BUILDING REGULATORY CAPACITY ASSESSMENT Level 1 – Initial Screening BUILDING REGULATORY CAPACITY ASSESSMENT Level 1 – Initial Screening July 2017 Building Regulation for Resilience Program The World Bank and Global Facility for Disaster Reduction and Recovery © 2017 International Bank for Reconstruction and Development The World Bank 1818 H Street NW Washington, DC 20433 Telephone: 202-473-1000 Internet: www.worldbank.org This work is a product of the staff of The World Bank with external contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. 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Photos used in this publication have been sourced from the following location with full rights: 123rf Table of Contents 07 ACKNOWLEDGEMENTS 09 OVERVIEW 11 BACKGROUND 12 1.1– Assessment is Needed to Address Dysfunctional Building Regulatory Frameworks 13 1.2– The Building Regulatory Capacity Assessment 15 WHY AN EFFECTIVE BUILDING REGULATORY FRAMEWORK IS IMPORTANT 15 2.1– Establishes Minimum Standards for Acceptable Performance 16 2.2– Reduces Uncertainty, Facilitates Trade and Stimulates Economic Growth 16 2.3– Addresses Challenges of Complex Information and Knowledge Gaps 17 2.4– Addresses Negative Externalities 17 2.5– Helps Facilitate Appropriate Solutions 18 HOW CAN THE BUILDING REGULATORY CAPACITY ASSESSMENT BE APPLIED? 18 3.1– Disaster Risk Mitigation / Vulnerability Reduction Programs 20 3.2– Disaster Recovery Projects 05 6 TABLE OF CONTENTS 21 3.3– Management of Accessible, Sustainable and Inclusive Urban Development 22 3.4– Accessible and Inclusive Built Environment 22 3.5– Climate Change Adaptation 23 3.6– Climate Change Mitigation 24 3.7– Upgrading of Informal Settlements 25 3.8– Protection of Cultural Heritage 26 SCREENING QUESTIONS AND REQUIRED INFORMATION 26 4.1– Legal and Administrative 26 Potential Informants 27 Screening Questions 29 4.2– Development and Maintenance 29 Potential Informants 30 Screening Questions 33 4.3– Implementation 33 Potential Informants 34 Screening Questions 37 QUICK ASSESSMENT SCORECARD 41 REFERENCES 43 ANNEXES 43 Annex A: Legal and Administrative 46 Annex B: Development and Maintenance 49 Annex C: Implementation Acknowledgements The development of the Building Regulatory Capacity Assessment was led by Thomas Moullier (Senior Urban Specialist, Program Team Lead), with substantial input from Brian Meacham (Senior Building Regulation Consultant) and support by Frederick Krimgold (Senior Building Regulation Consultant) and Vittoria Franchini (Disaster Risk Management Consultant). We thank our colleagues, both internal and external, who provided helpful comments and reviews on this report and on its preliminary outline. These individuals include Marc Forni, Keiko Sakoda, Artessa Saldivar- Sali, Roland Bradshaw, Guido Licciardi, Svetlana Brzev, Asmita Tiwari, Ommid Saberi, Bill Dodds, Raj Nathan, Steven Louis Rubinyi, Kim Lovegrove, Polat Gulkan, Tatsuo Narafu, Amod Dixit, David Hattis, Rebecca Laberenne, Peter May, Dan Lewis and Gonzalo Lizarralde. We thank Vladimir Herrera for the layout of the report. Special thanks are due to Senait Assefa and her team from the Global Programs Unit at the Social, Urban, Rural and Resilience Global Practice, as well as Francis Ghesquiere and his team from the Global Facility for Disaster Reduction and Recovery for their generous funding and support. 07 Title Text Overview Urbanization is simultaneously a major driver of development, wealth creation and poverty reduction, as well as one of the most pressing challenges of the 21st century. Between 1990 and 2015, the urban extent occupied by cities in less developed countries increased by a factor of 3.5.1 By 2050, up to 70 percent of people will be living in cities. Urbanization can and should be embraced as an opportunity to reduce poverty. The goal, however, can be realized only if current patterns are significantly transformed to guide urban growth in developing countries towards a more sustainable trajectory. The New Urban Agenda agreed upon in Quito in October 2016 conveys a sense of urgency by seeking to harness the transformative force of urbanization and shape the future of cities. It focuses on four major priorities: national urban policies; more effective municipal finance; territorial planning and design capacity; and laws, institutions and systems of governance to enhance the rule of law. The Building Regulatory Capacity Assessment provides an important contribution to help cities and project managers working with development agencies to implement this last priority by offering a new resource to assess building and land use regulatory systems, and facilitate the collection of critical information about the building regulatory framework in any given city or country. The Building Regulatory Capacity Assessment is comprised of the following “Level 1 - Initial Screening,” designed for government officials and project managers undertaking rapid preliminary assessments. It provides an opportunity to initiate conversations with clients and relevant parties on strategies for achieving relevant development objectives. Level 1 is complemented by a “Level 2 - Detailed Exploration”, which provides a set of guidelines for team members and contractors who are tasked with gathering and analyzing data and information about the building regulatory capacity of the target country, region or municipality. Overall, the Assessment identifies critical gaps, it provides the necessary information to develop a baseline for formulating technical assistance to clients, as well as drawing findings that can be used to determine areas for improvement and investment. As UN-Habitat points out in the World Cities Report2, effective regulatory frameworks based on accountability and clear implementation mechanisms are key “development-enablers that provide a solid forward-looking framework to guide urban development”, thus emphasizing the role of regulations as a means to integrate a wide range of societal objectives ranging from building resilience to acute and chronic risks, climate change adaptation, promoting accessibility in the built environment, reducing CO2 emissions, preserving cultural assets and attracting investment. As part of the Building Regulation for Resilience Program supported by the Global Facility for Disaster Reduction and Recovery,3 we hope that this assessment tool will offer an effective resource for interventions within a wide range of urban development initiatives in cities of low and middle-income countries. 