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NBS-PUB-C 1974 NBS BUILDING SCIENCE SERIES 87

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

Model Documents for the Evaluation,

Approval, and Inspection of

Manufactured Buildings
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,

antl 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]
Model Documents for the Evaluation, ^^^.^-^

Approval, and Inspection of ms?

Manufactured Buildings /^^^

p. W. Cooke, R. D. Dikkers,

H. R. Trechsel, H. K. Tejuja, and

L. P. Zelenka

Center for Building Technology

Institute for Applied Technology

National Bureau of Standards

Washington, D.C. 20234

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

Dr. Betsy Ancker-Johnson, Assistant Secretary for Science and Technology

NATIONAL BUREAU OF STANDARDS, Ernest Ambler, ActJng Director

Issued July 1976
Library of Congress Cataloging in Publication Data

Center for Building Technology. Model documents for the evaluation, approval, and inspection of manufactured buildings. (National Bureau of Standards building science series ; 87)

Bibliography: p. Supt.ofDocs.no.: C13.29/2:87

1. Buildings, Prefabricated-Law and legislation-United States. 2. Mobile homes-Law and legislation-United States. I. Cooke, Patrick W.

II. Title. III. Series: United States. National Bureau of Standards. Building science series ; 87. TA435.U58 no. 87 (KF5701) 690' .021s 343'.73'078 76-608137

National Bureau of Standards Building Science Series 87

Nat. Bur. Stand. (U.S.), Bldg. Sci. Ser. 87, 296 pages (July 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. 20402 (Order by SD Catalog No. C13.29/2:87). Price $4.40 . (Add 25 percent additional for other than U.S. mailing).
PREFACE

The building regulatory process is a lengthy one, differing greatly from stateto-state. It was long recognized that a program was needed in the United States to

facilitate interstate acceptance of manufactured buildings, factory pre-assembled

building components, and systems to enable manufacturers to market on a regional or national basis. In other words, a manufacturer should be able to market in all

States if he is able to market in one State. Similar forms, methods and criteria

should exist in all market areas, thus reducing the time required for acceptance by

the manufacturers as well as the individual States.

In 1971 the Executive Office of the President asked the National Bureau of

Standards (NBS) to develop specific programs which would assist in removing or re- ducing barriers created by the building regulatory process. In April of 1971, at the

Fourth Annual Meeting of the National Conference of States on Building Codes and

Standards (NCSBCS), the State delegates approved a resolution which recommended the

early Implementation of an interstate innovative evaluation system and also that NBS

be requested to undertake development of such a system.

In response to both of these requests, the Coordinated Evaluation System (CES)

project idea was submitted to the Executive Office as a needed program to help

alleviate the barriers.

In November 1971, the CES project was established in the Building Research

Division,* Institute for Applied Technology. Its purpose was to develop, in conjunction with the State governments, model informational documentation to serve the

needs of many State regulatory agencies to minimize the duplications and delays

experienced by the producer in obtaining regulatory approvals.

This undertaking resulted in a multi-faceted program covering research in many

areas — manufactured buildings, mobile homes and statewide building code programs.

In addition to an interdisciplinary NBS project staff working solely on this program,

contracts were let for much of the background survey work to eleven consulting

architectural and engineering firms and various universities.

*In July 1972, the Building Research Division was reorganized Into The Center for

Building Technology.

iii
After a draft review In April 1973 by a group of consultants* composed of

representatives of State and local building officials, design professionals, thirdparty evaluation and inspection agencies, and industrialized building manufacturers;

the results of these studies were published in September 1973 as a four-volume

preliminary report entitled, "Model Documentation for the Evaluation, Approval and

Inspection of Manufactured Buildings." The prelimimary version of the report was issued with the expressed intent of sollcitine comments and suggestions so that more comprehensive and more generally applicable model documentation could be developed.

This final report incorporates the various comments received and updates the report

where necessary. The earlier four volume report has also been consolidated into a single publication.

The use of these documents was endorsed by the National Conference of States

on Building Codes and Standards in 197^. Since that time, the operational concept

of CES has been adopted in several State agencies involved in the regulation of

manufactured buildings and/or mobile homes. Independent third-party evaluation

agencies and manufactured building producers have also Incorporated CES developed

model documents into their activities relating to institutional evaluation and

regulatory compliance assurance functions.

*The review was organized and chaired by Mr. John Dunlap, Consulting Engineer

of Sacramento, California. The other consultants were: Joseph Bartell, City of St. Petersburg (now with State of Virginia)

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

Jasper Hawkins, Hawkins and Lindsey, Architects

James M. Hicks, State of California

Glendon R. Mayo, Consulting Engineer

J. Dillard Powell, Continental Homes

Ed Starostovlc, Product Fabrication Service

Joseph Stein, City of New York (now with Tishman Research Corporation)

Steve Wilson, National Homes Corporation

The comments of the consultants were most helpful in developing the model

documents contained in the preliminary report, and their valuable assistance is

greatly appreciated and herewith acknowledged.

iv
ABSTRACT

MODEL DOCUMENTS FOR THE EVALUATION, APPROVAL,

AND INSPECTION OF MANUFACTURED BUILDINGS

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

H. K. Tejuja, L. P. Zelenka

To assist the states in developing their building regulatory activities and

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

model informational documentation pertaining to the functional areas of (1) data

submission, (2) evaluation, (3) approval, (4) compliance assurance, and (5) installation data.

This report gives the results of the project's Investigations and presents sample

model documents pertaining to manufactured buildings and building components. The

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

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

the results of a comprehensive state-of-the-art study of most state building

regulatory programs. The documentation presented covers all functional areas except owner information which is not usually subject to regulation. Emphasis was placed on developing documentation applicable primarily to one and two family detached

dwellings

.

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

inspection; manufactured building; model documents; NCSBCS; standards; state

regulation

.

V

TABLE OF CONTENTS

Page PREFACE Ill

ABSTRACT V

1. INTRODUCTION 1

2. COORDINATED EVALUATION SYSTEM (CES) PROJECT 3

3. SCOPE OF CES MODEL INFOFtMATIONAL DOCUMENTATION

H. REGULATORY PROCESS FOR MANUFACTURED BUILDINGS AND

BUILDING COMPONENTS 5

^.1. Program Administration 5

a. Initiation of Action 7

^.2. Preparation and Submission 7

a. Building Systems 8

b. Compliance Assurance Program 8

c. Modifications and Variations 8

4.3. Preliminary Review

....

9

4.4. Evaluation 10

4.5. Approval and Disapproval 10

a. Notice of Conpleted Evaluation 10

b. Stairp of Approval 10

c. Building Systems Approval Report 11

4.6. Fabrication, Inspection, Certification, Transportation

and Handling, and Installation 11

a. Fabrication 11

b. Inspection and Certification 12

c. Transportation and Handling 12

d. Installation 12

4.7. Local Enforcement Activities 13

4.8. Interstate Acceptance (Reciprocity) 14

5. MODEL INFORMATIONAL DOCUMENTS l4

5.1. Use of Documents 14

5.2. Submission l4

a. Building Systems 15

b. Submission Requirements for Manufactured

Building Conponents 43

c. Compliance Assurance Program 47

d. Modifications of Approved Systems and Variation of

Certified Units 83

vii
CONTENTS (continued)

Page

5.3. Prelxmlnary Review g ^

5.^. Evaluation

a. Building System ]_00

b. Test Report 1 ]_25

c. Conpllance Assurance Program 127

5.5. Approval and Disapproval 145

5.6. Fabrication, Inspection, and Certification 2.57

5.7. Local Enforcement Agency Activities 245

a. Building Permit Application 245

b. Building Permit

c. Local Enforcement Agency Report of Noncompliance 246

d. Certificates of Occupancy 246

5.8. Interstate Acceptance (Reciprocity) 255

a. Introduction 255

b. Prerequisite for Interstate Acceptance 2^5

c. Process of Interstate Acceptance 256

d. Model Documents 257

6. SUMMARY 259

7. REFERENCES 26l

APPENDICES

A. Model Manufactured Building Act 265

B. Model Rules and Regulations for the Manufactured Building Act 279

viii
LIST OF MODEL DOCUMENTS

Document

Number SUBMISSION DOCUMENTS

S-01 Application for Building System and Compliance Assurance Page

Program Approval 17

S-02 General Submission Requirements 21

S-03 Architectural Submission 25

S-04 Structural Submission 29

S-05 Mechanical Submission 35

S-06 Plumbing Submission 37

S-07 Electrical Submission 39

S-08 Submission Requirements for Building Conponents ^5

S-09 Conpliance Assurance Program '1

9

S-10 Application for Approval of Minor Modification

To an Approved Building System and/or Conpliance Assurance Program 85

S-11 Application for Approval of Variation to a Certified Manufactured Building or Conponent 87

EVALUATION DOCUMENTS

B-01 Processing Record 91

E-02 Preliminary Review Checklist 93

E-03 Submittal Unsuitable for Processing 97

Evaluation Checklist - Architectural 103

B-05 Evaluation Checklist - Structural Ill

E-06 Evaluation Checklist - Mechanical 115

E-07 Evaluation Checklist - Plumbing 119

E-08 Evaluation Checklist - Electrical 121

E-09 Certification of Products and Test Reports 125

E-10 Evaluation Checklist - Conpliance Assurance Manual 129

E-11 Manufacturing Facility Evaluation Report 139

APPROVAL DOCUMENTS

A-01 . Notice of Completed Evaluation 1^7

A-02 Stanps of Approval l'^9

A-03 Building System Approval Report 153

ix
LIST OF MODEL DOCUMENTS (continued)

DocunBnt Number COMPLIANCE ASSURANCE DOCUMENTS

Page

C-01 Manufacturer's Data Plate I59

C-02 In-Plant Inspection Checklist I63

C-03 Inspection Report 2 33

C-04 Nonconpllance Tag 2 35

C-05 Prohibited Sales Notice 237

C-06 Notification of Suspended Activities . 239

C-07 Label 24l

C-O8 Label Control Record 2^3

LOCAL ENFORCEMENT AGENCY DOCUMENTS

L-01 Standard Building Permit Application Form 249

L-02 Manufactured Building Report of Nonconpllance 251

L-03 Certificate of Occupancy 253

X
1. INTRODUCTION

The conventional method of regulating building construction consists of determining code compliance prior to the start of construction by an evaluation of plans

and specifications, and by periodic on-site Inspections during construction. The

on-site inspections are scheduled so that all major code related construction features

can be viewed to determine their compliance with applicable codes and with the approved

plans and specifications. For example, electrical wiring and conduits are Inspected

prior to wall finishing operations which would enclose such wiring and prevent its full

inspection. In most states, both evaluation or plan review and inspections are performed by local enforcement agencies using locally adopted codes. Although not without

problems, this building regulatory system has been found adequate for conventional onsite construction. However, this regulatory system has been proven to be a detriment

to manufactured buildings because: (1) the differences in building codes from one locality to another and the requirement for local inspections in each municipality

restrict the marketing areas for such buildings, thus preventing the manufacturers

from taking full advantage of modern mass-production techniques; (2) in the case of

"closed construction" (i.e., buildings or components manufactured in an off-site plant

in such a manner that concealed parts or processes of manufacture can not be inspected

at the building site without disassembly, damage, or destruction), the requirement for

inspection by local inspectors is impractical: and (3) some local buildlns codes are outdated and restrict the use of modern materials and construction methods particularly

well suited to in-plant fabrication.

Over the past few years, efforts have been undertaken to alleviate the restrictions placed on manufactured buildings by the multiplicity of building codes and by

the unsuitable regulatory processes used. The efforts by various organizations to

develop model codes and performance standards, and the recent trend towards state

building codes are designed to reduce the number of codes to a manageable level, and

to provide for the introduction and acceptance of novel materials and construction

methods

.

In recognition of the needs of the industry, many states have adopted

legislation which provides for state-wide regulation of manufactured buildings and

mobile homes [1][2]? Although the various programs established by the states vary in

many details, most programs require that manufactured buildings: (1) meet one of the

model building codes, and that mobile homes meet the American National Standard

Institute (ANSI) Standard A119.1 [2]; (2) provide for some form of pre-evaluation

("plan review"); (3) provide for in-plant inspections at the state level; and (4)

further require that local jurisdictions must accept state labeled or certified

manufactured building or mobile home units. The right to regulate zoning and similar

aspects is reserved to the local jurisdiction. Local agencies are generally also

required to inspect on-site installation of the units. Since technical requirements

"^Uniform Building Code (International Conference of Building Officials), Basic

Building Code (Building Officials and Code Administrators' International), Southern

Standard Building Code (Southern Building Code Congress).

2Figures in brackets indicate the literature references at the end of this volume.

1
for most state programs for manufactured buildings and mobile homes are based on one

of the nationally recognized model codes or standards, such states have provided a regulatory climate conducive to the continued industrialization of the building

construction process within the limits of their territory. However, the full production and marketing potential of manufactured building and mobile home industries can

not be realized unless some form of reciprocal regulation and acceptance of units

among states Is developed.

To provide a basis of such reciprocity, efforts by both the Council of American

Building Officials and the Model Codes Standardization Council are under way to reduce

unwarranted differences between the model codes. Department of Commerce (DOC) Special

Working Groups consisting of representatives from industry and local, state, and

federal agencies have developed "Model Acts" and "Model Rules and Regulations" pertaining to manufactured building and mobile home regulatory activities for the voluntary

adoption by the states [4-6], This model manufactured building legislation provides

for

:

The establishment of a State Building Code Council to adopt and

revise rules and regulations, and to adopt the standards and codes which

are to form the technical basis for the regulatory activity.

The preemption of local building codes whenever It has been certified

that a manufacturer has met all state requirements (reserved to local regulation are zoning and land-use related Items, as well as the Inspection of all

on-site work such as utility connections and foundation work).

The approval, by the state administrative agency, of building systems and

of compliance assurance programs (assuring that the units produced conform

to- the approved building system and to the Act and the Rules and Regulations).

The certification of manufactured buildings and building components

produced according to an approved building system and under an approved

compliance assurance program.

The granting of reciprocity to other states having substantially the same code, evaluation, and inspection requirements for approval and certification.

The option for the state administrative agency to delegate evaluation,

testing, and inspection functions to approved agencies which meet specified

standards for independence of judgment, demonstrated reliability, and organizational and technical capabilities.

Although the adoption by the states of the Model Act and Model Rules and Regulations would provide a basis for reciprocity among the states, two additional elements

in the regulatory field are necessary to establish full reciprocity: (1) a method or means of evaluating the qualifications of those state or private agencies which are responsible for evaluating and approving building systems and compliance assurance

programs, and Inspecting manufactured buildings; and (2) a set of model informational

documents for use by the states, to aid in the establishment of a coordinated and

uniform evaluation, approval and inspection system, and to provide the necessary and

valid approval record for Interstate reciprocity in the acceptance and regulation of

manufactured buildings.

2
Recognizing the need for the above elements, the National Conference of States

on Building Codes and Standards (NCSBCS), an organization of representative state

building officials appointed by the Governors of their respective states, requested

the National Bureau of Standards to develop criteria and methodology for the

evaluation and accreditation of laboratories and other organizations active In the

evaluation and certification process, and to develop a program that would provide

the necessary documentation to serve as a base for an Interstate evaluation system.

In response to these NCSBCS requests and with program support from the Executive

Office of the President, the National Bureau of Standards developed and initiated two

research projects, the Laboratory Evaluation and Accreditation Program (LEAP) and the

Coordinated Evaluation System (CES) Project. The LEAP project was concerned with the

development of criteria necessary for judging the capabilities of institutions (public

or private) to perform the functions of engineering analysis or evaluation, testing,

and compliance assurance (inspection) for manufactured buildings. LEAP also directed

its attention to the methodology for examining such institutions for their

capabilities. The CES project concerned itself with the documentation to be used by

state and other agencies which regulate manufactured building construction.

2. COORDINATED EVALUATION SYSTEM (CES) PROJECT

The CES project was established in the Fall of 1971 with the objective to develop

model informational documentation that will assist state building regulatory agencies

in establishing a coordinated and uniform evaluation, approval. Inspection, and certification system for manufactured buildings and building components. The CES project

goals, tasks, and methods used are discussed in greater detail In the NBS Technical

Note 775, "Coordinated Evaluation System (CES) Project - Model Documentation for

Building Regulation. " [1]

In addition to developing the model documents, and as a necessary first step in

their preparation, the CES project staff also studied the then existing state-of-theart in the area of building regulatory activities, particularly as it pertains to

state programs and to manufactured buildings and mobile homes. The results of these

state-of-the-art studies are given in separate publications [2 ] [7 ]

.

This report discusses the major informational documents developed by the CES

project staff, and contains sample model forms and model checklists for use in state

regulatory programs for manufactured buildings and building components. It is hoped

that these discussions and model documents will be useful to all those involved in

the regulatory process: (1) to the responsible state building official by providing

him with suggested administrative procedures, model forms, and checklists; (2) to the

3
local building inspector by defining his responsibility and Indicating the meaning and

value of labels, data plates, and approval documents; (3) to the evaluation and inspection agencies by giving sample checklists; (4) to the producer by giving him in advance

a clear understanding of the regulatory process and of the administrative requirements

he must meet; (5) to the owner by assuring that the manufactured building he acquires

meets or exceeds the applicable codes and standards; and finally (6) to the general

public by providing an efficient regulatory system designed to permit and even stimulate the use of productive and economical manufacturing processes, efficient materials,

modern marketing techniques and distribution methods in the building and housing con- struction industry.

3. SCOPE OF CES MODEL INFORMATIONAL DOCUMENTATION

The CES model documents cover the entire state regulatory process of manufactured

buildings and building components from the initiation of action by the manufacturer to

the occupancy of the building, including:

Preparation and submission of documents by the manufacturer for the

purpose of obtaining approval of building systems and compliance assurance programs

;

Preliminary review to determine suitability for evaluation of the submission

by the state administrative agency (or such other agency having been delegated

the responsibility for the evaluation of building systems and compliance assurance programs);

- Evaluation of the submitted building system and compliance assurance program for the determination of compliance with all applicable codes, acts,

and rules and regulations;

Approval (or disapproval) of the building system and compliance assurance

program;

Certification of manufactured buildings or components which have been

manufactured according to an approved building system and an approved compliance assurance program;

- Local enforcement. Although not a part of the state regulatory activity,

a short discussion of the local building regulatory functions has been Included in

the CES model Informational documentation since the local enforcement agency

may be required to accept state certified manufactured buildings and components,

and may be required to inspect and approve the on-site Installation of the units.

Within the above scope, the following guidelines were used in the development of

the CES documentation.

(1) The term "documentation" or "documents" as used in this report means not

only the various forms, checklists, labels, and data plates used In the regulatory

process, but also necessary commentary and administrative procedures.

(2) The documents are based on the regulatory process as contained in general

terms in the Model Rules and Regulations and as described in Section 4 of this report.

(3) Where the Model Rules and Regulations appear to be open to different interpretations, the literal interpretation was used. Where necessary, a short commentary

4
was added to indicate the different interpretations and their possible influence on

the documentation.

(^4) Where the Model Rules and Regulations appear to be in conflict with some

of the existing state regulatory programs, the requirements of the Model Rules and

Regulations were followed. Where appropriate, such conflicts are discussed in the

description of the regulatory process and in the commentary to the documents affected.

(5) Available time did not permit the considerations of all occupancies and

types of construction. So as to be applicable in their present form to a majority

of currently produced manufactured buildings, emphasis was placed on the requirements

for one and two family housing and on conventional (but in-plant fabricated) wood

construction.

(6) The general technical bases used for the development of the various checklists were the one and two Family Dwelling Code [8], the 1973 Accumulative Supplement

to the One and Two Family Dwelling Code [9], and the National Electrical Code [10].

Because of the above considerations, the CES documentation was prepared to serve

as a guide in developing the states' own forms, checklists, and administrative requirements. However, to promote a uniform approach that will aid In the interstate acceptance of manufactured buildings and components, it is suggested that the general format

and content of the CES documentation be followed as closely as possible, and that only

those changes and modifications be made which are in fact needed to adapt the documents

to the requirements of any particular state's established administrative procedures,

rules and regulations, mode of operation, and adopted relevant building and other codes.

4. REGULATORY PROCESS FOR MANUFACTURED

BUILDINGS AND BUILDING COMPONENTS

k.l. Program Administration

Figure 1 shows the basic regulatory process for manufactured buildings as required by or implied in the Model Rules and Regulations, and identifies the major

activities involved in this process: program administration, preparation and submission, preliminary review, evaluation, approval, fabrication and inspection, certification, transportation and handling, installation and occupancy. To preserve clarity

and general application, the figure does not indicate every possible detail, or define

every single document that may be involved in the process. Details are given in the

process description herein and under the discussion of the documents included in

Section 5 of this report. It is recognized that some existing state programs differ

to greater or lesser degree from the process indicated, that the Model Rules and

Regulations themselves appear to permit alternate steps in the regulatory process and

in particular allow varying degrees of delegation of specific functions. However, to

provide a common ground for the suggested CES documentation, the process as shown in

this section was chosen as the basis for all the documents. Where they are appropriate,

alternate regulatory processes are briefly discussed in the commentary to the various

documents in Section 5.

Throughout this report, the definitions of various terms, agencies, documents

and processes as given In the Model Act and the Model Rules and Regulations are used

5
2o

UJ> <

ATI tr < to

OGR

MINI 1^Suj - cto Qe>

<!• Q.< << 6
(see Appendixes A and B). Although defined In the Act and the Rules and Regulations,

the following three terms relating to specific agencies and to the delegation of

specified regulatory functions do appear to require additional comments.

Administrative Agency means the state agency which is charged with the administration of the Act and the Rules and Regulations. The Model Rules and Regulations

provide the option for the Administrative Agency to delegate the function of evaluation to an approved Evaluation Agency, and the function of Inspection to an approved

Inspection Agency. Accordingly, when the term Administrative Agency is used In this

report, this agency may or may not in fact perform all of the regulatory functions

of evaluation, approval, inspection, and certification.

Also, both the Evaluation Agency and the Inspection Agency may be a part of the

Administrative Agency, may be approved third party agencies, or may be agencies of

another state where reciprocity is granted to such other state. It should be understood that the option to delegate pertains to the state agency only, and not to the

manufacturer. Accordingly, where the process Indicates, for example, that the manufacturer must submit his application for approval of a building system to the Administrative or Evaluation Agency, it is not Implied that the manufacturer may submit the

application to either agency according to his choice, but rather that he must submit

his application to that agency which has been designated in that particular state to receive the application.

a. Initiation of Action

The activity with respect to obtaining approval to produce units under the provisions of the Act Is usually initiated by an Inquiry from the prospective manufacturer to the Administrative Agency. In response, the Administrative Agency

provides the manufacturer with the information giving the requirements pertaining to

(1) the regulatory procedures; (2) the documents delineating the construction and the

data substantiating its adequacy; and (3) the Inspection and control procedures

applicable to the fabrication activities. The requirements are contained in the

Rules arid Regulations; and details, clarifications, and commentary are often given in

so-called informational bulletins supplementing the Rules and Regulations. Several

of the documents and procedures discussed in this report have been developed for use

in the preparation of such bulletins.

4.2. Preparation and Submission

The manufacturer is responsible for the preparation of the documents depicting

the proposed construction, i.e. plans and specifications, and the data substantiating

its adequacy, such as calculations and test results [Part IV, Section 2(A)(1)].-'

These documents and data are defined by the regulations as the "building system"

[Part 1(F)]. He Is also required to establish" a compliance assurance program to

-'Unless otherwise noted, references to "Parts and Sections" pertain to the parts and

sections in the Rules and Regulations (Appendix B).

7
ensure that all activities from the fabrication to the installation of the proposed

construction conform with the regulations, and prepare a compliance assurance manual

documenting this program [Part V, Section 2].

When completed, the manufacturer transmits the documentation to the Evaluation

Agency for review, evaluation, and approval. The submission may consist of: (1) a building system; (2) a building system and a compliance assurance program; and (3) a compliance assurance program covering a previously approved building system.

a. Building Systems

The building system submittal consists of the application form, plans, specifications, calculations, and test reports describing the proposed construction in sufficient detail to permit the determination of code compliance. CES Documents No. S-01

to S-07 apply to the submission of building systems, and detail the submission requirements where a basically complete manufactured building is being submitted. In the case of a building component, only those items should be submitted which are germane

to this component and its compliance with the applicable code provisions. CES

Document No. S-08 gives, in matrix form, guidance for the selection of items which

should be submitted for a component. In addition to the documentation, the submission

also is to include the fee deposit as specified in Part IV, Section 6 of the Rules and

Regulations.

Although in this report the term "building system" is used in the singular form,

it must be pointed out that a building system may include several so-called models or variations. See also Section 5.2 of this report for additional discussion on this matter.

b. Compliance Assurance Program

The compliance assurance program submittal consists of the application form and

a compliance assurance manual. This manual identifies and lists all those procedures

which the manufacturer and the Inspection Agency propose to implement to assure that

the finished manufactured product conforms to the approved building system, the Rules

and Regulations, and the applicable codes. The approval of a compliance assurance program is valid only for use with the building system on which it is based. The

details of the compliance assurance program are discussed in Section 5-2 of this report

and the CES Document No. S-09 applies to the preparation and submission of compliance assurance programs and manuals.

c. Modifications and Variations

Any modification to a previously approved building system or compliance assurance program and any variation of certified units require approval by the Administrative

or Evaluation Agency [Part IV, Section 2(A)(7) and (B)(6), and Section 3(D)].

8
(1) Modifications . Minor modifications to building systems or compliance assurance programs may be submitted for approval using an application form such as shown In CES Document No. S-10 "Application for Approval of Minor Modification to an Approved

Building System or Compliance Assurance Program". Such submittals should be accompanied by revised or new drawings, specification sheets, and appropriate compliance

assurance manual sheets Indicating clearly the revisions for which approval Is sought.

If the modification is of such magnitude or extent as to materially affect the

major features of the previously approved building system or compliance assurance

manual, the Administrative or Evaluation Agency may request the resubmlttal of the

entire system or manual for approval as a new application.

(2) Variations . If a manufactured building or building component is to be

altered after certification but prior to the issuance of a building permit, approval

of such variation must be obtained from the Administrative or Evaluation Agency.

Submittal of a request for such approval should consist of CES Document No. S-11,

"Application for Approval of Variation to a Certified Manufactured Building or Component," and of appropriate plans and specifications clearly identifying the varlatlon(s)

for which approval is sought.

4.3. Preliminary Review

The Administrative Agency records the receipt of and identifies the submittal on the Processing Record (CES Document No. E-01). Each submittal is given a number (in

sequence of receipt) and this number is recorded both on the Processing Record and on the Application Form. A receipt should be given the applicant confirming that the

application and deposit have been received and giving the processing number. If the

Application Form (CES Document No. S-01) is printed on a multicopy form, a signed or stamped copy of this form could be used as this receipt.

The Evaluation Agency reviews the application for suitability for processing

[Part IV, Section 2(A)(2) and (B)(2)]. This review Includes the determination that

the building system meets the definition of Manufactured Building [Part I(P)] or Building Component [Part 1(E)] and falls under the scope of the Act, and that the

submittal meets the administrative requirements of the regulations and is complete

enough to begin evaluation. CES Document No. E-02 can be used as a checklist for

this preliminary review.

If the submittal is suitable for processing, the Evaluation Agency Initiates

the detailed evaluation activity. In either event, the disposition of the submittal

following the initial review is recorded on the Processing Record (CES Document

No. E-01). If the submittal is determined to be unsuitable for processing it is

returned to the manufacturer with the Transmittal of Submittal Unsuitable -for Processing Form (CES Document No. E-03), which states the basis for this action. If the

unsultablllty is due to a minor deficiency, such as the missing of a required single

detail or item, the applicant should be given an opportunity to correct such deficiency before any formal action Is taken.

9
h.h. Evaluation

Building system submittals and compliance assurance submittals found suitable

for processing are reviewed by the Evaluation Agency for compliance with the requirements of the Regulations [Part III and Part V, Section 1 and 2]. The discussions and

interpretations of these requirements contained in Section 5.^ of this report and the

Evaluation Checklists (CES Documents No. E-04 to E-08 and E-10) have been developed

to aid in these activities. Where documentation for certified or tested products are part of a building system, CES Document No. E-09 will be helpful in evaluating such

documentation.

As part of the evaluation of compliance assurance programs. Part IV, Section 4(A)

of the Rules and Regulations requires that the Evaluation Agency inspect the manufacturing facility in which the buildings or components are to be manufactured. The

Manufacturing Facility Evaluation Report (CES Document No. E-11) is designed to serve

as a reporting form for this activity.

Following the completion of the evaluation, the disposition of the submitted

documents is recorded on the Processing Record (CES Document No. E-01).

4.5. Approval and Disapproval

a. Notice of Completed Evaluation

As soon as possible after completion of the evaluation, the Administrative or Evaluation Agency should notify the manufacturer of the results of the evaluation.

The Notice of Completed Evaluation also should contain the amount of the fee, if any,

due to the agency, or any refund due to the manufacturer in case the total fees are

less than the deposit collected. If the Agency's action is to disapprove the application, the Notice of Completed Evaluation should contain the reasons for such action,

and all submitted documents should be returned to the manufacturer. CES Document

No. A-01 suggests the format and contents of the Notice of Completed Evaluation.

Although the Model Rules and Regulations, in Part IV, Section 2(A)(4) require

the above described course of action for disapprovals, it should be noted that a complete resubmission is costly and time-consuming, both to the manufacturer and the

Evaluation Agency. Accordingly, where an application is to be disapproved because

of a minor, or isolated item of non-conformance, or because of missing information,

it is desirable that the applicant be notified of the impending disapproval to

give him an opportunity to make the necessary corrections, or to supply the needed

additional information without requiring a complete resubmission.

b. Stamp of Approval

Building systems and/or compliance assurance programs which have been evaluated

and are found to comply with the applicable codes and all requirements of the Rules

and Regulations will be approved [Part IV, Section 2] by the Evaluation Agency. Such

approval for a building system will be evidenced by placing a stamp of approval on

10
each sheet of the building system [Part IV, Section 2(A)(5)]* Approval for a compliance assurance program will be evidenced by placing a stamp of approval on each sheet

of the compliance assurance manual [Part IV, Section 2(B)(5)]? CES Document No. A-02

gives the format of stamps that may be used for this purpose.

c. Building Systems Approval Report

In addition to sending a Notice of Completed Evaluation to the applicant and to

placing the approval stamp on the approved building system, the Evaluation Agency

is also required to prepare and transmit to the applicant a Building System Approval

Report [Part IV, Section 2(A)(6)]. CES Document No. A-03 was developed as a model for

such reports. It will be noted that the recommended content is similar to that used

in the application form. Accordingly, it may be possible to use the application form

filled out by the applicant and counter-signed by the approving authority as the

approval document. However, such a combination document would have to Incorporate

all items shown on both CES Documents No. S-01 and A-O3.

It should be noted that approval of a building system is not to be considered an approval to fabricate and certify manufactured buildings, and/or building components.

Fabrication and certification should only start after both a building system and a concurrent compliance assurance program have been approved. In this sense, the

"building system's approval" can be considered a "conditional approval."

Following the transmittal of the approved documents, the Processing Record

(CES Document No. E-01) is completed and filed with the Evaluation Agency's copies

of the approved documents and the Building System Approval Report.

4.6 Fabrication, Inspection, Certification, Transportation,

and Handling, and Installation

A manufacturer, having secured approvals for both the building system and the

compliance assurance program can now begin the fabrication of manufactured buildings

or components which will qualify for certification if they are: (1) manufactured

according to the approved building system, (2) fabricated under the concurrent

approved compliance assurance program, and (3) manufactured in the fabricating

facility inspected in connection with the compliance assurance evaluation. Neither

the approved building system or compliance assurance program may be altered or modified in any way without obtaining prior approval of such changes.

a. Fabrication

Fabrication of manufactured buildings and/or components should follow the process

described or implied by the approved compliance assurance program. Although it is not

the intent of the Act or the Rules and Regulations to regulate the methods or processes of fabrication, the methods or processes used may Influences the required inspections and other aspects of compliance assurance (C.A. ). Accordingly, any deviation

from the manufacturing process described or implied in the C.A. program should be

reported by the manufacturer to the Inspection Agency, together with a request for

*In certain cases, a certification or approval statement on the title page of each set of documents may be adequate.

11
approval of a change in the C.A. program if required, or a Justification why the

fabrication process or method change does not require a modification of the program.

Part IV, Section 3(A) of the Rules and Regulations requires that the manufacturer

provide certain information directly or by reference on a "Manufacturer's Data Plate".

CES Document No. C-01 discusses the content and format of such plates for both complete

manufactured buildings and components.

b. Inspection and Certification

The compliance assurance program details the necessary inspections in the plant.

CES Document No. C-02 was developed as a suggested checklist for such inspections for

a complete manufactured building. For components, only those inspections germane to

the component are required, and the inspection checklist should be modified accordingly. Inspections should be reported on a form similar to CES Document No. C-03.

If the inspection indicates deficiencies either a "Noncompliance Tag" (CES Document

No. C-Oh) , a "Prohibited Sales Notice" (CES Document No. C-05), or a "Notification of

Suspended Activity" (CES Document No. C-06) will be Issued by the Inspection Agency.

If no deficiencies are found, or if the deficiencies have been corrected, the completed

manufactured unit is certified by the attachment of a "Label" (CES Document No. C-07)

signifying that the unit was manufactured according to an approved building system and

under an approved compliance assurance program. The use of each individual label is

recorded on the "Label Control Record" (CES Document No. C-08).

c. Transportation and Handling

Although the activities of the manufacturer (and applicant for the building

system) may end at the factory gate, the regulatory process is concerned with the

code compliance of the unit as installed on the site. Because faulty methods of

transportation and handling between factory and site may adversely affect the code

implied performance of the unit in service. Part V, Section 2(D), requires that the

compliance assurance program contain instructions for the proper handling of the

units, such as the identification of proper locations of lifting and supporting

points for manufactured modules, panels, and components. Also, according to Part IV,

Section ^, the Inspection Agency is responsible for follow-up inspections during

handling, storage, and transportation between the factory and erection site. Deficiencies noted during such inspections are to be reported to the Administrative Agency

on CES Document No. C-03 (Inspection Report). In addition, and as warranted, a Noncompliance Tag (CES Document No. C-04) or a Prohibited Sales Notice (CES Document

No. C-05) should be attached to any units found to be deficient.

d. Installation

In Part V, Section 2(E), it is required that the compliance assurance program

contain the procedures for Installation, field erection, and finishing work, including utility connections, and appropriate on-site Inspection criteria and test descriptions. Although in some existing state programs the Inspection Agency Is required to

12

i

I
perform on-site Inspections to verify the compliance of installed units with the

approved building system and with all other state requirements, on-site inspections

are generally performed only by the local enforcement agency which is responsible for

the inspection and enforcement of site related and local requirements, such as zoning, foundations, and utility connections. If deficiencies related to the compliance with state requirements are found during on-site inspections (either by the

local enforcement agency or by the Inspection Agency), the Administrative Agency

should be informed of such violations. CES Document No. L-02 (Manufactured Building

Violation Report) should be used for such notification. In addition, deficient units

should be identified by attaching a Noncompliance Tag (CES Document No. C-0^) or Prohibited Sales Notice (CES Document No. C-05) as appropriate. For deficient units

which are not brought into compliance within a reasonable time, or which are found

to be so damaged as to be irreparable, the Administrative Agency can order the removal

of the label and the disposal of the unit [Part IV, Section '^(C)(l)].

h.J. Local Enforcement Activities

Prior to the installation of certified manufactured building units, the manufacturer, developer, or owner must apply for a building permit from the local

authority having jurisdiction over the proposed erection site. The Rules and

Regulations require that local enforcement agencies must issue such building permits

prior to the unit's installation and may not withhold permits for buildings con- taining certified building units or components which In all other respects comply with

all applicable codes [Part IV, Section 5(A)]. Although figure 1 Indicates the issuance of the building permit related to the Installation activity, this does not imply

that the submission of a building permit application and the Issuance of the building

permit can not, or should not, precede the activities of fabrication and transportation.

Municipalities may use either separate building permit applications for the

structural, electrical, plumbing, heating, ventilating or air conditioning, or a single form containing all elements. In either case, these forms can generally be

adapted to applications for certified manufactured buildings or building components.

CES Document No. L-01 is one example of a suggested local Building Permit Application

form currently being used by various state and city agencies. The building permit

applications are prepared by the builder (or his agent); such builder may be the

manufacturer or a developer who obtains the manufactured units from the producer.

After receipt of the Building Permit Application and its evaluation, the local

enforcement agency issues to the builder or owner a building permit which authorizes

the builder to commence the on-site work and the installation of manufactured buildings or components. After completion of the on-site work, and the satisfactory

completion of all inspections, a certificate of occupancy (CES Document No. L-03) is

issued by the local enforcement agency. Local usage differs on whether a separate

application for the certificate of occupancy is required or whether the satisfactory

completion of the final inspection is followed automatically by the issuance of the

certificate of occupancy. Building permit and certificate of occupancy are discussed

in Section 5.7.

13
^.8. Interstate Acceptance (Reciprocity)

Most existing state programs for the regulation of manufactured buildings and

components provide for acceptance of units which have been certified in another state

without passing through the full submission, evaluation, and inspection process.

However, few, if any, of these provisions are currently Implemented.

Part VII, Section 2, "Procedures for Reciprocally Certifying Manufactured Buildings or Building Components" requires that ' a manufacturer from a state to which

reciprocity has been extended shall submit evidence that his building system and

compliance assurance program have been properly approved in his state. Both CES

Documents No. S-01 (application form) and A-03 (approval report) were developed to

provide this evidence for obtaining reciprocal approval.

If reciprocity has not been extended to the other state, a full application

must be made. If both states have the same or similar application and submission

requirements, such application in the second state is greatly facilitated for the

manufacturer. If both states use the same or similar evaluation procedures and

checklists, the evaluation is greatly facilitated for the Administrative Agency.

Accordingly, the use of the uniform CES model documentation can be a significant

element in promoting interstate acceptance of certified manufactured buildings and

building components.

5. MODEL INFORMATIONAL DOCUMENTS

5.1. Use of Documents

Because of the limitations imposed on the CES documentation by the guidelines

given in Section 3 of this report, the following factors must be considered when

adopting and adapting the documents to a specific state regulatory program:

(1) The Rules and Regulations of the state must be reviewed, any variations

with the Model Rules and Regulations noted, and all applicable documents modified

as necessary. Similarily, the state's regulatory process and operating procedures

need to be compared with those given in Section 4 of this report;

(2) The specific codes used in the state must be compared with the One and Two

Family Dwelling Code (and the 1973 Accumulative Supplement) and all checkll'sts modified

and expanded as necessary;

(3) If the state program applies to occupancies other than one and two family

dwellings, appropriate modifications and additions need to be made to checklists

and forms;

(4) As mentioned in Section 3, the CES documents were developed primarily as guidelines and "benchmarks." As long as the general objectives are satisfied, the

details of the documents may be varied to suit the Individual state's program, its

code, and its level of enforcement.

5.2. Submission

Submission as used herein mec-.ns the transmittal of documents from the manufacturer to the Administrative or Evaluation Agency for the purpose of obtaining

14
approval for a building system or compliance assurance program. The documents

involved in the submission are the plans, specifications, calculations, etc., depicting the manufactured building or building components, and the compliance assurance manual describing in detail the manufacturer's provision for assuring that the final

product corresponds in all details to the building system and to all other requirements of the Act and of the Rules and Regulations. In addition to the building

system as defined in the Rules and Regulations, and the compliance assurance manual,

the manufacturer also should submit a building system and compliance assurance approval form (CES Document No. S-01). The purpose of the CES Documents No. S-02

through S-09 is to provide the manufacturer with the detailed requirements so as to permit him to prepare a complete submission without the need for costly and time

consuming resubmittals . Also included in this section is a guide to be used in the

determination of submission requirements for manufactured building components where

not all the information required for manufactured buildings is applicable (CES

Document No. S-08).

In general, the submission requirements given below are based on the requirements

as stated in Part V of the Rules and Regulations.

a. Building Systems

As defined in the Act and the Rules and Regulations, the building system means

the plans, specifications, and documentation for a system of manufactured buildings

or for a type or a system of building components. The documents in this section

discuss and define both the format and the content of the various items to be submitted when applying for building system approval:

CES Document No. S- 01 Application for Building System and Compliance

Assurance Program Approval

CES Document No. S- 02 General Submission Requirements

CES Document No. s- 03 Architectural Submission (including fire protection,

health and safety)

CES Document No. s- OH Structural Submission

CES Document No. s- 05 Mechanical Submission

CES Document No. s- 06 Plumbing Submission

CES Document No. s- 07 Electrical Submission

CES Document No. s- 08 Submission Requirements for Manufactured Building

Components

The submission requirements are based on the general description of Items to be

submitted as given in Part V, Section 1 of the Rules and Regulations.

It should be understood that the submission requirements for any particular

system should be sufficiently complete to permit a full evaluation of its code

compliance, while being concise and free of extraneous information so that the

evaluation can be handled efficiently. Accordingly, and as indicated in paragraph (B)

of Part V, Section 1, the submission of a particular building system may need to

include items other than those listed below, particularly in the case of innovative

15
systems, while not all the information required by the listings should be included

indiscriminately. In case of uncertainty of whether a particular Item needs to be

submitted, the Administrative or Evaluation Agency, whose judgment in these matters

is governing, should be requested for a ruling.

