design and contracting requirements copyrighted material · building design. sections 1.6, 1.7, and...

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C H A P T E R 1Design and Contracting Requirements

Introduction

Applicable MasterFormat ™ Sections

Building Design

Industry Standards

Codes

Barrier-Free Design

Sustainable Building Design

Construction Documents

Bidding and Negotiation

Construction Contract Administration

Construction Management

Additional Reading

Acknowledgments and References

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COPYRIG

HTED M

ATERIAL

Many factors influence an architect’s workrelated to building design and constructioncontract administration. In addition to ar-chitectural design, an architect must beaware of and conversant in site, structural,mechanical, and electrical design. He or shemust also be aware of the legal constraints,such as codes, laws, and regulations, andof the many industry standards that influ-ence design and construction. An architectmust also be knowledgeable and conver-sant in the production of construction doc-uments and must understand the means andmethods used in constructing buildings. Heor she must understand the constructionprocess and be able to render an architect’sservices during the construction phase of abuilding project regardless of the construc-tion contract type or employment by theowner of a construction manager. He or shemust understand the financial constraintson building construction and be able to de-sign within those constraints. And in all ofthese, an architect must not be just a jack-of-all-trades; he or she must be a master ofthem all.

This chapter covers facets of the build-ing design and construction process that aprofessional must understand to be able tocarry out an architect’s responsibilities inthe design and construction of buildings.The chapter also addresses the function ofa construction manager in the construction

process and the architect’s relationship to a construction manager. Chapters 2through 23 address construction materialsand methods of design and construction ofwhich an architect must be knowledgeable.Chapter 24 addresses the fundamentalproperties of materials. Chapter 25 de-scribes the metric system of measurement.

The first five parts of this chapter dis-cuss some of the many factors affectingbuilding design.

Sections 1.6, 1.7, and 1.8 discuss theservices architects provide related to abuilding construction project. The Amer-ican Institute of Architects (AIA) has di-vided an architect’s services into the cat-egories basic and additional.

Basic services are those included instandard services contracts developed byAIA and included in the architect’s basicfee for services.

Additional services are optional andare performed only when agreed to by thearchitect and the owner, with additionalcompensation to the architect.

Following the flow of a project fromconception to the completion of the war-ranty period (one year after constructioncompletion), an architect’s services canbe broken down into predesign services,design services, construction services,postconstruction services, and supple-mental services.

Predesign services are additionalservices. They include such acts as pro-gramming, existing facilities studies,project budgeting, and site analysis.

Basic services include design and con-struction services. Design services arefurther broken down into schematic de-sign, design development (a further re-finement of schematic design docu-ments), and construction documentsservices.

Construction services include servicesperformed during the bidding and nego-tiation phase and those performed duringthe construction contract administrationphase.

Postconstruction services are addi-tional services performed after substan-tial completion of the building. They in-clude such acts as maintenance andoperational programming, record draw-ings, start-up assistance, and warranty review.

Supplemental services are additionalservices. They include such items as ren-derings, models, life cycle cost analysis,quantity surveys, graphic design, andmany others.

Section 1.9 addresses the function ofa construction manager related to a con-struction project and a construction man-ager’s relationships to the owner, the ar-chitect, and the contractor.

2 Applicable MasterFormat Sections ■ DESIGN AND CONTRACTING REQUIREMENTS

Introduction

Applicable MasterFormat Sections

The following MasterFormat 2004 Level2 sections are applicable to this chapter.

00 11 00 Advertisements andInvitations

00 21 00 Instructions00 22 00 Supplementary Instructions00 23 00 Procurement Definitions00 24 00 Procurement Scopes00 25 00 Procurement Meetings00 26 00 Procurement Substitution

Procedures00 31 00 Available Project Information00 41 00 Bid Forms00 42 00 Proposal Forms00 43 00 Procurement Form

Supplements00 45 00 Representations and

Certifications

00 51 00 Notice of Award00 52 00 Agreement Forms00 54 00 Agreement Form Supplements00 55 00 Notice to Proceed00 61 00 Bond Forms00 62 00 Certificates and Other Forms00 63 00 Clarification and Modification

Forms00 65 00 Closeout Forms00 71 00 Contracting Definitions00 72 00 General Conditions00 73 00 Supplementary Conditions00 91 00 Precontract Revisions00 93 00 Record Clarifications and

Proposals00 94 00 Record Modifications01 11 00 Summary of Work01 12 00 Multiple Contract Summary01 14 00 Work Restrictions

01 18 00 Project Utility Sources01 21 00 Allowances01 22 00 Unit Prices01 23 00 Alternates01 24 00 Value Analysis01 25 00 Substitution Procedures01 26 00 Contract Modification

Procedures01 29 00 Payment Procedures01 31 00 Project Management and

Coordination01 32 00 Construction Progress

Documentation01 33 00 Submittal Procedures01 35 00 Special Procedures01 41 00 Regulatory Requirements01 42 00 References01 43 00 Quality Assurance01 45 00 Quality Control

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1.1 Building Design

An architect’s first and primary con-tractual responsibility related to build-ing construction is design. Building de-sign requires training, experience, anaesthetic sense, and an understanding ofcertain basic principles. Among theseprinciples are (1) the objectives gooddesign should strive for, (2) an archi-tect’s responsibilities related to design,(3) basic building use and shape types,and (4) available construction systemsand methods.

1.1.1 DESIGN OBJECTIVES

An architect’s primary design objectiveshould be to produce buildings that servetheir intended purpose and that permit theactivities that take place in them to pro-ceed with appropriate dispatch and ease.They should be efficient in their use andoperation. In addition, commercial build-ings should be capable of producing aprofit.

An architect’s buildings should be ofgood-quality construction, and should beable to be built at as low a cost as is prac-ticable. An architect’s designs shouldproduce individual buildings that are aes-thetically pleasing and that do not di-minish the beauty of or reduce the qual-ity of the natural environment aroundthem. They should also produce the mostpracticable conservation of energy andthe least practicable degradation of theenvironment.

1.1.1.1 EnvironmentalConsiderationsIn addition to his or her responsibilityto the public as defined by law and eth-ical considerations, an architect bears a responsibility to protect and main-tain the environment. One factor in fulfilling this responsibility is to designbuildings for sustainability, as dis-cussed in Section 1.5. But protectingthe environment goes far beyond de-signing green buildings. It also entailsconsideration of how a building worksand how it fits into its environment.This concern must be considered notjust for the present, but also throughoutthe life of the building.

A building should be designed so thatit fits within its site and does not over-power the environment. Fitting is ac-complished by placing and orientatingbuilding elements to take the best advan-tage of sun angles, site features, and pre-vailing weather patterns such as wind.Where practicable, earth-sheltered designand passive solar design can be used toreduce heating and cooling loads on abuilding. Refer to Section 17.6 for a dis-cussion of solar heating and cooling.

Whenever possible, buildings shouldbe sited so as to preserve as much of theexisting vegetation and land features asis practicable. Means should also be pro-vided to assure the protection of existingpreservable vegetation and land features,such as wetlands and waterways, fromdamage during construction.

Where possible, construction wasteshould be reduced to the smallest

amount possible, which can be aided by selecting materials that have littlewaste and by employing off-site pre-fabrication of building elements. De-bris and waste should be recycledwhere possible, preferably on the con-struction site.

Most jurisdictions require the preven-tion of storm sewer water and ground-water pollution by prescribed methods ofcontrol. This should be accomplishedwhether or not it is required by law orcode.

Designing buildings for energy con-servation is discussed in Chapters 17 and 18; for sound reduction, refer toChapter 13.

1.1.1.2 Occupant HealthConsiderationsIt is important to consider the health ofthe occupants when designing a building.It is necessary, for instance, to designheating, cooling, and ventilating systemsthat will not introduce toxic gases into thebuilding. Ductwork should be easy toclean internally and maintain. Design of ventilating systems is discussed inChapter 17.

In creating a healthy environment ina building, it is important to select non-toxic building materials. Emanation oftoxic compounds and gases from build-ing materials can create a conditionknown as “sick building syndrome” andcan cause serious conditions such as al-lergies and even cancer. In addition,products that are known to have highrates of outgassing of volatile organic

DESIGN AND CONTRACTING REQUIREMENTS ■ Building Design 3

01 51 00 Temporary Utilities01 52 00 Construction Facilities01 53 00 Temporary Construction01 54 00 Construction Aids01 55 00 Vehicular Access and Parking01 56 00 Temporary Barriers and

Enclosures01 57 00 Temporary Controls01 58 00 Project Identification01 61 00 Common Product

Requirements01 62 00 Product Options01 64 00 Owner-Supplied Products01 65 00 Product Delivery

Requirements01 66 00 Product Storage and Handling

Requirements

01 71 00 Examination and Preparation01 73 00 Execution01 74 00 Cleaning and Waste

Management01 75 00 Starting and Adjusting01 76 00 Protecting Installed

Construction01 77 00 Closeout Procedures01 78 00 Closeout Submittals01 79 00 Demonstration and Training01 81 00 Facility Performance

Requirements01 82 00 Facility Substructure

Performance Requirements01 83 00 Facility Shell Performance

Requirements

01 84 00 Interiors PerformanceRequirements

01 85 00 Conveying EquipmentPerformance Requirements

01 86 00 Facility Services PerformanceRequirements

01 87 00 Equipment and FurnishingsPerformance Requirements

01 88 00 Other Facility ConstructionPerformance Requirements

01 89 00 Site Construction PerformanceRequirements

01 91 00 Commissioning01 92 00 Facility Operation01 93 00 Facility Maintenance01 94 00 Facility Decommissioning

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compounds (VOCs) should be avoided.Even the materials necessary to cleansome building products can lead to in-door air pollution.

Another factor in maintaining healthybuilding is the control of moisture intru-sion and condensation, which can lead tothe growth of mold and mildew. Condi-tions that create condensation problemsare discussed in Chapter 17. Control ofmoisture and free water penetration arediscussed in Chapter 7.

1.1.2 THE BUILDINGCONSTRUCTION TEAM

Many organizations and individuals mustwork together to produce buildings.These include owners, design profes-sionals, constructors, members of sup-porting professions and industries, andsometimes construction managers.

Owners are the architect’s clients.They are not necessarily the users of abuilding, but they conceive, finance, andusually own the project.

A design professional is a person ororganization that designs a constructionproject. The prime design professional isthe one who is hired by the owner to leadthe design team. In building constructionprojects, the prime professional is usuallyan architect. An engineer may be theprime design professional on some pri-marily engineering projects—for exam-ple, in the construction of bridges or inthe major renovation of an existing heat-

ing, ventilating, and air conditioning sys-tem. In this section, it is assumed that theproject being considered is a building andthat the prime design professional is anarchitect. In other project types, thechores here delineated as the responsi-bility of the architect may fall to an en-gineer as the prime design professionalfor a particular project.

It is ordinarily the architect’s respon-sibility to (1) determine the legal, finan-cial, and other constraints on project de-sign, (2) program and design the project,(3) produce contract documents, (4) pro-vide professional services during the bid-ding or negotiation phase, and (5) pro-vide construction contract administrationservices. For a residence or other smallbuilding, an architect may carry out thesefunctions alone. Larger and more com-plicated buildings often present designproblems that are beyond the expertise ofmost architects. For these more compli-cated building construction projects, anarchitect functions as a member, usuallyas the leader, of a team of design profes-sionals that includes structural, mechan-ical, civil, and electrical engineers, andinterior designers, who function as con-sultants to the architect.

The architect and each of the archi-tect’s consultants will design, produceconstruction documents, and provideconstruction contract administration for the one portion of a building’s components that falls within his or herfield of expertise. The architect coordi-

nates the activities of all design team members.

The construction process often alsorequires input from a second group of de-sign professionals working as consult-ants, either to the owner directly or to oneof the team members. These other pro-fessionals include, but are not limited to,those with special knowledge aboutschools, hospitals, food service facilities,laboratories, industrial complexes, com-puter systems, communication systems,furniture, specialized equipment, andmany other components. The architectusually coordinates the activities of theseother professionals.

Constructors, also called builders, areusually a group of organizations that to-gether erect construction projects. Theyalso provide most of the training of con-struction workers (Fig. 1.1-1). They con-sist of many types of contractors, in-cluding, but not limited to, generalcontractors, who oversee the work of,and usually hire, the others; and spe-cialty, or trade, contractors, such as thosewho provide sitework, excavation, con-crete, masonry, steel, carpentry, case-work, moisture protection, doors, win-dows, finishes, specialties, equipment,and conveying, plumbing, electrical, andmechanical systems. Supporting thesecontractors are suppliers, who provideconstruction equipment, such as cranes,

4 Building Design ■ DESIGN AND CONTRACTING REQUIREMENTS

FIGURE 1.1-1 An instructor in a construction firm works with an electrical technician student. (Courtesy BE&K.)

FIGURE 1.1-2 Modern buildings are seldomrectangles. (Honvest Corporation, Honolulu, Hawaii.Architect Leo A. Daly and Associates. Photo courtesyBethlehem Steel Corporation.).

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and product suppliers who furnish thematerials, products, systems, and equip-ment that go into a building.

Supporting professions and industriesinclude, but are not limited to, constructionmanagers (see Section 1.9); legal profes-sionals; accountants; lenders and investors,who provide construction money and long-term loans that permit construction proj-ects to be erected; insurance providers;testing and research agencies, which de-velop new products and test existing ones;and regulators, including code and lawwriters and enforcers, who control healthand safety issues, aesthetics, environmen-tal issues, zoning, utilities, financial insti-tutions, and design professionals’ licensingand practices.

1.1.3 BUILDING USE TYPES

Construction projects can be identified bytheir use: residential, commercial (stores,

office buildings, etc.), institutional (hos-pitals, schools, jails, etc.), industrial(manufacturing, laboratories, etc.), andnonbuilding types (bridges, towers, etc.).From this point forward, this chapter ad-dresses only those building constructionprojects for which an architect is the pri-mary professional. In such projects, it isthe architect’s job to determine the de-sign requirements specific to each use.For example, there is little resemblancebetween the requirements for a single-family residence and those of a hospital.There may be major differences evenwithin a group. There are great differ-ences, for example, between the require-ments for a single-family residence anda high-rise apartment building. A localjail will probably bear little resemblanceto a federal prison.

Some buildings are designed for com-mon use, meaning that they have morethan one use type in the same structure.

Street-front stores may have residentialor office spaces above them. High-risebuildings may house commercial uses onthe lower floors, office uses on interme-diate floors, and apartments on the upperfloors.

1.1.4 BUILDING SHAPE TYPES

Buildings take many forms and shapes,depending on their use, the materials usedto build them, the needs and desires ofthe owner, the construction budget, thebuilding’s potential operating costs, andthe designer’s preferences. Buildingsother than single-family residences andtownhouses are so varied in size andshape as to make simplification of theirtypes difficult (Fig. 1.1-2). However,some basic types and construction meth-ods can be identified (Fig. 1.1-3).

The simplest building is a one-story,single-span, slab-on-grade structure with


a e f

b

c

d

g

FIGURE 1.1-3 Basic building types for other than single-family residential buildings: (a) one-story; (b) one-story with basement; (c) one-storywith multiple framing bays; (d–f) typical roof shapes; and (g) multistory. (Drawings by HLS.)

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a flat roof (Fig. 1.1-3a). Similar buildingswith basements are also commonly built(Fig. 1.1-3b). Single-story structures withmore than one structural span (Fig. 1.1-3c),in which one or more intermediate rowsof walls or columns supports the roofstructure, enclose more space per unit ofexterior wall cladding than do smallerbuildings.

Single-story buildings may also havefull or partial basements. The structuralsystems in buildings of this type may be concrete, masonry, steel-framed, orwoodframed bearing walls with steel, con-crete, or wood roof framing systems; steel,concrete, or wood interior and exteriorcolumns with steel, concrete, or wood roofframing; or a combination of these sys-tems. Foundations are usually poured con-crete, but treated wood foundations aresometimes used (see Section 6.5). Theroof of a single-story building may be ei-ther flat or any of a wide variety of shapes(Figs. 1.1-3d–f). Roof decks may be ofwood, steel, or concrete. Basements mayhave either poured concrete or reinforcedmasonry walls, depending on the level ofthe earth against the wall and the heightand hydrostatic head of adjacent under-ground water. Floors above basementsmay be steel-framed with a concrete orwood floor, concrete-framed with a con-crete floor, steel-framed with a concretefloor, wood-framed with a wood floor, ora combination of these systems.

The same principles apply to multistorystructures (Fig. 1.1-3g). The constructionmaterials and structural systems in multi-story structures and the height of suchbuildings are usually dictated by economicfactors, such as land cost, but may be af-fected by codes and laws that restrict build-ing height, land area coverage, or the ma-terials that may be used. Fire codes, forexample, may restrict the types of con-struction systems and the materials thatmay be left exposed. Many fire codes donot permit wood construction or the expo-sure of wood finishes on the exterior ofbuildings in certain locations.

Multistory buildings require less roofsurface than single-story buildings withthe same floor area. This results in a savings in the cost of roofing materials.In addition, multistory buildings requireless land per unit of usable space. Be-cause of their higher ratio of interiorspace to building shell area, they are alsogenerally more energy efficient than single-story buildings. Except in rare in-stances, these advantages increase with

the number of stories. The lower costs aresomewhat offset by the increased costsfor maintenance of the exterior surfacesof multistory buildings, the relativelyhigh costs of materials that can be usedthere, and the increased cost of construc-tion associated with moving materials tohigh levels and working with them farabove ground level.

Low-rise multistory buildings may beof steel or concrete construction or acombination of these. Some even havemasonry bearing walls. Steel columnsand concrete floors are common. Foun-dations are usually poured concretespread footings, although poor soil con-ditions sometimes dictate the use of pilesor caissons.

High-rise buildings are usually framedin steel, with thin concrete floor slabs,because concrete structures of greatheight have heavier and larger framingmembers than steel structures, which reduces the amount of usable space and increases the cost of construction.Some recent very high buildings havebeen designed as a series of steel shells or tubes that extend for the entireheight of the building; others have beendesigned using the same principles astall radio and television towers. Foun-dations are either poured concrete foot-ings or pads, piles, or caissons, depend-ing on the soil conditions and the sizeand load imposed on the soil by thebuilding.

Sometimes the desire to create a state-ment for ego-enhancing or advertisingpurposes affects the size, height, and ap-pearance of a building. For example, acorporation may wish to use its head-quarters building as a symbol or may justwant to own the tallest, largest, or mostspectacular building in town.

Multistory buildings need elevators orescalators to make their use practicable.In addition, in most types of uses, federalaccessibility laws and rules make eleva-tors or wheelchair lifts a legal require-ment in every building that is not inher-ently accessible to the handicapped (seeSection 1.4), which, of course, includesevery multistory building. The additionalcost of this vertical transportation mustbe considered in deciding whether to con-struct a multistory building.

The basic building types used in single-family and townhouse construc-tion are easier to define. Figure 1.1-4shows some common types. Most ofthese types are also used for buildings

other than single-family homes or town-houses, however, so they should not bethought of for only these restricted ap-plications. The most prevalent of these isa one-story building (Fig. 1.1-4a), be-cause this type provides the most size andshape variations. These buildings may ormay not contain a basement. Their roofsmay be sloped, as shown, or flat.

One-and-one-half-story buildings, withor without basements (Fig. 1.1-44b), aresometimes used for housing. They offermore living space than single-story build-ings with a minimum of additional cost.The second-floor space varies with thebuilding size and roof slope. Light, ven-tilation, and a view can be provided bydormers.

One-and-one-half-story buildings areseldom built for other types of uses be-cause their inherently small second-floorrooms, with their sloped ceilings, whileadequate for sleeping rooms, often do notmake satisfactory work spaces.

Two-story (Fig. 1.1-4c) or tallerbuildings, with or without basements,provide the maximum usable area at rel-atively low cost. Two- and three-storysingle-family houses and townhousesare common. These types of buildingscan reduce construction costs, depend-ing on the value of the land. When theymust be accessible to the handicapped(see Section 1.4), buildings of morethan one story require elevators, as described earlier for multistory build-ings. Bilevel buildings (Fig. 1.1-4d) arewell suited for single-family houses,townhouses, or small commercial build-ings in hillside locations. They providehabitable space at both grade levelswhen connected with full flights ofstairs. In certain types of uses, accessi-bility restrictions may require that ele-vators be included. This configurationcan also be used for two different oc-cupancies, such as an apartment on onelevel and a small store on the other. Inthis case, both levels can be easily madeindependently accessible to the handi-capped. Roofs may be either sloped, asshown, or flat.

Split-level (Fig. 1.1-4e) and bilevel/split-entry (Fig. 1.1-4f) buildings areused mostly for single-family houses andtownhouses. They are infrequently usedfor other purposes because of the diffi-culty of making them accessible to thehandicapped. Split-level houses offer dis-tinct separation of functions, either onthree levels or four, including a base-

6 Building Design ■ DESIGN AND CONTRACTING REQUIREMENTS

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ment. These are best suited for slopinglots. They offer numerous design possi-bilities but can have awkward propor-tions if not carefully designed.

Bilevel/split-entry buildings are alsobest suited to sloping lots. They are char-acterized by a split foyer between two fullliving levels. This configuration can pro-vide either a sunken two-story (or more)house without a basement or a raised one-story (or more) house with a finishedbasement.

1.1.5 CONSTRUCTION SYSTEMSAND METHODS

The selection of construction methods andsystems that produce the basic buildingtypes shown in Figures 1.1-3 and 1.1-4 isusually governed by three criteria: func-tional requirements, cost, and the desiredappearance.

These basic criteria may require aconsideration of climate, site topogra-phy, initial costs, maintenance costs,building codes, zoning ordinances orother laws, availability of materials andlabor, builder resourcefulness and size,owner taste, local custom, and otherfactors.

The selection of methods and systemsis further complicated by the thousandsof materials, products, and constructionsystem choices available, many of whichare interdependent. Sometimes the rela-

tionship of these building elements toeach other will create situations in whichthe construction method or system is themajor influence on a building’s design.For example, the selection of a dome asthe means to roof a coliseum may dictatethat the shape of the building be circularor near-circular. Conversely, design re-quirements may dictate the framing sys-tem. A dome, for example, may be a poorchoice for roofing a theater because ofthe inherent acoustical difficulties of adome and because a circular buildingmay not be preferable for the kind of the-ater that is desired. The cost and avail-ability of very large laminated wood(gluelam) structural elements, as com-pared with smaller gluelam units, may in-fluence the width or even the shape of achurch, or the way in which the gluelamunits are fitted together to make a roofstructure. The permissible span of theavailable wood decking may further in-fluence the spacing of these gluelam unitsor the design of the roof structure and theplacement of purlins.

Although there have been experimentswith a few revolutionary construction sys-tems since World War II, most new homesand many small commercial and institu-tional buildings in the United States arestill built using conventional light-wood-platform framing (see Chapter 6), oftenwith wood-truss-framed roofs. In manyareas, the use of preassembled compo-

nents, such as those discussed in Chapter6, is common. In the future, advanced in-dustrialization techniques using new ma-terials and methods may offer new con-struction forms far different from thosetypical today.

Other basic systems in use today in-clude wood-post-and-beam framing andwood-pole construction (see Chapter 6);masonry bearing-wall construction (seeChapter 4), sometimes with concrete floors(see Chapter 3), often supported on metalframing or bar joists; concrete-framed con-struction; and structural steel-framed con-struction and light-gauge metal framing ofwalls and roofs (see Chapter 5).

In small construction, conventionalwood framing still offers many advan-tages. As a complete construction sys-tem, it still is one of the most econom-ical ways to build. The ease of workingand fastening wood together with sim-ple tools provides flexibility, which per-mits job changes without extensive re-engineering. Wood framing is still thebasis for most building codes and laborpractices and will probably remain sofor some time to come. Conventionalframing is adaptable to site fabricationby the smallest builder handling eachmember piece by piece, as well as to off-site fabrication of individual pieces intolarger preassembled components that re-quire additional manpower or machin-ery for erection.


FIGURE 1.1-4 Basic single-family residential building types: (a) single-story; (b) one-and-one-half-story; (c) two-story or higher; (d) bilevel;(e) split-level; and (f) bilevel/split-entry. (Drawings by HLS.)

a

de f

b c

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1.1.6 THE FUTURE

Further industrialization, using more andlarger prefinished and prefabricated com-ponents, appears essential to help offsetthe rising costs of land, labor, and mate-rials. Off-site fabrication permits maxi-mum utilization of labor and materialsunder factory-controlled conditions withlittle loss in on-site time owing to badweather. Efficiency may be increasedwith the use of power tools and machin-ery; volume purchasing of materials andstockpiling of finished parts is possible;greater convenience for workers and bet-ter protection for finished materials isprovided; and site erection of compo-nents can usually be accomplished moreeconomically and in less time by semi-skilled or even unskilled labor.

To save costs, mechanical compo-nents for small buildings have been de-veloped that combine a furnace, air con-ditioner, water heater, and electric powerpanel in one package. Larger mechani-cal components include completely fur-nished kitchens and bathrooms. The con-cept of prefinishing complete rooms hasbeen extended to prefabricating as muchas half of a small building, such as ahouse, so that upon setting and joiningtwo halves, an entire building is com-pleted. Future developments may includeassembling an entire building and com-pletely finishing it prior to site placement.

Some future building constructionmethods will be highly sophisticated and closely integrated systems. For in-stance, integrated floor and ceiling sys-tems available for use in commercial construction include structure, lighting,acoustical control, heating, cooling, andair distribution in a single system.

Components should be capable of satisfying varying design requirements;should permit simple modifications in thefield in case of errors; and should be sizedfor ease of shipping, storage, and assem-bly. As component size increases, designand construction problems increase anddesign flexibility is lessened. The di-mensions of large units are restricted towhat can be transported physically andlegally over the highways, and largercomponents usually require more man-power and larger erection equipment atthe site.

Accordingly, the design, engineering,or selection of preassembled componentsrequires judgments between size and

flexibility. The most useful systems willcombine the advantages of fully stan-dardized factory-built modular units,which capitalize on the inherent savingsresulting from repetitive production, andthose that offer the design advantages ofcustom fabrication in the field.

Unfortunately, there are also certaindisadvantages associated with prefabri-cation that have so far limited its use. Forexample, to be profitable, large compo-nents require a large market willing to ac-cept a standardized design, which has notbeen forthcoming. In comparison, be-cause they can be adapted to many build-ing sizes, shapes, and designs, there is ahuge market for prefabricated rooftrusses, making them relatively inexpen-sive and readily available.

There are also potential disputes amongconstruction trade unions and betweentrade unions and manufacturers about the right to do certain work. Union-member plumbers, for example, are notlikely to be pleased when the plumbingpiping and fixtures in a prefabricatedbuilding are installed by nonunion factory workers.

Other problems with prefabricationinclude consumer and builder resistanceto prefabricated structures associatedwith the preconceived notion that pre-fabricated buildings will be shabbily con-structed and look like house trailers. Infact, while the construction may actuallybe superior to that of stick-built units, theappearance possibilities are somewhatlimited, and design variety is difficult toachieve.

A final deterrent to prefabrication isthe lack of consistency among buildingcodes. These differences can requireslight, but costly, modifications in pre-fabricated units to comply with the codesin different jurisdictions.

Construction practices vary widelyacross the country. Conventional meth-ods and systems are not usually engi-neered but are based on a combination oflong-established custom, rules of thumb,and arbitrary building code requirements.These practices have resulted in buildingsthat have usually provided satisfactoryperformance over the years. However,when these practices are unduly conser-vative, as is often the case, they foster ex-cessive waste and therefore higher cost.New performance standards for methodsand systems are constantly being estab-lished. These design criteria, based on

laboratory and field testing, can materi-ally reduce overdesign, waste, and cost.The members of the building construc-tion industry should continue to encour-age the development of criteria based onperformance rather than the requirementthat a specific product or system be used.They should also take steps to further thedesign of methods and systems based onthese performance criteria. In addition,the industry needs to find the means forquicker acceptance of innovations in themarketplace as they occur.

