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

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Fenves, Steven Josep/The structure ot bu TA435 .U58 V90;1976 C.I NBS-PUB-C 1976 NBS BUILDING SCIENCE SERIES

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

The Structure of

Building Specifications
The Building Science Series

The Building Science Series disseminates technical information developed at the National Bureau of Standards on

building materials, components, systems, and whole structures. The Series presents research results, test methods, and performance criteria related to the structural and environmental functions and the durability and safety characteristics of building elements and systems. These publications, similar in style 'and content to the NBS Building Materials and Structures Reports (1938-59),

are directed toward the manufacturing, design, construction, and research segments of the building industry, standards organizations, and officials responsible for building codes. The material for this Series originates principally in the Center for Building Technology of the NBS Institute

for Applied Technology. The publications are divided into three general groups: Building Systems and Processes;

Health, Safety and Comfort; and Structures and Materials. For further information regarding these publications

please contact the Program Planning and Liaison Unit, Center for Building Technology, Institute for Applied

Technology, National Bureau of Standards, Washington, D.C. 20234.

[See mailing list announcement on last page]
ifjiidaios

The Structure of Building Specifications

Steven J. Fenves

Department of Civil Engineering

Carnegie-Mellon University

Pittsburgh, Pa. 15213

and

Kirk Rankin

Hotchand K. Tejuja

Center for Building Technology

Institute for Applied Technology

National Bureau of Standards

Washington, D.C. 20234

U.S. DEPARTMENT OF COMMERCE, Elliot L. Richardson, Secrefary

Edward O. Vetter, Under Secretary

Dr. Betsy Ancker-Johnson, Assisfanf Secreiary for Science and Technology

NATIONAL BUREAU OF STANDARDS, Ernest Ambler, Acting Director

Issued September 1976
Library of Congress Cataloging in Publication Data

Fenves, Steven Joseph. The structure of building specifications.

(National Bureau of Standards building science series ; 90)

Supt. ofDocs. no.: C13.29/2:90.

Bibliography: p. l.Building!-Contracts and specifications-United States. 2. Solar

heating--Specifications--United States. 3. Plumbing--Specifications-- United States. I. Rankin, B. Kirk, joint author. II. Tejuja, Hotchand K.,

joint author. III. Title. IV. Series: United States. National Bureau of Standards. Building science series ; 90. TA435.U58 no. 90 [TH425] 690'.021s [696M'02L] 76-26695

National Bureau of Standards Building Science Series 90

Nat. Bur. Stand. (U.S.), BIdg. Sci. Ser. 90, 83 pages (Sept. 1976) CODEN: BSSNBV

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1976

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D. C. (Order by SD Catalog No. C13.29/2:90). Stock No. 003-003-0 1659-4 Price: $ 1.45 (Add 25 percent additional for other than U.S. mailing).
ABSTRACT

This paper provides a scientific basis for the formulation and expression of

performance standards and specifications and for explicit attention to performance

in procedural and prescriptive standards and specifications.

The provisions of the NBS-developed Interim Performance Criteria for Solar Heating

and Combined Heating/Cooling Systems and Dv;elllngs ,a performance specification,

are classified in terms of the physical entities addressed, the attributes of the

built environment, and the properties which group together particular physical

entitles which may be subject to similar dysfunctions. These provisions are also

subjected to a linguistic analysis which examines in detail the wording used and

formalizes certain key concepts which are realized in the wording.

The provisions of the Uniform Plumbing Code , a prescriptive code, are classified in

terms of the physical entitles addressed and the performance attributes v/hlch can

be Inferred (though they are not explicitly addressed).

Guidelines for the expression of provisions In performance codes and specifications

are presented. These guidelines are based on the classification studies and the

linguistic analysis mentioned above.

Key words: Building code provisions; building codes; building component

classification; building specifications; building standards;

performance concept.

Hi
TABLE OF CONTENTS

1 Page

Abstract Hi

1. Introduction 1

2. Model for Provisions and their Organization 4 3. Application to Solar Heating Criteria 8 4. Application to Plumbing Code 32

5. Elements of Specification Writing Style 48

6. Potential Applications 53

7. Conclusions and Recommendations 56

Acknowledgments 59

Appendix A Classification of Provisions of Solar Criteria 60

Appendix B Classification of Provisions of Plumbing Code 66

References 76

I

iv
1. INTRODUCTION

1.1 Objectives'

This study Is a pilot Investigation for the establishment of a rational framework

for specifications, dealing with both the detailed organization of individual

provisions and the overall organization and classification of provisions.

The study includes the detailed analysis and classification of two documents:

• the Interim Performance Criteria for Solar Heating and Combined

Heating/Cooling Systems and Dwellings , National Bureau of Standards

January 1975 L12J*;

• the Uniform Plumbing Code , International Association of Plumbing

and Mechanical Officials, 1973 Edition [21].

These two documents were chosen because they represent as closely as possible the

extreme points on the performance-prescriptive specification continuum.

The objectives of the study are:

o to investigate the vocabulary of specifications; that is, the terms

used to describe the objects dealt with and the performance expected;

• to identify the manner in which the terms mentioned above are used to form specification provisions;

• to investigate classification schemes for the terms used, so as to derive organizational bases for specifications; and

• to develop rules for the use of terms, specification provisions, and

classification schemes.

1.2 Background

Building codes, design specifications and standards referenced by building regulatory

documentation constitute one of the major communication and control mechanisms for

the building industry. The development of new codes and standards and the maintenance of existing ones Involves a substantial effort on the part of researchers,

product developers, building officials and professionals in many disciplines. The

enactment and enforcement of building codes requires a large building regulatory

system. The codes, specifications and standards control the professional output of

designers and the products of builders and building manufacturers. The quality and

coverage of these 'codes and standards has a major effect on both the quality and

cost of buildings.

There is, therefore, a critical need to improve our understanding of the organization

and structure of codes and specifications and to develop basic principles from this

understanding. These principles are expected to serve specification writers to

develop better processes and Improve their product. This report is a pilot study in

this direction.

The need for this study is manifested in two ways. First, new codes and specifications are being developed by many sources, either to reflect changing requirements

in areas traditionally subject to code control such as health, safety and welfare or to introduce new requirements reflecting national needs, such as energy conservation.

Developers of such new codes and specifications would be well served by a more rigorous framework within which their efforts could be organized and evaluated

Because of the importance of specifications, the entire building community can benefit from more rational control.

Moreover, existing codes and specifications are undergoing a constant process of

maintenance, updating and adoption. A mechanism is needed whereby the changes and

amendments thus Introduced can be readily related to the existing body of codes.

Closely related to this is the need for comparison of existing codes. A major

*Bracketed numbers refer to references listed on pages 76 and 77.

1
problem experienced by design and construction firms operating in multiple jurisdictions is that of identifying and dealing with the dissimilarities and local deviations among codes. An organized framework for representing codes and specifications

would not only assist these firms, but also those agencies responsible for the

promulgation and adoption of codes and standards. In identifying and evaluating

differences

.

1.3 Nomenclature

In this study, the term "specification" is used to refer to all formal documents for

the evaluation of engineering or architectural designs. These Include:

• legislated building codes, such as the New York City Building

Code [3J;

• model building codes, such as the Basic Building Code of the Building

Officials and Code Administrators International, Inc. [4];

• consensus standards, such as the American Concrete Institute (ACI)

Building Code Requirements for Reinforced Concrete [1];

• proprietary or trade association specifications, such as the

American Institute of Steel Construction (AISC) Specification for

the Design, Fabrication and Erection of Structural Steel for

Buildings [2J; and

• specifications of agencies or owners, such as the Minimum Property

Standards of the U.S. Department of Housing and Urban Development [11].

Specifically excluded from this discussion are building specifications made a part of

the contract documents for a building project and product specifications describing

proprietary products or systems.

The study deals with three types of specifications*, which differ in their level of

abstraction, namely:

• performance specifications , which state required attributes in an implementation-independent manner, such as the "Guide Criteria for the Design

and Evaluation of Operation BREAKTHROUGH Housing Systems" [10].

• procedural specifications , consisting of calculation and ^valuation

procedures, which state required attributes . and procedures for their

evaluation in an implementation-dependent manner such as the ACI

and AISC specifications [1,2]; and

• prescriptive specifications, which state required dimensions or properties in a manner completely defining the acceptable configurations or procedures in an implementation-dependent manner, such

as the One and Two Family Dwelling Code [17 J.

In this study, the term provision will be used to refer to any normative statement

in a specification; that is, requirements or criteria in performance specifications

or paragraphs in prescriptive and procedural specifications.

1.4 Previous Work

Essentially all previous studies on the organization and structure of specifications

were motivated initially by the prospect of computer processing of specification

provisions for design or code conformance checking. While the formalism and rigor

required for computer processing Is a very useful Intellectual framework for

developing an understanding and principles, the concepts which thus emerge need not

necessarily be Implemented in computer programs. The concepts can also be used for

manual, or non-computerized, codes.

*It deals with all three types with the following qualifications. It offers no detailed study of any procedural specifications and It has more material on performance specifications than prescriptive specifications.

2
An elementary notation, or "language" and data structure for representing building

problems for computer applications was described In 1967 by Clark [5]. It Included

rules for organization of code-like provisions. Kapsch's review of existing

architectural Information indexing systems [13] found all such systems lacking in

precision and coverage. A report to the Center for Building Technology of the

National Bureau of Standards (CBT) by Eberhard, et al L7] postulated a number of

potential computer applications for building regulation use, but did not present a formal structure for them.

The senior co-author, in collaboration with R. N. Wright, has dealt extensively with

the representation of procedural specifications and the application of this representation to computer-aided design, and developed improved formats and organization

for procedural specifications [9,15,16]. The status of that work as of early 1975

is summarized in [8]. Refinements of this work were carried out at the University

of Illinois in a project initiated by R. N. Wright and then continued under

J. W. Melin (see [22]). Other extensions of the work are underway at Carnegie-Mellon

University under the direction of the senior co-author. The work at Carnegie-Mellon

University and the University of Illinois to date has not dealt with performance

specifications per se , nor did it produce any of the formal structures and concepts

introduced in this report. The computer aids developed as part of the University

of Illinois project are, however, well suited for operating on the classification

structures presented here.

1.5 Scope of Report

Chapter 2 develops a model of specifications and examines the overall organization of

provisions as well as the detailed organization. Special emphasis Is given to

performance specifications, because of their need to specify objectives in general

terms, and because of the special character of the requlrement-criterlon-testcommentary hierarchy.

Chapter 3 presents the analysis of the Solar Heating Performance Criteria; Chapter 4 presents the analysis of the Uniform Plumbing Code.

Chapter 5 presents rules of style in specification writing. Chapter 6 sketches out

potential applications of the study for the analysis of existing specifications and

for the synthesis of new ones. Chapter 7 contains conclusions and recommendations

for further work.

3
2. MODEL FOR PROVISIONS AND THEIR ORGANIZATION

In this chapter, a model for the classification of provisions and their organization

is presented, and some of the problem areas which constrain further formalization at this time are discussed. The discussion covers all three types of specifications

mentioned earlier, but Section 2.4 deals with the specific considerations related to

performance specifications.

2.1 General

The basic concept in this study is that each provision of a specification, whether

performance, procedural or prescriptive, addresses a performance attribute of a physical entity.

In performance specifications, provisions are customarily organized into requirements

(usually qualitative statements of required attributes) and criteria , (usually

quantitative statements giving levels of performance necessary to meet the requirements). Also, in performance specifications an attempt is made to address the

physical entity Involved in terms of the attribute being considered (or to omit any

mention of the physical entity), so as not to overspeclfy and thus inhibit innovation

Prescriptive and procedural specifications differ from performance types in two

aspects. First, the attributes addressed, and even the requirements, are not always

spelled out, but frequently have to be inferred. Second, the physical entities to which the provisions apply tend to be identified in detail.

It is recognized that the above comments pertain directly only to wholly performance

and prescriptive specifications, and that most specifications actually contain a mixture of the two types. Section MP 3F of [18] discusses this point; a table on page 6 of that section describes nine levels of performance/prescriptive mixture, and

gives sample provisions from each level. A review of the table shows that the basic

concept is maintained throughout; that Is, each sample provision addresses a physical

entity and (implicitly or explicitly) a desired attribute.

The model for organization is formulated at two levels:

• the way single provisions are composed; and

• the manner in which related provisions are organized.

These two levels form the subject of the next two sections.

2.2 Detailed Organization: Provision Structure

The contents of provisions in all types of specifications contain the same type of

information, namely:

• a sub j ect , which refers to or makes some mention of a physical

entity; and

• a predicate , which relates to the attribute to be satisfied.

There are only small variations in the formats of specification provisions in performance and prescriptive specifications. A classification scheme for the formats

of provisions will be presented in Section 3-3.

By contrast, many provisions in procedural specifications describe calculation and

evaluation procedures to be executed. The representation of the organization of such

provisions has been presented elsewhere [15, 16] and will not be dealt with further

in this study.

4
2.3 Overall Organization: Classification Schemes

As regards the overall organization of specifications - be they performance, procedural or prescriptive - provisions in them are related to one another either

through the physical entity addressed or the attribute to be satisfied.* In order

to reflect this relationship, classification schemes are employed.

The objective of a classification scheme is to:

• provide hierarchical groupings of related provisions; and

• provide a basis for textual organization, notably outlining

and indexing, of the specification.

By the nature of the subject matter, two independent major classification schemes are needed, namely:

• by physical entity; and

• by attribute.

Performance specifications developed in CBT customarily use these two classifications

as row and column indexes of two-dimensional matrices and record the applicable

provisions (requirements and criteria) at the Intersections. While this representation has proved workable in CBT, it has shortcomings, primarily because it does not

display the Internal structure, or "texture", of the classification, such as the

finer subdivision of entities or attribute parts within a box of the matrix; because

it is not well suited for outlining and indexing; and because it promotes unnecessary

redundancy in the repetition of nearly Identical provisions.

In this study, the two classifications will be dealt with separately, and no attempt

will be made to develop a single representation for the two. The classifications

will be discussed in turn.

