptions of a constantly

changing environment. Between any two time frames t^ and t • , the

environment undergos change; e.g., people have altered their locations

in space, smoke has advanced to new locations, and the building itself

may have undergone physical changes. When preparing a behavioral response

at t^+-^, a simulated occupant first gathers information which describes

the state of the environment at this point in time. Next, he interprets

this information, relating it to the emergency egress goals guiding his

overall behavior. This is accomplished by comparing current with previous

distances between the occupant, the fire threat, and the exit goal, and

by comparing "knowledge" about threat and goal locations possessed by

the occupant, with amounts possessed by other nearby simulated persons.

Current locations of physical barriers (e.g., walls or doors) and of

other occupants are also taken into account. Finally, he evaluates

alternative responses and selects an action as his response for time t^.

The selection of a behavioral response (i.e., the decision to move in a particular direction) results from the comparison of available move alternatives against the occupant's current move criteria. For example, an occupant who knows the locations of both the fire threat and of a safe exit will favor moves which minimize his distance to the exit goal

and/or maximize his distance from the threat. This response is likely

208
T-l T«2 T-3 T = a T-5 T-N

H 1 1 1 1 1 1 1 h->

As the event unfolds, the state of the environment at

time t suggests several alternative states for time t+1

BFIRES probabilistically routes the event through time

by constructing a logical sequence of states in Markovian

fashion.

Figure 1: The Building Fire as a Sequence of Discrete Events

209
to change his physical position within the building, and hence to create

a new environmental information field to which all occupants must respond

during the next time frame in the chain, • This cycle continues

until the fire event is completed.

In order to simulate information processing and behavior, BFIRES assumes

that people possess "libraries of response programs" within their brains

[4] . In broad terms these programs are thought to be acquired through

learning and experience, and are also assumed to undergo change over

time. The simulation program makes use of a simplified version of this

model, as is shown in Figure 2. Thus, the BFIRES executive program

routes simulated occupants through the perception (information gathering),

interpretion, and response processes. Each of these processes calls upon

a library of computer subroutines, each of which is responsible for producing some aspect of simulated occupant behavior (see Figure 2). Of

course, several additional "nonbehavioral" subroutines are required which

enable the user to communicate with BFIRES, i.e., to input initial

scenarios and to retrieve from the computer data describing fire event

outcomes. BFIRES was written in FORTRAN-V, and is currently operating on the UNIVAC 1108 and INTERDATA 7/32 computers at NBS

.

A Technical Approach to

Computer-aided Design Review

Because BFIRES recreates fire events as they unfold over time, it is

possible to use the program as a building design and regulatory tool.

This may be accomplished by creating a building fire scenario (which

depicts anticipated real world conditions), entering this scenario into

the computer, executing the BFIRES program, and finally interpreting the

computer's output. As more scenarios are executed for a given design,

the more thoroughly will the design be tested. Comparisons between test

results for several design alternatives could substantially aid the process of selecting the best scheme from a life safety viewpoint. A flow

chart illustrating the technical approach to computer-aided design review

is presented in Figure 3. An example is discussed below.

AN EXAMPLE ILLUSTRATING THE APPLICATION OF "BFIRES "

Scenarios

An example illustrating the possible uses of BFIRES involves the floor

plans shown in Figures 4 and 5. These represent typical designs for a wing of a health care or nursing facility. The two plans are identical

in most respects, and differ only in the location of the exit stairs.

In Figure 4 the exits are remotely located at opposite ends of the floor,

while in Figure 5 they are centrally located. At the moment of fire

ignition, 12 occupants are assumed to be spatially distributed as shown

in the figures.

In addition to considering differences in floor plan design, differences

in occupant distribution are also compared. Figure 4 illustrates the

situation in which all occupants are fully ambulatory, and may be assumed

210
One possible answer to these questions is that it is the right of a democracy to have different approaches and solutions to the same issue,

regardless of their effects. But, there is also the clear demonstration

in the history of democracies that the greatest achievements have occurred

in periods of crisis or external impact that provided a "common purpose"

to all segments and groups. In such instances, the influence or power of

individuals or organizations becomes subordinate to common goals, thus

making it very difficult to defend hard-won positions that are not in the

interest of the general community.

The likely conversion during the 1980' s to the International (Metric)

System of Units-SI—becomes the first major common cause in the con- struction community, in which all sectors will need to cooperate to

achieve a cost-effective transition. This "common cause" of metrication

becomes a powerful catalyst for review, simplification, harmonization

and rationalization. Rational solutions will surface and be accepted

under the very weight of the unpalatable alternative: needless cost and

confusion. In some instances, metrication will require bold and courageous

vision to overcome the natural tendencies to stick with the past, regardless of the scientific or technological rationale of other and, generally,

better alternatives. Precedent has already shown that "soft conversion" —the do-nothing alternative—is generally no more than a temporary and

inefficient solution because it is nearly always followed by a later,

second change to more sensible metric values. By contrast, a "hard

conversion"—the change to new and preferred values—brings with it the

one-time opportunity for an overhaul of known suboptimal aspects of

building and building technology and the adoption of harmonized measurement

values.

In the field of U.S. building codes, one alternative would be the

preparation of an "American Metric Model Code," by involving the most

knowledgeable and capable individuals in the industry in its development.

This task should be given careful consideration by the model code writing organizations. In the age of data processing and information technology, a metric model code should have considerable appeal, economically

as well as technologically, because it would link right at the outset

the processes of design, production and construction with regulatory

compliance and, therefore, could save a lot of time and money all around.

In addition, it would facilitate metric familiarization and activities

for all parties to the building process.

