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Using Building Codes and Standards to Improve the Construction Quality

and Safety

Feifei CHENG1
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1
Lecturer, Ph.D., School of Management, Harbin Institute of Technology, China,
150001, School of Civil Engineering, Harbin Institute of Technology, China, 150090,
PH (86) 451-86402181, Email: chengfeifei@hit.edu.cn

ABSTRACT

Building codes and standards are viewed as the essential infrastructure to

protect public health, safety and welfare, keep construction costs down, provide
consistent minimum standards in construction, and contribute to the well-being of the
community. This paper discussed the development, use, and application of building
codes and standards in the global market. The development philosophy and
principles were clarified. The steps to follow and understand the codes were
specified which demonstrate a clear and complete strategy to maximize the effect of
the codes and standards. Considerations are also given toward the implementation
and enforcement programs that are essential for proper use and application, including
code adaption process, implementation of the adopted code, training, personnel
certification, building department accreditation, plan review services, building
product evaluation, laboratory accreditation, jurisdiction authority and mandate, and
the law and penalty for non-compliance, which are part of the code enforcement but
critical to ensure the implementation of codes and standards.

INTRODUCTION

A building code is a set of rules that specify the minimum acceptable level of
safety for constructed objects such as buildings (Trombly 2006). The first building
codes can be traced back to early 1800 BC. Building codes have evolved over time to
protect the safety of building occupants without the threat of death. In the early
1900s, special interest groups, such as the insurance industry, which was concerned
with the mounting losses of life and property due to fire, joined others with similar
concerns to develop a model law, or guide document, that could be adopted by a
legislative body to reduce those losses. The building codes and standards can protect
public health, safety and welfare, keep construction costs down, provide consistent
minimum standards in construction, and contribute to the well-being of the
community. Different countries establish their own development procedures and
regulatory systems. The academia have been conducting related research in order to
make the best of building codes and standards, evaluate the implementation effect,
find out the gaps between research and practical implementation, and assist
developers to effectively produce or revise codes and standards.

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The building codes and standards have been applied in different areas related
to building and surrounded environment (Li et al. 2009; Steenbergen et al. 2012;
Martins et al. 2013). Yang and Xu (2004) presented an object-based building
modeling approach and application platform for the online building code checking.
Eastman et al. (2009) focused on rule checking systems that evaluates building
designs based on various criteria. Five major industrial efforts were examined taking
IFC building models as input. Neilson (2012) did the survey for the adoption of
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commercial building energy codes for thirty years in the US. Li et al. (2010) did the
comparative analysis of quantityserving objectsand serving procedures among
China, US, and Canada.
This paper discussed the development, use, and application of building codes
and standards in the global market. The development philosophy and principles were
clarified. The steps to follow and understand the codes were specified which
demonstrate a clear and complete strategy to maximize the effect of the codes and
standards. A code implementation example was used to explain the importance to
adopt the uniform building code worldwide.

PRINCIPLES FOR DEVELOPING CODES AND STANDARDS

The government agencies or non-government organizations have been playing

the important role in developing building codes and standards in each area related to
the construction industry such as fire, plumbing, mechanical, fuel gas, property
maintenance, sewage, zoning, and green construction. It is well established in the
community of countries that codes and standards should meet societal and market
needs and should not be developed to act as barriers to trade. In approving the World
Trade Organization (WTO) Technical Barriers to Trade Agreement, WTO members
recognized that goal and established globally accepted principles as a framework to
promote cooperation and discourage the use of codes and standards as trade barriers.
Internationally, major developers prefer go through the challenge of getting a
widely popular building code accepted as a basis of design. There are several key
factors influencing the usage of the codes and standards. Familiarity is the first
element. As with any project, familiarity with the code being referenced can have a
significant impact on design and influence the overall schedule. It also minimizes the
risk of something being overlooked during the design process that could be difficult
to implement during construction.
Integration and comprehensiveness are also critical. Many building codes do
not have specific criteria addressing the types of building features often incorporated
into large mixed-use complexes. The general codes such as International Building
Code (IBC) developed by the International Code Council (ICC) in US
comprehensively addresses areas such as atriums, malls, theaters and convention
facilities in a manner that allows a high level of design flexibility.
Balanced approach to fire and life safety is necessary. Many codes limit the
volume of spaces because they do not take into consideration combinations of active
and passive safety elements. The balanced approach allows large volume design
features and open malls to be designed with an unmatched level of occupant safety.
The following Table 1 is the set of globally accepted principles for codes and
standards developments (ANSI 2010).