2.3-1 Physical Entity Classification

In developing a classification scheme for the physical entities addressed by a specification, a major problem is that of identifying the various functions of a physical entity and then distinguishing this from the specific place of the physical

entity among other physical entities. A given physical entity may be referred to in

several contexts, and in each such context it may be associated with different sets

of other physical entities. For example, a piece of pipe may be referred to:

• by its material and its intrinsic properties,

• as a fluid container, subject to pressure changes, vacuum, etc.

• as a mechanlca.1 element, subject to noise, vibration, fatigue,

thermal scresses, etc.

• as a chemical reagent, subject to corrosion, contamination, etc.

• as a load-carrying element, subject to external Imposed loads,

earthquake effects, etc.

• as a potential projectile in an explosion, a thermal source in

a fire, etc.

• etc.

In each of these contexts, the pipe can be associated with different sets of physical

entities which are related to it In the specific context being considered.

*In addition, though of little interest here, provisions in procedural specifications

which deal with one evaluation procedure are arranged in a hierarchically related

sequence

5
The problems of developing an appropriate classification scheme for physical entitles

are different in different types of specifications:

• in performance specifications , it is important to avoid a purely

hierarchical classification by part name, such as one based on "system-subsystem-component-material" subdivisions, because such a classification would unduly over-specify the physical realizations

possible and thus inhibit innovation in design;

• in prescriptive and procedural specifications, part names dominate;

function and context often have to be inferred, thus making

difficult the task of generating higher-level classifications

and groupings.

Two applications of generating physical classifications are given in the two following

chapters

.

2.3.2 Attribute Classification

The development of an appropriate classification scheme for the attributes of the

provisions of a specification is more difficult than the development of the physical

classification, for the following reasons:

• there is a general lack of suitable definitions of attributes;

while the highest-level terms, such as "health and safety", are freely used in prescriptive as well as performance specifications,

there are no established subdivisions; e.g., subdivisions of health

into biological, physiological or psychological health;

o in performance specifications, there is a large jump from general

statements of "user needs" to the more detailed prescribable - attributes that can be addressed directly by the provisions;

• in prescriptive specifications, usually resulting from a long,

historical process of accretion, the original attributes may be

lost, blurred or combined with others, as in the ubiquitous

"health and safety".

This problem is further complicated by the frequent referencing of external standards

in both types of specifications. These references typically describe "what to do"

or "how to do it," rather than "why", that is, the attribute to be satisfied.

Two approaches to generating attribute classifications are discussed in the following

two chapters.

2.4 Organization of Performance Specifications

Performance specifications Introduce two additional considerations bearing on the

organizational model of specifications, as described in the following sections.

2.'l.l Property Classification

As described in Section 2.3.1> one crucial objective of performance specifications

is to avoid overspecification of the physical entities involved, so as to allow for

innovation In design. In other words, the specification writer must avoid any

mention of specific physical entities or else address them in an implementation/independent fashion.

The current study has revealed a mechanism (not previously identified) which has been

used by performance specification writers to overcome this double constraint. The

mechanism involves addressing a number of physical entitles by common properties , rather than through extensive enumeration. These properties occur in provisions as modifiers of nouns which refer to physical entities. Thus, in statements such as:

• "system assemblies containing heat transfer fluids "

• "components involving moving parts "

• "subassemblies . . . that are accessible"

6
each underlined portion, which modifies the noun preceding it, calls attention to a specific property, while avoiding a detailed enumeration of all possible physical

entities possessing this property. The concept of property is thus used in

performance specifications to achieve economy of terms and precision without over- specification.

The concept of property acts as an indirect coupler or selector between the physical

entitles and the attributes. SpfecifIcally , a property calls attention to a performance characteristic, common to some group of physical entities, which may be

susceptible to a dysfunction associated with a particular attribute. In the three

examples above, "system assemblies containing heat transfer fluids" are subject to

mechanical and chemical forces which may affect durability, "components Involving

moving parts" are subject to wear and deterioration, and "subassemblies that are accessible" may cause hazards to occupants from exposure to high temperature.

The development of a classification scheme for properties must therefore parallel that

for physical entities and attributes. One scheme developed is given in the next

chapter.

2 A. 2 RCTC Format

The format of performance specifications, as used in CBT, Introduces an Intermediate

level of organization between that of the individual provisions and the overall

classification. This level is implicit in the "Requlrement^Criterlon-Test-Commentary"

(RCTC) statement, namely:

• there are one or more requirements associated with each attribute

class

• a requirement is a qualitative statement regarding some physical

entity and some attribute class;

• there are one or more criteria associated with each requirement;

• a criterion is a quantitative statement which gives a measurable

level of performance necessary to meet the requirement with which

it is associated;

• there is a test associated with each criterion;

• the test, or evaluation, sets forth the methods whereby a Judgment

can be made that the criterion has been complied within the design

or construction of a building system;

• there is (usually) a commentary associated with each criterion; and

• the commentary provides background Information.

The RCTC format imposes two organizational conditions;

• a criterion Is related to its requirement by addressing: (1) a subset of the physical entity; (2) a specific property grouping

a number of physical entitles; and/or (3) a subset of the attribute

class addressed by the requirement.

• the test, or evaluation, needs to be related to the type of measure given in the criterion It accompanies.

Examples of these hierarchical interrelations are given in Section, 3.^.

7
3. APPLICATION TO SOLAR HEATING CRITERIA

This chapter presents an analysis of a performance specification according to the

general model described in Chapter 2.

3.1 General

The analysis is performed on the first six chapters of the NBS performance specification entitled Interim Performance Criteria for Solar Heating and Combined Heating/

Cooling Systems and Dwellings , 1975 [12J referred to hereafter as the "Solar

Criteria. '' Although a formal physical entity-attribute matrix is not used in the

specification, it is organized by chapters on the basis of the following attribute

classes

:

Chapter 1. Function

Chapter 2. Mechanical

Chapter 3. Structural

Chapter i|. Safety

Chapter 5. Durability/Re liability

Chapter 6. Maintainability

In terms of the physical entities, the specification treats the following systems

and subsystems:

• the heating (H) system

• the combined heating and cooling (HC) systems

• the domestic hot water (DHW) system/subsystem

• the energy transport subsystem

• the control subsystem

• the auxiliary energy subsystem

• the collector subsystem

• the storage subsystem

3.2 Classifications

Using the above specification as a source, classification schemes for physical

entities, attributes and properties were developed. These schemes and their derivations are discussed in the next three sections. In developing these categories

and the entries within them an effort has been made to inject a minimum of external

information and rely as much as possible on the terms actually used in the document.

Section 3.2.4 presents the actual classification of the provisions (requirements

and criteria). It should be understood that these classifications were derived from

the Solar Criteria and are not to be construed as final or definite.

3.2.1 Physical Classification

As described above, the beginning of a hierarchical classification of the physical

entities involved is given in the specification itself through the identification

of three system types (H, HC and DHW) and five subsystems (energy transport, control,

auxiliary energy, collector and storage).

In the current study, this classification was extended in two ways, as follows. At the topmost level, it became necessary to distinguish between the system itself,

encompassing all three types, and elements external to it, such as drains, supporting

structure, (service) manuals, and the like. At the lower levels, it became necessary

to introduce an analytical framework to encompass the specific terms for the entities

8
appearing in the specification. The final classification scheme developed in the

current study is summarized in Table 3-1; it consists of the following hierarchical

levels

Level I. Global : System or External.

Level II. System type : H, HC , or DHW (as in the Solar Criteria )

Level III. Subsystem : Collector, Storage, Energy Transport,

Control or Auxiliary Energy (as in the Solar Criteria )

Level IV through VII. Assembly/Component/Element . This is a hierarchical

classification scheme with multiple subdivisions, encompassing the elements

specifically cited in the Solar Criteria . For Levels IV through VII, the terms used and their hierarchy are shown in Table 3.2.

It can be seen that some sub-hierarchies are based on a part-to-whole relation (e.g.,

"manifold" is an element of the "piping" component of the "conveying" assembly of

the "mechanical" subsystem), while other sub-hierarchies are classifications by type

(e.g., "hazardous or toxic" is one type of "liquid" which in turn is one type of

"fluid" ).

It can also be seen from Table 3-2 that the entries "Collector" and "Control"

duplicate entries under Level III: "Subsystems". These redundant entries were introduced in the current study to ensure that the physical entitles listed under

each are restricted in application; that, e.g., "glazing" applies only to "collector"

and "instrumentation" applies only to "control."

The classification of external elements is given in Table 3.3.

3.2.2 Attribute Classification

Even though the Solar Criteria specification was written in performance terminology

and therefore highlighted attributes, still it was necessary in this study to

experiment with several alternatives in order to develop an acceptable classification-,

for these attributes. This testifies to the lack of understanding of and consequent

need for research into the nature of attributes. Two of the chapter headings in the

Solar Criteria , "Mechanical" and "Structural," were rejected as not being proper

attributes in the sense that qualitative or quantitative performance statements can

be assigned to them. As in the case of the physical classification, an attempt was made to use the classification and terms appearing in the Solar Criteria to the

maximum extent possible.

The following classification scheme was selected:

1. Functionality : ability of system to provide its rated output

This category can be further subdivided into:

1.1 Rating : establishment of basic rating of system.

1.2 Efficiency : establishment of criteria whereby the

demonstration project can be evaluated, namely,

reduction in use of conventional energy sources.

2. Operability : requirements for satisfying performance for the

design life of the system under actual use conditions. A subdivision into the two subcategories of Reliability and

Durability used in the document proper was considered, but

finally, a subdivision was established essentially on a stylistic basis, namely:

2.1 Requisites : performance requirements which need to

be satisfied.

2.2 Dysfunctions : performance impediments which need to

be avoided.

9
3. Habltablllty : requirements dealing with the health and comfort

of occupants, further subdivided into:

3.1 Health .

3.2 Comfort .

4. Maintainability : provisions for maintaining the system in

good operating conditions.

5. Safety : provisions fjor mitigation of hazards, further subdivided,

where applicable, into:

5.1 Safety with respect to intrinsic effects , such as explosion

of a system component

.

5.2 Safety with respect to extrinsic effects , such as earthquakes

or fires from external causes.

The attribute classification is reproduced for reference in Table 3.^.

It is to be noted that four of these five attribute classes (Functionality,

Operability, Maintainability, Safety) correspond to the chapter headings of the

Solar Criteria (Function, Durability/Reliability, Maintainability, Safety), and that

a new one, namely Habltablllty, has been introduced. As stated before, the two

chapter headings dealing with Structural and Mechanical aspects have been omitted.

3.2.3 Property Classification

As discussed in Section 2.4.1, the identification of common properties both

significantly reduces the length of the physical classification and acts as a filter or selector to focus specific attributes onto groups of physical entitles,

independently of their location in the building component hierarchy in a particular

Implementation. Let It be emphasized that property is a phenomenon discovered in the

current study and that anything said about property is based only on the analysis of

the Solar Criteria . The current study proposes the following major categories of

properties in the Solar Criteria: (1) external exposure, (2) internal exposure or contact, (3) exposure to or contact with fluids, (4) location, (5) access,

(6) mechanical, (7) structural, and (8) serving multiple housing units. As an example of how a property focuses specific attributes onto groups of physical

entities, a specific type (3) property is "containing heat transfer fluids," which

focuses certain durability - related attributes onto those groups of physical

entities which do in fact contain heat transfer fluids.

Considering that the notion of property has never been formally identified, it is

quite surprising that it occurs in a very large number of the provisions in the

document (see the "property" columns in Table A.l). Furthermore, it is worth noting

that the properties identified are also well-structured hierarchically, as shown in

Table 3-5.

3.2.4 Classification of Provision

The three classifications - physical entity, attribute and property - described in

the preceding sections were applied to the 141 requirements and criteria contained

in Chapters 1 through 6 of the Solar Criteria. Table A.l presents the classification

of these provisions based on the information given in Tables 3.1 through 3-5 • In the table, an entry is made only when the requirement specifically applies to an element of the classification scheme; thus, blank entries mean both not applicable

and applicable to all subdivisions of a given level.

The table is not claimed to be completely correct, nor the classification schemes

optimal. In particular, as mentioned earlier, the physical classification Is somewhat redundant, inasmuch as "collector" and "control" appear in both the

subsystem (Level III) and assembly (Level IV) classifications. Also, the provisions

dealing with the heat transfer fluid are classified both- under the "energy transfer"

subsystem (Level III) and under "fluid" classification (Level IV)

.

10
Second, the interaction between the assembly category of the physical classification

and the property category needs to be further investigated; at present, the

assignment of a provision to entries in one or both categories is occasionally

arbitrary, reflecting, in some cases, the ambiguity of the text. For example.

Criterion 2.6.2* is entitled "Air quality" and thus suggests a provision whose

subject is the component "air"; the text of the criterion, however, deals with "duct

and fan systems", i.e., physical entities having a property "exposed to air."

Finally, on the attribute side, the creation of the new attribute subcategory "health"

appears to be somewhat premature, as in many cases dealing with mechanical subsystems

the provisions are simply Identified with the general attribute "health and safety."

Similarly, the recurring statement "safe and efficient operation" defies precise

classification by attribute at the present state of knowledge.

Notwithstanding the above inconsistencies. Table A.l could be used to review the

Solar Criteria and suggest changes in the organization of that specification based

on the following observations:

• the physical classification is occasionally too detailed,

and an attempt should be made to express the scope of a provision differently than by extensive enumeration of

components

• the treatment of the property classification deserves

considerable further study.

• the attribute categories should be more carefully defined

and an attempt should be made to split the major categories

into more meaningful subcategories.

Additional rules of usage are given in Chapter 5. The tabulation given also lends itself to the generation of summary statistics which

could be used to improve and "even out" the coverage of the document. As a simple

illustration, a frequency count of the attributes occurring in the provisions Is given in Table 3.6. Such a table could be used to ascertain whether the number of

provisions is commensurate with the Importance and complexity of the various

attribute classes.