In addition to serving for evaluation purposes, the documents submitted, after

approval, also must serve as the principal source of information needed by the

inspectors in determining the adequacy and conformance of the unit constructed. It

is important that this latter purpose also be considered in the preparation of the

submission, both with respect to content and format. Thus, it is necessary that the

building system documentation be closely coordinated with the compliance assurance

manual

.

Two additional comments applying to all building system submission documents

must be made at this point:

(1) Systems Approach . For manufacturers who fabricate a number of similar

units, such as units with similar floor plans but with different width, or units

with identical floor plans but with different roof configurations or different

fenestrations, the requirements for building systems do provide for the submission

of documents depicting a range of differing units under a single submission. An

effort was made to recognize this "systems submission" but It is difficult to foresee

all possible systems combinations that can be submitted. Accordingly, nothing stated

in the CES Documents No. S-02 to S-08 is to be construed as limiting submissions

based on the systems approach.

(2) Alternate Submission Documents . The CES submission document requirements

are based on conventional documentation consisting of plans, specifications, etc.

This approach should not prevent the use of novel types of documentation, such as printouts of computer programs and similar methods, for the submission of building

systems, particularly of structural calculations and loading tables.

16
CES DOCUMENT NO. S-01 Page 1 of 3

APPLICATION FOR BUILDING SYSTEM AND

COMPLIANCE ASSURANCE PROGRAM APPROVAL

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

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

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

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

signed in addition to the "Application Form".

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

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

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

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

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

application form.

Suggested Content of Application Form

1. Name of manufacturer and business or corporate address.

2. Address of fabrication plant or plants.

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

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

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

address of inspection agency.

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

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

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

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

approval is sought.

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

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

masonry )

.

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

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

manual )

.

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

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

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

17
CES DOCUMENT NO. S-01 Page 2 of 3

13.

14.

15.

16.

Space for recording fee deposit.

Signatures of applying manufacturer or his agent.

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

Space for application and approval numbers.

Instructions for Completion of Application Form

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

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

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

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

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

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

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

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

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

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

be so indicated.

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

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

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

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

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

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

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

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

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

the submission, they should be so identified in the space CU other (specify)_ .

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

the building system conforms.

18
CES DOCUMENT NO. S-01 Page 3 of 3 STATE OF

Name, and AddxzM

kdmiyuJiiMvtivz Agency

APPLICATION FOR BUILDING SYSTEM AND COMPLIANCE ASSURANCE PROGRAM APPROVAL

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

TYPE OF APPLICATION

EH New System or Program dl Major Modification

[D Building System and C.A. Program

LD Building System (only)

D Compliance Assurance Program (only)

Previous Application or Approval Numbers:

Building System C.A. Program

VII. AGENCY USE ONLY

Building System Appl. No,

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

Pee Deposit Received

II. IDENTIFICATION

Name of Manufacturer_

Address

Tel. No.

Location of Manufacturing Plant

Name of Inspection Agency

Address

Name of Reg. Architect/Prof. Engineer

Address

Reg .No

.

State

III. DOCUMENTS SUBMITTED Qpians Dspecs DTest Data Shop Dwgs . Dc. A. Manual Sample

EH Calculations (Type) Other (Specify)

I I Other State or Agency Approvals/Listings

IV. DESCRIPTION OF MANUFACTURED BUILDING OR COMPONENT

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

B. Type of Construction (Classification)

C. Type of Systems: EU Unitized Modular IZl Core Unit EH Component

n Architectural Structural Mechanical Qpiumblng EH Electrical

other (Specify)

D. Principal Construction Material: Wood Concrete Steel Masonry

other (Specify)

E. Energy Source: Heating Cooling

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

G. Design Temperatures: Summer Winter

V. SIGNATURES

This is to certify that the building system conforms with

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

Signature of Applicant/Agent

Name and Title of Applicant/Agent

Address

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

Signature of Agency Official Date

Name and Title

Date

Date

Tel. No.

19

CES DOCUMENT NO. S-02 Page 1 of 3

GENERAL SUBMISSION REQUIREMENTS

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

Specifications

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

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

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

which have the same format as the drawings. Some Evaluation Agencies do appear to favor the use of extensive specifications, while others prefer that all information

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

specifications are not a necessary submission requirement.

Drawings

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

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

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

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

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

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

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

at a scale consistent with the complexity of the detail.

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

and Regulations):

(3) Identification of manufacturer and plant.

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

state law.

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

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

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

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

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

21
CES DOCUMENT NO. S-02 Page 2 of 3

References To Standards

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

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

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

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

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

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

Alternate Designs

According to the definition of "building system" as given in Part 1(F), alternate

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

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

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

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

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

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

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

exit

.

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

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

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

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

the various widths are met.

When submitting alternates it is particularly Important that such alternates

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

inspector to the fact that alternates are to be Inspected.

22
CES DOCUMENT NO. S-02 Page 3 of 3

Handling, Transportation, and Site Related Items

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

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

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

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

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

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

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

be damaged before completion of erection. The items associated with handling, transportation, installation, and on-site work that should be Included in the building

system submission are:

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

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

individual parts and equipment;

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

each certified unit;

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

field joints, etc.;

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

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

levelling; utility connections, etc.; and

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

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

23

CES DOCUMENT NO. S-03 Page 1 of H

ARCHITECTURAL SUBMISSION

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

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

document discusses each of these requirements and provides additional details as an

aid to the manufacturer in the preparation of the building system submission.

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

safety Items should provide the Information necessary for the evaluator to determine

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

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

the documents.

1. General

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

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

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

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

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

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

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

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

designs or ranges of alternate designs.

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

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

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

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

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

the factory-built unit must be clearly defined. The cross sections also should show

the levels for the site-built foundations or supports if the foundations are not

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

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

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

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

25
CES DOCUMENT NO. S-03 Page 2 of

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

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

Indicate by notes or otherwise what work Is to be done In the plant, and what work is

to be done on-site. Including an Indication of whether the necessary material for

on-site work Is provided by the manufacturer or by the installer or builder.

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

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

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

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

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

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

to it

.

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

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

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

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

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

but also the grade and any other information to positively Identify such materials,

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

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

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

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

pertinent data, and should be dimensioned on the plans and In the sect;ions. Separate

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

elevations, and sections to locate the particular items.

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

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

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

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

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

(1) Foundations . Recommended or suggested fo'-ndation plans should be shown,

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

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

requirements

.

26
CES DOCUMENT NO. S-03 Page 3 of 4

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

other items that are required in the foundation to properly install, connect, and

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

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

building in which a manufactured component is to be installed, is to be given on the

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

repeated on the drawings.

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

etc . )

.

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

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

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

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

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

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

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

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

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

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

performed, certification or labeling, etc.

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

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

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

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

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

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

2. Building Classification

3. Space and Fire Safety

27
CES DOCUMENT NO. S-03 Page 4 of 1

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

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

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

landing or platform should also be shown.

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

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

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

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

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

should be shown.

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

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

28
CES DOCUMENT NO. S-O^i Page 1 of 6

STRUCTURAL SUBMISSION

Part V, Section 1(B)(4), (a) through (1), of the Rules and Regulations gives

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

terms. This document discusses each of these requirements in detail as an aid to the manufacturer in the preparation of the structural submission documentation.

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

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

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

be acceptable to the evaluator.

General Requirements

The documentation depicting the structural system for manufactured buildings

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

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

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

rather than in separate specifications.

The structural drawings or separate specifications should contain a section

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

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

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

the structural system.

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

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

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

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

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

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

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

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

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

and minimum dimensions for the width and length of the structure and the location and

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

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

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

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

The structural drawings should clearly and specifically identify the elements

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

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

29
CES DOCUMENT NO. 3-0^4 Page 2 of 6

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

be performed in the factory.

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

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

nominal loads. The only exceptions to this requirement are structural members utilized

in accordance with specifications contained in the regulations or otherwise approved

by the Administrative Agency (or Evaluation Agency). Examples of these exceptions are

the use of wood rafters or joists as specified by the model building codes, and the use of open web steel joists selected from load and span tables prepared by an industry

association and approved by the Administrative Agency.

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

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

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

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

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

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

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

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

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

the Administrative Agency.

The calculations should also substantiate the capability of the structure to

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

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

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

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

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

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

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

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

analysis substantiating the adequacy of the structure to withstand design loads

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

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

connections

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

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

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

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

included.

30
CES DOCUMENT NO. Page 3 of 6

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

soil settlements.

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

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

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

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

identified.

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

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

foundations should be detailed. Structural framing around all openings. Including

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

equipment

.

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

these options must be clearly identified on the drawings.

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

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

the truss; and the size, material and orientation of ea-ch member. The connections

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

31
CES DOCUMENT NO. S-04 Page 4 of 6

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

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

drawings

The analysis of trusses should take full account of their method of support. For

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

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

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

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

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

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

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

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

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

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

bends should be noted.

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

used provides for ready interpretation of the information by inspection personnel not

necessarily skilled at inspecting concrete construction.

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

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

concrete, including conduits.

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

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

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

factors applicable to the lifting of the unit.

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

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

schedule form, of the material, size, orientation, length and location of columns or studs used in the structure. Also included on this schedule or readily keyed to it

should be a tabulation of the vertical design loads. The live loads and dead loads

should be indicated separately.

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

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

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

32
CES DOCUMENT NO. S-04 Page 5 of 6

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

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

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

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

which are bearing walls.

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

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

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

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

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

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

bolts for columns or tiedowns for shear walls.

All penetrations of structural members by electrical, plumbing and mechanical

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

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

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

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

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

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

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

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

and Regulations.

Where the structural system Includes an element or material for which a standard

has not been previously approved,* the Information on the drawings should include the

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

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

of elasticity, shear modulus, etc.

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

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

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

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

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

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

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

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

33
CES DOCUMENT NO. S-04 Page 6 of 6

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

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

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

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

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

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

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

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

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

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

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

3>i
CES DOCUMENT NO. S-05 Page 1 of 2

MECHANICAL SUBMISSION

Submission requirements for mechanical items contained in manufactured buildings

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

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

manufacturer in the preparation of appropriate submission. Subsections (i) and (J),

relating to elevator systems are not discussed since these requirements

do not normally apply to one and two family dwellings.

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

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

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

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

associations and individual equipment manufacturers have developed heat loss and heat

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

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

Conditioning Association.

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

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

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

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

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

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

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

be adequately detailed with the equipment properly located and identified.

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

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

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

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

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

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

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

regulated by the mechanical code.

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

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

35
CES DOCUMENT NO. S-05 Page 2 of 2

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

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

should show necessary details.

(e) Clearances from combustible material or surfaces . Drawings should show

clearances from combustible material or surfaces for heat producing appliances

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

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

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

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

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

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

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

indicated.

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

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

clearances from air Intakes and other vents and flues.

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

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

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

Also complete drawings of fire sprinkler systems including risers and support systems,

standplpe system or fire alarm system should be submitted, if required.

In addition to the gubmlg^ipn jpequlrements Ca) thrpugh Ch), the ^'pllowing

information should also be provided:

(1) Plumbing calculations . Provide calculations for determining gas pipe

sizing, when tables for sizing (one and two family dwelling code) are not utilized.

(2) Methods of testing . Specify methods of testing gas piping system before

and after appliances are set. Submit duct test report and method of testing.

36
CES DOCUMENT NO. S-06 Page 1 of 1 PLUMBING SUBMISSION

Submission requirements for plumbing Items contained in manufactured buildings

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

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

manufacturer In the preparation of an appropriate submission.

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

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

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

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

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

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

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

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

integrity of such members.

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

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

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

model and rating/capacity of equipment and appliances should also be indicated. In addition, indicate whether equipment and appliances are listed or labeled. In general, listing, labeling, and location of equipment and appliances is covered under

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

gas burning appliances.

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

water heaters (except when such controls are a part of the equipment approval), their

location, and any listings or labellngs should be shown. Most mechanical codes

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

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

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

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

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

vents and flues, should be provided.

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

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

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

air test; (3) Fixture test; (4) Shower stall test.

37

CES DOCUMENT NO. S-O? Page 1 of 3

ELECTRICAL SUBMISSION

Submission requirements for electrical items contained in manufactured buildings

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

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

manufacturer in the preparation of an appropriate submission.

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

entrance, cable sizing and protection, conductors, service raceway and clearances

above structures should be provided. Also details of wall penetration and service

entrance cable protection should be shown.

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

or cables, outlets and receptacles, and appliances should be shown.

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

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

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

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

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

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

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

calculations are given in NEC, Chapter 9- Page 3 of this document gives a suggested

form for calculating the service load.

(e) Feeder and branch circuit details . Drawings should identify and indicate

sizes and materials for each feeder and branch circuit. Details of cable protection

where nails or screws are likely to penetrate the cable should be indicated. [Details

of penetration of structural members —see CES Document S-0i4(l)].

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

locations of protective devices such as switches, ground fault circuit interrupters,

and overcurrent protective devices should be Indicated on drawings.

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

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

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

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

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

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

wiring of all fixtures.

39
CES DOCUMENT NO. S-07 Page 2 of 3 In addition to the submission requirements (a) through (i) identified in the

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

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

IT 5 fixed and stationary appliances should be shown and located on the drawings.

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

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

listing.

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

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

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

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

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

Methods of testing . Information on test methods and results if required, should

be furnished to the Evaluation Agency. These tests may include the following: (a)

dieletric test and (b) continuity test.

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

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

conditioning, food mixing, deep frying, etc.

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

fastened or otherwise secured at a specific location.

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

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

i|0
CES DOCUMENT NO. S-07 Page 3 of 3

CALCULATION SHEET FOR SERVICE LOADS

ASSEMBLY RATING:

Mfr. Model Size

General Light Load ( 15 amp circuits):

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

Small appliance load ( 20 amp circuits):

Circuits x 1500 Watts = watts

(1) Total = watts

First 3000 @ 100% = watts

3001-120,000 Watts @ 35% = watts

Remainder Watts @ 25% = watts

(2) Total = watts

Total Watts (2) 4" 230 Volts = Amps/

DISTRIBUTION PANEL

LEG A LEG B General Lighting & small appliances Amps

Nameplate amperes for motor & heater loads

Air Conditioner Motor Amps

Furnace Blower Motor Amps

Exhaust Fan Amps

Amps

Amps

Add 25^ of amperes of largest mtr. Amps

Total Nameplate Amperes * Disposal Amps

Dishwasher Amps

Water Heater Amps

Clothes Dryer Amps

Wall mounted oven Amps

Cooking Unit Amps

Amps

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

75% of total Amps

Furnace Amps

Amps

Free Standing Range Amps

TOTAL

Panel Rating Amps

Main Disconnect Rating Amps 2-pole

41

b. Manufactured Building Components

CES Documents No. S-03 through S-07 give the detailed submission requirements for

manufactured buildings In regard to architectural (fire, health and safety), structural, mechanical, plumbing, and electrical disciplines. In general, these requirements also apply to manufactured building components. However, it is recognized that

in the case of components some of the listed requirements are not relevant and can not

be submitted. It is the purpose of CES Document No. S-08 to provide a guide, or quick

reference, to the manufacturer as to what items he needs to submit.

The guide is given in the form of a matrix and shows on one hand various building

parts and equipment that may be a part of the component, and on the other hand the

information that should be submitted. Those intercepts that are relevant are marked

with either a solid dot or a circle. Those marked with a solid dot indicate requirements which apply In all cases and for all building types or construction methods;

those marked with a circle Indicate requirements which may apply depending on building

type, code used, occupancy, type of construction, and material.

As an illustration for the use of the matrix, the following list of requirements

would apply to a manufactured component which consists of a load-bearing exterior wall

panel containing electrical conduit, cables, and an outlet box.

For the panel Itself, the following Items should be submitted:

(1) Dimension

(2) Location(s) (In building)

(3) Plans

(4) Cross sections

(5) Elevations

(6) Details

(7) Structural calculations and diagrams

(8) Bearing values

(9) Loading schedules

(10) Installation and connection instructions

Depending on the materials used, type of occupancy and construction method, the

following additional Items may need to be submitted:

(11) Weight

(12) Heat loss calculations

(13) Fire separation ratings

(14) Fire resistance ratings

(15) Fire stopping

(16) Test reports, listing or labeling

(17) Structural support provision

43
For the electrical services (conduit, cable, and outlet box), the following

items should be submitted:

(1) Locations

(2) Plans

(3) Line diagrams

(4) Capacities

(5) Provisions for grounding

(6) Test reports, listing or labelings

(7) Structural support provisions

In addition, the following items may need to be provided, depending on construction type, occupancy, and materials used:

(8) Isometrics

(9) Clearance from combustible materials

(10) Safety provisions (operating safety)

(11) Installation and connection instructions

The specific information to be provided for each of the items listed above is

discussed in the submission requirements, CES Documents No. S-03 through S-07 and

these should be consulted by the manufacturer in preparing his submission.
CES DOCUMENT NO. S-08 Page 1 of 1

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IM.
c. Compliance Assurance Program

Building system compliance with appropriate codes and standards and with other

regulatory criteria does not preclude the possibility of Improper materials or workmanship, damage or other shortcomings or deviations resulting from the continuous

process of in-plant fabrication, transportation or installation of mass produced

units of construction. For these reasons, as well as to provide for preemption of

multiple in-plant inspections by various local Jurisdictions during the fabrication

process, the Model Manufactured Building Act and the Model Rules and Regulations for

the Act recognize that the most viable approach to assuring on-going compliance and

confidence in unit certifications is through the submission of a manufacturer developed

compliance assurance program which is monitored during implementation by an Inspection

Agency.

The compliance assurance program requirements to implement the Model Manufactured

Building Act and the Model Rules and Regulations for the Act apply directly to all

manufacturers requesting approval for production and certification. The specific

requirements for the compliance assurance program, which should be documented and

submitted in the form of a compliance assurance manual, are enumerated in Part V,

Section II of the Model Rules and Regulations and are further interpreted in this

section of the report. These same requirements should also extend to and be applicable to any associate or subsystem contractors of the manufacturer or other major

suppliers of closed construction components.

It should be noted that while the submission requirements given for the building

system (CES Documents No. S-02 through S-08) discuss the format and content of the

submission, but not the technical requirements for what constitutes "acceptable" or "conforming" construction, some of the submission requirements for the compliance

assurance program do in fact spell out what constitutes an acceptable compliance

assurance program. The reason for this difference Is given in the fact that the

building system is always evaluated for its conformance to a specific code (building,

mechanical, plumbing, and/or electrical), but that no code or standard exists at this

time to prescribe what an acceptable compliance assurance program is.

The compliance assurance program requirements also apply to Inspection Agencies,

whether state or independent third party, and defines their duties and responsibilities in the process of Inspecting, monitoring and labeling of manufactured buildings

and building components to the extent that the Administrative Agency has delegated

any of its Inherent duties in accordance with Part IV, Section 4 ("Inspections") of

the Model Rules and Regulations.

The Model Rules and Regulations require the establishment. Implementation and

maintenance of a viable compliance assurance program to continuously assure manufacturer compliance and creditable Inspection Agency certification of the officially

approved building system. The compliance assurance program as well as the specific

procedures for its implementation relative to controlling the construction compliance

of production units of a specific building system type are the individual responsibility of the manufacturer. If the Administrative Agency delegates its Inspection

47
responsibilities, the contractual relationship between the manufacturer and an accredited Independent Inspection Agency should not diminish the manufacturer's

compliance assurance responsibility.

The joint compliance assurance program of the manufacturer and the Inspection

Agency, Including administrative procedures, inspection checklists, code compliance

workmanship standards. Inspection forms, records and labels, should be documented

In the form of a compliance assurance manual and submitted to the Administrative

Agency for evaluation and approval, or disapproval.

To be effective, the compliance assurance program should be planned and developed

in conjunction with the manufacturer's other administrative and technical ^'unctlons

and with the guidance of the Inspection Agency. The program should also give consideration to the rate of production, building system design characteristics, materials

of construction, sequence of operations, innovative manufacturing techniques and site

installation processes. The program should assure that the required level of code

compliance performance is Implemented and maintained throughout all areas of plant

and site operations that affect regulatory aspects of the construction.

CES Document No. S-09 further defines each of the compliance assurance program

submission requirements taken from the Model Rules and Regulations (i.e.. Part V,

Section II). Each requirement is listed separately within the document and an "Administrative Interpretation" made of what type of response should be contained

in the compliance assurance manual submittal. Further clarification of each requirement is offered in a "comments" section. The compliance assurance manual submittal

should specifically respond to each enumerated requirement or should provide Written

justification to omit or alter any particular compliance assurance program requirement which may not apply to a manufacturer's system or mode of operation.

In addition to responding to the above regulatory requirements, the manual

should contain certain administrative information as requested under "General

Requirements ,

48
CES DOCUMENT NO. S-09 Page 1 of 33

SUBMISSION REQUIREMENTS FOR COMPLIANCE ASSURANCE PROGRAMS

Index (,g3

Document Report

Subject Page Number Page Number

General Requirements 2 50

Revision of Compliance Assurance Manual 3 51

Organizational Structure 52

Training and Qualifications 5 53

Uniform System of Audits 6 54

Compliance Records 7 55

Control of Changes 8 56

Control of Working Drawings 9 57

Serial Numbering System 10 58

Control of Labels 11 59

Control of Procurement 12 60

Receiving Inspection 13 61

Protection of Materials 14 62

Disposition of Rejected Materials 15 63

Corrective Action 15 63

Testing and Inspection Equipment I6 64

Frequency of Inspection 17 65 , Authority for Compliance Assurance 20 63

Production Plow Diagrsims 21 69

Inspection Checklists 22 .... « 70

Code Compliance Workmanship Standards 23 71

Disposition of Noncompliant Construction 24 72

Final Inspection and Certification 25 73

Handling and Storage 26 74

Packing, Packaging and Shipping 27 75

Transportation 28 76

Installation Control 29 77

Field Repairs 32 80

Permission for Inspection 33 8I

49
CES DOCUMENT NO. S-09 Page 2 of 33

General Requirements

Certain requirements and administrative information are basic to the preparation

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

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

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

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

submitted separately, detailed qualifications of the Inspection Agency should be

presented.

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

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

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

requirements and all pages of the manual consecutively numbered.

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

applies should be indicated.

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

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

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

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

certification

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

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

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

effect

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

provide for the following:

(1) A space of 3 inch by 4 inch should be provided on the cover sheet of the

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

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

Alternate Approval Stamp.

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

may be readily removed or replaced.

50
CES DOCUMENT NO. S-09 Page 3 of 33

Revision of Compliance Assurance Manual

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

manual"

.

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

resultant additions or deletions to inspection procedures and inspection checklists

affecting construction control be made available to the appropriate inspection

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

documented as revisions to the compliance assurance manual.

The compliance assurance manual should contain a formalized procedure covering

the following points:

(1) All changes to the compliance assurance manual should be submitted to the

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

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

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

of the manual.

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

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

.

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

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

compliance control program should be coordinated with the Inspection Agency and

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

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

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

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

51
CES DOCUMENT NO. S-09 Page 4 of 33

Organizational Structure

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

and maintaining the compliance assurance program and its functional relationship to

other elements of the organization structure of the manufacturer, which structure

shall provide for independence from the production department".

Administrative Interpretation . The manufacturer and the Inspection Agency should

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

for the compliance assurance program.

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

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

and maintaining construction compliance is free of any functional obligations with

respect to production management that could potentially compromise compliance.

The compliance assurance manual should provide the -following

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

relationships for compliance control and production responsibilities should be

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

Agency should be carried out.

(2) A current functional statement in the form of a directive signed by the plant

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

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

of the Inspection Agency.

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

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

workmanship and trends or conditions which could result in noncompliances;

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

construction;

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

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

until such units have been brought into compliance.

52
CES DOCUMENT NO. S-09 Page 5 of 33

Training and Qualifications

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

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

qualifications specified".

Administrative Interpretation . Regardless of plant size, adequately trained and

qualified personnel to Implement and maintain compliance are necessary.

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

the following:

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

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

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

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

directly controlled by the Inspection Agency.

(2) Job descriptions prescribing minimum qualifications and training requirements

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

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

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

to maintain compliance.

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

the Inspection Agency should be Indicated.

Comment . Training and qualification requirements for compliance personnel should

give consideration to the following technical factors:

(I) Ability to read and understand drawings, specifications and inspection

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

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

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

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

test equipment.

53
CES DOCUMENT NO. S-09 Page 6 of 33

Uniform System of Audits

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

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

program performance periodically".

Administrative Interpretation . The Inspection Agency and the manufacturer

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

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

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

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

controls and inspection records as well as implementing corrective actions to

correct all identified noncompliances.

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

audit findings and corrective actions to the Administrative Agency.

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

include:

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

compliance

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

checklists, code compliance workmanship standards, etc.);

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

with compliance to required documentation;

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

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

5^
CES DOCUMENT NO. S-09 Page 7 of

Compliance Records

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

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

Administrative Interpretation . Records are considered one of the principal

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

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

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

Administrative Agency and copies of individual records should be furnished upon

request

.

The manufacturer and the Inspection Agency should maintain their respective

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

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

of time as may be required by the Administrative Agency.

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

manufacturer and the Inspection Agency systematically analyze and use records as

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

availability, currency, completeness and accuracy of compliance records.

Comment . Individual compliance records should provide evidence that required

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

inspection characteristics, number of compliant items, number of noncompliant items,

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

When inspections or production tests so require, the actual measurements or observations obtained should be indicated and provision for representatives from the

Inspection Agency who witness non-routine tests to so indicate such action.

55
CES DOCUMENT NO. S-09 Page 8 of 33

Control of Changes

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

or inspection procedures".

Administrative Interpretation . The manufacturer and the Inspection Agency

should ensure that manufactured buildings or components are fabricated. Inspected

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

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

construction compliance and for the incorporation of approved changes to such

documents.

Comment . Applicable compliance documentation may include:

(1) The approved building system;

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

(3) Inspection checklists.

Revised documentation should indicate by special notation all items approved for

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

document that initiated the change.

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

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

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

requirements from points of Issue and use.

56
CES DOCUMENT NO, S-09 Page 9 of 33

Control of Working Drawings

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

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

conform to the approved building system".

Administrative Interpretation . Subsequent to the approval of the building system

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

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

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

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

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

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

the one preparing the shop drawing.

The procedure by which working drawings, working instructions and standards

and other implementing documents are reviewed for compliance and formally controlled

should be defined In the compliance assurance manual.

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

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

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

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

the approved building system.

57
CES DOCUMENT NO. S-09 Page 10 of 33

Serial Numbering System

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

or building components".

Administrative Interpretation . Each unit of production to be certified should

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

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

construction.

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

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

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

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

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

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

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

production volume components not requiring individual data plates.

58
CES DOCUMENT NO. S-09 Page 11 of 33

Control of Labels

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

attaching labels and identification of those employees responsible therefor".

Administrative Interpretation . Labels should be under the direct control of

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

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

assuring on-going compliance.

The compliance assurance manual should identify the Inspection Agency employees

with responsibility for release of labels and, if possession of labels is granted the

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

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

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

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

manufacturer for the issuance, handling, possession, safekeeping, procurement and

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

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

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

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

assurance manual.

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

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

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

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

affixed and gives an approximate date of usage.

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

system.

59
CES DOCUMENT NO. S-09 Page 12 of 33

Control of Procurement

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

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

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

and quality requirements".

Administrative Interpretation . The manufacturer is responsible for the adequacy

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

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

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

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

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

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

all applicable design, code compliance workmanship standards and associated compliance

requirements in subcontracts and purchase orders.

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

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

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

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

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

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

regulate or enforce standards).

60
CES DOCUMENT NO. S-09 Page 13 of 33

Receiving Inspection

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

supplies and other Items at the point of receipt".

Administrative Interpretation . The manufacturer should ensure that subcontracted

or purchased building components, materials and products to be Incorporated Into the

regulated aspects of the construction are subjected to compliance Inspection upon

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

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

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

functional tests needed to assure compliance.

The compliance assurance manual should contain instructions and inspection

checklists for conducting receiving inspections. Receiving inspection instructions

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

Comment . Manufacturer receiving inspections should complement and supplement

procurement source compliance control. Industry standards, recognized product and

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

or unnecessarily duplicate such accepted measures of control. Appropriate procured

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

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

61
CES DOCUMENT NO. S-09 Page l4 of 33

Protection of Materials

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

and other items against deterioration prior to their incorporation In the certified

buildings or building component".

Administrative Interpretation . Manufacturer instructions should designate how

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

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

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

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

performance of the item or material.

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

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

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

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

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

exposure should be marked to indicate the useful life and expiration date.

62
CES DOCUMENT NO. S-09 Page 15 of 33

Disposition of Rejected Materials

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

supplies and other items".

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

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

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

materials that have been exposed to excessive moisture.

The compliance assurance manual should include the procedure to be followed

regarding the identification and disposition of rejected materials, supplies and

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

Comment . All nonconforming materials should be positively identified and

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

conforming materials. The manufacturer should maintain a positive system for

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

Corrective Action

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

Administrative Interpretation . The compliance assurance program should detect

and promptly correct assignable conditions adverse to construction compliance.

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

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

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

and regulatory agency Inspections and tests in-plant, during and after site

Installation.

Comment . Segregating noncompliant construction from acceptable units of production

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

or non-repetitive noncompliances cannot be determined and the only action possible is to reject and repair or rework the defective items.

63
CES DOCUMENT NO. S-09 Page 16 of 33

Testing and Inspection Equipment

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

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

Administrative Interpretation . The manufacturer's compliance control program

should include and provide maintenance for suitable inspection, measuring, and production test equipment necessary for compliance assurance activities. Appropriate

recoras of equipment calibration or maintenance checks should be maintained current.

Tne due aate or otner Identification attesting the due date of the next required

caliDraT;ion or maintenance check should be displayed on each applicable item of

inspection, measuring, and production test equipment or control device.

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

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

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

accuracy should also be Included.

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

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

equipment, moisture meters, dial indicators, etc. should be initially calibra:ted

against certified measurement standards, and at established Intervals thereafter

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

or repaired before it becomes inaccurate.
CES DOCUMENT NO. S-09 Page 17 of 33

Frequency of Inspection

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

Inspections"

.

Administrative Interpretation . The frequency of Inspection Agency audit Inspections should consider various factors, each of which affects the overall construction

compliance of manufactured buildings or building components. Among these Influencing

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

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

of the manufacturer.

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

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

of the overall compliance assurance program depends entirely on the conscientious

efforts of the manufacturer's personnel.

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

that necessary to assure construction compliance. An approach toward accomplishing

an adjustable frequency of inspection based on construction compliance performance

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

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

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

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

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

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

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

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

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

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

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

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

unit, e.g. inspection of one quarter of all construction Items on each production unit

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

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

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

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

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

65
CES DOCUMENT NO. S-09 Page l8 of 33

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

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

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

A suggested minimum approach to frequency of inspection for manufactured buildings

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

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

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

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

necessarily applicable to building components. It is likely that construction of build

ing components could be regulated through the use of sampling rates substantially lower

than those suggested herein.

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

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

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

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

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

satisfactorily corrected to preclude recurrence, and documented through implementation

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

conditions by Inspection Agency personnel.

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

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

inspections should be on a random unannounced basis.

When major construction noncompliances are detected solely by the Inspection

Agency during audit inspections at the first sampling rate (e.g., 50%), the Agency

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

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

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

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

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

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

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

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

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

action

66
CES DOCUMENT NO. FIGURE 1 PLOW DIAGRAM

MULTILEVEL SAMPLING INSPECTIONS

BY INSPECTION AGENCY

S-09 Page 19 of 33

100% LEVEL

Inspect 100%

of units

if "N" consecutive units are found to be In compliance,

shift to lev.el No. 1

If a noncompliance Is found among the M units shift to 100%

inspection

i

Sampling rate

level No. 1 Inspect at rate of "X"%

of production

if a noncompliance is found

-while at "X"% rate, backtrackand shift to level IR

if the M units are in compliance, shiftto level IS

> Level No. IR

Level No. IS

Resume

Inspection at rate of "X"%

of production

if "N" units are found to be in compliance, shift

to level No. 2

Inspect next

M units following

noncompliant unit

-if a noncompliance is

found after resuming

inspection at "X"%

rate, shift to 100%

inspection

if (N-M) units are in

compliance, shift

to Level^ No. 2

if a noncompliance

is found among the M units, shift to Level IR

Sampling rate

level No. 2 Inspect at rate

of "Y"% of

production

-if a noncompliance is found —

while at "Y"% rate, backtrack

and shift to level 2R

Level No. 2R

Inspect next

M units following

noncompliant unit

if the M units are

in compliance, shift

to level 2S

Level No. 2S

Resume

inspection at rate of "Y"%

of production

-if a noncompliance is found'

after resuming Inspection

at "Y"% rate, shift to Level IR

if (N-M) units are in

compliance, shift

to level No. 2

KEY "N" ; "M" :

"X"

lly"

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

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

than N (e.g. , M = 5)

First sampling rate after leaving 100% Inspection (e.g., X = 50%)

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

67
CES DOCUMENT NO. S-09 Page 20 of 33

Authority for Compliance Assurance

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

defective work and carry out compliance assurance functions, notwithstanding any

conflict with production department goals and needs".

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

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

or functions of the manufacturer's production department.

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

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

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

been brought Into compliance. This authority should also Include the provision for

the Inspection Agency to Inspect all units produced prior to the unit found deficient

and subsequent to the last unit previously Inspected by the Inspection Agency.

Comment : Response to the requirement in the compliance assurance manual should

also be In accord with the response submitted to that for the "Organizational Structure"

(e.g.. Part V, Section 2(A)(2) of the Model Rules and Regulations).

68
CES DOCUMENT NO. S-09 Page 21 of 33

Production Flow Diagrams

Citation . Part V, Section 2(C)(5), "A schematic of the manufacturing operation

showing the location of inspection stations, and "hold" points for mandatory inspection characteristics".

Administrative Interpretation . Material flow charts, production sequence diagram

and/or plant layout diagrams should be included in the compliance assurance manual.

The sequence, type and frequency of manufacturer and Inspection Agency inspection,

production test and labeling points, including those for materials receipt and storage

should be specifically indicated on material flow charts or plant layout diagrams

showing the production flow of all fabrication and assembly operations. Inspection

Agency control points should be identified separately, but should be correlated with

the number and descriptive title of the manufacturer's designations. The individual

In-Plant Inspection Checklists (CES Document No. C-02 ) for each station should

correspond with the production sequence indicated on flow diagrams.

Mandatory inspection characteristics (i.e., those critical inspection characteristics of the construction which if not in compliance up to a certain point in

the production sequence, cannot later be corrected and will thus jeopardize life and

safety) and their respective "hold" points should also be individually designated.

Comment . Production flow diagrams should be supplemented by estimated or average

daily (or weekly) rate of manufacturing and shipment of units. The Inspection Agency

should attest to its capabilities and available resources in support of the compliance

assurance Inspection and labeling aspects of such schedules. The Inspection Agency

should also indicate the degree of Inspection coverage to be provided during multiple

shift plant operations or other periods of extended plant operations.

69
CES DOCUMENT NO. S-09 Page 22 of 33

Inspection Checklists

Citation . Part V, Section 2(C)(6), "Inspection and test procedures, including

accept/reject criteria and mandatory inspection characteristics".

Administrative Interpretation . The In-Plant Inspection Checklists (reference

CES Document No. C-02) should be jointly developed by the manufacturer and the Inspection Agency for the particular system to be produced. These checklists, which should

serve as the basis for manufacturer compliance control inspections and Inspection

Agency monitoring evaluations, should be submitted as part of the compliance assurance

manual. Individual inspection and test procedures should bear evidence of Inspection

Agency concurrence and should be production station oriented in accordance with the

sequence outlined in the Production Flow Diagrams (reference Part V, Section 2(C)(5))

submitted with the compliance assurance manual.

Comment . For production testing, detailed procedures should be prepared describing each step In the testing process, the recording of results, the method of determining compliance including permissable tolerances and the frequency of testing.

Procedures should include identification of the test equipment to be used, and, where

applicable, the means to be used in determining that it is properly calibrated. The

procedures should be of sufficient detail that they can serve as checklists.

\

70
CES DOCUMENT NO. S-09 Page 23 of 33

Code Compliance Workmanship Standards

Citation . Part V, Section 2(C)(7), "Standards of workmanship".

Administrative Interpretation . The manufacturer in conjunction with the

Inspection Agency should provide any necessary code compliance workmanship standards

to supplement or complement acceptance standards referenced by codes, drawings,

specifications or inspection checklists. Such workmanship standards should compliment accepted codes and industry standards and may be in the form of models, work

samples, visual aids, photographs or sketches prepared to assist production and

inspection personnel.

The compliance assurance manual should contain any necessary code compliance

workmanship standards.

Comment . Code compliance workmanship standards should be developed to describe

those inspection characteristics of the construction that are difficult to quantify

or describe. When design changes are initiated and approved, affected code compliance workmanship standards should be reviewed and replaced as necessary.

71
CES DOCUMENT NO. S-09 Page 24 of 33

Disposition of Noncompliant Construction

Citation . Part V, Section 2(C)(8), "Provision for disposal of rejects".

Administrative Interpretation . This provision is similar to Part V, Section

2(B)(4) of the Model Rules and Regulations, "Disposition of Rejected Materials",

except that this requirement addresses noncompliant construction during the production

process

The procedure in the compliance assurance manual covering the disposition of

rejected materials may be expanded to also cover noncompliant construction or, if

necessary, a separate procedure for control of construction noncompliances may be

Included.

Comment . There should be a method of physically identifying construction

deficiencies by attaching a piece of flagging or a tag to the item or element in

question. This identification should be removed by the person responsible for

signing off that element of the construction only when the construction deficiency

has been corrected. The Inspection form accompanying the unit should contain a notation for all but minor deficiencies that are readily corrected, to provide the means of communicating the effectiveness of the manufacturer's compliance control

efforts to the Inspection Agency. Noncompliant units should be identified and their

disposition noted in the compliance record as required in Part V, Section 2(A)(4),

discussed on page 7 of this document (page 35 of this- report volume).

72
CES DOCUMENT NO. S-09 Page 25 of 33

Final Inspection and Certification

Citation . Part V, Section 2(D)(1), "Procedures for final inspection of all

manufactured buildings or building components before shipment to the site or storage

point, including identification and labeling".

Administrative Interpretation . The compliance assurance manual should provide

a procedure for final In-plant inspection (or final production test, if necessary)

of all completed manufactured buildings or building components prior to shipment to

building sites, staging areas or storage points. In-plant final inspection checklists should provide for verifying that -the officially approved certification label

and the manufacturer's data plate, as applicable, have been properly affixed in the

correct location and that labels, whether applied by the manufacturer or the Inspection Agency, are formally controlled and records maintained on label usage. Labels

and data plates should be checked to ensure that they bear correct Information and

that removal of the label cannot be accomplished without destruction.

Comment . Proper unit identification and final inspection status of completed

units should be readily determinable from identification markings and inspection

records. Individual unit inspection records should be verified and retained by the

manufacturer or Inspection Agency in accordance with the procedure on "Compliance

Records", Part V, Section 2(A)(4) in the compliance assurance manual.

73
CES DOCUMENT NO. S-09 Page 26 of 33

Handling and Storage

Citation . Part V, Section 2(D)(2), "Procedures for handling and storing all

finished manufactured buildings or building components, both at the manufacturing

plant or other storage point and after delivery to the building site".

Administrative Interpretation . The procedures for handling the finished buildings

or components should be described in detail. Including a description of all equipment

to be used, giving capacity and any other pertinent data required to document suitable

handling. Handling equipment and fixtures should be capable of performing the specific

task for which selected. Equipment should be proof-loaded and test operated prior to

actual manufactured building or component lift to verify capabilities.

If certified manufactured buildings or components are to be stored outside

any time between leaving the last fabrication station and site installation, proper

precautions should be documented to ensure that the finished product can not deteriorate due to the influence of adverse weather conditions, including humidity, heat

and cold, wind forces, etc. The environmental protection should permit access of a compliance assurance inspector to periodically examine the interior for water or weather damage or other degradation. The frequency of inspection should depend upon

local conditions and should be indicated in the compliance assurance manual.

Comment : Storage plans should give consideration to:

(1) Water ponding or infiltration on roofs, sides or bottom of units;

(2) Excessive humidity levels caused by improper ventilation;

(3) Cracking or racking caused by storing on an un-level surface, by too great

a span length between supports, or by over-stacking of units.

(4) Exposure to high wind forces or other unfavorable weather conditions which

could damage the building or component.

I

1

I

r4
CES DOCUMENT NO. S-09 Page 27 of 33

Packing, Packaging and Shipping

Citation . Part V, Section 2(D)(3), "Procedures for packing, packaging and

shipping operations and related inspections".

Administrative Interpretation . After final In-plant inspection, all operations

required for cleaning, preservation, packaging, packing, skidding, loading, blocking

and bracing aboard the transporter, as appropriate to the type of unit, should be

monitored as part of the compliance assurance program. The purpose of these activities

Is to ensure that deliverable manufactured units are protected against damage or

I deterioration due to adverse environmental factors or shipping.

The compliance assurance manual should include, as appropriate, those inspection

characteristics that identify precautionary measures to protect plumbing, mechanical

and electrical subsystems and Included appliances and fixtures from damage. In many

instances design considerations or minimal protection devices installed into the

manufactured building or component's construction during the production cycle can

' effectively minimize normal shock and vibration damage.