1.2 Industry Standards

The building construction industry ismade up of so many diverse interestgroups that it has not been possible to de-velop a single comprehensive set of cri-teria or standards acceptable to all con-cerned. In addition, groups that are moreintimately involved in a product or con-struction system are generally best qual-ified to establish standards for them. Theresult is myriad organizations that estab-lish standards.

Before beginning a discussion of con-struction industry standards, it is neces-sary to clarify some terms. There is muchconfusion in the industry about the use ofthe terms specifications, standards, andcodes. Unfortunately, the three are oftenerroneously used interchangeably, whichcan lead to some confusion. Specifica-tions are discussed in Section 1.6, codesin Section 1.3. In the sense that they area detailed, precise description of a prod-uct or practice, some construction indus-try standards could be called specifica-tions, and some are so called by theirproducers. Some of the manufacturers’data that designers, builders, and ownersrely on are also specifications in the dic-tionary sense, and those data are some-times called specifications by the manu-facturers. But calling either of themspecifications sometimes leads to confu-sion. Therefore, this book refers to con-struction industry standards as standardsand manufacturers’ data as product de-scriptions or product literature. Unlessspecifically modified in the text, the termspecification is used in its narrow con-struction industry sense, as defined inSection 1.6.

8 Industry Standards ■ DESIGN AND CONTRACTING REQUIREMENTS

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1.2.1 TYPES, OBJECTIVES, ANDUSES OF STANDARDS

When selecting materials or determiningthe suitability of materials and methods,specifiers and builders refer to a varietyof industry standards. These are alsosometimes called reference standards.

1.2.1.1 Types of StandardsSome standards result from the efforts ofmanufacturers, professionals, and trades-people to simplify and increase the effi-ciency of their work or to ensure a min-imum level of quality. Other standardsare the work of governmental agenciesand other groups interested in establish-ing minimum levels of safety and per-formance. Therefore, standards take a va-riety of forms, depending on their sourceand purpose.

MATERIAL STANDARDS

Standards that define the properties of amaterial are called material standards.For example, these include standards forextruded aluminum bars, rods, shapes,and tubes or for a particular type of steel item. They usually specify the con-stituents of a material, its physical prop-erties, and its performance under stressand varying climatic conditions.

PRODUCT STANDARDS

The requirements of a specific product,such as aluminum windows, are definedby product standards. These often defineterms, classify constituent materials, andstate acceptable thicknesses, lengths, andwidths. They may also spell out the ac-ceptable methods of joining separate ma-terials, of fabricating various parts of aproduct, or of assembling systems.

DESIGN STANDARDS

Design standards define the requirementsfor sound design using a particular mate-rial, product, or system. They are pub-lished by such organizations as the American Concrete Institute (ACI), theArchitectural Woodwork Institute (AWI),and the U.S. Department of Housing andUrban Development (HUD).

WORKMANSHIP STANDARDS

Workmanship standards are standards forinstalling materials, products, and sys-tems. ASTM International (formerly the

American Society for Testing and Mate-rials) (ASTM) produces many of these.

TEST METHOD STANDARDS

Test method standards spell out accept-able criteria for testing materials and sys-tems. Again, ASTM is a prime producerof standards of this type.

1.2.1.2 Objectives of StandardsConstruction standards have two basicobjectives: (1) to establish levels of qual-ity that may be recognized by a user,specifier, approver, or buyer of a mate-rial, product, or system and (2) to stan-dardize or simplify such variables as dimensions, varieties, and other charac-teristics of specific products so as to min-imize variations in manufacture and use.

1.2.1.3 Uses of StandardsConstruction standards are used by man-ufacturers, specifiers, consumers, com-munities, and others. Standards may beused and referred to either separately orwithin collections, such as in the HUDMinimum Property Standards for Hous-ing. Standards may also be incorporatedinto municipal or state building codes byinclusion or reference. Such larger worksmay have broader objectives than to actonly as construction standards. Codes, forexample, are concerned basically withminimum acceptable standards of publichealth, safety, and welfare; the HUDMinimum Property Standards for Hous-ing establishes minimum requirements ofdesign and construction for the insuranceof mortgage loans. Standards are often in-corporated by reference into constructiondocument specifications to help establishrequirements for materials, equipment,finishes, and workmanship for a particu-lar construction project.

1.2.2 PRIVATE INDUSTRYSTANDARDS

Standards are established by two kinds ofprivate industry organizations: trade as-sociations and standards-setting and test-ing agencies.

1.2.2.1 Trade AssociationsManufacturers, tradespeople, and suppli-ers, working through trade associations,prepare most private industry standards.Some trade associations are called soci-eties or institutes. A trade association is

an organization of individual manufac-turers or businesses engaged in the pro-duction, supply, or installation of materi-als or services of a similar nature. A basicfunction of a trade association is to pro-mote the interests of its membership.Those interests generally are best servedby the proper use of the groups’ materi-als, products, and services. The properuse of building materials and methods isguided largely by the development ofsuitable levels of quality for their manu-facture, use, and installation. Some of themost important activities of trade associ-ations are directed toward research intothe use and improvement of materials andmethods, and toward formulating per-formance standards. In many instances,trade associations also sponsor programsof certification in which labels, seals, orother identifiable marks are placed onmaterials or products manufactured toparticular standards.

STANDARDS-SETTING TRADEASSOCIATIONS

Many trade associations engage in de-veloping standards for materials andproducts their members manufacture andservices they perform. APA–The Engi-neered Wood Association, is an exampleof a trade association active in develop-ing standards. This association is sup-ported by a large membership of manu-facturers producing softwood plywood,oriented strand board, gluelam, I-joists,siding, laminated veneer lumber, andother engineered wood products. Theproduction of various types and grades ofthese products requires the selection andclassification of wood veneers and othercomponents according to strength and ap-pearance. For example, producing ply-wood from various veneers demandscareful manufacturing control of suchfactors as moisture content and adhesivetype. The completed product, properlyassembled, bonded, and finished, mustconform to a body of material standards,manufacturing procedures, and perform-ance testing standards.

Engineered wood products manufac-turers, through their own research andcombined efforts within the APA, finan-cially and technically support the re-search and development of criteria thatthe association formulates into industrystandards. The members of the associa-tion then agree to produce products thatconform to these standards.

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TRADE ASSOCIATIONS STANDARDS AS A BASE FOR OTHER STANDARDS

The standards developed by trade asso-ciations often are adopted by or used asa base from which other groups, such asthe American National Standards Insti-tute (ANSI), may develop standards. Forexample, industry standards may bepromulgated as ANSI standards, whichare often incorporated into the HUD Min-imum Property Standards for Housing orbuilding codes.

CERTIFICATION

Many trade associations and other in-dustry groups provide assurance that es-tablished standards have been met by materials and manufactured products.Certification of quality may take the formof grademarks, labels, or seals. For ex-ample, the APA maintains a continuingprogram of product testing during and af-ter manufacture, with grade markings ap-plied directly to plywood. A grademarkis a visible statement that the appropriateAPA product standard has been met.

The reliability of certifications issuedby manufacturers or their associationsvaries. Some are excellent. Others areworthless. The most reliable certificationis one issued by an independent testingagency.

1.2.2.2 Standards-Setting andTesting AgenciesIn addition to trade associations, organi-zations have been established whose pri-mary purpose is the setting of standardsor the testing of materials and productsto ensure that they comply with estab-lished standards. When a material orproduct is compliance tested by its man-ufacturer, its trade association, or an in-dependent testing agency, a testing stan-dard produced by one of the agenciesdiscussed in this subsection is often usedas the standard for the testing procedure.

ASTM INTERNATIONAL

ASTM International (ASTM) is an inter-national, privately financed, nonprofit,technical, scientific, and educational so-ciety. The objectives of the society are“the promotion of knowledge of the ma-terials of engineering, and the standardi-zation of specifications and methods oftesting.” ASTM membership consists ofindividual engineers, scientists, and edu-cators, as well as organizational mem-bers, including companies, government

agencies, and universities. Technicalcommittees formulate and recommendASTM standards covering many types ofmaterials; a number of administrativecommittees deal with publications, re-search, testing, consumer standards, andother activities. The society is supportedmainly by membership dues, with someincome from the sale of publications.

ASTM started in 1898 as the Ameri-can Section of the International Societyfor Testing Materials. It was incorporatedin 1902 and became the American Soci-ety for Testing Materials. In 1961, thename was changed to the American So-ciety for Testing and Materials to em-phasize its interest in basic informationabout materials. The name was recentlyagain changed and is now ASTM Inter-national.

Two general categories of informationand publications are available fromASTM: (1) ASTM standards, which in-clude definitions of terms, materials stan-dards, workmanship standards, and meth-ods of test standards used throughout theindustry, and (2) data dealing with re-search and testing of materials, includingmonthly and quarterly publications andtechnical publications that cover sym-posia and collections of data.

ASTM standards are designated bythe initials ASTM, followed by a codenumber and the year of last revision. Forexample, ASTM C55-03 refers to ASTMDocument C55, “Standard Specificationfor Concrete Brick,” as last revised in2003.

AMERICAN NATIONAL STANDARDS INSTITUTE

American National Standards Institute(ANSI) is the name adopted by theUnited States of America Standards In-stitute (USASI) in October 1969. USASIwas created in 1966 by the complete re-organization of the earlier standards or-ganization, the American Standards As-sociation (ASA). ASA was foundedduring World War I to prevent duplica-tion and waste in war production. In 1918five leading American engineering soci-eties, including the American Society ofMechanical Engineers (ASME), theAmerican Society of Civil Engineers(ASCE), and ASTM, and three depart-ments of the federal government, Com-merce, War, and Navy, formed the Amer-ican Engineering Standards Committeeto coordinate the development of national

standards. This committee was reorgan-ized in 1928 into the American StandardsAssociation, which was later incorpo-rated into USASI and subsequently re-named ANSI.

More than 3000 American NationalStandards have been developed and ap-proved under ANSI procedures. Thesestandards apply in the fields of engineer-ing, industry, safety, and consumer goods.

An American National Standard is des-ignated by the code number and date ofthe last revision; for example, ICC/ANSIA117.1-2003, “Accessible and UsableBuildings and Facilities.” Unlike ASTM,ANSI does not formulate its own stan-dards or provide testing services. Instead,one part of ANSI, composed of nationaltrade, professional, and scientific associ-ations, establishes and maintains proce-dures for the approval of standards de-veloped by other associations, agencies,or groups as American National Stan-dards. In this way, a standard developedby a trade association, such as the Amer-ican Architectural Manufacturers Associ-ation (AAMA), can become an AmericanNational Standard.

A second part of ANSI consists of rep-resentatives of industrial firms, labor, andgovernment. The two parts work closelytogether to recommend areas of stan-dardization deemed essential and to re-view standards.

ANSI is privately financed by volun-tary membership dues and from the saleof the published American National Stan-dards. These national standards are avail-able for voluntary use and often are in-corporated in regulations and codes.

UNDERWRITERS LABORATORIES, INC.

Underwriters Laboratories, Inc. (UL) ischartered as a nonprofit organization toestablish, maintain, and operate laborato-ries for the examination and testing of de-vices, systems, and materials. The statedobjectives of UL are (1) to determine therelation of various devices, systems, andmaterials to life and property and (2) toascertain, define, and publish standards,classifications, and specifications for materials, devices, products, equipment,constructions, methods, and systems af-fecting hazards to life and property.

UL, formed in 1894, was originallysubsidized by stock insurance compa-nies. Before the turn of the twentieth cen-tury, as new electrical devices and prod-ucts came rapidly into the market, it


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became necessary to test and inspectthem to ensure public safety. The Na-tional Board of Fire Underwriters (nowthe American Insurance Association) or-ganized and sponsored UL to meet thisdemand.

UL became self-supporting in about1916. To sustain its testing program, ULcontracts with a product submitter fortesting, reporting, and listing of devices,systems, or materials on a time and ma-terial basis. The cost of the inspectionservice is provided for either by an an-nual fee or by service charges for labels,depending on the type of service. Mate-rials and products carrying UL labels andcertificates must meet published stan-dards of performance and manufactureand are subjected to UL inspection dur-ing manufacture.

Although primarily interested in pub-lic safety, UL’s policy is to list and labelonly products that perform their intendedfunction. If a product does not performwith reasonable efficiency, even thoughit may be perfectly safe, it does not qual-ify for a UL label. UL standards are des-ignated by the initials UL, followed by a code number. No date of last revisionis indicated by the number. For exam-ple, UL 70, “Septic Tanks, BituminousCoated Metal,” was issued in 2001.

NAHB RESEARCH CENTER

The NAHB Research Center is a whollyowned subsidiary of the National Asso-ciation of Home Builders. Its objectivesare as follows:

1. To conduct and disseminate the re-sults of research and developmentwith respect to homes, apartments,and light commercial structures forthe purpose of lowering the cost andimproving the quality of buildingsconstructed by the U.S. homebuildingindustry

2. To conduct, for itself or by contractfor others, tests and investigations intoand on materials, products, systems,and other matters related to the design,construction, or occupancy of homesand other buildings

3. To encourage lower constructioncosts and improved quality in the de-sign and construction of residentialand related structures

4. To provide a system for labeling ma-terials and products, and to grant a sealor certificate of quality or similar device

The NAHB Research Center wasfounded in 1964 as an expansion of theNAHB Research Institute, which wasfounded in 1952. The Research Center’sactivities have included the design andconstruction of a number of “researchhouses” that incorporated new methodsand materials. The Research Center alsodeveloped the successful TAMAP sys-tem, which marked the first time that in-dustrial engineering techniques wereused to improve productivity in the de-sign and construction of new homes.

The Center has also carried out prod-uct, standards, and systems research, de-velopment, and evaluation studies formany homebuilding industry manufac-turers and associations. The Center isthereby supported by its clients, includ-ing the National Association of HomeBuilders, a number of building industrymanufacturers, trade associations, andother organizations. The Center’s labora-tories include a broad range of facilitiesthat can conduct ASTM standard tests, vi-bration studies, acoustical measuring, andtemperature-humidity control testing.

NATIONAL FIRE PROTECTION ASSOCIATION

The National Fire Protection Association(NFPA) was organized in 1896 to pro-mote the science and advance the meth-ods of fire protection. NFPA is a non-profit educational organization thatpublishes and distributes various publi-cations on fire safety, including modelcodes, materials standards, and recom-mended practices. These technical mate-rials, aimed at minimizing losses of lifeand property by fire, are prepared byNFPA Technical Committees and areadopted at the annual meeting of the As-sociation. All are published as NationalFire Codes, a 12-volume compilation ofNFPA’s official technical material. TheNational Electrical Code is Volume 3.

THE AMERICAN SOCIETY OF HEATING, REFRIGERATING AND AIR CONDITIONING ENGINEERS

Since 1894, the American Society ofHeating, Refrigerating and Air Condi-tioning Engineers (ASHRAE) and itspredecessor societies have pursued theirobjective of advancing the arts and sci-ences of heating, ventilating, and air con-ditioning buildings. ASHRAE conductsan extensive research program, publishesmeeting transactions, and establishesstandards.

ASHRAE standards are established toassist industry and the public by offeringa uniform method of testing for rating pur-poses, by suggesting safe practices in de-signing and installing heating, ventilating,and air conditioning equipment and sys-tems, and by providing other informationthat may serve to guide the industry. Thecreation of ASHRAE standards is deter-mined by need. Conformance is voluntary.

ASHRAE standards are updated on a 5-year cycle; each title is preceded by a hyphenated number. The digits before the hyphen are the standard’s numerical designation; the digits after the hyphen arethe year of approval, revision, or update.For example, ASHRAE Standard 90.1-2001 (SI edition)—“Energy Standard forBuildings Except Low-Rise ResidentialBuildings (IESNA cosponsored; ANSI ap-proved; Continuous Maintenance Stan-dard), SI Edition”—describes a standard ofdesignation 90.1, approved in 2001.

ASHRAE has developed standards notonly in the traditional areas of heating,ventilating, and air conditioning equip-ment, but also on such diverse subjects asfire safety in buildings, energy conserva-tion, solar energy, pollution control, andozone depletion.

1.2.3 FEDERAL GOVERNMENTSTANDARDS

Many federal agencies either developstandards themselves or commission theirdevelopment by other federal agencies orprivate-sector organizations.

1.2.3.1 Department of CommerceManufacturers seek to encourage productacceptance and improve their own effi-ciency by establishing basic levels ofquality for materials and products and bycoordinating dimensions, terminology,and other variables such as type and style.

Manufacturers cannot legally agree toestablish unreasonable standards thatmight rule out the success of individualcompetitors, nor can they engage inprice-fixing agreements. Therefore, inrecognition of the desirability of certaintypes of industry-supported standardiza-tion, the U.S. Department of Commerceprovides for the development of ProductStandards.

VOLUNTARY PRODUCT STANDARDS

Voluntary Product Standards (PS) are themodern replacement for the older Com-


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mercial Standards (CS) and SimplifiedPractice Recommendations (SPR), previ-ously published by the Department ofCommerce.

Voluntary PS are developed by man-ufacturers, distributors, and users in co-operation with the Standards Services Division of the National Institute of Stan-dards and Technology (NIST). The pur-pose of a PS may be either (1) to estab-lish standards of practice for sizes,dimensions, varieties, or other charac-teristics of a specific product or (2) to establish quality criteria, including stan-dard methods of testing, rating, certify-ing, and labeling of the manufacturedproducts.

The adoption and use of a PS are vol-untary. However, when reference to a PS is made in contracts, labels, invoices,or advertising literature, the provisions of the standard are enforceable throughusual legal channels as a part of the salescontract.

A PS usually originates with themanufacturing segment of the industry.The sponsors may be manufacturers,distributors, or users of the specificproduct. One of these three elements ofindustry (the proponent) submits to theStandards Services Division the neces-sary data to be used as the basis for de-veloping a PS. The Division, by meansof assembled conferences, letter refer-enda, or both, assists the sponsor groupin arriving at a tentative standard ofpractice and thereafter refers it to theother elements of the same industry forapproval or for constructive criticismthat will be helpful in making necessaryadjustments. The regular procedure ofthe Division ensures continuous servic-ing of each PS through review and re-vision whenever, in the opinion of theindustry, changing conditions warrantsuch action.

A Voluntary PS is designated by theletters PS, followed by an identificationnumber and the last two digits of the yearof issuance or last revision. For example,PS 1-95 is the PS for “Construction andIndustrial Plywood.” It was originally is-sued in 1966 as the first PS. A list of PSs, currently available, a price list, andordering instructions may be obtained from the Standards Services Division,NIST. Procedures for the development of Voluntary PS are available from the Standards Coordination and ConformityGroup of NIST.

1.2.3.2 General ServicesAdministrationThe General Services Administration(GSA) of the U.S. government developsFederal Standardization Documents, in-cluding Federal Specifications, InterimFederal Specifications, and FederalStandards, through the cooperation offederal agencies and industry groups. Thepurpose of these documents is to stan-dardize the variations and quality of ma-terials and products being purchased bygovernmental agencies. Approximately5600 Federal and Interim Federal Speci-fications have been developed by theGSA. The Index of Federal Specifica-tions, Standards and Commercial ItemDescriptions, which lists those docu-ments alphabetically by title and numer-ically, may be purchased from the Superintendent of Documents, U.S. Gov-ernment Printing Office, and is also available at the GSA Web site.

FEDERAL SPECIFICATIONS

In the pure sense of the dictionary defini-tion, Federal Specifications can be calledspecifications. According to the definitionswe are using in this book, however, andaccording to the standard practices of theconstruction industry, even on projects forthe government, they are actually used asstandards. They are not permitted, for ex-ample, as a part of a project manual for abuilding construction project, except byreference. It is not possible to enter Fed-eral Specifications intact into a projectmanual, and editing them for this purposeis neither permissible nor desirable. How-ever, since the GSA calls them specifica-tions and this terminology is generally ac-cepted in the building industry, we willaccede to this convention.

A new Federal Specification is devel-oped when a government procurementneed arises, when a present specificationbecomes obsolete, or when revision is re-quired for other reasons. Although Fed-eral Specifications are gradually being re-placed by industry standards, such asthose promulgated by ASTM, FederalSpecifications are still referenced in gov-ernment guide specifications and are theonly standards available for some prod-ucts. In addition, Federal Specificationsare still referenced by some product man-ufacturers even when industry standardsare available. There may come a daywhen Federal Specifications are no

longer used in the construction industry,but that day has not yet arrived.

The GSA may assign the developmentof a particular Federal Specification to afederal agency that has specialized tech-nical competence and the necessary fa-cilities. However, nationally recognizedindustry, technical society, and trade as-sociation standards, such as those byASTM, are used and adopted in FederalSpecifications to the maximum extentpracticable.

Federal Specifications are designatedby a letter and number code. For exam-ple, A-A-3130A Paint (For Applicationto Wet Surfaces) 13-Jun-2003 is the Fed-eral Specification for a particular type ofpaint. The term Federal Specification isoften abbreviated as Fed. Spec. or sim-ply FS.

1.2.3.3 Military AgenciesThe federal government is one of theworld’s largest buyers of equipment, ma-terials, and supplies, with annual purchasesin the billions of dollars. Various depart-ments within the Department of Defensehave developed specifications coveringmaterials, products, and services used pre-dominantly by military activities.

Military Specifications may be used by any interested civilian organization or specifier. Military Specifications are indexed by the title and code letter prefixMIL.

1.2.3.4 Department of Housing andUrban DevelopmentThe National Housing Act, enacted byCongress in 1934 and amended from timeto time, created the Federal Housing Ad-ministration (FHA) to stimulate homeconstruction by insuring mortgage loans.The functions of this agency were trans-ferred by Congress in 1965 to the newlycreated Department of Housing and Urban Development (HUD), and FHAbecame part of this larger cabinet-leveldepartment.

The overall purpose of HUD is to assist in the sound development of the nation’s communities and metropolitanareas. Encouragement of housing pro-duction through mortgage insurance andvarious subsidies has been one of HUD’schief objectives. Improvement in housingquality and in land planning standardshas been another HUD objective man-dated by Congress.


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FHA/HUD HOUSING PROGRAMS

FHA/HUD makes no loans, nor does itplan or build housing. It functionsmainly as an insuring agency for mort-gage loans made by private lenders, suchas savings associations and commercialbanks. For instance, through the Section203(b) program, FHA/HUD encourageslenders to make loans with low downpayments and long maturities on one- to four-family dwellings. The borrowerpays an annual insurance premium of asmall percentage of the average princi-pal outstanding over the premium year.The Secretary of HUD sets the interestrate ceiling on FHA/HUD loans at alevel required to meet market condi-tions. Another frequently used section,221(d)(4), provides for mortgage insur-ance of new or rehabilitated low- or middle-income rental housing.

The traditional role of the FHA wastransformed when the agency became theadministrator of interest-rate subsidy andrent-supplement programs authorized byCongress since 1965. The Section 235program combines insurance with interestassistance payments for owner-occupiedhomes. In addition to insuring the loan,FHA/HUD pays part of the interest theborrower owes the mortgage lender. Sec-tion 236 offers insurance and interest as-sistance for rental projects. Section 237provides insurance on loans to borrowerswith poor credit histories. Section 238 authorizes insurance for mortgage loansin high-risk situations, such as transi-tional urban areas, not covered by otherprograms.

HUD MINIMUM PROPERTY STANDARDS

Because not all housing programs au-thorized by Congress involve mortgageinsurance, not all of them are adminis-tered by FHA/HUD. For instance, Sec-tion 8 of the Housing Act of 1974 au-thorizes rental subsidies for leasedlow-income housing. The housing maybe existing or new and may be financedeither conventionally or with FHA/HUDmortgage insurance. Before 1973, FHA-insured private housing had to conformto the FHA Minimum Property Stan-dards, and subsidized public housing wasregulated by a different set of standards.With the adoption in that year of the HUDMinimum Property Standards (MPS), uni-form standards became applicable to allHUD housing programs.

The MPS were intended to provide asound technical basis for the planningand design of housing under the numer-ous programs of HUD. The standards de-scribed those characteristics in a propertythat would provide initial and continuingutility, durability, desirability, economyof maintenance, and a safe and healthfulenvironment.

Environmental quality was consideredthroughout the MPS. As a general policy,property development was required to beconsistent with the national program forconservation of energy and other naturalresources. Care had to be exercised toavoid air, water, land, and noise pollutionand other environmental hazards.

The MPS consisted of three volumesof mandatory standards: (1) MPS forOne- and Two-Family Dwellings, HUD4900.1; (2) MPS for Multifamily Hous-ing, HUD 4910.1; and (3) MPS for Care-Type Housing, HUD 4920.1. Variationsand exceptions for seasonal homes in-tended for other than year-round occu-pancy were listed in HUD 4900.1. Ex-ceptions for elderly housing were listedin HUD 4900.1 and 4910.1. A fourth vol-ume, the MPS Manual of AcceptablePractices, HUD 4930.1, contained advi-sory and illustrative material for the threevolumes of mandatory standards.

Today these documents have beenwithdrawn and replaced by a single doc-ument, HUD 4910.1, Minimum PropertyStandards for Housing. This document isintended to supplement the requirementsof the applicable local and state buildingcodes and the International ResidentialCode (see Section 1.3.3.3).

MATERIALS BULLETINS

The Architectural Standards Division ofHUD issues Use of Materials bulletinsfor specific proprietary products or prod-ucts that HUD engineers have investi-gated and found their performance to beacceptable. Each bulletin describes aproduct and its use and is issued to HUDfield offices for guidance in determiningthe acceptance of the product.

The absence of a bulletin for a partic-ular product does not preclude its use.Use of Materials bulletins are not in-tended to indicate approval, endorse-ment, or acceptance by HUD. Manufac-turers of materials and products for whichUse of Materials bulletins have been is-sued are not authorized to use them in

any manner for sales promotion. Copiesof Use of Materials bulletins are on filein HUD field offices but are not availablefor general distribution.

HUD has additional provisions for thereview of special materials, products, andconstruction methods that it may beasked to insure. Design, materials, equip-ment, and construction methods otherthan those described in Minimum Prop-erty Standards for Housing are consid-ered for use, provided that complete sub-stantiating data satisfactory to HUD aresubmitted. Local HUD field offices areauthorized to accept variations from thestandards for specific cases, subject toconditions outlined in the standards.

Variations on an area or regional ba-sis, or variations involving a substantialnumber of properties on a repetitive ba-sis, are authorized only after considera-tion of recommendations by the HUDfield office and approval by the Archi-tectural Standards Division. Under cer-tain conditions, some variations are established and published as Local Ac-ceptable Standards (LAS) for a specificarea.

1.2.4 EUROPEAN STANDARDS

In January 1993, 12 European countriesjoined economically into a Single Euro-pean Market (SEM). In addition, the European Community (EC) is movingsteadily toward the opening of bordersand establishment of the free trade ofideas and goods between the member na-tions. These major changes in Europewill greatly affect trade and other rela-tionships between the United States andthe EC. They will also affect the U.S.building industry in many ways. One ef-fect that will be greatly felt is the changein European standards. As a part of theestablishment of SEM, the EC memberstates have deemed it necessary to unifyeach of their existing 12 separate groupsof national standards into common Euro-pean standards. The European Commit-tee for Standarization (CEN) and theCommittee for European Electrotechni-cal Standarization (CENELEC) havebeen charged with publishing standardsfor the EC member states.

The International Organization forStandardization (IOS) is a nongovern-mental organization made up of repre-sentatives from the standards institutionsof 91 countries. The United States is a


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member, represented by ANSI, but is notvery influential there. IOS approves andpublishes standards produced by itsmembers. Most of those published byIOS are European standards.