3.3 Structure of Provisions

In this section attention is turned to the manner in which provisions are put

together out of constituent parts. Structures are introduced which allow one to

"talk about" , important concepts which are realized in the wording of provisions (as

is done in Chapter 5). Section 3-3.1 deals with the structure of the provisions as they actually occur in the Solar Criteria ; Table 3-7 summarizes this' structural

classification as it applies to requirements. Section 3- 3- 2 proposes standard forms

for requirements and criteria which would explicitly incorporate certain concepts into

the actual sentence structure. These proposed structures are based on wording

observed in the Solar Criteria ; they form the basis of the rules of usage elaborated

in Chapter 5- 3.3.1 The Solar Criteria Provisions

For the most part, the provisions in the Solar Criteria contain a subject followed by

a predicate. This observation on structure can be depicted as follows:

^Hereafter in the text and in the tables, C is often used for Criterion

(e.g., C 2.6.2) and R Is often used for Requirement (e.g., R 2.6).

11
SUBJECT Examples from the Solar Criteria are:

C 4.6.4 PROVISION

SUBJECT

I Components and materials used in

the H, HC and DHW systems

PREDICATE

shall not promote the growth of fungi,

mold or mildew

R 2.7 PROVISION

Pipe hangers, pipe trenches and shall carry the static and operational

other supports loads normally imposed without impairing

system function.

Note that in both cases the SUBJECT refers to or makes some mention of a physical

entity and the PREDICATE relates to one (or very rarely, two) of the performance

attributes

.

So much for the simplest structure for provisions. Many provisions in the Solar

Criteria are more complex. One additional complexity is the condition, a group of

words appended in front of the basic structure introduced above for the purpose of

postulating a certain implementation. The structure accommodating this complexity

is

:

PROVISION

CONDITION

SUBJECT

Examples from the Solar Criteria are:

C 2.2.3 PROVISION

PROVISION

PREDICATE

CONDITION

When a liquid is used as

the transfer fluid and

quick-closing valves are

employed in the design

SUBJECT

I the piping system

^PROVISION

PRE&ICATE

I shall be capable of providing

its rated output under design

l-^ads

.

12
design the storage subsystem shall be capable of

providing Its rated

output under design

loads

C 2.2.3 uses a condition to postulate an Implementation using a liquid transfer fluid

in conjunction with quick-closing valves in order to call attention to the problem

of "water hammer." R 1.4 postulates an implementation using a storage subsystem to

call attention to the necessity of providing rated output under design loads. Note

that these provisions postulate the incorporation of certain physical entities

in acceptable designs without specifying the incorporation of those physical

entities

Another complexity in some provisions is the presence of a property (see Section

2.4.1 for an introduction to the notion of property). Properties usually take the

form of groups of words in the subject position which modify (and come after) words

which refer to some group of physical entities. They are used in provisions to

group together a number of physical entities in a possible implementation which are subject to the same dysfunction. The following examples clarify these points:

C 5.1.2 PROVISION

that are intended to be function will be impaired during their

buried in the soils design life.

R 3.7

H, HC and DHW system

components and supporting structural

elements

PREDICATE

shall be capable of resisting

PROPERTY impact by hail without unacceptable

exposed^ to the damage,

natural environment

13
First, note that in the subject position in both these provisions, a word or group of

words referring to a set of physical entities comes first, followed by a property

which modifies the preceding word or group of words. Note also that the predicate in

each case mentions a dysfunction (degradation in C 5.1.2 and impact by hail in R 3.7)

that applies to the physical entities grouped together by the property (components

buried in soil in C 5-1.2 and components exposed to the natural environment in R 3.7).

Table 3.7 gives a representation of every requirement in the Solar Criteria in terms

of the concepts just discussed. A few observations concerning these representations

are in order. First, there are two requirements (R 1.1 and R 4.5) which contain two

sentences; in both cases the table gives a representation of the first sentence only

since it was felt that only the first sentence could stand alone as a requirement.

Second, two requirements (R 2.6 and R 4.5) were re-worded in order to better fit the

representation scheme; the re-wording does not change the meaning of either of the

requirements as they occur in the Solar Criteria . Third, the consistency of this

table with the classification of requirements given in Table A.l is not guaranteed

in every case. This is because extensive re-wording of the provisions would be

necessary, and re-wording from the original text has been kept to an absolute

minimum; e.g.. Table A.l splits requirements that address two attributes whereas

Table 3-7 leaves the original wording Intact. Finally, as discussed below, criteria

could be subject to the same sort of representation scheme above equally successfully,

though this has not been done. The only obvious problem in the way would seem to be

that the complexity of the wording of some of the criteria in Chapter 3 of the

Solar Criteria exceeds that of the structures introduced.

3.3.2 Proposed Structures for Provisions

The provision structures introduced in the previous section are applicable equally to

requirements and criteria. This section introduces tentatively proposed structures

which distinguish between requirements and criteria. These structures are based on the wording found in some of the provisions in the Solar Criteria . They are not as generally applicable to the actually-occurring provisions as the structures Introduced

in Section 3.3.1. The structures in this section can be thought of as proposed models

for rewriting currently existing provisions or for composing new ones. As such, they

form the basis of the rules of usage in Chapter 5. The tentatively proposed structures for requirements are now introduced. First, the

basic structure:

REQUIREMENT

SUBJECT

OPERATOR ATTRIBUTE

The only structural Innovation here is that the predicate is composed of two parts:

an operator and an attribute. The operator always consists of "shall" possibly

followed by "be," "not," or "not be." The attribute is a sequence of words relating

to one of the attribute classes.

14
Examples from the Solar Criteria now follow:

R 1.1

SUBJECT

REQUIREMENT

The H and HC systems ATTRIBUTE

capable of Collecting

and converting solar

energy into thermal

energy.

R 4.2 REQUIREMENT

The H, HC and DHW systems

ATTRIBUTE

fail-safe in the event

of damage to system

components or a power

failure.

Note that in both cases the operator is "shall be" and that the attribute in R 1.1 is

a sequence of words relating to the rating attribute class, while the attribute in

R H.2 relates to Intrinsic safety.

The proposed structures accommodate conditions and properties discussed in the

preceding section, as the following examples show:

R l.A

When included

in the design

REQUIREMENT

the storage

PREDICATE

ATTRIBUTE

I capable of providing Its rated

output under

design loads.

15
Sys

assemblies transfer fluids greater than that

specified in the

design when operated

at the design

condition.

Attention Is now turned to tentatively proposed structures for criteria. Everything

just said about parts of requirements applies to parts of criteria with the exception

of the attribute. That is, criteria and requirements are similar in that both can contain conditions and properties, and in that both can contain the same types of

subjects and operators. They differ in that where requirements have attributes,

criteria have measures. A measure states the level of performance that the physical

entity must achieve in support of the requirement associated with the criterion. A measure is composed of two parts*: a phenomenon, which Identifies a dysfunction to

be avoided, or a requisite to be assured; and a quantifier, which states a method for

avoiding the dysfunction or assuring the requisite.

Criteria can be classified according to the ways in which they specify methods for

assuring performance. A classification based on the analysis of the Solar Criteria

Is now presented. First, there are those criteria which refer to other codes or standards for complete conformance-checking procedures; these criteria are called

Implicit criteria (see Example 1 below). All other criteria are explicit criteria,

of which there are two sub-types: complete and Incomplete . Incomplete criteria are those in which no quantifier is stated; only such words as "is avoided" or "Is assured" are used (see Example 2 below). The two sub-types of complete criteria are existence criteria - those in which the existence of a device or concept is

specified In the quantifier (see. Example 3) and value criteria - those in which a value Is specified in the quantifier.

There are three sub-types of value criteria: value from document - those in which

the value which assures performance is given In the solar criteria document - either

in the criterion under observation or elsewhere in the document (see Example 4);

value from design - those in which the value is stated to be governed by the design

of the system ( see Example 5); and value from other source - those in which the

value is said to be obtained from some other code or standard (see Example 6). This

classification scheme is summarized by the following table:

Criterion

1 Implicit

2 Explicit

2.1 Incomplete

2.2 Complete

2.2.1 Existence

2.2.2 Value

2.2.2.1 Document

2.2.2.2 Design

2.2.2.3 Other Source

*Except for measures in implicit criteria (see below); these are not subdivided.

16
Measure in implicit criteria is not subdivided into phenomenon and quantifier.

The following trees are displayed in order to better explain the quantifier

constituent. The wording of the criteria in these trees is not always the same as the wording in the document; rewording is intended to be without change in meaning.

Example 1 - Implicit Criteria - C 4.1,1

Note that the measure here refers to another source for the whole conformance-checking

procedure

CRITERION

OPERATOR MEASURE

and equipment |

I shall be installed in accordance

with the MPS and ANSI A119.1

Example 2 - Incompie-ce criterion - C 4.2.1

The first sentence of this criterion contains two phenomena - damage to components

and danger to occupants. The following example is an analysis of the part dealing

with damage to components. Note that the criterion is incomplete in that it does

not introduce a quantitative measure.

CRITERION

SUBJECT

The control

subsystem

MEASURE

Is Avoided

PHENOMENON

designed so that damage to components

and the building from excessive

temperatures or pressures developed

in the event of a power failure or

component failure in the control

system

17
Example 3 - Existence Criterion - C 1.7-^

The first sentence of this criterion Is reworded and analyzed as follows:

SUBJECT

The DHW system/

subsystem OPERATOR

I shall be PHENOMENON

designed so that

the regulation

of domestic water

output temperature

QUANTIFIER

is assured by

providing a manually set,

automatic control.

Example ^ - Value-From-Document Criterion - C 1.7.^

The second sentence of this criterion is reworded and analyzed as follows:

CRITERION

SUBJECT

The DHW system/

subsystem

designed so that water temperature

at the DHW

storage tank

QUANTIFIER

shall be

capable

being controlled

within the range of 105°

to 160° F.

Example 5 - Value-From-Deslgn Criterion - C 1.6.1

CRITERION

SUBJECT

The energy transport

subsystem

designed so that

thermal losses and use of electrical

power

QUANTIFIER

shall not exceed the operating

design values.

18
Example 6 - Value-From-Other-Source Criterion - C 1.2.2

CRITERION

SUBJECT

I The DHW system

PHENOMENON

designed so that

the storage

capacity

QUANTIFIER

shall not be

less than the volume specified

in the MPS.

3.3.3 Test

Following each criterion in the Solar Criteria there is a test or evaluation which

sets forth the methods upon which an objective Judgment can be made that the

criterion has been complied with. Two general types of test methods, each with

three subtypes, have been identified in the document:

Test Methods

A. Analytical

1. modeling

2. calculations

3. inspection of plans and specifications

B. Physical

1. testing

2. documentation of historical performance

3. testing in lieu of calculations and performance

Examples of each of the above are:

Al. E 1.1.4, ". . .An analytical model . . . shall be utilized. . ."

A2. E 1.1.1, ", . .calculations based upon ASHRAE analytical methods

A3. E 1.7.3, "Review of drawings and specifications."

Bl. E 3.4.1, "Physical simulation and testing. . ."

B2. E 5.1.2, "Documentation of satisfactory long term performance

under in-use conditions. . ."

B3. E 5- 3- 4, "Where adequate existing information is unavailable,

testing. . .will be used."

There seems to be no reason at this time in the development of this classification

system to analyze the structure of evaluation statements in the way that requirem.ents

and criteria have been analyzed. This is because such statements are of little

interest in and of themselves j they acquire interest and importance only as they are associated with their related criteria. This one of the hierarchical relationships

discussed in the next section.

19
3.^ RCTC Format

In this section, the two organizational requirements Introduced In Section 2.4.2 are explored In light of the proposed structures discussed In Section 3.3.

First, a criterion should be related to Its requirement by the fact that It addresses

(1) a subset of the physical entity; (2) a specific property associated with the

physical entity; and/or (3) a subset of the attribute class addressed by the

requirement

.

Examples of these three relations are now presented In turn:

1) R 4.1 addresses plumbing and electrical materials and equipment

C 4.1.1 addresses plumbing iuaterials ana equipment

C 4.1.2 addresses electrical materials and equipment

2) R 4.6 addresses all material and equipment

C 4.6.1 addresses materials in contact with potable water

C 4.6.2 addresses subsystems utilizing nonpotable heat transfer

fluids

3) R 1.2 deals with the amount and temperature of the potable hot

water to be supplied.

C 1.2.1 deals with the acceptable temperature of potable hot

water

C 1.2.2 deals with the amount of potable hot water.

Second, the evaluation needs to be directly related to the type of measure given in

the criterion it accompanies. Using the classification of measures presented in

Section 3.2.2, the following observations can be made:

o The existence measure seems to be the most general and any one

of the six evaluation types may be associated with it;

• The value measures seem to call for a restricted set of evaluation

types, presumably on the basis that if a value or range of values

can be established in the document, there probably is not enough

uncertainty to warrant the use of all six evaluation methods;

• The implicit measures also seem to be paired with a restricted

subset, presumably because these criteria usually reference

prescriptive codes and such codes do not generally allow for

conformance checking at all six of the evaluation levels; for

example, testing is not allowed.

Examples of criterion - evaluation pairs follow, one for each of the three measure

types

.

• Existence measure

C 1.7.3: The DHW system/subsystem shall be provided with a manually set, automatic control that provides effective regulation

of the domestic water output temperature.

E 1.7-3: Review of drawings and specifications.

• Value measure

C 1.6.1: Thermal losses and use of electrical power in the

energy transport subsystem shall not exceed the operating design

values

.

E 1.6.1: Engineering review of drawings, specifications, calculations

and test data.

20
• Implicit measure

C 2. 7.1: Piping shall be Installed in accordance with Section 6l5 of the

MPS (4900.1 and 4910.1) and Part C of the ANSI A119.1, where applicable.

E 2.7.1: Review of drawings, calculations, and specifications.