1   Angel, 2016. 2 “World Cities Report, Urbanization and Development, Emerging Futures,” UN-Habitat, 2016. 3 www.gfdrr.org 09 01 Chapter Background Buildings are an essential component of societies and Building regulatory frameworks also facilitate economies, providing safe and healthy environments economic development and stability by establishing for people to live and work. They provide shelter from effective, efficient and reliable regulatory practices the elements, housing, as well as a space for education that incentivize economic investment. They do and work. They house critical infrastructure necessary so by providing the market with a clear set of to keep government and business in operation. In design and construction requirements and quality many countries, they represent a significant percentage standards, which in turn minimizes barriers to trade of gross national product in terms of the resources and facilitates investor confidence. They also benefit needed for design, building materials, construction education and training across the sector, from skilled labor, functional use, operations and maintenance. craftspersons to engineers and design professionals. Having a comprehensive building regulatory A comprehensive building regulatory framework framework is particularly important in low- and facilitates the achievement of many social and middle-income countries since construction industries economic objectives. Political and legal systems in in emerging markets are forecast to continue to grow many countries require that most buildings meet at a much faster rate than in advanced economies. some minimum level of performance in terms With reference to the Construction Inteligence of health, safety, welfare, energy efficiency, and Center Global 50, emerging markets accounted for accessibility. Components of the building regulatory more than half of the world’s construction output framework, including enabling legislation, planning, for the first time ever in 2012 (at 2010 US$) and by building and fire regulation, and compliance 2020 it will have a 56% share.4 mechanisms, function holistically to assure that a particular building, on a particular site, is able to “Global Construction Market Worth $10.3 Trillion in 4 achieve the minimum levels of performance. 2020 (50 Largest, Most Influential Markets),” Market Reports Store, 2015. 11 12 B ackground BOX 1.1 – Building Regulatory Framework The term “building regulatory framework” refers to the complex set of laws, a regulatory development and maintenance process and a set of regulatory documents, compliance mechanisms, education and training implementation mechanisms at the local level. requirements, product testing and certification, professional qualifications The term “building regulatory framework” used in this document and licensing schemes that support a safe, sustainable and resilient built encompasses building and land use regulations since the siting, design, environment. construction and maintenance of buildings are closely intertwined and cannot readily be treated as separate issues. This report places primary Consistent with the Building Regulation for Resilience report, the Building emphasis on building regulatory regimes with specific focus on the core Regulatory Capacity Assessment identifies three basic components that implementation activities of building codes, plan reviews, inspection and form the core of any “building regulatory framework”: a set of legal and compliance assurance. administrative documents at the national and/or subnational level; Last, but not least, building regulatory frameworks 1.1– Assessment is Needed help address emerging societal objectives. Historically, building regulation has focused to Address Dysfunctional primarily on the health and safety of occupants Building Regulatory of buildings and on helping to reduce economic Frameworks losses associated with a wide range and magnitude Unfortunately, building regulatory frameworks of hazards and disaster events. As disasters are are not always comprehensive or effective. In becoming more frequent and intense, particularly as some cases, the appropriate legal and legislative a result of climate change, building regulation must foundations may be lacking. In others, the zoning, take into account additional measures to protect building and fire regulations needed to provide the increasing number of people at risk. In addition, the necessary baseline building performance building regulation is being used to address expectations for public safety and disaster resilience emerging societal objectives such as accessibility may present gaps, or may not be working in sync. for all, affordability and resource efficiency. Far too often, even if appropriate regulations A well-designed and structured building regulatory and related technical documents are in place, the framework provides the means to address such institutional infrastructure needed to implement objectives holistically and comprehensively. the regulations and assure compliance during Conversely, deficient building regulations can result design, construction and in use, is incomplete in a vulnerable built environment that creates risk or under-resourced. Further complicating the for structures and their occupants, which leads situation, the market may be lacking appropriate to higher exposure to natural and technological educational systems, expertise, insurance hazards and undermines the attainment of instruments and related components which can development objectives. strengthen the overall framework. 