The new EC standards will be basedeither on reconciling the differences be-tween existing standards in the EC statesor simply adoption of the IOS standards.The United States could exert greater in-fluence in this area by increasing its in-volvement in IOS, but there seems to belittle movement in that direction. Al-though development is in progress, sin-gle European standards for constructionproducts do not yet exist. Until they do,EC member states will continue to en-force either their own standards or in-terim standards.

American firms doing work in Europeand U.S. products sold in Europe todayhave to comply with the standards of thecountry in which the work is being done.Eventually they will all have to complywith the unified EC standards. In the in-terim, there will be a morass of conflict-ing and possibly overlapping standards inthe various countries. Some standardswill be the old national ones, some willbe the new EC standards, and others willbe IOS standards. Probably the best firststep of anyone contemplating working inthe EC would be to contact the U.S. De-partment of Commerce Office of Euro-pean Community Affairs for advice.

What eventual effect the new EC stan-dards will have on U.S. standards is un-known at this point. There will probablybe some changes in our standards rela-tively soon. Down the road, there may beextensive changes as the United Statestries to compete economically with a uni-fied Europe.

1.3 Codes

The planning, construction, location, anduse of buildings are regulated by a vari-ety of laws enacted by local, state, andfederal governments. These statutes andordinances include zoning, building,plumbing, electrical, and mechanicalcodes that are intended to protect thehealth, safety, and general welfare of thepublic. These codes incorporate manyrecognized construction industry stan-dards (see Section 1.2), but they do not

necessarily contain criteria that ensure efficient, convenient, or adequatelyequipped buildings.

A zoning code (see Section 1.3.2) es-tablishes requirements for land use.

A building code (see Section 1.3.3)establishes requirements for the con-struction and occupancy of buildings. Itcontains standards of performance andrequirements for materials, methods, andsystems. It also covers structural strength,fire resistance, adequate light and venti-lation, egress, occupant safety, and otherconsiderations determined by the design,construction, alteration, and demolitionof buildings.

A collection of building requirementsbecomes a code when it is adopted by amunicipality as a public ordinance or law.Local communities may write their owncodes or may legally adopt other codes,such as state building codes or one of themodel codes (see Section 1.3.3.3).

1.3.1 HISTORY

Laws controlling building constructionare not new. The ancient code of theBabylonian emperor Hammurabi, datingback to about 1800 B.C., is often cited asthe first recorded building code. It pro-vided severe penalties for constructionpractices that violated the health or safetyof citizens. For example, if a building col-lapsed, killing the occupants, its archi-tects and builders were put to death. Thisancient code, based on the idea that thestrong should not injure the weak, setsthe principle for today’s construction reg-ulations: The public has a right to be pro-tected from the harmful acts of others.

Modern building regulation evolvedover time, starting in the early nineteenthcentury with the adoption of fire laws insome large cities. These laws prohibitedthe construction of wooden buildings incongested areas. At about the same time,cities also began to adopt health regula-tions to improve the living conditions ofthe poor, which were the forerunners oftoday’s minimum housing codes. Somecourts, however, resisted the enactmentof such laws as infringements on personalproperty rights.

As the validity of fire and health lawswas slowly established, courts began toaccept governmental control of all as-pects of building construction involvingthe health and safety of the public. To-day most states and cities, and a greatmany counties and towns, regulate the

planning, construction, and installation ofbuilding systems through a variety oflaws and ordinances.

The right to regulate building con-struction constitutionally rests in thestates, but before 1960 few state govern-ments exercised that right. The states usu-ally delegated to local governments thepower to regulate buildings to protectpublic health, safety, and welfare. Todaymany states are taking an active role inbuilding regulation. More than half of thestates have now adopted some form ofstatewide building regulation concernedwith the construction of industrializedbuildings, mobile homes, and conven-tional construction.

Federal legislation in the areas of oc-cupational health and safety, environ-mental protection, pollution controls, andconsumer protection, coupled with in-creased state legislative activity, offer evidence that the building regulatoryprocess will become ever more complex.

1.3.2 ZONING CODES

Zoning codes are developed, interpreted,enacted, and enforced by local jurisdic-tions (cities, counties, townships, etc.) toachieve the following:

■ Promote the general welfare by en-suring adequate light, air, and con-venience of access to buildings

■ Provide for safety from fire, flood,and other dangers

■ Reduce congestion in the publicstreets

■ Create a convenient, attractive, andharmonious community

■ Expedite adequate police, fire, andrescue protection

■ Expedite emergency evacuation■ Provide adequate public facilities

(schools, parks, playgrounds, etc.)■ Reduce encroachment on historic

areas■ Protect against overcrowding of land■ Prevent undue density of population■ Encourage economic development

Zoning codes affect building designby controlling where building types maybe located, both within their communi-ties and on their particular sites. Zoningcodes also restrict the size of buildingsthat can be built on a specific site and af-fect the shapes of buildings. Many high-rise buildings owe their shapes to zoningsetback rules that require higher floors tobe farther from the property line.

14 Codes ■ DESIGN AND CONTRACTING REQUIREMENTS

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A typical zoning code contains spe-cific requirements for the type of use thatis permitted in individual zones withinthe community. The naming of zones dif-fers from community to community. Thefollowing are zones included in the In-ternational Zoning Code:

Agricultural:A-1, any so designated open spaceA-2, any agricultural useA-3, any public park land or other simi-

lar recreational use

Residential:R-1, single-familyR-2, single-family and two-familyR-3, apartment and multiple-family

dwelling

Commercial and Commercial/Residential:C-1, general businessC-2, light commercialC-3, amusement uses, wholesale and re-

tail sales facilitiesC-4, major commercial and manufactur-

ing facilitiesCR-1, uses permitted in C-1, plus some

residentialCR-2, uses permitted in C-2, plus some

residential

Factory/Industrial:FI-1, light manufacturing or industrialFI-2, stadiums, arenas, and light indus-

trialFI-3, heavy industrial

Special districts may also be estab-lished to control requirements for special-use zones, such as historic zones; wet-lands; areas where flood damage is likely;architectural districts, where design ap-pearance is controlled; planned develop-ment districts, where special rules apply,such as allowance of increased occupantdensity in exchange for leaving green ar-eas; and water runoff restricted districtsestablished to protect lakes, rivers, andbays. Typical restrictions in a zone in-clude requirements such as those for:

■ Permitted uses■ Building height■ Minimum lot size and street frontage

length■ Minimum floor area■ Required yards (distance from a build-

ing to a property line in front, rear, andsides)

■ Building setback (distance from thebuilding to lot lines at each heightabove the ground, which often in-

creases in cities as the building growstaller)

■ Permitted types of accessory build-ings and their permitted size and location

■ Off-street parking and loading re-quirements

■ Lighting of parking and other site areas■ Visual clearance on corner lots■ Swimming pools■ Site fences and walls

1.3.3 BUILDING CODES

The construction industry is enmeshed inan extraordinary network of buildingcodes that attempt to ensure that build-ings and their environs will be safe. Theygenerally accomplish that purpose; how-ever, codes and code administration arecriticized widely as restricting buildingprogress by retarding the acceptance ofnew and improved uses of materials andmethods and thereby unnecessarily in-creasing construction costs. In some in-stances, the adoption of improved codeshas stimulated better building practices.But the existing complex and chaoticbuilding code situation is recognized asone of the problems facing the buildingindustry today because of the use of de-scriptive-type codes (see Section 1.3.3.1),the lack of code uniformity, the multi-plicity of codes, the slow response ofcodes to change, and inadequate per-formance standards in the codes (see Sec-tion 1.3.3.3).

The major building officials organi-zations and numerous federal, state, andlocal groups are constantly working toimprove codes and the code regulatorysystem. The latest efforts center on stan-dardizing the major model codes (seeSection 1.3.3.3) into a single code foreach discipline. This has currently beenaccomplished by the introduction in 2003of the International Building Codes (seeSection 1.3.3.3).

Some so-called codes are actuallystandards because they are voluntaryand have no status in law. Only whenstandards are adopted by legislativebodies and incorporated into law dothey become codes. In one sense, themodel codes discussed in Section1.3.3.3 are actually standards that havebeen adopted in many, but not all, ju-risdictions as codes. Other examples ofdocuments called codes that actually arenot codes include various ANSI andNFPA codes.

Standards that are called codes by theirproducers often fall in the design standardscategory (see Section 1.2.1) but may en-compass one or more of the other types.

Because some documents calledcodes are universally recognized as such,we will accede to that convention in thisbook. Therefore, publications such asANSI A17.1, “Safety Code for Elevatorsand Escalators,” NFPA 101, “Life SafetyCode,” and “National Electrical Code,”are here called codes.

1.3.3.1 The Effect of Building Codeson DesignBuilding codes affect building design ina number of ways. One way is by limit-ing the construction type and size foreach building use. Figure 1.3-1 is a tablefrom the 2006 edition of the InternationalBuilding Code. Similar tables are in-cluded in all the model codes (see Sec-tion 1.3.3.3). The table shown lists 26groups. These groups are defined and de-scribed in the body of the code and arepartially shown in the following list. Thelist is not all-inclusive.

Groups A-1 through A-5—assembly oc-cupancies, such as theaters, art gal-leries, restaurants, assembly halls, andso forth

Group B—business occupancies, includ-ing buildings for office, professional,or service-type uses

Group E—educational facilitiesGroups F-1 and F-2—factoriesGroups H-1 through H-5—high-hazard

facilities, such as those where themanufacture or storage of materialsthat constitute a physical or healthhazard takes place

Groups I-1 through I-4—institutional fa-cilities, including those for supervisedresidential environments, hospitalsand other medical facilities, and pris-ons, jails, and other correctional anddetention facilities

Group M—mercantile facilities includ-ing buildings used for the display orsale of merchandise

Groups R-1 through R-4—residential oc-cupancies, including single-family andmultifamily dwellings, apartments, hotels, and assisted living facilities

Group S-1 and S-2—storage facilitiesGroup U—utility and miscellaneous fa-

cilities, such as barns, carports, air-craft hangers, buildings that are ac-cessories to dwellings, greenhouses,and private garages

DESIGN AND CONTRACTING REQUIREMENTS ■ Codes 15

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TABLE 503ALLOWABLE HEIGHT AND BUILDING AREASa

Height limitations shown as stories and feet above grade plane.Area limitations as determined by the definition of “Area, building,” per story

TYPE OF CONSTRUCTION

TYPE I TYPE II TYPE III TYPE IV TYPE V

A B A B A B HT A B

HGT(feet)

GROUP HGT(S) UL 160 65 55 65 55 65 50 40

A-1S UL 5 3 2 3 2 3 2 1A UL UL 15,500 8,500 14,000 8,500 15,000 11,500 5,500

A-2S UL 11 3 2 3 2 3 2 1A UL UL 15,500 9,500 14,000 9,500 15,000 11,500 6,000

A-3S UL 11 3 2 3 2 3 2 1A UL UL 15,500 9,500 14,000 9,500 15,000 11,500 6,000

A-4S UL 11 3 2 3 2 3 2 1A UL UL 15,500 9,500 14,000 9,500 15,000 11,500 6,000

A-5S UL UL UL UL UL UL UL UL UL A UL UL UL UL UL UL UL UL UL

BS UL 11 5 4 5 4 5 3 2A UL UL 37,500 23,000 28,500 19,000 36,000 18,000 9,000

ES UL 5 3 2 3 2 3 1 1A UL UL 26,500 14,500 23,500 14,500 25,500 18,500 9,500

F-1S UL 11 4 2 3 2 4 2 1 A UL UL 25,000 15,500 19,000 12,000 33,500 14,000 8,500

F-2S UL 11 5 3 4 3 5 3 2 A UL UL 37,500 23,000 28,500 18,000 50,500 21,000 13,000

H-1S 1 1 1 1 1 1 1 1 NP A 21,000 16,500 11,000 7,000 9,500 7,000 10,500 7,500 NP

H-2d S UL 3 2 1 2 1 2 1 1 A 21,000 16,500 11,000 7,000 9,500 7,000 10,500 7,500 3,000

H-3d S UL 6 4 2 4 2 4 2 1 A UL 60,000 26,500 14,000 17,500 13,000 25,500 10,000 5,000

H-4S UL 7 5 3 5 3 5 3 2 A UL UL 37,500 17,500 28,500 17,500 36,000 18,000 6,500

H-5S 4 4 3 3 3 3 3 3 2 A UL UL 37,500 23,000 28,500 19,000 36,000 18,000 9,000

I-1S UL 9 4 3 4 3 4 3 2 A UL 55,000 19,000 10,000 16,500 10,000 18,000 10,500 4,500

I-2S UL 4 2 1 1 NP 1 1 NP A UL UL 15,000 11,000 12,000 NP 12,000 9,500 NP

I-3S UL 4 2 1 2 1 2 2 1 A UL UL 15,000 10,000 10,500 7,500 12,000 7,500 5,000

I-4S UL 5 3 2 3 2 3 1 1 A UL 60,500 26,500 13,000 23,500 13,000 25,500 18,500 9,000

MS UL 11 4 4 4 4 4 3 1 A UL UL 21,500 12,500 18,500 12,500 20,500 14,000 9,000

R-1S UL 11 4 4 4 4 4 3 2 A UL UL 24,000 16,000 24,000 16,000 20,500 12,000 7,000

R-2S UL 11 4 4 4 4 4 3 2 A UL UL 24,000 16,000 24,000 16,000 20,500 12,000 7,000

R-3S UL 11 4 4 4 4 4 3 3 A UL UL UL UL UL UL UL UL UL

R-4S UL 11 4 4 4 4 4 3 2 A UL UL 24,000 16,000 24,000 16,000 20,500 12,000 7,000

S-1S UL 11 4 3 3 3 4 3 1 A UL 48,000 26,000 17,500 26,000 17,500 25,500 14,000 9,000

S-2b, c S UL 11 5 4 4 4 5 4 2 A UL 79,000 39,000 26,000 39,000 26,000 38,500 21,000 13,500

Uc S UL 5 4 2 3 2 4 2 1 A UL 35,500 19,000 8,500 14,000 8,500 18,000 9,000 5,500

For SI: 1 foot = 304.8 mm, 1 square foot = 0.0929 m2.UL = Unlimited, NP = Not permitted. a. See the following sections for general exceptions to Table 503:

1. Section 504.2, Allowable height increase due to automatic sprinkler system installation. 2. Section 506.2, Allowable area increase due to street frontage. 3. Section 506.3, Allowable area increase due to automatic sprinkler system installation. 4. Section 507, Unlimited area buildings.

b. For open parking structures, see Section 406.3. c. For private garages, see Section 406.1. d. See Section 415.5 for limitations.

FIGURE 1.3-1 From the 2006 International Building Code. Copyright ICC; reprinted with permission.

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Figure 1.3-1 shows height and area re-strictions for each of these groups, basedon each of nine types of construction. Thetypes of construction are also defined inthe text of the code and are summarizedin the following list.

Types I and II, A and B—construction inwhich the building groups listed inFigure 1.3-1 are of noncombustibleconstruction

Types III, A and B—construction inwhich the exterior walls of buildingsin the groups listed in the table in Fig-ure 1.3-1 are of noncombustible con-struction, but interior elements maynot be necessarily of noncombustibleconstruction

Type IV—construction in which the ex-terior walls of buildings in the groupslisted in Figure 1.3-1 are of noncom-bustible construction, and interior el-ements are of solid wood (heavy tim-ber) construction

Type V, A and B—construction in whichthe building groups listed in Figure1.3-1 are of any construction type per-mitted by the code, including that inwhich the building is constructed ofwood and other combustible materials

As an example of the use of Figure1.3-1, suppose that an architect has beencommissioned to design a building thatfalls in group E, educational facilities,that is required to have 40,000 sq ft (3716m2) of area. The table shows that if thebuilding is Noncombustible Type lA con-struction, the area and height are not lim-ited by code (UL). Therefore, the build-ing could be entirely on a single floor orbuilt on five floors of 8000 sq ft (743 m2)each.

Our example building can be also con-structed of Type IB or IIA, but not ofType IIB, because we need 40,000 sq ft(3716 m2) and IIB permits only twofloors of a maximum 14,500 sq ft (1347m2) each, for a total of only 29,000 sq ft(2694 m2). Our building could also bebuilt of Type IIIA construction but notIIIB, or of Type lV but not Type V.

Codes further affect building designby controlling materials and methods ofconstruction. This effect is illustrated inFigure 1.3-2, another table from the 2006International Building Code. In this table,structural elements are listed down theleft side and types of construction acrossthe top. These types of construction arethe same as those used in Figure 1.3-1.The figures at the intersection of the lines

and columns are the hourly fire ratings ofthe assemblies in the left column for eachconstruction type listed across the top ofthe table. For example, the floor con-struction in a Type lA building must havea 2-hour fire rating.

Building codes also restrict fire re-sistance ratings for exterior walls. Figure1.3-3 is another table from the 2006 In-ternational Building Code. In this table,fire separation distances are listed in thefar left column. Types of construction arelisted in the second column. The rest ofthe columns list groups. The types of con-struction and groups are the same as thosein Figure 3.3-1. To determine the re-quired horizontal separation, enter thetable knowing the building’s type of con-struction and group and extend the com-bined line across the table to read the sep-aration distance. Conversely, if theseparation distance is known, the tablewill yield the required type of construc-tion for the group into which the build-ing falls.

Building codes also affect buildingdesign in other ways. Building codes areeither descriptive or performance ori-ented. A descriptive (sometimes calledspecification or prescription) buildingcode establishes construction require-ments by reference to a particular mate-rial or method. For example, a code mayrequire that exterior walls be built of 2 � 4 (50 � 100) wall studs spaced 16 in.(406.4 mm) on center and covered by 1-in. (25.4 mm)-thick board sheathingapplied diagonally. A builder seeking tospace studs at 24 in. (610 mm) on cen-ter, which may be structurally sound andsafe, would be in violation of the specif-ically stated code requirements.

A performance code does not limit theselection of methods and systems to a sin-gle type, but establishes requirements forthe performance of building elements.Such a code states design and engineer-ing criteria without reference to specificmaterials or methods of construction. Forexample, an outside wall may be requiredto support loads (wind, dead, live, etc.)with specific defined values and to meetor exceed stated insulating and perme-ability requirements. Any system per-forming as required by the code wouldbe acceptable, regardless of the materialsor methods used.

True performance codes are idealisti-cally excellent but impractical in use. Toenforce them, local code administratorswould have to be extraordinarily compe-

tent and equipped to interpret perform-ance criteria and evaluate proposed meth-ods, uses, and systems. Such people andequipment are rare. What’s more, thesedecisions can be more readily challanged.A workable solution lies somewhere between descriptive and performancecodes. Both types of codes should ade-quately provide for the acceptance of al-ternate methods and systems.

1.3.3.2 Building Code EnforcementLocal administration and enforcement ofcodes are usually done by a building in-spector or engineer who has the author-ity to approve materials and methods thatmay not be directly referenced in thecode. Qualified people are necessary toadminister a building code properly. Nomatter how good a code may be, it mustbe enforced by someone who is experi-enced, informed, and objective. Builderscomplain about inspectors who do not un-derstand construction and may thus be ar-bitrary and inconsistent. They are seldomupset by a careful and competent inspec-tor who is consistent even though tough.A competent code enforcer knows whenthe letter of the code should prevail andwhen subjective interpretation should bemade.

However, local code administrators,faced continually with difficult decisions,may well argue that their job is solely tocheck compliance. An often-drawn anal-ogy is that a local policeman does notmake judgments about whether a law isright or just, but is charged solely withdetermining compliance. Perhaps it isbest that the determination of perform-ance criteria and judgment as to whethermethods and systems perform suitablymust be made by technically qualifiedpeople and not by local code administra-tors. Members of the model code groups(see Section 1.3.3.3) are qualified to of-fer this type of service.

Model code groups, which are sup-ported by building officials themselves,have performed a great service to thebuilding industry. But model codes havenot fully solved the problems of code uni-formity. The reason is, partly, that eventhough most communities have adopteda model code, some have adopted themwith modifications. The National Asso-ciation of Home Builders (NAHB) hassaid that many of the changes related tohousing made to model codes to adaptthem to local conditions come from local

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TABLE 601 FIRE-RESISTANCE RATING REQUIREMENTS FOR BUILDING ELEMENTS (hours)

TYPE I TYPE II TYPE III TYPE IV TYPE V

BUILDING ELEMENT A B Ae B Ae B HT Ae B

Structural framea 3b 2b 1 0 1 0 HT 1 0

Bearing wallsExteriorg 3 2 1 0 2 2 2 1 0Interior 3b 2b 1 0 1 0 1/HT 1 0

Nonbearing walls and partitionsExterior See Table 602

Nonbearing walls and partitionsInteriorf 0 0 0 0 0 0 See Section 602.4.6 0 0

Floor constructionIncluding supporting beams and joists 2 2 1 0 1 0 HT 1 0

Roof constructionIncluding supporting beams and joists 11/2c 1c, d 1c, d 0c, d 1c, d 0c, d HT 1c, d 0

For SI: 1 foot = 304.8 mm.

a. The structural frame shall be considered to be the columns and the girders, beams, trusses and spandrels having direct connections to the columns and bracingmembers designed to carry gravity loads. The members of floor or roof panels which have no connection to the columns shall be considered secondary mem-bers and not a part of the structural frame.

b. Roof supports: Fire-resistance ratings of structural frame and bearing walls are permitted to be reduced by 1 hour where supporting a roof only. c. Except in Group F-1, H, M and S-1 occupancies, fire protection of structural members shall not be required, including protection of roof framing and decking

where every part of the roof construction is 20 feet or more above any floor immediately below. Fire-retardant-treated wood members shall be allowed to beused for such unprotected members.

d. In all occupancies, heavy timber shall be allowed where a 1-hour or less fire-resistance rating is required. e. An approved automatic sprinkler system in accordance with Section 903.3.1.1 shall be allowed to be substituted for 1-hour fire-resistance-rated construction,

provided such system is not otherwise required by other provisions of the code or used for an allowable area increase in accordance with Section 506.3 or anallowable height increase in accordance with Section 504.2. The 1-hour substitution for the fire resistance of exterior walls shall not be permitted.

f. Not less than the fire-resistance rating required by other sections of this code. g. Not less than the fire-resistance rating based on fire separation distance (see Table 602).


TABLE 602 FIRE-RESISTANCE RATING REQUIREMENTS FOR EXTERIOR WALLS BASED ON FIRE SEPARATION DISTANCEa, e

FIRE SEPARATION TYPE OF OCCUPANCY OCCUPANCY OCCUPANCYDISTANCE = X (feet) CONSTRUCTION GROUP H GROUP F-1, M, S-1 GROUP A, B, E, F-2, I, R, S-2, Ub

X � 5c All 3 2 1

5 � X � 10IA 3 2 1

Others 2 1 1

IA, IB 2 1 1d

10 � X � 30 IIB, VB 1 0 0Others 1 1 1d

X � 30 All 0 0 0

For SI: 1 foot � 304.8 mm.

a. Load-bearing exterior walls shall also comply with the fire-resistance rating requirements of Table 601.b. For special requirements for Group U occupancies see Section 406.1.2.c. See Section 705.1.1 for party walls.d. Open parking garages complying with Section 406 shall not be required to have a fire-resistance rating.e. The fire-resistance rating of an exterior wall is determined based upon the fire separation distance of the exterior wall and the story in which the wall is located.


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codes prepared 20 or more years earlier.Sometimes, progressive time- and money-saving requirements of a model code are revised so that antiquated provisionsapply instead, simply to agree with localcustom.

1.3.3.3 Model CodesProblems with code development, use,and enforcement occur for several rea-sons. Because establishing and enforcingbuilding codes are local functions, a de-signer or builder who works in more thanone community is often faced with a frus-trating variety of requirements. A prod-uct manufacturer must win acceptance bythousands of local building code admin-istrators, instead of concerning itself onlywith performance and public acceptance.Much effort has been made to unify thecodes used by communities, and consid-erable improvement has been gainedthrough the local adoption of model codes.

If designers and builders were dealingwith a single code, their problems wouldbe greatly simplified. However, in addi-tion to adhering to local building codesthat tell them how a structure must be as-sembled, they have to satisfy a numberof other codes covering a variety of sub-jects such as plumbing, electrical wiring,traffic, utilities, health and sanitation,land planning, building occupancy, ac-cess by the handicapped, and zoning.

The lack of code uniformity and themultiplicity of additional regulations of-ten so complicate matters that buildingsare designed and built with the use ofvery conservative and often expensivecriteria and methods. Designers andbuilders alike are often unable to improvetheir techniques because of the restrictivenature of one or more of the applicablecodes.

Codes are often criticized for failingto recognize new materials and methods.Judging new products on the basis of per-formance criteria must be performed by technically qualified and equipped organizations.

This function is one in which modelcode groups can exercise great leadershipand provide a major stimulus to progress.These groups have responded reasonablyto progressive change. However, they aresubject to many pressures that deterprogress, and they have sometimes beenslow in acting on proposed changes. Forexample, it took almost 4 years for all ofthe major code groups to accept the

NAHB’s proposal to eliminate floorbridging in most home building situa-tions, a proposition well documentedthrough extensive research and testing.

As discussed in Section 1.2, no singlegroup of building industry standards ex-ists. In selecting materials or determiningthe suitability of materials and methods,a specifier and a builder make reference toa variety of trade association certificationprograms, grademarks and trademarks, ULlabels, and many other construction stan-dards. There are independent testing agen-cies, such as UL, and standards-settingbodies, such as ASTM, and some manu-facturers have substantial commitments inresearch and testing facilities, but no sin-gle agency is presently recognized by allgroups interested in building construction.

To help fill the need for workablecodes, three major organizations of in-dustry and professional groups and stateshave developed building codes that maybe adopted into law for use in local com-munities. These codes are commonly re-ferred to as model codes. The majormodel code groups are the Building Of-ficials and Code Administrators Interna-tional (BOCAI), the International Con-ference of Building Officials (ICBO),and the Southern Building Code Con-gress International (SBCCI). The majornational model codes and their sponsorsare listed in Figure 1.3-4.

Model codes have been widely ac-cepted by local communities and now areused by more than 80% of those com-munities with a population of more than10,000. The organizations that preparemodel codes have also provided for thecontinuous updating necessary to includerecommendations based on industry re-search and the development of new ma-terials and methods. Other model codesthat deal with specialized subjects notfully covered in the major model codesare also available. Most of these codesand their sponsors are listed in Figure1.3-4. Many local communities have alsoadopted these codes.

INTERNATIONAL CODE COUNCIL

For years, code developers and buildingindustry practitioners have been talkingabout developing a single national build-ing code, and these efforts may have ac-tually reached a satisfactory conclusion.BOCA, SBCCI, and ICBO have joinedtogether to create the International CodeCouncil (ICC). ICC produces a series of

international codes, which replace thosecodes produced by these three majormodel code groups. They also issue codesthat replace other model codes, such asthe One- and Two-Family Dwelling Codeproduced by the Council of AmericanBuilding Officials (CABO). Other codesstill are being produced (see Figure 1.3-4).Codes currently produced by ICC includethe following International Codes™:

International Building Code®

International Residential Code®

International Existing Building Code®

International Fire Code®

International Mechanical Code®

International Plumbing Code®

International Fuel Gas Code®

International Property Maintenance Code®

International Energy Conservation Code®

International Zoning Code®

International Private Sewage DisposalCode®

International Urban-Wildland InterfaceCode™

ICC Electrical Code®

ICC Performance Based Code™

The first ICC codes appeared in 1995.The first edition of the InternationalBuilding Code was published in 2000.These codes, like all others, must beadopted by local and state jurisdictionsbefore they can have an effect. If historycan be relied on, this will take some time.To date, the International Codes havebeen adopted in more than 75 jurisdic-tions: the International Building Code in44 states and by the U.S. Department ofDefense; the International ResidentialCode in 43 states plus Washington, D.C.;and the International Fire Code in 32states. Although model codes are nolonger being updated, they are discussedhere because these older codes are still ineffect in many jurisdictions. Sooner orlater, all jurisdictions will need to adoptthe ICC codes as the other model codesbecome obsolete. When this book refersto code-related data, the reference is tothe ICC codes

NATIONAL BUILDING CODE

The first model building code was intro-duced in 1905 by the National Board ofFire Underwriters, later called the Amer-ican Insurance Association (AIA). Thisorganization was concerned primarilywith public protection against fire haz-ards, and the original code was designedto guide communities in setting up fire


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safety standards. With subsequent addi-tions, however, its National BuildingCode laid the groundwork for the devel-opment of building codes throughout thecountry. AIA produced its last edition ofthe National Building Code in 1976. In

1950, BOCAI published the Basic Build-ing Code. When AIA ceased publishingthe National Building Code, BOCAIpicked it up and, until recently, has pub-lished it since. BOCAI also published theother codes listed for it in Figure 1.3-4.