Pre-transport compliance inspections should assure that all internal packaging

and parts protection has been properly accomplished and that "ship-loose" items are fully secured.

Comment . If manufactured buildings or components have been in storage between

the time of final in-plant inspection and packaging (i.e., three weeks in winter

environments; six weeks in other environments), a re-inspection prior to shipping

should be performed to verify that the manufactured buildings or components are in

fact still in compliance.

75
CES DOCUMENT NO. S-09 Page 28 of 33

Transportation

Citation . Part V, Section 2(D) (^4), "Procedures for transportation. Including

all measures to protect against damage while In transit, and setting forth the modes

of transportation to be utilized and the carrying equipment and procedures".

Administrative Interpretation . Procedures should be outlined in the compliance

assurance manual to ensure that during the in-transit phase, which occurs between the

final station on the plant assembly line and the actual installation of the unit at the site, adequate precautions are taken to protect the compliance integrity of

manufactured buildings or building components.

In-transit and/or on-site verification checks should ensure that the manufactured

building or component has suffered no damage during hauling and transport. Construction site receiving inspection reports or other documentary evidence to this effect

should be available for submission to local enforcement agencies or the Inspection

Agency, If necessary.

Comment . The transporter should not Impose excessive shock or vibration loads

to the manufactured building or component. Appropriate shock and vibration absorption

devices should be employed where necessary to dampen such adverse forces to preclude

damage to transported units.

Provision for transportation and delivery may be under the cognizance of commercial carriers or other subcontractors, but such arrangements should Include conformance

with all regulatory requirements as well as protection of the construction compliance

integrity of manufactured buildings or components.

76
CES DOCUMENT NO. S-09 Page 29 of 33

Installation Control

Citation . Part V, Section 2(E)(1), "Installation procedures Including component

placement, equipment and procedures, field erection and finishing work, utility

connection instructions and all appropriate on-site inspection criteria and test

descriptions"

.

Administrative Interpretation . Construction compliance for this aspect of the

work should be the responsibility of the builder/erector who may or may not be the

manufacturer. The compliance assurance program should clearly define the procedures

which will indicate compliance of the site installed certified manufactured building

or component to the codes and standards which formed the basis of the certification.

The procedures should indicate the scope and frequency of installation inspections and

should include inspection checklists with applicable criteria and any functional

testing techniques indicated. Inspection procedures for installation control should

be made available to local enforcement agencies.

Comment . The inspection procedures to be established by the manufacturer should

recognize and provide for the susceptibility of the manufactured building or component

to incorrect installation resulting in code related deficiencies. The procedures

also will depend on the location of the Interface between the manufactured building

or component and the site installed provisions for its erection. For example, if

the foundations are a part of the manufactured and certified unit, soil bearing

characteristics directly affect the performance of the unit in service and thus must

be included in the inspection provisions. However, the inspection procedures for a manufactured roof component designed and certified to be installed on load bearing

walls which are not a part of the certified unit will have to include the load bearing

characteristics of the walls, but not the soil bearing characteristics which are necessary to properly support the site erected walls. It should be understood that

the omission of any item of installation control in the manufacturer's compliance

assurance manual does not relieve the builder/erector from complying with any local

requirement for such items.

According to the above discussion, the following list of items may have to be

considered in the development of on-site installation procedures and inspections.

(1) Site work

Where specific site work is a precondition for the proper in-service performance

of the manufactured building or component, such site work or site related investigations should be detailed in the manufacturer's installation instructions. Examples

of such items are:

(a) Soil bearing value

(b) Frost line

(c) Ground water table

(d) Chemical and physical soil characteristics

(e) Surface water drainage

(f) Topography, slope, and other site related considerations

77
CES DOCUMENT NO. S-09 Page 30 of 33

( 2 ) Foundations and Substructure

Where the In-service performance of a manufactured building or component is

dependent on specific foundation characteristics, such characteristics and their

determination should be detailed in the manufacturer's installation instructions.

Examples of such items are:

(a) Accuracy of horizontal and vertical foundation layout.

(b) Size, dimension, and reinforcement of footings, pilings, etc.

(c) Size, dimension, material, and reinforcement of foundation walls,

slabs, etc.

(d) Clearances from utility lines.

(e) Location and layout, including dimensional tolerances, for key ways,

anchor bolts, sleeves, and other items imbedded in or integral with the

foundations

(f) Provisions for testing concrete and pilings.

(g) Provisions for testing fabricated items such as reinforcing steel,

anchor devices, etc.

(3) Utilities and Services

The proper utility connections and devices used in the field installation of

manufactured buildings or components can directly affect the performance of any

mechanical, plumbing, or electrical subsystems which may be a part of the manufactured

unit. Accordingly, such field connections and the devices to be used should be

detailed in the building system and should be controlled by proper Instructions and

installation procedures. Items to be included in such procedures could be:

(a) Water supply; location, size, material, type of connector.

(b) Gas supply; location, size, material, type of connector.

(c) Sewer; location, size, material, type of connector.

(d) Electricity; location and type of connector; rating in volts and

amperes.

(e) Air; location, size, material, and type of ducts and duct connectors.

( 4 ) Structural Installation

The structural connections of the manufactured building or component to the site

or site work should be adequately detailed in the building system. The installation

control procedures should give the information necessary to verify that the structural

connections were installed as detailed. The following items may be included in the

procedures

(a) Attachment of anchors and foundation plates to site-built foundations

or other work.

(b) Attachment of anchors and foundation plates to the manufactured building or component.

(c) Detail, size, and material of anchors and anchor plates.

(d) Intermodule or component connection; location, size, material and

type of connectors.

(e) Roof connectors; location, size, material, and type of connectors.

78
CES DOCUMENT NO. S-09 Page 31 of 33

( 5 ) Fire Protection Provisions

The building system should Include details of all field Installed fire protection

provisions required for the fire related type of construction and other classifications given in the application for approval of the building system and in the building

system approval reports (CES Documents No. S-01 and A-03). The installation control

procedures should permit the verification that such field provisions have in fact

been installed, including such items as:

(a) Fire stopping, both between certified manufactured units and between

them and any field construction.

(b) Field applied fire protection of columns, beams, and other structural

elements or of partitions and walls to achieve the required fire rating.

(c) Connection of unit to fire alarm systems, sprinklers, and stand

pipes, including location, type of connection and connection devices.

(6 ) Testing

The installation control procedures should Include on-site testing procedures

for use by those responsible for the installation, inspection, and testing of field

Installed manufactured buildings or components. Including:

(a) Mechanical tests - Furnace operation, including gas supply; flues and

combustion air; system balance, including supply and return air volumes;

thermostat operation; air conditioning system.

(b) Plumbing tests - Water pressure tests, waste and vent line tests,

including hydrostatic or air tests; hot water heater operation.

(c) Electrical tests - Service; main panel, incoming service, branch

circuitry, switches, outlets, and installed appliance operation.

79
CES DOCUMENT NO. S-09 Page 32 of 33

Field Repairs

Citation . Part V, Section 2(E) (2), "Organizational provisions for field repair

and disposal of rejects".

Administrative Interpretation . The compliance assurance manual should contain

specific criteria to define the responsibility and liability of the manufacturer and

builder/erector for making the necessary field repairs and rework to bring any

deficient on-site Installed units into compliance. The procedures for handling

field noncompliances affecting the regulatory aspects of the construction should be

covered Including the reporting to the manufacturer and the Inspection Agency of any

noncompliances attributable to improper or inadequate plant inspection.

The compliance assurance manual should also state the procedure to be used for

withdrawing labels from units found not in compliance with regulatory requirements

in the field. This procedure should also indicate how backtracking of "suspect"

units in the field or in the plant which could have a similar noncompllant condition

is to be accomplished.

Comment . It is essential that field repairs be consistant with In-plant

construction control and that the elfectiveness of the compliance assurance program

be assessed by a measure of building site noncompliance history. A unit found not

in compliance in the field should be investigated and identified either as a single

incident peculiar to that unit or as a possible "noncompllant condition common to a number of similar units.

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

Permission for Inspection

Citation . Part V, Section 2(F), "The manufacturer should provide the Administrative Agency with written permission, signed and notarized, for the Administrative

Agency to Inspect his manufacturing facilities, his products, and building sites

under his control at any reasonable time without prior announcement".

Administrative Interpretation . The manufacturer should provide written permission, signed and notarized, for such inspections by the Administrative Agency as part

of the compliance assurance manual submittal.

Comment . Any special conditions relevant to granting such permission for inspection should be indicated in writing. These conditions could Include any proprietary

or restricted plant areas, safeguards to be employed for inspecting hazardous

operations or any limitations or additional permissions required for the inspection

of any subcontractor activities.

81
ill
d. Modification of Approved Systems and

Variation of Certified Units

In Part IV, Section 2(A)(7) It is stated that no building system, or amendment

thereto which has been approved, shall be modified In any way without prior authorization by the Administrative or Evaluation Agency. In Section 3(D) it is stated that

certified and labeled units shall not be varied prior to the Issuance of a certificate

of occupancy without the approval of the Agency. The former of these requirements

relates to changes or alterations in the building system prior to the fabrication of

units, the latter applies to physical changes or alterations of finished, constructed,

and certified manufactured buildings and components. Similarly, approval must also be

sought for any changes in an approved compliance assurance manual as discussed in CES

Document No. S-09.

All applications for approval either of modifications of an approved building

system or compliance assurance manual, or of a variation of certified units should be

submitted on the appropriate forms and should include all drawings, specifications, or other building system items necessary to clearly and fully show, and identify, any

and all proposed modifications or variations.

The method of approval for modifications of approved building systems depends on whether the modification is classified as major or minor. If it is a major change, a complete new application should be submitted; if it is a minor change, an application

for modification of approved building system should be submitted. A dimensional

change which does not change the system or configuration and which could be incorporated in the originally submitted plans by the Administrative Agency is an example

of what constitutes a minor revision. The original records, approval report, etc.,

would also be amended by the Administrative Agency. This is more economical than keeping several sets of records for similar systems with only minor differences between

them.

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

mechanical, or plumbing systems constitute a major revision and would be treated as

a new submission. It would be required to be resubmitted and to pass through the

entire process of evaluation and approval.

Since both complete resubmlttals and submittals for minor modifications are time

consuming and costly to the manufacturer as well as to the Administrative Agency, the

manufacturer should be provided with the flexibility of submitting drawings depicting

elements of construction on a system basis, under one plan approval application, e.g.

depict variations in floor plans that provide the manufacturer a substantial amount

of flexibility. The flexibility can be provided by the manufacturer through the use

of drawings that make extensive use of dimensions and sizes expressed as variables,

with tables and schedules containing values for these variables for different configurations or conditions.

CES Document No. S-10, Application for Approval of Minor Modification to an Approved Building System and/or Compliance Assurance Program was developed as an

83
example of a form on which to make application for modification approval. In Part IV,

Section 2(A)(7) It Is required that approval for modifications needs to be confirmed

in writing. Accordingly, the document was designed so that a properly signed and

stamped copy of the application form could be used for such written approval.

CES Document No. S-11, Application for Approval of Variation to a Certified

Manufactured Building or Component, was developed as an example of a form on which to make application for a variation approval. Similar to modifications, approval of

variations can be confirmed by returning to the applicant a signed and stamped copy

of the application form.

84
CES DOCUMENT NO. S-10 Page 1 of 1 STATE OF

Name, and AddAUi od AdmiruJit/wuU.vz Agency

APPLICATION FOR APPROVAL OF MINOR MODIFICATION TO AN APPROVED

BUILDING SYSTEM AND/OR COMPLIANCE ASSURANCE PROGRAM

Modification of Building System Modification of Compliance Assurance Program

Application is hereby submitted for approval of modification(s) detailed belov/ to the building system and/or compliance assurance program. Unless otherwise stated the

modifications shall be subject to the same conditions, agreements, limitations and

statements contained in the original application for approval and in the building

system approval report.

GENERAL INFORMATION

Name of Manufacturer

Previous Application No. Previous Approval No. Effectiveness (Label Number(s) or Date(s))

Oral Authorization Obtained ED Yes CH No Date

Documents Submitted (Specify)

DESCRIPTION OF PROPOSED MODIFICATIONS ( S

)

Name of Inspection Agency

(Name of Applicant) (Title) (Signature) (Date)

(Name of Architect/Engineer (if required) (Signature) (Date)

AGENCY USE ONLY Fee Required

Modifications Approved CI! Modifications Disapproved

Remarks

Changes to the Building System Approval Report

(Name of Evaluator) (Title) (Signature) (Date)

(Name of Agency Official) (Title) (Signature) (Date)

85

CES DOCUMENT NO. S-11 Page 1 of 1 STATE OF

Name, and KddA.iiM> AdminLifuitivz Age.ncy

APPLICATION FOR APPROVAL OF VARIATION TO A CERTIFIED

MANUFACTURED BUILDING OR COMPONENT

Application is hereby submitted for approval of varlation(s) to a certified

manufactured building or component. Unless otherwise stated the variations shall

be subject to the same conditions, agreements, limitations and statements contained

in the original application for approval and the building system approval report.

GENERAL INFORMATION

Name of Manufacturer

Name of Builder or Owner

Previous Application No. Previous Approval No. Label Serial Number (s)

Unit Serial Number

Location of Unit

Documents Submitted (Specify)

DESCRIPTION OF PROPOSED VARIATION(S)

(Name of Applicant) (Title) (Signature) (Date)

Name of Architect/Engineer (if required) (Signature) (Date)

AGENCY USE ONLY Fee Required

CH Variation(s) Approved CU Variation(s) Disapproved

Remarks

(Name of Evaluator) (Title) (Signature) (Date)

(Name of Agency Official) (Title) (Signature) (Date)

87

5. 3- Preliminary Review

The purpose of the preliminary review Is to determine that the application for

building system or compliance assurance manual approval is suitable for evaluation

[Part IV, Section 2(A)(2) and (B)(2)]. It is not the intent of the preliminary

review to determine all the details of code compliance of the system or program. A properly performed and relatively detailed preliminary review will prevent unsuitable

applications which include obvious violations from entering the evaluation process arid will thus improve the efficiency of the agency or agencies responsible for the

regulatory activity.

The following documents are suggested to aid in the preliminary review process:

CES Document No. E-01 Processing Record

CES Document No. E-02 Preliminary Review Checklist

CES Document No. E-03 Submittal Unsuitable for Processing

CES Document No. E-01, Processing Record, was prepared to aid the Evaluation

Agency in the administrative record-keeping associated with the evaluation and

approval (or disapproval) process. The Processing Record is Intended to also serve

as a routing slip to travel through the entire process with the submission documents.

Piled after completion of the approval process, it constitutes, together with the

application form and the filled out review and evaluation checklists, a complete and

comprehensive record of the evaluation activity associated with the particular application, including the computation of evaluation fees based on time (man-hours) and

other (travel, etc.) costs.

CES Document No. E-02, Preliminary Review Checklist, contains all those items

which should be considered in determining whether a submission is suitable for evaluation or not. It is recognized that not all items indicated on the checklist may be

needed for proper evaluation in every single application (particularly in the case of

building components). However, It is believed that such unnecessary items will be

self-evident and can be noted as "not applicable" (N.A.) in the remarks column.

CES Document No. E-03j Submittal Unsuitable for Processing, is used for notifying

the manufacturer that a preliminary review has indicated that his submission is unsuitable for processing. In addition to the notice, the submitted documents are returned,

together with an indication of the reasons for such action [Part IV, Section 2(A)(2)

and (B)(2)]. Although the Rules and Regulations require this formal response, the

Administrative or Evaluation Agency to whom the application is made should recognize

that the return of the submission documents to the manufacturer, and their possible

resubmittal, is costly and time consuming, both to the agency and the manufacturer.

Accordingly, it is suggested that where the "Unsuitability for Processing" is due to

a minor omission the manufacturer be given an opportunity to provide the necessary

additional Information or to make such correction necessary to provide a submission

suitable for processing before a formal notice of unsuitability is issued.

89

CES DOCUMENT NO. E-01 Page 1 of 1 STATE OP

Nairn and kddJiUi,

PROCESSING RECORD

Name of Manufacturer_

Address

Type of Application: EH New System or Program Major Modification

ED Building System: Appl. No. Date EH C . A . Program : Appl. No. Date_

DESCRIPTION:

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

B. Type of System: unitized Modular Core Unit CI Component

Q Architectural D Structural ED Mechanical D Plumbing ED Electrical

other (Specify)

HO 1 ±Ul^o Building System C.A. Program

Date Hrs Initials Date Hrs Initials

Application Received

Forwarded for Preliminary Review

Preliminary Review Disapproved

Notice of Unsultability Sent

Preliminary Review Approved

Forwarded for Evaluation

Evaluation Completed

1. Architectural

2. Structural

3. Mechanical

4. Plumbing

5. Electrical

.6. Manufacturing Facility

Completed Eval. Notice Sent

Approval Report (B.S.) Completed

other Actions:

FEE COMPUTATIONS AND RECORD Man-Hrs Ftate Total Deposit Reed Date Fee Due Overpayment

Building System Evaluation

C.A. Program Evaluation

Other

Fee Received $ Date Overpayment Returned $ Date

Building System Approval Report No. C.A. Program Approval No.Date

Date

Date Sent

Date Sent

91

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STATE OF

CES DOCUMENT NO. E-03 Page 1 of 1

Name, and AddteAi o^^ kdmiyuAtAotivz Agency

Wame UanudactuAeA Date

RE: SUBMITTAL UNSUITABLE FOR PROCESSING

Dear Sir:

Our preliminary review of your submission of the following

application ( s ) for the approval of

Building System - Application No. C.A. Program - Application No. indicates that your submittals are unsuitable for processing due to following reasons

:

Attachments

:

Preliminary Review Checklist

Documents Returned plans Dspecs calculations test data c.A. Manual

I I other

Sincerely

,

Signature of Agency Official

Name and Title

97

5.^. Evaluation

Evaluation as used herein Is the process of reviewing the submitted building

system and/or compliance assurance program documentation to determine the compliance

of the system and program with all codes and other applicable requirements. Therefore, the evaluation is the central activity In the approval process; that is, no matter how well the rest of the manufactured building regulatory program is administered, how well the preliminary review is conducted, or how well the approval documents are prepared, such approval Is meaningful only if the evaluation is conducted

effectively. The efficiency of the program administration and the completeness and

clarity of the submission documents both affect the evaluation effectiveness.

The most Important factor in determining the effectiveness of the evaluation

program is the quality of the individual evaluator, both with regard to his technical

competency and his reliability. It is not within the scope of Project CES to discuss

either of these two factors, except to emphasize that the technical competency referred

to Is not the same as that required primarily by a designing engineer or architect

for whom the creative application of technical knowledge is of utmost Importance.

The required competency of the evaluator Includes a thorough understanding of the

codes and the meaning and intent of the various code provisions. A detailed analysis

of qualification requirements for evaluating personnel is being conducted by NBS

Project LEAP.

Although the personnel qualifications must be considered as the single most

important element in the effectiveness of the evaluation process, for a given level of

personnel qualifications this effectiveness also depends on the aids provided to the

evaluators, such as checklists. Instructions, reference books, and forms. Such aids can significantly Improve the efficiency of the operation, giving the evaluator more

time for the study of the critical or unusual provisions of a building system or compliance assurance manual, thus reducing the cost of the regulatory program. In addition, the aids used in a specific program are Important to any person who has the

responsibility of evaluating the effectiveness of such a program, particularly when

one state is considering the granting of reciprocity to another state. The quality

of the aids used in the evaluation process of a particular state program directly

affects the credibility that can be placed in the program, and if several states use

the same, or similar aids, a good basis exists for the mutual acceptance of approved

and certified manufactured buildings or components. Accordingly, superior aids, or evaluation documents, not only serve to Improve the evaluation function, but also

directly affect and improve the reciprocity among the states, thus serving the industry by allowing marketing areas which are regional or national in scale rather than

restricted to the territory of a single state.

In addition to the above broad significance, these evaluation documents can be

of importance in the transmittal of the reasons for disapproval of an application.

A copy of the filled out evaluation checklists can serve this purpose.

99
a. Building System

It is required that the Administrative or Evaluation Agency determine whether a submitted building system meets the codes, standards, and specifications adopted by

the state, and conforms to the requirements of the Act and the Rules and Regulations.

The determination that the building system meets the requirements of the Act and the

Rules and Regulations is considered during the preliminary review. This section on Evaluation discusses the determination of compliance with the applicable building,

mechanical, plumbing, and electrical codes.

As an aid to the evaluator, various model code groups have developed checklists

based on their codes. For states having adopted one of these model codes, such lists

could be used in the evaluation of building systems. In the interest of reciprocity,

however, it would be desirable for the states to use uniform lists Independent of the

codes used. Accordingly, Project CES has developed lists giving the code requirements

in general terms. These lists are applicable to any one or all of the following

codes

Uniform Building Code, ICBO

Uniform Mechanical Code, ICBO, lAPMO

Uniform Plumbing Code, lAPMO

Basic Building Code, BOCA

Basic Plumbing Code, BOCA

Basic Mechanical Code, BOCA

Southern Standard Building Code, SBCC

Southern Standard Mechanical Code, SBCC

Southern Standard Plumbing Code, SBCC , Southern Standard Gas Code, SBCC

National Electrical Code, NFPA No. 70

One and Two Family Dwelling Code, BOCA, Am. Ins. Assn, SBCC, ICBO

In addition to checklists, the various code groups have developed manuals and

similar publications useful to the evaluator. The following books and manuals are

a few examples of publications which provide the evaluator and inspector with useful

background Information:

" Plan Review Manual " [11]

This manual (1971) was developed as an aid to those engaged

in the review of plans for code compliance. It is divided

into two sections: (a) structural, (b) non-structural. The

Uniform Building Code (Vol. 1-1970) has been used as reference

throughout the text. However, the principles discussed could

be extrapolated and applied to users of any of the model codes.

" Uniform Plumbing Code Interpretations Manual " [12]

This book Includes two sections: (1) an interpretations manual;

and (2) an Inspectors' manual. Part I is especially useful to

the evaluator utilizing the Uniform Plumbing Code (UPC), as there

100
are many UPC Code requirements that can be met in different ways

and still comply. The manual would aid the evaluator in accepting

alternatives if submitted by the manufacturer for approval. The

Inspectors' manual is designed to aid in uniform application of

plumbing code provisions and procedures. It is composed of

selected items from lAPMO's in-service training files, pertinent

to Uniform Plumbing Code administration, which have found practical

acceptance in local use.

" A Training Manual in Field Inspection of Buildings and Structures " [13]

This is a useful book for the inspector who wants to achieve

skill in inspection techniques. It also serves as a teaching

syllabus for inspector training courses.

" NFPA Handbook of the National Electrical Code " [lij]

Based on the National Electrical Code, this book is a useful

aid to the evaluator as well as the designer. It Includes

comments, diagrams and illustrations which facilitate understanding of the code rules.

" Electrical Code Diagrams " [15]

These are useful books in understanding the National Electrical

Code, and the diagrams should be helpful to the designer,

evaluator and the electrical inspector.

" Practical Electrical Wiring " [16]

Based on the National Electrical Code, this is a very useful

book for the electrical inspector who wants to learn the trade

as well as for the Inspector already engaged in electrical

inspection. The scope of the book has been limited to wiring

of structures of limited size and at ordinary voltages, under

600 volts.

(1) Use of CES Evaluation Checklists . The checklists CES Documents No. E-04

to E-08 can be used for the following purposes: (a) to assure that the evaluator

considers all relevant code related items; (b) to provide a permanent record of the

evaluation; (c) to serve as a means of transmitting a list of deficiencies to the

manufacturer in conjunction with a "Notice of Completed Evaluation", CES Document

No. A-01; and (d) as a basis from which a more detailed checklist can be developed

if the Administrative Agency considers such a detailed checklist is necessary.

(2) Content and Format of CES Evaluation Checklists . The content of the checklists is based on the general requirements for evaluation of the code related items

for detached one and two family dwellings, as given in the major model codes. The

lists do not contain specific requirements such as numerical values or material

specifications. The checklists do give the appropriate chapter and section numbers

of the "One and Two Family Dwelling Code" ("One and Two Family Electrical Code" in

CES Document No. E-08). Space is provided for Inserting the appropriate section

101
numbers of the code in effect in a specific jurisdiction. In addition, space is

provided on the checklists for recording compliance or noncompliance as appropriate,

and for remarks for identifying any specific deficiency.

The One and Two Family Dwelling Code is based on the model codes, setting forth

minimum requirements for detached one and two family dwellings not more than three

stories in height, and covers all Important items of the other codes. The One and

Two Family Electrical Code (NPPA No. 70A-1972) is based on the National Electrical

Code (NFPA No. 70). Only those wiring methods and materials most commonly encountered

in the construction of new one and two family dwellings are included in this electrical code (NFPA No. 70A), and only current ratings up to and including 225 amperes and

voltages up to and including 600 volts are Included in this code.

(3) Document Identification. The evaluation checklists are divided into the

following documents:

CES Document No. E-04

CES Document No. E-05

CES Document No. E-06

CES Document No. E-07

CES Document No. E-08

Architectural

Structural

Mechanical

Plumbing

Electrical

Since the code provisions do not clearly distinguish between structural features on the one hand, and architectural, fire, and health and safety on the other hand, the

classification of items into CES Documents No. E-04 and E-05 is in some instances

rather arbitrary. Accordingly, the two checklists should be used together and not

used independently from each other.

(4) Certification and Testing of Building Products . Various code provisions

require that building elements, equipment, and equipment parts be "certified" or be

tested. Accordingly, the evaluator may be called upon to determine whether a particular "certification" or label meets the requirements of such code provisions,

and whether a particular test performed reliably demonstrates the performance of

a product. As an aid in this determination, CES Document No. E-09 discusses both

certification procedures and test reports.

102
CES DOCUMENT NO. E-O^J Page 1 of 8

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CES DOCUMENT NO. E-09 Page 1 of 2

CERTIFICATION OF PRODUCTS AND TEST REPORTS

a. Certification

Some form of certification exists today for many building products. The purpose

of such certification Is to assure the compliance of the product to some code or standard of safety and performance. The certification programs are either:* (i) established and administered by Independent organizations such as Underwriters' Laboratories;

(2) established by a trade association but administered by an Independent organization

such as the window certification program of the Architectural Aluminum Manufacturer's

Association, administered by Electrical Testing Laboratories, Inc.; (3) both established and administered by a trade association such as the program sponsored and

administered by the American Plywood Association; or (4) administered and enforced by

a single manufacturer (self-certification). Some certification programs are based on

a single test or evaluation of a prototype, some are based on periodic retesting or re-evaluation of the product, and some finally are based on tests and on a continuing

surveillance of the manufacturing process to assure not only that the design of the

product complies to a prescribed code or standard, but also that actual production

units meet such code or standard.

From the above discussion it is evident that the degree of confidence that the

evaluator can place in the certification of a specific product depends on the degree

of independence of judgement exercised in accepting or rejecting the product. Accordingly, the certification information to be submitted to the evaluator for the

determination of the product's compliance with a specific code or standard should

include the following data:

1. Identification of product

2. Name of agency or organization that has established the certification program.

3. Name of agency or organization that administers the program.

4. Code or standard that forms the technical basis for the certification.

5. Type of evaluation method used (testing, analysis).

6. Number of specimens tested or evaluated.

7. Sampling techniques and Identification of person conducting the sampling.

8. Frequency of follow-up tests.

9. Brief description of surveillance activity to assure uniformity of production

quality.

10. Limitations, if any, of the certification.

*Programs cited are examples of known certification processes. No preference for a particular program is intended nor is any ranking of programs implied.

125
CES DOCUMENT NO, E-09 Page 2 of 2

Although all the above factors can influence the confidence to be placed in any

particular certification program, it is recognized that some programs have been found

so reliable that they are nationally recognized. In such instances Administrative

Agencies do not normally require the submission of all the above information. It should also be recognized that the certification programs themselves depend largely

on the characteristics of the product, particularly its complexity. Accordingly,

both the evaluation of and the submission requirements for certification documents

will depend on the individual product. It would serve both the Administrative Agency

and the manufacturer if the agency would prepare a list of those products and certification programs for which not all the above Information need to be submitted.

b. Test Reports

Tests on products, as used in this context, mean the testing of an individual

product independent of any certification program. The purpose of such tests is the

demonstration of the performance capabilities of a product related to specific or implied code or standards requirements. If the method of test is not given in the

code or standard, the evaluation of the test report submission will have to Include

a determination of whether or not the test conditions simulate accurately the conditions to which the product will be subjected in service. Only after such a determination is an evaluation of the product's performance during the test meaningful. Where

test methods are used that are promulgated by nationally accepted consensus standards

organizations, such as ASTM, ANSI, etc., in general it need only be determined that

such method truly applies to the specific product and intended use.

In recognition of the above, the test report submission requirements should

Include the following:

1. Identification of the specimen tested (manufacturer, type, model number,

source of supply, etc.).

2. A detailed description or drawing of the physical characteristics of the

specimen, including condition (age, repair, etc.).

3. Number of tests and sampling technique used in selection of specimens.

H. Identification of test method used (if a standard test method) or a detailed

description of the test procedure, equipment, and instrumentation used.

5. Tabulation of numerical values associated with test, such as loadings,

voltage, etc., and corresponding result readings (e.g. deflections), giving the

time scale Involved.

6. Listing or Identification of any significant test conditions not indicated

above (such as ambiant air temperature, humidity, etc.).

7. Date of test.

8. Name and address of testing organization or laboratory.

9. Signature of the laboratory's officer or authorized representative (generally

a test engineer in charge who is a professional engineer), and date of signature.

126
c. Compliance Assurance Program

Part IV, Section 2(B) of the Model Rules and Regulations provides for the separate

submittal, evaluation and approval of a manufacturer's compliance assurance program

that meets the requirements set forth in Part V, Section 2. The latter submittal

requirements have been further clarified and expanded in the administrative interpretations outlined in CES Document No. S-09 of this report. CES Document No. E-10,

"Evaluation Checklist - Compliance Assurance Manual," has also been developed to set

forth the major areas to check during the evaluation of a manufacturer's submitted

compliance assurance manual. The evaluation checklist should be considered as an aid

to the evaluator to preclude overlooking any major area of compliance activity. It cannot be stressed strongly enough, however, that the evaluation of the compliance

assurance manual describing a manufacturer's compliance assurance program should be

reviewed and thoroughly evaluated in consort with the technical review and evaluation

of the manufacturer's building system.

There should be a complete and open understanding of the design features and

applicable code limitations of the manufacturer's building system as well as an appreciation for critical fabrication processes that may be single failure points

and affect life safety as latent failures in the installed system. For these reasons,

the evaluation of the compliance assurance manual is as significant and possibly

more important than the evaluation of the building system. If possible, and if

personnel are properly trained and qualified, the review and evaluation of these two

separate submittals (e.g., building system and compliance assurance manual) should be

conducted by the same individuals.

It should be pointed out that the "Evaluation Checklist - Compliance Assurance

Manual" (e.g., CES Document No. E-10) is not necessarily a comprehensive listing of

all compliance assurance Inspection activities and completion should not be considered

as a complete approval evaluation. As indicated above, the critical design factors

of the building system and their inspectablllty for code compliance during the production sequence should be strictly considered during the evaluation process.

Submitted compliance assurance manuals should address all applicable compliance

assurance functions and should reflect a composite of both manufacturer controls and

Inspection Agency verification procedures as required by the regulations. For clarification, it should be pointed out that the compliance assurance program is concerned

strictly with all of the regulatory code compliance aspects of the construction and

not directly with other attributes of manufactured building quality control, such as appearance, finish and other cosmetic factors. These factors, however, may be indicators of how conscientious manufacturers are about code compliance of the construction.

127
The "Evaluation Checklist - Compliance Assurance Manual" should be filled out

for each manual reviewed with any questionable areas noted on the forms or in the

manual itself. Questionable areas in the submitted manual can be clarified during

the on-site facility evaluation of the manufacturer's plant, which is also a key

part of the evaluation process. Manuals which do not provide sufficient detail to assure construction compliance should be disapproved.

As part of the evaluation process. Part IV, Section 4(A) requires that the

manufacturing facility be evaluated. CES Document No. E-11, Manufacturing Facility

Evaluation Report, was developed to aid in this evaluation and to report the

evaluation results.

128
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CES DOCUMENT NO. E-11 Page 1 of 6

MANUFACTURING FACILITY EVALUATION REPORT

The Manufacturing' Facility Evaluation Report has been developed as a suggested

aid and report format for conducting the inspection survey of the manufacturer's plant

facilities as required by Part IV, Section H{A) of the Rules and Regulations. The

purpose of this plant Inspection by the Evaluation Agency or Administrative Agency

is to determine that the provisions of the compliance assurance manual as submitted

for evaluation are in fact implemented, or can be readily implemented, as soon as actual production starts (after approval of both the building system and the compliance assurance program). Where a plant is already in operation, the survey or inspection

of the facility may also include the evaluation of prototype or production unit

compliance in conjunction with the preparation of "certification reports."*

Pages 3 and ^ of this document give a suggested checklist to be used in the

plant evaluation. A suggested format to be used by the plant evaluation Inspection

team for reporting the results of its evaluation is given on page 2. Page 5 is a suggested evaluation work sheet to be used when evaluating a plant in operation and

where the compliance of units under production is to be included in the evaluation,

and page 6 gives a suggested format for reporting the results of such unit compliance

inspections. This form is to be used in conjunction with the report form given on page 2.

The Manufacturing Facility Evaluation Report could also be utilized by the

Administrative Agency in the conduct of its monitoring responsibilities of Inspection

Agencies as required by Part IV, Section 4(D) of the Rules and Regulations.

*" Certification Reports" are utilized in certain state regulatory programs as a guide

for the manufacturer and inspectioji agency to determine compliance.

139
CES DOCUMENT NO. E-11 Page 2 of 6

STATE OF

\ Namz and addAZM Adm-inlit^LOutivz \

' Agzncy ok EvaZacution Agzncy

j

MANUFACTURING FACILITY EVALUATION REPORT

NAME OF MANUFACTURER:

PLANT LOCATION:

APPLICATION NO: BUILDING SYSTEM APPROVAL NO. (IF AVAILABLE):

NAME OF INSPECTION AGENCY:

ADDRESS:

DESCRIPTION OF BUILDING SYSTEM:

PERSONS CONTACTED (NAMES, TITLES, AFFILIATIONS):

EVALUATION TEAM SUMMARY COMMENTS - (SEE FOLLOWING PAGES OF THIS REPORT FOR DETAILS):

RECOMMENDATION: ACCEPTABLE MANUFACTURING FACILITY EVALUATION

UNACCEPTABLE - DISAPPROVE COMPLIANCE ASSURANCE MANUAL

UNACCEPTABLE - DISAPPROVE PLANT

UNACCEPTABLE - DISAPPROVE INSPECTION AGENCY

OTHER RECOMMENDATION:

NAME, SIGNATURE AND DATE OF EVALUATION TEAM MEMBERS:

140

Page of
CES DOCUMENT NO. E-11 Page 3 of 6

MANUFACTURING FACILITY EVALUATION REPORT

Evaluation worksheet for determining adequacy of compliance assurance program

AREA FOR EVALUATION SATISFACTORY EXPLANATION OF

YES NO ITEMS CHECKED "NO"

Manufacturer's compliance

organization has Independence

from production department.

Compliance control personnel

are adequately trained and

qualified

.

Checklists for a "uniform system

of audits" are maintained by

mfgr. or Inspection Agency.

Compliance records are maintained by manufacturer

and Inspection Agency.

Building system and compliance

assurance manual changes are adequately controlled.

"Working drawings", if used,

are adequately controlled.

A unit identification or serial

numbering system is utilized.

Certification labels are adequately controlled by Inspection Agency and/or manufacturer.

Receiving inspection checklists

are utilized.

Storage and handling of materials

is adequate.

Rejected raw materials are identified and dlsposltioned

.

Corrective action is implemented

and documented, as necessary.

Evaluation by: Date

:

Page of
CES DOCUMENT NO. E-11 Page 4 of 6

P1ANUFACTURING FACILITY EVALUATION REPORT

Compliance assurance program evaluation worksheet - jntinued.

AREA FOR EVALUATION SATISFACTORY EXPLANATION OF

YES NO ITEMS CHECKED "NO"

Control of testing and inspection

equipment, if any, is adequate.

Manufacturer frequency of

inspection is satisfactory.

Inspection Agency frequency of

inspection is satisfactory.

Plant or factory layout of

stations is satisfactory for

CL-LJ. XI i O ^ ^ L> U X Wil o • In-plant Inspection checklists

are utilized at each station in

In-plant inspection checklists

adequately list all essential

Code compliance workmanship

standards are satisfactory.

Noncompllant construction

identified and corrected.

Compliant units properly labeled

and records of labels maintained.

Certified units properly handled

and stored prior to shipment.

Compliance assurance manual

being followed by manufacturer.

Compliance assurance manual

being followed by

Inspection Agency.

Evaluation by: Date: Page of

142
CES DOCUMENT NO. E-1] Page 5 of 6

MANUFACTURING FACII ITY FVAIIIATIQN RFPORT

Evaluation worksheet for production unit compliance inspections by station

STATION NO. AND NAMESYSTEM*

COMPLIANCE

OP

MATEnlALb

COMPLIANCE

OP

PABRICATION

REMARKS - include

unit serial numbers,

where appropriate

S

PM

E

S

PM

E

S

PM

E

SPM

E

S

PM

E

S

PM

E

S

PM

E

SPM

E

S

PM

E

* S - structural; P - Plumbing; M - Mechanical; E - Electrical

Use additional evaluation worksheets for remainder of stations

Evaluation by: __Date: Page of

143
CES DOCUMENT NO. E-11 Page 6 of 6

mNUFACTURING FACILITY EVALUATION REPORT

Summary findings for production unit compliance Inspections by station. Describe

any building system noncompliances and code violations from Production Station Evaluation Worksheets.

STRUCTURAL ELEMENTS:

FIRE PROTECTION CONSIDERATIONS:

PLUMBING SYSTEM:

MECHANICAL SYSTEM:

ELECTRICAL SYSTEM:

Use additional sheets as necessary

Evaluated by: Date

Page of
5.5. Approval and Disapproval

Approval of a building system or compliance assurance program application is

signified by appropriately stamping each sheet of the building system or compliance

assurance manual and by preparation of a building system approval report. If an application is disapproved, a notice is sent to the manufacturer and the documents

submitted are returned unmarked.

It is recognized that a mechanism should exist for the Evaluation Agency to notify the manufacturer of minor deficiencies and to allow the manufacturer to make

necessary corrections without the need for a complete resubmission. The determination whether a deficiency is minor is solely the responsibility of the Evaluation

Agency and it should be understood that, outside of the appeals procedures regulated

in Part VIII, Sections 1 through ^, the conduct of the above suggested meetings and

the permission to correct submission documents after initial submission is strictly

at the discretion of the Evaluation or Administrative Agency, although such agency

should take into consideration that a requirement for full resubmission may constitute

a hardship on the manufacturer.

The following model documents relating to approval and disapproval activities

have been developed:

CES Document No. A-01 Notice of Completed Evaluation

CES Document No. A-02 Stamps of Approval

CES Document No. A-03 Building System Approval Report

145

CES DOCUMENT NO. A-01 Page 1 of 2

NOTICE OF COMPLETED EVALUATION

The purpose of the Notice of Completed Evaluation is: (1) the notification of

the manufacturer of the action taken by the Evaluation Agency; (2) the statement of

additional fees due to the agency or refunds due to the manufacturer (In case the sum

of the deposit collected was greater than the total of fees required); and (3) If the

application is disapproved, the transmittal of the reasons for such disapproval, that

Is, a list of deficiencies found.

Based on the above purposes, the following Information should be contained in the

Notice of Completed Evaluation:

1. Name and address of manufacturer;

2. Application number(s);

3. Results of evaluation (approved, disapproved);

4. Fees due by manufacturer to the Administrative or Evaluation Agency; or refund due the manufacturer;

5. In case of disapproval, a list of deficiencies found. A copy of the Evaluation Checklists (CES Documents No. E-04 to E-08 and E-10) may be used for this purpose.

6. In case of approval, a statement that after receipt of the additional fee due

(if any), a copy of the approved (stamped) documents will be returned to the manufacturer (together with an approval report if application was for a building systems

approval)

.

Page 2 of this document shows a sample form for the "Notice of Completed

Evaluation"

.

147
STATE OF

CES DOCUMENT NO. A-01 Page 2 of 2

Nome and AdcUiUi

Norm o{j Hanu^acJuAtn. Date

RE: NOTICE OF COMPLETED EVALUATION

Building System - Appl. No.

c .A. Program - Appl. No.

Dear Sir:

[Zl Evaluation of your submission for the above application ( s ) has been completed

This office will issue approval documents upon remittance of evaluation fees

payable to .