01 Chapter 1.2– The Building Regulatory Capacity Assessment The Building Regulatory Capacity Assessment The Building Regulatory Capacity Assessment can be used as a tool to facilitate the collection of focuses on three critical components of building critical information about the building regulatory regulatory frameworks: framework in a particular jurisdiction, identify A) Legal and Administrative where critical gaps exist, and develop a baseline B) Development and Maintenance, and for formulating technical assistance and training C) Implementation activities. These components, are considered along with The Building Regulatory Capacity Assessment several support elements in a two-level evaluation: builds on the findings and recommendations an Initial Screening (Level 1), which aims to quickly provided in the Building Regulation for Resilience identify critical information and issues to inform report5 and aims to support project implementers initial project decisions, and a Detailed Exploration in the definition of priority areas for intervention (Level 2), intended to be carried out by experts in and project design for improving building regulatory policy and engineering, and disaster mitigation to efficiency and effectiveness across a wide range develop strategies for the jurisdiction (see Figure of development objectives, including hazard 1.1). mitigation, energy efficiency, accessibility, cultural preservation, and disaster risk reduction. Figure 1.1. Building Regulatory Components and Elements Source: “Building Regulation for Resilience,” World Bank, 2016. “Building Regulation for Resilience,” World Bank, 2016. 5 13 14 B ackground Level 1 has been designed for project managers • How an effective building regulatory framework (task team leaders or TTLs for the World Bank) can be helpful in facilitating specific project or others (e.g. government officials) undertaking objectives; preliminary assessments. Level 1 provides an • A set of initial screening questions on the opportunity to initiate conversations with clients and building regulatory framework currently in place relevant parties on strategies for achieving relevant for a particular client, and; development objectives. This initial assessment • Basic information to be collected about that will allow to quickly identify and gather existing framework. information about framework components, as well as provide a preliminary assessment of the need to The Level 1 assessment recognizes that project strengthen one or more components. managers and equivalent decision-makers may not be experts in building regulatory frameworks. Level 2 is a more detailed set of guidelines for However, by identifying the key elements within team members and contractors who will be tasked each building regulatory component, it provides with gathering and assessing detailed data and an initial baseline for determining the relative information about the building regulatory capacity completeness of the building regulatory framework, of the target country, region or municipality. Level 2 and therefore its likelihood to enhance project starts from the basic questions and information objectives as is, or with enhancements in the core gathered through Level 1, and guides the regulatory areas. capacity assessment into greater depth. Level 2 has been designed for project managers and their This Level 1 - Initial Screening can serve as a staff to help them identify in much greater detail methodology to draw preliminary findings on the data and information needed to benchmark the the status of the building regulatory framework existing building regulatory framework capacity and of concern. Such findings can be communicated to recommend changes, across all three regulatory to clients or relevant parties in the form of a set framework components. of recommendations and can contribute to the definition of specific project components and Level 1 - Initial Screening describes: activities during the conceptual and design phases • Why a building regulatory framework is important; of a project. Table 1.1. Objectives and Responsibilities for Level 1 and Level 2 Objectives Party Responsible Level 1 Initial screening Project manager/ non-regulatory expert Level 2 Detailed exploration Consultant/technical expert 02 Chapter Why an Effective Building Regulatory Framework is Important A building regulatory framework encompasses 2.1– Establishes Minimum legislation and regulation that addresses land use planning, zoning, building and fire regulation; Standards for Acceptable supporting infrastructure, including education and Performance training of key actors; and market instruments, In order to achieve uniformity in building such as insurance. Building regulatory framework performance relative to hazard resiliency, occupant components function holistically to assure that a safety, sanitation, energy efficiency, or related particular building, on a particular site, exposed to objectives, a set of minimum design, construction well-characterized