Another approach would be to harmonize those differences that are both

unnecessary and indefensible, and to retain those differences that have

a specific merit in the regions that are served. For many years there

have been attempts to unify definitions, format, building occupancy

classifications, and type of construction classifications, to facilitate

interchangeability between code requirements for the benefit of users with activities throughout the nation, or in areas served by differing

codes. While these efforts have born some fruit, the change to metric

presents an opportunity for additional work and constitutes an almost

"ideal" point in time to harmonize general functional parameters.

243
A third approach with high payoff and minor disruption would be to adopt

uniform test methods for verification purposes. This would still allow

the adoption of differing acceptance levels in line with variations in

the climatic or economic environment; however, the assessment of suitability would have to be made only once rather than again and again for

each differing requirement in different localities or regions.

These then are the key technical challenges for harmonization "in tandem'

with the change to metric. To let the metric opportunity pass without

some degree of accomplishment of much needed reforms would be shortsighted and detrimental to all parties in the largest activity sector

of the economy—the building and construction industries.

Therefore, when you hear the word "metric," try to think of it as a modern, efficient, _technically-based , rational, international, and

comprehensive measurement system, and, as an opportunity for the

harmonization of American building codes.

244
Appendix 1

Example 1

Dimensional Coordination In Building: Room Dimensions and Minimum Areas

in Residential Construction

BOCA Basic Building Code (1978) Section 506.5 Room Dimensions

SBCCI Standard Building Code (1979) Section 2001.1.1 Room Dimensions

ICBO Uniform Building Code (1979) Section 1207 Room Dimensions

General

Despite slightly different wording, the contents of the three model codes

relating to minimum room dimensions and floor areas in residential con- struction are essentially the same, except that the Uniform Building Code

introduces an additional criterion of exposed beam ceiling members and

their spacing relative to the determination of minimum ceiling height.

Metric Conversion Considerations

To provide for metric preferred dimensions based on the international

100 mm building module, which has been recommended for use in the United

States, metric dimensions that are multiples of 100 mm are preferred.

To give a precision similar to customary requirements expressed in multiples

of 10 square feet, area requirements, desirably, should be expressed in

multiples of whole square meters (m ) or, at least, half square meters

(0.5 m

2

).

Conversion Approach

Item Existing

Requirements

Soft

Conversion

Hard

Conversion

Actual

Change

%

Change

a. Ceiling Height 7' -6" 2286 mm 2300 mm

(7' 69/i6 ")

+14 mm

(+9/16")

+0.6%

7'-0" 2134 mm 2100 mm

(6' lOH/16")

-34 mm

(-15/16")

-1.6%

[UBC only] 48" 1219 mm 1200 mm

(47.25")

-19 mm

(-3/4")

-1.6%

5'-0" 1524 mm 1500 mm

(4' lll/i6")

-24 mm

(-15/16")

-1.6%

b. Floor Area 150 ft 2 13.94 m

2 14 m

2 (150.7 ft 2

) +0.06 m

2

(+0.7 ft 2

) +0.6%

70 ft 2 6.50 m

2 6.5 m

2 No change

c. Width 7'-0" 2134 mm 2100 mm

(6' 107/16")

-34 mm

(-15/16")

-1.6%

Underlined linear soft conversions are exact values. Others have been

rounded to the nearest millimeter . 245
Example 2

! Geometry of Stairs in Buildings: Treads and Risers

BOCA Basic Building Code (1978) Section 616.4 Treads and Risers

SBCCI Standard Building Code (1979) Section 1115.3 Treads and Risers

ICBO Uniform Building Code (1979) Section 3305. (c) Rise and Run

General

i The requirements for stair treads and risers differ in the three model

codes and provide a good opportunity for harmonization during the change

to metric (SI) measurement.

The first form of harmonization might be extended to the nontechnical

matter of definitions: the BOCA and SBCCI codes use the terms "tread" and I "riser," while ICBO uses "rise" and "run," even though in the text of

Section 3305. (c) reference is made to "tread run" and "riser height."

Since there is some benefit in providing the community with identical

requirements for stair geometry, for safety as well as economic reasons,

the change to metric might be utilized as an opportunity for technical

harmonization of requirements.

Metric Conversion Considerations

I It is anticipated that the change to metric preferred dimensions in the

building industry will lead to much greater use of story heights (floor- j to-floor heights) that are whole multiples of 100 mm. This move to

metric preferences, in turn, will lead to some natural preferences for

riser heights in the normal range from 150 mm to 200 mm.

Another significant advantage of metric dimensions is that riser height

and tread widths can be calculated and specified to the nearest millimeter,

thus leading to smaller variations in riser heights in any one stair flight

and, therefore, to greater stair safety as uneven riser heights have been I found to constitute a major stair safety hazard.

The matrix below for metric riser heights in stairs designed for preferred,

story heights, clearly illustrates some natural preferences, including a riser height of 200 mm (77/8"). The matrix also shows the value of

stairs with an even number of risers, which allows for two flights with

an equal number of risers per flight.

Story Height

(mm) 12 (13) 14 (15)

Number

16 (17) or Risers

18 (19) 20 (21) 22 (23)

2400 200 185 171 160 150 Riser height in mm

2500 (208) 192 179 167 156 (147) Underlined values

2600 200 186 173 162 153 (144) are exact

.

2700 (208) 193 180 169 158 150

2800 200 187 175 165 156 (147)

2900 (207) 193 181 171 161 153 (145)

3000 200 188 176 167 158 150 (143)

246
Comparative Listing of Requirements In Existing Codes:

Item BOCA

BASIC

SBCCI

STANDARD

ICB0

UNIFORM

Maximum Riser—General

Maximum Riser (Assy. & Inst.)

Maximum Riser (1&2 Fam. Dwellings)

Maximum Riser (All Others)

7.5"

8.25"

8.0"

7.75" 7.5"

8.0"*

Minimum Riser 4.0"

Maximum Variation in Riser 3/16" Uniform 3/8"

Minimum Tread (Run) —General

Minimum Tread (Assy. & Inst.)