21
Table 3.1

Physical Classification

Level: I II III IV-VII

Global

t System Subsystem Assembly

A. System A. H, HC

B. HC only

C. DHW

A. Collector

B. Storage

C. Transport

D. Control

E. Aux. Energy

(See Table 3.2)

B. External

II (See Table 3.3)

22
Table 3.2

Classification by Assembly

(System Components)

Level IV V VI VII

Mechanical

1.1 Motive

1.1.1 Pump

1.1.2 Fan

1.2 Heat Exchanger

1.2.1 Heater

1.2.2 Condenser

1.3 Conveying

1.3.1 Piping

1.3.1.1 Manifolds

1.3.1.2 Circulation Loops

1.3.1.3 Catch Basins

1.3.1.4 Drain/Fill Attachments

1.3.2 Ducts

1.4 Hangers

2. Electrical

3. Structural

3 . 1 Conventional

3.1.1 Ultimate strength

3.1.2 Working stress

3 . 2 Non-conventional

4. Collector

4.1 Mounting

4.2 Glazing

4.3 Cover Plate

5. Control

5.1 Regulators

5.2 Instrumentation

5.3 Controllers

5.4 Shutoff Valves

6. Fluids

6.1 Liquids

6.1.1 Hazardous or Toxic

7. Filters

8. Gaskets and Sealants

23
Table 3.3

Classification of External Elements

Level : IV

1. Drains

2. Supporting Structure

3. Fire Resistant Assemblies

4 . Manual

24
Table 3.4

Classification of Attributes

Level: I II

1. Functionality

1.1 Rating

1.2 Efficiency

2. Operability

2.1 Requisites

2.2 Dysfunctions

3. Habitability

3.1 Comfort

3.2 Health

4. Maintainability

5. Safety

5.1 Intrinsic

5.2 Extrinsic

25
Table 3.5

Classification of Properties

Level: I II

1. External Exposure

1.1 Rain, Hail, and Ice

1.2 Pollutants, Solar Degradation

1.3 Freezing

1 . 4 Wind

2. Internal Exposure or Contact (other than fluids)

2.1 Elevated Temperature and Pressure

2.2 Dissimilar Materials

2.3 Leachates and Decomposition Products

3. Exposure to or Contact with Fluids

3.1 Potable Liquids

3.2 Non-Potable Liquids

3.3 Corrosive Liquids

3.4 Pressurized Liquids

3.5 Liquids Requiring Special Handling

3.6 Air

4. Location

4.1 Elevated

4.2 Buried

5. Access

5.1 Requiring Access

5.2 Accessible to Occupant

6. Mechanical

6.1 Subject to Vibration

6.2 Involving Moving Parts

7. Structural

7.1 Requiring Cutting

8. Serving Multiple Housing Units

26
Table 3.6

Frequency of Attributes

Number of

Attribute References

1.1 Rating 15

1.2 Efficiency 2

2.1 Requisites 40

2.2 Dysfunctions 61

3.1 Comfort 7

3.2 Health 9

4 Maintainability 18

5 Safety 9

5.1 Intrinsic Safety 8

27
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4. APPLICATION TO PLUMBING CODE

This chapter provides an analysis of an existing prescriptive specification to

determine how its information is classified and organized. This, when added to the

performance document dealt with in Chapter 3, provides a broader spectrum for the

analysis of specification provisions.

4.1 General

The provisions of the Uniform Plumbing Code (often referred to hereafter as the

"Plumbing Code") [21] are analysed by: 1) Physical Classification and 2) Attribute

Classification. This analysis differs from the previous example of classification of

the Solar Criteria (see Chapter 3) where provisions are analyzed by: Physical

Classification, Tf Attribute Classification and 3) Property. In a performance

document, the classification of provisions by "property" encourages the use of

Innovative materials and methods of construction. An example of the use of a property

is "assemblies carrying heat transfer fluids ." This wording in a provision allows

the use of any assembly which satisfies the property. On the other hand in a prescriptive document such as the Plumbing Code , the assemblies or components which

should satisfy a particular attribute are enumerated. Hence, the concept of property

has no place in a prescriptive document.

4.2 Classification

Classification schemes for organizing the provisions of the Plumbing Code are developed

and presented in this chapter. These include classification schemes for physical

entities and for attributes. The classification of provisions of the Plumbing Code

is presented .in Table B.l, Appendix B. These classifications were derived from the

Plumbing Code , and, as was the case for those derived from the Solar Criteria , these

are not to be construed as final or definite.

4.2.1 Physical Classification

Table 4.1 presents the overall physical classification scheme developed in this study.

Through an iterative process an acceptable framework was developed for encompassing

specific terms for physical entitles appearing in the Plumbing Code . The top level

(Level I) of the physical classification scheme is labeled as Global . It addresses

the entire plumbing system and may be identified with any of the subgroups of the

physical classification schemes. Level II of the physical classification scheme is

labeled as System . It includes the entries: Drainage, Venting and Water Distribution

Systems. Each of the above systems are separately subdivided into Subsystems

(Level III) and Components (Level IV). The entries identified at this level appear

in Table 4.2. Level V of the physical classification scheme is labeled Assembly

(Global) ; it Includes only the entry Fixtures and Equipment in general. Fixtures

and Equipment is further subdivided into Assembly (Level VI) and Elements (Level VII).

The entries in these two levels are given in Table 4.3. Level VIII of the physical

classification scheme is labeled Appurtenances (Table 4.4). This Includes elements,

subelements or components applicable to any of the subgroupings of the physical

classification scheme and is therefore an Independent grouping. Level IX of the

physical classification scheme is labeled Materials (Table 4.5). This Is also an independent grouping and is applicable to any of the other subgroupings of the physical

classification scheme.

4.2.2 Attribute Classification

The Plumbing Code does not specify performance attributes. However, other model

plumbing codes do include specific performance rules or principles which are intended

to cover situations not specified in the body of the codes. The first code to include

specific performance rules was the National Plumbing Code [14J. These rules are reproduced in Table 4.6. Another document identified was the HUD Operation Breakthrough Guide Criteria [10], which Includes a performance attribute classification

scheme for plumbing. This classification scheme is reproduced in Table 4.7. Initial

attempts were made to classify the provisions of the Plumbing Code using the above

two attribute schemes. The groupings under the two schemes did not appear to be

unique and seemed to be incomplete In the classification of some of the provisions of

the Plumbing Code . Therefore, it was necessary to develop an alternative attribute

classification scheme. Level I of the scheme corresponds to a large extent to the

scheme developed in the previous chapter for the Solar Criteria . The definition of

headings in the classification scheme is as follows:

32
1. Function : ability of system to perform its Intended function.

1 . 1 Water supply

Water should be supplied in sufficient volume so that plumbing fixtures

can perform their essential function under normal conditions of use.

1. 2 Water supply and drainage flow

Water supply and drainage systems should provide adequate minimum flow

rates in accordance with design conditions.

1 . 3 Pipe sizes

Water supply piping should be sized so that it can perform its

essential function without excessive wear and noise. Drainage

piping should be sized so that sewage can be transported to an acceptable point of disposal without overflowing or accumulating

within the premises.

1 . 4 Sewer and drain connections

Plumbing fixtures and equipment which discharge liquid waste or sewage should be directly connected to the sanitary drainage

system, except where indirect connections are required. The

waste should be transported to an acceptable point where proper

connections should be made for further transport to the main

sewer

1. 5 Air Flow

Proper venting should be provided to limit pneumatic pressures

within the system and adequately protect trap seals. Vent

terminals should not return foul air to the building.

1 . 6 Location for function

Fixtures and equipment should be located so that the plumbing

system functions satisfactorily.

1. 7 Non-interference with other facilities

The' installation of the plumbing system should not interfere

with the operation of non-plumbing systems and facilities

(I.e., structural members should not be weakened by cutting,

notching, etc., and proper clearances should be provided for

operation )

2. Health and Safety : requirements dealing with health and safety of occupants.

2 . 1 Potable water

Premises Intended for human habitation should be provided with

a supply of pure wholesome water.

2 . 2 Contamination

Proper protection should be provided to prevent contamination of

foods and water by backflow of sewage.

2 . 3 Backflow, overflow, siphonage

Suitable provisions should be made to prevent backflow and overflow

of sewage in the system.

33
2 . ^ Hot water equipment

Devices for heating and storing water should be designed and

installed so as to prevent danger from explosion through overheating.

2 . 5 Number of fixtures

The minimum number of plumbing fixtures considered essential

for good health and sanitation should be provided.

3. Operabllity, Durability, Reliability : requirements for satisfying performance

for the design life of the system under actual use conditions.

3 . 1 Damage

The plumbing system (fixtures, joints and connections) should be

protected from physical damage that would Impair essential function.

3 . 2 Corrosion

The dangers of premature failure or excessive maintenance relating to

corrosion should be minimized by taking into account the character of

the water supply, the soil, properties of materials and other

environmental factors.

3.3 Deterioration

Plumbing fixtures should be constructed of smooth and non-absorbent

material without any concealed fouling surfaces. They should be

located in ventilated enclosures. Appropriate consideration should

be given to treatment of hazardous wastes and environmental factors.

3

.

^ Material durability

The plumbing system (piping, fixtures, connections) should be

of durable material and capable of giving satisfactory service

for its expected life.

3 . 5 Deflection, misalignment and sagging

Proper supports should be provided, spaced at appropriate intervals,

to prevent deflection, misalignment and sagging.

3 . 6 Structural strength

The proper functioning of plumbing fixtures and the integrity of

their supports should not be impaired when subjected to structural

loads

.

4. Maintainability

:

provisions for maintaining the system in good operating

conditions

.

4 . 1 Fouling, deposits and clogging

To guard against fouling, deposit of solids and clogging cleanouts

should be provided. These cleanouts should be arranged In a way

so that the pipes can be readily cleaned.

4.2 Fixture accessibility

All plumbing fixtures should be Installed and spaced so as to be

reasonably accessible for maintenance.

4.3 Maintenance procedure

Proper maintenance procedures should be followed so that the plumbing

system is in a sanitary and serviceable condition at all times.

34
'^.^ Location for maintenance

The plumbing systems and equipment should be such as to assure practical maintainability. They should be so located to be

convenient for cleaning, servicing, adjusting or replacing

various elements or components.

5. Standards : conformance to external standards referenced In the code or procedure outlined In the code.

5 . 1 External product standards

This pertains to external product standards referenced In the code.

5.2 External Installation standards

This pertains to external Installation standards referenced in

the code.

5 3 Accepted engineering practice

This provides for the judgment of the code official as to the

soundness of the design.

5 . ^ Code procedures

This pertains to appropriate procedures outlined in the code and

provided as part of the code requirement.

The attribute classification has been reproduced for reference in Table ^1 . 8

4.2.3 Classification of Provisions

Table B.l provides the results of the exercise of classifying the provisions of the

Uniform Plumbing Code by applying the physical and attribute classification schemes

discussed above to the provisions. The chapters covered are:

a) Chapter 2 - Materials and Alternates

b) Chapter 3 - General Regulations

c) Chapter 4 - Drainage Systems

d) Chapter 5 - Vents and Venting

e) Chapter 6 - Indirect and Special Wastes

f) Chapter 7 - Traps and Interceptors

g) Chapter 9 - Plumbing Fixtures

h) Chapter 10 Water Distribution

Chapter 8 - Joints and Connections, Chapter 11 - Building Services and Private

Systems, Chapter 12 - Fuel Gas Piping and Chapter 13 - Water Heaters and Vents were considered to be outside the scope of this study and were therefore omitted.

The Uniform Plumbing Code contains both direct and indirect references to materials.

Provisions such as fittings shall be made of brass" were classified by using

hierarchical identifiers from the physical classification scheme which address

"fittings" and the identifier from the attribute classification scheme which addresses

"prevention of corrosion," on the assumption that the primary concern is with the

satisfaction of that attribute, and not with material selection; therefore, the

identifier from the material grouping was not used. On the other hand, provisions

such as "fittings shall be made of brass or other approved material" were classified

by using the physical entity identifier for "material-general" and the Identifier from

the attribute classification scheme addressing "approved standards." Furthermore,

in provisions specifying "brass fittings should be. . . ," the Identifier for

"material-brass" was used along with the identifiers for the appropriate attribute.

35
For some provisions it was difficult to ascertain the intention of the code writers.

Therefore it was difficult to identify a specific attribute addressed by these

provisions. These provisions were therefore classified under attribute classification

"code procedures" along with other provisions which were directly addressed by that

attribute

.

4.3 Analysis

It can be seen from the comparison of attribute classifications shown in Table 4.9

that single attributes are often addressed by more than one rule of plumbing or Guide Criteria attribute; conversely, a single rule of plumbing or Guide Criteria

attribute often addresses more than one attribute. In order to make the rules of

plumbing and Guide Criteria requirements applicable for classifying plumbing provisions

they should be unique and complete and therefore consistent with Table 4.8.

Table B.l can be subjected to different analyses; one such analysis is given in

Table 4.10; the table shows the frequency distribution of attributes covered by the

provisions of the Uniform Plumbing Code . It provides the reader with a picture of

the content of the code and a record of emphasis.

36
o

•H

4-1

Ctf o

•H

rH 14-1 •H

<!• tnw

<U n) iHO

EH iHO

•H

Ul XI

m

to o

4-1 T3 3 ooo ^ ,a

cd cTj cd H H H

4-1 (U

00 00

cd

C

^J 01 rt O > ^ M 0) M -U 4-1 (U u] Ul 4J -H >> Q > S

37
Table A.

2

Physical Classification; Drainage Systems

Level III Subsystems Level IV Components

a • ueneraj.

a. General b. Interceptors

b. Drainage piping c • Grease interceptors

c

.

Building sewer d. Garage interceptors

d. Building drain Q ^ Building traps

e

.

Storm drain f , Sand interceptors

f

.

Storm sewer

s- Traps

g. Area drain h. Direct waste connections

h. Subsoil drain i. Indirect waste connections

i

.

Hoistway drain j- Interior leaders or downspout

J. Catch basin k. Cleanouts

k. Gutters 1. Backwater valves

1. Condensate drain m. Indirect connections

m. Indirect waste piping

n. Pressure drainage

0. Utility drain

P- Industrial waste piping

<1- Commercial waste piping

Physical Classification: Venting Systems

Level III Subsystems Level IV Components

a. General a. General

b. Vent piping b. Vent header

c

.

Stack vent c

.

Vent terminal

d. Common vent d. Vent extension

e. Wet vent e. Vent fittings

f

.

Relief vent f

.

Vent opening

g- Combination waste and vent S- Vent connection

h. Circuit and loop vent h. Waste pipe

i

.

Trap

J. Cleanouts

Physical Classification: Water Distribution Systems

Level III Subsystems Level IV Components

a. General a. General

b. Water piping and fitting b. Ballcock

c. Standpipe c

.

Direct connections

d. Hot Water piping d. Indirect connections

e. Water Storage tank e. Water Storage Control valves

f

,

Hot Water Storage tank f

.