hazards, is able to achieve the and maintenance standards is needed. Left solely minimum levels of performance. to the market, there could be significant variation Comprehensive building regulatory frameworks in the minimum level of building performance, are enablers. They enable safe, healthy, energy- within and between communities, over a wide efficient, accessible, and disaster resilient buildings range of building functions and occupancy. This by providing a robust socio-technical framework. can be seen in low-income countries, where The framework helps the market understand what there may be little or no regulation of informal is expected, provides tools for use by the market settlements, as well as in high-income countries, to deliver well-performing buildings, and provides where comprehensive compliance mechanisms and the necessary oversight to help assure designs and property insurance requirements may facilitate constructed buildings meet societal expectations. highly resilient buildings in some building types or The following are some ways in which building jurisdictions, but be largely absent in others. regulatory frameworks achieve this. 15 16 W h y an E ffective B uilding R egulatory F ramework is I mportant For such reasons, governments often find it and performance, and led to common testing and necessary to intervene in the market to ensure labeling. This significantly reduced differences certain minimum, uniform standards of health, in how products were assessed between member safety and welfare across a country, region states, and facilitated movement of products across or municipality. As new global pressures and borders, stimulating regional economic activity. challenges emerge, such as climate change, accommodating increased urban densification, 2.3– Addresses Challenges rapidly aging populations, and access for all within of Complex Information and the built environment, a robust building regulatory framework and human capacity to support the Knowledge Gaps framework is essential for identifying solutions for a Building regulation provides consumers and more sustainable and resilient built environment. investors with confidence that all buildings of a similar type constructed within a jurisdiction 2.2– Reduces Uncertainty, are benchmarked against the same standards. Facilitates Trade and This can serve to reduce uncertainty in real estate transactions and to help increase the value Stimulates Economic of real estate assets. For example, Japan, Peru Growth and some other seismically risky countries use ‘earthquake-safe structure’ as a value-add feature Building regulations outline a common set of in advertisement. The requirement for energy requirements for buildings to be constructed within, performance labeling of buildings within the EU and sometimes between, jurisdictions. For most Energy Performance of Buildings Directive (and buildings, this allows a high degree of certainty in now Regulation) is used to advertise energy efficient terms of factors such as acceptable methods and buildings as a value-add feature. materials of design and construction, minimum building features and functions, and approval of This role of providing knowledge and confidence designs. For the market, this means that operational is important, as it is difficult for some buyers and efficiencies can be gained across the product users of buildings to ascertain and understand certification and building design, construction and some building characteristics. Purchasers, who approval processes. are infrequent buyers, are not easily able to check that the building meets the qualities they A building regulatory framework can also beleave they are paying for and are often not facilitate trade between jurisdictions, offering even aware of what could go wrong. Also, users minimum performance and quality criteria and (such as tenants and workers) are often not in a a clear path to approval of building products position to fully assess building performance, as and materials. This has been exemplified by the once a building is completed some aspects are EU Construction Products Directive (and now concealed and impossible to inspect thoroughly. Regulation), which set out essential requirements For investors, regulations reduce uncertainty about for construction products in terms of function expected building performance across several 02 Chapter key performance indicators, including resiliency countries. A building regulatory framework designed to hazard events, energy efficiency, comfort and for the USA, for example, is not likely to be directly accessibility. This can have a positive influence on applicable to a low- or middle-income country for stimulating the wider market. a wide range of reasons, including legal structure, litigation environment, licensure of technical 2.4– Addresses Negative professionals, level of available technology, implicit Externalities level of acceptable risk and availability of risk transfer mechanisms, and education and training One potential aspect that a market-based approach requirements for local crafts-persons. may not adequately address is spillover costs: the negative impacts experienced by people other than A comprehensive building regulatory framework those directly engaged in a particular activity. In the designed for a specific country will provide a absence of government intervention or other means robust socio-technical framework within which the of action, the responsible entity does not bear the country can identify and address physical, social, full costs of the adverse effects and, therefore, has cultural and economic conditions and needs and no incentive to mitigate or compensate for related