Minimum Tread (1 & 2 Fam. Dwellings)

Minimum Tread (All Others)

10.0"

9.0"

9.0"

9.0"** 10.0"

9.0"

Maximum Variation in Tread 3/16" Uniform 3/8"

Proportions (2R+1T) —Minimum

[Excluding nosing] —Maximum

24"

25"

24"

25"

* Private stairways with occupant load less than 10, or stairways to

unoccupied roofs

** Treads less than 10" wide shall have nosing or projection of approx. 1"

Conversion and Rationalization

Existing

Values

(Inches)

Exact

Conversion

(mm)

Soft

Conversion

(mm)

Hard

Conversion

(mm)

Actual Change

(In) (mm)

%

Change

7.5

7.75

8.0

8.25

190.5

196.85

203.2

209.55

190

197

203

210

(190)*

200

200

(210)*

** -0.5

+1/8 +3.2

-1/8 -3.2

** +0.45

-0.3

+1.6

-1.6

+0.2

4.0 101.6 102 100 -1/16 -1.6 -1.6

3/16

3/8***

4.7625

9.525

5

10***

5

(10)***

** +0.24

** +0.48

+5.0

+5.0

9.0

10.0

228.6

254

229

254

230

250

+1/16 +1.4

-5/32 -4.0

+0.6

-1.6

24

25

609.6

635

610

635

610

635

** +0.4

** +0.1

* For the purposes of rationalization, these values might be changed to

200 mm, involving an actual change of +3/8": 9. 5 mm:+5.0% for the

existing value of 7.5"; and -3/8":-9.5 mm:-5.0% for the existing value

of 8.25". In this way, a singular maximum riser height in metric

units would be established.

** The actual change is less than 1/32". *** Excessive variation for

stair safety.
Possible Metric Model Code Clause for Treads and Risers in Exit Stairway;

xxx. 1 Risers and Treads in Stairways with Parallel Treads

(a) Dimensions of Risers : Risers in exit stairways shall have a minimun

height of 100 mm, and a maximum height of 200 mm. (*)

Within any flight, the height of risers shall not vary by more than

5 mm.

(*) Note : The maximum height requirement might alternatively be

shown as: "....a maximum height of 200 mm in buildings accessible to the public, and 210 mm for private stairways in

dwellings serving an occupant load of less than 10 s and stairways to unoccupied roofs.

(b) Dimensions of Treads : Treads in exit stairways shall have a minimum

width of 230 mm for private stairways, and 250 mm for stairways

accessible to the public.

Within any flight, the width of treads shall not vary by more than

5 mm.

(c) Proportions of Risers and Treads : For public stairways, the proportion of risers and treads shall be such that the sum of two (2)

risers plus one (1) tread, exclusive of nosing or projection, falls

between 610 mm and 635 mm.

248
Example 3

Minimum Uniformly Distributed Live Loads in Buildings

ANSI American National Standard A58.1-

ANSI A58.1, Proposed 1979 Revision

BOCA Basic Building Code (1978)

SBCCI Standard Building Code (1979)

ICBO Uniform Building Code (1979)

General

1972 Section 3, Live Loads, Table 1

Table 4.1

Section 706.0, Table 706

Section 1203, Table on pages

12-1 to 12-3

Chapter 23, Table No. 23.

Despite the existence of a comprehensive national standard on "Building

Code Requirements for Minimum Design Loads in Buildings and Other

Structures (ANSI A58. 1-1972) ," the major model codes have introduced

specific requirements and tables detailing the specification of design

loads and, especially, uniformly distributed live loads. Although there

is some agreement with the numerical values recommended in A58.1—most

notably in the BOCA Basic Building Code —these values have been supplemented or altered to a certain extent.

The. change to metric units provides a unique opportunity to review these

differences and introduce greater harmony in design requirements.

Metric Conversion Considerations

For the purposes of this paper, discrepancies in code requirements are not

discussed; rather, an approach to conversion and rationalization is shown

which should facilitate technical harmonization decisions.

The change to metric (SI) units will require a fundamental reappraisal of

values now accepted for design loads in buildings. Existing requirements

are stated to the nearest 10 or 25 lbf/ft 2 (0.48 or 1.18 kN/m2

) and there

seems to be little value in applying exaggerated conversion precision to

arrive at metric equivalents. In fact, a soft conversion of existing

requirements would complicate the design procedures rather than facilitate

them. Thus, a similar degree of accuracy for computational purposes would

be to select metric values to the nearest 0.5 or 1.0 kN/m2

. The other, significant change that occurs during the change to SI is the

move from loads expressed in gravitational terms to loads expressed in

absolute terms (force/area) . The absolute unit, newton per square meter

(N/m2

) , and the working unit, kilonewton per square meter (kN/m2) , replace

pounds-force per square foot (psf) . While the N/m2 is equal to the pascal

(Pa), it is preferable to show loads in the composite unit. The non-SI

unit, kilogram-force per square meter (kgf/m2

) , is non-coherent and should

not be used.

To visualize a load of 1 kN/m2

, it would be caused by a mass of 102 kg

distributed over an area of 1 square meter, at standard acceleration due

to gravity.

The Table on page 250 shows the conversion and rationalization of existing

building code values for uniformly distributed live loads.