Gate valve

g- Hot Water heater g- Meters

h. Water pump h. Vacuum breakers

i. Pressure relief valves

j- Temperature relief valve

k. Emergency shut-off devices

1. Valves

m. Covers

n. Pressure regulators

0. Pressure—temperature

relief valve

38
Table 4.3

Physical Classification: Fixtures and Equipment

VI Assembly Level \7TT y ij.a.

Elements

General

a. General b. Piping (discharge)

b. Bathtub c ., Piping (supply)

cLavatory d

i-'X tLXliHgc XXl/UJ.ngS d. Shower e. Shower receptors

e

Kitchen sink f

Faucet

el Garbage disposal g- Shower head

f. Water closet h. Drains

fl Flushometer valve i

Traps

f2 Flush tank J. Vents

g- Urinal k. Valves

gl Flushometer valve

1. Mixing valves

g2 Flush tank

m. Gate valves

h. Floor drain

n. Vacuum breakers

i

Laundry tray 0. Washdown pipe

J. Dishwasher

P- Cleanouts

k. Clothes washer

I- Hose bib outlet

1. Drinking foxmtain

r

Outlets

m. Swimming pool

sInlets

n. Hot Water heater

t. Strainers

o. Sumps

u. Flashings

P- Ejectors, pumps w. Backflow preventing

(I- Lawn sprinklers devices

r

Interceptors, intercepting tanks X. Motors, compressors

s

Evaporative cooler, air washer, refrigerator and air tanks

and cooling counters y. Trap arm

t. Walk-in refrigerator z

Overflows

u. Receptors i. Ballcock

V. Stills, sterilizers ^. Bends

V. Condenser

X. Plumbing fixt\ires (unclassified)

y- Commercial sinks

z. Island sinks

39
Table 4. A Physical Classification: Level VIII (Appurtenances)

Level VIII

a. General

t. Threads

c

.

Connections (direct)

d. Joints

e. Flanges

f. Plugs

g. LorA-c h. Bushings

i. Hangers

Supports

k. Slip joints

1. Expansion joints

m. Hose clamps

n. Unions

o. Ferrules

P- Screws

q.- Bolts

r

.

Washers

s

.

Access covers

t. Outlets

u. Joining material

V. Fittings

w. Connections (indirect)

X. Cleanouts

y- Seals

z. Flashings

40
Table 4.5

Physical Classification: Level IX (Material)

Level IX

a

b.

c.

d.

e.f

g-h.

i.jk.

1.m.n.

General

Wrought iron

Steel

Brass Copper

Galvanized Iron Cast Iron Bronze

Lead

PVC (plastic)

ABC (plastic)

Malleable Iron Concrete

Metal

41
Table 4.6

Rules of Plumbing

(from the National Plumbing Code ) [14]

PI- All premises intended for human habitation, occupancy, or use shall be

provided with a supply of pure and wholesome water, neither connected

with unsafe water supplies nor subject to the hazards of backflow or backsiphonage

,

P 2 - Plumbing fixtures, devices, and appurtenances shall be supplied with

water in sufficient volume and at pressures adequate to enable them to function satisfactorily and without undue noise under all normal

conditions of use.

P 3 - Plumbing shall be designed and adjusted to use the minimum quantity of

i water consistent with proper performance and cleaning.

P 4 - Devices for heating and storing water shall be so designed and installed

as to prevent dangers from explosion through overheating.

P 5 - Every building having plumbing fixtures installed and intended for

human habitation, occupancy, or use on premises abutting on a street,

, , alley, or easement in which there is a public sewer shall have a connection with the sewer.

P 6 - Each family dwelling unit on premises abutting on a sewer or with a private sewage-disposal system shall have, at least, one water closet and

one kitchen-type sink. It is further recommended that a lavatory and

bathtub or shower shall be installed to meet the basic requirements of

sanitation and personal hygiene.

All other structures for human occupancy or use on premises abutting on

a sewer or with a private sewage-disposal system shall have adequate

sanitary facilities but in no case less than one water closet and one other fixture for cleansing purposes.

P 7 - Plumbing fixtures shall be made of smooth nonabsorbent material, shall

be free from concealed fouling surfaces, and shall be located in ventilated enclosures.

P 8 - The drainage system shall be designed, constructed, and maintained so as

to guard against fouling, deposit of solids, and clogging, and with

adequate cleanouts so arranged that the pipes may be readily cleaned.

P 9 - The piping of the plumbing system shall be of durable material, free from

defective workmanship and so designed and constructed as to give satisfactory service for its reasonable expected life.

PIO - Each fixture directly connected to the drainage system shall be equipped

with water-seal trap.

Pll - The drainage system shall be designed to provide an adequate circulation

of air in all pipes with no danger of siphonage, aspiration, or forcing

of trap seals under conditions of ordinary use.

42
Table 4.6 (Continued)

Rules of Plumbing

P12 - Each vent terminal shall extend to the outer air and be so installed as to minimize the possibilities of clogging and the return of foul air to the building.

P13 - The plumbing system shall be subjected to such tests as will effectively

disclose all leaks and defects in the work.

P14 - No substance which will clog the pipes, produce explosive mixtures, destroy the pipes or their joints, or interfere unduly with the sewagedisposal process shall be allowed to enter the building drainage system.

P15 - Proper protection shall be provided to prevent contamination of food,

water, sterile goods, and similar materials by backflow of sewage. When

necessary, the fixture, device, or appliance shall be connected indirectly

with the building drainage system.

P16 - No water closet shall be located in a room or compartment which is not properly lighted and ventilated.

P17 - If water closets or other plumbing fixtures are installed in buildings

where there is no sewer within a reasonable distance, suitable provision

shall be made for disposing of the building sewage by some accepted

method of sewage treatment and disposal.

P18 - Where a plumbing drainage system may be subject to backflow of sewage,

suitable provision shall be made to prevent its overflow in the building.

P19 - Plumbing systems shall be maintained in a sanitary and serviceable condition.

P20 - All 'plumbing fixtures shall be so installed with regard to spacing as

to be reasonably accessible for their intended use.

P21 - Plumbing shall be installed with due regard to preservation of the

strength of structural members and prevention of damage to walls and

other surfaces through fixture usage.

P22 - Sewage or other waste, from a plumbing system which may be deleterious to surface or sub-surface waters shall not be discharged into the ground

or into any waterway unless it has first been rendered innocuous through

subjection to some acceptable form of treatment.

43
Table 4.7

Operation Breakthrough Guide Criteria Plumbing Requirements [10]

1 Structural Serviceability

H.1.1 Deflection

H.1.2 Vibration

H.1.3 Structural loads

2 Structural Safety

H.2.1 Inserts and hangers

H.2.2 Installation

3 Health and Safety

H.3.1 Number of fixtures

H.3.2 Leakage

H.3.3 Hot water supply

H.3.4 Protection of water-heating

equipment

H.3.5 Water quantity: user needs

H.3.6 Water potability

H.3.7 Resistance to entry of vermin

H.3.8 Improper emission of gases or liquids

H.3.9 Overflow or back-up

H.3.10 Water pipe sizing

H.3.11 Storm water disposal

Durability/Time Reliability

(Function)

H.8.1 System life expectancy

H.8.2 Fixtures and appliances

H.8.3 Installation

H.8.4 Access

H.8.5 Freezing

H.8.6 Corrosion

9 Spatial Characteristics and

Arrangement

H.9.1 Size and location

4 Fire Safety

H.4.1 Fire endurance

H.4.2 Sprinkler systems

H.4.3 Hazardous areas

H.4.4 Water for fire fighting

5 Acoustic Environment

H.5.1 Noise

6 Illuminated Environment

H.6.1 Artificial light

7 Atmospheric Environment

H.7.1 Condensation

44
' Table 4.8

Classification of Attributes

Level I Level II

1. (F)*Function

1.1

1.2

1.3

1.4

1.5

1.6

1.7

(a.) Water supply

(b.) Water supply and drainage flow

(c.) Pipe sizes

(d.) Sewer and drain connections

(e.) Air flow

(f.) Location for function

(g.) Non-interference with other facilities

2. (H) Health and Safety

2.1 (a.) Potable water

2.2 (b.) Contamination

2.3 (c.) Backflow, overflow, siphonage

2.4 (d.) Hot water equipment

2.5 (e.) Number of fixtures

3, (0) Operability, Durability, Reliability

3.1 (a ) Damage

3.2 (b ) Corrosion

3.3 (c ) Deterioration

3.4 (d ) Material durability

3.5 (e ) Deflection, misalignment and sagging

3.6 (f ) Structural strength

(M) Maintainability

4.1

4.2

4.3

4.4

(a.) Fouling, deposits and clogging

(b.) Fixture accessibility

(c.) Maintenance procedure

(d.) Location for maintenance

(C) Standards

5.1

5.2

5.3

5.4

(a.) External product standards

(b.) External installation standards

(c.) Accepted engineering practice

(d.) Code procedures

*The letter codes shown in parentheses are used in the detailed classification of

provisions in Table B.l.

45
Table 4.9

Comparison of Attribute Classifications

Applicable Applicable Guide

Attribute Plumbing Rules Criteria

P p m1 IvC U U

"1JL T*PTn^n JL CUlC 1 L

f"L Og

1.1 Water supply P

o no 2, P 3 H.3.10

1.2 Water supply and drainage flow r z H.3.10, H.8.4

1.3 Pipe sizes P 3 H.3.9, H.3.10

1.4 Sewer and drain connections P

C Tl 1 "7 J , r 1 / H.3.9

1.5 Air flow P 11, P 12 H.3,8, H.3.9

1.6 Location for function r

7 P 1 A / , r XO L.9.7

1.7 Non-interference with other facilities P 21 H.1.3, H.2.1

2.1 Potable water P 1 2.2 Contamination P 15, P 22 H.3.6

2.3 Backflow, overflow, siphonage Pr

1 Pin p 1 H.3.6, H.3.8,

P 1 A H.3.9, H.3.11

2.4 Hot water equipment AH H.3.4

2.5 Number of fixtures p 6

r H.3.1

3.1 Damage p 14 H.1.2, H.1.3

3.2 Corrosion H.8.2, H.8.6

3.3 Deterioration p 7 H.1.3

3.4 Material durability p 9 H.8.2

3.5 Deflection, misalignment and sagging H.1.3

3.6 Structural strength p 21 H.1.3

4.1 Fouling, deposits and clogging p 8 H.8.4

4.2 Fixture accessibility p 20 H.8.4

4.3 Maintenance procedure p 19 H.8.4

4.4 Location for maintenance p 8 H.8.4

5.1 External product standards H.8.2

5.2 External installation standards H.8.3

5.3 Accepted engineering practice H.8.3

5.4 Code procedures p 13 H.8.3

46
Table 4.10

Frequency of Attributes

Number of

Attributes References

1.1 Water supply 1 1.2 Water supply ..and drainage . flow 19

1.3 Pipe sizes 24

1.4 Sewer and drain connections 8 1.5 Air flow 10

1.6 Location for function 25

1.7 Non-interference with other facilities 9

2.1 1 2.2 Contamination 3 2.3 Backflow, overflow, siphonage 33

2.4 Hot water equipment 1 2.5 Number of fixtures 3

3.1 Damage 8 3.2 Corrosion 13

3.3 Deterioration 3 3.4 Material durability 3 3.5 Deflection, misalignment and sagging 5 3.6 Structural strength 4

4.1 Fouling, deposits and clogging 3 4.2 Fixture accessibility 19

4.3 lybintenance procedure 12

4.4 Location for maintenance 14

5.1 External product standards 69

5.2 External installation standards 4 5.3 Accepted engineering practice ? 3 5.4 Code procedures 78

47
5. ELEMENTS OF SPECIFICATION WRITING STYLE

In this chapter, the analyses and observations of the study are summarized as an Informal guide to specification writers. The "don't use" and "use" style is

patterned after the Elements of Style by Strunk and White [20]. Only performance

specifications are covered here, but similar guidelines could be developed for

prescriptive specifications. The examples used are from solar heating and cooling

technology, though not all are from the Solar Criteria , the basis for the study.

In particular, not all of the "don't use" examples are from that specification. The

guidelines are in two groups: Section 5.1 lists those which pertain to the

composition of individual provisions; Section 5.2 lists those which pertain to

relations among two or more provisions.

5.1 Composition of Provisions

1 , Avoid overspecifying physical entities , use the most general term that applies,

which amounts to overspecifying

.

Don't use :

• "pumps, fans, compressors or similar equipment"

• "duct and fan systems"

• "pipe hangers and other supports"

• "pipes, joints, fittings, etc."

In defining the physical entity addressed.

Avoid naming specific physical entities.

Use :

• "rotating machinery"

• "air-handling systems"

« "supports"

• "piping"

Group physical entities by common properties . Combine physical entities addressed

by referring to the common properties affected by the attribute in question

(common properties underlined).

• "assemblies containing heat transfer fluids "

• "components exposed to the natural environment "

• "subassemblies that are accessible"

The specification writer can use common property grouping in order to consider

dysfunctions which pertain to classes of physical entities. In the example

above, "assemblies containing heat transfer fluids" are those that are subject

to mfechanical and chemical forces affecting durability, "components that are exposed to the natural environment" are those that are subject to ice and hail

loads, and "subassemblies that are accessible" are those that are potentially

unsafe to occupants because of high temperatures. Note that any attempt to

enumerate physical entities in any of the three examples would constitute

over-specification by the writer.

3. Use conditions to postulate implementations . When a requirement or criterion

applies only to specific implementations, single this fact out by preceding the

entity description by a condition:

9 "when quick-closing valves are used, ..."

• "when the storage subsystem is included in the design. . . "

e "when a liquid is used as the heat transfer fluid. . . "

This allows the writer the option of considering such an implementation

(without specifying it), as in:

• "When liquid heat transfer fluids are used, the system

shall provide suitable means for air removal."

48
Define attribute of requirement . In every requirement, define specifically the

attribute to be satisfied. It may help the writer to think of an attribute as being a general, qualitative statement In support of one of the attribute classes.

Thus, the attribute "prevention of corrosive wear" Is In support of the attribute

class " operablllty . " On the other hand, the attribute of a requirement Is usually

more general than the phenomena of the criteria associated with the requirement.

Thus, the attribute "prevention of corrosive wear" is more general than the

phenomena "corrosion by leachable substances" and "corrosion of dissimilar

materials," which are relatively specific.