[H Evaluation of your submission for the above application ( s ) has been completed

Your application is disapproved for the following reasons:

Attachments:

D Evaluation Checklists

Documents Returned CH plans [Zlspecs IZl calculations IZJtest data HHcA. Manual

I I other

Fee Due $

Refund $

Sincerely

,

Signature of Agency Official

Name and Title

148
CES DOCUMENT NO. A-02 Page 1 of 3

STAMPS OF APPROVAL

According to the Rules and Regulations [Part IV, Section 2], the approval of

building systems and compliance assurance programs is to be signified by a stamp of

approval on each sheet of the submission, "or by other effective means of identification". In Part V, Section 1(A)(7) a space of 3 inches by 4 inches is required on all

drawings of a building submission application, and a 3 by 'I inch stamp is used for

signifying approval on such drawings. This is in conformance with current practice

in many states, and provides sufficient space for the information required on the

stamp. Although a similar space is not mandatory on compliance assurance program

submissions, the same stamp should be used on the first page or on the cover of the

compliance assurance manual, as well as on specifications which may be submitted with

a building system. However, the single pages of a compliance assurance manual or of

a set of specifications can not conveniently be stamped with a 3 inch by 4 inch stamp.

Accordingly, an "other means of identification" of such pages should be used which is

smaller and need not contain all the Information required on the larger approval

stamp. Accordingly, it is suggested that a smaller and simpler stamp be used for such

pages. The contents of both stamps are discussed in this document.

Contents of Stamp of Approval

A 2-7/8 inch by 3-7/8 inch stamp of approval should be used. Such stamp should

contain as a minimum the following Information:

1. Identification of State

2. Identification of Administrative Agency or of Evaluation Agency (if different

from the former).

3. A statement that the plans and/or compliance assurance manual have been

approved pursuant to the applicable legislation (identify enabling legislation and

regulations )

.

4. A statement that this approval does not authorize any deviation or omissions

from valid state or local laws.

5. A statement that the approval of either a building system or a compliance

assurance program alone does not authorize the certification of units built according

to such system or manual, but that approval for both must be obtained.

6. Approval number.

7. Space for signature of authorized person (including title) and the approval

date

.

In some states additional Information is given on the approval stamp, such as design loads, occupancy class, etc. However, If such information is contained in the

Building System Approval Report (CES Document No. A-03) it appears that it need not

be repeated on each stamp.

IH9
CES DOCUMENT NO. A-02 Page 2 of 3

Contents of Alternate Stamp

For identifying typewritten pages, such as in a compliance assurance manual, it

is suggested that an alternate stamp be used. Such stamp should not be used singly,

but only in conjunction with an approval stamp as described above.

The content of such an alternate stamp should be as simple as possible while

still performing the function of "identifying" the pages. Accordingly, It Is suggested that only the following items be shown.

1. Identification of state;

2. Identification of approving agency;

3. Approval number.

It is suggested that such stamp be not greater than 3/^ inch by 2 inch so that

it can be placed conveniently on the margin of typewritten pages.

On Page 3 of this document samples for both the Approval Stamp and for the

Alternate Stamp are shown.

150
CES DOCUMENT NO. A-02 Page 3 of 3

3 7/8 Inch

STATE OF

Norm 0^ AdrruiyuJitfuitiy/z Agmay

OK EvaJLwxtion Agency

This nBulldlng System

Compliance Assurance Manual

has been evaluated and Is hereby^ approved

pursuant to f Idtnti^^y mabtinq

tzQ-ui^Ltion and

_ i&guZatioyUi _

This approval does not authorize any deviation or omissions from state or local law.

Approval for both a building system and com- pliance assurance manual must be obtained prior

to unit certification.

Approval No.

2 7/8 inch

Approval Stamp for signifying approval of drawings and

front page of typed or printed documents.

2 inch

STATE OF

|~ Name 0^ kppfiov-ing n

APPROVAL NO

3/^1 inch

Alternate Approval Stamp for signifying

approval of typed or printed pages.

151

CES DOCUMENT NO, A-0 3 Page 1 of 3

BUILDING SYSTEM APPROVAL REPORT

The main purposes of the building system approval report are: (1) to notify the

manufacturer of the approval of his submission, and (2) indicate the conditions of

such approval, particularly a limitation imposed on the use of the building system.

In addition, the report serves to transmit such information to the local enforcement

agency in whose jurisdiction the manufactured building or building component is to be

Installed, or to other states in which the manufacturer applies for approval based on reciprocity.

The approval report should contain the following information:

I. Type of Approval : This indicates whether a new system is being approved

or a modification, and gives all pertinent approval and application

numbers, dates, etc.

II. Identification : In this section the manufacturer, the location of his

plant, and any Inspection Agency and/or architect/engineer involved in

the design are identified.

III. Documents Submitted : All documents which formed the basis for the approval

are to be listed.

IV. Description of Manufactured Building or Component : This section gives

pertinent information regarding the approved building or component,

including items such as type of occupancy, type of construction, principal construction materials and design parameters (loads and temperatures).

V. Details of Construction : This is a brief description of all major

construction systems which form part of the building or component.

VI. Applicable Codes or Standards : The codes and standards used as a basis

for the technical evaluation are to be noted in this section.

VII. Installation Instructions : A discussion or list of critical items or provisions that must be observed in the preparation for and installation

of certified units on the site.

VIII. Limitations of Approval : Any use limitations of the approved building

system, other than those Inherent In the Information given in IV above,

should be clearly stated.

In addition, the name, title, and signature of the person preparing the approval

report and of the agency official also must appear on the document.

A sample approval form is given on the following two pages.

153
CES DOCUMENT NO. A-03 Page 2 of 3 STATE OF ^^S®

Nome and Addn.zi>i> 0|$

AdnU-yiiiitnjCLtivQ, Agmcy

BUILDING SYSTEM APPROVAL REPORT

I. TYPE OF APPROVAL New System Modification

Date of Approval Expiration Date

APPROVAL REPORT NO.

Previous Approval Nos :LllBuilding System EUc.A. Program

Building System Application No. Date

II. IDENTIFICATION

Name of Manufacturer_

Address

Location of Manufacturing Plant

Name of Inspection Agency

Address

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

III. DOCUMENTS SUBMITTED Plans Dspecs QTest DataDshop Dwgs . Dc .A .Manual Dsample

Calculations(Type) CD Other (Specify)

ED Other State or Agency Approvals/Listings

IV. DESCRIPTION OF MANUFACTURED BUILDING OR COMPONENT

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

B. Type of Construction (classification)

C. Type of System: EH Unitized Modular EH Core Unit Qcomoonent

Architectural D Structural Elf Mechanical CU Plumbing EH Electrical

O Other (Specify)

D. Principal Construction Material: EH Wood EH Concrete EH Steel EH Masonry

other (Specify)^

E. Energy Source: Heating Cooling

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

G. Design Temperatures: Summer Winter

V. DETAILS OF CONSTRUCTION

Structure

Walls and Partitions:

Floor - Ceiling:

Roof - Ceiling:

15^
CES DOCUMENT NO. A-03 Page 3 of 3 BUILDING SYSTEM APPROVAL REPORT (continued) page 2 DETAILS OF CONSTRUCTION (continued)

Mechanical :

Electrical :

Plumbing :

Other:

VI. APPLICABLE CODES OR STANDARDS

VII. INSTALLATION INSTRUCTIONS (SEE ATTACHED DETAILED DRAWINGS)

A. FIELD INSTALLATION:

B. COMPLIANCE ASSURANCE INSPECTIONS AND TESTS:

C. REPAIR PROCEDURES

VIII. A. LIMITATIONS OF APPROVAL (IF ANY)

B. FUTURE REPAIRS AND ALTERATIONS:

This is a Building System approval only. For manufactured buildings and/or building

components to be certified, an approved concurrent C.A. Program is also required.

Prepared by (Name) Signature Date

Signature of Agency Official Date

Name and Title

(Space for Stamp or Seal)

155
s

I
5.6. Fabrication, Inspection and Certification

In-plant fabrication, inspection and unit certification are the culmination of

all the prior administrative aspects of the regulatory process. Being the ongoing

operational phase of the program, continued attention should be given these functions

by all parties concerned to assure that compliance to an approved building system

through a recognized compliance assurance program is in fact maintained.

Figure 2 Illustrates the concept for the fabrication, compliance assurance and

certification aspects of the regulatory process and identifies' the applicable CES

documents suggested for these functions. These CES documents are described in the

following sections of the report.

The fabrication, inspection and certification functions are primarily the

operational responsibility of the manufacturer and the Inspection Agency who each

in their own way determine the effectiveness and credibility of the overall regulatory program. A viable compliance assurance program conscientiously implemented by

the manufacturer should require a lesser degree of monitoring by the regulatory

agencies and the Inspection Agency. Conversely, a manufacturer's Inadequate compliance control activity may require almost full-time in-plant monitoring by the Inspection Agency.

Manufacturers should encourage early reporting of code noncompliances. The

resultant effects of such noncompliances can be estimated using appropriate records

to emphasize the cost of repairs or rework at a later date, such as in recalls after

field installation. Aside from the regulatory implications, it is usually found

that the costs of noncompliances in terms of extended time schedules and potential

latent defects, are higher than the costs of planned preventive actions by means of

a viable compliance assurance program.

Manufacturers should also recognize that the compliance assurance program should

be responsive to changing needs. Accordingly, the manufacturer should provide for

the continual acquisition of current data on the compliance status of production

units and the condition of the compliance assurance program through his own management efforts and those Independent assessments of the Evaluation Agency or Inspection

Agency

.

The following documents relate to fabrication, inspection, and certification:

CES Document No. C- 01 Manufacturer's Data Plate

CES Document No. C- 02 In-Plant Inspection Checklist

CES Document No. C- 03 Inspection Report

CES Document No. C- 04 Noncompliance Tag

CES Document No. C- 05 Prohibited Sales Notice

CES Document No. C- 06 Notice of Suspended Activities

CES Document No. C- 07 Label

CES Document No. C- 08 Label Control Record

157
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158
CES DOCUMENT NO. C-01 Page 1 of 3

MANUFACTURER'S DATA PLATE

Part IV, Section 3(A) requires that the manufacturer place certain information

directly or by reference on one or more data plates.

The data plates for manufactured buildings are to be permanently mounted on or in

the vicinity of the electrical distribution .panel or in some other easily accessible

location approved by the Administrative Agency. Most data plates currently used are metal with the information either printed or embossed. For manufactured building

components the Administrative Agency is given the authority to approve alternate

means of supplying the required information. In particular, where the size and/or

shape of a component is such that a data plate can not be attached permanently, the

information can be given on a tag attached to the component or in a manual crated

with the component.. Information which is needed by the occupant (user) also should

be contained in a manual which is presented to him upon transfer of possession.

The purpose of the data plate is to provide permanently the information needed to

identify and properly operate the unit. As stated in the Rules and Regulations, the

data plate must contain the following information:

1. Manufacturer's name and address;

2. Serial number of unit;

3. Label serial number;

4. Name and date of applicable nationally recognized codes complied with;

5. Model designation and name of manufacturer of major in-plant installed

appliances

.

If required by the adopted code, standard, specification or requirement, the Rules

and Regulations require that the following additional information also be given on the

data plate:

6. Identification of permissible type of gas for appliances and directions for

water and drain connection;

7. Snow, wind, seismic, and other live load criteria;

8. Electrical ratings - instructions and warnings on voltage;

9. Special conditions or limitations on use of the unit, including unsuitabillty

for areas in which specified environmental conditions prevail;

10. Methods of assembly or joining multiple units;

11. Type of construction, including fire rating, occupancy class, interior finish

flame spread class, and toxicity class;

12. Building height and story limitation;

13. Floor area;

14. Minimum side yard requirements for fire rating.

The information that should be given on the data plate for a specific unit depends

on the unit's characteristics and its Intended use. Accordingly, some of the above

15.9
CES DOCUMENT NO. C-01 Page 2 of 3

items may not apply to a given unit, and other Information may be needed. In selecting the contents of the data plate, it should be borne in mind that all those items

should be recorded on the permanent plate which need to be known after initial installation of the unit on the site, and possibly a long time thereafter. Accordingly, if

the initial installation is of a permanence similar to that of conventional construction, instructions for this installation need not be given on the data plate ~ (although

it must be furnished by the installer to the erector, builder, or owner in some other

form) . However, if the unit is intended and designed for later or periodic reinstallation on nev; sites (such as for example, relocatable schools), installation instructions should also be contained on the data plate. Similarly, the need for including

items referring to building and story height limitations, occupancy and zoning, climatic conditions, etc., also depend on the likelihood of either later relocation

and/or changes in occupancy and use.

An example of a manufacturer's data plate is shown on page 3 of this document.

In the example shown, all items that the Model Rules and Regulations give as mandatory contents are shown. Additional contents which are dependent on codes and other

state requirements are included based on the state-of-art study of data plate

requirements currently established by the various states.

160
CES DOCUMENT NO. C-01 Page 3 of 3

MANUFACTURER'S DATA PLATE

Manufactured by:

Date of

Manufacture

Serial

No. Label

No. -

Unit complies with Codes and Standards:

Name Edition Year

Electrical System:

Panel Board cycle wire phase

Amp s

.

Number voltage High temperature field service

circuits capacity conductors^ °C

Equipment

:

Capacities Fuel

Furnace

Water Heater

Air Conditioner

Potable water system tested at psig.

DWV plumbing system tested at psig.

Design Criteria:

Wind load Ibs/sq. ft. Floor load Ibs/sq. ft.

Roof load Ibs/sq. ft.

Roof pitch ( / ) at Ibs/sq. ft. total load.

Seismic zone construction.

Design temperatures: Summer oF; Winter °F

161
1I ! 1
CES DOCUMENT NO. C-02 Page 1 of 69

IN-PLANT INSPECTION CHECKLISTS

This document is a production station oriented series of checklists portraying

the essential characteristics of Inspection by the Inspection Agency during audit

inspections of the manufacturer. The checklists presented in this report are for a hypothetical wood frame modular unit produced in a main assembly production sequence.

It is not representative of any one manufacturer but is presented in this report to Illustrate the approach and degree of detail that should be checked on the manufacturer's production line.

The essential characteristics of inspection have typical suggested callouts for

the materials of construction and then the individual fabrication steps for each suggested production station in the sequence. For each characteristic of inspection, a reference (source of design intent) is indicated by an identifying number where the

actual design data for each characteristic can be found. Provision is made for entering the actual design conditions on the checklists under "Actual Design Requirement"

for each characteristic.

The checklists also contain the suggested methods for determining compliance for

each characteristic, identified by letters.

Individual In-Plant Inspection Checklists with the "Actual Design Requirement"

entries completed should be submitted as part of the compliance assurance manual

submittal for each production model for which approval is sought.

Page 2 of this document contains an index of the separate station checklists.

Pages 68 and 69 of this document give the keys for the identification of the design

intent reference numbers and compliance determination reference letters.

NOTE - Another form - known as a production "traveler" which accompanies each

manufactured unit as it goes through the manufacturing process - is used effectively

by many companies. Such a document is far less detailed than that suggested in the

In-Plant Inspection Checklists contained herein.

163
CES DOCUMENT NO. C-02 Page 2 of 69

Index to Station Checklists

CES

.Document Report

Station Page Number Page Number

Floor Framing Station 3 I65

Floor Insulation Station 5 I67

Floor Sheathing Station 6 168

Wall Framing and Setting Station 9 171

Wall Insulation Station 12 17'4 Interior Wall Covering Station 13 175

Ceiling/Roof Framing and Setting Station I6 178

Interior Ceiling Covering Station 19 I8I

Plumbing Station 22

Electrical Station 31 193

Mechanical (HVAC) Station 206

Ceiling Insulation Station

53

215

Miscellaneous Components (Window, Exit Door,

and Stairway) Installation Station 55 217

Wall Sheathing Station 57 219

Exterior Siding Station

59

221

Roof Sheathing Station

62

224

Finish Roofing Station 65 227

Final Compliance Inspection and Certification

Station 67 229

161*
IN PLANT INSPECTIOK CHECKLIST

MANUFACTURER:

INSPECTION AGENCY: STATION NAME floor framing station

MG3[L (S):

CES DOCUMENT NO. C-02 Page 3 of 69

PAGE Of APPLICATION NO:

^

PLANT LOCATION:

STATE: STATION NO.: SYSTEM APPROVAL NOfSI.

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF OESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS: Structural framing members - joists, beams. stringers, blocking, bridging.

etc.

(a) Species A, D

(b) Grade A, D

(c) Size(s)

(d) Moisture Content 1, 2

(e) Preservative Treatment 1, 2 D, F

(f) Condition/Tolerances 2, 3 D, E.

(e.g.. warp, bow, splits,

twist y etc .

)

2. OPERATIONS:

(a) Measuring and Cutting

(1) Span (joists)

(b) Drilling and Notching

(1) Holes 1. 2, 4

(2) Notches 1, 2, 4

D, E,

(c) Layout/Spacing

(1) Location and Orientatior 1. 2 (joist setting with

crown up)

165
CES DOCUMENT NO. C-02 Page 4 of 69

IN-PLANT INSPECTION CHECKLIST (miTiNUED) l»lieE__OF

STATION NAME: floor mmma station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT OF COMPLIANCE

(2) Laps and Splices 1, 2 —D, E-, '—1

(3) End Bearing 1, 2 D. F

(4) Lateral Support 1. 2 n, F

(e.g. , blockinK,

bridging)

(d) Framing for Floor Openings 1 (e.g., stairwells)

(1) Location (per drawing) 1 D, E^1

(2) Framing (per drawing) 1 D, F

3. FASTENERS: Nails, bolts/screws,

joist hangers

(a) Size 1, 2 B. D. E

1

(b) Type/Grade 1, 2, 6 B, D

(c) Condition 2 D, F. G

4. CONNECTIONS:

(a) Number (of fasteners) 1 D

(b) Location and Spacing 1, 2 D. E-

(c) Method (e.g., toenail. 1, 2 D, P

end-nail)

(d) Bearing of Members 2 n, F

(e) Washers (w. bolts/screws) 1, 2 F

(f) Workmanship 2 D, F, G

166
CES DOCUMENT hO . C-02 Page 5 of 69 IN-PLANT INSPECTION CHECKLIST

APPIICATIOH NO

MANUFACTURER: PLANT LOCATION;

INSPECTION AGENCY: STATE: STATION NAME floor insulation station STATION NO.: MOflEL (S): SYSTEM APPROVAL NOISl:

ESSENTIAL LUvLn 1 inL CHARACTERISTICS u II n nn uiLniviiuo OFui IN^PFPTIRN inwrLullun SOURCES

nc nccicii Ur UtilhN INTENT

ACTUAL DESIGN REQUIREMENT

nr Tr nuiu i ti nu DETERMINATION

OF COMPLIANCE

1. MATERIALS: Moisture barrier, thermal insulation

(a) Size (e.g., thickness. 1 B, D weight

)

(h) TvDp/Orade 1 R Ft

(c) Condition (e.g., dry. 2 D, F, G undamaged

)

2. INSTALLATION:

(a) Moisture Barrier

(1) Placement (e.g.. 1, 2 D

continuity)

(2) Attachment 1, 2 D

(b) Thermal Insulation

( 1 ) Placement 1, ^ D,

(2) Attachment (method of 1, 2 D, E^ fastening, location and

spacing)

(c) Workmanship 2 D, F, G

167

PAGE OF
IN-PLANT INSPECTION CHECKLIST

MANUFACTURER:

INSPECTION AGENCY: STATION NAMt

MQOEL (S|:

FLOOR SHEATHING STATION

CES DOCUMENT NO. C-02 Page 6 of 69 P*GE_OF_

APPLICATION HO: _

PLANT LOCATION:

STATE: STATION NO.: SYSTEM APPROVAL NO|S].

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS : Plywood, proprietary

sheathing types

(a) Size (e.g., thickness) B, P,

(b) IVpe/Grade A» B, D

(c) ConditlonA'olerances 2, 5

2. FASTENERS:

(a) Nails, Staples

(1) Size 1, 2 B, D, E]_

(2) IVpe/Grade 1, 2, 6

(3) Condition

(b) Adheslves

(1) l^e 1, 2 B, D

(2) Age, Shelf Life i, D

(3) -Mixing Schedule B, D-

(h) Coupon Tests D, H

3. INSTALLATION:

(a) Measuring and Cutting

(b) Layout

D, E,

168
CES DOCUMENT NO. C-02 Page 7 of 69

IM PLANT INSPECTION CHECKLIST (COHTINUEO) P*GE_Of__

STATION NAME: floor sheathing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION ouunuLO ^niiRPF^

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

nPTPDMINlTinN

OF COMPLIANCE

(1) Dimensions 1 D, F^

(2) Location and Orientation 1 D

(3) Laps and Splices 1 D

(c) Nails, Staples

(1) Number 1 D

(2) Location and Spacing 1 D, E^

(3) Workmanship 2 D, P. G

(d) Adheslves

(1) Application 1, 2 D

(2) Pressure 1, 2 D

(3) Teitperature-or special 1, 2 D

handling conditions

CJ) Curing (drying time 1, 2 D

before next operation)

(5) Workmanship 2 D, P, G

(e) Metliods

(1) Pace grain orientation 2 D

with respect to Joists

169
CES DOCUMENT NO. C-02 Page 8 of 69

IW PLANT INSPECTION CHECKLIST (cnmiNUED) PAGE__OF_

'jTATION NAME: fmor sfEAwnNG station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(2) Joints centered over 2 D

j oists , rafters

( 3 ) Workmansliip 2 n T? n

.

i

176
CES DOCUMENT NO. C-02 Page 9 of 69 IN-PLANT INSPECTION CHECKLIST

APPIICATIOH NO

MANUFACTURER: PLANT LOCATION:

INSPECTION AGENCY: STATE: STATION NAML wall fraivtog and setting station STATION NO.: MODEL (S): SYSTEM APPROVAL NOIS).:

ESSENTIAL CHARACTERISTICS OF INSPECTION

P All Dprc SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REOUIREMENT

ncTCDiiiiiiTiny Ut ItnninRMUn

OF COMPLIANCE

1. MATERIALS: Structural framing; members—studs, plates, lintels.

etc.

(a) Species 1 A, D

(b) Grade 1 A, D

(c) Slze(s) 1 El

(d) Moisture Content 1, 2 D, Eg

(e) CondltionA'olerances (e.g.. 2, 3 D, E^ warp, bow, splits, twist,etc)

2. OPERATIONS:

(a) Measuring and Cutting 1 El, G

(b) Drilling and Notching 1, 2, it D, E-i

(c) Layout/Spacing 1, 2 D, E-,

^ J.

(d) Framing for Wall Openings 1

(1) Location (per drawing) 1 D, Ft

(2) Framing (per drawing) 1 D, P

PAGE OF

171
CES DOCUMENT NO. C-02 Page 10 of 69

IN PLANT INSPECTION CHECKLIST (continued) page_of_

NATION NAME: wall fwung and setting station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

ncTCDuiuiTinu ULltKMINAIlUN

OF COMPLIANCE

3. FASTENERS: Nails, bolts/screws.

staples

(a) Size 1, 2 B, D, El

(b) TVpe/Grade 1, 2, 6 B, D

(c) Condition 2 D, F, G

4. CONNECTIONS:

(a) Number (of fasteners) 1 D

(b) Location and Spacing 1, 2 D, Fi

(c) Method (e.g., toenail,

1 , ? D, F

end-nail)

(d) Bearing of Members 2 D, F

(e) Plumb and Square 2 D, F

(f ) Workmanship 2 D, F, G

5. ERECTION/SETTING OF WALLS:

(a) Connections/Fasteners

(1) Number (of fasteners) 1 D

(2) Location and Spacing 1, 2 D, Fi

172
CES DOCUMENT NO. C-02 Page 11 of 69

IN PLANT INSPECTION CHECKLIST (rniTiNUEfl] l>AG£_OF_

IklM NAME: wall framing and setting station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION oUunklo

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

lit 1 tKMINA IIUN OF COMPLIANCE

(3) Method 1, 2 D, F

(b) Bearing of Members 2 P, F

(c) Vforkmanshlp 2 D, P, G

173
CES DOCUMENT NO. C-02 Page 12 of 69 IN-PLANT INSPECTION CHECKLIST

APPLICATION NO

MANUFACTURER: PLANT LOCATION:

INSPECTION AGENCY: STATE: STATION NAME: wall insulation station STATION NO.: ma (S): SYSTEM APPROVAL NOIS).:

CCCrUTIll OU 1 Dl PTrDlCTlPO nr luonrnTifiu tiotnllAL IHAKAlltniMICS Or INSPECTION SOURCES

OF DESIGN INTFNT in 1 in 1

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF CQMPLIANCF

1. MATERIALS: Moisture barrier. thermal insulation

( Pi ") "ZP cr "hlnn nlmpc'c- 1 B, D

wp"i cVrf" ^

(b) Type/Grade 1 RD, nV

(c) Condition (e.g., dry, un- 2 D. F, G,

0 TKT^TAT T ATTOM •

\a. I

1 UXoULLLtr DcU. I -Lfcrl

(Hi "PT 0 /^QTTidn^" f n» VX^ rXclt^cJIItrliU ^ t: • ^ • , 1 2 D

continuity)

- (2) Attachment 1, 2 D

(b) Thermal Insulation

(1) Placement 1, 2

(2) Attachment (method of 1, 2 D, fastening, location, and

spacing)

(3) Workmanship 2 P, P, G

PAGE OF

17^
CES DOCUMENT NO. C-02

IM PLANT INSPECTION CHECKLIST

MANUFACTURER:

INSPECTION AGENCY: STATION NAML intepior wall covering station

MCJEL (S): ZZZZZZZZIZZZ

Page 13 of 6s PAGE OF APPLICATION NO: _ PLANT LOCATION: _ STATE: _ STATION NO.: SYSTEM APPROVAL NOISl:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS : Gypsum wallboard

(a) Size (thickness) ^> ^- 1

(b) IVpe/Grade A, B, P

(c) Condition D, F, G

2. FASTENERS:

(a) Nails, screws, wallboard

clips

(1) Size 1> 2

(2) Type/Grade 1, 2, 6

(3) Condition

(b) Adheslves

(1) Type 1. 2 P. P

(2) Age, Shelf Life

175
CES DOCUMENT NO. C-02 Page 1^1 of 69

N PLANT INSPECTION CHECKLIST (rn«TiNUEDl ?AGE__OF__

TATION NAME: interior wall covering station STATION NO.:

tdotniiAL InAKAlltnloMlo Ur inortlllUII SOURCES

ur u Loibn INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

Ur COMPLIANCE W V III 1 L 1 n li U L 2 B, D

( ^ ) Coupon Tests 2 D, H

^ TNSTAT J ,ATTON *

(a) Nails, screws

(1) Number (of fasteners) 1 D

(2) Location and Spacing 1 D, E^

( 3 ) Workmanship 2 D, P, G

(b ) Adhesives

(1) Application 1, 2 D

(2) Pressure 1, 2 D

(3) Terrperature-or special 1> 2 D

handling conditions

(h) Curing (drying time 1, 2 D

before next operation)

(5) Workmanship 2 D, P, G

(c) Method

(1) Joints centered over 2 D

supports

(2) Tape and spackle joints 2 D

176
CES DOCUMENT NO. C-02 Page 15 of 69

IN PLANT INSPECTION CHECKLIST (CONTINUEO) p*GE„OF___

STATION NAME: interior wall covering station STATION NO.:

CdoiniiRL iinHnnb 1 Lni 0 1 1 uo ur inorLuiiun SOURCESur u LoiDn INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE U U III 1 L 1 n 11 U L (3) Workmanship 2 D. F. G

- - ——

177
CES DOCUMENT NO. C-02 Page l6 of 69 IN PLANT INSPECTION CHECKLIST P*GE_ OF _

APPLICATION NO: _____

MANUFACTURER: PLANT LOCATION:

INSPECTION AGENCY: STATE: STATION NAML ceiling/roof framing and setting station STATION NO.: MODEL (S): SYSTEM APPROVAL N0(S1 .: ^^^^^

ESSENTIAL CHARACTERISTICS OF INSPECTION ouunuLo

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS: Structural framing

members-rafters, joists, roof

trusses, etc.

(a) Species 1 A. D

(b) Grade I A. P

(c) Slze(s) 1 ^1

(d) Moisture Content 1, 2 D, Fo

(e) ConditionA'olerances (e.g.. 2, 3 D, E^ warp, bow, splits, twist.

etc.

)

2. OPERATIONS:

(a) Measuring and Cutting

(1) Span (joists) 1 E^, G

(b) Drilling and Notching 1, 2, h D, Fi

(c) Layout/Spacing 1, 2 D, En

(d) Laps and Splices 1, 2 D, El

178
CES DOCUMENT NO. C-02 Page 17 of 6S iN-PLANT INSPECTION CHECKLIST (continued) p»GE_OF_

STATION NAME: ceiling/roof framing and settimg station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION

A A II tin r o SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

Ur COMPLIANCE

(e) End Bearing D, P

(f) Frairdng for Openings

(1) Location (per drawing) 1 D, Fi

(2) Framing (per drawing) 1 D, F

3. FASTENERS: Nails, bolts/screws.

trussplates, etc.

(a) Size 1, 2 B, D, El

(b) TVpe/Grade 1, 2, 6 B, D

(c) Condition 2 D, P, G

h. CONNECTIONS:

(a) Number (of fasteners) 1 D

(b) Location and Spacing 1, 2 P, El

(c) Method (e.g., toe-nail. 1, 2 D, F

end-nail)

179
CES DOCUMENT NO. C-02 Page l8 of 69

IN PLANT INSPECTION CHECKLIST (COHTINUED) PAGE__OF_

'JATION NAME: ceiling/roof framing and setting station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(d) Bearing of Members 2 D, F

(e) Pluinb and Square 2 D, P

( f ) Workmanship d D, F, G

5. tnJiLilUW/or,i±XN(j Ur LE±LJ_Nlio/ ROOFS:

(a) Connections/Fasteners

(1) Number (of fasteners) 1 D

(2) Location and Spacing 1, 2 D, Fi

(3) Method 1, 2 D, P

(b) Bearing of Members 2 D, F

• (c) Workmanship 2 D, P, G

18C
IN PLANT INSPECTION CHECKLIST

MANUFACTURER:

INSPECTION AGENCY: STATION NAME: INTERIOR CEILING COVERING STATION MCOa (S): IIIZZI~]~II

document no. c-02 Page 19 of 69

PAGE OF APPLICATION NO: _ PLANT LOCATION: _ STATE: _ STATION NO.: SYSTEM APPROVAL NO|S|.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS: Gypsum wallboard

(a) Size (thickness) B, D, E.

(b) Type/Grade A. B. D

(c) Condition D. F. G

2. FASTENERS:

(a) Nails, screws, wallboard

clips

(1) Size 1. 2 B, D. E.^

(2) IVpe/Grade 1, 2. 6 B. D

(3) Condition D, F, G

(b) Adhesives

(1) yype 1 ., 2 B, D

(2) Age. Shelf Life B, D

(3) Mixing Schedule B, D

181
CES DOCUMENT NO. C-02 Page 20 of 69

IN PLANT INSPECTION CHECKLIST (CONTINUED) i'AGE_OF_

NATION NAME: interior ceiling covering station STATION NO.:

tCCrilTIII OU 1 Dl PTTDI CTI PC HC lUCDrPTinU SOURCES

nc nrcipu

Ur UtoluN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPilANrF

0

d D, H

3. INSTALLATION:

(a) Nails, screws

(1) Number (of fasteners) 1

(2) Location and Spacing 1

(3) Workmanship 2 n T? G

...

(b) Adheslves

(1) Application I5 2 D

(2) Pressure 1, 2 p

(3) Temperature-or special 1, 2 D

1 ic31 lU._LJ_i 1^ i^UI 1LI± U-LUllo

; '. (4) Curing (drying time 1. 2 _D

uci UJ.tr 1 icTA L (jptri ciU±Ul 1 J

(5) Workmanship 2 D, P, G

(c) Method:

(1) Joints centered over 2 D

supports

1-82
CES DOCUMENT NO. C-02 Page 21 of 69

IN PLANT INSPECTION CHECKLIST (roHTiHUEO) l'AGE_Of_

ntTION NAME: interior ceiling covering station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES W U U It U L w OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

nFTFRMINATinN

OF COMPLIANCE

(2) Tape and spackle joints 2 D

(3) Workmanship 2 D, P, G

183
CES DOCUMENT NO. C-02 Page 22 of 69 IN-PLANT INSPECTION CHECKLIST P*GE_ OF _

APPLICATION HO: _

MAHOFACTURER: PLANT LOCATION:

INSPECTION AGENCY: STATE: STATION NAML plumbing station STATION NO.: MOOEL (SI: SYSTEM APPROVAL NOjSl.:

ESSENTIAL CHARACTERISTICS OF INSPECTION

SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS:

(a) Pipe - D.W.V.

(1) Size(s) 1 D,

(2) TVpe/Grade 1 A. B. D

(3) Condition 2 D. P. G

(b) Pipe - water supply and distribution

(1) Size 1 D, El

(2) Type/Grade 1 A, B, D

(3) Condition 2 D, F, G

(c) Pipe - gas fuel supply

piping

(1) Size 1 D, E, '—1

(2) Type/Grade 1 A, B, D

(3) Condition 2 D, F, G

(d) Plumbing fixtures/drains

(traps, trap arms)

(1) Type/Size 1 D. E^

(2) Label/marking 1 A, B, D

18^1
CES DOCUMENT NO. C-02 Page 23 of 69 :N-PLANT inspection checklist (p^mtinued) P*6E_0f ___

>TATION NAME: plumbing station STATION NO..

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCESOF DESIGN

lUTCUT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(e) Valves

.—

(1) Tvpe/Size 1 D. E^

(?) T^^he^^ /T^ar'k^n^ 1 A. B. D

(f ) Appliances and equipment

(1) TVpe/Size 1 D, E^

(2) Label/marking 1 A, B, D

(g) Miscellaneous - air gaps. pipe coatings, conpounds.

solder, etc.

(1) Type 1 A, B, D

(2) Label/marking 1 A, B, D

2. INSTALL DRAINAGE SYSTEM:

(a) Piping

(1) Location 1 D

(2) Measuring and Cutting 1, 2 D, E-,, G

(3) Reaming 1, 2 D

(4) Grade and pitch 1 D, E,

(5) Direction 1 D

(6) Hangers and Supports 1, 2 D, F, G

(7) Fittings and 1, 2 D

Connections

185
CES DOCUMENT NO. C-02 Page 24 of 69

IM PLANT INSPECTION CHECKLIST (pontihued) p»GE_OF_

:TATI0H NAME: PLUMBraG station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(8) Direction 1, 2 D

(9) Cleanouts •

- 1 D, E^

- Location 1 D

- Accessibility 1 D, G

(10) Flashing and 1, 2 D

Weatherproofing

(11) Workmanship 2 D, P, G

3. INSTALL VENTING SYSTEM:

,

(a) Installation -

(1) Connections and 1 D

Fittings

(2) Terminations 1 D, E^

(3) Location 1 D

(4) Offset 1 D,

(5) Height 1 D, E^

(6) Reaming 1, 2 D

(7) Flashing and 1, 2 D

Weatherproofing

186
CES DOCUMENT NO. C-02 Page 25 of 69

iN PLANT INSPECTION CHECKLIST (roNTiNUED) PAGE__OF

;TATION NAME: plumbing station mmH NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION —

SOURCES

OF DESIGN

INTFNT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(8) WorkmanshlD 2 D, P, G

(9) Testing; 2 D

1

J 1 "PNTOrn A T T I 1 ID A "DO A>TT^ Mill A "Tl A TITV/IO . 4. JJ^olAI ,\ 1 inAro ANU TKAr AKMb:

(a) Installation -

r

(1) Fixtures serviced 1 D

• (2) Location/Accessibility 1 D

{i) Length 1 D,

; ^ (4) Vertical Location 1

_. 7^ :

-. (5) Horizontal Location ±

- D,—E

1

(6) Slope and Pitch 1 D, E^

(7) Workmanship 2 D, F, G

5. INSTALL JOINTS AND CONNECTIONS

(a) Ilnstallation -

(1) Location 1 D

(2) ReamlriK 1, 2 D

(3) Pipe joint coirpound 1, 2 D

187
CES DOCUMENT NO. C-02 Page 26 of 69

IN PLANT INSPECTION CHECKLIST (rniTlNUED) P»GE_OF_

.TATION NAME: plumbing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION

~ - . .._ , ...

SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(4) Cleanout plugs

- Size 1 D

- T,iihr1 rati nn 1 D

(5) Caulking 1, 2 D

(6) Solder and Flux 1, 2 D

(7) Flaring 1, 2 D

(8) Adaptors 1 D

(9) Solvent welding 1, 2 D

(10) Soldering and bronzing 1, 2 D

(11) Conpresslon Fittings 1, 2 D

(12) Slip joints 1 D

(13) Accessibility 1 D, G

(li|) Unions

- Location 1 D

- Accessibility 1 D, G

(15) Waterproofing and 1, 2 D, G counter flashing

(16) Reducers - Increasers

- Size 1 D

- Adaptors 1 D

(17) Workmanship 1, 2 D, F, G

188
CES DOCUMENT NO. C-02 Page 27 of 69

iN PLANT INSPECTION CHECKLIST |pn«TiNUEO) PAGE_OF_

TATION NAME: plumbing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION

SOURCES

or DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

nFTFRMINATinN UL 1 Lnmi 1 lun OF COMPLIANCE

6. INSTALL INDIRECT WASTE

PIPING, WET VENTED SYSTEMS

AMD SPRCTAT, WASTES:

(a) Installation -

(1) Size 1 D, E^

(2) Location 1 D

(3) Separate discharge 1 D

vent

(4) Length 1 D, E-^

(5) Pressure Connections 1 D

(6) Discharge 1 D

(7) Height 1 D, E^

(8) Workmanship 1, 2 D, F, G

7. INSTALL PLUMBING FIXTURES:

(a) Installation -

(1) Location 1 D

(2) Connections 1 D

(3) Access 1 D

(4) Joints and water 1, 2 D, E

tightness

189
CES DOCUMENT NO. C-02 Page 28 of 69

iN PLANT INSPECTION CHECKLIST (r^TiNUED) PAGE_OF

STATION NAME: plumbing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION

^niiRpF^ OUUnuLO

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

nFTFDMINlTinN ul 1 Lnini nn nun

OF COMPLIANCE

(5) Securing 1, 2 D

(6) Setting 1 D

(7) Support 1 D

(8) Cross connection 1 D

(9) Workmanship 1, 2 D, P, G

(10) Testing 2 D, E

8. INSTALL WATER DISTRIBUTION

SYSTEM:

(a) llnstallation -

(1) Length 1 D, E^

(2) Support 1, 2 D

(3) Location 1 D

(4) Connections 1 D

(5) Reaming 1, 2 D

(6) Fittings and 1, 2 D

Connections

(7) Valves

- Pressure 1 n

- Pressure Relief 1 D

(8) TestinK 2 D, E

190
CES DOCUMENT NO. C-02 Page 29 of 69

IN PLANT INSPECTION CHECKLIST (rr>«<TiHUED) P*GE__OF_

NATION NAME: plumbing station STATION NO.:

tOoLRMAL inAnKllLKIoilUo Ur IHortUllUN SOURCES

Ur utolbn

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF (inMPiiiNrF uumrLinnbL

\ J / 'J. rul jCU iOl LJ.\J 2 -—— —

9, INSTALL FUEL GAS PIPING:

(a") ^Cl / Tn*^1"Pil -Li io UdX1XCX?ff"i vX^ionX —

]_

(2) Length 1 D. E.,

( 3 ) Support ij 2 D

( ^ ) Connectors 1 D

(5) Testins 2 D, E

( 6 ) Workmanship 2 D

10 TMSTAT.T, WATFR HEATER AND

V uiN ± 0 •

\0. J XXlo Uo.XXCll/XL'XI —

\ J. ^ J-rJ^dL/xUXl ]_ D

(2) Enclosures 1 D

(3) Contiustlon Air 1 D

(4) Controls - location 1 D

(5) Clearances 1, 2 D,

191
CES DOCUMENT NO. C-02 Page 30 of 69

iN PLANT INSPECTION CHECKLIST (pniTiNUED) P*GE_Of_

JATION NAME: pumbing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION

0 u u nuLO OFOESIGN

INTENT ACTUAL DESIGN REQUIREMENT

flFTFRMINlTinN

OF COMPLIANCE

(6) Protection 1 D

(7) Access 1 D

(R) Venting

- Location 1 D

- Height 1 D E

- Openings 1 D

- Connectors 1 D

- Support 1, 2 D

- Length, Pitch, Clear- 1 D

ances

- Termination 1 D

- Draft Hood 1 D

(9) Workmanship 1, 2 D, P, G

192
CES DOCUMENT NO. C-02

IN-PLANT INSPECTION CHECKLIST

MANUFACTURER:

INSPECTION AGENCY: STATION NAMt

MGOEL IS]:

Page 31 of 69

PAGE OF

FTKHTRTrflr , STATION

APPLICATION NO: _ PLANT LOCATION: _ STATE: _ STATION NO.: SYSTEM APPROVAL NOjSl:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS:

(a) Service Equlpnent

(1) Send.ce Enclosure

Type

Size

Capacity & Rating

A, B, D

A, B, D, E^

A, B, D

- Switches & Breakers

Main Svfitch & Breaker rating

Sub-switches & Breakers - rating

- Condition

A . B. D

A, B, D

(2) Service Entrance

- Conduit: overhead & underground

— Identification —— Size

A, B, D

B, D

B» D» \

- Conductors

193
CES DOCUMENT NO. C-02 Page 32 of 69

IN PIANT INSPECTION CHECKLIST (pp^itinued) page_of_

STATION NAME: electrical station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION OUUnbLO

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

nFTFDMINlTinN

OF COMPLIANCE — Type and 1, 2 A, B, D

iCnsulatlon

— Size 1 B, D, E||

- Condition 2 D, F, G

(3) Grounding

- Grounding conductor 1 A, B, D, E,|

- Ground clanp 1 A, B, D

- Bonding .lumper size 1 A. B, D, E,|

(4) Electrical Gutter

- Type 1 A, B, D

- Size 1 B, D, E^

- Fittings & Couplings 1, 9 D

- Bonding Jumper Size 1 D, E^

- Grounding Conductor 1 A, B, D, Ei^

(5) Service Disconnects

- Type 1 A, B

- Size & Rating 1 A, B

- Switch & Breaker 1 A, B

- Fittings J Couplings 1, 9 D, F

& Locknuts

- Grounding Conductor 1 A, B, D, Ei,

194
CES DOCUMENT NO. C-02 Page 33 of 69

IN PLANT INSPECTION CHECKLIST (ro»iTiHUEDl P*6E_0f__

TATiON N>ME: electrical station STATION HO.:

CCCCUnil PUIDIPTCDICTIPC lit lUCDCPTiny toitnilAL tillRKAlltKIMIlo Ur INbrtlllON SOURCES

nr n rcip

u

DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF

rn iiDi 11 UP c uisuriDULion ranei &

ijOe±u ucrn uer

- I^pe 1 A, B

— oize 1 D

A, B, D

J. Flisss

\^\Jl 1U.U.L/ U<Ji.