249
I

Uniformly Distributed Live Loads in Buildings : Conversion and Rounding

(Basis: 1 lbf/ft 2 [ps f] = 47.8803 N/m2 _ m = 47.8803 Pa)

i

Soft Rounding to Rounding to Rounding to

Values Conversion Nearest 0.1 kN/m2 Nearest 0.5 kN/m2 Nearest 1.0 kN/m2 i (lbf/ft2

) (kN/m2) Value /a Change TT_ 1 _„ - va±ue 7o Lnange Value 5I Change

20 0.96 1.0 +4.4 1.0 +4.4 1 0 +4.4

30 1.44 1.4 -2.5 1.5 +4.4 1.0 -30.4

I.C\ i no 1 . 92 1.9 -0.8 2.0 +4.4 2.0 +4.4

50 o on 2 . 39 2.4 +0.2 2.5 +4.4 2.0 -16.5

j 60 2.87 2.9 +0.9 3.0 +4.4 3.0 +4.4

75 3.59 3.6 +0.2 3.5 -2.5 4.0 +11.4

80 3.83 3.8 -0.8 4.0 +4.4 4.0 +4.4

100 4.79 4.8 +0.2 5.0 +4.4 5.0 +4.4

125 5.99 6.0 +0.2 6.0 +0.2 6.0 +0.2

150 7.18 7.2 +0.2 7.0 -2.5 7.0 -2.5

(200) 9.58 9.6 +0.2 9.5 -0.8 10.0 +4.4

250 11.97 12.0 +0.2 12.0 +0.2 12.0 +0.2

The above table shows that within comparatively small percentages of

rounding, metric values can be established that are multiples of 0.5 kN/m2

(10.44 lbf/ft2

), and lead to a rational progression of loads in a series.

Such a series might contain the following steps (kN/m2

)

:

1, 1.5, 2, 2.5, 3, 4, 5, 6, 7, 9, 12

Alternatively, a completely new series of values for uniformly distributed

live loads in buildings in SI units may be developed to best reflect the

likely live loading conditions encountered in building of various types.

The relevant recommendations made at the international level by Technical

Committee (TC) 98, Bases for Design of Structures, of the International

Organization for Standardization (ISO) —especially by Subcommittee (SC) 3,

Loads, Forces and Other Actions —may be considered in such a review.

250
Appendix 2 DEFINITIONS OF METRIC TERMS USED

DUAL UNITS

EXACT CONVERSION

HARD CONVERSION

M-DAY

A description in two measurement systems, one of which

normally is a preferred value.

The conversion of measurement values to exact

equivalents expressed in SI (e.g.: 3/4" = 19.05 mm;

1 quart = 0.946 353 L) . The precision of an exact

conversion is rarely, if ever, required.

A term used to describe a definite change to a metric

alternative in preferred values, e.g.: 3/4" (20 mm);

1 quart (1 L)

A key target date for a sector of the economy after

which it is proposed that transactions will be carried

out in metric units. In the construction industries,

the M-Day signifies the date after which metric hardware

(building materials and products) is expected to be used

in metric construction.

METRICATION The process and activities necessary to bring about the

change from a customary system to SI (metric) units of

measurement

RATIONALIZATION

SI

SOFT CONVERSION

TRANSITIONAL

PERIOD

The modification of a range of values (requirements or products) to reduce or optimize the number in the range

or the steps between values, or both, for better costeffectiveness or functional efficiency.

Abbreviation for the "International System of Units,"

the modern metric system agreed to by all member nations

of the General Conference on Weights and Measures (CGPM)

in 1960—including the United States —and adopted

progressively by all countries as their national

measurement system.

A term used to describe the change to a metric

equivalent , within normal tolerances, rounded to give

a convenient value (e.g.: 3/4" (19 mm); 1 quart (0.95 L)

A soft converted item generally remains interchangeable.

The period during which the change to metric (SI) units occurs and two measurement systems are in use, with

metric usage increasing and customary usage diminishing.

251
1

!

I

I

|

1
SETTING FORMALDEHYDE STANDARDS

by

Richard L. Meyer, Architect

Lead Code Consultant

State of Wisconsin

Department of Industry, Labor and Human Relations

Division of Safety and Buildings

Code Development Unit

Madison, Wisconsin

Formaldehyde is utilized in the manufacture of a variety of products.

The most significant use is in the production of phenolic, melamine and

urea formaldehyde resins. It is also used in agriculture, for chemical

analysis, concrete and plaster, cosmetics and deodorants, disinfectants

and fumigants, dyes, hydrocarbon products, for leather tanning, paper

manufacture, photography, rubber production, solvents and plasticizers

,

starch, wood, textiles, and embalming fluid. It is also a byproduct of

combustion found in automotive exhaust and cigarette smoke.

There are an increasing number of complaints received from persons residing in mobile homes caused from the emission of formaldehyde vapor.

The department is developing standards for formaldehyde vapor.

While formaldehyde standards have been established to protect the worker

from formaldehyde vapor, no standards have been set for formaldehyde in

non-working environments

The paper will deal with Wisconsin's experience in developing standards

for formaldehyde vapor.

Key words: Formaldehyde; urea-formaldehyde resins; formaldehyde-based

chemicals; formaldehyde level; concentration; standards;

committee; department.

253
INTRODUCTION

On October 17, 1973, most of the oil-producing countries in the Mid-East

placed an embargo on oil shipments to the United States. The President

of the U.S. declared that the U.S. was in a national emergency.

The energy crisis spurred improvements in construction and energy con- servation research. As a result, mobile home construction has been

getting physically tighter. Consequently, occupants are becoming more

aware of indoor pollutants, the most noticeable being formaldehyde.

SOURCES OF FORMALDEHYDE

The formaldehyde concentration in a home is a product of many factors.

Formaldehyde is commonly present in the outdoor air in urban communities and in large manufacturing centers. Areas around main traffic

routes will have higher formaldehyde levels because it is also a product of gasoline and diesel engines. Formaldehyde is also a con- stituent of smog.

Formaldehyde is also produced in the home through the breakdown of

cooking oil. It is also a combustion product of gas stoves and heaters.

Tobacco smoke can contain up to 4 ppm of formaldehyde.

Urea-formaldehyde resins and formaldehyde-based chemicals are constituents of many household substances. Urea-formaldehyde is the resin used

in permanent press fabrics and the synthetic textiles used for rugs and

drapery backings.

Certain cosmetics and some hair sprays are known to contain formaldehyde

based chemicals.