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Table 1.Principles for Codes and Standards Developments.

Principles Description
Transparency Essential information regarding standardization activities is
accessible to all interested parties.
Openness Participation is open to all affected interests.
Impartiality No one interest dominates the process or is favored over another.
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Effectiveness Standards are relevant and effectively respond to regulatory and

and relevance market needs, as well as scientific and technological developments.
Consensus Decisions are reached through consensus among those affected.
Performance Standards are performance based (specifying essential
based characteristics rather than detailed designs) where possible.
Coherence The process encourages coherence to avoid overlapping and
conflicting standards.
Due process Standards development accords with due process so that all views
are considered and appeals are possible.
Technical Assistance is offered to developing countries in the formulation and
assistance application of standards.

STEPS FOR IMPLEMENTATION

Codes and standards are able to play a role when they are properly and
effectively put into practice. There are several steps for the implementation, including
the auxiliary ways to assist in popularizing the codes and standards, in Figure 1.

Figure 1.Implementation steps for building codes and standards.

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Gather information. The starting point or first step for a good codes or standards
understanding is the gathering of relevant and accurate information. Information on
what codes or standards exist throughout the world or within a specific jurisdiction of
interest. A jurisdiction is defined as a specific authority body with the responsibility
to protect the health, safety, and welfare of people in the given geographical area or
jurisdiction. Jurisdictions can encompass nations, states, counties, towns, cities,
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provinces, or emirates depending on different administrative divisions in different

countries.
We also need to focus our attention on the specific subject matter of interest,
such as new construction, existing, or historical building. What codes and standards
activities currently exist that is addressing this subject matter specifically? Who is
involved in developing the codes? Who is involved in the development of the
standards that are being referenced in the codes used for the specific subject matter?
What are the development processes involved in codes and standards development?
Who is involved in the process? How are the codes and standards implemented and
enforced within the marketplace? All of these issues need to be explored, analyzed,
and understood.
The result in acquiring answers to these key questions will be a snap shot of
current market conditions and the beginning of a base line of knowledge for which to
make judgments or decisions. This is the initial step toward an approach in
addressing a construction management strategy.

Usage of codes and standards. Codes and standards are developed in many
different ways. It is of utmost importance that a balanced group of technical expertise
reaches consensus on the codes content to insure for real world conditions from both
the private and public sectors. Governmental authorities often give these documents
the force of law by citing them in laws and regulations. For example, in the United
States, the relationship between the private and public sectors has been strengthened
with the 1995 passage of the National Technology Transfer and Advancement Act
(Public Law 104 - 113). The Law requires governmental agencies to use privately
developed codes and standards whenever it is possible, saving taxpayers millions of
dollars in formerly duplicative standards and code development efforts. This also
brings to the table added and balanced expertise that is of great value toward the
overall quality of the documents proposed.

Recognizing partners. It is not enough for an organization to develop building

codes or standards on its own. Working with a variety of globally recognized
standards development organizations, code bodies such as ICC, ASTM International,
NFPA (National Fire Protection Association), ASME (American Society of
Mechanical Engineers), ANSI (American National Standards Institute), IEEE
(Institute of Electrical and Electronics Engineers), UL (Underwriters Laboratory),
ISO (International Standards Organization), CAS (China Association for
Standardization), etc. Many other standards organizations are engaged in this
comprehensive system of codes and standards; these have been identified as
examples and industry leaders in their respected fields.