If the attribute can't be specll^ied, the provision is probably not a requirement.

Define phenomenon of criterion . Include in each criterion the specific

phenomenon for which a level of performance is to be achieved. (Recall that a phenomenon identifies a possible dysfunction to be avoided or a requisite to be

assured.) Examples of dysfunctions to be avoided are:

• "excessive noise arising from vibration of equipment"

• "danger to occupants arising from excessive temperatures i or pressure in the event of a power failure"

Examples of requisites to be assured are:

• "regulation of domestic water output temperature"

• "means for the detection of leaks"

Use an active operator . In both requirements and criteria, use positive, active

terms to describe the result expected.

Don't always rely on the catch phrase:

• ". . .shall be designed and Installed so that. , ."

In many cases, more specific wording can be used:

• "(the collector subsystem) shall be located, oriented, and

tilted so that "

• "(piping) shall be sized to. . . ."

Also don't be unnecessarily wordy:

Don't use : Use :

• ". . .shall be designed to • ". . .shall provide. . , provide. ..."

• ". . .shall be designed to be • ". . .shall accommodate,

capable of accomraodating. ..."

Use quantitative measures in criteria . Ensure that criteria are quantitative by

specifying the level of performance expected, or, at least, by specifying

precisely the device or process that is to be provided to ensure performance.

Under a requirement dealing with the efficient operation of the DHW system.

Don't use; Use:

• "The water temperature

shall be regulated."

0 "The water temperature shall

be regulated within the range

of 105° to 160°F."

or

• "Regulation of the water

temperature shall be assured."

The underlined material shows how the efficient operation mentioned in the

requirement is ensured.

49
If a quantitative measure can't be defined, the provision Is probably not a criterion.

8. Make evaluation correspond to quantifier . Give a clear, precise statement as to

how the criterion measure is to be evaluated. Certain things cannot be evaluated

by a mere review of plans and specifications! For example, in

• "Systems. . .shall accommodate flexing. . .,"

an examination of design criteria is more appropriate than a review of drawings

and specifications; and in

• "systems. . .shall not leak when tested. . .,"

a review of test results is more appropriate.

9. Avoid blanket references to specifications and standards . The entire , purpose of

performance specifications is defeated by excessive references to external

specifications and standards. Do not say:

• ". . .shall be designed and Installed in accordance with (name of

specification) .

At least, specify the attribute that is to be achieved.

• ". . . shall provide a minimum level of fire safety consistent with

(name of specification)."

Better yet, define the phenomenon to be quantified and depend on the

specifications and standards only for establishing the quantitative

measure:

• ". . .shall meet the requirements for draw and recovery specified

in (name of specification)."

10. Choose title based on attribute or phenomenon . Make the title of the requirement

or criterion descriptive of the attribute or phenomenon, rather than of the

physical entity covered.

• (under a requirement dealing with Leakage prevention ) Don't use : Use :

" Air transport systems" " Air leakage "

• (under a requirement for Excessive pressure and temperature protection ) Don't use : Use :

" Relief valves and vents " " Pressure and temperature relief"

• (under a requirement for Effects of external environment ) Don't use : Use :

" Components or materials " Solar degradation" exposed to sunlight "

" Components buried in soil"" Soil corrosion"

11. Do not deliberately vary wording to avoid monotony . Note the underlined words

in the following:

• ". . .collecting and converting solar energy into thermal energy."

• ". . .collecting and converting radiant solar energy into thermal

energy. . ."

• ". . .convert incident solar energy into useful thermal energy. . ."

50
Such "stylistic" variation is confusing to the reader, who may try to find

some technical reason behind the different choices of words.

12. Avoid using subjective wording In requirements and criteria . Even requirements,

which are qualitative statements, should be as free as possible of words which

are subject to interpretation by guesswork on the part of the reader. Certainly

criteria, which are quantitative statements, should not use such words. Consider

the following:

• ". . . suitable means for air removal. . ."

• ". . . adequate provisions for thermal expansion. . ."

• ". . .damage of unacceptable magnitude . . ."

How is the reader to Interpret "suitable," "adequate," and "of unacceptable

magnitude"?

Other subjective words and phrases to be avoided are "significant (ly) ," "excessive(ly ) ," "below acceptable levels," "unduly," " normal ( ly ),

"beyond acceptable limits," etc.

5.2 Organization of Provisions

1. Use only one attribute per provision . A provision (requirement or criterion)

addressing more than one attribute is Improperly written and should be split.

Each of the following examples can be split into two criteria:

• ". . .shall be sized to

carry the heat transfer

fluid at design flow rates

without excessive noise

or erosion-corrosion"

• ". . .shall not significantly

affect the efficient operation

of the H,, HC, or DHW systems

or the habltablllty of the

building."

The use of catch words "health and safety" and "safe and efficient operation"

as attributes will automatically result in the violation of this rule.

2. Do not misplace criteria . A criterion is misplaced if:

a. the physical entity addressed is not a subset of the entity

addressed by the requirement under which the criterion appears,

or

b. the physical entity addressed is not a common property grouping

within the entity addressed by the requirement under which the

criterion appears, or

c. the phenomenon addressed is not a subset of the attribute of the

requirement

Examples of misplaced criteria:

a. Requirement addresses collector.

Criterion addresses whole system.

b. Requirement addresses collector.

Criterion addresses components burled in soil.

c. Requirement addresses failure loads and load capacity.

Criterion addresses glazing design.

Criterion a

} Criterion b

Criterion a Criterion b

51
Order criteria by related phenomena . In ordering the criteria associated with

a requirement, sequence them by the phenomena they address. In the sequence

below, the second criterion, dealing with air, is out of place between criteria

dealing with liquids, and should be moved to the end.

Requirement: Heat transfer fluid quality . Criteria: 1. Liquid quality

2. Air quality

3. Liquid treatment

H. Freezing protection (applies to liquids only)

Use single-criterion requirements sparingly . The specification writer will find

that usually it will be necessary to associate two or more criteria with a requirement in order to completely address the level of performance stated in

the requirement. It Is appropriate sometimes, however, to use single-criterion

requirement s

.

The rule to follow is that the criterion must address a subset of the

requirement (either physical entity, common property grouping, or attribute)

or else must introduce a quantifier. If none of the above applies then it

is questionable whether the "requirement" is in fact a proper requirement.

In the following sequence, the rule is not followed; the criterion is merely

a rough rewording of the requirement

:

R: Shutdown of subsystems in one dwelling unit shall not impair

the distribution of energy to other dwelling units of the building.

C: Shutdown of the H, HC or DHW subsystems in one dwelling unit of

a multlfamlly housing complex shall not Interfere with the

operation of the subsystems in other dwelling units.

Avoid unnecessary cross-referencing . With proper assignment of criteria to

requirements and proper ordering of requirements, it should not be "necessary

within a criterion or requirement to cross-reference other criteria and

requirements. The situation is analagous to the one noted in rule 9 in

group 5-1 on referencing other specifications and standards. Blanket

cross-references are to be avoided:

• ". . .shall be designed to meet the requirements specified

in. . ."

More specific cross-references may be used where necessary duplication

of the same material would result:

• ". . .shall be designed to meet the requirements for load

combination specified in. . ."

52
6. POTENTIAL APPLICATIONS

In this chapter, the potential applications of the model and methodology developed

In this study are discussed, with emphases on the analysis of existing codes and

standards and the synthesis- of new ones. 6.1 Analysis

As discussed in the Introduction, there is a need for the classification, maintenance,

and comparison of existing codes and standards.

Every specification has to be continually maintained to keep up with social and

technological changes. This on-going maintenance would be aided by a standardized

organized framework, both for initial provisions and for later modifications,

additions and deletions.

There is an equally strong need for a mechanism whereby the coverage of different

codes and standards could be systematically compared by the following types of

organizations:

• design and construction organizations operating under multiple

jurisdictions need ready access to information on similarities

and differences among codes, so as to adjust their work accordingly;

• building regulatory agencies adopting model codes need a mechanism

for locating and identifying those provisions which warrant local

changes or exceptions;

• model code authorities and other bodies responsible for the

promulgation of codes and standards need a similar mechanism

for representing changes and exceptions introduced in the

adoption process to guide them in their maintenance activities;

and

• groups and organizations interested in broadening the coverage

of existing codes and working towards broader national consensus need a representational tool to display the coverage of codes,

so as to be able to systematically review, and hopefully

eliminate, the existing differences or discrepancies.

The methodology presented in this study could be developed and extended to produce

a classification scheme and representational method to satisfy the above needs. In such a classification scheme each provision would be classified as to:

• the physical entity addressed;

• the property of that entity (where applicable);

• the attribute to be achieved (for requirements);

• the measure of satisfaction required (for criteria).

Initial approaches for the physical entity and attribute classifications have been

presented in Chapters 3 and 4. Further work will be required in order to extend

these to practical and generally applicable classifications. In particular, the

terms for physical entitles should be standardized. Also, the concept of common property developed in Chapter 3 should be extended so as to serve its intended

purpose; as a "shortcut" to eliminate or reduce extensive enumeration of components.

Similarly, the classification of attributes should be extended to cover the entire

range of codes and design specifications. For prescriptive specifications, standard

interpretations of implied attributes must be agreed upon, as they could then form

a solid basis on which the intent and adequacy of provisions could be evaluated.

Finally, it will be necessary to extend considerably the list of possible measures discussed in Chapter 3 to encompass all cases that may occur; such measures are essential to define the levels of performance specified.

53
with a classification scheme of the type discussed, any specification could be

concisely represented by a table such as Tables A.l and B.l, or by the Implementation

of such tables In a computer-based Information system. Local exceptions,

modifications, updates, etc. could be rapidly and conveniently located by reference

to the classifiers describing the provisions.

An Illustration of the potential advantage of using a standardized classification

scheme of the type discussed In this report for representing existing specification

provisions can be taken from Reference [6].

The 1969 Edition of ANSI Standard A119.1, Standard for Mobile Homes [19], contained

the following provision In Section 7.3 (page 15 )

:

"... All wall and partition surfaces shall be capable of resisting

a horizontal load of not less than five pounds per square foot."

The provision did not appear in the editions of 1972 through 197^. In the process

of adopting the Standard in state regulatory programs, the provision of the I969

Edition was Included in two states codes:

• in North Carolina, as an amendment of Section 7.3;

• in Oregon, as an amendment of Section 6.2: Design Live Loads . The provision was re-introduced in the 1975 Edition, but his time under Section 6.7:

Interior Walls . Thus, In a period of six years, the same provision has cropped up

In three different sections of the Standard or State code based on the standard. If

the provision had been classified not by arbitrary section numbers, but as a provision accessible by the classifiers:

physical entity = interior wall

attribute = structural strength

the provision could have been readily located, regardless of section number, and the

various editions of the standard, as well as the State codes adopting them, could

have been directly compared.

6.2 Synthesis

It is expected that the major use of the concepts of this study will be in the

synthesis or development of new specifications, especially of performance

specifications. Before such work can be undertaken, however, some of the

preliminary steps discussed in the preceding section will have to be accomplished,

albeit for a different purpose:

• in developing a practical physical classification, effort must

be made to generate classifications of entities which are implementation - independent, separate from traditional building

part names; the extension and systematic exploitation of appropriate

"property" categories may be one way to achieve this objective;

• the list of specific entity names needs to be formalized and

coordinated with the general functional classifications and

properties, to serve as the basis for implementation - dependent

evaluation procedures for performance specifications as well as for

procedural or prescriptive specifications;

• the list of required attributes and their underlying phenomena

to be controlled needs to be considerably extended, subdivided

and properly defined, so as to clearly identify the user needs

addressed by each; and

• the list of available measurements, and the appropriate evaluation

methods for each, needs to be formalized to a much greater extent

than the present, so as to provide a clear basis for choosing

appropriate measures for each criterion.

The availability of such classification schemes could formalize and considerably

Improve the process of synthesizing new specifications.

54
At the conceptual or planning level, the synthesis process could begin with the

clear Identification of applicable attributes and the phenomena to be controlled.

Through appropriate properties, the general functional classes of physical components

susceptible to dysfunction could be next identified, and thus a general framework

of requirements and criteria sketched. This framework could then be systematically

"fleshed out" through technical and economic analyses to determine the appropriate

type and level of measures for each criterion.

In practice, of course, the development of new performance criteria will seldom, if

ever, be the direct, linear sequence of activities described above. Rather the

process will tend to be iterative, where new considerations, even the need for new

research, will emerge as portions of the document are developed. A computer-based

interactive information management system based on the classifications presented

could serve as an effective management and control mechanism for the operational

phase of synthesis.

At the operational or developmental level, the framework of general requirements and

criteria would be entered into the information management system when the detailed

development begins. Tentative elaborations of proposed requirements and criteria

would be entered as they are developed, together with appropriate classifiers.

Periodically, the provisions could be sorted and listed, and the output examined to

ascertain progress, to review and modify as necessary the proposed classifications,

and to identify "holes" or other indications of uneven coverage. On the detailed

level, provisions could be examined for conformance with accepted structures and for

the proper maintenance of the RCTC hierarchy. At the same time, as provisions

accumulate and are "firmed up," tentative groupings and chapter layouts may be

developed. Through appropriate identifiers related to the classification schemes,

alternate organizations may be explored and evaluated, thereby reducing the

dependence of the organization on a sometimes arbitrary two-dimensional matrix. From

previous studies [15,16], it appears that theoretically Inclined readers would prefer

an organization where the major groupings are based on attributes, with further

subdivisions based on physical components, whereas practically-oriented people would

be more comfortable with the opposite ordering. Tentative outlines for these two

schemes, or combinations thereof, could be readily generated and compared. The final

organization and assignment of chapter, requirement and criterion sequence could thus

be delayed until the project is essentially complete, resulting in more readable,

easier-to-follow documents. The development of extensive indexes structured

according to alternate ordering of classifiers would be an automatic byproduct of the

classification scheme maintained by the Information management system.

55
7. CONCLUSIONS AND RECOMMENDATIONS

7.1 Conclusions

This study is a pilot project for Identifying concepts and methods for the

establishment of a rational framework of specifications, dealing with both the

detailed organization of individual provisions and the overall classification of

provisions in the document.