BOCAI is no longer updating thesecodes.

STANDARD BUILDING CODE

SBCCI drafted the Southern StandardBuilding Code in 1945. Renamed the


FIGURE 1.3-4 Model Building Codes and Their Sponsoring Organizations

Building Codes Sponsoring Organization

International Building Code International Code CouncilInternational Residential Code International Code CouncilInternational Existing Building Code International Code CouncilNational Building Code Building Officials and Code Administrators International, Inc.Standard Building Code Southern Building Code Congress InternationalOne- and Two-Family Dwelling Code Council of American Building Officials

Electrical Codes

National Electrical Code National Fire Protection AssociationElectrical Code for One- and Two-Family Dwellings National Fire Protection Association

Elevator Codes

Safety Code for Elevators and Escalators American Society of Mechanical Engineers

Fire Prevention Codes

International Fire Code International Code CouncilNational Fire Prevention Code Building Officials and Code Administrators International, Inc.Uniform Fire Code International Conference of Building Officials

Housing Codes

International Property Maintenance Code International Code CouncilProperty Maintenance Code Building Officials and Code Administrators International Standard Housing Code Southern Building Code Congress International Uniform Housing Code International Conference of Building Officials

Plumbing Codes

International Plumbing Code International Code CouncilInternational Private Sewage Disposal Code International Code CouncilNational Plumbing Code Building Officials and Code Administrators International National Standard Plumbing Code National Association of Plumbing-Heating-Cooling ContractorsStandard Plumbing Code Southern Building Code Congress International Uniform Plumbing Code International Association of Plumbing and Mechanical Officials

Mechanical Codes

International Mechanical Code International Code Council International Fuel Gas Code International Code Council National Mechanical Code Building Officials and Code Administrators International Standard Gas Code Southern Building Code Congress International Standard Mechanical Code Southern Building Code Congress International

Miscellaneous Codes

International Energy Conservation Code International Code Council International Zoning Code International Code Council International Urban-Wildlife Interface Code International Code Council Boiler and Pressure Vessel Code American Society of Mechanical EngineersFlammable and Combustible Liquids Code National Fire Protection AssociationSafety Code for Mechanical Refrigeration American Society of Heating, Refrigerating, and Air Conditioning Engineers, Inc.Life Safety Code National Fire Protection Association

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Standard Building Code, this model codeis designed to recognize the special prob-lems, such as high winds, in the southernregion of the country and is used ex-tensively in this area. SBCCI also pub-lished the other codes listed for it in Fig-ure 1.3-4. BOCAI is no longer updatingthese codes.

UNIFORM BUILDING CODE

In 1927, ICBO (initially the PacificCoast Building Officials Conference)published its Uniform Building Code.This code gained wide acceptance, par-ticularly in the West. ICBO also pub-lished the other codes listed for it in Figure 1.3-4. It copublished the UniformFire Code and the Uniform Fire CodeStandards with the Western Fire ChiefsAssociation. ICBO also jointly pub-lished the Uniform Mechanical Codewith the International Association ofPlumbing and Mechanical Officials.The most recent edition of these codeswas published in 1997.

NATIONAL STANDARD PLUMBING CODE

The National Standard Plumbing Codeis sponsored by the Plumbing-Heating-Cooling Contractors Association (PHCC).The National Standard Plumbing Codecovers the proper design, installation, andmaintenance of plumbing systems ac-cording to principles of sanitation andsafety, but not necessarily for efficiency,convenience, or adequacy for good ser-vice or future expansion of system use.Standards for materials and fixtures arebased largely on industry standards suchas Commercial Standards, AmericanStandards, and ASTM standards.

UNIFORM PLUMBING AND UNIFORMMECHANICAL CODES

The Western Plumbing Officials Asso-ciation (now the International Associa-tion of Plumbing and Mechanical Offi-cials [IAPMO]) established the firstUniform Plumbing Code in 1929 andcontinues to publish it today. IAPMOalso publishes the Uniform MechanicalCode. These codes cover the design, installation, and maintenance of plumb-ing, heating, and air conditioning sys-tems. Materials and equipment stan-dards are based largely on otherindustry standards. These codes havegained widespread use in the westernstates, as well as in other communitiesacross the country.

NATIONAL ELECTRICAL CODE

The National Electrical Code is producedby the NFPA. Its purpose is to ensure thesafeguarding of persons and of buildingsand their contents from hazards arisingfrom the use of electricity for light, heat,power, and other purposes. The code con-tains basic minimum provisions forsafety which, with proper maintenance,will result in installations free from haz-ard, but not necessarily efficient, con-venient, or adequate for good service orfuture expansion of electrical use. TheNational Electrical Code makes refer-ence to many industry standards, such asANSI/ASME A17.1, and to UL labels. Itis revised periodically and is adopted byreference into many building codes andfederal and state laws and regulations.

LIFE SAFETY CODE

The Life Safety Code began in 1912 witha pamphlet entitled Exit Drills in Facto-ries, Schools, Department Stores andTheaters and has evolved over the yearsto cover most building types. It is pub-lished by the NFPA to establish mini-mum requirements for a reasonable de-gree of safety from fire in structures. Itaddresses requirements for egress; designand construction that will prevent unduedanger from fire, smoke, and gases; firedetection and alarm systems; and auto-matic sprinklers and other fire extinguish-ing systems. It includes requirements forbuilding design and construction and forheating, ventilating, air conditioning, andelectrical systems

ONE- AND TWO-FAMILY DWELLING CODE

In 1971, the American Insurance Associ-ation, BOCA, ICBO, and SBCCI adopteda consensus code entitled the One- andTwo-Family Dwelling Code. This modelcode is now published by the ICC as the2006 International Residential Code.

The International Residential Codecontains requirements for building plan-ning and construction, including require-ments for heating, cooling, and plumb-ing. HUD requires compliance with theInternational Residential Code in additionto its own Minimum Property Standardsfor One- and Two-Family Dwellings andlocal and state building codes for consid-eration for HUD/FHA loan guarantees.

Publication of this single nationalmodel code for one- and two-familydwellings constituted a significant steptoward uniform minimum regulations in

the housing industry, but it still has notbeen recognized and adopted by everystate and local government.

1.3.4 NATIONAL ENERGY CODES

In the United States, energy consumed inbuildings amounts to about one-third ofall energy consumption. Building energyconsumption has been increasing rapidlyfor many years. The U.S. Department ofCommerce’s earlier estimate, that energyconsumption would increase by 25% be-tween 1984 and the year 2000, appearsto have been fairly accurate. That in-crease represents an annual growth rateof 1.14% for housing and 1.66% for com-mercial use. Slowing the rate of increasethrough increased efficiency in buildingsystems design can significantly reduceoverall energy demand.

The National Energy Plan calls forsubstantial decreases in energy con-sumption through conservation. A majorelement of an energy conservation pro-gram is enforcement of thermal effi-ciency standards and insulation require-ments in new and renovated buildings bystate and local governments.

The National Conference of States onBuilding Codes and Standards (NCSBCS)in 1973 requested the National Bureau ofStandards (NBS) (now the National Insti-tute of Standards and Technology [NIST])to develop standards that could be usedby all states for energy-efficient designin new buildings. NBS completed thesestandards in 1974, but they were consid-ered too complex for most state and lo-cal code enforcement officials to admin-ister. As a result, NCSBCS requestedASHRAE to translate the NBS standardsinto enforceable language.

In 1975, ASHRAE published its Stan-dard 90-75, “Energy Conservation inNew Building Design.” This standardwas the first nationally recognized stan-dard for energy-efficient design applica-ble to all building types. It was, however,written for use by design engineers. Stateand local practitioners still needed a doc-ument that could be administered throughthe traditional code enforcement system.In 1976, NCSBCS translated ASHRAEStandard 90-75 into the Model Code forEnergy Conservation in New BuildingConstruction. Under a grant from the En-ergy Research and Development Admin-istration (now the Department of En-ergy), NCSBCS worked with buildingofficials from all parts of the country who


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administer model codes so that the ModelCode for Energy Conservation would beapplicable to all geographic areas in thecountry and could be incorporated easilyinto existing codes. The NCSBCS ModelCode for Energy Conservation in NewBuilding Construction was published inJanuary 1977.

The Energy Policy and ConservationAct (EPCA) became law in 1975. The lawprovided for substantial grants to thosestates that developed and implementedstatewide energy conservation plansaimed at reducing statewide energy con-sumption 5% by 1980. State energy con-servation plans had to include at least five elements: (1) mandatory lighting ef-ficiency standards for public buildings,(2) programs to promote the availabilityand use of car pools and van pools, (3)mandatory standards and policies relatedto procurement practices of state and lo-cal governments, (4) a traffic law thatpermits a right turn on red after stopping,and (5) mandatory thermal energy stan-dards and insulation requirements fornew and renovated buildings.

In 1976, Congress passed the EnergyConservation and Production Act (ECPA).Title III of ECPA contained the follow-ing provisions: (1) HUD is directed to de-velop performance-oriented thermal en-ergy efficiency standards, (2) HUD is tomonitor the progress of state and localgovernments in implementing the stan-dards, and (3) if a substantial amount ofnew housing is not constructed in con-formance with the standards, HUD canrecommend to the Congress that the stan-dards be made mandatory. If Congressconcurs:

1. All construction assisted by federalmoney will have to be consistent withthe standards. This will include fed-eral grants, loans, and loan guaranteesand will apply to all savings and loanassociations that are federally insured.

2. Local governments will not be re-quired to incorporate the standardsinto their building codes. HUD andthe states will be responsible for en-suring that all proposed constructionis in conformance with the standards.However, local governments that electto adopt the standards will be reim-bursed for the cost of the certification.

3. If a local government incorporates thefederal standards into its codes, thenno further approvals will be required.

Money will be available to communi-ties to assist them in incorporating andenforcing the federal standards.

Current requirements for insulationare addressed in Section 7.3. The cur-rently accepted standards for energy con-servation and thermal design criteria arediscussed in Chapter 17.

1.3.5 CODE ADVANCEMENT

The growing complexity of building de-sign and construction and the subsequentincrease of regulatory controls have in-duced several organizations to improvethe effectiveness of the regulatory pro-cess with better code documents, admin-istration, and enforcement.

1.3.5.1 National Institute of Building SciencesThe Housing and Community Develop-ment Act of 1974 authorized the creationof the National Institute of Building Sci-ences (NIBS). NIBS was initiated by thefederal government with the assistance ofthe National Academy of Science and theNational Academy of Engineering Re-search Council to help improve the waybuilding construction is regulated. NIBSgives the United States a national centerfor (1) assembly, storage, and dissemi-nation of technical data and related in-formation on construction, (2) develop-ment and promulgation of nationallyrecognized performance criteria, stan-dards, test methods, and other evaluatingtechniques, and (3) evaluation and pre-qualification of existing and new build-ing techniques.

1.3.5.2 Council of American Building OfficialsIn 1972 the governing bodies of BOCAI,ICBO, and SBCCI established the Coun-cil of American Building Officials (CABO).CABO’s policies are determined by aboard of trustees composed of represen-tatives of the governing bodies of themember organizations.

Examples of CABO’s work include(1) advancing the One- and Two-FamilyDwelling Code as a recognized nationalstandard through the procedures ofANSI, (2) sponsoring the development ofmodel performance standards that willcomplement the requirements of modelcodes, (3) sponsoring a national researchactivity that provides a single approval

agency for manufacturers of buildingcomponents, systems, and materials, (4)developing and adopting a model me-chanical, plumbing, and fire preventioncode as the standard for all three organi-zations, and (5) establishing ICC to im-plement a single group of internationalcodes to replace all the model codes incurrent use.

1.3.5.3 Associated Major City Building OfficialsIn 1972 building code officials from thenation’s 20 largest cities created an or-ganization called Associated Major City/County Building Officials (AMCBO). Itspurpose is to exchange ideas, experience,and information on the growing complex-ities of code administration and enforce-ment in densely populated urban areas.

1.3.5.4 National Conference of States on Building Codes and StandardsNCSBCS was formed in 1967. The or-ganization is composed of state delegatesdesignated by their respective governorsto represent the 50 states in discussionsand programs pertaining to building reg-ulation; state and local building officials;various representatives of the building in-dustry’s design, manufacturing, and con-struction sectors; federal government of-ficials; and consumers. It has affiliationswith governmental agencies, such asNIST and the Consumer Product SafetyCommission. Its members participate inthe activities of many organizations, in-cluding CABO, BOCAI, ICBO, SBCCI,NFPA, ASHRAE, HUD, NIBS, the Amer-ican Institute of Architects (AIA), ANSI,the Council of State Community AffairsAgencies (COSCAA), and ASTM.

NCSBCS was established to (1) providea forum for states to discuss and developsolutions to code regulatory problems, (2)promote adoption and administration ofuniform building codes and standards thatregulate construction in and between states,(3) create an effective voice for state inputon the committees of nationally recognizedstandards-writing organizations, (4) sup-port comprehensive training and educa-tional programs for code enforcement per-sonnel, and (5) foster cooperation andencourage innovation between code ad-ministration officials and the design, man-ufacturing, and consumer interests affectedby the code regulatory system.


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1.4 Barrier-Free Design

As related to building design, a physicallyhandicapped person is an individual whohas a physical impairment, including im-paired sensory, manual, or speaking abil-ities, that results in a functional limita-tion in gaining access to and using abuilding or facility.

Until recently, most of the buildings,facilities, transportation systems, andother structures and spaces in which wework, play, and live (the built environ-ment) were designed for use by average,able-bodied, young adults who walkwithout aid or assistance (ambulatory).People who were older, younger, smaller,taller, or who had physical handicapswere at a disadvantage in most places.Many buildings were inaccessible to them,and some were even dangerous. Fortu-nately, this picture is rapidly changing.

Physical conditions that make a build-ing or facility unsafe or confusing or thatprevent physically handicapped peoplefrom using them are called architecturalbarriers. Barrier-free, or accessible, de-sign eliminates or avoids creating suchbarriers. Barrier-free design is frequentlythought of as a way to accommodate afew special people called the handi-capped. The wheelchair symbol, used todesignate public parking spaces, toilets,telephones, and water fountains, tends tofoster the belief that barrier-free design of-fers accessibility mainly to those in wheel-chairs. Actually, barrier-free design bene-fits everyone, because it makes facilitiessafer and more convenient to use.

Barrier-free design benefits not onlythe physically handicapped, but also (1)children who are physically and mentallyimmature, (2) pregnant women who havereduced agility, stamina, or balance, (3)people who care for children and mustcarry them, hold their hands, or maneu-ver their baby carriages, (4) older peoplewho may suffer progressive degenerationof physical, perceptual, and mental fac-ulties, (5) those disabled by size-relateddisorders such as giantism, dwarfism, orobesity, (6) able-bodied people who suf-fer temporary illness or injury, and (7)even able-bodied people who are carry-ing large packages.

Some people are born with a limitedor unusable physical, mental, or sensoryfunction (disability), but even a normallyable-bodied person can become either

temporarily or permanently disabled atany moment as the result of an illness orinjury. Disabilities include visual im-pairment, hearing impairment, mental orperceptual impairment, confinement to awheelchair, and coordination disability.

Nationwide, about 22% of those be-tween the ages of 15 and 64 and about59% of those 65 and older are disabledto some degree. That adds up to about20% of the total population over 15 yearsold, or more than 37 million disabledpeople. Some sources put the number ofdisabled people at more than 43 million.It is most likely that the percentage of dis-abled people will rise in the future, be-cause many people today survive ill-nesses and injuries that were once fatal.In fact, the average life span has in-creased dramatically during the twentiethcentury. In addition, the U.S. populationas a whole is getting older. The numberof people more than 65 years old is pro-jected to grow from a little more than10% of the total population in 1986 tomore than 20% by 2040.

This section divides barrier-free de-sign into four broad categories: (1) safety,(2) general accessibility criteria applica-ble to all buildings, (3) recommendationsapplicable to buildings for people withspecific disabilities, and (4) requirementsfor making buildings adaptable for futureuse by the handicapped.

1.4.1 THE LAW AND APPLICABLE STANDARDS

In the late 1950s, the President’s Com-mittee on Employment of the Handi-capped joined with consumer groups,such as the National Easter Seal Society,and standards makers to develop stan-dards for making buildings accessible tohandicapped persons. The result wasANSI A117.1, which was first publishedin 1961 by the American Standards As-sociation (now ANSI). ANSI A117.1quickly became, and remains today, amajor standard for design for the handi-capped. It is a voluntary standard, ofcourse, having force only when adoptedby a governing body.

In 1968, Congress passed the Archi-tectural Barriers Act, which required thataccess for the handicapped be achievedin accordance with standards to be es-tablished by the GSA, HUD, and the De-partment of Defense (DOD). The rulesthey developed established ANSI A117.1

as the generic standard of access forbuildings owned or leased by the federalgovernment. Enforcement, however, wasspotty at best. As a result, Congresspassed the Rehabilitation Act of 1973,which established the Architectural andTransportation Barriers ComplianceBoard (ATBCB) to enforce the Archi-tectural Barriers Act. The ATBCB issueda document called ATBCB MinimumGuidelines and Requirements.

The various states followed the fed-eral government in passing laws requir-ing that buildings be made accessible tothe handicapped. Unfortunately, many ofthem did not require compliance withANSI A117.1 or with the ATBCB Mini-mum Guidelines, but rather developedtheir own standards. In an attempt to gainwider acceptance, ANSI expanded andreissued A117.1, but it still failed to gainuniversal acceptance. To make matterseven more complicated, different federalagencies required compliance with dif-ferent editions of ANSI A117.1.

In 1984, in the midst of all this con-fusion, GSA, HUD, DOD, and the U.S.Postal Service jointly issued the UniformFederal Accessibility Standard (UFAS).Its purpose was to cause all federal agen-cies to follow the same technical re-quirements for complying with the Ar-chitectural Barriers Act. It was based onthe ATBCB Minimum Guidelines but in-corporated the basic requirements ofANSI A117.1 with some changes and additions.

As a result, various agencies of thefederal government were requiring com-pliance with four different standards, twoversions of ANSI A117.1, UFAS, and theATBCB Minimum Guidelines. In somestates, those four were being used in ad-dition to the state’s own standards. Somestates actually require compliance withmore than one standard. Even at the fed-eral level, compliance with more than onewas required by some agencies.

Gradually the two major standardshave become the latest edition of ANSIA117.1, which at the time of this writingwas ICC/ANSI A117.1-2003, “Standardon Accessible and Usable Buildings andFacilities,” for private sector work andthe UFAS for federal government work,although the others mentioned are still re-quired by some state and local authori-ties. More than half of the states haveadopted some version of ANSI A117.1or incorporated it into their own stan-

DESIGN AND CONTRACTING REQUIREMENTS ■ Barrier-Free Design 23

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dards. The International Codes, all modelcodes, and the NFPA 101 Life SafetyCode incorporate or reference some edi-tion of ANSI A117.1.

The Federal Fair Housing Act of1988, Title VIII of the 1968 Civil RightsAct, prohibits housing discriminationbased on a physical handicap in housingprojects with four or more dwelling units.Basically, it says that everything in suchdwelling units must be adaptable for ac-cessibility by the handicapped, and allpublic areas serving such dwelling unitsmust be accessible. Compliance must bein accord with the Final Fair HousingAccessibility Guidelines published in theFederal Register on March 6, 1991.

The Americans with Disabilities Actof 1990 prohibits discrimination on thebasis of disability in places of employ-ment, public service (transportation fa-cilities), or in public accommodations(restaurants, hotels, theaters, doctors’ of-fices, retail stores, museums, libraries,parks, private schools, day care centers,and others), and in telecommunicationsservices. The standards developed by theATBCB to implement this law differslightly from and expand on ICC/ANSIA117.1 and the UFAS but may ultimatelyincorporate one or the other as the basisof the new standard.

The recommendations in this sectioncome from many sources, but most ofthem comply with the requirements ofICC/ANSI A117.1, the Uniform FederalAccessibility Standards, the HUD Mini-mum Property Standards for Housing,and the HUD document Adaptable Hous-ing. Keep in mind that there are some dif-ferences between these standards, andthat state and local requirements maycontain some other differences. In addi-tion, these standards and the Fair Hous-ing Accessibility Guidelines issued inconjunction with the Federal Fair Hous-ing Act of 1988 are subject to modifica-tion at any time. Therefore, when deal-ing with an actual project, whether for afederal or state agency or for a privatesector owner, it is necessary to determinethe specific requirements of the projectand local, state, and federal laws and or-dinances that dictate the requirements foraccessibility.

Rules for providing accessibility havedeveloped slowly and will no doubt con-tinue to expand and change as more isunderstood about the needs of handi-capped people. Until a single standardemerges, it is a mistake to follow any one

standard alone, or any edition of a stan-dard, before verifying the actual require-ments. It is necessary also to rememberthat both the Federal Fair Housing Act of1988 and the Americans with DisabilitiesAct of 1990 are civil rights laws ratherthan code compliance laws. Accordingly,it is best to comply with their spirit andnot try to circumvent their intent. In theevent of a compliance dispute, a court islikely to favor the intent of the law ratherthan the wording of the standards withwhich it requires compliance.

1.4.2 SAFETY

Many accidents in buildings can betraced to obvious causes, such as slipperyfloors, the lack of grab bars, or inappro-priate or faulty stair railings. Accidentprevention requires elimination of theseobvious causes as well as other measures.Floors that are likely to get wet, such asthose of approach walkways, stoops, en-tryways, corridors, toilet rooms, bath-rooms, shower rooms, locker rooms, andkitchens, should have slip-resistant sur-faces. Throw rugs and area rugs shouldnot be used in public spaces; where theyare appropriate, they should have a non-slip backing.

1.4.2.1 Doors and SidelightsSafety glazing consisting of temperedglass, laminated glass, or plastic shouldbe used in all glazed or glazing-insertdoors and sidelights. Most building codesand regulations require such glazing.

Rounded door and jamb edges or resilient door edges minimize injury tofingers.

1.4.2.2 StairsTo help reduce the many accidents thatoccur on stairs, (1) the number of risersin a series should be at least three, be-cause people are careless on fewer, (2)treads and risers should be uniform, (3)treads should be no less than 11 in. (280mm) wide, measured from riser to riser,and should have a slip-resistant surface,and (4) risers should be not more than 7in. (180 mm) high and should be closed.

NOSINGS

Nosings should project not more than 11/2in. (38 mm), and their undersides shouldbe rounded. The radius at the leadingedge of the tread should not be greaterthan 11/2 in. (13 mm).

HANDRAILS

Handrails should run continuously alongboth sides of a stairway, extend parallelto the floor at least 12 in. (305 mm) be-yond the top and bottom of the staircase,and be free of protrusions that mightsnag clothing. Rails should be securelymounted at a height of 30 to 34 in. (815to 865 mm) from the floor. If childrenregularly use the stairs, an extra railingshould be mounted at a height of 24 in.(610 mm) from the floor. The space be-tween balusters, if present, should be nomore than 5 in. (127 mm) since widerspacings may allow a child’s head to be-come trapped.

LANDINGS

Because long flights of stairs can be tir-ing, a landing should be provided forflights with more than 16 risers.

1.4.2.3 Toilet Rooms, Bathrooms,Shower Rooms, Locker RoomsMost accidents in toilet rooms, bath-rooms, shower rooms, and locker roomsinvolve falls caused by slipping or burnscaused by scalding.

WATER

A person can receive a third-degree burnin just 2 seconds in 150°F (6°C) water, 6seconds in 140°F (65.6°C) water, and 30seconds in 130°F (54.4°C) water. Manypeople have limited sensitivity to heatand may not be able to adequately gaugethe temperature of water in a lavatory,sink, tub, or running shower. Others maynot be able to react quickly enough to asudden surge of hot water.

To prevent scalding, the temperature ofhot water should be regulated by (1) set-ting the temperature of the heated water tobelow 115°F (40.6°C), (2) providing atemperature-regulating device on tubfillers and shower heads, or (3) providinga temperature-regulating device on the hotwater supply lines. The use of either indi-vidual fixture-mounted temperature con-trols or a temperature-regulating device onsupply lines is preferred because otheruses, such as dishwashing and clotheswashing, require temperatures from 120°F(48.9°C) to 140°F (60°C). Fittings areavailable that can be set to maintain a spe-cific water temperature either at the fixtureor at the supply pipe.

In addition, exposed hot water supplyand drain pipes should be wrapped withinsulation to prevent contact burns.

24 Barrier-Free Design ■ DESIGN AND CONTRACTING REQUIREMENTS

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SHOWERS AND TUBS

Nonslip strips should be provided on thebottom surfaces of tubs and showers.Soap dishes, tub fillers, and controlsshould be recessed so that users cannotfall on them.

GRAB BARS

Firmly mounted grab bars should beplaced in and near tubs and showers andadjacent to water closets to help wheel-chair users transfer from the chair to thefixture and to help those with other dis-abilities and the elderly get up and downand maintain their balance.The width ofa grab bar gripping surface should be 11/4to 11/2 in. (32 to 38 mm). The shape ofthe bar should allow a natural grip. Thereshould be no protrusions or rough sur-faces to catch clothing or cause injury.

Bars should be spaced with 11/2 in. (38 mm) clearance from the wall to al-low proper grasping but prevent the armfrom slipping behind the bar.

1.4.2.4 KitchensKitchen accidents, such as burns andfalls, can be reduced by proper planning.

APPLIANCES

More accidents are related to cooktopsand ranges than to any other kitchen ap-pliance. To prevent such injury, cooktopand range controls should be front- orside-mounted so that a cook does nothave to reach over hot burners to adjustthem. When dwelling residents includesmall children, controls should be out ofsight on a horizontal surface and shouldeither have a protective lid or require anextra movement, such as pushing, beforea control can be turned to activate aburner. Electric cooktops should beequipped with a light to indicate thatburners are on.

CABINETS

Reaching for cabinets above refrigeratorsrequires standing on a stool, which pres-ents a falling hazard. Reaching for cabi-nets over cooktops or stoves may causeburns. Therefore, placing cabinets overrefrigerators and stoves is not desirable.

1.4.2.5 Protruding ObjectsObjects, such as telephones, located be-tween 27 and 80 in. (685 and 2030 mm)above a finished floor should not projectmore than 4 in. (100 mm) into a room or

circulation path (see Section 1.4.3.1). Ob-jects mounted at or below 27 in. (685mm) may project any amount becausethey are detectable by a moving cane.Free-standing objects mounted between27 and 80 in. (685 mm and 2030 mm) onposts or pylons may overhang a maxi-mum of 12 in. (305 mm). No projectionshould reduce the clear width of an ac-cessible route or maneuvering space.

When objects project into circulationspaces, a change in texture or a contrastin color of the floor surface can serve as a warning. Such warning devicesshould, however, be used with discre-tion, because overuse will diminish theireffectiveness.

1.4.2.6 LightingSufficient glare-free lighting should beavailable everywhere to meet the varyingintensity needs of different tasks and toeliminate dark shadows that may concealhazards. Changes in light intensity shouldbe gradual so as to give the eyes time toadjust.

The paths people follow to get fromone place to another in the built environ-ment are called circulation paths (seeSection 1.4.3.1). Good, glare-free light-ing in circulation paths, especially thosein potentially hazardous areas such asstairways, is particularly important in thecreation of a safe environment.