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Adaptation and choice. The building regulatory communities in many countries

around the world are dedicated to ensuring safe, reliable, and technically excellent
codes and standards. In order to do so the collective building construction industry
selects and uses codes and standards based on their suitability to meet safety,
regulatory, and other technical needs. Considerations are also given toward the
implementation and enforcement programs, essential for proper use and application.
The principle is absolute and essential to ensure safe and efficient design, and
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construction of the built environment. This requires selecting and using codes and
standards based on technical merit. Technical merit should be priority one. Freedom
of choice to pick and choose the best technical information based on technical merit
is in the jurisdictions hands and authority.
The model codes developed by some organizations offer a base line of
technical information. It is simply a document that a legislative body could utilize to
the extent that they feel necessary or desirable. This information is often amended to
accommodate local needs and conditions, such as seismic or wind considerations
unique to the jurisdiction. This code adaptation and adoption initiative is ongoing
throughout the global community.

Code adaptation process. Any jurisdiction that is looking to adapt and adopt an
existing code needs to approach this with a process that is rational and includes the
key stakeholders that would be involved in implementing, enforcing, and effected by
the codes ultimate adoption. Ideally a code could be adopted as is, however
modifications very often need to be made to accommodate a jurisdictions specific
needs and requirements. Various conditions must be evaluated and a determination
made as to the changes necessary for the jurisdictions unique adoption requirements.
Established Technical Committees made up of these various stakeholder interests
have been found to be an acceptable approach to evaluate these needs, make
recommendations to the governing building authority, and address implementation,
training, conformance, and enforcement recommendations for the comprehensive
building system. Key stakeholders early buy-in with this open participatory process
with equal access has been found to be highly successful.
The process starts with the establishment of a plan and schedule of code
adaptation and adoption process with technical committees. The committees scope
of responsibility and the number of committees are determined by the necessary
tasks at hand. Participation is intended to be open to reflect needed expertise and the
size of the committees are not determined by a specific number but rather ensuring
that the necessary technical expertise is included within the committees roster.
Participation from owners, suppliers, architects, builders, engineers, and academia
are all key stakeholders and should be brought into the process.
Once code revisions are approved and the code produced and made available
to the marketplace, a major effort needed to be put forth to implement the code
efficiently and effectively. A code is completely ineffective if the implementation
and enforcement programs are not developed and put into motion immediately with
the authority of law.

Implementation of the adopted code. Just having a highly technical and relevant
code is not enough. A comprehensive building system to be effective must include an

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implementation plan that address training, personnel certification, building

department conformance, plan review services, building product conformance,
laboratory accreditation, jurisdictional mandate, and legal compliance.

Training. Extensive training is critical for all those affected by the implementation
of the code and this training should begin as early on in the code adaptation process
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as possible. The public sector building officials are typically the first to go through
extensive training to bring them up to speed with the codes technical provisions, use,
and applications. The private sector is typically ten times the size of the public
sectors training needs and plans should be put in place to accommodate this training
need. Professional service providers offer training and education resources for
individuals, organizations, cities, countries, provinces, emirates, governments, and
worldwide. Customized training for the specific adopted code and referenced
standards are essential for marketplace understanding and compliance.

Personnel certification. Credentialing of building department personnel and

private sector experts need to have a process in place for demonstrating their
knowledge and expertise based on a globally recognized authority. Some
certification programs for code professionals have been developed to meet this
demand. This kind of program can provide benefits including a national registry,
standardized proficiency examinations, and professional recognition.

Building department accreditation. Increasingly, the public recognizes the

important role of building departments in ensuring public safety. The work of
building departments is evidenced by the outstanding safety record of buildings in
the country as compared to buildings elsewhere in the world. Awareness of the
importance of their role has induced building departments to seek a way to
demonstrate their competence, professional qualifications, and ability to serve their
jurisdiction. The independent verification is offered to prove that the building
department operates under the highest ethical, legal, and technical standards. This
service establishes a partnership with code experts, and will resolve problems and
provide recommendations to bring any building department in line with a nationally
accepted standard.

Plan review. Building plan review provides technically comprehensive review of

all drawings and construction documents based on specific codes identified. The plan
review disciplines involve building (structural and nonstructural), mechanical,
plumbing, electrical, accessibility, energy conservation, and fire protection systems,
and it provides cost-effective, accurate plan reviews with turnaround times
coordinated with the permit application processes. The review includes review of
construction plans for all applicable code disciplines, and detailed checklist of code
compliance and violations as well as one complimentary re-review of reissued plans.
These services are also available for local amendments which modify the applicable
code requirements, if any, and should be submitted with a directive to incorporate the
amendments in the plan review.