can facilitate interactions between government outcomes. Other aspects of buildings that may have institutions, the market and the public to deliver adverse effects include: appropriate solutions. For example, a building regulatory framework can consider local building • Deficiencies in building safety, wherein damage materials, technology and skills, as well as local to one building can impact surrounding buildings climate conditions and natural hazard concerns, to and people (e.g., via fire, collapse or natural deliver resilient, energy efficient and cost-effective hazard events); designs. • Incomplete sharing of liabilities across design professionals, contractors, operators; An appropriate building regulatory framework is one • Adverse environmental impacts from emission in which the required legal and social foundations of toxic substances resulting from fires and other are in place, appropriate regulatory instruments events; and and enforcement mechanisms are designed and • Adverse environmental impacts from energy use, implemented to the educational, technological and where the price does not reflect the effects of resource capacity of the jurisdiction, and supporting greenhouse gas emissions or other pollution. regulatory infrastructure and market mechanisms (e.g., insurance) are operational and effective for 2.5– Helps Facilitate that environment. Appropriate Solutions As a general rule, there is no ‘one size fits all’ solution for any of the numerous complex socio- technical challenges which exist within and between 17 03 Chapter How Can the Building Regulatory Capacity Assessment Be Applied? The Building Regulatory Capacity Assessment assists 3.1– Disaster Risk Mitigation project managers, government officials, and other interested and affected parties identify gaps in building and Vulnerability Reduction regulatory framework. It is applicable to a wide range of Programs project types, and can be implemented at various stages There is widespread understanding that it is of assessment and planning (see Figure 3.1 below). significantly more cost-effective to mitigate risk before an event occurs, rather than to recover from a catastrophe. This does not mean implementing Figure 3.1 – Applicability every possible risk reduction option, but to Disaster of the Building Regulatory Vulnerability seek optimization of risk reduction measures as Reduction Capacity Assessment ry ve on co cti compared with unmitigated loss expectations. e R r u er st st on i sa Rec Risk reduction strategies must take into D d an Building Regulatory Climate consideration the balance between risk reduction Change Capacity Mitigation opportunities and associated costs, as well as and Cultural Assessment Adaptation potential risks and associated losses. In general, Heritage Protection risk reduction strategies must aim for the highest and Restoration Disability and level of protection and safety that can be achieved Sustainable Inclusive Urban Development with available resources. In many respects, building regulatory frameworks are mechanisms for optimizing societal risk reduction as associated with reducing risk in the built environment. 18 How C an t h e B uilding R egulatory C apacity A ssessment B e A pplied ? 03 If an effective building regulatory framework The data show a clear correlation between changes is in place, natural and physical hazards are in the Building Standards Law, which covers seismic understood and addressed by relevant legislation design and construction practice, and earthquake and regulations, which together with market damage reduction. Similar trends have been illustrated mechanisms, ensure that risks are mitigated to a in reports from other earthquakes in Japan as well.8 socially and economically tolerable level. There are similar examples which reflect the Consider fire deaths in the USA over the past 40 potential for damage reduction due to regulatory years. In 1977, the number of deaths due to fire changes in various articles and reports, including a was about 7,400. By 2016, that figure had dropped to about 3,200.6 Each year, the majority of deaths 8 “Building Codes and Tradeoffs for Earthquake Risk were in the home. While the type of predominant Reduction: Disaster Management for Housing, Proceedings,” Maki and Hayashi, 2000. domestic housing construction stayed the same – lightweight timber framed buildings – the addition of home smoke alarms, changes to flammability requirements of furniture and bedding material, and Figure 3.2 – Damage of Wooden Structures in 2016 a reduction in smoking by the US population led Kumamoto Earthquake to a significant reduction in the number of home No Damage Minor-Moderate Damage Severe Damage Collapse fire deaths. These relatively low-cost mitigation 2.2% measures resulted in significantly reduced deaths 8.7% 3.7% and injuries due to fire, as well as lower death rates 27.9% 9.5% and healthcare costs associated with the reduction 32.8% in smoking. Consider also seismic risk reduction in Japan, as 17.7% evidenced by changes to the Building Standard Law for seismic performance. For example, Figure 61.5% 3.2 7 reflects the percentage of wooden buildings damaged by the 2016 Kumamoto Earthquake, for buildings constructed to the May 1981 version of the 61.3% 49.1% Building Standard Law, the version in place from May 1981 to June 2000, and after June 2000. 20.3% 6 “Fire Loss in the United States During 2015,” Haynes, 5.3% 2015. 7 Adapted from “Quick Report of the Field Survey on the Old Code New Code Revised New Code Buildings Damage by the 2016 Kumamoto Earthquake,” (May 1981) (June 1981 - May 2000) (June 2000) National Institute for Land and Infrastructure Management, Building Research Institute, 2016. 