Urea-formaldehyde resins are used as the bonding agent in particleboards

and as adhesives for bonding together veneer layers to form plywood.

Emission of formaldehyde from these products is due to the breakdown of

urea-formaldehyde resins and is dependent on temperature, humidity, pres

sure and light exposure. There may also be free formaldehyde in the

product

.

The concentration of formaldehyde in a home is primarily dependent on three factors:

(1) The concentration of formaldehyde from the external environment and

formaldehyde-emitting products used in the home, including cigarette

smoking

;

254
(2) The contribution from urea-formaldehyde products used in the con- struction of the home; and

(3) The amount of air available for dilution of the internal environment.

FORMALDEHYDE IN MOBILE HOMES

The median formaldehyde concentration in 68 homes studied by the University of Washington was about .4 ppm. The mean formaldehyde level for 20

homes tested by the Wisconsin Division of Health was about .9 ppm. The

NIOSH (National Institute for Occupational Safety and Health) test method

was used in both studies. The homes studied represented homes from which

residents had complained of health problems.

Two classes of symptoms are reported by residents of mobile homes with

detectable concentrations of formaldehyde: those which are characteristic of formaldehyde exposure (irritation to the eyes, nose and respiratory tract; headaches; nausea; and drowsiness) and another group which

could occur in any population group without exposure to formaldehyde

such as chronic respiratory problems, chronic ill feeling, constant cold

symptoms, difficulty in breathing, heart attacks, pains in chest, chronic

sore throat, low grade fever, asthma, emphysema, headache and chronic ear infection. There is no evidence indicating whether the conditions were

subjective or actual, or whether they are due to formaldehyde, environmental conditions or diseases. There is demonstration of a relationship

between the incidence of symptoms and the concentration of formaldehyde.

The only demonstrated effects of formaldehyde are irritation and sensitization. Human experiences indicate that formaldehyde is irritating to

the eyes, nose and upper respiratory tract, can cause dermatitis (inflammation of the skin) , is an allergen and may have an adverse effect on behavior. Some individuals are sensitive to a trace of formaldehyde

while others can tolerate high concentrations.

Formaldehyde has shown mutagenicity in some tests and tests are being

planned to establish a dose-response relationship. Animal tests have

shown no teratorgenic effects (damage to fetus) with formaldehyde.

Several studies have been done with animals which have attempted to assess the carcinogenic effects (cancer producing) of formaldehyde.

These tests, which show that formaldehyde is not carcinogenic, are inadequate. Well documented tests are now being conducted by the

Formaldehyde Institute which should determine if formaldehyde is a carcinogenic material. Tests are also being conducted to assess whether continuous low level exposure creates health effects.

255
STANPARPS

Two alternatives exist to protect the consumer from toxic chemicals.

One is to ban the use of certain toxic chemicals; the other is to set

standards to limit exposure to these chemicals. In the industrial

hygiene field, the latter course has been established as a national

policy. The present OSHA standard for formaldehyde is 3 ppm for an average exposure over an eight-hour work shift. The American Conference of Governmental Industrial Hygienists (ACGIH) recommends 2 ppm

as ceiling concentration for an eight-hour work shift and NIOSH has

recommended 1 ppm as a means of protecting the more sensitive workers.

There is no national ambient air standard for formaldehyde which could

be used as a guide for exposure in residences.

European countries, however, are moving rapidly in establishing formaldehyde standards. The Netherlands have established a standard of .1

ppm and Denmark, Sweden and West Germany have recommended standards at

approximately the same value. ASHRAE specifies that air used for indoor ventilation must not contain contaminants at concentrations

greater than 1/10 of the threshold limit value (TLV) , or .2 ppm. The

National Academy of Sciences has determined that .1 ppm would allow an adequate margin of safety for either 90-day or 1,000-day missions.

WISCONSIN STANDARD-SETTING PROCESS

The Wisconsin Statutes permit agencies to use public advisory committees

in the standard-setting process. The structure of some of these com- mittees is specifically established by law. The Wisconsin Statutes

require the department's mobile home advisory committee to consist of

two representatives of mobile home manufacturers, one public member,

one representative of labor, and one department representative. The

committee began studying the formaldehyde problem in late February,

1979.

After the committee recommends a standard to the department, the standard

will be presented at public hearings for review and comment. The com- mittee will review all hearing comments with the department and make

changes based on those comments. The final rules will be sent to the

legislature for review prior to being adopted.

Types of Standards

The committee is studying the possibility of setting one or more of the

following types of standards: (1) air quality standard; (2) complaint

procedure standard; (3) product standards; (4) warning to purchaser

standard.

256
Air quality standard . Formaldehyde vapor levels could be regulated by

requiring mobile homes to meet a specific indoor air concentration.

The committee is looking at concentration levels ranging from .1 to

.4 ppm. Under this concept, the mobile home would be required to be

designed and constructed to meet the established concentration. The

standard would require testing the air quality of the mobile home

prior to sale. It would be necessary to consider the following in

establishing uniform testing procedures and conditions: (1) acceptable

test methods; (2) number and location of test samples; (3) indoor and

outdoor temperature; (4) indoor and outdoor relative humidity; (5) burden of testing; and (6) number of mobile homes tested.

Complaint standard . A complaint standard would establish a procedure

to assist the manufacturer and owner in resolving formaldehyde complaints

This type of standard would require the manufacturer or dealer to test

for the formaldehyde concentration in the mobile home upon receipt of

a complaint. The manufacturer would be responsible for reducing the

formaldehyde concentration to the value prescribed in the standard.

It would also be necessary to establish test methods and conditions

similar to those outlined for the air quality standard.

Product standards . A product standard would establish minimum formaldehyde emission levels for building products used in the manufacture of

mobile homes. It would be necessary to establish (1) which products to

regulate; (2) appropriate test methods and conditions; and (3) emission

levels for each product.