1.4.3 GENERAL ACCESSIBILITY

An accessible site, building, facility, orportion thereof is one that complies withcurrent standards and can be approached,entered, and used by physically handi-capped people.

1.4.3.1 Accessible RouteA circulation path is an exterior or inte-rior way of passage from one place to an-other for pedestrians, including, but notlimited to, walks, hallways, courtyards,stairways, and stair landings.

An accessible route is a continuous,unobstructed circulation path connectingevery accessible element and space in afacility that can be negotiated by a per-son with a severe disability using awheelchair and that is also safe for andusable by people with other disabilities.

1.4.3.2 Site PlanningBarrier-free design should include theplanning of accessible site facilities. In-

dividuals with disabilities should have asmuch freedom of movement outside asinside.

Barrier-free buildings demand barrier-free routes of access, including (1) con-venient parking, (2) accessible walks andcurb ramps, (3) suitable paving, and (4)logical organization.

Direct routes should be provided intoa building from public transportation,parking lots, and passenger loading zones.

PARKING

Parking spaces and passenger loadingzones for people with disabilities shouldbe located as close as possible to an ac-cessible entrance and should be identifiedby the international symbol of accessi-bility (Fig. 1.4-1). If an accessible en-trance cannot be seen from the parkingarea, signs should direct users to it.

Accessible parking spaces should beat least 96 in. (2440 mm) wide and havean adjacent access aisle at least 60 in.(1525 mm) wide. Two adjacent spacesmay share one access aisle. Passengerloading zones should have an access aisleat least 48 in. (1220 mm) wide and 20 ft(6100 mm) long, adjacent and parallel tothe vehicle pull-up space.

Curbs between access aisles andwalks should have accessible curb cutsand curb ramps, as described in a fol-lowing section, “Curb Ramps.”


FIGURE 1.4-1 International symbol of ac-cessibility.

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WALKS

Walks and other access paths should beat least 36 in. (915 mm) wide for singlepassage and 60 in. (1525 mm) wide forpassing. Paths that are less than 60 in.(1525 mm) wide should have periodicallyspaced areas where a pedestrian or wheel-chair user can move over to allow pass-ing. The clear passage space should notbe reduced by protruding objects.

Walks should be smooth and nonslip,with gaps of not more than 1/4 in. (6 mm)and level changes of not more than 1/2 in.(13 mm) (see Section 1.4.3.4). Texturalchanges should warn users of levelchanges, projecting objects, and otherhazards.

CURB RAMPS

Curbs define and separate walks from ve-hicular traffic areas. A curb ramp is ashort ramp cutting through a curb or builtinto it to remove barriers for wheelchairtravel. There should be a curb ramp wher-

ever an accessible route crosses a curband the path changes level more than 1/2 in. (13 mm).

Curb ramps should be at least 36 in.(915 mm) wide and should not projectinto vehicular traffic (Fig. 1.4-2c), unlessthere is a safety zone on the roadway.Their slope should be 1:12 or less.

If anyone must cross perpendicular toa curb ramp, the side should be flared ata maximum slope of 1:10 (see Fig. 1.4-2a)or protected by planting strips or someother nonwalking surface (see Fig. 1.4-2b).

Curb ramps should be of a differenttexture than the surrounding passage towarn visually handicapped users of haz-ards. This textural warning area shouldextend for the entire width and depth ofthe curb ramp

PLANTING STRIPS

Figure 1.4-3 shows typical planting strips.These strips are a good way to keep protruding objects and street furniturefrom intruding on a clear accessible path.

Planting strips can be combined withbenches to provide convenient restingplaces for the elderly or for those withlimited stamina (see Fig. 1.4-3b). Haz-ards should be marked with detectablewarnings, as recommended in Section1.4.4.1.

LIGHTING

Proper illumination is just as importantoutdoors as it is indoors. Weatherprooffixtures should provide a minimum of 5footcandles (53.82 lx) of light on thetravel surfaces at entrances, ramps, andsteps. Weatherproof surface or post lightsor floodlights should provide 1 footcan-dle (10.76 lx) and at least 1/2 footcandle(5.38 lx) of light along paths of travel andin parking areas.

ORGANIZATION AND ARCHITECTURAL HARMONY

Frequently used public spaces inside andoutside a building should be easy to findand use. Elements that make buildings


FIGURE 1.4-2 Curb ramps may either (a)start at the curb or walkway and project intothe roadway or (b and c) be curb cuts.

FIGURE 1.4-3 (a) Planting strips help organize and separate street furniture from the pedes-trian path. (b) Rest areas may be integrated with planting strips to provide convenient stop-ping places outside the circulation path.

a b

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accessible, such as ramps, curb ramps,and signs, should blend harmoniouslywith other building elements. Careful de-sign and site development in new con-struction can often reduce the need to add special elements that single out thehandicapped. For example, a single-levelbuilding with appropriately sized doorsand grade-level entrances would requireno ramps, elevators, platform lifts, or spe-cial entrances.

Landscaping also contributes to thesite (Fig. 1.4-4). Care should be taken tochoose plants that do not obstruct theview or leave excessive debris in walk-ways. Use of poisonous and thorny plantsshould be avoided.

1.4.3.3 Entries and PassagewaysEntries should be at grade level or madeaccessible by means of elevators or lifts(see Section 14.1). Doorways shouldhave a minimum clear opening of 32 in.(815 mm) with the door open 90 degrees,measured from the face of the door to theopposite stop.

Hallways and corridors should be atleast 36 in. (915 mm) wide. Where a dooropens into a corridor, the corridor shouldbe 54 in. (1370 mm) wide. Corridorswhere wheelchair users must pass eachother or where wheelchairs must turnaround should be 60 in. (1525 mm) wide.

1.4.3.4 RampsPassageways and walks are said to blendto a common level when their various

portions meet in such a way that there isno abrupt rise or drop in the surface.Level changes up to 1/2 in. (6 mm) highneed no edge treatment; those between1/4 in. (6 mm) and 1/2 in. (13 mm) shouldbe beveled with a slope no greater than1:2. Level changes greater than 1/2 in. (13 mm) require a ramp in order to be ac-cessible by wheelchair users (Fig. 1.4-5)and to provide easier passage for thosewho must use crutches, canes, or walk-ers. Ramps are the primary means bywhich wheelchair users enter buildingsthat do not have level entryways.

A ramp is a walking surface in an ac-cessible space that has a running slopegreater than 1:20. A running slope is theslope of a pedestrian way that is parallelto the direction of travel. Conversely, across slope is the slope of a pedestrianway that is perpendicular to the directionof travel.

Ramp slopes should be as gradual aspossible. The maximum slope should be1:12, but more permissive ramp dimen-sions are sometimes allowed for existingconstruction where space limitations prevent the use of this preferred slope.The maximum rise for a ramp is 30 in.(760 mm); minimum clear width is 36 in.(915 mm).

Level landings at least as wide as theramp itself and at least 60 in. (1525mm) long should be provided at the topand bottom of each ramp. Landings arealso necessary at intermediate levelswhere the rise of a ramp exceeds 30 in.(760 mm). If a ramp changes direction,the landing should be a minimum of 60by 60 in. (1525 by 1525 mm). Thewidth of the platform at a switch-backramp should be at least as wide as thewidth of the two ramp portions plus the width of the space between them(Fig. 1.4-6).

The surfaces of ramps and landingsshould be slip resistant and should notcollect water. Their edges should have


FIGURE 1.4-4 An attractively landscaped, fully accessible space provides a pleasant meet-ing area for everyone.

FIGURE 1.4-5 Ramps can be made to blendwith other building elements. FIGURE 1.4-6 Layouts and sizes of flat platforms at ramps. For clarity, railings are not shown.

c01.qxd 9/11/06 9:15 AM

curbs, walls, railings, or other protectionto prevent people from falling.

Handrails should be provided on bothsides of ramps that rise more than 6 in.(150 mm) or are longer than 72 in. (1830mm). Handrails should (1) extend at least12 in. (305 mm) beyond the top and bot-tom of a ramp, (2) be parallel with theramp, (3) have a clear space of 11/2 in.(38 mm) between the handrail and anyadjacent wall, and (4) be 30 to 34 in. (760to 865 mm) above the ramp surfaces. In-side handrails on switch-back or doglegramps should be continuous.

Because many handicapped peoplefind it easier to negotiate stairs thanramps, both should be provided in build-ings with an above-ground-level entry.

1.4.3.5 StairsStairs should comply with the require-ments stated in Section 1.4.2. In addition,there should be detectable warnings (see“Texture” in Section 1.4.4.1) at least 36in. (915 mm) wide at the top of every stairrun. Stairs should have closed risers ofuniform height, treads should be slip re-sistant, and nosings should not be squareor abrupt.

Steps and landings should have sharpcolor contrasts to help people with lim-ited sensitivity to light and dark and lim-ited depth perception. It is also helpful if

the edge of a stair contrasts with the restof the tread.

1.4.3.6 SignageSignage is defined as verbal, symbolic,and pictorial information presented in agraphic, two-dimensional format.

Informational and warning signs shouldbe easy to find and to read; that is, (1) theyshould be positioned as close as possibleand perpendicular to the path of travel, (2)the information on them should contrastwith the background, and (3) they shouldbe made of glare-free materials.

Signage should also have a consistentformat or use international symbols.

LOCATION AND VIEWING DISTANCE

Most people can see within an angle of30 degrees to either side of the centerlineof their faces without moving their heads.People with disabilities often have lim-ited head movement or reduced periph-eral vision. Therefore, signs should bepositioned as close as possible and per-pendicular to the path of travel. Signsclose enough to touch should be posi-tioned for easy hand detection by a stand-ing person, 54 to 60 in. (1372 to 1524mm) from the floor.

The distance from which a sign willbe read determines the size of the letters,numbers, and symbols used on it.

DESIGN AND PROPORTION OF LETTERS,NUMBERS, AND SYMBOLS

Letters and numbers should be of sansserif (block) type and should be sized and proportioned as recommended inFigure 1.4-7.

Characters on signs that must be readfrom a distance should be large enoughto be read easily from the maximumviewing distance expected. Characters onsigns close enough to touch should beraised at least 1/32 in. (0.8 mm) from theirbackground. They should also be at least5/8 in. (16 mm) tall, but no taller than 2 in. (50 mm), and have a stroke width of at least 1/4 in. (6 mm) in order to be easily detectable by one finger (Fig. 1.4-8).

The raised characters on each signclose enough to touch must be accompa-nied by grade 2 Braille. Braille is a spe-cial raised touch alphabet for the blindthat uses a cell of six dots. Unfortunately,only about 10% of those with visual im-pairments can read braille, but raisedArabic symbols can be read by anyone, re-gardless of visual handicap. To aid thosewho can read it, braille characters in thestandard dot size and spacing may beadded to the left of standard characters.

Borders, which may confuse a readerwith a visual impairment, are not recom-mended on signs.


1/32"

(0.8mm)

2"

(50

.3 m

m)

50

" m

axi

mu

m(1

27

0 m

m)

5/8

"(1

5.9

mm

)1

6"

min

imu

m(4

06

.4 m

m)

Stroke width-to-heightratio 1:5 to 1:10

Character height-to-width ratio3:5 to 1:1

Character shall have well-defined square edges.

a b

FIGURE 1.4-7 (a) Proportions of letters expressed as a ratio; (b) dimensions of letters for signs close enough to be touched.

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COLOR CONTRAST

The background and characters on a signshould contrast. Dark characters may beused on a light background, but lightcharacters on a dark background are moreeasily readable. Surfaces should be glarefree.

1.4.3.7 SurfacesFloor surfaces should be nonslip. Whenpracticable, they should be carpeted toadd the advantage of noise reduction,which helps those who must use hearingaids.

Carpet should (1) be securely at-tached, (2) have either a firm backing orno backing, and (3) have a pile height notin excess of 1/2 in. (13 mm) so that it re-mains usable by those in wheelchairs.Shag carpets should be avoided. Carpetsshould be of antistatic materials ortreated to be static free, because staticelectricity interferes with hearing aid op-eration. Humidifiers may be used to helpcontrol static electricity. Exposed carpetedges should have carpet trim along theentire carpet length.

1.4.3.8 ElectricalElectrical outlets should be centered atleast 15 in. (380 mm), and preferably 24in. (610 mm), above the floor.

The best height for wall switches iscentered 48 in. (1220 mm) above thefloor, but they should never be placedhigher than 54 in. (1370 mm) above thefloor. Where persons in wheelchairs willapproach from a forward position, as isthe case when switches are located overcounters with knee spaces, switchesshould be centered between 36 and 40 in.

(915 and 1016 mm) above the floor. Inno case should switches and outlets overcounters be placed more than 48 in. (1220mm) above the floor.

Lighting should be as described inSections 1.4.2 and 1.4.3.2.

1.4.4 SPECIFIC HANDICAPS

The kinds of specific handicaps discussedin this section include (1) visual impair-ments, (2) hearing impairments, (3) men-tal and perceptual impairments, (4) dis-abilities that require the use of awheelchair, and (5) coordination disabil-ities.

Designs that remove barriers for peo-ple with one kind of disability sometimescreate barriers for those with a differenttype of disability. For example, curbramps (see Fig. 1.4-2) installed to permiteasy street crossings for wheelchair userscan cause a person with a visual impair-ment to wander unknowingly into auto-mobile traffic. Both environmental needscan be met by providing a textured pave-ment that will act as a warning to thosewith visual impairments but will not im-pede wheelchair travel.

The recommendations in Sections1.4.2 and 1.4.3 apply to spaces for thosewith specific handicaps, but the more de-manding provisions discussed in this sec-tion are also necessary to accommodatespecific disabilities.

1.4.4.1 Visual ImpairmentOnly about 10% of those with visual dis-abilities are totally blind. Legal blindnessis usually defined as vision at or below20/200. Some of those with visual dis-abilities have impaired peripheral vision;others cannot distinguish light and dark;some cannot perceive the full spectrumof colors.

Many people who have a visual im-pairment rely on memory instead of theireyes. They use a long cane, a guide dog,or other devices such as an infrared de-tector as aids for traveling to specific des-tinations. These destinations have oftenbeen explored with the help of someonewith sight. Dwelling units may need lit-tle adaptation, because those with visualimpairments become familiar with theirsurroundings.

Persons with visual impairments learnto rely to a certain extent on tactile response(touch). A tactile object is one that can beperceived using the sense of touch.

SIGNAGE

The proper type of signage is a very im-portant means of communication for vi-sually handicapped people. This signageshould follow the rules set down in Sec-tion 1.4.3.6.

TEXTURE

A cue is a device that alerts a handicappedperson to an upcoming condition. Cuesmay be audible, visual, or textural. A cuethat consists of a standardized surface tex-ture applied to or built into a walking sur-face or other element, to warn visually im-paired people of a hazard in the path oftravel, is called a detectable warning.

Detectable warnings help those with vi-sual impairments to avoid hazards such asautomobile traffic, level changes, andphysical obstacles. Detectable warnings onwalking surfaces include (1) exposed ag-gregate concrete, (2) rubber or plastic cush-ioned surfaces, (3) raised strips, and (4)grooves. Textures used for warning shouldcontrast with surrounding surfaces butshould be uniform in design within anybuilding or site. Grooves should be usedindoors only. Handles on doors leading tohazardous areas (such as spaces housingmechanical equipment) should be knurledor roughened as a warning.

OBSTACLES

Benches and other obstacles in the directpath of travel should be surrounded bydetectable warnings to aid those with vi-sual impairments, unless the obstacles areencircled by other indicators such ascurbs (Fig. 1.4-9).


FIGURE 1.4-8 A sign with raised letteringcan be read by both those with normal sightand those with visual impairments.

FIGURE 1.4-9 The textured surface aroundthe planter and the bench serves as a warn-ing to those with visual impairments.

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PROJECTIONS

Many people with severe visual impair-ment use white canes to aid their mobil-ity. However, the cane technique is use-ful only if hazards are detectable. Referto Section 1.4.2 for requirements relatedto projecting objects.

SOUND

An audible cue is a sound or verbal alert.These are other means of helping thosewith visual impairments. Audible alarmsshould be incorporated into emergencywarning systems. Alarm signals shouldbe at least 15 decibels (dB) louder thanthe room’s normal sound level but shouldnot exceed 120 dB.

1.4.4.2 Hearing ImpairmentThere are more than 13,000,000 peoplein the United States with partial or totalhearing loss. Just as sound compensatesthose with visual impairments for the lossof sight, visual cues help those with hear-ing impairments to make up for their loss.

WARNING AND INDICATION LIGHTS

Emergency signals, such as fire and bur-glar alarms, should have visual as well asaudible warning systems. These shouldbe located so that the signal or its reflec-tion is clearly visible and should flashwith a frequency of not more than 5 cy-cles per second (Hz).

Elevator directional lights should beat least 21/2 in. (63 mm) in the smallestdimension and should be mounted at least72 in. (1830 mm) above the floor. Referto Section 14.1 for additional require-ments.

SOUND

Control of background noises and ampli-fication of sound can help those with par-tial hearing loss to communicate.

For hearing aids to function properly,reduction of background noise, includingreverberation, and control of sound fre-quencies are important. Use of ultrahigh-frequency sound security systems andlow-cycle electric transformers should beavoided. Further information may befound in Section 13.1 and in Chapter 18.

Wheelchair-accessible telephones and25% of all other telephones must be fittedwith adjustable volume controls and otherdevices. Such telephones in public areasmust be identified as such (Fig. 1.4-10a).

Text telephones (TTYs) are requiredin some locations. Where TTYs are re-

quired by the applicable standard (ICC/ANSI 117.1 or USAF) in public areas, theymust be identified by a sign bearing the in-ternational TTY symbol (Fig. 1.4-10b).

1.4.4.3 Mental and Perceptual ImpairmentClear signage and good organization areespecially important for those who arementally immature or who have percep-tual or cognitive disabilities.

If people must frequently ask for the lo-cation of a commonly used facility such asa washroom, that environment may have abarrier. Many individuals with disabilitiesare self-conscious and will not ask for help;if they feel uncomfortable in a facility, theyoften will not use it. Public facilities shouldbe easy to locate and to utilize.

SIGNAGE

It is especially important to those withmental impairments that signs be easy tolocate and to read. The basic require-ments for signs are discussed in Section1.4.3.6. Many individuals with mentalimpairments who are unable to read learnto recognize information by word length.For example, women is a longer wordthan men. Use of the words ladies andgentlemen may confuse those familiarwith the three- and five-letter words.

ORGANIZATION

The location of specific rooms within anarea should be clearly identified. If cor-ridors in different areas are similar in ap-pearance, an effort should be made to create landmarks using color or otherdecoration. Stairways and other circula-tion areas should be clearly identified orsited in highly conspicuous locations.

1.4.4.4 Wheelchair UsersThe abilities of wheelchair users differwidely. Disability may affect only thelegs or may involve the entire body.Pressure sores, muscle atrophy, andblood pooling are frequent problems.Paralysis reduces the muscle tone of the affected area. Barrier-free environ-ments encourage mobility, and the ex-ercise gained helps prevent additionalmedical problems.

WHEELCHAIR ACCESS

Most adult-sized wheelchairs are of astandard size; some special wheelchairsmay be larger. Wheelchairs need an ac-cessible route from parking spaces or busstops to the interior of a building andwithin the building to the final destina-tion of the wheelchair user.

Site Access Refer to Sections 1.4.3.2and 1.4.3.4 for requirements.

Elevators and Lifts Unless everyspace is accessible by level movement,or ramps or other vertical means of ac-cess are provided, elevators or platformlifts should be provided for wheelchairusers. In some applications, chair-typestair lifts can be provided to assist per-sons who cannot readily climb stairs,when the stairs cannot be eliminatedand elevators or platform lifts cannot beprovided.

Entries and Passageways Refer to Sec-tions 1.4.2 and 1.4.3.3 for requirementsfor doors, hardware, and thresholds. Fig-ure 1.4-11 shows the recommended min-imum approach spaces necessary for con-venient maneuvering of wheelchairs atdoorways.

Wheelchair users frequently use thewheelchair itself to push a door open,scuffing or scratching the door. There-fore, the bottom 10 in. (255 mm) of hingedaccessible doors should have a smooth,hard-surface kickplate (Fig. 1.4-12).

ROOM SIZE AND ARRANGEMENT

Accessible spaces for wheelchair usersshould be on one level and have adequatecirculation and maneuvering space. Win-dows and doors should be located so thatfurniture arrangements do not obstructwheelchair circulation.

The minimum clear floor area that willaccommodate a wheelchair is 30 by 48 in.(760 by 1220 mm). The minimum diame-


FIGURE 1.4-10 (a) Sign identifying a vol-ume-adjustable telephone for those withhearing impairments; (b) international TTYsymbol. (From CD-ROM version 3.0 of ArchitecturalGraphic Standards. Courtesy John Wiley & Sons, Inc.)

ba

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ter needed for a wheelchair user to executea 180 degree turn is 60 in. (1525 mm).

Figure 1.4-13 shows examples of ac-cessible bedroom plans. In an accessibledwelling, at least two bedrooms shouldbe on the main level.

TOILET ROOMS, SHOWER ROOMS, AND BATHROOMS

Wheelchair users should be able to enterand use toilet, shower, and bathroom fa-cilities without squeezing past obstruct-ing fixtures or doorways.

Clear Floor Space Accessible toiletrooms, shower rooms, and bathroomsshould have the recommended clearancesaround plumbing fixtures and controls.Ideally, an accessible facility should havea clear floor area 60 in. (1525 mm) in di-ameter so that a wheelchair user canmake a 180 degree turn. The clear floorspaces of the fixtures, controls, and turn-ing space may overlap.

Doors Doors should have a minimumclear opening of 32 in. (815 mm). Doorsshould not swing into the clear floor areaof a fixture or obstruct entrance to theroom. If a door must swing out, it shouldnot obstruct passage through a corridoror any other circulation space.

Water Closets Water closets in an ac-cessible public toilet room should be 17to 19 in. (430 to 484 mm) high measuredto the top of the toilet seat. In a dwelling,the seat height should be at least 15 in.(380 mm). The bowl should be centered16 to18 in. (405 to 455 mm) from eachside wall.

Lavatories Lavatories should bemounted so as to provide at least 29 in.(735 mm) of knee space to the undersideof the apron. Exposed water pipes that in-

trude into the knee space should bepadded and insulated.

Mirrors Mirrors should be mountedwith the bottom edge not higher than 40in. (1015 mm) from the floor. Medicinecabinets should be mounted with a usableshelf not higher than 44 in. (1120 mm)above the floor.

Bathtubs and Showers Depending onthe location of the bathroom door, a bath-tub should have a clear floor space 30 to48 in. (760 to 1220 mm) wide and 60 to72 in. (1525 to 1905 mm) long. Showersshould have a clear floor space at least36 in. (915 mm) wide and 48 in. (1220mm) long for transfer stalls and 60 in.(1525 mm) long for roll-in stalls.

Seats should be provided in bothtransfer shower stalls and tubs. In showerstalls the seat should extend the full depthof the stall on the wall opposite the controls.

A shower spray unit that can be usedeither as a fixed shower head or a hand-held shower should be provided. Thehose should be at least 60 in. (1525 mm)long.

Curbs in shower stalls 36 in. (915 mm)square should be no higher than 4 in. (100mm). Stalls, such as those 30 by 60 in.(760 by 1525 mm), that allow a wheel-chair to be rolled in should not havecurbs, but may have a maximum 1/2 in.(13 mm) threshold.

Enclosures on bathtubs and showersshould not obstruct the use of controls orthe transfer from wheelchairs to seats.

Faucets The controls on bathtubs,showers, and lavatories should be withincomfortable reach of a wheelchair user.Controls such as handle and drain mech-anisms should be operable with one handand not require tight grasping or twisting.


FIGURE 1.4-11 Minimum clear floor spaceat doors: (a) front approach, (b) hinge side ap-proach, and (c) latch side approach.

FIGURE 1.4-12 An abrasion-resistant kick-plate of stainless steel or hard plastic shouldprotect the lower 10 in. (254 mm) of doorsintended for wheelchair users.

a

b

c

FIGURE 1.4-13 Minimum dimensions for accessible bedrooms.

Single bed Double bed

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STORAGE

A clear floor space at least 30 by 48 in.(760 by 1220 mm) should be providednear storage areas. Closet rods should bemounted not higher than 54 in. (1370mm) above the floor.

KITCHENS

Suitable kitchen appliances, proper coun-tertop heights, and adequate circulationspace are the primary requisites of awheelchair user’s kitchen.

Clear Floor Space The minimum clearfloor space between opposing base cabi-nets, countertops, appliances, and wallsshould be 40 in. (1015 mm), unless thekitchen is U-shaped. U-shaped kitchensshould have 60 in. (1525 mm) of clearfloor space between opposing cabinets(Fig. 1.4-14). Clear floor space of 30 by48 in. (760 by 1220 mm) should be pro-vided at appliances such as a cooktop,oven, refrigerator, and dishwasher.

Controls Knobs, faucets, and appliancecontrols must be within comfortablereach and operable with one hand.

Counters One 30 in. (760 mm) sectionof counter, intended for food preparation,should be adjustable to a range of heights,including at least three positions: 28, 32,and 36 in. (710, 815, and 915 mm).

There should be no cabinets under theadjustable counter, and it should have aclear knee space 30 in. (760 mm) wideby 19 in. (485 mm) deep over a finished

floor space. Counter thickness and sup-ports should be 2 in. (50 mm) maximumover the necessary clear space. The un-derside of the counter should not haveany sharp protrusions or rough surfaces.

Appliances Refer to Section 11.1.2 foraccessibility requirements for kitchen ap-pliances.

Cabinets Both base and wall cabinetsshould be reachable from a wheelchair.At least one continuous shelf in the cab-inets above a work counter should not behigher than 48 in. (1220 mm). Upper cab-inet doors should have pulls located asclose to the bottom as possible; base cab-inets should have pulls located as closeto the top as possible. Because of the ne-cessity for knee space, cabinets shouldnot be built under counters. Instead,pantries should be used for storage. Theyshould have storage below the 54 in.(1370 mm) height and a clear space of 30by 48 in. (760 by 1220 mm).

Pull-out shelves in base cabinets, andlazy Susan rotating corner units arehighly recommended.

Sinks Sink heights should be adjustableto 28, 32, and 36 in. (710, 815, and 915mm). The minimum width of a countersurrounding a sink should be 30 in. (760mm). Plumbing should be roughed in forsinks mounted at the 28 in. (710 mm)height. Counter thickness and supportsshould be 2 in. (50 mm) maximum overthe necessary clear space. A sink bowlshould be not more than 61/2 in. (165mm) deep; in a double-bowl sink onlyone of the bowls needs to be so shallow.

Faucets should be at the side of thesink and operated by a single lever control.

ELECTRICAL

The location of electrical outlets andswitches should be as described in Sec-tion 1.4.3.8. Lighting requirements arediscussed in Section 1.4.2.

1.4.4.5 Coordination DisabilitiesCoordination disabilities include bal-ance, leg, upper limb, and flexibility im-pairments. Many people have problemswith balance, stamina, and coordination,which do not confine them to a wheel-chair but do limit their use of an envi-ronment. They may have difficulty walk-ing and may need aids such as walkers

or crutches, which require approximatelythe same amount of space as wheelchairs.Others may have difficulty bending, sit-ting, kneeling, or rising; still others mayfind it difficult to push open doors or turnknobs and faucets.

The needs of those with coordinationdisabilities and the needs of the elderlyfrequently overlap. However, youngerpeople with disabilities do not want to be associated or housed solely with theelderly.

ENTRY AND CIRCULATION

People who use walking aids need thesame amount of circulation space asthose who use wheelchairs. Many peoplewith coordination disabilities prefer stairsto ramps because ramps are more tiringto use. However, ramps may be benefi-cial to crutch and walker users who can-not negotiate stairs as easily. Rampsshould be constructed according to thecriteria established in Section 1.4.3.4.Wherever possible, both stairs and rampsshould be provided.