19 20 How C an t h e B uilding R egulatory C apacity A ssessment B e A pplied ? World Bank assessment on disaster risk reduction can reduce the probability for a similar event to for schools.9 Examples such as these provide a high reoccur in the future. In cases where catastrophes level of confidence that similar and possibly higher are linked to concentrated population groups, it is levels of disaster risk and vulnerability reduction likely that gaps in the building regulatory framework can be effected in low- and middle-income countries contributed to the loss – perhaps in terms of where with enhanced building regulatory frameworks. the buildings were sited, how the buildings were designed and constructed, or how the buildings were The Building Regulatory Capacity Assessment operated and maintained. is a first step towards evaluating the ability of a building regulatory framework to meet such For example, in 2015, the Government of Jammu objectives, identifying areas for improvement, and Kashmir (GoJK), with financial support from and indicating the extent to which risk and loss the World Bank, commenced a recovery project10 to restore and strengthen critical infrastructure reduction can be achieved. This initial assessment such as schools, hospitals, fire stations and of the three main components – (A) Legal and government administration buildings at district Administrative, B) Development and Maintenance levels. A key feature of this project is not only and C) Implementation) – provides a baseline of the restoring the original function, but to reconstruct situation. Subsequently, a more detailed assessment with higher functional standards to strengthen can be carried out to include scenario analysis, disaster mitigation capacity at the state level. One benefit-cost analysis, and other related analyses to area in which GoJK is seeking to enhance capacity define where and how enhancements to the building is an implementation of building codes and land regulatory framework can reduce disaster risk and use regulation. A broad assessment of regulatory vulnerability. Outcomes can then more completely capacity is now under way to initiate critical inform investment options. While an opportunity discussions between public authorities and private for developing a project can occur at any level (A, professionals and develop targeted activities to B or C), a review of each component provides the achieve such objectives. most complete picture. As in the example above, the Building Regulatory 3.2– Disaster Recovery Capacity Assessment provides a helpful tool Projects in identifying the extent to which the building regulatory framework, in particular its shortcomings When a disaster occurs, a priority is naturally to or gaps, contributed to the loss, and more help the country, region or municipality recover and importantly, how reform can help reduce the return to some semblance of normalcy. There is also potential for a similar loss to reoccur in the future. an opportunity to assess the factors that contributed Regulatory reform undertaken in Japan (see earlier to the catastrophe and implement measures that discussion) and the USA are evidence of how 9 “Roadmap for Safer Schools,” World Bank, 2016. Jhelum Tawi Flood Recovery Project, World Bank. 10 03 Chapter disasters triggered reforms that effectively reduced of operatives with the necessary skills and an disaster risk. In the USA, significant earthquake over-reliance on quality management or assurance losses in the first half of the 20 Century facilitated th systems. the implementation of the National Earthquake Hazard Reduction Program, which funded research 3.3– Management of that supported changes to earthquake design and regulation, with benefits observed in the 1994 Accessible, Sustainable Northridge earthquake and others since. In India, and Inclusive Urban the 2001 Bhuj earthquake, which killed around Development 14,000 people, injured 167,000 and damaged or destroyed over 1.1 million homes, prompted an Globally, urban development is expanding rapidly institutional reaction led by the government, which as populations migrate to cities seeking better set up the Gujarat State Disaster Management employment opportunities, access to medical Authority. The Authority was tasked with the care and other services, and increased safety. It is responsibility to oversee the reconstruction estimated that the pace of new construction in the program and promote long-term disaster mitigation. next 20 years will lead to a doubling of building More broadly, the earthquake also led to key stocks in low- and middle-income countries and it improvements at the national level, including a is expected that between 2015 and 2050 the urban stronger focus on seismic safety in the national built-up area will increase by a factor of 3.7.12 A agenda and the introduction of new codes and strong building regulatory framework can be a improvements in building practices.11 highly effective tool for facilitating sustainable, inclusive, safe and resilient cities and communities. The Building Regulatory Capacity Assessment also helps to identify other shortcomings that can Rapid urbanization and expansion can be difficult contribute to disasters of a different type, the risk of to manage, as the rate of growth can be faster than which can also be mitigated through enhancements expected, the employment opportunities may not in the building regulatory framework. For example, exist, and the social and physical infrastructure investigation into a fire that led to a structural needed to support expansion may not yet be in collapse of a building might illustrate problems with place. With respect to the built environment, both fire and structural regulation and enforcement, there can be a number of challenging issues: and indicate that the potential exists for structural the population may be larger than the available collapse from other hazards, such as earthquakes. formal housing capacity; informal construction Contributing factors could be the content of the may be occurring in hazardous locations, and the building code, quality of materials and construction, construction itself may be posing hazards to the capacity of the enforcement community, and lack community; mechanisms for control of formal construction may be out of sync with the types “Earthquake Safety in India: achievements, challenges 11 and opportunities,” Jain, 2016. Angel, 2016. 