Warning to buyer standard . A warning or notice would be required to be

posted on the mobile home or to be given to the purchaser prior to sale.

The warning would inform the purchaser that the home contained formaldehyde, which is a known irritant.

257
CONCLUSION

The committee is reviewing the four alternatives and discussing their

advantages, disadvantages and cost/benefits. The air quality standard

and the product standard control the product at the point of manufacture and will increase the cost of manufacturing. Also, establishing

a material standard without an overall indoor air quality standard

will not ensure that the home will meet a reasonable formaldehyde con- centration. The warning standard and the complaint standard will have

little impact on the manufacturing cost but may not adequately protect

the purchaser who is affected but does not issue a complaint.

One of the difficulties in setting a standard at a specific concentration is the lack of scientific data of low level formaldehyde emissions

and their effect on the population. Also, the formaldehyde emission

rate of building products varies with time, temperature and humidity,

making it difficult to set test conditions.

These are a few of the problems the department and the committee is

facing in setting formaldehyde standards. It appears, at this point in

time, that a combination of the various standards previously mentioned

may be the best alternative.

258
SNOW - WIND - ICE,

ITS CHANGING EFFECT ON BUILDING CONSTRUCTION

by

Charles V. Opdyke, Chief

Plan Review Division

Department of Labor

Lansing, Michigan

The impacts of the effects of "Weather" is being experienced across

the nation as it relates to the destructive forces of snow, wind and

ice on building construction.

In an effort to deal with these problems individually or collectively,

we must re-evaluate all of our engineering principles, practices and

theories that have been used through the years and have been accepted

as gospel.

This paper deals with new and innovative design principles and methods

of construction to overcome, wind loads, snow loads, icing conditions,

freeze-thaw cycles, ventilation problems, roof leaks and structural

failure. It also covers new types of roof designs and how to deal

with them.

The report speaks to the many types of freezes, the wind pattern

effect, the snow effect and the general combined effects of all three.

Finally, the paper speaks to a general lack of accurate local

climatology recording on a uniform basis.

Key Words: Buildings collapse; ice; snow; wind.

259
BUILDING COLLAPSE

How many of you remember Senator William Proxmire and his "Golden

Fleece" award? Well, last winter the U.S. . Department of Housing and

Urban Development won the award for a community building north of

Grand Rapids, Michigan, that collapsed due to the snow load. Fortunately the building was not occupied at the time. Unfortunately, no

one knew about the roof collapse until several days later. Unfortunately the roof was designed for a total live and dead load of 30

pounds per square foot. Unfortunately, 30 pounds per square foot is

the building code requirement for that area. The code was the 1975

Building Officials and Code Administrators International, Inc. (BOCA)

Basic Building Code. The referenced standard was American National

Standards Institute (ANSI) standard A58. 1-1972, "Building Code Requirements for Minimum Design Loads in Buildings and Other Structures."

Being an assembly building, the BOCA Code requires loads that correspond

to the ground snow load in pound -force per square foot for 100 year

mean recurrence intervals. When you multiply this on-the-ground snow

load by the snow load coefficient (C s

) of 0.8, the result is a required

snow load of only 24 pounds per square foot. The actual snow load for

that area is 40 pounds per square foot. Shortly after the building

collapse occured, Michigan's Bureau of Construction Codes was accused

in the press of not enforcing the building codes. The truth of the

matter was that the State of Michigan had no jurisdiction in that

particular township because in accordance with Michigan's Statutes,

the township had opted to administer and enforce the State Construction

Code itself—which in the case of this building, it did not.

The Bureau of Construction Codes did, however, make an investigation

into the matter. From the building plans, it was determined that

there was a pitched roof supported by wood trussed rafters 2'-0" on

center. A structural analysis of the design was made and it was determined that the trussed rafters were good for a total live and

dead load of only 30 pounds per square foot, whereas it should have

been 50 pounds per square foot.

INADEQUATE ROOF CONSTRUCTION

I recall a case back in 1966 when I was in practice. I was retained

by the State Girl Scout Council to investigate the structural capabilities of several assembly and dormitory type buildings at its camp

in northern Michigan. Several of these buildings were home-made by

the camp custodian and each fall he would have to brace the roof

structure with poles from the inside because of the roof sag due to

the snow load. Upon investigation I found that the roofs were about

a 5/12 pitch with four inch round pole rafters spaced 3'-0" on center; an eight inch round ridge beam and so-called trusses spaced 12 '-0" on center. The reason I call them so-called trusses is that they

looked like trusses, but they were not performing like trusses—in

fact, they were performing like roof rafters.

260
The caretaker in all good faith was constructing buildings, without

a permit, which he thought were structurally sound. Each four inch

round pole rafter was supporting a total live and dead load of almost

4,000 pounds. The deflection under maximum loading conditions must

have been astronomical. The actual design replacement for the four

inch round pole was three 2x12 's glue-nailed, and spaced 3'-0" on center.

Construction contracts were let in the fall of 1966 for structural

reinforcement of the roof system for ten buildings. The contractor

completed the work on eight buildings and then one night there was an early heavy 16 inch snowfall. Two bunk buildings collapsed completely

from the overload. Again, it was fortunate that the buildings were

not occupied. It was also fortunate that the contractor's insurance

paid for the reconstruction of both buildings. It is interesting to

note that the 16 inch snowfall added only 12 pounds per square foot

to the roof.

BLIZZARD

On January 27-28, 1967, the mid-west was paralyzed by a blizzard with

on-the-ground snow depths up to 27 inches with drifts of several feet.

During this period many roofs collapsed and my firm was commissioned

for the design of the replacement of many roofs and structures. It

is interesting to note that although many roofs collapsed during the

blizzard, some did not collapse until several days afterwards. What

happened was that after the storm had passed, there was a short period

of colder weather, followed by a warming trend, and then later followed

by gusting winds of about 25 miles per hour. First the colder temperatures stabilized the snow, next the warming trend gave the snow a firmer set into a homogenous mass, and finally the wind provided the

added pressure, which was enough to cause collapse.