— lype "1 — oize Ta ri

~ Pnnr} uunuj. -T nr\ uxon n T7 n

(c) Feeder Circuits

(1) Type

- Cable 1

A Ta Pi A, o, JJ

— Individual conductors Dj JJ

(2) Size

- Cable 1 B, D, E^

- Individual conductors 1 B, D, E^

195
CES DOCUMENT NO. C-02 Page 3^^ of 69

IN-PLANT INSPECTION CHECKLIST (PontinueO) P*GE_Of_

NATION NAME: electfiical station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

IIITCUT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF

i^n un 1 1 1 lift r COMPLIANCE

(3) Raceways

- 'IVpe 1 A, B, D

- Size 1 B. D, E^

- Connectors 1, 9 D

(d) Branch Circuits

(1) TVpe

- Cable 1 A, B, D

- Individual conductors 1 Bj D

(2) Size

- Cable 1 B, D, E^

- Individual conductors 1 B, D, Ei,

(3) Raceways

- Type 1 D

- Size 1 D, E^

- Connectors 1, 9 D

(e) Fixed Appliances:

Ranges, Water Heaters, etc.

(1) Make & Model

- Marking & naineplate 1, 10 A, B, D

- Marking of elements 1, 10 B, D

196
CES DOCUMENT NO. C-02 Page 35 of 69

IN PLANT INSPECTION CHECKLIST (phntihued) p*GE,_OF_

:UTIONN<ME: eiectoical station SHjIOh no.: SOURCES

OF RF^IRN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

UP COMPLIANCE

^f^ Outlet Boxes Switrhp*^

Junction Boxes ^ Flttln^^s

(1) Tripntifi(-.Pit1nn

— Label & maplclnK 1 Q

(2) Metallic » Non-^etalllc

- TvDe 1. 9 D

- Size 1 D

- Use - wet location - 1 D, G drv

(g) Lighting Fixtures, Lanpholders & Lanps

(1) T^pe 1 A, B, D

(2) Listed & labeling 1 A, B, D

( 3 ) Fixture studs 1 A, B, D

(4) Outlet boxes 1 A, B, D

(5) Rosettes 1 A, B, D

( 6 ) Condltion 2 D, F, G

2. INSTALL ELECTRICAL SERVICE:

(a) Identification 1, 2 A, B, D

197
CES DOCUMENT NO. C-02 Page 36 of 69

IM PLANT INSPECTION CHECKLIST (phntinueO) PAGE_Of_

STATION NAME: ei^ctoical station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(b) Mounting cabinet

(1) Backing 1 D

(2) Height 1 D, E^

(3) Location 1 D

- (c) Service entrance

(1) Service conduit 1 A, B

- Connection to meter 1 D

base

- Supports 1, 2 D

- Reaming & bushing 1, 2 D

- Height & clearance 2, 11 D, E^ from roof

(2) Service entrance

conductors

overhead & underground

- Identification 1, 2 A, B, D

- Length & driploop 1 D, E^

- Servlcehead location 1, 2, 12 D, E^

- Connections to bus 1, 2 D

- Connection to 1, 2 D

neutral bus

198
CES DOCUMENT NO. C-02 Page 37 of 69

iN PLANT INSPECTION CHECKLIST (pontinueD) PAGE Of ___

TATION NAME: electrical station STATION NO.:

tSStNilAL CHARACTERISnCS Or INSPECTION SOURCES w DESIGN

INTENT 111 1 Lll 1 ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF rnupi iiurr luitirLiAnit

(d) Grounding Continuity

(1) Grounding conductor

— Conriftcti on to hus -'- J ^

r\U

(2) Bondine plumper at service

- Connection 1, 2 D, F

(e) Gutter at service

( J_ J XLld lU-Ll -LL-cLU J.tJl 1

]_ RDF D, H-j^

( '^') TiOfflt i on 1

( h") Monntinp' 1 2

1 2 A, Bj D

crit-XdJlL-c UUflUU-Ll/

— Couplxngs & nipples -Lj -LJ D

— ijUl ILLJJ Oe <JUi iU.J-i

- ReamingAiushlng D, F

(f ) Service Disconnect

(I) Identification 1, 2 A, B, D

(2) Location 1 D

199
CES DOCUMENT NO. C-02 Page 38 of 69

IN PLANT INSPECTION CHECKLIST (PontinueO) PAGE_0F_

;TATI0H NAME: electrical station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(3) MountInK 1, 2 D

- (4) Connections to gutter

- Coupling & nipples 1, 2 D

- Bonding and grounding 1, 13 D

(5) Meter Base

- Bonding and grounding 1, 2 D

- Height 1 D,

(g) Workmanship 2 D, F, G

3. INSTALL DISTRIBUTION PANEL

AND LOAD CENTER:

(a) Identification

(1) Label 1 A, B, D

(b) Mounting

(1) Location 1 D

... (2) Accessibility 1, 2 D

(c) Over current protection

(1) Circuit breakers and 1, 2 A, B, D

fuses

2on
CES DOCUMENT NO. C-02 Page 39 of 69

iN PLANT INSPECTION CHECKLIST (rnnTlNUEO) PAGE ^ OF

_

iTATION NAME: electrical station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCESOF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(d) Grounding and bonding _

(1) To main service 1, 2 D

(2) Connections 1. 2 D

(e) Workmanship 2 D, F, G

4. INSTALL FEEDER CIRCUITS:

(a) Identification 1, 2 D

(b) DrllllnK. borlne-studs/ 1, 2, 16 D, E^, G

.lolsts

(c) Mechanical protection 1, 2. 16 D, G

(d) Mechanical continuity

(1) Metal raceway 1, 2 D, G

(2) Cable armor 1, 2 D, G

(e) Installation

(1) Attachment & support 1, 17 D, G

(2) Radius of bend 1, 2

- Non metallic 1, 18 D, E^

sheathed cable

- Conduit 1. 19 D, E^

(f) Workmanship 2 D, F, G

201
CES DOCUMENT NO. C-02 Page 40 of 69

IM PLANT INSPECTION CHECKLIST (rnNTiHUED) PAGE__OF__

STATION NAME: eiectoical station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMEUT

DETERMINATION

OF COMPLIANCE

5. INSTALL BRANCH CIRCUITS:

(a) Identification 1 D

(b) DrilllnK, boring studs 1, 2, 16 D, G

.loists

(c) Mechanical protection 1, 2, 16 D, G

(d) Mechanical continuity

(1) Metal raceway 1 D, G

(2) Cable armor 1 D, G

(e) Installation

(1) Attachment & support D

- Type and spacing 1, 17 D, E^

(2) Radius of bend

- Non-metallic sheathed 1, 18 D, E^ cable

- Conduit 1, 19 D, E^

(f) Workmanship 2 D, F, G

6. INSTALL FIXED APPLIANCES:

RANGES, WATERHEATERS, ETC.

(a) Marking

202
CES DOCUMENT MO. C-02 Page of 69

iN PLANT INSPECTION CHECKLIST (rnNiiNUED) PAGE 0F_

NATION NAME: electrical station STATION NO.:

f^^FNTIll LOOLnilllL rUiRirTFRKTir^ unnnAu 1 Lnl 0 1 1 uo nFUi IN^PFPTinN inorLifilun SOURCES

HF DF^IRN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(1) Nameplate 1, 10

(2) Elements 1, 10 D

(b) Supply circuits

(1) Size of branch circuits 1, 2 D

(2) Identity, branch 1, 2 D

circuits

(c) Location

(1) Spacing 1, 2 D,>—E,1

(2) Protection fron damage 1, 2 D, G

(d) Grounding 1, 2 D

(e) Over current protection

(1) Circuit breakers 1> 2 D

(2) Controllers and 1. 2 D disconnects

(f ) Workmanship 2 D, F, G

7. INSTALL OUTLET, SWITCH AND

JUNCTION BOXES AND FITTINGS:

(a) Identification

(1) Label and marking 1, 2 A, B, D

203
CES DOCUMENT NO. C-02 Page 42 of 69

iN PLANT INSPECTION CHECKLIST (roNTiNUEO) PAGE_OF_

iTATIOH NAME: eiectoical station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(b) Mounting and Installations

(1) Supports 1, 20 D

(2) Flush mounting 1, 2, 21

'—^ D

(3) Unused openings 1, 2, 22 D

(c) Size and shape

(1) Depth and dimensions 1 D,

(2) Fill and area 1 D, E^

(d) Covers and Canopies 1. 2 D'

(e) Conductors

(1) Entering of boxes 1, 2 F

- (2) Securing to boxes. 1, 2 D, F

teimlnals and svfitches

(3) Bushings 1 D, F

(f) Accessibility 1, 23 D

(g) Grounding, bonding and 1, 2 D, F insulation from supports

(h) Workmanship 2 D, F, G

8. LIGHTING FIXTURES. LAMPHOIDERS,

LAMPS, ROSETTES, OUTLET BOXES:

(a) Identification 1, 2 A, B, D

204
CES DOCUMENT NO. C-02 Page i)3 of 69

iN PLANT INSPECTION CHECKLIST (roNiiNUED) P»GE_OF___

STATION NAME: electrical station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION ——

SOURCES

OF DESIGN

INTFNT In 1 Ln 1 ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF rnuDi iiupr LUMrLIANLL

( b ) Installation 1> 2 D

(1) Location & Mounting D

( 2 ) Shades * Kuapds 1, d U

(3) Clearances 1, 2 D, E^

(.4; Supports 1> 2 D

(5) Conductors - movable 1> 2 D

part

(6) Protection—conductors -Lj n n

(7) Connections 5 splices. 1-J ^ u

tops

1

'. (8) Wet Locations 1> ^

(9) Height and mounting 1» 2

(10) Grounding and bonding Ij ^ un Ground

(11) Ground fault circuit Ij 2 D

protection

(12) Fire detection equipment nJJ

y. ibSilNG OF SYSTEM:

(1) Continuity Test 2 E5, P

(2) Dielectric test 2 E6, F

(3) Functional test of 2 D, F

fixtures & appliances

205
CES DOCUMENT NO. C-02

IN-PLANT INSPECTION CHECKLIST

MANUFACTURER:

INSPECTION AGENCY: STATION NAML

MODEL (SI:

Page iJi) of 69

PAGE OF

MECHANICAL (HVAC) STATION

APPLICATION NO: _ PLANT LOCATION: _ STATE: _ STATION NO.: SYSTEM APPROVAL NOISj.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS:

(a) Heating Equipment, furnaces room heaters, etc.

(1) Type A. B. D

(2) Rating A, B, D

(3) Ducts: metallic, non- metallic

Size _D^

Label A, B

Connectors A, B, D W Vents

- Size

- Type

- Material

(5) Condition D, P, G

(b) Ventilation systems

(1) Ducts, hoods

- Size

- Type

206
CES DOCUMENT NO. C-02 Page ^^5 of 69

iN PLANT INSPECTION CHECKLIST (rnMiiHUEO) PABL_OF

STATION NAME: mechanical (hvac) station STATION NO.:

ESSENTIAL CHARACTERISTICS flF IN^PFPTinN

n All nnirn SOURCES

OFUI DF^IRN ULOIQn

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

COMPLIANCE

— Material 1

- Label 1 Aj B, D

(?) Condition 2 Dt f, G

(c) Air* Hontii ti nni np* Fnninmpnt".

TvDe 1 A, B. D

(21 Tflbel and P^^meplate 1 A, B, D

(3) Ratine: 1 A. B, D

(H) Duots

- Size 1 D

- Non-metallic 1 A, B, D

- Connectors 1 A, B, D

(5) Condition 2 D, F, G

(d) Miscellaneous heat produc—

dryers ^ etc

1.

1

) lype ]_ A, B, D

1 A,"3 B,^9 D

1 A, B, D

(4) Condition 2 D, F, G

207
CES DOCUMENT NO. C-02 Page il6 of 69

iN PLANT INSPECTION CHECKLIST (muTiNUED) PAfiE_OF

iTATION NAME: mechanical (hvac) station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF

- COMPLIANCE

2. INSTALL WARM AIR FURNACES:

(a) Identification

(1) Label and nameplate 1 A, B, D

(2) Rating 1 A, B, D

(3) Type of fuel/controls 1 A, B, D

(b) Installation

(1) Location 1 D, E^, F

(2) Clearance from 1, 2 D, E^, G combustibles

(3) Shut-off valve/ 1, 2 D

location

(4) Electrical connectors 1, 2 D

(5) Access 1, 2 D

(c) Circulating Air supply

(1) Source 1 D

(2) Ducts 1 D

(3) Separation 1, 2 D

(4) Air requirements 1, 2 D

(5) Return air 1, 2 D

2.08
CES DOCUMENT NO. C-02 Page 4? of 69

iN PLANT INSPECTION CHECKLIST (rnnTiHUED) PAGE__OF__

'STATION NAME: mechanical (hvac) station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCESOF DESIGN

INTFNT in 1 cn 1 ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF lUMPLIANCE

(d) Conditioned air supply

(1) Ducts and connectors 1 D

- Size 1 D, E^

- Location 1 D

- Registers and grills 1, 2 D

(e) Combustion air

(1) Air supply 1 D

(2) Space 1 D,

-•-3 D

\n J \JU,bb±U.c oUpP-Ly/ JJlUtrl -LUl ') '- D E

^ ^ ^ unaeF i ±001 supply 1

JL D E

( 6 ) Ducts/connectors

( f ) Workmanship D F G

3 . VENTS/CHIMNEYS

(a) Identification 1, 2 D

(b) Type - System 1 D

(c) Size/area 1 D, E,

(d) Location/support 1, 2 D

20.9
CES DOCUMENT NO. C-02 Page 48 of 69

IN PLANT INSPECTION CHECKLIST (Pontinued) P*GE_Of_

'iTATION NAME: mechanical (hvac) station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION u L 1 L n 111 1 11 n 1 1 u 11 OF COMPLIANCE

(e) LenKth/pitch/clearance 1. 2 D, E^

(f) Termination 1, 2 D

(p) Connectors 1, 2 D

(h) Unused openings 1. 2 D

(1) Workmanship 2 D, F, G

4. DUCTS:

(a) Identification 1, 2 D

(b) Fastening/support 1, 2 D

(c) Location 1 D

(d) Plenum

(1) Material 1 D

(2) Location 1 D

(3) Access 1, 2 D

(4) Support 1, 2 D

(e) Workmanship 2 D, F, G

5. INSTALL FLOOR FURNACES. ROOM

HEATERS, ETC.

2W-
IN PLANT INSPECTION CHECKLIST (rnNTiNUED)

CES DOCUMENT NO. C-02

n>TION NAME: mechanical (hvac) station STATION NO.:

ccccilTii 1 fuiDirTrDiCTiPc fir lucnrpTinu tddtNIIAL InAHALItnldMLb ux INSPECTION SOURCES

nr n r pin u

Or DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF lUMrLIANlt

-La ^ A, B, D

^ D ; iype/ sys uem X A, D

]_ ,

(d) Combustion air supply 1« 2 D

(6 } GrlXlss/Rc^^stor's

( 1 ) Location ± u

^ oUppOJ O --> ^ u

(k) Pi?otsctlon ft*oui dBm3^6 nu

(h) Controls—manual/auto X

(1) ElectricaJ. connector's

\il / WUX IQUallbrLLp 2 D P G

^ TNTQT'AT T TTTrMTTT flTiTHM ^^V^TTTM •

(a) Ducts

(1) Size

^2; Capacity X

(3) Danpers 1 D

(4) Location 1 D

(5) Separation 1, 2 D, P

(6) Clearance from 1. 2 D, combustible

2U

y
iN PLANT INSPECTION CHECKLIST (cphtinued)

CES DOCUMENT NO. C-02 Page 50 of 69

PAGE OF

NATION NAME: mechanical (hvac) station STATION NO.;

ESSENTIAL CHARACTERISTICS OF INSPECTION

cniiDPCp oUUKlto

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

ncTCDUi uiTinu DtltRMINAIluN

OF COMPLIANCE

(7) Tightness 1. 2 D, G

(8) Support 1, 2 D

(Q) Cleanouts 1 D

(10) Exhaust outlets

- Termination 1. 2 D

- Clearance above roofs 1. 2 D, E-, 1—J

(b) Hoods

(1) Material 1 D

(2) Fastening/support 1. 2 D

(3) Size/location 1 D. E,±

(4) Clearance 1, 2 D, E±

(c) Workmanship 2 D, P, G

7. INSTALL AIR CONDITIONING

EQUIPMENT:

(a) Identification

(1) Label/nameplate 1 A, B, D

(2) Rating 1 A. B. D

(b) Location 1 D

(c) Support 1, 2 D

212
CES DOCUMENT NO. C-02 Page 51 of 69

iN PLANT INSPECTION CHECKLIST iphntinueo) P*6E__op

oTATION NAME: mechanical (hvac) station STATION HO.;

ESSENTIAL CHARACTERISTICS OF INSPECTION

SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

nrTFRMINlTinM ul I LnininK nun

Of COMPLIANCE

(d) Access 1, 2 D, F, G

(e) Circulating Air Supply

(1) Source 1 D

(2) Duct system 1 D

(3) Separation 1 D

(4) Clearances 1, 2 D

(5) Screens 1

(f ) Return air limitation 1, 2 D

(g) Workmanship 2 D, P, G

8. INSTALL MISCELLANEOUS HEAT

PRODUCING APPLIANCES, RANGES

DRYERS:

(a) Identification

(1) Label/nameplate 1 A, B, D

(2) Rating 1 A, B, D

(b) Location 1 D

(c) Clearances 1, 2 D, E^ , F

(d) Ducts

(1) Fastening 1, 2 D

(2) Fire resistant 1, 2 D

enclosure

21 ^
CES DOCUMENT NO. C-02 Page 52 of 69

iN PLANT INSPECTION CHECKLIST (pnnTlHUED) PAGE_OF_

)TATION NAME: mechanical (hvac) station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(3) Connection/fastenings 1, 2 D

(4) Tenninatlon/exhaust 1, 2 D, P, G

(e) Workmanship 2 D, P, G

9. TESTING OP MECHANICAL

MERCHANDISE:

214
CES DOCUMENT NO. C-02 Page 53 of 69

IN PLANT INSPECTION CHECKLIST P*GE_ Of _

APPLICATION HO: _

MANUFACTURER: PLANT LOCATION:

INSPECTION AGENCY: STATE: STATION NAME: ceiling insulation station STATION NO.: MODEL IS): SYSTEM APPROVAL HOjSl .:

F^^FNTIAI THiRirTFRKTir^ nr IN^Pminy

SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

Or COMPLIANCE

1. MATERIALS: Moisture barrier.

thermal insulation

fa) Size Te.o* thifknp'=;^ wpichl"" B, D

(b) TVpe/Grade 1 "n "n i^, D

(c) Condition (e.g., dry, un- 2 n 1? n

damaged)

2. INSTALLATION:

(a) Moisture Barrier

(1) Placement (e.g.. 1, 2 D

continuity)

Attachment 1, 2 P

(b) Thermal Insulation

(1) Placement 1, 2

(2) Attachment (method of 1, 2 D, E^ fastening, location and

spacing)

215
CES DOCUMENT NO. C-02 Page 5^ of 69

iN-PLANT INSPECTION CHECKLIST (CONTINUEO) PAGE_0F_

NATION NAME: ceiling insulation station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

nr n r oia u

OF DESIGN

INTENT in 1 Ln 1 ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF rnupi iiurc kUfflrLIAnlt

( 3 ) Workmanship 2 D, P, G

216
CES DOCIMOT NO. C-02

IN PLANT INSPECTION CHECKLIST

MANUFACTURER:

INSPECTION AGENCY:

STATION NAML

MGOEL (S|:

Page 55 of 69

PAGE or

iviiaO'liUJWh'OUS OTTONKN'i'S (WINDOW, EXIT DOOR, AND

STAIRWAY) DJSTALLATION STATION

APPLICATION NO: PLANT LOCATION:

STATE: STATION NO.: SYSTEM APPROVAL NOIS].:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1 . MATERIALS

(a) Doors and Windows

(1) Size

(2) Type and Grade

(3) Hardware

(h) Weather Stripping and

flashing

(5) Glass - Type/Thickness

(6) Condition

B, D.

A, B, D

D, G

D, G

D, G

D, F, G

(b) Stairways

(1) Size 1, 2, 7 D, E,

(2) Material Type & Grade A, B, D

(3) Condition

2. INSTALLATION:

(a) Doors and Windows

217
CES DOCUMENT NO. C-02 Page 56 of 69

IN PLANT INSPECTION CHECKLIST (CPHTINUED)

MISCELLANEOUS COMPONENTS (WINDOW, EXIT DOOR AND

.ilATIOH NAME: stairI'/ay) installation station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(1) Location 1 D, E^

(2) Weather Stripping/ Ij 2 D

Plashing

(3) Hardware " 1, 2 D, G _

(4) Workmanship 2 D, P, G

(b) Stairways

?—

\

? ( 1 ) Layout (e.g., c lear 1 7 D, E^

width, headroom)

(2) Bearing w/r Structural D, G Members

(3) Handrails and Guardrails 1, 2, 8 D, E^

(4) Workmanship 2 D, F, G

218

PAGE OF
CES DOCUMENT NO. C-02

IN PLANT INSPECTION CHECKLIST

MANUFACTURER:

INSPECTION AGENCY: STATION NAML wall sheathing station MODEL (S):

'

Page 57 of 69

PAGE OF APPLICATION NO: _ PLANT LOCATION: _ STATE: _ STATION NO.: SYSTEM APPROVAL NOISl:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS : Plywood, fiberboard.

proprietary sheathing types

(a) Size (e.g., thickness) B, D, E-,

(b) Type/Grade A, B, D

(c) CondltlonA'olerances 2, 5

2 . FASTENERS

(a) Nails, Staples

(1) Size 1. 2 i, D, F.

(2) Type/Grade 1, 2, 6 B, D

(3) Condition D, P, G

(b) Adheslves

(1) Type" 1, 2 B, D

(2) Age, Shelf Life B, D

(3) Mixing Schedule B, D

(4) Coupon Tests D, H

219
CES DOCUMENT NO. C-02 Page 58 of 69

iN PLANT INSPECTION CHECKLIST (CONTINUED) PAGE_OF_

iTATION NAME: wall sheathing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

i. iNblAl ,\ iftTION

^

. (a) Measuring and Cutting 1 D, El

7—

N

( b ) Layout

?—^ ^

C 1 ) Locations 1 D, P

\c. J L-OVcl age ± D, P

\± J IvUITuJcrj/ 1 D

"1 D, El

\DJ VV\J± rdlialiCJLLL^ o€L D, P, G

(d) Adheslves

(1) Application 1, 2 D

(2) Pressure 1, 2 D

(3) Tenperature-or special 1, 2 D

handling conditions

(h) Curing (drying time 1, 2 D

before next operation) D

(5) Workmanship 2 D, P, G

220
CES DOCUMENT NO. C-02 Page 59 of 69

IN PLANT INSPECTION CHECKLIST PAGE OF UPPLICATIOH HO: MANUFACTURER: PLANT LOCATION: I

INSPECTION AGENCY: STATE: STATION HAML extefo:or siding station STATION NO.: MOSt'L (S): SYSTEM APPROVAL HOIS).:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

Ui utoibn INTENT

ACTUAL OESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATEFtlALS:

ygry—1 in \ .x^xvia^jm ijx^xi

J. <=>>

(2) Tvne/Grade ]_ A, B, D

( 3 ) Condltion 2 D, F, G

(b) Weather Flashing

(1) Material 1 Bj D

(2) Tvpe/Size 1 B, D, E-j^

(3) Condition 2 D, F, G

(c ) Caulking Compounds/^^fe-stics

\X J ±j\J^/ \JL C1.U.C \ Bj D

2 D. F. G

? T7ASTFMFRS-

(a) Nails, Staples

(1) Size 1, 2 B, D, E-L

(2) Type/Grade 1. 2, 6 B, D

(3) Condition 2 D, F, G

22.1
CES DOCUMENT NO. C-02 Page 60 of 69

iN PLANT INSPECTION CHECKLIST (rnfTiHUEO) P*GE_OF__

STATION NAME: extefu:or siding station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN

INTFNT In 1 Ln 1 ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF

rniiDi iiurc lUMrLIANlt

(b) Adheslves

(1) Type 1, 2 B, D

(?) AgPj ShpTf T,1fp ? R, n

(3) Mixing Schedule 2 B, D

(4) Coupon Tests 2 D, H

3. INSTALLATION:

(a) Plashing 1., 2 D, G

(b) Layout 1 D, P

(c) Weather Tightness 1, 2 D, G

(d) Nails, Staples

(1) Number 1 D

(2) Location and Spacing 1 D,

(3) Penetration 1, 2 D, P

(4) Workmanship 2 D, P, G

(e) Adheslves

(1) Application 1, 2 D

(2) Pressure 1, 2 D

(3) Temperature - or 1, 2 D

special handling

conditions

222
CES DOCUMENT NO. C-02 Page 6l of 69 IN PLANT INSPECTION CHECKLIST (p^mtinued) page of

jTATION NAME: extemor siding station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES w U U II U L W OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT OF COMPLIANCE

(4) Curlne: (drying time 1. 2 D before next operation)

(si Workmanship 2 D, P, G

(f ) CaulMnff Application 1. 2 D, G

(g) Comer Treatment 1. 2 D, G

(h) PalntlnK/PlnlshlnK 1. 2 D. G

!,

223
CES DOCUMENT NO. C-02 Page 62 of 69

IN-PLANT INSPECTION CHECKLIST P*GE_ OF _

APPIICATIOH HO: MANUFACTURER: PLANT LOCATION:

INSPECTION AGENCY: STATE: STATION NAMt roof sheathing station STATION NO.: MOOEL IS): SYSTEM APPROVAL NOISl:

ESSENTIAL CHARACTERISTICS OF INSPECTION

cniiDrpc oUUKIlo

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DFTFRMtNtTinN

OF COMPLIANCE

1. MATERIAI^: Plywood,

proprietary sheathing types

(a) Size (e.g. J thickness) 1 B, D, E

±

(b) Type/Grade 1 A, B, D

(c) Condition/Tolerances 2, 5 D, E,, G

3

2. FASTENERS:

(a) Nails, Staples, Plycllps

(1) Size 1, 2 B, D, E^

i:

(2) Type/Grade 1, 2, 6 B, D

(3) Condition 2 D, P, G

(b) Adheslves

(1) Type 1. 2 B, D

(2) Age, Shelf Life 2 B, D

(3) Mixing Schedule 2 B, D

(4) Coupon Tests 2 D, H

22^4
CES DOCUMENT NO. C-02 Page 63 of 69 IN-PLANT INSPECTION CHECKLIST (roMTiNUED) PAGE__OF__

STATION NAME: roof sheathing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION

0 u u nuLo

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

ncTCDUiuiTinu ULitnfflinRiiun OF COMPLIANCE

3. INSTALLATION:

(a) Measuring and Cutting I D, E-,

(b) Layout

(I) Blocklng/PIycIlps 1, 2 D, P

(c) Nails, Staples

(1) Number 1 D

(2) Location and Spacing 1 D, E^

(3) Penetration 1, 2 D, P

(4) Workmanship 2 D, F, G

(d) Adheslves

(1) Application 1, 2 D

(2) Pressure 1, 2 D

(3) Temperature - or 1, 2 D

special handling

conditions

(4) Curing (drying time 1, 2 D

before next operation)

(5) Workmanship 2 D, P, G

(e) Methods

(I) Face era1n orientation 2

vd.th respect to rafters

22"5
CES DOCUMENT NO. 0-02 Page 64 of 69

IN PLANT INSPECTION CHECKLIST (rnnTiHUED) P*GE_OF_

STATION NAME: roof sheathing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCESOF DESIGN

INTENT

-

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

(2) Joints centered over 2 D, E-,

?—1 rafters

(^) Workmanship 2 D, F, G

226
CES DOCUMENT NO. C-02

IN-PLANT INSPECTION CHECKLIST

MANUFACTURER:

INSPECTION AGENCY: STATION NAME: MODEL |S|:

Page 65 of 69

PAGE OF

FINISH ROOFING STATION

APPLICATION NO: _ PLANT LOCATION: _ STATE: _ STATION NO.: SYSTEM APPROVAL NO|S].:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

OF DESIGN INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. MATERIALS:

(a) Underlayment

(1) Type/Grade

(2) Weight, Thickness

(3) Condition

(b) Roofing

A, B, D

B, D

D, F, G

(1) Type/Grade

(2) Weight

(3) Condition

A, B, D

i, D

D, F, G

(c) Weather Plashing

(1) Material

(2) IVpe/Size/Weight

(3) Condition

B, D, El

(d) Nails

(1) Size 1, 2 B, D. E-i

(2) TVpe/Grade 1, 2, 6 B, D

(3) Condition

22,7
CES DOCUMENT NO. C-02 Page 66 of 69

IN-PLANT INSPECTION CHECKLIST (CONTINUED) PAGE_OF_

STATION NAME: finish roofing station STATION NO.:

ESSENTIAL CHARACTERISTICS OF INSPECTION

SOURCES

OF DESIGN

INTENT ACTUAL DESIGN REQUIREMENT

nFTFSMINlTinN UL 1 Lnml nK 1 lUn OF COMPLIANCE

2. INSTALLATION:

(a) Ihderlayment 1, 2 D, G

(b) Plashing 1, 2 D, G

(c) layout 1 D, F

(d) Nails

(1) Number 1 D

(2) Location and Spacing 1 D, El

(3) Penetration 1, 2 D, P

(e) Exposure I D, El

(f) Workmanship 2 D, F, G

228
CES DOCUMENT NO. C-02 Page 67 of 69

IN PLANT INSPECTION CHECKLIST PAGE_ OF _

*PPllC»TIOH HO: MANUFACTURER: PLANT LOCATION:

'

INSPECTION AGENCY: STATE: STATION NAMt final compliance inspection and certification station STATION NO.: MOOEL (S): SYSTEM APPROVAL N0(S1.:

ESSENTIAL CHARACTERISTICS OF INSPECTION SOURCES

Ui UiolDn INTENT

ACTUAL DESIGN REQUIREMENT

DETERMINATION

OF COMPLIANCE

1. COMPLIANCE REVIEW: 2 f) V n

2. LABEL:

(a) Contents 2 D

(b) Location 1, 2 D

(c) Attachment (method of 1, 2 D

fastening)

3. LABEL CONTROL RECORD: 2 D

4. MANUFACTURER'S DATA PLATE:

-

-

(a) Contents 2 D

(b) Location 1, 2 D

(c) Attachment (method of 1, 2 D

fastening)

2-29
CES DOCUMENT NO. C-02 Page 68 of 69

Notes to the Inspection Checklists

Sources of Design Intent - References

1. Approved Building System (i.e., drawings and specifications).

2. Manufacturer's Approved Compliance Assurance Manual.

3. Standard Grading Rules for Western Lumber (1970), Western Wood Products

Association, Section 752.

4. One and Two Family Dwelling Code, 1971 Edition, Section R-602.6 and R-i|02.4.

5. Plywood Product Standard Handbook (1970), American Plywood Association,

Sections 3-9, 3-10, 3.11 and 3.12.

6. Federal Specification FF-N-105B (March 17, 1971).

7. One and Two Family Dwelling Code, 1971 Edition, Section R-214.

8. One and Two Family Dwelling Code, 1971 Edition, Section R-215.

9. Underwriters Laboratories Construction Materials List.

10. Underwriters Laboratories Appliance Utilization List.

11. National Electric Code (NEC) (1971), Section 230-24.

12. NEC, (I97I), Section 230-51.

13. NEC, (197I), Section 250-72.

14. NEC, (1971), Section 230-71.

15. NEC, (1971), Section 384-13.

16. NEC, (1971), Section 300-8.

17. NEC, (1971), Section 336-5.

(Non-metallic sheathed cable). No. 348-12 (Electrical metallic tubing) or other sections as applicable for other types of circuits or conductors.

18. NEC, (1971), Section 336-10.

230
CES DOCUMENT NO. C-02 Page 69 of 69

19. NEC, (1971), Section 3^8-9 for electrical metallic tubing and other

sections as applicable.

20. NEC, (1971), Section 370-13.

21. NEC, (1971), Section 370-10.

22. NEC, (1971), Section 370-8.

23. NEC, (1971), Section 370-19.

A - Listing Agency Label

B - Manufacturer's Label

C - Test Reports

D - Visual Inspection

E - Physical Measurement or Test (in accordance with the following

technique, as appropriate)

E^ - Measurement with pocket tape or scale.

E2 - Measurement of lumber moisture content - Electrical

resistance type moisture meter.

E^ - Measurement of plywood moisture content - Oven, scales,

thermometer, timepiece, core saw.

E^^ - Measurement with a wire gage.

E^ - Measurement with a continuity tester.

Eg - Measurement with a megometer or equivalent dielectric

testing equipment.

Determination of Compliance

F Inspector Knowledge

G Inspector Judgement

H Sampling by Inspector, as necessary.

231

CES DOCUMENT NO. C-03 Page 1 of 2

INSPECTION REPORT

The suggested Inspection Report form is for use by the Inspection Agency

inspector to report in summary form the results of his audit inspections of a manufacturer. Copies of the Inspection Report should be made available to the manufacturer

and, as appropriate, the Administrative Agency. All Noncompliance Tags (CES Document

No. and Prohibited Sales Notices (CES Document No. C-05) issued should be sum- marized by unit serial number on the Inspection Report. The frequency of occurrence

for each defect should be so indicated in the column marked "Frequency" for each

individual entry. Each individual report should be signed at the bottom by both the

Inspection Agency inspector and the manufacturer's compliance control representative.

233
CES DOCUMENT NO. C-03 Page 2 of 2

Wome and oddttAi

liUiptction Agmay

INSPECTION REPORT

NAME OF MANUFACTURER:

PLANT LOCATION:

DATE OF REPORT: REPORT NO:

Unit

Serial

No.

IslJiiVv 'Jill" pliance

Tag No. Description of Defect Frequency

Agency Inspector Mfgr. Inspector

(Signature) (Signature) Page of

234
CES DOCUMENT MO. C-Oi| Page 1 of 2

NONCOMPLIANCE TAG

Deficiencies in construction found by the Inspection Agency inspector that can

not be corrected immediately in his presence should be tagged with a Noncompliance

Tag (red tag). It is suggested that the tag be pre-printed on both sides on heavy

red paper stock material and be attached by a string in the area of the noncompliance;

yet the tag should be prominently visible. The tags are individually serialized for

reference and control purposes. The inspector fills out the tag noting the deficiency

on both the portion of the tag attached to the unit and the detachable end which he

keeps. A red tag may be attached to individual deficiencies or may apply to several

deficiencies depending on the items involved and the judgement of the inspector.

Only the Inspection Agency inspector or authorized manufacturer personnel should remove Noncompliance Tags. Completed tags should show the action taken to correct

deficiencies and should be retained as part of the compliance assurance records.

Units of construction should not be labeled when bearing a Noncompliance Tag. The

status of Noncompliance Tags issued should be summarized on the Inspection Report,

CES Document No. C-O3.

The manufacturer may also utilize Noncompliance Tags or may use some other device,

such as production travellers to identify construction deficiencies.

235
CES DOCUMENT NO. C-04 . Page 2 of 2

©

TAG NO. XXXX

NQNCQNPLIANCE TAG

[ Name. o{j lm>pzcXion Agnncy ] M£gr : Plant

Unit Serial No. Inspector : Date Issued:

Noncompliance Tag to be removed

only by AUTHORIZED PERSONNEL

after noncompliance is corrected.

Unit should not be labeled when

bearing a Noncompliance Tag.

(Noncompliance noted on other side)

TAG NO. XXXX

[ Name 0($ lnipe.cJxon Agmcy ] Mfgr : Plant

Unit Serial No: Inspector: Date

Date Corrected:

By:

(Noncompliance noted on other side)

Perforate

tag

y—here —

®

Description of noncompliance:

Description of noncompliance

Front of Tag Back of Tag

236
CES DOCUMENT NO. C-05 Page 1 of 2

PROHIBITED SALES NOTICE

For the more serious unit violations which affect public health and safety and

which can not be readily repaired as provided by a Noncompliance Tag, a Prohibited

Sales Notice should be applied to the Individual unit of production until such time

as corrective measures have been Implemented by the manufacturer. The Prohibited

Sales Notice should be an official state notice with reference to appropriate laws

and rules and regulations of the state. It should be affixed when noncompliances

would result in a hazard to health and safety and where major repair or rework is

required by the manufacturer to bring the completed unit into code compliance. The

notices should be on adhesive backed paper and should each be individually serialized

and controlled by the Inspection Agency. Only Inspection Agency or Administrative

Agency personnel should be authorized to remove a Prohibited Sales Notice.

Like the Noncompliance Tag, the Prohibited Sales Notice should be referenced on

the Inspection Report, CES Document No. C-03.

237
CES DOCUMENT NO. C-05 Page 2 of 2

PROHIBITED

SALE - INSTALLATION - OCCUPANCY

NOTICE IS HEREBY GIVEN THAT THE SALE, OFFERING FOR SALE, INSTALLA-

[ldQ.ntLiy mabting te.gi^lcution and n.e.QuJLoJu.OYii, oj^ itate.)

THE (Nome oi KppnopnJjvtn Agenct/) SHALL BE NOTIFIED PRIOR

TO MOVING THIS STRUCTURE OR UPON CORRECTION OF THE LISTED DEFICIENCIES

THE REMOVAL, DESTRUCTION OR CONCEALMENT OF THIS NOTICE

BY ANY UNAUTHORIZED PERSON IS UNLAWFUL.

REFERENCE - IDENTIFY INSPECTION REPORT DESCRIBING

TION OR OCCUPANCY OF THIS STRUCTURE IN IS PROHIBITED.

STATE OF

I Home., add/LdM, and teJitphonn no. \

[__ appn-opKiatt agency _J

DEFICIENCIES

DATE

NOTICE

POSTED BY

AGENCY

INSPECTOR MFGR.

NAME

UNIT

SERIAL NO.

SERIAL NO. OF

THIS NOTICE

2.38
CES DOCUMENT NO. C-06 Page 1 of 2

NOTIFICATION OP SUSPENDED ACTIVITIES

If a manufacturer is repeatedly conducting operations In direct violation with

the Act or the Rules and Regulations, then an official Notification of Suspended

Activities as suggested by this document should be issued. This document, which is

a form letter, may be Issued by the Administrative Agency, the Evaluation Agency or

the Inspection Agency, in accordance with Part IV, Section 3(C) of the Model Rules

and Regulations.

The suggested letter form requires the Initiating agency to cite the applicable

manufacturer violations and to direct the party at fault to surrender any certification labels in their possession to the issuing agency.

When the manufacturer has taken corrective action to remedy the condition v;hlch

led to the suspension, the manufacturer should so notify the Administrative Agency

In writing. At that time the conditions of the violation and the remedy proposed

should be reassessed. If all conditions are satisfactory to the Administrative

Agency, the suspension should be lifted and Inspection Agency monitoring reinstated

at the 100% level.

The same type of form letter notification could be utilized to suspend or revoke

the approval of Evaluation or Inspection Agencies as provided for by Part IV, Section 3 of the Model Rules and Regulations.

239
CES DOCUMENT NO. C-06 Page 2 of 2

STATE OF

Nairn and addJie^i

Admiyiiit/uttive. Age.ncy, Evalwition Agmcy, on. Jn6pzcJU.on Age.ncy

Date : TO : (Name and AddAUi, Uanu{,ac^tu/LeA]

SUBJECT: Notification of Suspended Activities

As prescribed in {?a/vt IV, Se.ction 3(C), "SvUipzni-ion and RtvocaJU-on" - CiAXyifjizat^on]

of the Model Rules and Regulations for the Manufactured Building Act, any manufacturer

who violates or fails to comply with the Act and the Rules and Regulations shall be

notified in writing describing the reasons for suspension or revocation along with

the specific violations and to instruct the manufacturer to deliver all labels in

their possession, or under their control, to the issuing agency.