12 21 22 How C an t h e B uilding R egulatory C apacity A ssessment B e A pplied ? of buildings being constructed and the associated the outset of any master planning and management hazards (e.g., high-rise residential and office of urban expansion. buildings being built under a framework which did not contemplate such buildings and the risks they 3.4– Accessible and pose to occupants if not adequately mitigated); and appropriate fire and emergency response capacity Inclusive Built Environment may not exist. The World Bank and the World Health Organization estimate that 15 percent of the world’s population For example, a study undertaken in Nigeria related have some kind of disability, with 80 percent living to building collapses13 reviewed some 14 building in developing countries.15 Effective implementation collapses between 1990 and 2009, where more of building standards for accessibility and than 280 casualties were reported. It was found protection of persons with disabilities and the that several of the buildings were ‘high-rise’ and elderly requires policies and principles to be inadequate consideration of soil conditions and translated into actual changes in the configuration suitable regulations were contributing factors. In of the built environment. Implementation of particular, it is stated that “the great incidence of policies for the inclusion and protection of building collapse in Lagos and Port-Harcourt indicate persons with disabilities and the elderly depends that the nature of the soil is very central and a significantly on the capacity and competence of culprit in the building collapses especially during the building regulatory institutions. raining season when most of the collapse took place” (p42). Strengthening building regulatory capacity The Building Regulatory Capacity Assessment can was identified as a necessary measure: “elimination be used to investigate the legal foundations for of quackery14 in building professions, ethical accessibility requirements in buildings, such as building delivery procedures, appropriate statutory Civil Rights legislation (e.g., the Americans with building permit processing procedures, professional Disabilities Act (ADA)), and to facilitate guidance supervision of construction projects by competent for design of buildings that accommodate people manpower from clients and relevant government of all abilities to access, use and safely egress with bodies, regular post-occupancy building assessment dignity during normal and emergency situations and enforcing Nigerian building code 2006.” (e.g., ADA Standards for Accessible Design). In such contexts, the Building Regulatory Capacity Assessment can help identify these issues, and how 3.5– Climate Change a robust building regulatory framework can be used Adaptation to help mitigate concerns. This is especially true at With the changing climate, many parts of the world 13 Environmental Disasters and Management: Case Study are vulnerable to new or more extreme hazards of Building Collapse in Nigeria,” Adeniran, 2013. 14 The term ‘quackery’ is a colloquialism for a person with “World Report on Disability,” World Health 15 fraudulent or no qualifications. Organization and World Bank, 2011. 03 Chapter than any time in recent history. Sea level rise is and (c) helping reduce disproportionately higher creating increased flood and storm surge risk. and less effective commitments on emergency and More intense storms, can result in considerable response activities. damage to buildings which are not designed for high winds, excessive moisture and related effects. 3.6– Climate Change Prolonged drought conditions, especially in areas not previously prone to such, present a wide range Mitigation of issues, including increased risk of wildland fires, In addition to creating more resilient communities, wildland-urban interface fires, serious building efforts must focus on promoting a more sustainable fires, and even conflagration, as combinations of built environment. Carbon contributions from dry conditions, hot temperatures, high winds, and the built environment are a recognized concern. lack of firefighting water can combine to create More than half of all resources consumed globally catastrophic conditions. are used in construction and almost half of all energy generated globally is used to cool, light, and Climate adaptation requires adjustments in building ventilate buildings. Moreover, buildings account for siting, design, and construction. Uncertainty 18 percent of greenhouse gas emissions—a share regarding projected hazards’ characteristics expected to double by 2050 as more people migrate poses a unique challenge for the establishment to urban centers.16 While, numerous technologies and implementation of environmental, health and strategies exist for achieving more sustainable and safety standards. Adaptation requires future or ‘green’ buildings, such as LEED, BREEAM, or oriented hazard mapping and calculation of EDGE,17 many of these tools are applied in an extra- expected hazard loads on structures.  