STRUCTURAL THEORY

I have a theory that many of these roof collapses are caused by previous overloadings in which the structural members have gone beyond

the elastic limit and into the yield area. We know that any structural member when loaded will elongate, and when the load is removed

it will return to its original length; however, if it is loaded beyond

the elastic limit and the load is removed, it will not return to its

original length. Therefore, the member has developed permanent camber

or permanent set and even though not under any unusual loading, will

appear to have a deflection bend in the direction of the applied load.

(Figures 1 and 2.)

The factor of safety of a structural member is the ratio between the

actual tensile stress and the ultimate tensile strength of the material.

If the factor of safety is low, the resultant of over-loading is early

failure.

261
BEAM BEAM

NO LOAD NO LOAD

ELONGATED ELONGATED

LOAD REMOVED

BEAM

RETURNED TO NORMAL PERMANENT CAMBER

Figure 1 Figure 2

262
In any composite structural assembly, the material with the lowest

factor of safety will be the first to rupture, and when this occurs,

there is an immediate transferral of stresses to the adjacent members.

If these members fail, there is a domino effect and the result is

structural collapse.

Now let us go back to the roof whose structural members have a permanent

deflection bend in them—this means that the interal fibers have been

pulled out of their original pattern which in turn has weakened the

original integrity of the material. In this weakened state any applied

load that is more than the load that caused the original damage will

make the member more vulnerable to rupture.

Another cause for structural failure and which will produce the same

results is a member that is exposed to a long-term overload. Most

structural members under a normal loading situation can withstand shortterm impact loads, such as a sudden gust of wind, but when overloaded

over a long period of time, they become very vulnerable when subjected

to a heavy snow load or even from a gust of wind. Either situation could

be enough to tip the delicate balance of its structural capacity.

WEATHER EFFECTS

There is a theory that wind and snow loads on roofs vary from the flat

roof to the steeply pitched roof. I agree with this theory and admit

that there may be some fluctuation according to the density of the snow

and the external temperature, but I would like to add another element

ice, either formed from melted snow in a thaw-freeze cycle, or from a build-up of freezing rain.

I submit that any roof, flat or sloped, can receive a loading condition

that is the resultant of progressive conditions as follows: (Figure 3)

a. a heavy snowfall;

b. a slight thaw; not enough to melt in a runoff, but enough to change

the density of the original snow. On a pitched roof the snow would

adhere better;

c. repeats of the above condition causing an adhesive build-up;

d. a freezing rain, followed by a drop in temperature considerably below

freezing;

e. a strong wind.

There could be a repeat of any of the above conditions and in any

combination.

263
Figure 3

264
During the winter of 1978-1979, there were 20 consecutive days in

Michigan where there was some form of snow that fell.

The ice storm in Texas last spring developed icing up to one inch in

thickness—that represents almost five pounds per square foot in

weight. 1

Consider a pitched roof surface which has gone through several of the

snow-thaw-freeze conditions with a 12 inch ice build-up at 56 pounds

per square foot and a wind pressure of 30 pounds per square foot. The

resultant load would be 86 pounds per square foot and that does not

include the dead load that has to be added.

There is a very real probability of these conditions occurring during

a 50 year recurrence.

MOISTURE CONTROL

The control of moisture seems to be an ever-surfacing problem, particularly in residential types of buildings during the winter months in

cold climates. The problems are roof leaks, interior staining and water

damage, interior sweating of windows, swelling of wood window construction, paint peeling, and sometimes structural damage.

It may seem strange to say that houses built 50 to 75 years ago never

had these problems for the reason that they were well ventilated—not

from a sophisticated exhaust and ventilation system, but from moisture

permeation right through the walls. (Figure 4.)

The construction was usually wood studs covered with wood sheathing

boards over which was put a layer of Kraft paper or roofer's felt and an exterior covering of lapped wood siding. The inside surface of the

studs was covered with wood lath over which was placed plaster reinforced with animal hair. Over this was a coat of wallpaper. The moisture on these old homes moved right through the walls and dissipated

to the exterior. Over the years a paint built-up of succeeding coats

could establish a vapor barrier on the exterior. This is the worse

thing that could happen as it traps the moisture behind the paint which

will freeze and in turn force the paint film away from the wood surface.

This is called blistering of the paint. The remedy is not to repaint

as many millions of homeowners have done over the years and much to the

joy of the paint manufacturers.

The remedy is to control the moisture. If the moisture is controlled,

all of the devastating effects of moisture are controlled.

The rules are relatively simple: Make the house air tight by reducing

all leakage of air from the inside to outside. Make it air tight in

its construction and around the perimeter of all openings such as doors

and windows. Do not forget electrical switch boxes, wall outlets,

265
flashing at doors and windows. Seal off chases for entrance of piping, areas around exhaust fans and ventilators, plumbing vents and dryer

exhaust vents, doors to attics or any place where air can move from the

interior to the exterior via openings.

Make the building vapor tight from the inside or the high vapor side.

By doing so will contain the moisture on the inside as well as to prevent the moisture from passing through the construction to the exterior.;

On interior plaster or drywall surfaces, thoroughly patch all cracks

or holes and cover with a good coat of waterproof varnish such as a bartop or plastic finish, or any good vapor tight enamel. Then apply

a good vapor tight or non-permeable finish. A vinyl wall covering would

produce excellent results. Do not forget that the ceilings receive the same treatment as well as all interior walls and partitions.

Also do not forget the perimeters of all trimmed openings because moisture can travel through the cracks where wood trim is applied. Cover

the rough opening with plastic sheeting and tape the edges under where

wood casings will be applied.