SPECIFIC VIOLATIONS:

INSTRUCTIONS FOR RETURNING LABELS TO ISSUING AGENCY:

I hereby certify that the violations noted on this form are true and correct.

[Si-QnaXuA^ and TaJJLz]

cc: Appropriate Administrative, Evaluation, Inspection or Local Enforcement

Agencies involved

Administrative Agency in states having granted reciprocity

240
CES DOCUMENT NO. C-07 Page 1 of 2

LABEL

The suggested label shown on page 2 of this document contains the information

and wording as required in Part IV, Section 3(B) of the Model Rules and Regulations.

However, this wording does appear to imply a liability by the Inspection Agency

which is not otherwise implied by the Rules and Regulations. Accordingly, it is

recommended that the question of liability be investigated with regard to any particular state program before the wording of the label is adopted in that specific state.

The label should be made of a material which can be permanently Imprinted or embossed with the necessary information and which cannot be removed after being

attached to the unit of construction without being destroyed.

Labels should only be attached to manufactured buildings or building components

which comply with all applicable codes, standards, and Rules and Regulations. Attachment of labels should be done by the Inspection Agency, or, if delegated in accordance with the Rules and Regulations, by the manufacturer's employees charged with

controlling the use of labels. Records of label usage should be maintained as suggested in the Label Control Record (CES Document No. C-08). Reference is also made

to CES Document S-09, pages 7 and 25 "Compliance Records" and "Final Inspection and

Certification" in which record keeping and final inspections are discussed.

At the discretion of the Administrative Agency [Part IV, Section 3(B)(1)],

labels may be limited in size and content for building components whose size or shape do not permit the full information to be placed thereon. In such cases, the

alternate label must be approved by the Administrative Agency. For high production

components, alternate labeling methods may be approved, such as simple markings or identifications stamped, etched, embossed, or otherwise permanently affixed to the

component during, or as part of the fabrication process.

241
CES DOCUMENT NO. C-07 Page 2 of 2

STATE OF

DEPARTMENT OP

This label certifies that this building [or

building component] has been manufactured

In accordance with an approved building

system and compliance assurance program

approved by {Name, of, Evalucution Aqenct/)

and Inspected by {Natm of, Imptction Agmcy]

under the auspices and approval of

{Name, ofj State.) LABEL SERIAL NO:

MANUFACTURER'S SERIAL NO:

APPROVAL BUILDING SYSTEM:

NUMBERS r—, COMPLIANCE

LJ ASSURANCE PROGRAM:

SEE DATA PLATE

LOCATED ON:

AGENCY ISSUING

THIS LABEL:

2k2
CES DOCUMENT NO. C-08 Page 1 of 2

LABEL CONTROL RECORD ^

This document suggests a means of formally controlling the usage of certification

labels. Control over Issuance of labels is required by Part IV, Section 3(B)(2) of

the Model Rules and Regulations and permanent records of the handling of labels is

required by Part IV, Section 3(B)(3).

The suggested form provides a record of label usage and direct traceability

between the manufacturer's production unit serial number and the label serial number

as well as the date the label was affixed (Date of Manufacture). Other Information

required is the destination of the individual unit, the building system approval

number, and name of the labeling person.

As each page of the form is completed, it should be signed and dated by the

respective manufacturer and Inspection Agency inspection personnel. The original

copy of the form should be retained in the compliance assurance record of the

Inspection Agency; duplicate copies should also be provided to the manufacturer and

to the Administrative Agency for record keeping purposes.

Subject to approval by the Administrative Agency, for small high production

manufactured building components which do not require to carry the full label with

a label serial number, the Label Control Records may be based on lot or batch

numbers

.
CES DOCUMENT NO. C-08 Page 2 of 2

Name and addAna, OjJ | iR^pecXion Agency _j

LABEL CONTROL RECORD

NAME OF MANUFACTURER:

PLANT LOCATION:

Manufacturer * s Ser ia X No.Label

Serial

No.

Date

of

Mfg.

n^ci'j- i-/ ~ O L/J-llCL T na't~iOX^ll Pin Building

Oj/ O 0 C 111 Approval

No.

Labeled

(Name

)

Agency Inspector

(Signature & Date)

Mfgr. Inspector

(Signature & Date) Page of
5.7. Local Enforcement Agency Activities

Local enforcement agency activities in regard to certified manufactured buildings

and building components are given in Part IV, Section 5 of the Rules and Regulations.

In general, these activities are: (1) issuance of building permits; (2) on-site

inspections during construction; (3) Issuance of certificates of occupancy; and,

(4) reporting violations, if any, to the Administrative Agency. Applications for

building permits, certificates of occupancy, and the reporting of violations by the

local enforcement agency are discussed in the following sections.

a. Building Permit Application

According to Part IV, Section 5(A) of the Rules and Regulations, a manufacturer

or builder applying for a local building permit may have to furnish the following

information in addition to any other local requirements:

(1) A statement that work to be performed under such permit is to include the

installation of a certified manufactured building or building component in accordance

with the provisions of the Act;

(2) A true copy of the approved building system (where one has not previously

been furnished); and,

(3) A copy of the Building System Approval Report (where one has not previously

been furnished).

Presently there are several model building permit application forms which are widely used by both state and city building regulatory agencies. These model forms

have been developed by the U. S. Department of Commerce, Bureau of the Census;

International Conference of Building Officials (ICBO) [17]; and Building Officials

and Code Administrators International (BOCA) [18]; and the Southern Building Code

Congress International (SBCC) [19].

Bureau of the Census Form . This building permit application form was developed

by the Bureau of the Census with the hope that widespread adoption of the form would

make possible compilation of comparable information concerning new construction in

local areas, in states, and in the nation. This one-page form along with notes on

its use is incorporated into this report as CES Document No. L-01. Since this form

does not specifically provide for entries as to whether or not the proposed work

includes the installation of a certified manufactured building or building components,

it is necessary that such additional information be attached to this building permit

application form,

ICBO Form . The ICBO suggested building permit application form serves a threefold purpose; that is, an application for a permit; and when properly completed and

validated, a building permit; and after validation an inspection record [17], The

application form is in five parts; one copy for the inspector, the second for the

applicant, third for a temporary file, fourth for the Auditor, and the fifth for the

Tax Assessor. The form provides space for the applicant to briefly describe the

proposed work, and accordingly such space could be used to Indicate that the

245
application involves the installation of certified manufactured buildings or components. ICBO has also developed similar model application forms for plumbing, electrical and mechanical permits to accompany the building construction permit.

BOCA Form . The BOCA model form consists of four pages and is designated as an Application for Plan Examination and Building Permit [l8]. The format and content of

the first page is similar to the Bureau of the Census form; the second page provides

space for department notes and data; the third page relates to plan review records

and additional permits required; and the fourth page provides space for zoning plan

examiner reviews and site or plot plan drawings by the applicant.

b. Building Permit

Local enforcement agencies are required to issue building permits for certified

manufactured buildings prior to installation and for buildings containing certified

building components which in all other respects comply with all applicable building

codes [Part IV, Section 5(A)].

As indicated in the previous section, some building permit application forms

(e.g., ICBO) are also used as building permits after they are properly completed and

validated. BOCA has developed a model six-part multi-purpose building permit form

[18]. One part or copy of this form is for office file use, one copy is for field

inspection use, one is for certificate of occupancy, one is for owner or applicant,

one is for assessors use, and one copy is a job card for posting on-site by the

general contractor. ' The copy used as the certificate of occupancy is not issued

until the final inspections have been completed.

c. Local Enforcement Agency Report of Noncompliance

Part IV, Section 5(C) requires that the local enforcement agency inspect all

manufactured buildings or building components to determine that the unit as delivered

and installed meets the conditions of the building systems approval report and/or the

manufacturer's data plate, and Paragraph (F) of the same section requires that the

local enforcement agency report to the Administrative Agency any deficiencies or violations found in the conduct of these local inspections.

When a local enforcement agency reports such violations as required, it should

use a form, similar to the example given in CES Document No. L-02 [20]. A similar

form can be used by Inspection Agencies in states which require that such agencies

perform on-site installation inspections.

d. Certificates of Occupancy

After certified manufactured buildings or buildings containing certified building

components which otherwise comply with all applicable building codes have been properly

installed and inspected in accordance with the Act and Rules and Regulations, the

local enforcement agencies are required to issue Certificates of Occupancy [Part IV,

2it6
Section 5(E)]. ICBO has developed a model Certification of Occupancy and, as discussed

previously, BOCA has prepared a multi-purpose Building Permit form which can also be

utilized as a Certificate of Occupancy. CES Document No. L-03 was developed as a sample

Certificate of Occupancy form which includes the necessary information and wording so as to apply to manufactured buildings as well as to conventionally on-site constructed

buildings. ^

247

CES DOCUMENT NO. L-01 Page 1 of 2

STANDARD PERMIT APPLICATION FORM

The concept of a national uniform building permit application form was originally

introduced by the Bureau of the Census, U. S. Department of Commerce, in I966. The

purpose was to provide a document which could be adopted by building permit offices

for local use and at the same time contain basic information which would improve

data reported to and collected by the Bureau of the Census in its monthly surveys.

Prom the outset, the major building codes organizations have been kept informed of

whatever progress has been made and have approved of the idea of a uniform form. Two

of them recommended adoption of earlier versions of the form to their members.

The original document was modified by a number of users and the form presented is a "third generation" version. From what reactions thus far received, the contents, with

local modifications, are satisfactory for many jurisdictions. However, the form and

its contents should not be considered mandatory. The form is a viable document which

should and must be modified to meet local requirements and changing data needs. It

is not meant to be unchanging and sterile.

It would be self-defeating to recommend a single form for adoption by all jurisdictions - large and small, metropolitan and rural. As presented, the form and its

contents should be considered as a core which can be accepted as is, which can be

rearranged or which can be implemented as necessary. Some of the items - Type of

Sewage Disposal, Type of Water Supply, Type of Roof - may not be applicable in many

Jurisdictions and there is nothing sacred about retaining them. However, a review

will indicate that most of the data listed are basic information items.

If a single uniform application form Is not applicable for an entire State, the

proposed form can be modified for adoption within a metropolitan area in which most

informational requirements among jurisdictions are similar. Adoption would enable a local organization - a State or local university, a regional planning commission,

etc. - to keep track of new construction: where and what is going on.

Since the inception of the undertaking in I966, the Bureau of the Census has volunteered its aid to any State or metropolitan area-wide agency in preparing a modified

version of the form which meets its particular requirements. This offer still stands.

NOTE - When required, other Information desired by the Local Enforcement Agency such

as that suggested in Part IV, Section 5(A) of the Model Rules may be Inserted as remarks in Section D-17 of the form or in the space left for nonresidential uses.

249
CES DOCUMENT NO. L-01 Page 2 of

(Name of Permit Issuing Jurisdiction \ Name of Department Issuing Building Permits / BUILDING PERMIT APPLICATION

IMPORTANT - Complete ALL items. Mark boxes where applicable.

I.LOCATION

OF

BUILDING

Number and street Subdh

N S

E W side of_ .feet

N S E W from intersection of _ (Other local geographic, political, or legal subdivision identification)

II. TYPE AND COST OF BUILDING - Ail applicants complete Pans A ~ D

A. TYPE OF IMPROVEMENT

1 03 '^^^ building

2 |__ [ Addition (If residential, enter number

of new housing units added, if any,

in Part D, 13)

3 [ 1 Alteration (See 2 above)

4 I "'

I Repair, replacement

5 1 1 Wrecking (If multifamiJy residential. enter number of units in building in Part D, 13)

6 I I Moving (relocation) 7 I

'

I Foundation only

B. OWNERSHIP

8 O Private (ind nonprofit in: 9 I 1 Public (Federal, State, or local government)

idual. corporaiii

lution, etc.)

PROPOSED USE - For "IVrecfcing" Res identiol 12 I I One family

13 I I Two or more family — Enter number of units

14 I I Transient hotel, motel,

or dormitory — Enter number

most recent use

Nonre

15 Garage

16 I I Carport

17 03 Other _ Specify .

dential

18 I

I Amusement.

19 I ] Church, other religious 20 Industrial

21 Parking garage

22 I 1 Service station, repair garage

23 I I Hospital, institutional 24 I J Office, bank, professional 25 Public utility 26 I "

I School, library, other educational

27 I ~"| Stores, mercantile

28 I I Tanks, towers

29 Other - Specify

COST

10. Cost of improvement To be installed but not included

in the above cost

a. Electrical

b. Plumbing

c. Heating, air conditioning

d. Other (elevator, etc.)

11. TOTAL COST OF IMPROVEMENT

Nonresidential — Describe in detail proposed use of buildings, e.g., food processing plant, machine shop, laundry building at hospital, elementary

school, secondary school, college, parochial school, parking garage for departmeni store, rental office building, office building at industrial plant.

If use of existing building is being changed, enter proposed use.

III. SELECTED CHARACTERISTICS OF BUILDING For new butldtngs and additions, complete Parts £ — L.

for wrecking, complete only Part J, for all others skip to IV. PRINCIPAL TYPE OF FRAME

30 1 I Masonry (wall bearing)

31 Wood frame

32 ["

1 Structural steel 33 [ 1 Reinforced concrete

34 [ I Other - Specify

PRINCIPAL TYPE OF HEATING FUEL

35 Gas aenoil

37 |_ I Electricity 38 Coal

39 r I Other — Specify

G. TYPE OF SEWAGE DISPOSAL

40 I I Public or private company

Al I I Individual (septic tank, etc

H. TYPE OF WATER SUPPLY

42 ['

I Public or private company

43 Individual (well, cistern)

I. TYPE OF MECHANICAL

Will there be cond iti on ing?

44 1 I Yes

Will there be ; 46 1 I Yes

45 No

I elevator'

47 No

. DIMENSIONS

48. Number of stories

49. Total square feet of floor area,

all floors, based on exterior dimensions

50. Total land area, sq. ft. NUMBER OF OFF-STREET

PARKING SPACES

52. Outdoors

L. RESIDENTIAL BUILDINGS ONLY

53. Number of bedrooms ........

54. Number of bathrooms

Full . .

Partial

IV, IDENTIFICATION - To be completed by all applicants Na Mailing address — .Vumber, street, city, and State

Contractor

3.Architect

The owner of this building and the undersigned agree to conform to all applicable laws of (name of permit jurisdiction).

Signature of applicant Application date

DO NOT W/?/T£ IN THIS SPACE - FOR OFFICE USE

Approved by Date permit issued Perr

Recommended by: U.S. Department of Commerce Bureau of the Census

250

July 1, 1968
CES DOCUMENT NO. L-02 Page 1 of 2

MANUFACTURED BUILDING REPORT OP NONCOMPLIANCE

Part 1 of the form Is completed by the local enforcement agency when an arriving

unit is damaged or a violation is noted. The report should not be used for cosmetic

type of damage or where the damage is of a type discussed in the Building System

Approval Report. The form provides for the preparer to specify the provisions of the

applicable code, standard, or Approval Report violated. It also provides a separate

section for reporting damage to the unit. Upon completion, the form is forwarded to

the state for follow through (Part IV, Sections 5(A), (C), and (E)).

Part 2 is prepared by the state. When a damaged or noncomplying unit is reported, a determination of repairability must be made. This may Involve consultation

between the manufacturer, state and/or third party, and the local agency. Upon

determining the repairability of a unit, one of two actions is necessary. If the

unit is repairable, an assignment of inspection responsibility is made. The state

may give the responsibility to the local enforcement agency, the third party agency

or choose to perform the necessary inspections with its own personnel. This section

also briefly outlines the areas of noncompliance or damage and the means of accom- plishing the inspection (i.e., visual examinations or tests). It authorizes destructive disassembly if such is warranted. If the unit is not repairable, then the local

agency is authorized to take the necessary procedures to order removal of the unit

(Part IV, Section 5 (D)).

Part 3 of the form provides a section for the agency inspecting the repairs to

certify that the required repairs have been completed and that the unit is now in

compliance

.

Use of this form results in a documentable procedure for repair or removal of

noncomplying units. It also provides the necessary information to keep the various

parties Informed of the progress of noncomplying units.

This form is presented as one document. It may also be constructed using Parts

2 and 3 as a separate form since they are not required by the local enforcement agency

when preparing Form L-02.

This form may be serialized for ease of record keeping.

251
CES DOCUMENT MO. L-02 Page 2 of 2 STATE OFr Nome and AdcUui ~1

[_ Adm'tyiLitA.CLtLv^ Agzncy J

MANUFACTURED BUILDING REPORT OF NONCOMPLIANCE

GENERAL INFORMATION

Name of Local Enforcement Agency

Address

Name of Inspection Agency

Address

Name of Builder or Owner

Address

Location of Unit

UNIT IDENTIFICATION

Manufacturer

Model Designation and Serial No. Unit Label No. Building System Approval No. C.A. Program Approval No. Building Permit No.

VIOLATIONS:

ACTIONS TAKEN QOccupancy Permit Withheld DProvisional Occupancy Permit Issued

other

(Name of Local Building Official) (Title ) (Signature) (Date) p„,, , The above designated unit has been determined to be noncomplying in the following

respects :

and has been determined to be: REPAIRABLE (See inspection notes below)

NONREPAIRABLE (See instructions below)

Inspection to be performed by: LOCAL ENFORCEMENT AGENCY

COMPLIANCE ASSURANCE AGENCY

STATE INSPECTORS

DISASSEMBLY AS REQUIRED IS PERMITTED TO PERFORM INSPECTIONS AND TESTS.

COMPLIANCE ASSURANCE INSTRUCTIONS AND APPROVED DRAWINGS ARE: ENCLOSED REMARKS:

^BEING FOREWARDED

NOT REQUIRED

NOTE: PART 3 OF THIS REPORT MUST BE COMPLETED AND FILED UPON COMPLETION AND ACCEPTANCE OF WORK BY THE ASSIGNED INSPECTION AGENCY.

TO: (Local Enforcement Agency)

YOU ARE HEREBY AUTHORIZED TO TAKE THE PROCEDURES DEEMED NECESSARY BY YOUR OFFICE TO

ACCOMPLISH THE REMOVAL OF THE ABOVE DESIGNATED UNIT(S).

Name Title Signature Date

TO: (Administrative Agency)

THE ABOVE DESIGNATED UNIT HAS THE REQUIRED REPAIRS AND/OR CORRECTIONS COMPLETED AND

IS NOW IN COMPLIANCE WITH

Name of inspector Title Signature Date

or preparer p^^, 3

252
CES DOCUMENT NO. L-03 Page 1 of 1

WojTie and AddAzii 0(5 locaJL En^oKce/mnt Agzncy

CERTIFICATE OF OCCUPANCY

No. Date

CO. Appl. No. Location

Map No._

Proposed Use. No. of Stories

Building Permit No, Date Issued

Section Block Lot

No. of units

[ I This certifies that the building located at premises indicated above complies

with all applicable local ordinances.

j

I This certificate is issued pursuant to the requirements of {Idzntif^y znabZ-Lng

itatz Izgiilation. and ^zgLLlationi ) and complies with applicable local ordinances.

Approval Report No, Label No,

This certificate issued to: Name:

(Ov;ner, lessee or tenant) Address:

(Seal or Stamp) (Signature of Local Enforcement Agency Official)

Any change in the type of occupancy, or part of premises thereof, will render this

certificate VOID and a NEW certificate must be obtained.

253

5.8. Interstate Acceptance (Reciprocity)

a. Introduction

As was mentioned in Section 1, the creation of state wide marketing areas Is one

of the alms of state regulatory programs for manufactured buildings and components.

In order to create even larger marketing areas and to eliminate the duplication of

efforts and costs. It is desirable that conditions be developed which permit approved

building systems and manufactured buildings and components certified In one state to be

accepted in another state without requiring a full re-evaluation, approval, and certification in that state.

Interstate acceptance can be based on reciprocity; that Is, the mutual acceptance

of systems and units by two or more states from each other; or it can be a one-way

acceptance by one state of units produced in one or more other states, without these

other states reciprocating. Further, the acceptance can be full, that is, without

additional requirements being imposed, or limited, that is, under the condition that

certain additional requirements be met. Finally, such acceptance could also be limited

in the sense that acceptance could be for the building systems approval only, and not

for inspection and certification, or vice-versa.

The preconditions for either reciprocity or for one-sided acceptance are basically

similar, although they do differ in the degree of their importance. The processes or procedures to be used to grant reciprocity or unilateral acceptance may differ substantially since the two or more states Involved may use regulatory systems based on

(1) third-party evaluation and certification; (2) state operations only; or (3) a combination of the two systems. The following paragraphs discuss the preconditions

for interstate acceptance and the regulatory processes related to such acceptance.

b. Prerequisite for Interstate Acceptance

Part VII, Sections 1 through 3 of the Rules and Regulations provide a mechanism

for acceptance of manufactured buildings and components certified by another state.

Basically two factors affect such acceptance:

The codes and standards (technical requirements) under which the units were certified, and

The effectiveness of the enforcement process.

Where two state programs require compliance with the same codes, there are no differences in the technical requirements and a basis for reciprocal acceptance

of certified units exists. Where two state programs require compliance with differing codes, or with the same but substantially amended codes, the differences in

technical requirements could be so substantial as to eliminate any basis for reciprocity. Fortunately, the differences in the technical requirements of the various codes

used by most states are usually not substantial, and except for individual requirements (such as for snow and wind loads), such differences as do exist need not prevent

255
acceptance of certified units. Some specific additional information may need to be

provided to permit the accepting state to determine that the unit complies fully with

its own codes. Many existing state programs recognize this fact by stating that

reciprocity shall be granted if it is determined that the other state "satisfactorily"

enforces compliance to codes and standards which "meet the objectives" of its own act

and rules and regulations.

The effectiveness of the enforcement process Is more apt to differ from one state

to another, and is also more difficult to define and evaluate than are the technical

requirements. The effectiveness depends on such factors as the qualifications and

reliability of the enforcement personnel, management capabilities of the various

agencies Involved in the regulatory process, and the resources available for the

regulatory activity. The development of criteria for the evaluation of the effectiveness of agencies is the objective of NBS Project LEAP (see previous discussion in

Section 1). Most existing state programs provide for the acceptance of certified

manufactured buildings from a state that has a level of enforcement which is either

"similar", "substantial", or "satisfactory", and do not require that the level of

enforcement in the other state be "identical" to its own.

Although not Identified above as one of the major two factors affecting interstate

acceptance of certified units, the documentation used by the states also can have a direct Influence on reciprocity. Where such documentation differs substantially, it

will be difficult for another state to determine both the compliance of a specific

building system to technical requirements and the effectiveness of the enforcement

program. Conversely, the use of uniform documentation, particularly uniform checklists, enables the state not only to determine the technical criteria, but also, at least to some degree, the effectiveness of the other state's enforcement activity.

By providing such uniform documentation. Project CES hopes to encourage the interstate acceptance of manufactured buildings and components, and to aid in establishing

regional and national marketing areas so that the full potential of industrialized

building sector can be realized.

c. Process of Interstate Acceptance

The CES state-of-art study indicates that the majority of states with implemented

state manufactured building regulatory programs have some form of statutory or administrative provisions for accepting units approved and certified by other states without re-evaluation and re-inspection. However, such provisions, while incorporated in

the adopted legislation and/or in the rules and regulations governing the programs, do

not seem to have been implemented. Of the 20 states that reported to have provisions

for interstate acceptance (out of a total of 50 studied in mld-1974), only 11 states

reported to actually have accepted out-of-state units.

256
Four different thoughts and principles on interstate acceptance have been proposed by various officials and others engaged in the manufactured building regulatory

system:

(1) Where two or more states use the "third-party system", and such states

approve the same third-party organizations, reciprocity for accepting in one state

units certified by another state is claimed to be almost automatic. However, it has

been pointed out that although the third party may be the same private company operating in two or more states, the effectiveness of the organizations in the various

states still may differ.

(2) At least in some states legal aspects seem to dictate that the reciprocity

be based on the acceptance of another state's program, and not on the certification

of units by a private organization operating in the other state.

(3) A system of national or regional monitoring agencies or teams has been proposed. Such an agency, or agencies would evaluate both private and government organizations engaged in the evaluation and certification of manufactured buildings and

building components. Based on the findings of such an agency or agencies. Interstate

acceptance could be extended to states using either third party or state agency

regulatory systems, and the common use of third parties would not be required.

i^) One state (Maryland) has a unique system: reciprocity can be granted to

other states, but with the provision that each plant from which units are to be shipped

to Maryland employ a Maryland certified Inspector (this same provision also applies to

plants located within the State of Maryland). Thus, the State of Maryland, while

accepting the other state's evaluation and certification, does keep some direct control

over the manufacturer's operation.

It appears that all of the four proposals and procedures outlined above have some validity. Certainly the use of common third parties by various states does simplify

Interstate acceptance, although it may not make such acceptance automatic or almost

automatic. The legal aspects must be considered and satisfied. The existence of

regional or national monitoring agencies could be valuable to states considering the

acceptance of out-of-state units. Finally, the maintenance of some form of control

even over out-of-state manufacturers through state certified inspectors may satisfy

the legal requirements, while at the same time complementing the other state's or the

monitoring agency's program. Accordingly, it is suggested that in any process to be

used for implementing regional or national areas for Interstate acceptance of certified

manufactured buildings and building components, the above principles be considered.

d. Model Documents

Because of the lack of uniformity in the regulatory process of interstate acceptance of manufactured building, CES Project has not developed specific documents for

the associated interstate communication and information exchange. However, in the

development of all CES documents the needs of such communication and Information

257
exchange were considered, so that the various forms and checklists will assist both

the manufacturer and the regulatory agencies In the application, evaluation, approval,

inspection, and certification of units produced for Interstate commerce.

The manufacturer and the agencies, for example, would benefit from a uniform

system of submission requirements as proposed In CES Documents No. S-02 through S-11,

eliminating the need to prepare separate sets of submission documents for each state

In which approval for a building system Is sought.

Also, the Building System Approval Report (CES Document No. A-03) was developed

so that it contains all Information required to obtain In one state approval for a building system that has been previously approved in another state, provided that the

state in which approval was first obtained is requiring . compliance to the same or similar codes and standards, and has at least equal or similar effectiveness of

enforcement as the state to whom the new application for approval is m.ade. The manu- facturer seeking approval in the second state need submit only a copy of the approval

report issued and signed by the first state.

In a case where the second state does not accept the approval of the first state,

because It either uses substantially different codes and standards or the second state

does not consider the first state's enforcement activity to be at least equal or similar to its own, the application for approval of a building system which was previously approved in the first state could be accompanied by a copy of the various

evaluation checklists (CES Document Nos. E-04 through E-08 and E-10) used by the first

state. Thus, the Evaluation Agency of the second state could determine the compliance

of the submitted building system to its own codes, rules, and regulations, without

the necessity of a complete and exhaustive new review and evaluation.

\ Finally, In the area of certification, the availability of approved inspection

checklists (CES Document No. C-02) also will permit the second state to determine

whether or not the inspection activity in the first state meets its own set of

criteria, without the necessity of a new exhaustive review of the entire compliance assurance program.

In addition to these examples of situations in which the CES Documentation would

promote Interstate acceptance of manufactured building systems, manufactured buildings, and components, CES Document No. E-11 (Manufacturing Facility Evaluation Report)

could be used in the monitoring of Evaluation and Inspection Agencies by regional

teams as briefly discussed under (3) on the previous page, and could thus be instrumental in establishing the regional monitoring team approach to reciprocity among the

states

258
6 . SUMMARY

This CES Project report presents model documentation for consideration and Implementation In state regulatory programs for manufactured buildings and building

components. This documentation covers the regulatory activity from the submission of a building system application through evaluation, approval, to Inspection and certification or labeling of manufactured buildings and components. Local building and occupancy

permit documentation is also included.

The presented model documentation provides suggested forms, checklists and

commentary based on requirements of a state regulatory system as Implied by the Model

Act and Model Rules and Regulations developed by a special working task group under

the sponsorship of the Department of Commerce. Although the Model Legislation applies

to all occupancies, the model documentation presented herein is primarily directed

towards one and two family detached wood frame (factory-built) dwelling construction.

Another important purpose of this report is to stimulate Interest, contribution,

and discussion on the subject of documentation used in state building activities.

It is hoped that the eventual adoption of the model documentation, in whole or

in part, by the regulatory bodies of the various states or even several states within

a particular geographic region of the country will further promote interstate acceptance of manufactured buildings and building components. The orderly growth of this

segment of the building Industry all but requires that any obstacles in the building

regulatory process be overcome and the attendant documentation requirements become

somewhat standardized. It is with these goals in mind that the ultimate in a viable

coordinated evaluation system can be attained.

259

7. REFERENCES

[I] Dikkers, Robert D., Coordinated Evaluation System (CES) Project, National Bureau

of Standards (U.S.), Technical Note 775, 12 pages (May 1973), NTIS No.

COM-73-50431.

[2] P. W. Cooke, H. K. Tejuja, R. D, Dikkers, L. P. Zelenka; State Building

Regulatory Programs for Mobile Homes and Manufactured Buildings —A Summary;

National Bureau of Standards (U.S.), Technical Note 853, 35 pages (September 197'<)»

NTIS No. COM-74-51000.

[3] The American National Standards Institute (ANSI), Standard for Mobile Homes, Body

and Frame Design and Construction Requirements and the Installation of Plumbing,

Heating and Electrical Systems, American National Standard A119. 1-1975, The

National Fire Protection Association (NFPA) No. 501B-197'4 (197^).

[4] 197^ Suggested State Legislation, Volume XXXIII—Manufactured Building Act;

The Council of State Governments, Iron Works Pike, Lexington, KY ^40511. (197'^)

[5] 1974 Suggested State Legislation, Volume XXXIII—Mobile Home Act; The Council of

State Governments, Iron Works Pike, Lexington, KY 10511. (1974)

[6] Model Rules and Regulations for the Manufactured Building Act, Final Draft,

Department of Commerce (DOC) Special Working Group I, October 27, 1972 (1972).

[7] P. W. Cooke, L. P. Zelenka, and H. K. Tejuja; Mobile Home Construction Standards

Adopted by State Regulatory Programs—An Analysis; National Bureau of Standards

(U.S.), NBSIR 75-680 (March 1975), NTIS No. COM-75-10423

.

[8] One and Two Family Dwelling Code (under the Nationally Recognized Model Codes)

1971 Edition, copyrighted (1971) by A. Ins. A., BOCA, ICBO and SBCC.

[9] 1973 Accumulative Supplement to the. One and Two Family Dwelling Code (under the

Nationally Recognized Model Codes), copyrighted (1973) by A. Ins. A., BOCA,

ICBO and SBCC.

[10] National Electrical Code, 1971 Edition, National Fire Protection Association

(NFPA), No. 70-1971; American National Standards Institute (ANSI) Standard

Cl-1971 (Rev. of Cl-19680, copyrighted (1971) and published by NFPA, Boston,

Massachusetts

.

[II] Plan Review Manual, published by International Conference of Building Officials,

Whlttler, California (1971).

[12] Uniform Plumbing Code Interpretations Manual, published by International

Association of Plumbing and Mechanical Officials, Los Angeles, California (1971).

[13] A Training Manual in Field Inspection of Buildings and Structures, published by

International Conference of Building Officials, Pasadena, California (1968).

261
[14] Watt, John H. , NFPA Handbook of the National Electrical Code, 3rd Edition,

published by McGraw Hill Book Co. (1972).

[15] Segall, B. Z., Electrical Code Diagrams, Vols. I and II, ^Ith Edition, published

by Peerless Publishing Co., New Orleans, Louisiana (I969).

[16] Richter, H. P., Practical Electrical Wiring, 9th Edition, published by McGraw

Hill Book Co. (1972).

[17] Manual of Forms for Building Department Administration, published by

International Conference of Building Officials, Whittier, California (I969).

[18] Recommended Construction Permit and Inspection Procedures, published by Building

Officials and Code Administrators International, Inc., Chicago, Illinois (1971).

[193 Administrative Forms Manual—Building Inspection Department, published by

Southern Building Code Congress International, Inc., Birnjingham, Alabama (1973).

[20] NBS-GCR 7^-27; State-Local Interface Relationship in the Regulation of

Manufactured Building; International Conference of Building Officials; Pinal

Report; October 197^, NTIS No. COM-75-10143

262
APPENDIXES

A - Model Manufactured Building Act (Page 265)

B - Model Rules and Regulations for the Manufactured Building Act (Page 279)

263
I

i

i
' ***** *****

* *

* * ****** * * *

* * * *** UH

* * *

* * *

* * * 'MB11 Of

MfltTS IH( COUKCSTATE GOVEIK

APPENDIX A

REPRINTED FROM

1974

SUGGESTED

STATE LEGISLATION

VOLUME XXXIII

MANUFACTURED BUILDING ACT

Developed by The Committee on Suggested State Legislation

The Council of State Governments

Iron Works Pike Lexington, Kentucky 40511

265
Manufactured Building Act

With the growth of a nationwide market for many types of building products,

including whole buildings, and regional markets for many others, a uniform

and comprehensive approach to regulation of the manufacture and construction

of buildings has become highly desirable. The Manufactured Building Act and

two companion bills, the Mobile Home Act and the State Building Code Act,

respond to this need through state rather than federal action by promoting

intra- and interstate uniformity of regulation and interstate reciprocal ac- ceptance of manufactured building products. This Act represents a synthesis of

the previous experience of federal, state and local governments in regulating

construction to enable the States to better protect the public health, safety and

welfare. The three Acts are written in a manner permitting them to be administered by a single state agency and a single building code council if a State enacts any two of them, or all three, if a State enacts but one of them, each Act is complete and may be administered independently.

The basic regulatory scheme of the Manufactured Building Act is as follows:

(I) a manufacturer submits to the state agency or to an independent third party

approved by the State the plans, specifications and other necessary documentation for the buildings which he intends to produce; (2) if these are approved

as complying with the law, either the state agency or an independent third party

approved by the State will inspect the actual buildings or building components

as they are being produced; (3) units which comply are so designated by a state-approved label attached at the factory; and (4) local enforcement agencies

inspect such units upon installation to determine whether they are correctly

installed.' The Manufactured Building Act was drafted by representatives of the National Conference of States on Building Codes and Standards; the National

Association of Building Manufacturers; the International Conference of Building Officials, Inc.; the Building Officials and Code Administrators Inter- national, Inc.; the Southern Building Code Congress, with assistance by the U.S. Department of Commerce and the U.S. Department of Housing and Urban Development. It was sponsored for publication by the National Conference

of States on Building Codes and Standards, a cooperating member of the Council of State Governments.

Suggested Legislation

(Title, enacting clause, etc.)

1 Section 1. [Short Tiile.] This Act may be cited as the [State] Manu2 factured Building Act.

'A section-by-section analysis of the Act, prepared by the drafting group, has been distributed to State Legislative Service Agencies by the Council of State Governments.

266
Manufactured Building Act

1 Section 2. [Legislative Findings and Intent.] [Note: Each State should

2 write its own legislative findings to meet the individual conditions. The

3 following are suggested possibilities:] 4 [Conditions exist in this State which create a shortage of decent, safe, 5 and sanitary housing and buildings, such as schools, hospitals, and other

6 public facilities, at prices which residents and political subdivisions of this 7 State can afford. This shortage contributes to an increase in community

8 tension, crime, and blight and constitutes a menace to the health, safety,

9 and welfare of the residents of this State. Increasing the available supply

10 of housing and other buildings at prices which residents and political sub11 divisions of this State can afford will alleviate community tension and

12 blight, reduce crime, increase the building inventory subject to property

13 taxes, increase employment, attract new industries, and materially im14 prove the health, safety, and welfare of the residents of this State.]

15 [The production and utilization of manufactured buildings and building

16 components and the use of new and improved technologies, techniques,

17 and materials will increase the available supply of housing and other

18 buildings at prices which most residents and political subdivisions of this 19 State can afford.]

20 [Uniformity of building codes governing manufactured buildings and

21 building components and uniformity in procedures for enforcing codes

22 throughout the Nation and the State are matters of nationwide and state- 23 wide interest and concern in that uniformity would increase the efficiency

24 of the manufactured building industry and further assure the safety of its 25 products.]

26 [The production and utilization of manufactured buildings and building

27 components and the use of new technologies, techniques, and materials

28 are enhanced by the utilization and application of uniform building codes

29 and uniform procedures for enforcing building codes within this State,

30 and would be further enhanced by widespread reliance upon uniform and

31 reasonable material specifications and the use of performance criteria.] 32 [Manufactured buildings and building components, because of the man33 ner of their construction, assembly, and use, like other finished products

34 with concealed vital parts, may present hazards to health and safety unless

35 properly manufactured. Also, manufactured buildings and building com36 ponents may contain hazardous defects not readily ascertainable when in- 37 spected by purchasers or by local enforcement agencies. The Legislature

38 intends, by this Act, to provide protection to the public against these pos39 sible hazards.]

40 [The Legislature intends, by this Act, to create conditions in this State

41 which will facilitate the production and use of manufactured buildings and

42 building components and the use of new technologies, techniques, and

43 materials consistent with the requirements of health, safety, and welfare.]

44 [The Legislature intends that the administration and enforcement of this 45 Act shall be within the jurisdiction of a single administrative agency.]

267
Manufactured Building Act

1 Section 3. [Definitions.] Wherever used or referred to in this Act, the

2 terms defined herein have the meanings assigned to them unless a different

3 meaning is clearly indicated by the context. 4 ( 1 ) "Administrative agency" means the [agency] which is charged with

5 the administration and enforcement of this Act. 6 (2) "Approved" means approved by the [administrative agency].

7 (3) "Building component" means any subsystem, subassembly, or oth8 er system designed for use in or as part of a structure, which may include

9 structural, electrical, mechanical, plumbing, and fire protection systems

10 and other systems affecting health and safety.

1 1 (4) "Building system" means plans, specifications, and documentation

12 for a system of manufactured buildings or for a type or a system of build13 ing components, which may include structural, electrical, mechanical,

14 plumbing, and fire protection systems, and other systems affecting health

15 and safety, including variations which are submitted as part of the build16 ing system.

17 (5) "Closed construction" means any building, building component,

18 assembly, or system manufactured in such a manner that all concealed

19 parts or processes of manufacture cannot be inspected before installation 20 at the building site without disassembly, damage, or destruction.

21 (6) "Compliance assurance program" means the system, documen22 tation, and methods for assuring that manufactured buildings and build23 ing components including their manufacture, storage, transportation, as- 24 sembly, handling, and installation conform with this Act and the rules and

25 regulations promulgated pursuant thereto. 26 (7) "Evaluation agency" means an approved person or organization,

27 private or public, including a governmental agency, determined by the

28 [administrative agency] to be qualified by reason of facilities, personnel,

29 experience, and demonstrated reliability and independence of judgment,

30 to investigate, evaluate, and approve building systems or compliance as31 surance programs, and to issue labels. 32 (8) "Independence of judgment" means not being affiliated with or

33 influenced or controlled by building manufacturers or by producers, sup- 34 pliers, or vendors of products or equipment used in manufactured build35 ings and building components, in a manner likely to affect capacity to 36 render reports and findings objectively and without bias. 37 (9) "Inspection agency" means an approved person or organization,

38 private or public, including a governmental agency, determined by the

39 [administrative agency] to be qualified by reason of facilities, personnel,

40 experience, and demonstrated reliability and independence of judgment,

41 to conduct or supervise compliance assurance programs, certify manu42 factured buildings and building components, and issue and attach labels. 43 (10) "Installation" means the process of affixing, or assembling and

44 affixing, manufactured buildings or building components on the building

45 site, or to an existing building.

46 (II) "Label" means an approved device or seal evidencing certi268
Manufactured Building Act

47 fication in accordance with this Act and the rules and regulations pro- 48 mulgated pursuant thereto. 49 (12) "Local enforcement agency" means the agency or agencies of lo- 50 cal government with authority to make inspections of buildings and to

51 enforce the laws, ordinances, and regulations enacted by the State and by

52 the local government which establish standards and requirements appli53 cable to the construction, alteration, repair, occupancy, or. demolition of 54 buildings. 55 (13) "Local government" means any county, city, municipal cor- 56 poration, town, or other political subdivision of this State with authority

57 to establish standards and requirements applicable to the construction,

58 alteration, repair, occupancy, or demolition of buildings.

59 (14) "Manufactured building" means any building which is of closed

60 construction and which is made or assembled in manufacturing facilities, 61 on or off the building site, for installation, or assembly and installation,

62 on the building site. "Manufactured building" also means any building of

63 open construction for which certification under this Act is sought by the 64 manufacturer and which is made or assembled in manufacturing facilities 65 away from the building site for installation, or assembly and installation,

66 on the building site. "Manufactured building" does not mean "mobile

67 home."

68 (15) "Mobile home" means a factory-assembled, movable dwelling de69 signed and constructed to be towed on its own chassis, comprised of frame

70 and wheels, to be used without a permanent foundation, and dis- 71 tinguishable from other types of dwellings in that the standards to which it 72 is built include provisions for its mobility on that chassis as a vehicle. 73 (16) "Open construction" means any building, building component,

74 assembly, or system manufactured in such a manner that all portions can

75 be readily inspected at the building site without disassembly, damage, or 76 destruction.

1 Section 4. [Building Code Council.]

2 (a) A [Building Code Council or such other name as may be designated

3 for this function, hereinafter called the "Council"] is created. The

4 [Council] shall consist of 12 qualified persons: the [chief executive officer

5 of the administrative agency] (nonvoting), a representative of the general

6 public, one registered architect, one registered professional engineer

7 (structural), one registered professional engineer (mechanical), one regis- 8 tered professional engineer (electrical), one licensed general contractor,

9 one representative of the building trades, one homebuilder, one building

10 code enforcement officer from local government, one mobile home manu1 1 facturer, and one building manufacturer.