SURFACES

Unevenness, raised joints, and debris canbe hazardous to those with walking dis-abilities. Surfaces should be kept free ofdebris; joints and level changes should beless than 1/4 in. (6 mm).

1.4.4.6 The ElderlyAccessibility recommendations for theelderly overlap those for wheelchair usersand persons with coordination disabili-ties. Sensory losses accelerate at variousages. For example, hearing starts to di-minish at 40; vision, at 50; taste, between55 and 60; smell, after 70. The actual agesand degree of loss vary considerably.

The elderly have a higher rate of vi-sual impairment than those in other agegroups. Age impedes the eyes’ abilityto change focus, adjust to suddenchanges in light intensity, and functionat low levels of light intensity. For ex-ample, an 80-year-old may need threetimes as much light for comfortablereading as a 16-year-old. As it ages, thelens of the eye becomes increasinglyrigid, yellow, and opaque. This processaffects the ability to discern color, es-pecially blues and greens, and to dis-tinguish between colors such as pinkand lavender. With aging, depth per-ception decreases and glare becomes agreater problem.


FIGURE 1.4-14 Minimum clearances be-tween opposing cabinets in (a) parallel and(b) U-shaped kitchens.

b

a

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Aging also increases hearing loss, reducing the ability to hear sounds in general and high-frequency sounds inparticular.

The cushioning of the foot degener-ates with advancing age. This loss cancause pain and contributes to the shuf-fling gait characteristic of many elderlypeople (Fig. 1.4-15).

The mobility of the elderly variesfrom complete ambulatory freedom towheelchair confinement. Entries andother access facilities should be barrier-free for elderly persons, including wheel-chair users. Only the criteria that add toor differ from those established forwheelchair users will be mentioned inthis section.

SIGNAGE

Many elderly people suffer visual im-pairment, and others may be easily con-fused; signage and lighting should con-form to the recommendations outlined inSections 1.4.3.6 and 1.4.4.1.

ROOM SIZE AND ARRANGEMENT

Recommended room sizes for the elderlyare greater than the minimums specifiedfor wheelchair users. This is partially be-cause the elderly sometimes have coor-dination problems that make it more dif-ficult for them to maneuver a wheelchair

within the minimum spaces recom-mended for other wheelchair users.

The criteria for corridor widths andfloor surfaces should follow those indi-cated in Sections 1.4.3.3 and 1.4.3.7, respectively.

COLOR AND TONE

As mentioned earlier, changes in the eyelens caused by aging often affect colorperception. It may be difficult for someelderly people to distinguish between thelight tints of pastel colors such as blue,lavender, and pink, and sometimes evenbetween dark colors such as navy, brown,and charcoal. Therefore, the selection ofcolors for elderly persons should empha-size objects against their background. Examples include light entry–dark doorjamb and light floor–dark furniture.

ELECTRICAL

Electrical outlet and switch locations andlighting requirements should be as de-scribed in Section 1.4.3.8.

BATHROOMS

Because the elderly may have to use awheelchair at times, bathroom require-ments should be the same as for wheel-chair users.

KITCHENS

The requirements for kitchens used bythe elderly vary. Some of the elderly are reasonably able-bodied; others usewheelchairs. Kitchens for the elderlygenerally should follow the recommen-dations for adaptable kitchens (see Sec-tion 1.4.5), thus permitting ready alter-ations to suit the specific needs of theoccupants.

Kitchen storage should be accessiblewithout endangering the safety of the eld-erly. Because not all of the elderly arewheelchair users, the use of wall cabinetsis acceptable. However, these are not rec-ommended above a refrigerator or cook-top. Pantries are an excellent means ofproviding safe and accessible storage.Base cabinets should have pull-outshelves and corner lazy Susans to makeitems in them more accessible.

1.4.5 ADAPTABILITY

Most people with disabilities resent be-ing segregated into housing built specif-ically for the handicapped. They prefermainstreaming, a process which (1) equips

people who have disabilities with the per-sonal devices and adaptive skills needed tofunction effectively in the built environ-ment and (2) removes physical barriers thatprevent handicapped people from func-tioning like able-bodied individuals.

Current laws and regulations requirethat most types of buildings be made fullyaccessible to handicapped people. Otherlaws and regulations have been proposedthat would mandate making new housingalso fully accessible. When they take ef-fect, the following discussion may be-come moot. Until then, however, one wayto prevent the segregation of people whobecome disabled into housing preparedspecifically for handicapped people is tobuild adaptable buildings. An adaptablebuilding is one that can be modified tosatisfy the needs of an occupant’s phys-ical limitations with ease and without ex-cessive costs. The kinds of elements thatmay be modified or added in an adapt-able house, for example, include, but arenot limited, to kitchen counters, sinks,and grab bars.

Adaptability for wheelchair users re-quires the most modification and shouldtherefore receive the greatest attention inthe design process.

The recommendations in Sections1.4.2 and 1.4.3 apply fully to adaptablebuildings. In general, adaptability re-quires that the following design require-ments be followed.

1.4.5.1 EntriesWhen practicable, entrances should be atgrade level so that ramps or stairs will notbe needed. When this is not practicable,an adaptable dwelling can be on a levelaccessible by a ramp or an elevator orplatform lift.

DOORS

Passage doors should have a minimumclear opening of 32 in. (815 mm) with thedoor open 90 degrees, measured from theface of the door to the opposite stop.

Hardware Door knobs, handles, pulls,latches, and locks should have a shapethat is easy to hold with one hand anddoes not require tight grasping, pinching,or twisting. Extensions are available thatadapt a regular door knob for people withmanual disabilities such as those causedby arthritis.

Thresholds Thresholds on exterior slid-ing glass doors should not be higher than


FIGURE 1.4-15 The foot of a younger person(a) contains more cushioning material at pres-sure points than that of an older person (b).

a

b

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3/4 in. (18 mm). A recessed track is pre-ferred where suitable, such as for interiorsliding doors. Thresholds on hinged pas-sage doors should not exceed 1/2 in. (13mm) in height and should be beveled. Ex-terior doors should have weather strip-ping applied to the bottom edge of thedoor, because weather stripping appliedto thresholds can present a tripping haz-ard (Fig. 1.4-16).

1.4.5.2 Room Size and ArrangementA single-level dwelling is the preferredtype for adaptability. Rooms should belarge enough to permit convenient furni-ture arrangement and wheelchair maneu-vering. Most living rooms, dining rooms,and bedrooms already meet the require-ments for adaptability. Bathrooms andkitchens require the most modification.

CORRIDORS

Hallways and corridors should be a min-imum of 36 in. (915 mm) wide. If a dooropens into a corridor, the passage widthshould be 54 in. (1370 mm); corridorswhere people must pass each othershould be 60 in. (1525 mm) wide.

BATHROOMS

An adaptable bathroom has the appear-ance of a conventional bathroom but withthe layout and clearances suitable forlater adaptation to the needs of those withdisabilities.

Clear Floor Space A typical bathroomshould have a minimum width of 60 in.(1525 mm). Clear floor spaces around fix-tures should be as shown in Figure 1.4-17.

Doors Bathroom doors should have aminimum clear opening of 32 in. (815mm); doors should not swing into the

clear floor space around fixtures or ob-struct entrance into the bathroom.

Bathroom doors can be rehung toopen out in order to gain the necessaryclear door space, but should not obstructcorridors or other circulation space out-side the bathroom.

Lavatories Lavatories should be mountedso as to provide at least 29 in. (735 mm)of clearance from the floor to the under-side of the apron. The clear floor spaceshould be at least 30 in. (760 mm) wideby 48 in. (1220 mm) deep; the lavatorybasin should take no more than 19 in.(485 mm) of that depth, and pipes shouldnot protrude into the knee space.

Water Closets Water closet seats shouldbe at least 15 in. (380 mm) above thefloor. Clear floor space and structuralwall reinforcement for grab bars shouldbe provided.

Mirrors The bottom edge of mirrorsshould be mounted not higher than 40 in.(1015 mm) above the floor. Medicinecabinets should be mounted with at leastone usable shelf not higher than 44 in.(1120 mm) above the floor.

Bathtubs and Showers Depending onthe location of the bathroom door, bathtubs and showers should have ade-quate clear floor space to accommodatewheelchairs.

Structural wall support and floorspace should be provided so that grabbars and a seat can be readily installedfor a resident with a handicap. A flexi-ble-hose shower unit that can be used aseither a fixed or hand-held head shouldbe provided. Shower stalls 36 by 36 in.

(915 by 915 mm) should have curbs nothigher than 4 in. (100 mm). Stalls 30 by60 in. (760 by 1525 mm) should not havecurbs so that a wheelchair may be rolledin; a 1/2 in. (13 mm) threshold is permis-sible, and the stall floor should be pitchedslightly toward the drain to help avoiddrainage problems.

Grab Bars Structural reinforcement orother provisions should be provided nearbathroom fixtures in the locations wheregrab bars would be installed.

KITCHENS

Adjustable-height counters, sinks, andcooktops, and adequate circulation spaceare the key elements of an adaptablekitchen that allow a wheelchair user tomaneuver freely within the space.

Clear Floor Space Clear floor space re-quirements are the same as those forwheelchair users (see Section 1.4.4.4).

Counters One section of counter 30 in.(760 mm) wide should be capable of be-ing repositioned to heights of 28, 32, and36 in. (710, 815, and 915 mm) to providea comfortable area for food preparation.Cabinets may be mounted under the ad-justable counter, but should be readily re-movable in order to provide the neces-sary knee space for a wheelchair user.

Appliances Appliances in adaptablekitchens should fulfill the accessibilityrequirements indicated in Section 11.1.

Cabinets Wall cabinets should havepulls located as close to the bottom aspossible; base cabinets should have pullslocated as close to the top as possible.


1/2

"(1

3 m

m M

ax.

)

1

/2"

(13

mm

Ma

x.)

FIGURE 1.4-16 Thresholds.

FIGURE 1.4-17 Recommended minimum dimensions for accessible bathrooms.

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Cabinet pulls should be smooth androunded, without any sharp edges orpointed projections. Because storage un-der adjustable spaces may have to be re-moved, pantry storage is very desirable.Other helpful devices are lazy Susans forcorner cabinets, pull-out shelves in basecabinets, and cutting boards with mixingbowl cutouts.

Sinks The requirements for sinks arethe same as those outlined in Section1.4.4.4, except that cabinets may bemounted under the sink; however, theyshould be removable in order to providethe necessary knee space for a wheelchairuser.

FLOORS

Flooring should be nonslip even whenwet.

ELECTRICAL

Lighting should be as described in Sec-tion 1.4.2. Electrical outlet and switch lo-cations should be as indicated in Section1.4.3.8.

COST

When practicable, new dwellings shouldbe made adaptable, because the cost ofmaking an adaptable dwelling suit theneeds of a wheelchair user is small in com-parison with the cost of retrofitting an ex-isting conventional house. In addition,making a house adaptable does not in anyway harm its use by the able-bodied.

1.5 SustainableBuilding Design

Until relatively recently, architects andconstructors have had a tendency to takelittle notice of the extensive use of mate-rials, some of them nonrenewable, intheir building projects. It seemed that thesupply of wood, for example was inex-haustible. Electricity and fuel oil wererelatively inexpensive. Architects tried topreserve the natural environment adja-cent to their buildings as much as waspracticable, but often took little notice ofthe environmental impact of the buildingmaterials they were specifying. The ex-hausting of irreplaceable materials in themaking of building products was more or

less ignored, as were the production ofwaste as a result of the manufacturing ofthese products and the introduction oftoxic by-products to the air, water, soils,and people. Only recently have we be-come more aware of the need to conserveboth materials and energy in constructingour environment.

Recent studies have shown that forevery 10.76 sq ft (1 m2) of building131,000 Btu (138.2 million J) of energyare expended, 815 lb (369.7 kg) of greenhouse gasses are produced, and 132 lb(59.9 kg) of solid waste go into a land-fill. These amounts do not include the effects of building operations after con-struction.

As our awareness has grown, we havestruggled with the means to effect thekinds of changes necessary to preservethe environment without making build-ings too expensive to build. Slowly, theterms green buildings and sustainabilityhave come into vogue, but there havebeen no consensus definitions of them.Before architects could effectively designgreen buildings, there had to be a com-mon standard of measurement for them.It was first necessary to define the prob-lem in a way that was understandable tobuilding professionals and the publicalike.

The purpose of producing green orsustainable buildings is to meet the needsof the present society while preservingthe ability of future generations to meettheir own needs. To design sustainablebuildings, it is necessary to think in termsof integrated whole-building design.Other than small residential and com-mercial projects, most buildings todayare designed in several separate seg-ments. Architects are the designers of theoverall building; structural engineersmake buildings stand up; and the me-chanical, plumbing, and electrical serv-ices necessary are the responsibility ofthe architect’s mechanical, plumbing,and electrical engineering consultants.Other consultants design other portionsof a building. The architect coordinatesall of their work. It is difficult to producesustainable buildings using these meth-ods. Buildings use too much power, theiruseful life span is reduced, and they arenot easily brought up to date when newmethods and systems arrive. As de-pletable materials become less plentiful,not only will the cost of producing build-ing materials increase, the environmentwill become more toxic and less livable.

To remedy this situation, architects mustincorporate resource conservation intotheir design philosophies, and architects,engineers, and constructors must provideenvironmental leadership in the buildingindustry. They and governmental agen-cies together must raise consumer aware-ness of the benefits achieved by the pro-duction of green buildings, and they muststimulate competition among buildingproduct producers to provide productsthat are less stressful of the environment.Doing so will increase the availability ofrelatively inexpensive green building materials.

1.5.1 LEED®

The best current attempt to alleviate thelack of standards for green buildings isthe LEED program developed by the U.S.Green Building Council (USGBC). Withcontributions from representatives ofmost segments of the building industry,the USGBC developed the LEED pro-gram, and continues to contribute to itsevolution. LEED is an acronym for“Leadership in Energy and Environmen-tal Design.”

The LEED Green Building RatingSystem® is a voluntary, consensus-basednational standard for developing high-performance, sustainable buildings. TheLEED Project Checklist shown in Figure1.5-1 demonstrates the extent of themeasures necessary to provide sustain-able design and the rating necessary tobecome a LEED-certified building.

The USGBC also certifies buildingsfor compliance with LEED guidelines.More information about the USGBC andLEED, and a copy of the LEED certifi-cation program, including the checklistreprinted in this section, are available at the USGBC Web site (http://www.usgbc.org).

1.5.2 LIFE CYCLE

To determine the sustainability or lack ofsustainability of a building, it is neces-sary to assess the effect of the buildingon the environment during its entire lifecycle. Factors that must be addressed in-clude the following:

■ The life cycle of each of the materi-als proposed for use in the building

■ The most significant environmentalrisks associated with the building

■ The opportunities available to providefor sustainability in the building and

DESIGN AND CONTRACTING REQUIREMENTS ■ Sustainable Building Design 35

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36 Sustainable Building Design ■ DESIGN AND CONTRACTING REQUIREMENTS

FIGURE 1.5-1 LEED Project Checklist, Version 2.1. (Courtesy U.S. Green Building Council.)

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FIGURE 1.5-1 (Continued )

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how those are affected by constructioncost and the operating cost of the com-pleted building

■ The client’s attitude and resources

1.5.2.1 Building Materials Life CyclesA material’s life cycle begins with extrac-tion of the raw materials used to manufac-ture it and ends when it is removed fromthe building and disposed of. This life cy-cle includes obtaining the raw materials,manufacturing the product, and its pack-aging, distribution, use, and ultimate reuse,recycling, or disposal. The environmentalimpact of a building material is affected bywhether or not the material is renewable,the amount of toxic and waste materialsthat occur as a result of the conversion ofthe raw material into a building product,and the amount of energy the product con-sumes during its entire life cycle.

RAW MATERIALS

To assess the life cycle of a buildingproduct, we must take into account theenergy cost of obtaining the raw materi-als that make up that product and whetherthe raw materials are available locally,where the available manufacturing facil-ities are to convert the raw materials intoa finished building product, and the tox-icity of the raw materials. We must alsotake into account the energy that must beused to extract and refine the raw mate-rials and the pollutants and other envi-ronmentally harmful by-products of thatextraction.

MANUFACTURE, PACKAGING, AND DISTRIBUTION

Another analysis that must be made whenconsidering the sustainability of a build-ing product is the expenditure of energyand the amount and type of harmful by-products associated with the manufac-ture, packaging, and distribution of theproduct. It is also necessary to ascertainwhether the product is reusable, and ifnot, whether it or its raw material is ex-tractable and recyclable and, if so, howmany time it is recyclable before it be-comes useless. Other factors to considerinclude whether the packaging is recy-clable and whether it is manufacturedwith nonrenewable materials.

THE CONSTRUCTION PROCESS

Sustainable building products must beexamined to determine the difficulties

associated with installing them in a building, including the energy used to in-stall them and the waste and harmful by-products that may be produced duringthat installation. It is also necessary totake into account whether the waste pro-duced by this installation is recyclable.

BUILDING USE

The energy expended in using and main-taining a building product is another fac-tor affecting its life cycle. Other consid-erations include the toxicity of materialsrequired to clean the product, the amountof air pollution the product generateswithin the building, and how much wa-ter and other consumables are necessaryfor the use of the product.

REUSE, RECYCLING, OR DISPOSAL

The final aspect of a building product’slife cycle has to do with what happensto the product when it is removed fromthe building or the building is demol-ished. Considerations include whetherthe product can be reused, or its raw ma-terials or the product itself can be recy-cled, or whether the product is not us-able. If the product is recyclable, whatis the energy expenditure to recycle it?If the product is not recyclable, howmuch damage will discarding it do tothe environment?

1.5.3 DESIGNING FORSUSTAINABILITY

Factors necessary to consider when de-signing sustainable building include, butare not limited to, the following:

■ Select building materials and productswith the most favorable life cycles.

■ Take measures to reduce the impacton the environment of the materialsand products selected.

■ Design to reduce materials use bysuch measures as using the smallestbuilding footprint that is practicable,configuring the building to reducewaste, and simplifying the building’sgeometry.

■ Design for durability by using mate-rials that have long life spans and con-figuring the design to prevent deteri-oration of materials and ensure easyreplacement of components.

■ Design for adaptability so that thebuilding can be modified to take intoaccount new systems and products orchanging uses.

1.5.4 ADDITIONAL INFORMATION

Additional information related to sus-tainable building design occurs in mostchapters of this book where relevant. Inaddition, environmental concerns and de-sign consideration for building occupantsafety are addressed in various chapters.Energy conservation is also addressed inseveral chapters, including, but not lim-ited to, Chapters 11, 17, and 18.

1.6 ConstructionDocuments

Architects and their consultants providepredesign and design services. In the pre-design phase of their work, they may beengaged by the owner to provide suchservices as programming, existing facili-ties surveys, feasibility studies, and siteanalysis. In the design phase of their serv-ices, they provide schematic design, de-sign development, and construction doc-ument services. Building predesign anddesign methods and the presentation ofdesigns are beyond the scope of thisbook.

Construction documents include bothdrawn and written documents. Their pre-sentations vary somewhat with differentproject delivery systems.

1.6.1 PROJECT DELIVERY SYSTEMS

There are three basic project delivery sys-tems in general use today. The team re-sponsible for project delivery remains thesame, regardless of the delivery systemused. They are the owner, the architect,and the constructor. The three deliverysystems are design-bid-build, construc-tion management, and design-build.There are several subcategories in thethree basic systems. Documents will beorganized differently for each of the threedelivery systems and may also varysomewhat to accommodate variationswithin the systems.

1.6.1.1 Design-Bid-Build Delivery SystemsIn the past, most construction projectswere built using the design-bid-build sys-tem. In spite of the infusion of other de-livery systems, the design-bid-build sys-tem is still used extensively today. There

38 Construction Documents ■ DESIGN AND CONTRACTING REQUIREMENTS

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are several variations within the design-bid-build delivery system. In the first andmost common of these, a project is builtunder a single prime contractor agree-ment. In such agreements, a single gen-eral contractor is the contractor of recordwho signs a construction agreement withthe owner. There is only a single con-struction agreement. In this system, thearchitect prepares the construction docu-ments and the constructor offers a bid tobuild the project for a fixed bid price.

In a variation of this system, the con-structor agrees to build the project for anegotiated sum. In this system, the con-tractor may be asked to present a bid incompetition with other constructors ormay be preselected to enter into a nego-tiated agreement. In this system, the con-structor is often selected during the de-sign process and is involved in thebuilding design to the extent of helpingto control the building’s cost.

In another variation, the constructoragrees to build the project under a fixedprice plus a fee agreement. The price andfee may be bid for or negotiated. Thismethod is usually used on projects wherethe scope of the work involved cannot bedetermined in advance.

Design-bid-build projects may also bebuilt using more than one prime contrac-tor. In this system, separate constructorsare involved for the different disciplinesinvolved, and there is a separate owner/contractror agreement with each primecontractor. That is, there is one agreementfor a general works contractor, a separateagreement for a site works contractor, another for a mechanical contractor, stillanother for an electrical contractor, and soon. Such a project will require as manysets of construction documents as thereare prime contractors, and each set maybe presented in a slightly different order.

1.6.1.2 Construction ManagementDelivery SystemsIn a construction management (CM) con-tract, the owner employs a firm, or an in-dividual, as a construction manager tooversee the project. Many CM projectsare also fast-track projects, in which thegeneral contractor is brought on boardduring the design phase and constructiondocuments are issued as needed for thecontractor to price and bid subcontractwork. The front-end documents (see Sec-tion 1.6.2.3), such as bidding require-ments, contract forms, and contract condi-

tions, will be agreed to by the owner andthe contractor before the other contractdocuments have been completely devel-oped. Building costs are usually establishedas a guaranteed maximum price (GMP)with one or more contingency amounts totake care of unforseen conditions.

This method of delivery is discussedin some detail in Section 1.9.

1.6.1.3 Design-Build Delivery SystemsIn a design-build system, a team of de-sign professionals (architects and engi-neers) and one or more constructors areemployed by an owner to deliver a com-plete functioning building ready for oc-cupancy and use. In such projects, draw-ings are usually similar to those for asingle-contract design-bid-build project,though they may be somewhat less de-tailed. The written construction docu-ments will contain some different provi-sions, especially in the front-end portionswhere legal and contractual obligationsare delineated

1.6.1.4 Fast-Track DeliveryAny of the three basic delivery systemsmay be used in fast-tract projects. In afast-tract delivery system, the architectcompletes early portions of the construc-tion documents, and those portions arethen let to a constructor. The constructorbuilds those portions of the project whilethe architect continues to design the restof the project. This system might to usedto prepare the site for construction beforethe building design has been completed.

Foundation and structural framingdrawings and specifications may be is-sued as a package before the rest of thedrawings and specifications have beencompleted. This fast tracking often per-mits an accelerated construction sched-ule, lowering the cost of construction andfinancing. In some cases, fast trackingmay even permit occupancy of portionsof a project before the rest of the projecthas been completed. Unfortunately, thesecost reductions are somewhat negated byerrors that are inevitable in the fast-trackmethod.

Ultimately, when all the drawings havebeen completed, they will be organized inthe same format as they would be for asingle prime contractor project. Specifica-tions sections addressing procuring andcontract provisions and general project re-quirements will differ from those of other

projects, but the rest of the specificationswill be the same as for other project de-livery systems.

1.6.2 DRAWINGS

AIA has defined drawings as construc-tion documents that “show in graphic andquantitative form the extent, design loca-tion, relationships, and dimensions of thework to be done. They generally containsite and building plans, elevations, sec-tions, details, schedules, and diagrams.”

1.6.2.1 OrganizationThe organization of drawings differsfrom one architectural firm to another,but there are some generalities. Siteworkdrawings are sometimes issued as a sep-arate set of drawings but often are placedat the beginning of the architecturaldrawings. The architectural drawings areusually placed first in a set, followed bystructural, mechanical, plumbing, andelectrical drawings, in that order. Draw-ings for other elements may be placed invarious locations within a set of draw-ings. For example, furniture and equip-ment drawings may be placed immedi-ately after the architectural drawings ormay be issued as separate drawings at-tached at the end of the full set.

There is no universally accepted orderwithin the disciplines. There have beennumerous attempts to standardize the or-ganization, but none has yet achieved aconsensus. One possible order for archi-tectural drawings places general notesfirst, followed by overall building plans,building cross sections and exterior ele-vations, floor plan blowups, interior elevations, reflected ceiling plans, verti-cal circulation (elevators, stairs, escala-tors, etc.), exterior wall sections and de-tails, and, finally, interior sections anddetails. Drawings for the other disciplinesfollow similar arrangements, with notesfirst, plans next, then elevations, details,schedules, and diagrams.

1.6.2.2 Drawing Production MethodsUntil relatively recently, drawings wereproduced manually on a drawing boardusing a T-square, parallel bar, or draftinginstrument. Standard details and noteswere sometimes repeated from project toproject, and some firms issued them in aseparate bound volume. Drawing sheetshad standardized boarders and titleblocks.

DESIGN AND CONTRACTING REQUIREMENTS ■ Construction Documents 39

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OVERLAY DRAFTING

An advancement to the manual draftingsystem included the use of overlay draft-ing techniques, in which a base drawingwas made manually and reproduced onMylar™ or other plastic film. The filmwas drilled to fit over a pinned registra-tion bar. Additional sheets were pinnedover the first to produce equipment, fur-niture, mechanical, and electrical draw-ings. The floor plan was drawn only once.This method effected savings in time and,subsequently, in document productioncost and tended to produce more accuratedrawings.

CAD

Overlay drafting techniques eventuallyled to a similar system of production us-ing computers. Today, computer-aideddesign and drafting (CADD or simplyCAD) has all but supplanted the earliermethods of drawing production. CADsystems are more expensive to imple-ment than the earlier systems. They require the purchase of expensive hard-ware and software and extensive em-ployee training. Even so, they are rap-idly replacing earlier methods. They are increasingly required by owners, notably federal and state governmentagencies. Many architectural firms arenow requiring new employees to be ableto use CAD programs.

All CAD systems are based to someextent on the use of layers. A single CADfile can be used to show a floor plan, areflected ceiling plan, an electrical powerplan, a lighting plan, and more.

In the beginning, there were no rec-ognized standards for organizing or nam-ing CAD drawing files. Every architec-tural firm had to develop its ownstandards, which made it difficult forowners, constructors, and building offi-cials to locate requirements in the CADfiles, especially when they were dealingwith more than one architect’s docu-ments. The first industry standard, CADLayer Guidelines, was published in 1990and updated in 1997 by the AIA. Thisdocument provides a standard means forcoordinating the work of architects andtheir engineering and other consultants.It provides a standard for naming and or-ganizing CAD layers and discipline codedesignations that allocate layers to spe-cific disciplines. For example, architec-tural drawings are designated with an A,civil drawings with a C, electrical draw-

ings with an E, equipment drawings witha Q, and so forth.

Combining the discipline code withthe standard for naming layers gives amethod for locating data within a set ofCAD files for a building project that isthe same from project to project and fromdesign professional to design profes-sional. For example, a CAD layer show-ing toilet partitions is named A-FLOR-TPTN. A layer showing exit lighting iscalled E-LITE-EXIT.

The current standard for CAD is theU.S. National CAD Standard (NCS).NCS coordinates the CAD publicationsof the AIA, the Construction Specifica-tions Institute (CSI), and other CAD-related documents. It was developed us-ing the expertise and input of many con-struction industry organizations. NCShas been adopted for use by several gov-ernment agencies, including the GSA andthe departments of the Navy and AirForce. It is also used by several large or-ganizations, several states, and many ar-chitectural firms.

The aforementioned CAD Layer Guide-lines are a major component of the NCS,as is the CSI’s Uniform Drawing System.The Uniform Drawing System is intendedto format and unify the organization ofconstruction drawings, whether producedin the conventional drafting method or by CAD.