It has been shown that all specification provisions have a simple basic structure,

consisting of two basic elements:

(1) a subject, which makes some mention of a physical

entity, and

(2) a predicate, which relates to one of the attribute

classes.

This simple structure permits the study of organization at two levels: (1) the way

the elements are composed in a single provision; and (2) the manner provisions are related through the subjects they address and the attributes they seek to achieve.

Detailed study of the first aspect, that is the composition of provisions, was only

carried out for a performance document. Studies of the second aspect were performed

on a performance document and a prescriptive document. Studies at both levels

require a carefully structured classification of the physical components forming the

subjects of provisions, and of the attributes to be satisfied. Classifications have

been developed for these two domains for two documents, representing extreme points

on the performance-prescriptive continuum.

Physical classifications could be developed with reasonable ease from both documents.

In both documents, there appears to be too much reliance on naming specific building

parts. As a result, it is sometimes difficult to group the entities into larger

units in a hierarchical fashion. Nevertheless, it appears entirely feasible to

extend the classification to other documents, and eventually to standardize both the

terminology for building elements and hierarchical groupings for the terms.

The development of attribute classifications was hampered by the occasional lack of

clarity and definitions of attributes in the performance document and their

complete absence in the prescriptive document. The classification reported here

should be considered highly tentative.

In the performance document, an important mechanism was identified for achieving

conciseness in addressing physical components without over-specification. The

mechanism consists of referring to a common property such as "exposed to solar

degradation," which singles out entities susceptible to dysfunction under a particular attribute in a completely implementation-independent fashion. A classification of properties contained in the document was developed; significantly,

the properties identified are well structured hierarchically.

Also, in the performance document, the "traditional" RCTC hierarchy could be given

more precise meaning by associating criteria with properties or with subsets of the

entities and/or attributes of the corresponding requirement, and by associating the

form of the evaluation with the type of measure specified in the criterion. However,

because of the wide range of measures contained in the criteria, the latter

association could not be demonstrated to the same degree of concreteness as the

former

.

This study of the composition of provisions in the performance specification produced

a formal representation of the syntactic structure of requirements and criteria.

The classification systems and the analyses in Section 3-3 produced concepts and

terminology which were used in giving guidance for future efforts in performance

specification writing.

On the basis of the studies reported, two potential applications were presented.

First, it was shown that a classification scheme of provisions according to physical

entities, attributes (explicit or implicit) and measures specified can serve as a

56
concise representation which may be used to represent and compare the coverage of

specifications and the extent of local exceptions, modifications, and proposed and

actual changes.

Second, it was shown that the classification scheme could serve in the development

or synthesis of new specifications in two significant ways: at the initial planning

or conceptual level, by permitting the development of groupings of requirements

before any detailed work is undertaken, and at the operational and developmental

level by "tracking" progress and by allowing tentative groupings and chapter layouts

to be developed and evaluated.

7.2 Recommendations for Further Study

There are a number of directions for future work which are continuations of some of

the research activities reported on in this study.

• The classifications of physical entities and attributes exhibited

in this study are illustrative rather than recommended. Clearly

there is a need for research on more general classifications.

• The analysis reported on in Section 3.3 of this study is tentative

in nature. Further research into the nature of attributes of

requirements and measures of criteria is called for. This

work is expected to relate closely to the research on attribute

classification called for just above.

• The notion of "property" needs further research. The role of

properties as selectors of physical entities for attributes

needs to be investigated further.

• The classification work for evaluations in this paper is

tentative rather than recommended. Further research is necessary

in that area as well as in the larger area of the RCTC hierarchy.

In addition, there are a number of proposed areas for study which are not simple

continuations of research in this paper but which are logical next steps for that

research to take.

• .There Is a need for the analysis of the language of provisions

in prescriptive specifications. It is of Interest to determine

to what extent the structures and concepts developed for

performance provisions are applicable to prescriptive provisions.

• The research reported on in this paper Is related to the research

recently conducted at the University of Illinois under contract

to the National Bureau of Standards (see [22]). The relationship

needs to be investigated further, especially the language analysis

in this paper with the decision table analysis in the Illinois

study and the classification studies in this paper with the

outlining algorithms in the Illinois study.

• The implementation of a pilot Information retrieval system

along the lines developed in Chapter 6 is a possible next step

to take. It could be based on classification schemes such as those developed in Chapters 3 and 4. It would allow for the

orderly development of such classification schemes and would

provide a prototype context for developing some of the. ideas

advanced in Chapter 6.

• The automatic generation of the text of provisions could be

explored. Given as input the physical, property and attribute

classification schemes along with the structures introduced in

Section 3.3, it would be possible to generate provision-like

word sequences which could be examined for acceptability. The

style guidelines from Chapter 5 possibly could be used as constraints in the generation process.

57
Another potential research task is the exploration of converting

specifications which are In prescriptive form into performance

form. Classification schemes such as those developed in Section

3.2 and Section 4.2, structures such as those developed in Section

3-3, and rules governing the expression of provisions such as those developed in Chapter 5 would all be desirable components

in such a conversion scheme.

58
Acknowledgments

For reading earlier versions of the paper and for making valuable suggestions, the

authors thank P. W.' Cooke, J. G. Gross, J. R. Harris, R. J. Kapsch, R. Wehrll and

R. N. Wright, all of, the Center for Building Technology.

59
APPENDIX A. Classification of Provisions of Solar Criteria

Table A.l

Physical Property Attribute

I II TTT TVX V \TV V X vxx I II I II

R 1 1 A A 1 1

C. 1.1.1 A A 1 1

C.1.1.2 B 1 1

C.1.1.

3

A 3 1

C.l.l.U A A 1 2

C.1.1.

5

A A 2 2

R.1.2 A c 1 1

C.l. 2.1 A c 1 1

A

r\. c 1 1

C.l. 2.

3

A c 1 2

C.1.2.U A c 2 1 n . X . o

A xi 1 1

u . J. . J . J. A A 1 1

R.l.If. .. A B 1 1

C.l.ii.l A B 1 1

R.1.5 A 2 2

A 3 1

C.l. 5.1 A 2 2

A 3 1

R.1.6 A C 1 1

C.l. 6.1 A C 1 1

R.l.T A D 1 1

C.l.T.l A D h

c.l. 7. 2(a) A D 2 2

A D 5 1

(b) A D 3 1

C.l. 7.

3

A A D 5 3 3 1

C.l. 7.^ A C D 5 3 3 1

R.1.8 A E 1 1

C.l. 8.1 A E 1 1 1

60
2 Table A.l

Physical Property Attribute

Provision

I II III IV V VI VII I II I II R.2.1 A 2 1 C.2.1.1 A 1 1 2 1 C.2.1.2 A 1 3 2 1 A 1 3 2 1 C.2.1.3 A 1 1 2 1 2 2 A 1 2 2 1 2 2 A D 5 1 2 1 2 2 A A 2 1 2 2 C.2.1.U A A 1 3 1 1 2 1 C.2.1.5 A C 1 3 2 1

C. 2.1.6 A C 1 3 2 1 C.2.1.7 A 1 3 1 2 2 C.2.1.8 A 1 3 1 k 2 1 B 1 2 1 R.2.2 A 1 2 2 C.2.2.1 A 1 3 1 6 1 2 2 A 1 3 2 6 1 2 2 A 5 2 6 1 2 2 A 5 3 6 1 2 2 C.2.2.2 A 1 1 6 1 2 2 A 1 1 6 1 3 1 C.2.2.3 A 1 3 2 1

C.2.2.1t A 1 3 1 k 1 2 2 A B k 1 2 2 C.2.2.5 A 1 2 1 C.2.2.6 A 1 3 2 1 R.2.3 A C 1 3 2 2 C.2.3.1 A C 1 3 2 2 2 A C 1 3 2 3 2 C.2.3.2

' A C 1 3 1 2 2 A C 1 3 1 3 2 C.2.3.3 A C 1 3 2 2 1

R.2.It ; A A 2 1 C.2.1t.l A A k 1 2 1 C.2.4.2 A A 2 1 R.2.5 A a

1, C.2.5.1 A |» R.2.6 A C 2 2 C.2.6.1 A C 1 2 2 C.2.6.2 A 1 1 2 3 6 2 2 A 1 3 2 3 6 2 2 C.2.6.3 A C 6 1 2 2 G-2.6.4 A C 6 1 1 3 2 2 R.2.7 A 1 k 2 1 A k 2 2 1 C.2.7.1 A 1 3

2 1 R.2.6 A 1 2 1 2 2 C.2.8.1 A ? 1 2 1

61
3 Table A.l

Physical Property 1 Attribute

Provision

I II III IV V VI VII I II I II

R. 3.

1

A 3 2 1

nD 2 2 1

C. 3. 1.

1

A 3 2 1

DD 2 2 1 r 3 1 2

AA 3 2 1

R.3.2 AA 3 2 2 r 3 ? 1 A 3 2 2 1

A 3 1 1 1 1 2 1

A 3 2 1 1 2 1

A 3 1 2 1 1 2 1

A 3 1 1 4 2 2 1

A 3 2 4 2 2 1

A 3 1 2 4 2 2 1 r 9 A A 3 2 2 1

R A 3 2 2 r 'I 1 1 A 3 2 2 2 P "X 7 A

Jri. A

i\ 4

o

i. 2 1

R A A 3 6 1 2 2

C.3.4.1 A 3 2 6 1 2 2 R.3.5 B 2 7 1 2 2

C. 3.5.1 B 2 7 1 2 2 R.3.6 A 3 2 2 C.3.6.1 A 3 2 2 2 R.3.7 A 3 1 1 2 2 C.3.7.1 A 3 2 2 R.3.8 A 3 2 1

C.3.8.1 A 3 2 1

R.3.9 A 3 1 1 2 1

C. 3.9.1 A 3 1 1 2 2

62
4 Table A.l

Physical Property Attribute

Provision

I II III IV V VI VII I II I II

R.4.1 A 3 2 A 5 1

C.4.1.1 A 1 3 3 2 A 1 3 5 1 C.4.1.2 A 2 5 1 R.4.2 A 5 1 C.4.2.1 A D 5 1

A D 2 2 C.4.2.2 A D 5 1 3 4 5 1

R.4. 3 A 5 C. 4 . 3.

A 5 C.4. 3.

B 3 5

R.4.4 A C 6 1 1 5 1

C.4.4.1 A c 1 3 1 3 3 5 5

AA C 1 3 1 3 3 5 3 2

C.4.4.2 A C 6 1 1 3 5 5 R 4 S A 5

C.4.5.1 A 5

C.4.5.2 A C 2 5 1 5

A C 5 4 5 1 5

R.4.6 A 3 3 2 C.4.6.1 A 3 1 3 2 C.4.6.2 A C 1 3 1 2 3 2 3 2 C.4.6.3 A C 1 3 3 2 3 2 C.4.6.4 A 3 6 3 2 R.4.7 A 5 2 5 1 C.4.7.1 A 5 2 5 1

63
5 Table A.l

Physical Property Attribute

T TT11 III IV V VI VII I II I II

n • ^ • X

AA 1 2 2

r S 1 1 • ^ • X • X

AA A 1 2 2 2

U • ^ • X • £1 AA i+ 2 2 2

1^ . p . X , o

AA 1 2 2 2

r s 1 U

AA A h 3 2 2

AA A 2 2

AA 1 1+ 2 2

R 5 2 AA 2 1 2 1

r s 2 1

AA 2 1 2 2

r S 2 2 A C 6 2 2

r s 2 ? A 1 2 1 2 1

C. 5.2.1+ A C 1 3 2 2

C.5.2.5 A 8 3 2 2

C.5.2.6. A ' 2 2

R.5.3 A 2 2 2 2

C.5.3.1 A 1 3 2 2

C.5.3.2 A 2 2 2 2

C. 5.3.3 A 2 3 2 2

C. 5.3.1+ A 2 3 2 2

R.5.1^- A 2 2 2

C. 5.1^.1 A 1 1 1 2 2 2

A 2 6 2 2 2

A 5 1 6 2 2 2

64
6 Table A.l

Provision

Physical Property Attribute

I II III IV V VI VII I II I II

R.6.1 A 4

C.6.1.1

C.6.1.2

C.6.1.3

C.6.1.4

C.6.1.5

C.6.1.6

A

A

A

A

A

A C D

4

1

74

2

3

4

1 4

55

3

3

1

1

4

4

4

4

4

4

R.6.2 B 4 4 4

C.6.2.1

C.6.2.2

C.6.2.3

C.6.2.4

B

B

B

B

4

4

4

4

4

4

4

4

R.6.3 A 4

C.6.3.1

C.6.3.2

A

A

4

65
APPENDIX B. Classification of Provisions of Plumbing Code

Table B.l

Physical Attribute

Provisions

T TTX X T TT TVJ- V VV VV XT A^T V X XT A/TTT V X X X TY I II

cU 1 yd. ) F C a

a C a

! {0 ) F C a

a C a

o ri o U h b J c 3 d J B C a W D hu b 3 c 3 d 5 c C a 2Un A g TT^ j i a J ————

V,D e C a

I D } V D b Q C a

\0 } 6 0 c W h C a

o n Ji ^: U H F X 1 C d

V Q Z 1 C d F 1 C d

'-U^ yd. ) ityu ) h n 0 d n , o C d

u u \ a ; F f Q a C a F f c d

F e c d

r p 'I I c

;

r c b F e 0 f

(e

;