12 (b) Members of the [Council], except the [chief executive officer of the

13 administrative agency], shall be appointed by the Governor fqr four-year

14 terms of office and serve until qualified successors are appointed, except

15 that the Governor, for the first appointments to the [Council], shall ap16 point three members for terms of four years, three members for terms ot

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Manufactured Building Act

17 three years, three members for terms of two years, and two members for

18 terms of one year. Three or more consecutive failures by a member to

19 attend meetings of the [Council], without reasonable cause, constitutes

20 cause for removal of the member from the [Council] by the Governor, or

21 by the chairman with concurrence by a majority of the [Council]. The

22 Governor shall appoint a new member when a vacancy occurs. When a

23 vacancy occurs, a majority of the remaining members of the [Council]

24 may appoint an interim member to fill the vacancy for the remainder of

25 the term or until the Governor appoints a permanent member.

26 (c) Members of the [Council] shall receive an allowance of $[ ] 27 per day or part of a day actually spent attending to the business of the 28 [Council] and be compensated for traveling expenses as provided in 29 [appropriate statutory reference].

30 (d) The [Council] shall meet at the written request of the [chief exec31 utive officer of the administrative agency] or of three or more members of

32 the [Council]; but the [Council] shall meet no fewer than [ ] times

33 per year. 34 (e) The [Council] shall establish rules and regulations and bylaws for its 35 internal operation.

36 (0 The [Council] shall be part of the [administrative agency] and ex- 37 ercise its powers, duties, and functions independently of the

38 [administrative agency], except that all budgeting, procurement, and re- 39 lated functions shall be under the direction and supervision of the [chief

40 executive officer of the administrative agency].

41 (g) No member may act as a member of the [Council] or vote as such in 42 connection with any matter in which he has a private interest. 43 (h) The [Council] may employ an executive secretary. The

44 [administrative agency] shall assign personnel to assist the [Council] in the

45 performance of its functions.

1 Section 5. [Rules and Regulaiions.]

2 (a) The [administrative agency] shall and any other interested party may

3 propose rules and regulations and amendments thereto. The [Council]

4 shall adopt and may amend or repeal rules and regulations. After

5 adoption by the [Council], the [administrative agency] shall publish, ad6 minister, and enforce the rules and regulations.

7 (b) The rules and regulations shall establish standards, specifications,

8 and requirements for manufactured buildings and building components;

9 they also shall establish requirements for building systems and compliance

10 assurance programs. To the extent practicable, the standards,

1 1 specifications, and requirements shall be set forth in terms of performance

12 objectives, so as to, inter alia, facilitate the use of new technology, tech13 niques, and materials. Preference shall be given to performance standards

14 reasonably consistent with those of other States.

15 (c) The [administrative agency] shall consider and may propose, and the

16 [Council] shall consider and may adopt the codes, standards, and re- 17 quirements which apply or could be applied to manufactured buildings

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Manufactured Building Act

18 and building components and are promulgated by such organizations as

19 the Building Officials and Code Administrators International, Inc., Inter- 20 national Conference of Building Officials, Southern Building Code Con21 gress. Council of American Building Officials, and other nationally recog- 22 nized organizations, including governmental agencies. The [Council] shall 23 endeavor to maintain the rules and regulations current with the state of

24 the art. 25 (d) In adopting codes, standards, and requirements, no changes or mod26 ifications may be made therein without express findings setting forth rea- 27 sonable cause for the changes or modifications. Any changes or mod28 ifications adopted by the [Council] shall be submitted with the reasons

29 therefor, for consideration by the appropriate organization for amend30 ment of the code, standard, or requirement.

31 (e) The [Council] shall provide for a public hearing prior to adopting

32 any rule or regulation or amendment thereto, following adequate public

33 notice. 34 (f) The [chief executive officer of the administrative agency] shall estab- 35 lish a position of [building official], establish minimum qualifications for 36 the position, and appoint a qualified person to fill the position. The

37 [building official] shall assist the [chief executive officer of the adminis38 trative agency] in the administration and enforcement of all provisions of

39 this Act and the rules and regulations promulgated pursuant thereto. 40 (g) Except as provided by or pursuant to this Act, land use zone re- 41 quirements, fire zone boundaries, building set-back requirements, side and

42 rear yard requirements, property line requirements, and on-site de43 velopment, construction, installation, and inspection, are specifically and

44 entirely reserved to local government.

1 Section 6. [Approval.^

2 (a) The [administrative agency] shall evaluate building systems and ap3 prove those which it determines to be in compliance with this Act and the 4 rules and regulations. The [administrative agency] may utilize the results

5 of approved tests to determine if a building system meets the requirements

6 of this Act and the rules and regulations, if that determination cannot be

7 made from evaluation of plans, specifications, and documentation alone.

8 (b) The [administrative agency] shall evaluate manufacturers' com9 pliance assurance programs and approve those which it determines to be

10 in compliance with this Act and the rules and regulations.

11 (c) A building system, a compliance assurance program, or an amend12 ment thereto, which has been approved, shall not be varied in any way

13 without authorization by the [administrative agency] in accordance with

14 the rules and regulations.

15 (d) The [administrative agency] may authorize evaluation agencies to

16 evaluate and approve building systems or compliance assurance programs

17 and to issue labels. The [administrative agency] may suspend or revoke

18 such authorization for cause.

19 (e) The [administrative agency] shall periodically monitor the entire

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Manufactured Building Act

20 process of building system approval and compliance assurance program

21 approval of each evaluation agency in order to verify its reliability.

22 (f) The [administrative agency] may suspend or revoke, or cause to be

23 suspended or revoked, the approval of any building system or any com24 pliance assurance program whenever the approval was issued in error, or 25 on the basis of incorrect information, or in violation of this Act or of any

26 rule or regulation. If the [administrative agency] determines that buildings

27 or building components manufactured pursuant to an approved building

28 system do not comply with this Act or the rules and regulations, and the 29 manufacturer fails to comply with a corrective order, the [administrative

30 agency] shall suspend or revoke, or cause to be suspended or revoked, the

31 approval of the manufacturer's comphance assurance program. Notice of

32 suspension or revocation of an approval shall be in writing with the rea- 33 sons for suspension or revocation set forth therein. Appeals from sus- 34 pensions or revocations shall receive timely review pursuant to Section 13 35 hereof.

1 Section 7. [Certification.] 2 (a) Manufactured buildings or building components shall be certified by

3 the [administrative agency] as complying with this Act and the rules and

4 regulations, if they have been manufactured in accordance with an ap5 proved building system and passed inspection in accordance with an ap6 proved compliance assurance program. Certification shall be evidenced by

7 the attachment to each manufactured building or building component (or

8 group of components) of a label issued by the [administrative agency].

9 Certified manufactured buildings or building components shall not be al- io tered in any way prior to the issuance of [occupancy permits, certificates

1 1 of occupancy, or whatever similar device is used] without resubmission for

12 approval of the alteration and of the unit which includes the alteration.

13 (b) The [administrative agency] may authorize inspection agencies to 14 perform all or part of the inspection and certification of manufactured

15 buildings or building components, including either or both the issuance

16 and the attachment of labels thereto. The [administrative agency] may

17 suspend or revoke such authorization for cause.

18 (c) Notwithstanding the provisions of any other law, manufactured

19 buildings and building components certified pursuant to this Act shall be

20 deemed to comply with the requirements of all laws, ordinances, and reg- 21 ulations of this State or of local governments which govern the matters 22 within the scope of the approval and certification applicable to manu23 factured buildings or building components, including those bearing upon

24 technologies, techniques, and materials, or the safety of buildings or build25 ing components. Local enforcement agencies shall issue building permits

26 for certified manufactured buildings prior to installation, and issue

27 [certificates of occupancy] for certified manufactured buildings after they

28 have been installed and inspected pursuant to Section 1 1 of this Act; any

29 manufactured building or building component found not to comply with

30 this Act shall be brought into compliance with this Act before the

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Manufactured Building Act

31 [certificate of occupancy] is issued. 32 (d) The [administrative agency] shall suspend or revoke, or cause to be

33 suspended or revoked, the certification of any manufactured building or 34 building component which the [administrative agency] finds not to comply

35 with this Act or the rules and regulations, or which has been manu36 factured pursuant to a building system or compliance assurance program

37 as to which approval has been suspended or revoked, or which has been

38 altered after certification. If the manufacturer fails to comply with a cor- 39 rective order, labels of certification shall be removed from any such manu40 factured building or building component until it is brought into com41 pliance with this Act and the rules and regulations. Notice of suspension

42 or revocation of certification shall be in writing with the reasons for 43 suspension or revocation set forth therein. Appeals from suspensions or 44 revocations shall receive timely review pursuant to Section 13 hereof.

1 Section 8. [Limitation on Use.] No manufactured building or building

2 component, manufactured after [ ] shall be sold for, delivered to, 3 or installed on a building site located in any jurisdiction of this State 4 which lacks a building code, unless such building or building component

5 has been certified pursuant to this Act, except that any on-site inspection

6 required pursuant to this Act shall not apply. In jurisdictions with build7 ing codes, the manufacturer shall be permitted, in lieu of obtaining ap8 proval and certification by the [administrative agency], to apply for ap9 proval in accordance with the building code of general applicability, and

10 in that event shall comply with such code.

1 Section 9. [Exception for Special Environmental Conditions.]

2 (a) The [administrative agency] shall limit an approval of a building

3 system by requiring each manufacturer to list on each manufactured

4 building or building component (or group of components) manufactured

5 pursuant to that building system, the environmental conditions which the 6 manufactured building or building component meets. No manufactured

7 building or building component shall be installed on a site or occupied in 8 an area of this State where special environmental conditions including,

9 but not limited to, snow, wind, seismic conditions, temperature, and hu10 midity require special or different standards, unless the manufactured

11 building or building component meets the standards. If a manufactured

12 building or building component is to be altered from the approved build13 ing system to meet the special environmental conditions, an amended

14 building system shall be submitted for approval.

15 (b) In jurisdictions having building codes, the local government shall

16 prescribe requirements for special environmental conditions requiring spe17 cial or different building standards for those parts of the site development,

18 foundation, and other work reserved to local enforcement agencies. Such

19 requirements shall be based on express findings setting forth reasonable

20 cause therefor, and shall be subject to the [local appeals procedure].

21 (c) A local enforcement agency may propose special local environmental

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Manufactured Building Act

22 requirements for adoption pursuant to Section 5 of this Act, and unless

23 the [Council] disapproves the proposal within 60 days of the date of its 24 submission, or at the next meeting of the [Council], whichever is sooner, 25 the proposal shall be deemed adopted.

1 Section 10. [Reciprocity.]

2 (a) If the [administrative agency] finds that the standards for the manu3 facture and inspection of manufactured buildings or building components

4 prescribed by statute or rules and regulations of another Stale, or other

5 governmental agency, meet the objectives of this Act and the rules and

6 regulations and are enforced satisfactorily by the other State, or other

7 governmental agency, or by their agents, the [administrative agency] shall

8 accept manufactured buildings or building components which have been

9 certified by the other State or governmental agency, and assure that the

10 appropriate label is attached thereto. The standards of another State shall

11 not be deemed to be satisfactorily enforced unless such other State

12 provides for notification to the [administrative agency] of suspensions or

13 revocations of approvals issued by that other State, in a manner satis- 14 factory to the [administrative agency], and so notifies the [administrative

15 agency].

16 (b) The [administrative agency] shall suspend or revoke, or cause to be

17 suspended or revoked, its acceptance or certification, or both, of certified 18 manufactured buildings or building components if it determines that the

19 standards for the manufacture and inspection of such manufactured build20 ings or building components of another State or other governmental agen21 cy do not meet the objectives of this Act and the rules and regulations, or 22 that the standards are not being enforced to the satisfaction of the

23 [administrative agency]. Notice of the suspension or revocation shall be in 24 writing with the reasons set forth therein. Appeals from suspensions or

25 revocations shall receive timely review pursuant to Section 13 hereof. 26 (c) If another State or governmental agency, or its agent, suspends or 27 revokes its approval or certification, the acceptance or certification, or

28 both, granted under this section shall be suspended or revoked ac- 29 cordingly.

30 (d) In order to encourage reciprocity, the [administrative agency] and

31 the [Council] shall cooperate with similar authorities in other jurisdictions

32 and with nationally recognized codes and standards organizations in de- 33 veloping mutually acceptable methods and procedures for testing, eval- 34 uating, approving, and inspecting manufactured buildings or building

35 components, and otherwise encouraging their production and acceptance.

1 Section II. [/nspeclion.]

2 (a) Any person or firm manufacturing buildings or building com3 ponents, and desiring certification, shall agree in writing that the 4 [administrative agency] has the right to conduct unannounced inspections

5 at any reasonable time.

6 (1) The [administrative agency] shall periodically make, or cause to

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Manufactured Building Act

7 be made, inspections of the entire process of manufacture and certification 8 of buildings and building components produced under approved building

9 systems, and of buildings and building components already certified, in 10 order to verify the reliability of each compliance assurance program and

1 1 inspection agency.

12 (2) In addition to other on-site inspection provided for in subsection

13 (d) of this section, the [administrative agency] shall inspect, or cause to be

14 inspected, certified manufactured buildings or building components it de15 termines sufficiently damaged after certification to warrant such in- 16 spection, and to take action with regard to these buildings or building

1 7 components as authorized under Section 7(d) hereof, or as otherwise nec18 essary to eliminate dangerous conditions.

19 (3) No inspection entailing disassembly, damage to, or destruction of

20 certified manufactured buildings or building components may be con21 ducted except to implement Sections 7(d) or 11(a)(1) and (2) hereof. 22 (b) The [administrative agency] shall authorize inspectors and other rep- 23 resentatives to travel within or without the State for any purpose directly

24 related to the administration and enforcement of this Act. 25 (c) The [administrative agency] may authorize inspection agencies to 26 perform all or part of its inspection functions under this section. The

27 [administrative agency] may suspend or revoke such authorization for 28 cause. 29 (d) In jurisdictions having building codes, local enforcement agencies

30 shall inspect all manufactured buildings or building components upon, or

31 promptly after, installation at the building site to determine if all appli32 cable instructions or requirements have been followed. This inspection

33 may include tests for tightness of plumbing and mechanical systems, for 34 malfunctions in the electrical system, and a visual inspection for obvious

35 violations of the rules and regulations. Destructive disassembly of certified 36 buildings or building components shall not be performed in order to con37 duct such tests or inspections, nor shall standards more stringent than

38 those promulgated pursuant to this Act be imposed. Nondestructive disas39 sembly may be performed only in accordance with the rules and reg- 40 ulations. Local enforcement agencies shall cause the disposition of non41 complying manufactured buildings and building components in ac- 42 cordance with applicable law and with the rules and regulations.

43 (e) In jurisdictions having building codes, local enforcement agencies

44 shall inspect site preparation work, including foundations, for compliance

45 with applicable law.

1 Section 12. [Fees.] 2 (a) The [administrative agency] shall establish a schedule of fees in con3 nection with the administration and enforcement of this Act and publish it 4 in the rules and regulations. The amount of the fees sh^ll be based on the

5 cost of performing functions undertaken pursuant to this Act. The effects 6 of the fees upon the cost of buildings to residents and political sub7 divisions of this State shall be considered by the [administrative agency] in

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Manufactured Building Act

8 setting and approving its own fees as well as the fees charged by eval- 9 uation and inspection agencies under contract to it. 10 (b) Fees charged by local enforcement agencies for activities conducted

1 1 under this Act or the rules and regulations shall be consistent with fees 12 charged by them for other types of buildings regulated by local gov13 ernment.

1 Section 13. [Appeals.] The [Council] shall promptly hear and decide

2 appeals brought by any person or party in an individual capacity, or on

3 behalf of a class of persons or parties, affected by any rule, regulation, or 4 decision pursuant to this Act. Final decisions by the [Council] are re- 5 viewable on appeal (or on successive appeals) in the [courts of competent

6 jurisdiction].

1 Section 14. [Injunctive Relief] The [administrative agency] may obtain

2 injunctive relief from any court of competent jurisdiction to enjoin the

3 sale, delivery, or installation of manufactured buildings or building com4 ponents, or of buildings utilizing such components, for which certification

5 is required under this Act, upon an affidavit of the [administrative agency]

6 specifying the manner in which the manufactured buildings or building

7 components do not conform to the requirements of this Act or the rules

8 and regulations.

1 Section 15. [Statutory Civil Action.] Notwithstanding any other

2 remedies available, any person or party, in an individual capacity, or on

3 behalf of a class of persons or parties, damaged as a result of a violation

4 of this Act or the rules and regulations, has a cause of action in any court

5 of competent jurisdiction against the person or party to whom the label 6 evidencing certification has been issued with respect to the pertinent man7 ufactured building(s) or building component(s), or, if it is not certified,

8 against the manufacturer of the pertinent manufactured building(s) or 9 building component(s). An award may include damages and the cost of

10 litigation, including reasonable attorneys' fees. [The cause of action cre1 1 ated by this section is subject to the same limitations period applicable in 12 this State for causes of action of similar nature.]

1 Section 16. [Criminal Penalties.] 2 [(a) Any person who violates any provision of this Act, or of the rules 3 and regulations, is guilty of a misdemeanor, and, upon conviction, shall be

4 fined not more than $[ ] or imprisoned for not more than

5 [ ] for each offense, or both.]

6 [(b) A separate violation is deemed to have occurred with respect to

7 each building or building component not in compliance with the Act or

8 the rules and regulations. Each day the violation continues constitutes a

9 separate violation.]

10 [(c) Any person who counterfeits or alters one or more labels, or who

11 makes fraudulent or misrepresentative use of one or more labels, or any

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Manufactured Building Act

12 person who knowingly makes use of one or more counterfeit or altered

13 labels, is guilty of a felony and, upon conviction, shall be fined not less 14 than $[ ] nor more than $[ ] or imprisoned for not more

15 than [ ] years for each offense, or both.]

1 Section 17. [Severability.] If any provision of this Act or the application

2 thereof to any person or circumstance is held invalid, the invalidity does

3 not affect other provisions or applications of this Act which can be given

4 effect without the invalid provision or application, and to this end the

5 provisions of this Act are severable.

1 Section 18. [Effective Dale.] This Act shall take effect . . .

277

APPENDIX B

MODEL

RULES AND REGULATIONS

FOR THE

MANUFACTURED BUILDING ACT

National Conference of States on Building Codes and Standards

National Association of Building Manufacturers

Building Officials and Code Administrators International/ Inc.

International Conference of Building Officials

Southern Building Code Congress

U.S. Department of Commerce

U.S. Department of Housing and Urban Development

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AZVA^ew, noA. kcu> iX be,zn appA-Ovod by

any Oj^ tkz poAZle^ pa/uticyipcuting x,n the. dAa^fttng -it,"

DRAFT: 10/27/72

279
MODEL

RULES AND REGULATIONS

FOR THE

MANUFACTURED BUILDING ACT

FOREWORD

Objective. The objective of the Model Act and these Model Rules and Regulations

is to create intra-state and inter-state conditions which will facilitate the

production and utilization of manufactured buildings and building components

while assuring code compliance of such construction, use of new technology,

techniques and materials, and uniform practices for institutional accreditation

and building system certification practices.

Purpose. The purpose of this model document is to provide rules and regulations

pursuant to Section 5 of the Model Manufactured Building Act. After adoption

by the Building Code Council, it is the responsibility of the Administrative

Agency to promulgate, administer and enforce these rules and regulations.

Research and Standards Development. Since these rules and regulations have been

developed during a period in which new concepts and rapid changes are being

introduced in state regulatory programs pertaining to manufactured buildings, it

is important that the Administrative Agency endeavor to maintain the rules and

regulations current with the state-of-the-art. At the present time related

research programs are being conducted by various state and federal agencies and

other institutions pertaining to the evaluation and regulation of manufactured

buildings. When new national consensus standards are developed from the results

of these research programs, the Administrative Agency should recommend such

standards for adoption and revise the related sections of these rules and

regulations

Evaluation and Inspection Agencies. These rules and regulations were developed

to have sufficient flexibility to allow a state the maximum of administrative

latitude in the structuring of its evaluation and inspection programs. At the

time of the development of this document, the state-of-the-art in the inspection

and evaluation areas has involved two systems —the use of independent third

party agencies, and the development of state-based programs utilizing state

governmental personnel. As written, these rules and regulations are applicable

to either system. It is recommended that, in the consideration of these Rules

and Regulations, that serious consideration be given to the use of independent

third party agencies to fulfill the evaluation and inspection functions under

the control of the Administrative Agency.

280
TABLE OF CONTENTS

FORWARD page

PART I: DEFINITIONS 1

PART II: SCOPE 2 Section 1: Applicability .....* 2 Section 2: Pre-emption 3 Section 3: Applicability of Local Law 3

PART III: STA^IDARDS 3

Section 1: Standards, Specifications and

^ Requirements Adopted 3

Section 2: Amendments 4

PART IV: ADMINISTRATION AND ENFORCEMENT 5 Section 1: Enforcement Responsibility 5 Section 2: Approvals of Building Systems and

Compliance Assurance Programs 5 (A) Building Systems 5 (B) Compliance Assurance Programs 6

Section 3: Certification 7 (A) Manufacturer's Data Plate 7 (B) Labels 8

(C) Suspension and Revocation 10

(D) Variations of Certified Units 10

Section 4: Inspections by [Administrative Agency] or Its Agents.. 11

Section 5: Local Enforcement Agency

Procedures and Inspections 12

Section 6: Fees 13

Section 7: Notification of Changes

in Name, Address, Ownership or Location 13

Section 8: Proprietary Information 14

PART V: REQUIREMENTS FOR SUBMISSION OF BUILDING SYSTEMS

AND COMPLIANCE ASSURANCE PROGRAMS 14

Section 1: Building Systems 14

(A) General Requirements 14

(B) Required Construction Details 15

Section 2: Compliance Assurance Programs 18

(A) Organization Requirements 18

(B) Materials Control 18

(C) Production Control 19

(D) Finished Product Control 19

(E) Installation Control 19

(F) Permission for Inspection 20

(G) Inspections by the [Administrative Agency] 20

281
page

PART VI: APPROVAL OF INSPECTION AND EVALUATION AGENCIES 20

Section 1: Requirements for Submission 20

Section 2: Procedures for Approving and Delegating 21

Section 3: Suspension and Revocation 22

(A) Grounds 22

(B) Procedures in Event of Suspension or Revocation 22

PART VII: RECIPROCITY ; 23

Section 1: Procedures for Granting or Refusing Reciprocity to Another Jurisdiction 23

Section 2: Procedures for Reciprocally Certifying

Manufactured Buildings or Building Components 23

Section 3: Suspension and Revocation 24

PART VIII: APPEALS 24

Section 1: Applications for Appeal 24

(A) Who May File 24

(B) Time of Filing 24

(C) Filing 24

(D) Form of Application 24

(E) Contents of Application to Building Code Council 24

Section 2: Hearings and Hearing Notices 25

Section 3: Conduct of Hearings 25

Section 4: Decisions 26

282
Page 1

PART I: DEFINITIONS

Wherever used or referred to in these rules and regulations, the terms defined

herein shall have the meanings assigned to them unless a different meaning is

clearly indicated by the context.

(A) Act "Act" means the Manufactured Building Act [cite appropriate statutory

reference]

.

(B) Administrative Agency . "Administrative Agency" means which

(name of agency)

is charged with the administration of the Act and these rules and regulations.

(C) Approved . "Approved" means approved by the [Administrative Agency]

.

(D) Building Code Council . "Building Code Council" means the Building Code

Council established pursuant to Section 4 of the Act.

(E) Building Component . "Building Component" means any subsystem, subassembly,

or other system designed for use in or as part of a structure, which may include

structural, electrical, mechanical, plumbing and fire protection systems and

other systems affecting health and safety.

(F) Building System . "Building System" means plans, specifications and documentation for a system of manufactured buildings or for a type or a system of building

components, which may include structural, electrical, mechanical, plumbing and

fire protection systems and other systems affecting health and safety, including

variations which are submitted as part of the building system.

(G) Closed Construction . "Closed Construction" means any building, building

component, assembly or system manufactured in such a manner that all concealed

parts or processes of manufacture cannot be inspected before installation at the

site without disassembly, damage, or destruction.

(H) Compliance Assurance Program . "Compliance Assurance Program" means the system,

documentation and methods of assuring that manufactured buildings and building

components, including their manufacture, storage, transportation, assembly, handling

and installation, conform with the Act and these rules and regulations.

(I) Evaluation Agency . "Evaluation Agency" means an approved person or organization,

private or public, including a governmental agency, determined by the [Administrative

Agency] to be qualified by reason of facilities, personnel, experience, and demonstrated reliability and independence of judgment, to investigate, evaluate and

approve manufactured buildings or building components or building systems or compliance assurance programs and to issue labels.

(J) Independence of Judgment . "Independence of Judgment" means not being affiliated with or influenced or controlled by building manufacturers or by producers,

suppliers or vendors of products or equipment used in manufactured buildings and

building components, in any manner which is likely to affect capacity to render

reports and findings objectively and without bias.

283
Page 2

(K) Inspection Agency. "Inspection Agency" means an approved person or organization,

private or public, including a governmental agency, determined by the [Administrative

Agency] to be qualified by reason of facilities, personnel, experience, and demonstrated reliability and independence of judgment, to conduct or supervise

compliance assurance programs, to certify manufactured buildings and building

components, and to issue and attach labels.

(L) Installation . "Installation" means the process of affixing, or assembling

and affixing, manufactured buildings or building components on the building

site, or to an existing building.

(M) Label . "Label" means an approved device or seal evidencing certification in

accordance with the Act and these rules and regulations.

(N) Local Enforcement Agency . "Local Enforcement Agency" means the agency or agencies of local government with authority to make inspections of buildings and

to enforce the laws, ordinances, and regulations enacted by the State and by the

local government which establish standards and requirements applicable to the

construction, alteration, repair or demolition of buildings.

(0) Local Government . "Local Government" means any county, city, municipal

corporation, village, town, or other political subdivision of this State with

authority to establish standards and requirements applicable to the construction,

alteration, repair or demolition of buildings.

(P) Manufactured Building . "Manufactured Building" means any building which is of

closed construction and which is made or assembled in manufacturing facilities,

on or off the building site, for installation, or assembly and installation, on

the building site. Manufactured building also means any building of open construction for which certification under the Act is sought by the manufacturer and

which is made or assembled in manufacturing facilities away from the building site,

for installation, or assembly and installation, on the building site.

(Q) Open Construction . "Open Construction" means any building, building component,

assembly or system manufactured in such a manner that all portions can be readily

inspected at the building site without disassembly, damage or destruction.

PART II: SCOPE

SECTION 1: APPLICABILITY

These rules and regulations govern the design, manufacture, handling, storage,

transportation and installation of manufactured buildings and building components

intended for installation in this State or in any other State or local governmental jurisdiction in which such buildings or building components and the labels

thereon are accepted.

(A) Manufactured buildings or building components may be sold for, delivered to or installed on building sites located in any jurisdiction of this State which

has a local building code if: (1) such buildings or building components have

been approved and certified pursuant to the Act and these rul^s and regulations;

or, (2) at the option of the manufacturer, if such buildings or building components have been approved by the appropriate local enforcement agency pursuant

to the local building code of general applicability.

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Page 3

(B) No manufactured buildings or building components shall be sold for, delivered

to or installed on building sites located in any jurisdiction of this State

which lacks a building code unless such manufactured buildings or building

components have been certified pursuant to the Act and these rules and regulations, except that no on-site inspection (provided for in Section 5 of

Part IV hereof) shall be required.

SECTION 2: PRE-EMPTION

Manufactured buildings and building components certified pursuant to these rules

and regulations shall be deemed to comply with the requirements of all laws,

ordinances, rules and regulations which govern the matters within the scope of the

approval and certification, regardless of the provisions of any other such law,

ordinance, rule or regulation.

SECTION 3: APPLICABILITY OF LOCAL LAW

(A) Except as provided by or pursuant to the Act and these rules and regulations,

land use zone requirements, performance-based fire zone requirements, building

set-back requirements, side and rear yard requirements, property line requirements,

and on-site development, construction and inspection are specifically and entirely

reserved to the local government

.

(Bl In areas of the State where special environmental conditions exist which

require special or different building standards, pursuant to Part III, Section 1 hereof, local government shall prescribe such standards for those parts of the site

development, foundation and other work, for which responsibility is vested in local

government pursuant to Part II, Section 3(A) hereof; provided that such standards

may not be more stringent than those imposed on other types of buildings in the area.

PART ill: STANDARDS

SECTION 1: STANDARDS, SPECIFICATIONS Mm REQUIREMENTS ADOPTED

Building systems shall comply with

[The actual * standards to be used are to be inserted here. To the extent

practicable, the standards and requirements established shall be set forth

in teirms of performance objectives, so as to facilitate the use of new technology, techniques and materials. In establishing such standards, specifications and requirements, the following nationally recognized codes and

standards, for example, shall be considered and may be adopted:

UNIFORM BUILDING CODE , ICBO, 5360 Workman Mill Road, Whittier, California 90601

UNIFORM MECHANICAL CODE , ICBO, lAMPO

UNIFORM PLUMBING CODE , 'lAMPO, 5032 Alhambra Avenue, Los Angeles, California 90032

BASIC BUILDING CODE , BOCA, 1313 E. 60th Street, Chicago, Illinois 60637

BASIC PLUMBING CODE , BOCA

BASIC MECHANICAL CODE , BOCA

SOUTHERN STANDARD BUILDING CODE , SBCC, 1116 Brown-Marx Building, Birmingham,

Alabama 35203

SOUTHERN STANDARD PLUMBING CODE , SBCC

SOUTHERN STANDARD GAS CODE , SBCC

NATIONAL ELECTRICAL CODE , N.Fi.P.A., 60 Batterymarch Street, Boston, Massachusetts

ONE AND TWO FAMILY DWELLING CODE , BOCA, American Insurance Association, SBCC, ICBO.] — 285
Page 4

Any amendments in the adopted codes and standards shall be submitted, with the reasons therefor, for consideration by the appropriate organization for amendment of the code or standard.

The provisions of these rules and regulations are not intended to prevent the use of any technology, techniques or materials not specifically prescribed by

the codes, standards, specifications and requirements, provided any such alternate

has been approved. The [Administrative Agency] may approve any such alternate

provided it finds that the proposed design is satisfactory, and that the material,

method, or work offered, is, for the purpose intended, consistent with the adopted

codes and standards including quality, strength, effectiveness, fire resistance,

durability and safety. The [Administrative Agency] shall require that sufficient

evidence or proof be submitted to substantiate any claims that may be made regarding the use of any such alternate.

(A) The [Administrative Agency] shall maintain appropriate information, indicating

those areas of the State which it has established as having special environmental

conditions such as snow, wind loads, seismic conditions, temperature, humidity

and soil conditions requiring special or different building standards. Such

information shall be available for public inspection. [Local jurisdictions may

submit such information.]

SECTION 2: AMENDMENTS

The [Administrative Agency] may propose amendments of these rules and regulations,

including adopted codes, standards, specifications and requirements to the Building Code Council. Each such amendment shall include a proposed date for the amendment to take effect. All public hearings concerning adoption, promulgation, or amendment to these rules and regulations shall be held pursuant to [insert

appropriate legal criterion]

(A) Consistent with Part IV, Section 2(A)(8) hereof, the [Administrative Agency]

shall notify all manufacturers with approved building systems, local governmental . jurisdictions and other concerned persons of all amendments, and each manufacturer

shall have no more than 180 days or such additional time as the [Administrative

Agency] shall deem reasonable following the sending of such notification to submit

to the [Administrative Agency] and comply with such modifications of its building

systems as may be required to comply with such changes. All manufactured buildings

or building components manufactured (i) prior to the effective date of such changes

or (ii) during the 180 day period following the sending of notice to the manufacturer, or (iii) in the case of any manufacturer who submits his modifications to the [Administrative Agency] as required but receives no affirmative or negative

response from the [Administrative Agency] with respect thereto, following such

180 day period, may be certified if they conform to the unamended, approved building system. Where imminent danger to life safety is involved, the [Administrative

Agency] may require that immediate effect be given to amendments to the codes,

standards, specifications and requirements adopted herein. For purposes of this

Section, a manufactured building or building component is deemed to be manufactured

at such time as the label is attached to it in accordance with the approved

compliance assurance program.

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Page 5

i^l^r.^Ll°t^^

enforcement agency may propose to the [Administrative Agency] that

Lfdf selsmiclond?:? environmental conditions such as'snow wJnd

aref^vefXch thf Lc^^

temperature, humidity and soil conditions exist in the

prlate mLfand J^f

enforcement agency has jurisdiction, and that the appro-

?indlngr uSess tSrf1?^. ' Tf^"^' " necessary, in accordance with such

days of ^he dite of It^ ^ Council disapproves such findings within sixty

Itll ±1 InLtl \t submission, or at the next meeting of the Council, whichInforiatZ ; P^°P°ri ^^^^^ ^^^^^ the appropriate ;aps and information shall be amended accordingly. f y a lu

PART IV: ADMINISTRATION AND ENFORCEMENT

SECTION 1: ENFORCEMENT RESPONSIBILITY

The [Administrative Agency] shall administer and enforce all provisions of these

rules and regulations. The [Administrative Agency] shall have the responsibility

for evaluating and approving building systems, and inspecting and certifying

manufactured buildings and building components for compliance with these rules and

regulations. The [Administrative Agency] shall accept manufactured buildings,

building systems and compliance assurance programs labeled and certified by

approved evaluation and inspection agencies.

SECTION 2: APPROVALS OF BUILDING SYSTEMS AND COMPLIANCE ASSURANCE PROGRAMS

The [Administrative Agency] shall approve building systems which comply with the

codes, standards, specifications and requirements adopted in Section 1 of Part III and with the other requirements of the Act and these rules and regulations and

shall approve compliance assurance programs which comply with the requirements

of the Act and these rules and regulations.

(A) Building Systems

(1) In order to obtain approval for manufactured buildings or building components,

a manufacturer shall submit a building system for evaluation by the [Administrative

Agency] or an evaluation agency in accordance with the requirements of Part V hereof.

(2) Prior to a full evaluation, the [Administrative Agency] or evaluation agency

shall determine that building systems submitted to it are suitable for processing.

In the event that the application is found to be unsuitable for processing, the

applicant shall be notified in writing of such unsuitability and the basis thereof

within thirty (30) days of the date the application is received by the [Administrative Agency] or evaluation agency. In such event, all but $25.00 of the fee will

be returned and the findings of unsuitability will be without prejudice. Any subsequent submission shall be treated as a new application.

(3) The [Administrative Agency] or evaluation agency may require tests to determine whether a building system meets the codes, standards, and requirements of the

Act and these rules and regulations, if that determination cannot be made from

evaluation of plans, specifications and dociunentation alone. The procedures used

shall be reviewed and evaluated by the [Administrative Agency] or an evaluation

agency

.

(4) In the event a building system is disapproved, the [Administrative Agency] or an evaluation agency shall notify the applicant with a written explanation of the reasons for such disapproval attached thereto.

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Page 6

(5) Approval of building systems shall be evidenced by the stamp of approval of

the [Administrative Agency] , or that of an evaluation agency, on each sheet of

the building system, or by other effective means of identification. Each sheet

shall be serially nvimbered and shall indicate effective dates of revision. One

copy of all approved plans, specifications and documentation shall be returned

to the applicant.

(6) The [Administrative Agency] or an evaluation agency shall prepare and issue

to the applicant a building system approval report signed by the drafter and by

the person in charge of the evaluation, which shall be numbered and which shall

contain a summary description of the building system and all of the conditions of

its use including installation instructions.

(7) A building system, or any amendment thereto which has been approved, shall not

be varied in any way without prior authorization by the [Administrative Agency] or evaluation agency. All approved changes shall be made a part of the written record

of the approval. Such authorization shall be in writing or be confirmed in writing

within ten days of any oral authorization.

(8) No changes in the codes, standards, specifications and requirements shall

apply retroactively. The [Administrative Agency] shall notify all manufacturers

with approved building systems and evaluation agencies of all such changes, and

each manufacturer shall have no more than 180 days following the sending of such

notification, or such additional time as the [Administrative Agency] shall deem

reasonable, to submit to the [Administrative Agency] or the evaluation agency and

comply with the necessary amendments to its already approved building system(s)

(9) Amendments to building systems may be proposed by submitting to the [Administrative Agency] or an evaluation agency for approval, appropriate plans, specifications, or documentation showing the effect of the proposed amendment on each

building system.

(10) The [Administrative Agency] or an evaluation agency may- suspend or revokeithe

approval of any building system whenever the approval was issued in error, was

issued on the basis of incorrect information, or was issued in violation of

these rules and regulations or is later found to be in violation of these rules

and regulations. Notice of such suspension or revocation of the approval shall

be in writing with thg reasons for such suspension or revocation set forth therein.

Appeals from suspensions or revocations shall receive timely review.

(B) Compliance Assurance Programs

(1) A manufacturer shall obtain approval for a compliance assurance program for

his building system. Buildings or building components shall be manufactured in

accordance with an approved program in order to be certified. Compliance assurance programs shall be submitted to the [Administrative Agency] or evaluation

agency for approval in accordance with the requirements of Part V hereof.

(2) Prior to full evaluation, the [Administrative Agency] or an evaluation agency

shall determine that the application for approval submitted to it is suitable for

processing. In the event that the application is found to be unsuitable for

processing, the applicant shall be notified in writing of such unsuitability and

the basis thereof within thirty (30) days of the date the application is received

by the [Administrative Agency] or an evaluation agency. In such event, all but

$25.00 of the fee shall be returned and the findings of unsuitability shall be

288
Page 7

without prejudice. Any subsequent submission shall be treated as a new application

(3) Compliance assurance programs submitted for approval shall be evaluated for

compliance with the Act and these rules and regulations.

(4) If a compliance assurance program is disapproved, the [Administrative Agency]

or an evaluation agency shall notify the applicant with a written explanation of

the reasons for disapproval attached thereto.

(5) Approval of compliance assurance programs shall be evidenced by the stamp of

approval of the [Administrative Agency] or an evaluation agency on each sheet,

or by other effective means of identification. One copy of the approved application and documentation shall be returned to the applicant.

(6) A compliance assurance program or any amendment thereto which has been

approved shall not be varied in any way without prior authorization by the [Adminis

trative Agency] or an evaluation agency. All approved amendments shall be made

a part of the written record of the approval.

(7) The [Administrative Agency] or an evaluation agency may suspend or revoke or cause to be suspended or revoked, its approval of any compliance assurance program

whenever the approval was issued in error, or was issued on the basis of incorrect

information or was issued in viblation of any of these rules and regulations. If

the [Administrative Agency] or evaluation agency determines that manufactured

buildings or building components manufactured pursuant to an approved building

system do not comply with the Act or these rules and regulations and the manufacturer fails to comply with a corrective order, the [Administrative Agency] or an evaluation agency may suspend or revoke, or cause to be suspended or revoked, the

approval of the manufacturer's compliance assurance program. Notice to the

manufacturer and the inspection agency of suspension or revocation of approval

shall be in writing with the reasons for suspension or revocation set forth

therein. Appeals from suspensions or revocations shall receive timely review.

SECTION 3: CERTIFICATION

Manufactured buildings and building components, accepted by the [Administrative

Agency] or an inspection agency as having been manufactured according to an approved building system and an approved compliance assurance program, shall be

certified by the [Administrative Agency] or inspection agency as complying with

the requirements of the Act and these rules and regulations. Certification shall

be evidenced by the attachment of a label to each certified manufactured building or building component (or group of components)

.

The [Administrative Agency] may delegate to inspection agencies all or part of

the inspection of, and either or both the issuance and attachment of labels to,

manufactured buildings or building components.

(A) Manufacturer's Data Plate

The following infontfation shall be placed directly or by reference on one or more permanent manufacturer's data plates in the vicinity of the electrical

distribution panel, or in some other designated location, acceptable to the

[Administrative Agency] , on the manufactured building or building component

where it will be readily .accessible for inspection:

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Page 8

(1) Manufacturer's name and address;

(2) Serial number of the unit;

(3) Label serial number;

(4) Name and date of applicable nationally recognized codes complied with;

(5) Model designation and name of manufacturer of major factory-installed

appliances

and, if required by the adopted code, standard, specification or requirement:

(6) Identification of permissible type of gas for appliances and

directions for water and drain connection;

(7) Snow, wind, seismic and other live loads;

(8) Electrical ratings - instructions and warnings on voltage;

(9) Special conditions or limitations on use of the unit, including

unsuitability for areas in which specified environmental conditions prevail.

(10) Methods of assembly or joining multiple units

(11) Type of construction, including fire rating, occupancy class, interior

finish flame spread class, and toxicity class;

(12) Building height and story limitation;

(13) Floor area;

(14) Minimum side yard requirements for fire rating.

If, in the opinion of the [Administrative Agency], the shape or size of a building

component is such that this information cannot be attached to it permanently, the

information may be placed in a manual crated with the component or on a tag attached

to the crate in which the component is shipped, if the information is not such

that the future occupant of the building should know it. If the occupant will

need to know the information, it shall be contained in a manual which shall be

presented to the occupant upon transfer of possession. If life safety is involved,

the item in question shall be plainly labeled.