Early CAD packages were used pri-marily to develop construction contractdocuments in much the same way thatwas used to produce manually generateddrawings. Many are still used in thatmanner today, but newer programs arecapable of interactive functions that per-mit a change in one view to automaticallychange all other views. Change a plan,for example, and sections and elevationschange automatically to reflect the planchange. Add a door in a perspectivedrawing, and the door is automaticallyadded in plans and elevations. Change awall section, and the elevations changeautomatically. Even more advanced pro-grams allow a viewer to change the view-point of a computer-generated perspec-tive drawing at will, allowing a user to,in effect, walk through a design, lookingin every possible direction and fromevery possible altitude during the walk.Virtual reality systems have been demon-strated that permit a user to see a designin three dimensions and to move or re-size elements by merely raising a hand.A window, for example, can be moved in

a wall by a wave of the operator’s hand.At some time in the future, such systemswill revolutionize the design of buildingsand render all present methods obsolete.

1.6.2.3 Drawing ReproductionTraditionally drawings were drawn largeand reproduced for use by designers andconstructors in the full size in which theywere drawn. Half-size prints were occa-sionally used, but they had to be madeduring the reproduction process, andmaintaining a usable scale was difficult,although not impossible. Drawings arestill reproduced in large size for use inarchitects’ and constructors’ offices andfor bidding purposes. In recent years,however, half-size drawings have beenused more frequently, for all purposes,but especially on the job. Half-size draw-ings are less unwieldy to use, especiallyin the field (Figure 1.6-1) and less costlyto reproduce.

Today, most drawings for buildingsare produced on a computer screen andstored in electronic form. They can eas-ily be reproduced in any size desired.Even though drawings should not bescaled for construction purposes, it isstill convenient to have drawings in ameasurable scale. Careful selection ofthe scale to use for individual portionsof the reproduction can make smallerdrawings easier to read. In the past,scale notations on drawings were givenat the full size scale. Now, scale nota-tions on half-size drawings are usuallygiven in the scale in which they will ex-ist in the reproduction.

1.6.3 THE PROJECT MANUAL

A project manual is a single volume thatcontains all written requirements for abuilding construction project.


FIGURE 1.6-1 Using a half-size print on thejob. (Courtesy BE&K, Inc.)

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1.6.3.1 Concept and ContentsA project manual provides a standardizedformat and location for all written proj-ect requirements. It includes bidding re-quirements, contract forms, conditions ofthe contract, information about alternatesand allowances, and specifications. Thenumber of possible requirements in proj-ect manuals is large, but not all areneeded for every project. For example,one project may be of concrete construc-tion and have no requirement for woodtrusses. Another may be framed withwood and contain no structural steel.

1.6.3.2 The CSIIn 1948 a group of construction speci-fiers, frustrated with the chaotic specifi-cations practices of that time, organizedthe CSI with the broad goal of improv-ing construction specifications practices.CSI’s current membership includes pri-marily specifiers, product manufacturers’representatives, and government agencyrepresentatives interested in specifications.Construction Specifications Canada (CSC)is a similar organization operating inCanada.

MASTERFORMAT

Project manuals are complex and need anumbering system to make it possible tofind individual requirements. Without astandard to follow, design firms tend toinvent their own numbering systems andmethods of organizing these materials.This makes it difficult for a contractor tofind a particular requirement, thus in-creasing the possibility of errors in esti-mating that affect project cost, and errorsin the field that affect the completedbuilding. For instance, in a certain proj-ect, the requirements for structural steelmay be in the third section of the man-ual, and in another project manual simi-lar requirements may be in the twelfthsection. To unify the location of the partsof a project manual, in 1963 CSI and CSCjointly produced a publication entitledMasterFormat.

MasterFormat has become the indus-try standard for naming and numberingthe data in project manuals. It has beenadopted by AIA in its publications andby most federal government agencies for their construction projects. It is alsothe format generally used in manufactur-ers’ product literature. It is the basis of organization for Sweet’s Catalog Files, McGraw-Hill’s yearly collection of

manufacturers’ catalogs, which are a major source of product literature in most architects’ offices, and in all CSI-sponsored publications, including anothermajor source of manufacturers’ data, TheArchitect’s First Source for Products. Itis also the basis for data filing in manydesign offices. More important to ourpurposes here, MasterFormat is used onthe vast majority of private-sector andgovernment building construction proj-ects in the United States.

Because of its almost universal use inthe U.S. construction industry, studentsand professionals need to become famil-iar with MasterFormat. The 1995 editionof MasterFormat divided the work asso-ciated with construction projects into 16divisions. The chapters in the seventh edi-tion of this book were named and num-bered in the same way as MasterFormatdivisions. In addition, the material therewas roughly equivalent to the recom-mended material in the corresponding di-visions of MasterFormat. MasterFormat2004 divides its content into two groups:the “Procurement and Contracting Re-quirements Group,” which contains the00 documents in the 1995 edition, and the“Specifications Group,” which containsthe requirements in Divisions 1 through16 of the 1995 edition and some addedrequirements. The “Specifications Group”is further divided in five subgroups: the“General Requirements Subgroup,” whichcontains the requirements in Division 1of the 1995 edition; the “Facility Con-struction Subgroup,” which contains therequirements in Divisions 2 through 14of the 1995 edition; the “Facility ServicesSubgroup,” which contains the require-ments in Divisions 15 and 16 of the 1995edition; the “Site and Infrastructure Sub-group,” which contains most of the requirements in Division 2 of the 1995edition and some requirements not for-merly included in MasterFormat; and the“Process Equipment Subgroup,” whichcontains some requirements formerly inDivisions 15 and 16, but mostly new re-quirements that were not included in the1995 edition.

In addition, the 2004 edition has dras-tically changed the naming and number-ing and the subjects included in some di-visions. Instead of the 16 divisions in the1995 edition, the 2004 version contains49 divisions. Some of the 49 divisionscontain no requirements, but are insteadreserved for additional requirements inthe future. This edition of this book fol-

lows the intent of the 2004 edition ofMasterFormat, with some necessarymodifications. Except for Chapter 1, thechapters in the eighth edition of this bookhave the same names as the divisions, andthe data they contain are roughly thoseincluded in the corresponding division ofMasterFormat 2004. The numbers ofChapters 2 through 14 are the same as thecorresponding division in MasterFormat2004. The order and the names of the restof the chapters are the same as those inMasterFormat 2004’s divisions, but thechapter numbers differ from those ofMasterFormat 2004’s divisions becauseit makes no sense to have chapters in atextbook reserved for future use.

In addition, some divisions of Mas-terFormat 2004 are beyond the scope ofthis book and are thus not included here.These include divisions covering inte-grated automation, transportation, water-way and marine construction, and the en-tire “Process Equipment Group” of theedition of MasterFormat 2004.

Furthermore, because the order of sec-tions in MasterFormat tends to changeslightly from edition to edition, some ofthe subjects in the eighth edition of thisbook, as was true in the seventh edition,differ in location from the order used inMasterFormat 2004. Moreover, the lim-ited size of the book precludes discussingevery section listed in MasterFormat2004.

It is reasonable to assume that overtime the construction industry will adoptthe 2004 edition of MasterFormat to thesame extent that it has adopted earlierversions.

UNIFORMAT ™

MasterFormat is an organization systembased on materials and their uses. CSI’sUniformat is an organization systembased on systems and assemblies. Uni-format is intended not to replace Master-Format but rather to supplement it.

Uniformat is intended for use in ar-ranging project descriptions to show howa design meets the owner’s requirements;developing preliminary cost estimatesand construction cost models; filing in-formation and drawing details; and evenarranging project manuals for certain design-build delivery projects in lieu ofusing MasterFormat, especially whenperformance specifications are used.

Uniformat contains multiple levels ofinvolvement. Level 1 divides a building

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into nine categories. The first, ProjectDescription, is self-explanatory. The suc-ceeding eight categories cover construc-tion systems and assemblies. The firstseven are given alphabetic designationsfrom A to G. The designations are sub-structure (A), Shell (B), Interiors (C),Services (D), Equipment and Finishings(E), Special Construction and Demolition(F), and Building Sitework (G). Theeighth category, Z, is called General. Itincludes contract requirements, generalrequirements, and cost estimates.

There are also levels 2, 3, 4, 5, and 6.Levels 2 and 3 add numeric designationsto subcategories of the level 1 categories.An example would be A10, where A islevel 1 and 10 is the level 2 designation,“Foundations.” In Levels 4, 5, and 6,numbers designate subdivisions of thesubdivisions in a manner similar to thosein MasterFormat. In fact, sometimeslevel 4 numbers correspond exactly withMasterFormat numbers.

Uniformat and MasterFormat aremost often used independently for dif-ferent purposes, but sometimes it is ad-vantageous to use them together. An ex-ample is in the production of cost data.They may also be both used in certain design-build projects. When using themtogether, it is best to use MasterFormatnumbers for Uniformat levels 4, 5, and 6designations.

1.6.3.3 Bidding and Contracting RequirementsBidding requirements include invitationsto bid, instructions to bidders, a listing ofinformation available to bidders, and bidand bid bond forms. They are issued be-fore bids on a project are offered and arenot considered part of the contract forconstruction.

Contracting requirements documentsare also issued to potential bidders beforethey offer bids, but completed forms andother contracting requirements documentsare considered part of the construction con-tract. Contracting requirements documentsinclude the owner/contractor agreement,bonds (performance and payment), cer-tificates (insurance, conformance, etc.),the conditions of the contract (generaland supplementary), and addenda andmodifications issued prior to acceptanceof bids.

The general conditions of the contractand standard contract documents haveevolved over the years from the early be-

ginnings of AIA documents to today’scomplex and extensive interrelated doc-uments. For example, a current standardform of the owner/contractor agreementproduced by AIA is fully compatible withAIA A201, “General Conditions of theContract for Construction.”

Engineering organizations have alsoformed the Engineers Joint Contract Doc-uments Committee (EJCDC), which hasdeveloped standard contract documentsfor use on engineering projects.

1.6.3.4 SpecificationsSpecifications constitute that portion ofthe written requirements for a buildingconstruction project that are contained inthe divisions of a project manual. AIAhas defined specifications as “written re-quirements for materials, equipment,construction systems, standards, andworkmanship for the work as well asstandards for the construction services re-quired to produce the work.”

Originally, specifications were justnotes on the drawings. As the construc-tion world became more complex, law-suits proliferated, and many new materi-als and systems were introduced, thenotes became too voluminous to put onthe drawings. Architects and engineersbegan to type them and issue them as sep-arate documents. Legal and proceduralrequirements now occupy as many pagesas an entire specification set did in the1950s.

For most construction projects today,specifications are included in a projectmanual and are organized according toMasterFormat 2004. Within each of theMasterFormat divisions, specificationsare organized into level 2 sections, level3 sections, and sometimes level 4 sec-tions. Each level represents a more de-tailed subdivision of the work. In lieu ofthe five-digit numbering system used inthe 1995 MasterFormat edition, sectionsin the 2004 edition are numbered with asix-digit system. Therefore, each level isrepresented by two digits instead of theolder system’s one digit. This increasesthe possible number of entries at eachlevel 10-fold. As was true in previouseditions, the first two digits are the divi-sion number and the remaining digits arethe section number. For example, in Di-vision 10, “Specialties,” and a level 2 sec-tion 10 20 00, “Interior Specialties,” anda level 3 section 10 21 00, “Compartmentsand Cubicles.” Below that is a level 3

section 10 21 13, “Toilet Compartments,”and a level 4 section 10.21.13.13, “MetalToilet Compartments.” Note that the level4 number is the level 3 designation with adot preceding the level 4 designation. Auser may add level 4 designations as necessary.

Specifications should include clearand accurate descriptions of technical re-quirements related to materials, products,and services. They should also state aproject’s requirements for quality and theprescribed use of materials and methodsto produce a desired product, system, ap-plication, or finish. And they should do allthis in a form that is understandable andin a format in which the requirements canbe easily found and clearly understood.

Recognizing that a clear and conciseformat, that was the same from job to job,was essential to producing clear specifi-cations, shortly after the introduction ofMasterFormat, CSI introduced a three-part section format and soon after that arecommended page format. In the sectionformat, the data in each specificationssection are divided into three parts as follows:

Part 1: GeneralPart 2: ProductsPart 3: Execution

The content of each part is divided intoarticles, and the articles are divided intoparagraphs.

The content and order of the data ineach part have changed somewhat overthe years, but the general intent is thesame. Part 1, “General,” includes re-quirements that affect the entire sectionand that are general in nature, such as re-quirements for allowances; unit prices;alternates and alternatives; submittals;quality assurance; delivery, storage, andhandling; project and site conditions re-lated to that section; sequencing; sched-uling; warranties; and maintenance. Part1 also includes definitions related to thatsection and cross references to other sections.

Part 2, “Products,” includes the namesof acceptable manufacturers; descrip-tions of required materials, manufacturedunits, equipment, and accessories; and re-quirements for mixes, shop fabricationand assembly, tolerances, and sourcequality control, including tests and per-formance verifications.

Part 3, “Execution,” includes require-ments for examination of conditions priorto installation; preparation for installa-


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tion; and erection, installation, or appli-cation, as applicable. Part 3 also includesrequirements for field quality control andtesting; adjustments, cleaning, and pro-tection of the installed work; and re-quirements for demonstration of properoperation of items installed under the sec-tion and requirements for scheduling andcoordination of the work of this sectionwith other work.

Each part is organized into articles andparagraphs using the following format:

Part 1 General1.01 Article

a. Paragraphb. Paragraph

1. Subparagraph1.02 Article

a. Paragraphb. Paragraph

1. Subparagraph

The CSI page format addresses themargins and page arrangement, includingrecommended indents for each level ofarticles and paragraphs. Most guide spec-ifications (see Section 1.6.2.5) are al-ready set up in the CSI page format or inan organization resembling it.

1.6.3.5 Guide SpecificationsNonproprietary guide specifications setsare commercially available today fromorganizations representing national asso-ciations. For example, Arcom MasterSystems, sponsored by AIA, producesMASTERSPEC®; Construction SciencesResearch Corporation, sponsored by CSI, produces SPECTEXT ®. Commercialguides are also available from several pri-vate organizations, such as Kalin Asso-ciates and Building Systems Design, Inc.(BSD), which produces an automatedguide set named SpecLink®. Most ofthese sets are available in either paper orelectronic form, using various methods ofdelivery. An advantage of using such setsis that they are updated periodically andcover a wide range of materials and sys-tems. In addition, they are produced byorganizations with no vested interest in aparticular product, which may make themmore reliable in some ways. Some ofthese sets come with detailed instructionsand recommendations for selecting oneproduct type over another. Most of themare thoroughly researched and reasonablyup-to-date.

Proprietary guide specifications areavailable from building product manu-

facturers by mail and at their Web sites.Some organizations offer direct links toan extensive list of manufacturers’ Websites where guide specifications can beaccessed. In addition, guide specifica-tions sections produced by manufactur-ers are available from a variety of or-ganizations in sets. These sets are oftenless complete than those produced by theassociations. Examples of organizationsoffering access to manufacturers’ sitesare ARCAT, Architects’ First Source,and Sweet’s Group.

Guide specifications are also pro-duced by federal agencies, such as theGSA and the various military services.These are intended for use only on gov-ernment projects but contain data that canbe valuable to a specifier even on private-sector projects.

1.7 Bidding andNegotiation

Construction contracts are let based onthe delivery system (see Section 1.6.1) tobe used and the cost of construction.

1.7.1 BASIS OF CONSTRUCTION COST

The cost of construction may be deter-mined on the basis of a fixed-price stip-ulated sum, a cost-plus-fee arrangement,unit prices, a guaranteed maximum price(GMP), or a combination of these.

In a fixed-price stipulated sum agree-ment, a constructor agrees to provide abuilding project for a fixed amount ofmoney based on contract documents fur-nished by the architect. In a cost-plus-feearrangement, the constructor agrees toconstruct the project and the owneragrees to pay the constructor’s costs plusa fixed fee.

In a unit-price agreement, the cost isbased on a price per unit of a material,such as cubic yards of topsoil or rock ex-cavation. The unit costs include the ac-tual cost of the material and an amountto cover the constructor’s overhead andprofit. Unit-price arrangements are fre-quently used with other types of pricing,such as fixed-price stipulated sum agree-ments. They are less frequently used asthe basic agreement for an entire project.

A GMP agreement is exactly what itsounds like. Such agreements are usuallyused with design-build or CM projectswhere the design document are not com-plete when the project starts. GMPs areusually established at the time of com-pletion of the design development phaseof the architect’s services. Thereafter, allconcerned parties must ensure that thecost of the project does not exceed theGMP.

1.7.2 METHOD OF SELECTING A CONTRACTOR

Construction contracts are let based ondollar amounts and contract terms deter-mined by either bidding or negotiation.Bidding is a process whereby a prime de-sign professional engaged by an owner,and the design professional’s consultants,prepare bidding documents and issuethem to a group of constructors, who thensubmit the dollar amounts they willcharge to build the building under theterms of the bidding documents. Theprime design consultant may be an ar-chitect or engineer, depending on theproject type. For example, for a bridge, astructural engineer may be the prime de-sign professional. This section assumesthat the project under consideration is abuilding and that the prime design pro-fessional is an architect.

Negotiation is a process whereby anarchitect engaged by an owner, and thearchitect’s consultants, prepare negotia-tion documents; the owner, often with theadvice of the architect, selects a potentialconstructor; and the architect issues thedocuments to the constructor, who thensubmits an offer to construct the projectfor a set number of dollars and within de-fined contract conditions. Then, eitherthis offer is accepted or the offer and theterms are negotiated between the owner,with advice from the architect, and theconstructor until an amicable arrange-ment is agreed upon.

1.7.2.1 Bidding

SELECTING BIDDERS

There are several methods for selectingbidders for a building construction proj-ect. In most government projects, all li-censed contractors must, by law, be per-mitted to offer a bid. The only way tolimit bidders is by imposing requirementsfor performance and payment bonds.Contractors who are unable to perform

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the work because of financial or other dif-ficulties will not be able to obtain the re-quired bonds and can be disqualified onthis basis.

Some private work contracts arehandled in the same way as governmentprojects, whereby bidding is open to all legitimate constructors, but in mostcases constructors requested to bid are restricted in some way. In some in-stances, the owner will simply developa list of constructors it wants to bid and exclude all others. Sometimes thislist is a result of consultation betweenthe owner and the architect, but not al-ways.

For some projects, potential biddersare examined and prequalified to ascer-tain whether they are legitimate, rep-utable, licensed contractors who arelarge enough and financially stableenough to perform the work and are notdisqualified by legal restrictions. Thisinvestigation is usually conducted bythe architect, who forwards the resultsto the owner. The final decision onwhich constructors are permitted to bidlies solely with the owner. Prequalifi-cation is usually performed with the useof standard forms such as AIA’s Docu-ment A305, “Contractor’s QualificationStatement.”

Some sophisticated owners developand maintain lists of prequalified biddersand select from that list for each project.Government agencies are also permittedto prequalify contractors and develop alist of qualified bidders, but the failure toqualify must be based on defined restric-tions, such as insufficient financial assetsor company size.

BIDDING PROCESS

For government projects and for private-sector projects in which the owner haselected to use completely open bidding,the owner or the architect places an ad-vertisement for bids in one or more news-papers and in other publications deemedappropriate. This advertisement lists thepertinent project information, such as itsname and address, a general descriptionof the project, the type of contract, thedate, time, and place of receiving bids,bid security requirements, and other rel-evant information.

When the bidders have been prese-lected, either the owner or the architectissues an invitation to bid to all bidderson the prequalified list. The invitation to

bid contains the same information as inan advertisement for bids.

BIDDING DOCUMENTS

When a legitimate bidder responds to anadvertisement for bids or an invitation tobid and requests bidding documents, thearchitect issues one or more sets of bid-ding documents to each requester. In ad-dition to the advertisement or invitationto bid, the bidding documents issued ini-tially include the following:

■ Instructions to bidders, which explainbidding procedures and list the re-quirements of the bid, such as the re-quirements for bonds

■ Bid forms, which are developed by theowner or the architect to keep the con-tent of all bids in the same format, soas to make interpretation easier and toensure that bids for required alter-nates, allowances, and unit prices areincluded

■ Information related to bonds, includ-ing bid bonds required to ensure thata bidder will sign an agreement basedon his or her bid or forfeit the bondamount, and performance and pay-ment bonds that ensure completion ofthe signed contract and payment of theconstructor’s related debts

■ Form of the owner/contractor agree-ment

■ The conditions of the contract (gen-eral and supplementary)

■ Drawings■ The project manual

Bidding documents also include addendaand other modifications to the previouslyissued documents that are issued prior tocontract signing.

1.7.2.2 NegotiationBid projects are often negotiated withthe lowest bidder, or several of the low-est bidders, to arrive at a final cost anddetermine changes to the original pro-posal. Conversely, in a negotiated proj-ect, a single constructor is selected andthe contract sums and terms are negoti-ated between the constructor and theowner, usually with advice from the ar-chitect.

SELECTING POTENTIAL CONSTRUCTORS

An owner may select a potential con-structor by firsthand knowledge of thefirm or by reputation, or may select sev-

eral potential constructors and reduce thelist to one by a prequalification processsimilar to that described for bid projects.

A negotiated contract may be astraight single-prime-contractor con-tract or may have multiple prime con-tractors. It may result in a fixed-pricestipulated sum, cost-plus-fee, or unitprice agreement. It may result in a con-struction management system with aGMP. It may also be used for design-build agreements.

NEGOTIATION PROCESS

The constructor in a negotiated contractis sometimes engaged before the archi-tect’s and associated consulting engi-neer’s design work has been completed.The advantage of this arrangement is thatthe constructor can be called on to issueadvice related to systems and products asthe design work progresses. This advicecan be related to costs, availability, andinterface problems that may be encoun-tered in the field. The disadvantage is thatmaterials and systems selections and de-sign judgments are sometimes based onfactors other than costs and ease of con-struction. Care must be taken to ensurethat the architect maintains control of theuse, safety, and aesthetic aspects of theproject.

NEGOTIATION DOCUMENTS

Negotiation documents are mostly thesame as bidding documents. However,there is no advertisement, invitation tobid, or instructions to bidders. Additionalrequirements must sometimes be estab-lished, however, for subcontract bids.The conditions of the contract will alsovary somewhat based on the delivery sys-tem to be used.

1.7.3 ARCHITECT’SRESPONSIBILITIES

In addition to the responsibilities alreadydelineated, the architect should conductpublic bid openings, unless the ownerelects to do so. The architect should as-sist the owner in evaluating bids and ne-gotiated contract terms. The architectshould also advise the owner in regard toacceptance of bids and selection of a con-tractor, but the responsibility for theseduties and for executing the owner/con-tractor agreement rests solely on theowner.

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1.8 ConstructionContractAdministration

Some owners undervalue the potentialcontribution of their architects and con-sulting engineers during building con-struction and do not continue their serv-ices past the bidding and negotiationphase. Fortunately, most owners under-stand the advantages of these continuedservices and employ their design profes-sionals until the construction has beencompleted. In some types of delivery sys-tems, the design professionals’ involve-ment during construction is essential. Obviously, in a design-build project, thedesign professionals are part of the de-sign-build team and must continue withthe project until completion.

Fast-track delivery systems also re-quire the services of design professionalsthrough the construction process. For themost part, in such projects the design andconstruction documents are not finisheduntil a short time before the constructionhas been completed. Construction man-agement projects are also frequently fast-track and need the services of design pro-fessionals throughout.

When engaged by owners to provideservices during the construction phase ofa building project, architects and engi-neers can provide the following services:

1. Hold preconstruction conferences toclarify procedures and establish theresponsibilities of the various teammembers. Who the team members arewill vary with the delivery system. Atthe least, there will be an owner, anarchitect, consulting engineers, andthe general contractor.

2. Review and process the contractorsubmittals, such as shop drawings,samples, product data, mockups, testresults, bonds, and record drawings.

3. Conduct periodic field observationsto ensure that the work is proceedingin accordance with the contract doc-uments, to issue field reports detail-ing these observations and noting theprogress of the work, and to rejectwork found to be not in compliancewith the contract documents.

4. Respond in writing to the contrac-tor’s questions concerning the intentof the contract documents.

5. Issue documents to make changes inthe work. Minor changes can bemade by a simple written order by thearchitect. Changes affecting projectdelivery time or costs are made bychange orders. Change orders aresometimes initiated by the architect,who asks the contractor in writing tosubmit a proposal request for the de-sired changes. The contractor then re-sponds with a proposal, indicatingchanges in contract time or cost as-sociated with the requested change.In other cases, proposal requests areinitiated by the contractor. In eithercase, the architect reviews the con-tractor’s proposal and advises theowner whether to accept or reject it.Once the terms of the proposal re-quest are acceptable to both theowner and the contractor, the archi-tect issues a change order, whichmust then be signed by both theowner and the contractor. Signedchange orders become a part of thecontract for construction.

6. Attend regularly scheduled projectprogress meetings with representa-tives of the owner and the contractor.

7. Review and process the contractor’sapplications for payment. At the be-ginning of a project, the contractorsubmits to the architect a schedule ofvalues, which is broken down into thevarious portions of the work. Period-ically, usually once each month, thecontractor submits to the architect anapplication for payment, indicatingthe progress of the work to date andthe amount of the contract sum duethat month. The application is brokendown in exactly the same way as theschedule of values so that the two canbe compared. The architect and his orher consultants visit the project siteand compare the contractor’s appli-cation with the work accomplished.The consultants report their findingsto the architect, who then certifiespayment by filling in, on the con-tractor’s application for payment, thedollar amount due that month basedon the architect’s and consultants’observations. The amount certifiedmay be the amount shown in the ap-plication or may be less, dependingon the architect’s judgment of thework actually completed. When adiscrepancy is found, there is usuallyan attempt to have the contractor re-

vise the proposal, but the certifiedamount is based ultimately on the ar-chitect’s judgment, taking into ac-count the consultants’ opinions. Thearchitect must submit written justi-fication for payments certified inamounts less than those requested.The owner bears the final responsi-bility for payment and can pay moreor less than is certified. Underpay-ment, however, can trigger a legalchallenge by the contractor andshould not be done without docu-mented justification and consultationwith an attorney.

8. Handle closeout procedures. Whenthe contractor considers that the workis complete, it initiates contractcloseout. To do this, the contractorsubmits a request for a review by thedesign professional pursuant to sub-stantial completion. Substantial com-pletion means that the owner can oc-cupy the premises and use it for itsintended purpose. If minor items re-main to be completed, the contrac-tor’s request must include a list ofthese items, along with reasons forthe incompleteness and the dollarvalue of each incomplete item. Thecontractor must also submit all close-out documents required by the con-tract documents, including, but notlimited to, warranties, maintenanceagreements, operating instructions,certificates of inspection and occu-pancy issued by the local jurisdiction,bonds, insurance certificates, andrecord documents, including draw-ings and a project manual marked toshow all changes made during con-struction. The contractor must alsosubmit maintenance and replacementstock and keys, and must instruct theowner’s personnel in the operation ofequipment as required by the contractdocuments.

9. Upon receipt of a request for a sub-stantial completion inspection, the ar-chitect and the architect’s consultantswill inspect the project. If they con-sider the work not substantially com-plete, the architect will so notify thecontractor with a list of observed in-complete work. The contractor mustthen correct the deficiencies and sub-mit a new request for inspection. Thearchitect and the architect’s consult-ants will again visit the site and con-duct a second inspection. When the

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architect and the architect’s consult-ants deem the work to be substan-tially complete, and after all requiredcloseout materials have been re-ceived, the architect will issue a cer-tificate of substantial completion. Ifitems still remain incomplete at thattime, the certificate will be accom-panied by a list (punch list) of theseremaining items and a date, usually30 days, within which the remainingwork must be completed.