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Building product evaluation. It is important to have in place a technical

evaluation program for building products, components, methods, and materials. The
evaluation process culminates with the issuance of technical reports that are
extremely useful to both regulatory agencies and building product manufactures
because they directly address the issue of code compliance. Agencies use evaluation
reports to help determine code compliance and enforce building regulations,
manufactures use reports as evidence that their products. This is especially important
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if the products are new and innovative for the demonstration in meeting code
requirements and warrant regulatory approval.

Laboratory accreditation. Industry depends on reliable assessment of testing and

calibration laboratories. Accurate test and calibration results are vital for the
protection of public health and safety and to facilitate trade. Laboratory
accreditation and uniform testing requirements help minimize technical barriers to
trade and reduce the financial burden on manufactures. Almost any evaluation of a
product, material or piece of equipment is based on reports from accredited testing
laboratories that are, in turn, supported by accredited calibration laboratories. The
accreditation bodies provide assurance that the services rendered by accredited
laboratories are of good quality and have been evaluated and proven. The
accreditation programs are modeled generally on the international standard.

Jurisdictional authority and mandate. Code development bodies provide model

high quality, relevant codes for use in any jurisdiction. It is the responsibility of the
jurisdiction to adopt the code, with modification if necessary, for use within that
jurisdiction. The jurisdictional authority mandates the codes usage within that
jurisdiction lending the force of law and compliance with the codes usage.

Law and penalty for non-compliance. Once a jurisdiction mandates the code within
its boundaries, law are in place to ensure compliance. Penalties and enforcement for
non-compliance are the responsibility of the local governing law authority.

CODE IMPLEMENTATION EXAMPLE

Architects, engineers and developers around the world often reference the
International Codes developed by ICC which is a globally recognized organization.
The Venetian Macau Project in Macau is an example (Ricciarini and Grill, 2008).
The project is located on the Cotai Strip, a master planned development on an area of
reclaimed land between the islands of Taipa and Coloane. The first phase of the
project by the Las Vegas Sands Corporation was based on the 2003 IBC and opened
in August 2007. Future phases of development on the strip are being designed to
comply with the 2006 IBC, with a total of 20,000 suites and associated facilities
planned by 2010.
A complex project such as the Venetian Macau can be challenging even for
those intimately familiar with the code in use. Taking a code that the authorities
having jurisdiction (AHJs) are not familiar with, the challenges are multiplied. It was
recognized early in the process that technical support for the primary regulatory
AHJs of the project - Macaus department of public works and fire and emergency

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services - would be needed in order for it to progress under the IBC, so it was agreed
that a third-party reviewer qualified in the application of the IBC retained by the
developer would report to the authorities. This practice has continued to be
implemented on various projects in Macau utilizing the IBC.

CONCLUSIONS
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Building codes, standards, and conformity assessment programs serve as

underpinnings for market demand and customer satisfaction. These measurement tools
and programs provide the framework on which organizations or companies can build
their research, production and market strategies, and demonstrate the performance and
safety of products. This paper proposed the principles for developing building codes and
standards, and specified the steps for implementation. A code implementation case helps
to understand the building code adoption in the global market. It provides the references
for the building officials and researchers to effectively and efficiently develop and
implement building codes and standards based on their own circumstances.

REFERENCES

American National Standards Institute (ANSI). (2010). United States standards

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Benjamin Trombly. (2006). The International Building Code (IBC) report, New York,
U.S.
Dodoo, A., Gustavsson, L. and Sathre, R. (2011). Building energy-efficiency
standards in a life cycle primary energy perspective. Energy and Buildings,
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Eastman, C., Lee, L., Jeong, Y. and Lee, J. (2009). Automatic rule-based checking of
building designs. Automation in Construction, 18(8), 1011-1033.
Li, J., Colombier, M. and Giraud, P. (2009). Dicision on optimal building energy
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Li, X.D., Cao, X.Y. and Wang, S. (2010). Standard system comparison of government
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Martins, J.P. and Monteiro, A. (2013). LicA: A BIM based automated code-checking
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Sylvana, R. and Raymond, G. (2008). International application of the IBC: The
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