Make the exterior of the house vapor permeable by using a vapor permeab]

exterior finish. This will allow any moisture that does happen to get

through from the interior a chance to escape. It is important that the

dew point within the walls of the structure is such that it can be absorbed by the insulation without turning to liquid water. As you know,

water turns to ice and then the damage starts.

The fourth phase is the extraction of the vapor from the interior to

the exterior. Now that we have isolated the moisture on the interior,

it must be exhausted to the exterior by a good exhaust system in areas where maximum moisture accumulates, namely, the kitchen, the bathroom,

and the lanudry room. Manual exhaust fans in these areas will do the

job if they are properly used.

It is possible that the house can be so air tight with the exhaust fans

running that there is a pressure when opening the doors. This can be

relieved by providing a fresh air supply duct to the furnace area. This1 would supply fresh air, combustion air for the furnace, and relieves

the pressure.

The last phase of moisture control is in the roof and eave area. Previously mentioned were ice and snow build-ups on pitched roofs. Most

of this ice is from the exterior, but in improperly treated houses,

this moisture comes from the interior seeking its way out through the

roof. Here we have to contend with a two-way problem. Let us handle

the extraction of the interior moisture first. This can be done with

proper ventilation. (Figure 5.)

The exterior situation is where ice will back-up under the shingles and cause roof leaks. Also, ice will build an ice dam at the eave line.

During a thaw it will hold back water and at night it will freeze again.

266
PROPOSED MOISTURE CONTROL

50-75 YEAR OLD HOME PROPOSED MOISTURE CONTROL

Figure 4

267
268
This constant cycling of freeze-thaw may go on for several days,

causing shingle damage, interior leaks and damage to the gutter and eave construction.

Have you ever noticed that in the northern parts of the country, particularly in the snow belt, most of the houses do not have eave-troughs? The

reason is simply that the eave-troughs caused too many problems by con- tributing to the ice dam condition and in many cases the eave-troughs

were damaged or destroyed by ice.

One solution is to use heat tapes laid in the trough but even this is

not entirely satisfactory.

ALTERNATIVES

I would like to propose a few alternative remedies that would greatly

reduce this problem: (Figure 6) Omit the eave-troughs and let roof

water drip to a course gravel or stone bed at the grade level. If the

house has a basement, the walls should be well waterproofed. A perimeter footing drain should be provided in all cases to run the roof

water into the sewer. Eave-troughs may be used at points of entry for

protection.

After roof felts have been applied, install metal edge strip around

perimeter of roof line. Next install a 4'-0" wide sheet of flashing

metal or heavy vinyl flashing around all eave lines. This sheet will

act as a water and ice barrier and will prevent roof leaks if ice backs

up under the roof shingles. Then install the roof shingles.

Provide eave line ventilation into the attic area and out through the

gable vents or roof vents. This must be vented from the cold side of

any insulation. This system discourages a warm air build-up that might

cause ice or snow on the roof to melt.

If further protection is desired, heat tape may be laid under the

shingles parallel to the eaves.

CONCLUSION AND RECOMMENDATIONS

I have cited some examples of snow loadings, building collapses, structural theories relative to overloading, conditions that contribute to

structural failure and proposed some recommendations relative to moisture

control.

I propose that the American National Standards Institute make a restudy

of ANSI A58. 1-1972, and that each state be represented in order to more

accurately depict and chart the weather conditions for those areas, and

that this information be transposed to revised national charts and maps.

(Considerable difference has been found between ANSI data and the

Michigan Weather Service data.)

269
I also propose that all nationally-recognized codes and standards

organizations study these situations and include them in their next

code or standard change cycle. I would like them to consider developing snow load tables that the layperson can understand and use. I would like to have consideration given to our changing climatology.

I would like to see the building codes include definitions of vapor

barrier, dew point, permeable, liquid water, ice dam, air tight, and snow load.

If we are going to dictate the minimum building requirements of today's

buildings, we must also be aware of today's conditions.

270
NBS-114A (REV. 9-78)

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4. TITLE AND SUBTITLE

Research and Innovation in the Building Regulatory Process

Proceedings of the 4th Annual Joint NBS-NCSBCS Conference

5. Publication Date June 1980

S. Performing Organization Code

7. AUTHOR(S)

Sandra A. Berry, Editor

8. Performing Organ. Report No.

9. PERFORMING ORGANIZATION NAME AND ADDRESS

NATIONAL BUREAU OF STANDARDS

DEPARTMENT OF COMMERCE

WASHINGTON, DC 20234

10. Project/Task/Work Unit No.

11. Contract/Grant No.

12. SPONSORING ORGANIZATION NAME AND COMPLETE ADDRESS (Street. City, State, ZIP) U.S. Department of Commerce, National Bureau of Standards

and National Conference of States on Building Codes and

Standards (NCSBCS)

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15. SUPPLEMENTARY NOTES

Library of Congress Catalog Card Number: 80-600080

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16. ABSTRACT (A 200-word or less factual summary of most significant information. If document includes a significant bibliography or

literature survey, mention it here.) The Proceedings of the 4th Annual NBS/NCSBCS Joint Conference on Research and

Innovation in the Building Regulatory Process contain nineteen technical papers,

the opening remarks and Keynote Address. The subject matter covered in these

Proceedings includes:

o Issues in Building Code Enforcement;

o Legal, Political and Educational Aspects of Code Enforcement;

o Studies Dealing with Housing Codes;

o Energy Conservation and the Built Environment;

o Design Considerations and Their Impact on Code Enforcement; and,

o Innovative Regulatory Approaches for Metrication, Insulation Standards, and

Climatic Conditions

17. KEY WORDS (six to twelve entries; alphabetical order; capitalize only the first letter of the first key word unless a proper name;

separated by semicolons) Buildings; building code enforcement; design; energy conservation; housing codes;

regulatory approaches.

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