P jg ji' 0 b F P igir* 0 f

F P V c d

F P f c a

F P c a

P a c a F P ., M c 208 (a) V a c d

(b) F d c d

F d b c d

F d e ,h F f

(c) w V g 0 b

(d) w,v V b 0 b

r) 1 c D T c d

I s c d

210 (a) F m c d

(b) F k a c a W V c d

W V g c d

I

66
2 TAble B.l

Physical Attribute

Provlsdion 1 I II III IV V VI VTT V J—

VIII IX I II

F a CI a F d

P a F d u D F b

304 (a; n 3i 0 a D F d

one; ^ D 0

(b) D H b

300 A 0 gr 309 (a) ft n. c c

ft n a c C P a Q. c C

, f, V D c d

T)u u g c d

F f ill y c c d

V b c F e

ft F b

P f C d

U )

ft c M b

Co-') F b u u. -T~

t M c one fa\ 1"^ 1.1 D,W,V D 0 ajb ,e

JJ,W, V D c d

(b) T.T IT D,W,V D 0 e,f .e

r\ T»r D,W,V D c d

(a) D b a c a

(e) TiT TT" D.W.V D 0 a,b* ,c* 316 D W V b 0 a,e

401 (a) D b c a D b b,c p f

D b V J,k c d

(b) F d 0 c P d a c d

F d b a c d

A F c

403 (a) D b F c (b) D a F c m (a) —

F a d C a F a d F f

(b) F a F b

F a d C a

67
3 Table B.l

Provision

Physical Attribute

T TTJ.-L TTT ±v \T

V y ± VXJ- \rrTT V XXX XA T TTXX

405 (a) F a d

TPF b

F a d C a

(b) F a d C a F a d F b

(c) 'F a d C a

(d) F a d F b

406 (a) D b k M a

D b k M d

(b) D b k M a

(c) D b k M d

(d) D b k C d

(e) D b b X M d

(f) D b k M b

(g) D b k M b

D b k M d

D b k M d

D b k M d

(h) F a d F c 407 D b F b

4o8 F a F b

ni

f" a b 1

409 (a) D a F d

D a F b

D a 1 C a

D a 1 F 1 (b) D b F d

D b F b

F o F b

F o C a F P C a F P C d

(c) D b F c F o F c

(d) F P b H c D 0 1 M b

D o 1 C d

(e) D c F c D d F c

(f) F k,m,x M b

F k,m,x M c F k,m,x M d

48
4 Table B.l

Provision

Physical Attribute

I II III IV V VI VII VIII DC I II

409 (h) F o,p a C a V o,p m C a P o,p C c F o,p 0 b

(1) P o,p C d

(j) F o,p M c F o,p F e F o,p J F e F o,p J M b

P o j F c (k) F X F b

P p 0 g

501 P a 1 H c D P e 502 (a) P V F e P V H c (b) (b) F y 1 F e F ^ w H c 503 (a) V b a C a V bjC F f

(b) V e a C a V e b,c F f

(c) V e C a V b C d

504 (a) V b P c D b F e V b F c D b F b

505 D b F d

(a) V a a 0 e V a a F f

(b) V b P f

(c) V b C d

(d) V b C d

V b F e

(e) V f F f

(f) V c F b

506 (a) V b C d

V b F f

(b) V b C d

(c) V b P f

V b C d

(d) V b F f

V b C d

69
5 Table B.l — — - — Physical Attribute

Provision r——

I II III IV V VI VII VIII IX I II

506 (e) V b M c V z C a

507 (a) V g F f

V f F e V f F c

(b) V f g F f

V f K 'C d

601 F s H c F t H c b03 D m F c D m F e D m M d

D m M a

6ok P u C a

(a) F u M b

F u F c F u i M d

F k h P f

(b) F k h C b

605 F m h,J,z H c F H c D n F c 6o6 F 1 a

607 F r H c 608 F X H c F J H c F J d C a

609 D o H

D 0 C d

610 F 1 H c

611 (a) D 0 H c F 0 H c F o J F e F o 1 H c F o Jj^jS F c D o H c (b) F o,r,w m C d

F w n C d

F w n 0 b

(c) F o,w M b

F OjW M c
6 Table B.l

Physical Attribute

Provision

I II III IV V VI VII VIII IX I II

612 (a) D P —

0 a D m C c D m C b

(b) D P a 0 b

V b a 0 b

(c) D P u C a

(d) D P M b

(f) V b 0 g

(g) D 0 g

613 (a) V e H e V e C d

(b) V e F c. (c) V c F c 614 F u i C d

F u J C d

615 (a) 1 V g 0 g

(c) V g F e V g C d

V g F c

(d) V g F c (e) V g h C d

(f) V e M c V g C d

701 (a) F a i C a

(b) F c,i,p 1 C d

(c) F e,el i C d

F i,k i C d

(d) F f

702 (a) F a i H c F a i F e (b) F J F f

(c) F y d C d

(d) V f F f

P f ,1 F f

703 (a) F a i C d

F a i a C a

(b) F a i V H e

(c) P a 1 F c 704 F a i C d

F a i F e 705 F a i C d

706 F h i M b

F h i F . c

71
7 Table B.l

TV- Provision

Physical Attribute

I II III IV V VI VII VIII IX I II

fvo F h i M

F h i H Q

(U( F h i c a

D b F b

(hi\ \0) D b C d

D b C a D b P f

\C) D f M b

D f c d

D b P e D b c d

D b M b

D b P b

D c c a 710 D f c a D f M c 711 (a) D nM u D c c a

(c) u c

r< u

(d) D c c d

(e) D c c d

D c H Q

(f) D F Q

D c H c D c c d

(g) D M b

(h) D c M c

(i) D c 0 d

D c s M b

/ -1 N (J) D e C d

D c y C a D c c b

712 D el F d

901 F a 0 d

F a c a P a c d

F f c d

902 F X a c a F y c c d

F a n c c 903 F a z p f

F a z c d

F f2,^ z c d

72
8 Table B.l 1 -

Provision

Physical Attribute

T TT TTT ±±1 IV

V VI VII VIII rx I II

904 (a) Tnr t C

a

(b)

r

a c M

b

(c)

pr c C

d

(a;

T?r c F c r el,J ,K u. C a

TTV .1

n

"P

a 905 (a; pr I c d

TP I

TTH c

T?r 1 F f

-bjC^f

a

C

906 (a)

r

X

H c

(b)

r el

Fd

907 (a) 1?r

a

M

b

r

a b,c

M

d

(b)

r

a

Cd

(c)

F

a

C c F a P d

(d)

F

a p,q 0 b

F

a c 0 f

(e)

F f2,g2 p,q 0 b F a C d F f , 0 g P g ' 0 g' ^-LfJ — P a H c 908 F g c w H c

(a)r f2,g2 c d

(b) P fl,gl c d

(c) P g t t p c P g t t c d P g t t d c a P F2,g2 c d

(d) P & c ,a 909 (a) P h t c a P h t F c P h,u C d

(b) P e C

d

(c) P e C

d

(d)F

d

Cd

(e)F

d c d P e c d P e a c a

(f) P d

M c

73
9 Table B.l

! Physical Attribute

rTOVision

I II III IV V VI VII VIII IX I II

lUUl F a F a

P a H c P f2,g2 C a P fl«gl V. a. . .. inn? ^'n'^ W a H c W a H a w a H c

\C ) P a H b

F a H _,c

1 nn^ P a w H b

P a w C a P a w M c F fl n C a P fl n P f

\^ ) F f2 C a

F g2 ^ C a P f2 P f

F g2 T F f

F gl n C a

P gl n P f

vu; P a c F f w a c C d w a d C d w a h C a w a h H c U

;

w b F f w b M c (g; r o,u n F X p OjU s C d

(h) p q n C 8

p q n F f

(i) p a r,s H C p a n C a p a n F f

(J) F X r H c P X n C a P X n P f

(k) F s n P f

P s n C a

(m) w d h c a w d H c (n) w g h C a w g H c

74
10 Table B.l

Provision

Physical Attribute

TJ. TTXJ. TTT V vX \rTT vxx TTTTT VX-Ll DC I XT

1003 (o) TaT W a H c

17r a n H c

r a n C a

1004 (a) W a a C 1 a

(b) w a g 0 D (c) wvv dcL 1 0 D (d) w a H D 1005 (a) W a a G a W ct X C a. w a 1 c a

(b) Ww Ct f i F v>u w f 1 M w CI f ! M u (c) w CL c a

(d) w 0 M

(e) w Cl M U (f) w a. Q M (J 1006 w H h w e m C d

1007 (a) w h F hU (b) w a F n w n M w Y\ M u (c),(d) w B 1 C 3. (e) w 1 F (J w C \ji w g 1 C d

P n h C d

F n k F f

(f) w g i H d w g 1 C a

(k) w a 0 C a

1008 (a & b) w a i c d

(c) w a a 0 g w a 0 a w a 0 e w a C c w a 0 b

1009 (a - g) w a C b

(h) w a P F c (J) F n,gi F c (k) w d F c

75
REFERENCES

1. American Concrete Institute, Building Code Requirements for Reinforced Concrete . (ACI 318-71), American Concrete Institute, Detroit, Michigan, 1971.

2. American Institute of Steel Construction, Specification for the Design , Fabrication, and Erection of Structural Steel for Buildings , American

Institute of Steel Construction, New York, New York, 1969T

3. Building Code of the City of New York, Local Law No. 76, Effective

December 6, 1968.

^. Building Officials and Code Administrators International, Inc. (BOCA),

"The Basic Building Code," Sixth Edition, 1975-

5. Clark, W. E., "Development of Notation and Data Structure for Computer

Applications to Building Problems," Report 1398, Bolt, Beranek and

Newman, Inc., Boston, Mass., March 1967 (PB 17^ 795). See also : "Computer Aided Checking of Design Documents for Compliance with

Regulatory Codes," Report 1260, Bolt, Beranek and Newman, Inc., Boston,

Mass., July 1965 (PB 17^ 095).

6. Cooke, P. W., Zelenka, L. P., and Tejuja, H. K. , "Mobile Home Construction

Standards Adopted by State Regulatory Programs —An Analysis," NBSIR 75-680,

March 1975. Preliminary Report.

7. Eberhard, J., Tledeman, T. and Green, C, "Planning Computer Compatibility

for Uniform Building Regulation Documents," School of Architecture and

Environmental Design, SUNY, Buffalo, New York, May 1973-

See also : "Developing Computer-Based Systems for Building Codes," AIA

Research Corporation, Washington, D.C. , April 197^.

8. Fenves, S. J., "A New Method for Representing and Processing Building

Code Provisions," Proceedings of NCSBCS/NBS Workshop, Santa Fe, New Mexico,

April 1975.

9. Fenves, S. J., Gaylord, E. H. , Jr., and Goel, S. K. , "Decision Table

Formulation of the I969 AISC Specification," Civil Engineering Studies , No. SRS 3^7, University of Illinois, Urbana, Illinois, August 1969.

10 . Guide Criteria for the Evaluation and Design of Operation BREAKTHROUGH

Housing Systems , Report 10-200, 4 Volumes, National Bureau of Standards

,

Washington, D.C, September 1970.

11. HUD Minimum Property Standards, One and Two Family Dwellings (No. 4900.1),

U.S. Department of Housing and Urban Development, Washington, D.C.

Revised 1974.

12 . Interim Performance Criteria for Solar Heating and Combined Heating/Cooling

Systems and Dwellings , National Bureau of Standards, Washington, D.C,

January 1975.

13. Kapsch, Robert J., "Existing Architectural Information Systems,"

NBSIR (forthcoming), 1976.

14. National Plumbing Code , aoh a40. 8-1955, The American Society of Mechanical

Engineers, New York, New York, 1955 Edition.

15. Nyman, D. J. and Fenves, S. J., "An Organizational Model for Desigii

Specifications," Report R73-4, Department of Civil Engineering,

Carnegie-Mellon University, Pittsburgh, Pennsylvania, September 1973-

16. Nyman, D. J., Fenves, S. J., and Wright, R. N., "Restructuring Study

of the AISC Specification," Civil Engineering Studies, No. SRS 393,

University of Illinois, Urbana, Illinois, January 1973.

17. One and Two Family Dwelling Code (under the Nationally Recognized Model

Codes) 1971 Edition, Copyrighted (1971) by AIA, BOCA, ICBO and SBCC

76
18. "Performance Specifications," CSI Manual of Practice (MP-3F), Construction

Specification Institute, Washington, D. C. , May 1972.

19. Standard for Mobile Homes , ANSI AII9.I, American National Standards

Institute, New York, New York, 1969 and following yearly revisions.

20. Strunk, W., Jr., and White, E. B., The Elements of Style , The Macmillan

Co., Toronto, Canada, 1959.

21. Uniform Plumbing Code , International Association of Plumbing and Mechanical

Officials, Los Angeles, California, 1973 Edition.

22. Wright, R. N., Harris, J. R., Melin, J. W., Tavis, R. L., and Albarran, C,

"Technology for the Formulation and Expression of Specifications,"

Civil Engineering Studies , Structural Research Series Nos. 423, 424 and 425,

University of Illinois, Urbana, January 1976.

77
NBS-114A (REV. 7-73)

U.S. DEPT. OF COMM. BIBLIOGRAPHIC DATA

SHEET

1. PUBLICATION OR REPORT NO. NBS BSS-90

2. Gov't Accession

No.

3. Recipient's Accession No.

4. TITLE AND SUBTITLE

The Structure of Building Specifications

5. Publication Date September 1976

6. Performing Organization Code

7. AUTHOR(S)

Steven J. Fenves, Kirk Rankin. Hotchand K. Te.iu.1a

8. Performing Organ. Report No.

"9. PERFORMING ORGANIZATION NAME AND ADDRESS

NATIONAL BUREAU OF STANDARDS

DEPARTMENT OF COMMERCE

WASHINGTON, D.C. 20234

10. Project/Task/Work Unit No.

11. Contract/Grant No.

12. Sponsoring Organization Name and Complete Address (Street, City, State, ZIP)

Same as Item 9

P —

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Library of Congress Catalog Card Number: 76-26695

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.) This paper provides a scientific basis for the formulation and expression of

performance standards and specifications and for explicit attention to performance

in procedural and prescriptive standards and specifications.

The provisions of the NBS-developed Interim Performance Criteria for Solar Heating

and Combined Heating/Cooling Systems and Dwellings , a performance specification,

are classified in terms of the physical entities addressed, the attributes of the

built environment, and the properties which group together particular physical

entities which may be subject to similar dysfunctions. These provisions are also

subjected to a linguistic analysis which examines in detail the wording used and

formalizes certain key concepts which are realized in the wording.

The provisions of the Uniform Plumbing Code , a prescriptive code, are classified in

terms of the physical entities addressed and the performance attributes which can

be inferred (though they are not explicitly addressed)

.

Guidelines for the expression of provisions in performance codes and specifications

are presented. These guidelines are based on the classification studies and the

linguistic analysis mentioned above.

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

)

Building code provisions; building codes; building component classification;

building specifications; building standards; performance concept.

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