(B) Labels

Each manufactured building or building component (or group of components) , which

is certified pursuant to the Act and these rules and regulations, shall have

permanently attached thereto, in a visible location as shown on the approved

building system, an approved label which cannot be removed therefrom without destroying such label.

(1) Contents

An approved label shall bear the following information:

(a) "This label certifies that this building [or building component] has

been manufactured in accordance with an approved building system and

compliance assurance program approved by (name of evaluation agency)

and inspected by (name of inspection agency) under the auspices and

approval of (name of State)."

(b) Label serial number;

(c) Building system approval number;

(d) Manufacturer's serial number;

(e) The words "See data plate located on "; (f) The name of the agency issuing the label.

At the discretion of the [Administrative Agency] , labels and data plates may be

limited in size an^i content for components whose shape or size does not permit

the full information to be placed thereon.

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(2) Issuance

The approved label shall be issued by the [Administrative Agency] or its agents

in accordance with the following:

(a) If the [Administrative Agency] delegates the issuance of labels to an evaluation or inspection agency, the agency shall be required to obtain approval from the [Administrative Agency] for the manner in

which they are handled;

(b) Labels must be serially numbered;

(c) A manufacturer's compliance assurance program, submitted in acccrda"ce

with Part V, Section 2 hereof, shall include requirements for issuance,

possession of, attachment of and accounting for all labels to assure

that labels are attached only to buildings or building components manufactured pursuant to an approved building system and inspected pursuant

to an approved compliance assurance program;

(d) If the [Administrative Agency] or an inspection agency determines that

the manufacturer's record of compliance is such that the [Administrative

Agency] or inspection agency need not maintain an inspector in a given

plant at all times, the [Administrative Agency] or inspection agency

may entrust labels to the custody of one or more employees of the manufacturer, who shall be charged with controlling the use of such labels.

Such employees shall not be given custody of more labels than are necessary to accommodate the manufacturer's anticipated production for one month. If the conditions of custody are violated, the [Administrative

Agency] or an inspection agency shall immediately regain posession of

all labels that have not been applied to the manufactured buildings or building components and shall take such further action with respect to buildings or components already labeled, and with respect to future

labeling, as it may deem necessary to assure compliance with the Act

and these rules and regulations.

(3) Records

Permanent records shall be kept of the handling of all labels, indicating at least

how many labels have been applied to buildings or building components (or groups

of components) , which labels have been applied to which buildings or building

components, the disposition of any damaged or rejected labels, and the location

and custody of all unused labels. Such records shall be maintained by the

manufacturer or by the inspection agency. A copy of such records covering attachment of each label shall be sent to the [Administrative Agency] upon request.

(4) Attachment

The [Administrative Agency] or an inspection agency shall attach labels to buildings or building components manufactured in accordance with an approved building

system, and meeting the requirements of an approved compliance assurance program.

(a) Manufacturers may attach labels to manufactured buildings and building

components manufactured in accordance with an approved compliance assurance program, if custody of the labels has been entrusted to them

in accordance with subsection B(2)(d) of this Section.

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Page 10

(C) Suspension and Revocation

The [Administrative Agency], an evaluation agency, or an inspection agency may

suspend or revoke, or cause to be suspended or revoked, the certification of any

manufactured building or building component which the [Administrative Agency] or

an inspection agency finds not to comply with the Act or these rules and regulations, or which has been manufactured pursuant to a building system or a compliance assurance program as to which approval has been suspended or revoked,

or which has not been manufactured in accordance with the approved compliance assurance program. The [Administrative Agency], an evaluation agency, or an inspection agency shall remove or cause to be removed, labels from any such manufactured building or building component until it is brought into compliance with

the Act and these rules and regulations. Notice of suspension or revocation of

certification shall be in writing with the reasons for suspension or revocation

clearly set forth therein. Appeals from such suspensions or revocations shall

receive timely review.

(1) Upon suspension or revocation by the [Administrative Agency] , an evaluation

agency, or an inspection agency of the approval of any building system or com- pliance assurance program, no further labels shall be attached to any manufactured building or building component manufactured pursuant to the building system

or compliance assurance program with respect to which the approval was suspended

or revoked. Upon termination of such suspension or revocation, labels may again

be attached to the manufactured building or building component manufactured after

the date approval is reinstated. Should any building or building component have

been manufactured during the period of suspension or revocation, it shall not be

labeled unless the [Administrative Agency] , evaluation agency or inspection agency

has inspected such building or building component and is satisfied that all re- quirements for certification have been met.

(2) The manufacturer shall return all labels allocated for a manufactured building

or building component to the issuing agency no later than thirty (30) days from

the effective date of any suspension or revocation of the approval by the [Administrative Agency], evaluation agency or inspection agency, of the building system

or compliance assurance program pursuant to which the manufactured building or building component is being manufactured. The manufacturer shall also return to the issuing agency all labels which it determ.ines for any reason are no longer needed.

(D) Variations of Certified Units

Manufactured buildings or building components certified and labeled pursuant to the Act and these rules and regulations shall not be varied in any way prior to the issuance of a [certificate of occupancy] without resubmission to the [Administrative Agency] or an evaluation agency for approval of the variation and of the

unit which includes the variation. The [Administrative Agency] or an inspection

agency shall inspect the building or building component wherever it is located and

such inspection may include such tests or destructive or nondestructive disassembly

as the [Administrative Agency] or an inspection agency deems necessary to assure compliance with the Act and these rules and regulations. Local enforcement

agencies may be designated as inspection agencies for such purposes.

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SECTION 4: INSPECTIONS BY [ADMINISTRATIVE AGENCY] OR ITS AGENTS

The [Administrative Agency] shall make, or cause to be made, such inspections

of the entire process of manufacturing, certifying, handling, storing and

transporting of manufactured buildings and building components produced pursuant to approved building systems as it deems necessary.

(A) As part of the process of evaluating building systems and compliance assurance programs, the [Administrative Agency] or an evaluation agency shall

inspect the manufacturing facilities in which the buildings or building com- ponents are to be manufactured.

(B) The [Administrative Agency] or an inspection agency, shall make such inspections as may be required by an approved compliance assurance program, or as may

be deemed necessary by the [Administrative Agency]

.

(C) Prior to the issuance of a [certificate of occupancy] , the [Administrative

Agency] or an inspection agency shall inspect, or cause to be inspected, certified

manufactured buildings or building components which it determines to have been

sufficiently damaged after certification to warrant such inspection and to take

such action with regard to such buildings or building components as is authorized

under Section 3(C) of Part IV hereof, or as is otherwise necessary to eliminate

dangerous conditions.

(1) The [Administrative Agency] shall require manufactured buildings or building

components which are so damaged as no longer to comply with the Act and these

rules and regulations to be brought into compliance promptly. If such buildings

or building components are not brought into compliance with the Act and these rules

and regulations within a reasonable time, or if they are so damaged that they cannot

be brought into compliance, the [Administrative Agency] shall order that the labels

be removed from such buildings or building components. Irreparably damaged buildings or building components shall be disposed of in accordance with applicable law.

(D) The [Administrative Agency] shall examine each approved inspection agency,

at any reasonable time, and without prior announcement, in order to monitor the

reliability of each agency and of its monitoring of each compliance assurance

program. Each such examination shall investigate the adequacy of all procedures

used by the agency in monitoring compliance assurance programs including inspection, tests, production methods, process controls, operator performance, materials receipt, storage and handling, workmanship standards, records ard ar_?_ ether

activities which implement the compliance assurance program in the manufacturing

facility during transport, on-site, and at critical subcontractors' facilities.

The results of such examinations shall be kept on file at the offices of the

[Administrative Agency] . Copies of such reports shall be sent to the inspection

agency. Inspection agencies shall be specifically notified of any deficiencies

and of the manner in and time by which such deficiencies must be eliminated. If

deemed necessary by the [Administrative Agency], an agency's approval may be

suspended or revoked as provided in Part VI, Section 3 hereof.

(1) Such examinations shall also be conducted before approving an inspection

agency

.

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(E) The [Administrative Agency] shall examine each approved evaluation agency,

at any reasonable time, and without prior announcement, in order to monitor the

reliability of each agency. Each such examination shall investigate the adequacy

of all evaluative procedures including engineering evaluation of plans, specif ica

tions and test results, testing, and analysis of compliance assurance prograirs

The results of such examination shall be kept on file at the offices of the

[Administrative Agency] . Copies of such reports shall be sent to the evaluation

agency. Agencies shall be specifically notified of any deficiencies and of the manner in and time by which such deficiencies must be eliminated. If deemed

necessary by the [Administrative Agency] , approval of an evaluation agency may be

suspended or revoked as provided in Part VI, Section 3 hereof.

(1) Such examinations shall also be conducted before approving an evaluation

agency.

(F) No inspection entailing disassembly, damage to or destruction of certified

manufactured buildings or building components shall be conducted except to implement Sections 7(d) or 11(a)(1) and (2) of the Act or Section 4(A) of

Part IV hereof.

SECTION 5: LOCAL ENFORCEMENT AGENCY PROCEDURES AND INSPECTIONS

(A) Local enforcement agencies shall issue building permits for certified

manufactured buildings prior to installation, and shall not withhold issuance

of building permits for buildings containing certified building components which

in all other respects comply with all applicable building codes, provided

that any manufactured building or building component found by the [Administrative Agency] not to comply with the Act or these rules and regulations shall be

brought into compliance before such permit shall be issued. An application to

a local enforcement agency for a building permit shall, when requested, in

addition to any other requirements, contain:

(1) A statement that the work to be performed under such permit is to include

the installation of a certified manufactured building or building component in

accordance with the provisions of the Act; the statement to be signed by the appli

cant or his agent, with the appropriate address;

(2) A true copy of the approved building system with respect to which the

manufactured building or building component was manufactured or is to be manufactured, where one has not previously been furnished to that local enforcement

agency ; and

(3) A copy of the Building System Approval Report, where it has not previously

been furnished to that local enforcement agency.

(B) Local enforcement agencies shall inspect site preparation work including

foundations, not within the scope of the approval and certification, and the

structural, mechanical, plumbing and electrical connections among units, for

compliance with applicable law.

(C) Local enforcement agencies shall inspect all manufactured buildings or building components upon, or promptly after, installation at the building

site to determine whether all instructions in the Building System Approval Report or conditions listed on the manufacturer's data plate have been followed.

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This may include tests for tightness of plumbing and mechanical systems, and

for malfunctions in the electrical system, and a visual inspection for obvious

nonconformity with the approved building system.

(1) Destructive disassembly of certified buildings and building components

shall not be performed in order to conduct such tests or inspections, nor shall there be imposed standards or test criteria different from those adopted

by the [Administrative Agency] or specified in the Building System Approval Report.

(2) Non-destructive disassembly may be performed only to the extent of opening access panels and cover plates.

(D) Local enforcement agencies shall cause the disposition of noncomplying

manufactured buildings and building components after consultation with the

[Administrative Agency] and reasonable notice to the manufacturer or owner

thereof, as the case may be, of the proposed disposition.

(E) Local enforcement agencies shall issue [certificates of occupancy] for

certified manufactured buildings, and for buildings containing certified

building components which otherwise comply with all applicable building codes,

after they have been installed and inspected pursuant to the Act and these rules

and regulations, provided that any manufactured building or building component

found not to comply with the Building System Approval Report shall be brought

into compliance before such [certificate of occupancy] shall be issued.

(F) When the local enforcement agency is making an inspection and finds violations, it shall report the details of the violations in writing to the [Administrative Agency]. Where violations are hazardous to occupants, a [certificate of

occupancy] shall not be issued and the building shall not be occupied before such

hazards are corrected. If the violations are not hazardous, a provisional

[certificate of occupancy] may be issued.

SECTION 6: FEES

(A) A deposit of shall be required upon application to the [Administrative Agency] to perform any of these functions.

(B) Fees charged by the [Administrative Agency] for functions performed

by it shall be:

$ per manhour of evaluation time;

$ per manhour of inspection time; and

$ per mile of travel plus related expenses.

SECTION 7: NOTIFICATION OF CHANGES IN NAME, ADDRESS, OWNERSHIP OR LOCATION

(A) Manufacturers shall notify the [Administrative Agency] in writing within

ten (10) days of any of the following occurrences:

(1) The corporate name is changed;

(2) The main address of the company is changed;

(3) There is a change in 25% or more of the ownership interest of the

company within a twelve month period;

(4) The location of any manufacturing facility is changed;

(5) A new manufacturing facility is established; or

(6) There are changes in principal officers of the firm.

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(B) Evaluation agencies and inspection agencies shall notify the [Administrative

Agency] in writing within ten (10) days of any of the following occurrences:

(1) The company name is changed;

(2) The main address of the company is changed;

(3) There is a change in 15% or more of the ownership interest or control of the company within a twelve month period;

(4) The location of any testing facility is changed;

(5) A new testing facility is established; or

(6) There are changes in principal officers and key supervisory and

responsible personnel of the firm.

SECTION 8: PROPRIETARY INFORMATION

All information relating to building systems and compliance assurance programs

which the manufacturer or other party considers proprietary shall be so designated by him at the time of its submission, and shall be so held by the [Administrative Agency] and by the inspection, evaluation and local enforcement

agencies, except as the [Administrative Agency] determines in each case, that

disclosure is necessary to carry out the purposes of the Act.

PART V:REQUIREMENTS FOR SUBMISSION OF

BUH-DING SYSTEMS AND COMPLIANCE

ASSURANCE

SECTION 1: BUILDING SYSTEMS PROGRAMS

Building systems shall meet the requirements set forth below to be evaluated

for compliance with the standards, specifications and requirements adopted

by the Building Code Council.

(a) General Requirements

(1) Building systems, including all plans, specifications and other documentation, shall be submitted in copies.

(2) Building systems shall be submitted in the form prescri.bed by the [Administrative Agency] or [ in Appendix heretoj and shall be accompanied

by all required fees.

(3) All documents submitted with the application shall be identified to indicate the manufacturer's name, office address and the address of the manufacturing facility.

(4) Manufacturers shall submit plans showing all elements relating to specif:

systems on properly identifiable sheets.

(5) Each building system application shall bear the signature and seal of an approved registered architect or professional engineer certifying that the

building system complies with the codes and standards promulgated herein [if

required by State law].

(6) All work to be performed on-site, including connection of all systems,

equipment and appliances, shall be identified and distinguished from work to be performed in the manufacturing facility.

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Page 15

(7) A 3" X 4" blank rectangular space shall be provided on all sheets of

plans near the title box for the [Administrative Agency's] stamp of approval.

(8) Grade, quality and identification of all materials shall be specified.

(9) Design calculations and test reports shall be submitted when required.

(10) Drawings shall be drawn to scale.

(11) Drawings shall indicate the location of the approved label and data plate.

(12) Drawings shall be dated and identified. The number of sheets in each

set shall be indicated.

(B) Required Construction Details

Building systems for manufactured buildings shall provide or show, but not

be limited to, the details listed below including the method of their testing

or evaluation, or both. These requirements shall apply to the building systems

for building components only to the 6xtent deemed necessary by the [Administrative Agency] or by an evaluation agency to permit a proper evaluation of the

building component.

( 1 ) General

(a) Details and methods of installation of manufactured buildings or building components on foundations and/or to each other.

(b) All exterior elevations.

(c) Cross sections as necessary to identify major building components.

(d) Details of flashing, such as at openings and at penetrations through

roofs and subcomponent connections. Indicate flashing material and

gauge to be used.

(e) Attic access and attic ventilation.

(f) Exterior wall, roof and soffit material as well as finish.

(g) Interior wall and ceiling finish material.

(h) Fire separation walls.

(i) Sizes, locations and types of doors and windows.

(j) Recommended foundation plans, vents and underfloor access.

(2) Building Classification

(a) Occupancy or use.

(b) Area, height, and number of stories.

(c) Type of construction.

(d) Fire resistance ratings.

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Page 16

(3) Space and Fire Safety

(a) Detail of fire resistance rated assemblies for all stairway enclosures,

doors, walls, floors, ceilings, partitions, columns, roof and shaft

enclosures

(b) Details as to width of all aisles, exits, corridors, passageways and

stairway enclosures.

(c) Toxicity and flame spread classification of finished materials.

(4) Structural Detail Requirements

(a) Engineer's calculations of structural members, where appropriate.

(b) Design soil bearing value.

(c) Structural and framing details of all floors, roof and walls.

(d) Details and stress diagrams of roof trusses.

(e) Details of reinforcing steel.

(f) Complete loading schedule.

(g) Column loads and column schedule.

(h) Lintel schedule.

(i) Size, spacing and details of all structural elements.

(j) Grade or quality of all structural elements (lumber, steel, etc.)

(k) Elevation of structural elements, walls or sections thereof, providing resistance to vertical loads or lateral forces.

(1) Complete details of all structural connections.

(5) Mechanical Detail Requirements '

(a) Location of all equipment and appliances. Indicate equipment and

appliances listed or labeled by approved agencies.

(b) Heat loss calculations, where appropriate.

(c) Manufacturer's name, make, model, number, BTU, and input rating of

all equipment and appliances, a? appropriate, or the equal thereof.

(d) Duct and register locations, sizes, and materials.

(e) Clearances from combustible material or surfaces for all ducts,

flues, and chimneys.

(f) Method of providing required combustion air and return air.

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Page 17

(g) Location of flues, vents and chimneys and clearances from air

intakes and other vents and flues.

(h) Details regarding dampers in ducts penetrating fire separations.

(i) Complete drawings of fire sprinkler systems, standpipe system or fire alarm system, if required.

(j) Detail of elevator or escalator system, including method of

emergency operation.

(6) Plumbing Detail Requirements

(a) Plan or schematic drawing of the plumbing layout including but

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

and valves, gas, water, and drainage system.

(b) Plumbing materials, and location of all equipment and appliances

to be used. Indicate fixture unit capacity of system(s) and the

make, model and rating/capacity of equipment and appliances.

Indicate equipment and appliances listed or labeled by approved agencies.

(c) Make and model of safety controls (such as for water heaters) , their

location, and whether listed or labeled by approved agencies.

(d) How piping is to be supported and intervals of support.

(e) Location of vents above roofs and required clearances, including but

not limited to clearances from air intakes, other vents and flues.

(f) Methods of testing.

(7) Electrical Detail Requirements

(a) Plan of service equipment, including service entrance, conductors,

service raceway and clearances above ground and above structures.

(b) Method and detail for grounding service equipment.

(c) Single line diagram of the entire electrical installation.

(d) Load calculations for service and feeders.

(e) Sizes of all feeders and branch circuits.

(f) Size, rating and location of main disconnect/overcurrent protective devices

(g) Method of interconnection between manufactured buildings or building

components and location of connections.

(h) Location of all outlets and junction boxes.

(i) Method of mounting fixtures and wiring installations.

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Page 18

SECTION 2: COMPLIANCE ASSURANCE PROGRAMS

Compliance assurance programs shall be approved if they meet the requirements

set forth in this Section. It is the manufacturer's responsibility to execute

every aspect of this program. The manufacturer shall continue to be responsible for all corrective actions required, and if the [Administrative Agency]

delegates its inspection duties, the contractual relationship between the

manufacturer and the inspection agency shall not diminish such responsibility.

The manufacturer shall cooperate with the inspection agency by providing the

inspection agency with all necessary reports, information, documents, records,

facilities, equipment, samples and other assistance for assuring compliance.

The manufacturer's compliance assurance program shall be submitted in the form

of a compliance assurance manual which shall contain complete documentation of

all the compliance assurance activities of both the manufacturer and the inspection agency. The manual shall be comprehensively indexed, and shall treat the

material listed here in detail.

(A) Organization Requirements

(1) A procedure for periodic revision of the manual.

(2) An organizational structure for implementing and maintaining the compliance

assurance program and its functional relationship to other elements of the

organization structure of the manufacturer, which structure shall provide for

independence from the production department .

(a) Company officers and employees in charge of the compliance assurance program must be identified, and their training and qualifications

specified.

Ol A uniform system of audit (in-depth analysis of program effectiveness and means to identify deficiencies) to monitor program performance periodically.

C^) Complete and reliable records of manufacturing and site operations, if

any (suitable means of storage, preservation and accessibility of copies of

forms to be utilized shall be included.)

(5) A system to control changes in production or inspection procedures.

(6) A system to assure that working drawings and specifications, working

instructions and standards, procurement documents, etc., conform to the approved building system.

(7) A serial numbering system for buildings or building components.

(8) The method of safekeeping, handling and attaching labels and identification of those employees responsible therefor.

(B) Materials Control

(1) Procedures to assure effective control over procurement sources to ensure

that materials, supplies and other items used in production and site operations

if any, conform to the approved plans, specifications and quality requirements.'

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Page 19

(2) Procedures for inspection of materials, supplies and other items at

the point of receipt.

(3) Method of protection of materials, supplies and other items against

deterioration prior to their incorporation in the certified buildings or building component.

(4) Provision for disposal of rejected materials, supplies and other items.

(C) Production Control

(1) Procedures for timely remedial and preventive measures to assure product quality.

(2) Provision, maintenance and use of testing and inspection equipment to assure compliance with the approved building system.

(3) Provision for frequency of sampling inspections.

(4) Provision of necessary authority to reject defective work and carry

out compliance assurance functions, notwithstanding any conflict with

production department goals and needs.

(5) A schematic of the manufacturing operation showing the location of inspection stations, and "hold" points for mandatory inspection characteristics.

(6) Inspection and test procedures, including accept/reject criteria and

mandatory inspection characteristics.

(7) Standards of workmanship.

(8) Provision for disposal of rejects.

(D) Finished Product Control

(1) Procedure for final inspection of all manufactured buildings or building

components before shipment to the site or storage point, including identification and labeling.

(2) Procedures for handling and storing all finished manufactured buildings

or building components, both at the manufacturing plant or other storage point

and after delivery to the building site.

(3) Procedures for packing, packaging and shipping pperatious and related

inspections.

(4) Procedures for transportation, including all measures to protect against

damage while in transit, and setting forth the modes of transportation to be

utilized and the carrying equipment and procedures.

(E) Installation Control

(1) Installation procedures including component placement, equipment and

procedures, field erection and finishing work, utility connection instructions

and all appropriate on-site inspection criteria and test descriptions.

301
Page 20

(2) Organizational provisions for field repair and disposal of rejects.

(F) Permission for Inspection

The manufacturer shall provide the [Administrative Agency] with written permission, signed and notarized, for the [Administrative Agency] to inspect

his manufacturing facilities, his products, and building sites under his

control at any reasonable time without prior announcement.

(G) Inspections by the [Administrative Agency]

The Compliance Assurance Manual shall contain detailed plans for inspections by

the [Administrative Agency] or inspection agency.

PART VI: APPROVAL OF INSPECTION AND

EVALUATION AGENCIES

SECTION 1: REQUIREMENTS FOR SUBMISSION

An inspection or evaluation agency seeking approval shall submit an application to the [Administrative Agency] which shall include the items listed in this Section.

(A) The original Articles of Incorporation of the agency and all subsequent

amendments thereto, as filed in the State of incorporation.

(B) The bylaws of the organization, if any.

(C) The names, addresses and business affiliations of all members of the

Board of Directors and of top management personnel.

(D) Stock owned in amounts over $5,000 reflecting the financial interests of

the agency's Board of Directors and top management personnel (if requested

by the [Administrative Agency]).

(E) Certification by the agency that:

(1) Its board of directors, as a body, and its technical personnel, as individuals, can exercise independence of judgment; and,

(2) Its activities pursuant hereto will result in no financial benefit to the agency via stock ownership, or other financial interests in any producer,

supplier or vendor of products involved, other than through standard published fees for services rendered.

(F) Names, years of experience. State in which professionally registered

and other qualifications of the directors of inspection or evaluation programs.

(G) Names and years of experience of employees practicing in the following

disciplines: architecture, structural engineering, mechanical engineering,

electrical engineering, fire protection and other branches of engineering; the

States in which each is registered and the services each performs.

(H) An organization chart showing management and supervisory persons including

the number of graduate engineers and architects, and the names of all

302
Page 21

consulting engineers or architects, designating which are full-time and which are part-time engineers.

(I) Number and location of factory inspectors, supervisors, and other technicians, including evaluators of factory inspectors and the qualifications of

each specialized group, including records of work experience, licenses held

and other pertinent qualifications; descriptions of the type of work each group

and each technician is expected to perform, and the qualifications of each

group and each technician to perform the work assigned.

(J) An outline of the training program, if any, of the agency to assure that

all inspectors, evaluators and other technicians are properly trained to do

each job assigned to them.

(K) An outline of the general procedures for supervision of inspectors and

evaluators. Including checking and evaluation of their work.

(L) All engineers, technicians and other personnel who will perform services

for the organization but who are not employees of the organization, and the

supervisory and other relationships which each will have to the agency.

(M) Type of products, components, equipment, structures and other items

which the organization has evaluated, tested, or inspected, and the number of

years of experience the organization has had with each, and the type of codes,

standards, specifications and requirements with respect to which the organization has had experience in providing evaluation, inspection or testing

services, and the number of years of experience with each.

(N) Description of the record-keeping system the agency proposes to use with particular regard to availability of records to the [Administrative Agency]

and the capacity to render reports to the [Administrative Agency]

.

(0) Description of the frequency with which the agency is capable of performing

inspections or evaluations.

(P) List of the States in which the agency is now approved to inspect or evaluate manufactured buildings or building components, and a further listing

of those States in which the agency intends to seek such approval within

the next two (2) years.

(Q) Certification that the agency is able to evaluate building systemf; for

compliance with the codes, standards, specifications and requirements adopted

herein, or manufactured buildings or building components for compliance with

approved building systems.

SECTION 2: PROCEDURES FOR APPROVING AND DELEGATING

(A) The [Administrative Agency] may approve inspection or evaluation agencies

which meet the requirements of Section 1 of this Part and which the [Administrative

Agency] finds otherwise qualified to perform the functions proposed Lo be

delegated to them.

(B) Prior to a full evaluation of an application for approval, the [Administrative Agency] shall determine whether such application is suitable for

processing. In the event the application is found to be unsuitable for

303
Page 22

processing, the applicant shall be notified in writing of such unsuitability

and the basis thereof within thirty (30) days of the date the application is

received by the [Administrative Agency]. In such event, all but $25.00 of

the fee will be returned, and the findings of unsuitability shall be without

prejudice. Any subsequent submission shall be treated as a new application.

(C) In the event an inspection or evaluation agency is not approved, the

[Administrative Agency] shall return one complete application to the applicant with a written explanation of the reasons for such disapproval attached

thereto.

(D) Approval of inspection or evaluation agencies shall be evidenced by a letter to the applicant indicating such approval and stating specifically

the functions which the applicant has been approved to perform. Such approval shall not constitute the actual delegation of such functions.

SECTION 3: SUSPENSION AND REVOCATION

(A) Grounds

The [Administrative Agency] may suspend or revoke its approval of any evaluation agency or inspection agency if the approval was issued in error, was

issued on the basis of incorrect information, or was issued in violation of

the Act or these rules and regulations, or if the agency violates the Act or

these rules and regulations, if examination pursuant to Part IV, Sections

4 (D) and (E) hereof disclose that the agency has failed to perform properly,

or for such other cause as may be deemed sufficient by the [Administrative

Agency] to warrant such action. Appeals from suspensions or revocations

shall receive timely review.

(B) Procedures in Event of Suspension or Revocation

(1) General

If the {Administrative Agency] suspends or revokes the approval of an evaluation or inspection agency, the evaluation or inspection agency shall be

given notice in writing of the suspension or revocation with the reasons therefor set forth therein. Manufacturers being evaluated or inspected by

such agencies, and all local enforcement agencies within this State shall

also be notified in writing of such suspensions or revocations. Such notices

shall contain instructions to the manufacturer and to the local enforcement

agency as to manufactured buildings or building components previously certified by an agency whose approval has been suspended or revoked.

(2) Records

An evaluation or inspection agency whose approval has been suspended or re- voked shall within (90) days of the suspension or revocation deliver to the

custody of the [Administrative Agency] the originals of all records required

by the Act and these rules and regulations to be made of, or in the course of,

the agency's operations pursuant to the Act and these rules and regulations.

(3) Labels

An evaluation or inspection agency for which approval has been suspended or

304
Page 23

revoked shall, within ninety (90) days of the suspension or revocation, deliver to the custody of the [Administrative Agency] all labels in the

agency s possession, under its control, or for which it is responsible pur- suant to the Act and these rules and regulations.

PART VII: RECIPROCITY

If the [Administrative Agency] finds that the standards for the manufacture

and inspection of manufactured buildings or building components prescribed by statute or rules and regulations of another State, or other governmental agency, meet the objectives of the Act and these rules and regulations, and are en- forced satisfactorily by such other State, or other governmental agency, or by their agents, the [Administrative Agency] shall accept manufactured buildings or building components which have been certified by such other State or governmental

agency, and shall assure that the appropriate label is attached thereto. The

standards of another State or governmental agency shall not be deemed to be

adequately enforced unless such other State or governmental agency provides for

notification to the [Administrative Agency] of suspensions or revocations of

approvals issued by that other State or governmental agency in a manner satisfactory to the [Administrative Agency], and so notifies the [Administrative

Agency]

.

SECTION 1: PROCEDURES FOR GRANTING OR REFUSING RECIPROCITY

TO ANOTHER JURISDICTION

(A) The [Administrative Agency] may evaluate the statute, rules and regulations of another State or governmental agency at any time.

(B) If the [Administrative Agency] finds that the standards prescribed by

the statute or rules and regulations of another state or other governmental

agency meet the objectives of this Act, and that these rules and regulations

are satisfactorily enforced, it shall extend reciprocity to that jurisdiction by:

(1) Giving notice to any requesting manufacturer;

(2) Giving notice to the [Administrative Agency] of the other jurisdiction;

(3) Publishing a notice of the grant of reciprocity in ; (4) Giving notice to all local enforcement agencies in this State.

(C) If the standards of the other state or governmental agency do not meet

the objectives of this Act, or are inadequately enforced, or both, reciprocity

shall not be extended. In that event, the Agency shall notify any requesting

manufacturer and the [Administrative Agency] of the other state of the re- fusal and the reasons therefor.

SECTION 2: PROCEDURES FOR RECIPROCALLY CERTIFYING MANUFACTURED BUILDINGS OR BUILDING COMPONENTS

A manufacturer from a jurisdiction to which reciprocity has been extended

shall submit to the [Administrative Agency] evidence that his building

system and compliance assurance program have been approved by such state

or governmental agency. The [Administrative Agency] shall verify the approval

and shall notify the manufacturer in writing of such verification and that

305
Page 24

properly labeled buildings or building components of his manufacture will

be accepted.

SECTION 3: SUSPENSION AND REVOCATION

The [Administrative Agency] shall suspend or revoke, or cause to be suspended

or revoked, its acceptance or certification or both of such reciprocally

certified manufactured building or building component if it determines that

the standards for the manufacture and inspection of such manufactured buildings

or building components of such other State or other governmental agency do not

meet the objectives of the Act and these rules and regulations, or that such

standards are not being enforced to the satisfaction of the [Administrative

Agency]. If such other State or governmental agency or its agents should sus- pend or revoke its approval and certification, the acceptance or certification

or both granted under this Part shall be revoked or suspended accordingly.

Notice to the manufacturer and ta the [Administrative Agency] of such other

State of such suspension or revocation shall be in writing with the reasons

for such suspension or revocation set forth therein. Appeals from such

suspensions or revocations shall receive timely review.

PART VIII: APPEALS

SECTION 1: APPLICATIONS FOR APPEAL

(A) Who May File

Any person or party in an individual capacity or on behalf of a class of persons

or parties affected by any rule or regulation or by any decision of or action by

any evaluation agency, inspection agency or the [Administrative Agency] may file

an application for appeal.

(B) Time of Filing

An application for appeal shall be filed within ninety (90) days after the date

of the promulgation of the rule or regulation, or the date of the decision or action from which the appeal is being taken.

(C) Filing

An application may be filed either personally or by mail at the principal

office of the Building Code Council.

(D) Form of Application

The application need not follow any prescribed form, but shall be in writing

and shall contain sufficient information, as set forth in subsection (E)

hereof, to apprise the Council of the rule and regulation appealed from, or

of the facts and circumstances surrounding the decision or action appealed

from and giving the grounds upon which the appeal is based.

(E) Contents of Application to Building Code Council

The application shall include, where applicable, the following documentation:

306
Page 25

(1) the rule, regulation, initial determination, decision,

, ruling or order which is the subject of the appeal;

(2) A copy of the building system, compliance assurance program or other document involved;

(3) A description of the manufactured building or building component

affected;

(4) A statement of the relief sought by the appellant;

(5) In the event of an appeal from an action or decision of an inspection or evaluation agency, the application shall contain a statement of the prior decision or other action of the [Administrative

Agency] on such appeal.

SECTION 2: HEARINGS AND HEARING NOTICES

The Building Code Council shall promptly hear all appeals. Except in un- usual circumstances, a hearing on an appeal shall be held no sooner than

ten (10) days after the mailing by the Building Code Council of a notice of

such hearing to all interested parties. Such notice shall state the legal

authority for, and the nature of the hearing, and the time, date and place

thereof

.

SECTION 3: CONDUCT OF HEARINGS

All hearings shall comply with this section.

(a) Appearances . Any interested person may appear and be heard.

(B) Adjournment . The Building Code Council may, on its own motion, or on the

motion of any person, adjourn a hearing to such time and place as the Buildin;

Code Council may determine.

(C) Quorum . At least three members of the Building Code Council shall be

present at all times during a hearing.

(D) Witnesses . A person may produce such witnesses as he deems appropriate.

(E) Evidence . The Building Code Council shall not be bound by common law

or statutory rules of evidence in the conduct of the hearing. The Building

Code Council shall consider in evidence any testimony, documents or other

materials submitted by the appellant or the appellee including the results

of formal or informal appeals before national codes and standards organizations or national codes and standards appeals organizations.

(F) Procedures . All parties shall be afforded an opportunity to state

their positions, either by the testimony of witnesses or by a formal or informal statement by themselves, their attorneys, or any other persons.

At the conclusion of the parties' statements, the Building Code Council

may question the appellant or appellee or any witness and any other party

who so desires shall be heard.

307
Page 26

(G) Official Reporter All hearings shall be reported by an official re- porter. The official transcript shall be open for inspection at the offices

of the Building Code Council. Copies of transcripts shall be available

from the official reporter on payment of the charges therefor.

SECTION 4: DECISIONS

All final decisions of the Building Code Council shall be in writing, shall

be rendered within thirty days of the close of the hearings and shall state

the reasons therefor. One copy of the final decision shall immediately be

transmitted by mail to the appellant and one copy to the appellee. Final

decisions shall be permanently filed in the office of the Building Code Council.

308
NBS-IMA (REV. 7-731

U.S. DEPT. OF COMM. BIBLIOGRAPHIC DATA

SHEET

1. PUBLICATION OR REPORT NO. NBS BSS-87

2. Gov't Accession

No.

3, Recipient's Ac< ion No.

4. TITLh AND SuBTITLt

Model Documents for the Evaluation, Approval,

and Inspection of Manufactured Buildings

5. Publication Date July 1976

6. Performing OrganizaiHjn Co(i<*

7. AUTHOR(S) p_ Cooke, R. D. Dikkers, H. R. Trechsel,

H. K. Teiuia, L,. P. Zelenka

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. 4601132

11. Contract/Grant No.

12. Sponsoring Organization Name and Complete Address (Street, City, State, ZIP)

Same as item No. 9.

13. Type of Report & Period Cov eredFinal

14. Sponsoring Agency Code

15. SUPPLEMENTARY NOTES

Library of Congress Catalog Card Number: 76-608137

16. ABSTRACT (A 200-word or less factual suaunary of most significant information. If document includes a significant

bibliography or literature survey, mention it here.)

To assist the states in developing their building regulatory activities and

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

developed model informational documentation pertaining to the functional

areas of (1) data submission, (2) evaluation, (3) approval, (4) compliance

assurance, and (5) installation data.

This report gives the results of the project's investigations and presents

sample model documents pertaining to manufactured buildings and building

components. The model documentation is based on the Model Rules and

Regulations for manufactured buildings developed by a Department of Commerce

sponsored working task group, and the results of a comprehensive state-ofthe-art study of most state building regulatory programs. The documentation

presented covers all functional areas except owner information which is not

usually subject to regulation. Emphasis was placed on developing documentation applicable primarily to one and two family detached dwellings.

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 codes; certification; compliance assurance; evaluation; inspection;

manufactured building; model documents; NCSBCS; standards; state regulation.

18. AVAILABILITY [x] Unlimited

1 For Official Distribution. Do Not Release to NTIS

[x^ Order From Sup. of Doc, U.S. Government Printing Office Washinpton. D.C. 70402. SD Cat. No. CH, 29/2:87

1 1 Order From National Technical Information Service (NTIS)

Springfield, Virginia 22151

19. SECURITY CLASS

(THIS REPORT)

UNCL ASSIFIED

21. NO. OF PAGES

296

20. SECURITY CLASS

(THIS PAGE)

UNCLASSIFIED

22. Price $4.40

USCOMM-OC 29042-P74

*U.S. GOVERNMENT PRINTING OFFICE: 1976 210-801/328 1-3



ANNOUNCEMENT OF NEW PUBLICATIONS IN

BUILDING SCIENCE SERIES

Superintendent of Documents,

Government Printing Office,

Washington, D.C., 20402

Dear Sir:

Please add my name to the announcement Hst of new publications to be

issued in the series: National Bureau of Standards Building Science Series.

Name

Company

Address —

City State Zip Code

(Notification key N-339)




41
NBS TECHNICAL PUBLICATIONS

PERIODICALS JOURNAL OF RESEARCH reports National Bureau

of Standards research and development in physics,

mathematics, and chemistry. It is published in two sections, available separately:

• Physics and Chemistry (Section A)

Papers of interest primarily to scientists working in these fields. This section covers a broad range of physical and chemical research, with major emphasis on

standards of physical measurement, fundamental constants, and properties of matter. Issued six times a year. Annual subscription: Domestic, $17.00; Foreign,

$21.26.

• Mathematical Sciences (Section B)

Studies and compilations designed mainly for the mathematician and theoretical physicist. Topics in mathematical statistics, theory of experiment design, numerical analysis, theoretical physics and chemistry, logical

design and programming of computers and computer

systems. Short numerical tables. Issued quarterly. Annual subscription: Domestic, $9.00; Foreign, $11.25. DIMENSIONS/NBS (formerly Technical News Bulletin) —This monthly magazine is published to inform

scientists, engineers, businessmen, industry, teachers,

students, and consumers of the latest advances in science and technology, with primary emphasis on the work at NBS. The magazine highlights and reviews such

issues as energy research, fire protection, building tech- nology, metric conversion, pollution abatement, health and safety, and consumer product performance. In addition, it reports the results of Bureau programs in measurement standards and techniques, properties of matter and materials, engineering standards and services, instrumentation, and automatic data processing.

Annual subscription: Domestic, $9.45; Foreign, $11.85.

NONPERIODICALS Monographs—Major contributions to the technical liter- ature on various subjects related to the Bureau's scientific and technical activities. Handbooks—Recommended codes of engineering and

industrial practice (including safety codes) developed

in cooperation with interested industries, professional

organizations, and regulatory bodies.

Special Publications—Include proceedings of confer- ences sponsored by NBS, NBS annual reports, and other

special publications appropriate to this grouping such

as wall charts, pocket cards, and bibliographies.

Applied Mathematics Series—Mathematical tables, manuals, and studies of special interest to physicists,

engineers, chemists, biologists, mathematicians, computer programmers, and others engaged in scientific and technical work.

National Standard Reference Data Series—Provides

quantitative data on the physical and chemical properties of materials, compiled from the world's literature and critically evaluated. Developed under a world-wide

program coordinated by NBS. Program under authority

of National Standard Data Act (Public Law 90-396). NOTE: At present the principal publication outlet for these data is the Journal of Physical and Chemical

Reference Data (JPCRD) published quarterly for NBS

by the American Chemical Society (ACS) and the American Institute of Physics (AIP). Subscriptions, reprints, and supplements available from ACS, 1155 Sixteenth

St. N. W.. Wash. D. C. 20056.

Building Science Seriea—Disseminates technical infor- mation developed at the Bureau on building materials,

components, systems, and whole structures. The series presents research results, test methods, and performance criteria related to the structural and environmental functions and the durability and safety characteristics of building elements and systems.

Technical Notes—Studies or reports which are complete

in themselves but restrictive in their treatment of a

subject. Analogous to monographs but not so comprehensive in scope or definitive in treatment of the subject area. Often serve as a vehicle for final reports of work performed at NBS under the sponsorship of other' government agencies.

Voluntary Product Standards—Developed under pro- cedures published by the Department of Commerce in Part 10, Title 15, of the Code of Federal Regulations.

The purpose of the standards is to establish nationally

recognized requirements for products, and to provide

all concerned interests with a basis for common under- standing of the characteristics of the products. NBS

administers this program as a supplement to the activities of the private sector standardizing organizations. Federal Information Processing Standards Publications (FIPS PUBS)—Publications in this series collectively constitute the Federal Information Processing Standards Register. Register serves as the official source of information in the Federal Government regarding stand- ards issued by NBS pursuant to the Federal Property and Administrative Services Act of 1949 as amended.

Public Law 89-306 (79 Stat. 1127), and as implemented

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