10. Issue a certificate of final completion.When the items on the punch listhave been completed and the archi-tect is convinced that all contractwork and the contractor’s other obli-gations under the contract have beencompleted, the architect will issue acertificate of final completion. Thecontractor may then submit a requestfor final payment.

11. Review and certify the contractor’sfinal request for payment. This willcomplete the architect’s basic serv-ices under most construction con-tracts.

1.9 ConstructionManagement

A construction manager usually acts asan adviser to the owner to determineprobable construction costs during thedesign phase of a building constructionproject. The construction manager mayor may not assist the owner during thebidding or negotiation phase (see Section1.7). A construction manager may be in-volved in a project during the construc-tion phase. In this case, the constructionmanager may be a separate entity or theprime contractor. In either case, the con-struction manager acts as an agent of theowner, coordinates the work of the primecontractor or multiple prime contractors,and oversees quality control for the proj-ect. Whether the construction manager isa separate entity or the prime general con-tractor, when representing the owner dur-ing construction, the construction man-ager usually bears the responsibility ofensuring that the construction project iscompleted on time and within its budget.

The architect sometimes functions asa construction manager. An AIA surveydone in 2000 showed that 36% of the re-

sponding architectural firms offered CMservices. More often, however, construc-tion management services are performedby a professional other than the design-ing architect or by the prime contractor.

CM is a relatively recent innovationin the building construction industry thathas gained a strong following. The own-ers of many major construction projectsemploy the services of a constructionmanager in some form. Colleges and uni-versities are now offering degrees in CM.Some architects have expanded theirservices to include CM.

CM services may be performed by thedesigning architect, by the prime build-ing contractor, or by a third party repre-senting neither. A construction managermay perform services in one of threeways:

1. As an adviser. In this capacity, a con-struction manager will act as a con-sultant on cost management while thedesign is proceeding, but will have no involvement in the constructionprocess.

2. As an agent of the owner. In this ca-pacity, the construction manager willconsult with the owner about costmatters during the design phase, andwill be involved in selecting contrac-tors and subcontractors and coordi-nating the work of the constructorsduring construction of the building. Inthis capacity, the construction man-ager is a consultant only and bears nofinancial responsibility for the project.

3. As a constructor. In this capacity, theconstruction manager may be in-volved in the design phase and alsoact as the prime contractor during theconstruction phase. This arrangementis usually done under a GMP agree-ment (see Section 1.7). A major prob-lem with this arrangement is that thecost estimator (the construction man-ager), the quality control overseer(also the construction manager), andthe constructor (prime building con-tractor) are one and the same. This canlead to inherent conflicts of interest. Itdoes not, however, mean that such anarrangement should not be consid-ered, so long as the owner is aware ofthe potential conflict.

Other conditions under which CM ser-vices may be provided are also possible.

Many CM projects are also done us-ing fast-tract procedures (see Section1.6). When this is done, a GMP agree-

ment is usually employed. This combi-nation allows the owner to establish amaximum cost while taking advantage ofspeedy delivery of the building and qual-ity control during construction. Often the agreement between the constructionmanager/constructor and the owner stip-ulates a guaranteed completion date.

1.9.1 ADVANTAGES ANDDISADVANTAGES OF THE CM APPROACH

1.9.1.1 AdvantagesA CM delivery system offers an owner asingle point responsibility and thus ac-countability for a construction project. Italso can lead to increased constructionand design quality and a significant costsavings to the owner. Properly done, CMshould also assure a better chance of hav-ing the building completed within is con-struction schedule.

1.9.1.2 DisadvantagesThere are inherent disadvantages of us-ing a CM delivery system for buildingconstruction projects. These are related tothe type of CM system used and the re-lationship of the construction manager tothe owner and the project. When the CMservices are performed by the construc-tor or a third party, there is the possibil-ity that providing this additional layer ofservices will increase the cost to theowner, but there is no guarantee that thisadditional cost will result in a better proj-ect. As stated earlier, there is an inherentconflict of interest that may be difficultto overcome when the same firm esti-mates the cost of the project, influenceswhich products will be used in the proj-ect, and then has to purchase those prod-ucts. Sometimes the relationships be-tween construction managers and thesubcontractors they employ can also re-sult in a conflict of interest.

The owner is somewhat better pro-tected when the construction manager isalso the designing architect. Unfortu-nately, there are drawbacks to this sys-tem as well. The owner may be con-cerned that the architect acting as theconstruction manager will protect the ar-chitect in his capacity as designer whena conflict arises during construction andan interpretation must be made. To alle-viate this and other potential problems,an owner may feel the need to engage afull-time observer to oversee the con-

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struction manager. This is an increasedcost to the owner.

1.9.2 CONSTRUCTION MANAGER QUALIFICATIONS

A construction manager must have theability to perform as an administrator,must have an extensive background in theconstruction industry, and must have ac-cumulated the knowledge of both designand construction necessary to act in thiscapacity. In addition, a construction man-ager must have the skills necessary todeal with people both on the professionallevel and in the building trades. The in-dustry skills necessary are an under-standing and ability in specificationswriting, estimating, and record keeping.A construction manager will encountermany crises during the performance ofthe work and must be able to handle themwithout floundering. Competent admin-istrative support is essential to anyone en-gaging in construction management.

A construction manager must have anextensive knowledge of the relationships

between prime contractors, subcontrac-tors, and product suppliers. An under-standing of contracts and contractualarrangements is essential.

1.9.3 SCHEDULING

Construction managers are responsiblefor scheduling and controlling many construction-related activities. Severaltypes of methods are used for schedulingthese activities. The bar chart method andthe critical path method are the ones mostwidely used.

1.9.3.1 Bar Chart MethodThe bar chart method of scheduling is theoldest scheduling control device. In spiteof the advent of computerized planningmethods, bar charts are still the mostwidely used scheduling control methodtoday. On projects with no constructionmanager, the prime contractor is usuallyrequired to submit a schedule of activi-ties and to update this schedule peri-odically, usually monthly, to show theprogress of the work. This submittal is

required as a supplement to the contrac-tor’s application for payment. Whenthere is a construction manager, he or sheis often responsible for similar schedules.

Bar charts can take several forms, butthe most common is a chart similar to thatshown in Figure 1.9-1. The table is basi-cally self-explanatory. The lighter graybar represents the scheduled (SCH) be-ginning and end of the task. The darkergray bar represents the actual (ACT) be-ginning and end of the task. Sometimesthe day of the month is indicated aboveeach box. The number in the Weight col-umn is the percentage that task representsof the entire project.

1.9.3.2 Critical Path MethodThe critical path method (CPM) ofscheduling is a computer-based, highlymathematical method that is frequentlyused on large or complex projects and isoften required as a project’s schedulingmethod, especially for government proj-ects. A detailed discussion of CPM pro-graming is beyond the scope of this book,but some basics are included here.

DESIGN AND CONTRACTING REQUIREMENTS ■ Construction Management 47

FIGURE 1.9-1 A Construction Schedule Bar Chart*

Weight2006 2007

Description of Task % J F M A M J J A S O N D J B M A M J J A

1. Strip site 8SCH

ACT

2. Footing excavation 6SCH

ACT

3. Place footings 7SCH

ACT

4. Foundation walls 12SCH

ACT

5. Column bases 2SCH

ACT

6. Steel columns 1SCH

on site ACT

SCH

ACT

SCH

ACT

SCH

ACT

SCH

ACT

SCH

ACT

*This type of chart is also known as a Gantt chart, because it is based on a chart originated by Henry L. Gantt.

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CPM begins with the production of adetailed list showing each task that mustbe performed during a particular con-struction project. An identifying code, of-ten an alphanumeric one, is assigned toeach task. For example, a task might beC1, “Clear North Site.”

Next, the relationships between thevarious tasks are identified. There arefour possible relationships: (1) Task 2bears no relationship to Task 1; (2) Task2 cannot be started until Task 1 is par-tially completed; (3) Task 2 cannot bestarted until Task 1 has been completed;(4) Task 2 cannot be completed untilTask 1 has been completed. Network di-agrams and precedence diagrams are de-veloped that show these relationships ingraphic form. Network diagrams are spider-web-like diagrams. Precedence di-agrams are charts. These diagrams showwhich task must be done before the nexttask can commence. For example, it isnot possible to begin rough grading be-fore clearing has been at least partiallydone. Obviously, some tasks will nothave to wait on other tasks to proceed.For example, Task O1, “Order Topsoil,”will not have to wait for Task C1, “ClearNorth Site,” to be completed, or evenstarted for that matter.

Once the relationship between taskshas been identified and charted, it is thennecessary to determine a duration time(how long it will take) for each task. Thisduration time is added to the network diagram.

Once the duration time has been es-tablished, a schedule is developed toshow the first date that a task can bestarted (early start date) and the first datethat it can be completed (early comple-tion date). The early completion date oc-curs on the date revealed by adding thetask duration to the early start date. Whena task cannot be started before anothertask has been completed, the early startdate for the second task is the same asthe early completion date for the firsttask.

When the schedule showing early startand early finish dates has been com-pleted, a completion date will emerge.Once the completion date has been es-tablished, it is possible to work backwardthrough the chart and determine the lat-est date that each task can be completed,as well as the latest date the each task canbe completed without affecting the com-pletion date of the project. For each task,the difference in days between the early

start date and the late start date or be-tween the late finish date and the earlyfinish date is called float time. This floattime is the maximum number of days atask can be late without affecting theproject completion date.

From the completed schedule, it ispossible to determine the critical path forthe project. A task that has the same latestart and early start date or the same earlyfinish and late finish date is on the criti-cal path. It is essential that tasks that fallon the critical path be completed by theirlate finish date to avoid jeopardizing theproject completion date.

CPM scheduling is time-consumingand costly. It will probably not be justi-fied for small or simple projects unlessthe owner demands its use. CPM sched-ules are difficult, almost impossible, toprepare without the use of a computer.Fortunately, several organizations offersoftware for CPM schedules. These include, but are not limited to, AEC Soft-ware in Sterling, Virginia; Primavera Systems, Inc., in Bala Cynwyd, Pennsyl-vania, and Microsoft Corporation in Red-wood, Washington.

1.9.4 PROJECT CASH FLOW

A construction manager involved in theconstruction phase of a project is usuallyresponsible for keeping track of theprogress of the project, and for advisingthe owner concerning periodic paymentsto the prime contractor and subcontrac-tors. The prime contractor’s monthlyprogress reports and applications for pay-ment are reviewed by the constructionmanager before they are forwarded to thearchitect for review and comment. Theconstruction manager is responsible fordetermining whether the completion per-centages shown by the contract are accu-rate, and for returning the application forpayment to the contractor for revision ifsuch is necessary. An architect involvedin the construction phase of a project isalso responsible for reviewing these fig-ures, but when a construction manager isinvolved, the architect reviews the fig-ures after the construction manager hasreviewed them and they are accepted orreturned to the contractor for revision.

When a construction manager is in-volved in a construction project, the pay-ment procedure can take more time thanfor a project where no construction man-ager is involved and may delay paymentsto the contractor. Usually the time period

from the contractor’s submittal of a pay-ment application to the required paymentis increased in the construction agree-ment to a longer time than would other-wise be required to accommodate antici-pated delays.

The general contractor’s costs of op-erations are usually not the responsibilityof the construction manager unless theconstruction manager is also the generalcontractor. In any event, control of con-struction cost is beyond the scope of thisbook.

1.9.5 OTHER CONSIDERATIONS

A construction manager is responsible fornumerous other activities. When the con-struction manager is also the constructor,many of the construction manager’s re-sponsibilities are the same as those of ageneral contractor and are beyond thescope of this book.

In addition to the functions alreadymentioned, a construction manager is re-sponsible for the same activities and tothe same extent that the architect is re-sponsible in a project where there is noconstruction manager. These responsibil-ities include observation and reporting ofsafety issues, inferior construction prac-tices, and inferior completed work; vio-lations of the construction agreement;failure to comply with the requirementsof the contract document; review of con-tractor submittals; and most of the otherarchitect’s responsibilities delineated inSection 1.8, with the exception of dutiesthat are clearly within the purview of thearchitect, such as issuing clarifications ofthe construction documents.

1.9.6 APPLICABLE AIA DOCUMENTS

AIA provides a number of documents toaid architects and owners in obtainingand developing agreements for construc-tion management services. These arelisted in Section 1.11.

1.10 AdditionalReading

More information about the subjects dis-cussed in this chapter can be found in thereferences listed in Section 1.11, and inthe following publications.

48 Additional Reading ■ DESIGN AND CONTRACTING REQUIREMENTS

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Allen, Edward. 2004. Fundamentals ofBuilding Construction: Materials andMethods, 4th ed. Hoboken, NJ: JohnWiley & Sons, Inc. (www.wiley.com).

Allen, Edward and Joseph Iano. 2001.The Architect’s Studio Companion:Rules of Thumb for Preliminary De-sign, 3rd ed. Hoboken, NJ: John Wi-ley & Sons, Inc. (www.wiley.com).

Antill, James M. and Ronald W. Wood-head. 1990. Critical Path Methods inConstruction Practice, 4th ed. Hobo-ken, NJ: John Wiley & Sons, Inc.(www.wiley.com).

Bannister, Jay M. 1991. Building Con-struction Inspection: A Guide for Ar-chitects. Hoboken, NJ: John Wiley &Sons, Inc. (www.wiley.com).

Belcher, Osmund F. 2001. “Cost Controland Schedule Control Management.”The Construction Specifier (June): 47(www.csinet.org).

Construction Specifications Institute2004. The Project Resource Manual—CSI Manual of Practice. Alexandria,VA: CSI (www.csinet.org).

———. Masterformat 2004. Alexandria,VA: CSI (www.csinet.org).

Construction Specifications Institute(CSI), American Institute of Archi-tects (AIA), and National Institute ofBuilding Sciences (NIBS). 2004. Na-tional CAD Standard Version 3.0 Up-date from Version 2.0. CSI (www.csinet.org), AIA (www.aia.org), andNIBS (www.nibs.org).

Dell’Isola, Michael D. 2001. “ContractManagement: Know Your Options.”The Construction Specifier (Septem-ber): 38 (www.csinet.org).

Foss, Rebecca. 2001. “Sustainable Build-ing.” The Construction Specifier(July): 32 (www.csinet.org).

Haney, Craig K. 2002. “ConstructionDocuments for Historic Projects.” TheConstruction Specifier (October): 52(www.csinet.org).

Hartmen, Douglas C. 2001. “Construc-tion Administration—New Tools andMethods for Efficiency.” The Con-struction Specifier (November): 56(www.csinet.org).

Hentschel, Rick. 2001. “Closing theDeal—The Role of the Project Man-ager in the Justification Process.” TheConstruction Specifier (November):46 (www.csinet.org).

Halpin, Daniel W. and Ronald W. Wood-head. 1998. Construction Manage-ment. Hoboken, NJ: John Wiley &Sons, Inc. (www.wiley.com).

Ingardia, Michael P. and G. WilliamQuatman. 2001. “Computer-AidedDesign and Electronic Documents.”The Construction Specifier (March):45 (www.csinet.org).

International Code Council. 2003. Inter-national Codes. Falls Church, VA:ICC (www.iccsafe.org).

Kepler, Stephen and Judith PinkelnyTibbs. 2000. “LEED: Good for Busi-ness, Good for the Environment.” TheConstruction Specifier (July): 27(www.csinet.org).

Langdon, Geoffrey Moore. 2001. “Ar-chitectural CADD.” The ConstructionSpecifier (May): 31 (www.csinet.org).

Liebing, Ralph W. 1999. ArchitecturalWorking Drawings, 4th ed. Hoboken,NJ: John Wiley & Sons, Inc. (www.wiley.com).

Mays, Patrick C. and B. J. Novitski.1997. Construction Administration:An Architect’s Guide to Surviving In-formation Overload. Hoboken, NJ:John Wiley & Sons, Inc. (www.wiley.com).

Nunnally, S. W. 2001. Construction Meth-ods and Management. Upper SaddleRiver, NJ: Prentice Hall (www.vig.prenhall.com).

Ramsey, Charles George, Harold ReeveSleeper, and John Ray Hoke, Jr. 2000.Architectural Graphic Standards,10th ed. Hoboken, NJ: John Wiley &Sons, Inc. (www.wiley.com).

Reifsnider, Randal J. 2002. “NationalCAD Standard.” The ConstructionSpecifier (April): 39 (www.csinet.org).

Roberts, Greg. 2001. “The Green Team.”The Construction Specifier (July): 47(www.csinet.org).

Snyder, James. 1998. Architectural Con-struction Drawings with AutoCAD®

R14. Hoboken, NJ: John Wiley &Sons, Inc. (www.wiley.com).

Stovall, Gerald L. 1995. “Project Con-tract Administration.” The Construc-tion Specifier (May): 149 (www.csinet.org).

Stratton, Peter A. 2001. “Universal De-sign.” The Construction Specifier(February): 27 (www.csinet.org).

Templeton, Peter, Tom Dietsche, andKris Price. 2001. “Green Buildings inBlack and White.” The ConstructionSpecifier (July): 29 (www.csinet.org).

Wakita, Osamu and Richard M. Linde.2002. The Professional Practice ofArchitectural Working Drawings, 3rded. Hoboken, NJ: John Wiley & Sons,Inc. (www.wiley.com).

Watson, Wayne. 2001. “Understandingand Classifying Performance Specifi-cations.” The Construction Specifier(August): 38 (www.csinet.org).

Wilson, Alex. 2001. “Identifying GreenBuilding Products.” The ConstructionSpecifier (July): 24 (www.csinet.org).

Yee, Rendow.2002. Architectural Draw-ing: A Visual Compendium of Typesand Methods, 2nd ed. Hoboken, NJ:John Wiley & Sons, Inc. (www.wiley.com).

1.11 Acknowledgmentsand References

ACKNOWLEDGMENTS

We gratefully acknowledge the assis-tance of the following organizations andindividuals in preparing this chapter. Weare also indebted to them for permissionto use their illustrations when requestedand for the use of their publications asreferences.

American Institute of Architects (AIA)(www.aia.org)

American National Standards Institute(ANSI) (www.ansi.org)

American Society of Heating, Refrig-erating and Air Conditioning En-gineers (ASHRAE) (www.ashrae.org)

ASTM International (ASTM) (www.astm.org)

BE&K, Inc. (www.bek.com)Bethlehem Steel Corporation (www.

bethsteel.com)Capital Development Board of the State

of Illinois (www.cdb.state.il.us)Construction Specifications Institute

(CSI) (www.csinet.org)Geoffrey Lee Farnsworth, AIAInternational Code Council (ICC) (www.

iccsafe.org)National Association of Home Builders

(NAHB) Research Foundation (www.nahbrc.org)

National Association of Women in Construction (NAWCI) (www.nawic. org)

National Easter Seal Society (www.cdc.gov/nasd/orgs)

National Institute of Building Sciences(NIBS) (www.nibs.org)

DESIGN AND CONTRACTING REQUIREMENTS ■ Acknowledgments and References 49

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National Institute of Standards and Technology (NIST) of the U.S. De-partment of Commerce (www.nist.gov)

Betsy A. PavichevichPlumbing-Heating-Cooling Contractors

Association (PHCCA) (www.phccweb.org)

Associate Professor Edward SteinfeldT & S Brass and Bronze Works, Inc.

(www.tsbrass.com)Underwriters Laboratories, Inc. (UL)

(www.ul.com)U.S. Architectural and Transportation

Barriers Compliance Board (ATBCB)(www.access-board.gov)

U.S. Department of Housing and UrbanDevelopment (HUD) (www.hud.gov)

U.S. General Services Administration(GSA), Specifications Unit (www.usgs.gov)

U.S. Green Building Council (www.usgbc.org)

REFERENCES

We would also like to thank the authorsand publishers of the publications in thefollowing list for their contribution to ourresearch for this chapter.

American Institute of Architects. 2001.The Architect’s Handbook of Profes-sional Practice, 13th ed. and supple-ments. Hoboken, NJ. John Wiley &Sons, Inc. (www.wiley.com).

———. “Construction ManagementChecklist.” This document is includedin Chapter 18 of The Architect’sHandbook of Professional Practice.Hoboken, NJ: John Wiley & Sons,Inc. (www.wiley.com).

American Institute of Architects (AIA).Washington, DC (www.aia.org). Doc-uments:A101, “Owner-Contractor Agreement

Stipulated.”A101/CMa, “Owner-Contractor Agree-

ment Stipulated Sum—ConstructionManager-Adviser Edition.”

A111, “Owner-Contractor AgreementForm—Cost of the Work Plus aFee with or without a GuaranteedMaximum Price.”

A121/CMa (AGC 565), “StandardForm of Agreement BetweenOwner and Construction ManagerWhere the Construction ManagerIs Also the Constructor.”

A131/CMa (AGC 566), “StandardForm of Agreement BetweenOwner and Construction ManagerWhere the Construction ManagerIs Also the Constructor; and Wherethe Basis of Payment Is the Cost ofthe Work Plus a Fee and There IsNo Guarantee of Cost.”

A191, “Standard Form of AgreementBetween Owner and Design/Builder.”

A201 “General Conditions of theContract for Construction.”

A201/CMa, “General Conditions ofthe Contract for Construction—Construction Manager—AdviserEdition.”

A305, “Contractor’s QualificationStatement.”

A310, “Bid Bond.”A312, “Performance and Payment

Bond.”A491, “Standard Form of Agreement

Between Design/Builder and Con-tractor.

A501, “Recommended Guide forCompetitive Bidding Proceduresand Contract Awards for BuildingConstruction.”

A511/CMa, “Guide for Supplemen-tary Conditions—ConstructionManager-Adviser Edition.”

A701, “Instructions to Bidders.”B141/CMa, “Standard Form of

Agreement Between Owner andArchitect, Construction Manager—Adviser Edition.”

B144/ARCG-CM, “Standard Form ofAmendment for the Agreement Be-tween the Owner and Architect—Construction Management Ser-vices.”

B352, “Duties, Responsibilities, andLimitations of Authority of the Ar-chitect’s Project Representative.”

B801/CMa, “Standard Form ofAgreement Between Owner andConstruction Manager-Adviser.”

B901, “Standard Form of AgreementBetween Design/Builder and Ar-chitect.”

G701, “Change Order.”G701/CMa, “Change Order—

Construction Manager—AdviserEdition.”

G702/G703, “Application and Certifi-cate for Payment and ContinuationSheet.”

G702/CMa, “Application and Certifi-cate for Payment—ConstructionManager-Adviser Edition.”

G703/CMa, “Continuation Sheet.”G704, “Certificate of Substantial

Completion.”G704/CMa, “Certificate of Substan-

tial Completion—ConstructionManager-Adviser Edition.”

G706, “Contractor’s Affidavit of Pay-ment of Debts and Claims.”

G707, “Consent of Surety to FinalPayment.”

G707A, “Consent of Surety to Re-duction in or Partial Release of Retainage.”

G709, “Proposal Request.”G714, “Construction Change Di-

rective.”G714/CMa, “Construction Change Di-

rective—Construction Manager—Adviser Edition.”

G722/CMa, G723/CMa, “Project Ap-plication and Project Certificatefor Payment and Project Appli-cation Summary.”

American National Standards Institute.A117.1. 2003. Accessible and UsableBuildings And Facilities. New York:ANSI (www.ansi.org).A156.10. 2003. Power Operated

Pedestrian Doors.A156.19. 2002. Power Assist and Low

Energy Power Operated Doors.American Society of Mechanical Engi-

neers (ASME). 2004. Safety Code forElevators and Escalators. Fairfield,NJ: ASME (www.asme.org).

Architectural Graphic Standards. SeeRamsey et al. (2000).

Arcom Master Systems. Masterspec. SaltLake City, UT (www.arcomnet.com).Basic Sections:01210, “Allowances,” 11/02 ed.01290, “Payment Procedures,”

11/02 ed.01310, “Project Management and Co-

ordination,” 8/04 ed.01330, “Submittal Procedures,” 11/02

ed.01352, “LEED Requirements,” 2/03

ed.01600, “Product Requirements,”

11/02 ed.01770 “Closeout Procedures,” 11/02

ed.01781. “Project Record Documents,”

11/02 ed.01782. “Operation and Maintenance

Data,” 11/02 ed.01810. “General Commissioning Re-

quirements,” 3/03 ed.“HVAC Commissioning Require-

ments,” 3/03 ed.

50 Acknowledgments and References ■ DESIGN AND CONTRACTING REQUIREMENTS

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Construction Specifications Institute.2004. The Project Resource Manual—CSI Manual of Practice. Alexandria,VA: CSI (www.csinet.org).

———. Masterformat 2004. Alexandria,VA: CSI (www.csinet.org).

Construction Specifications Institute(CSI), American Institute of Archi-tects AIA), and National Institute ofBuilding Sciences (NIBS). 2004. Na-tional CAD Standard Version 3.0 Up-date from Version 2.0. CSI (www.csinet.org), AIA (www.aia.org), andNIBS (www.nibs.org).

Halpin, Daniel W. and Ronald W. Wood-head. 1998. Construction Manage-ment. Hoboken, NJ: John Wiley &Sons, Inc. (www.wiley.com).

International Code Council. (ICC) 2006.International Codes (see section1.3.3.3 for a list of ICC codes).

Liebing, Ralph W. 1999. ArchitecturalWorking Drawings, 4th ed. Hoboken,NJ: John Wiley & Sons, Inc. (www.wiley.com).

Mays, Patrick C. and B. J. Novitski.1997. Construction Administration:An Architect’s Guide to Surviving In-formation Overload. Hoboken, NJ:

John Wiley & Sons, Inc. (www.wiley.com).

National Fire Protection Association(NFPA). 2002. NFPA 70A, “Electri-cal Code for One- and Two-familyDwellings.” Quincy. MA: NFPA(www.nfpa.org).

———. 2003. NFPA 101®. Life Safety®

Code. Quincy, MA: NFPA (www.nfpa.org).

———. 2005. NFPA 70. “National Elec-trical Code.” Quincy, MA: NFPA(www.nfpa.org).

Nunnally, S. W. 2004. ConstructionMethods and Management, 6th ed. Up-per Saddle River, NJ: Pearson Educa-tion, Prentice Hall (www.vig.prenhall.com).

Ramsey, Charles George, Harold ReeveSleeper, and John Ray Hoke, Jr. 2000.Architectural Graphic Standards,10th ed. Hoboken, NJ: John Wiley &Sons, Inc. (www.wiley.com).

Rosen, Harold J. 1999. ConstructionSpecifications Writing: Principles andProcedures, 4th ed. New York: JohnWiley & Sons, Inc. (www.wiley.com).

Snyder, James. 1998. Architectural Con-struction Drawings with AutoCAD®

R14. Hoboken, NJ: John Wiley &Sons, Inc. (www.wiley.com).

U.S. Department of Housing and UrbanDevelopment (HUD). 1988. UniformFederal Accessibility Standards(UFAS). Washington, DC: HUD(www.hud.gov).

———. 1994. Minimum Property Stan-dards for One- and Two-FamilyDwellings, HUD-4910.1. Washing-ton, DC: HUD (www.hud.gov).

U.S. General Services Administration(GSA). Index of Federal Specifica-tions, Standards, and CommercialItem Descriptions. Washington, DC:GSA (www.apps.fss.gsa.gov).

U.S. Green Building Council. 2003.“LEED NC Version 2.1 Rating Sys-tem.” Washington, DC: Green Build-ing Council (www.usgbc.org.).

Wakita, Osamu and Richard M. Linde.2002. The Professional Practice ofArchitectural Working Drawings, 3rded. Hoboken, NJ: John Wiley & Sons,Inc. (www.wiley.com).

Yee, Rendow. 2002. Architectural Draw-ing: A Visual Compendium of Types andMethods, 2nd ed. Hoboken, NJ: JohnWiley & Sons, Inc. (www.wiley.com).

DESIGN AND CONTRACTING REQUIREMENTS ■ Acknowledgments and References 51

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