It is of regulatory fashion, which can sometimes add cost critical importance that mechanisms for land use, building and fire regulation are established to 16 “Mitigation of Climate Change,” Working Group III apply knowledge and guide future investment and Contribution to the Fifth Assessment Report of the infrastructure development. Intergovernmental Panel on Climate Change, Inter- governmental Panel on Climate Change (IPCC), 2014. 17 Leadership in Energy and Environmental Design Protection of existing settlements in a cost- (LEED) is a rating system developed by the US Green effective manner will require a dynamic regulatory Building Council to evaluate the environmental approach that guides adaptation in advance of performance of a building and encourage sustainable design (www.usgbc.org/leed). growing hazard effects. The Building Regulatory BREEAM is a sustainability assessment method for Capacity Assessment can help assess the potential masterplanning projects, infrastructure and buildings exposure to climate change risks and vulnerabilities. (www.breeam.com). EDGE Green Buildings Certification System is an IFC Investment into effective implementation of initiative that offers tools for assessing the financial building regulations will contribute to: (a) limiting viability of a green building project and provides the expansion of disaster risk in the siting and options for reducing energy and water consumption with the goal of promoting and incentivizing the construction of new settlements; (b) reducing construction of green buildings in emerging markets disaster risk in vulnerable existing settlements; (www.edgebuildings.com). 23 24 How C an t h e B uilding R egulatory C apacity A ssessment B e A pplied ? and result in ‘competing objectives’. An example of as a consequence of the high influx of refugees the latter is encouraging the use of more thermal seeking safety from war, famine, climate-change insulation for buildings, which if it is combustible, related natural hazards and other events, or those can increase the risks associated with fire (i.e., by in search of gateways to markets, employment adding additional fuel load). If photovoltaic panels opportunities and access to urban services. More are added to a building, which happens to have such environments might be expected in the near combustible insulation, the ignition and fire risks future as urban settings expand more quickly than increase. the social, economic and physical infrastructure can support. However, if sustainability and safety objectives are both considered within the building regulatory The problem is not one of simply large numbers environment, suitable mechanisms can be put into of people, but of having the legal, social, technical place to encourage sustainability without increasing and economic frameworks in place to support the fire safety risk. The Building Regulatory Capacity growth in population at a socially acceptable level. Assessment can identify where potential conflicts The lack of good governance regarding building exist between sustainability and safety objectives, location, design, construction, materials, safety and and result in appropriate mechanisms to reduce sanitation is a critical factor in this regard. or eliminate them, based on the structure and In some cases, people and builders in low-income interaction of the associated enabling legislation, settings have integrated risk into their building regulations, enforcement, and market mechanisms. practices, developing informal coping strategies for the enhancement of local resilience. The 3.7– Upgrading of Informal Dhaji Dewari and the Taq type constructions in Settlements Kashmir and Himachal Pradesh and the Assam type constructions in the Assam region, for example, A characteristic of many urban environments, are common resilient building practices developed particularly but not exclusively in low- and middle- locally in response to devastating earthquakes income countries, are areas of informal settlements and with the goal of strengthening resilience to and/or slums. According to UN-Habitat, one in eight acute shocks. Many of such practices, though people (or a total of one billion) live in slums and widespread, are almost never recognized by formal the number continues to grow. Some of these areas building and land use systems, which has inevitably developed as a result of socio-economic inequality widened the gap between the formal and informal and an absence of social policies to support those built environment. Such shortcomings in building at the bottom of the pyramid. Others have emerged regulatory framework governance can place 03 Chapter inhabitants at much higher risk to illness and injury, stood the test of time with respect to resiliency with the potential impact from chronic hazards, against a wide range of hazard events, they may such as fire, and natural hazards resulting in far not be constructed in a way that reflects current more extensive damage than for similar events that social norms regarding accessibility, safety or might impact regulated buildings. energy efficiency. Adding features to facilitate these objectives, in a historically- and culturally- The Building Regulatory Capacity Assessment sensitive manner, can be a challenge. In addition, can be helpful in assessing the role of a building inadequately implemented modifications over regulatory framework to respond to specific decades or centuries may have inadvertently needs of a jurisdiction in incrementally bringing reduced the building’s resiliency to various hazards. appropriate levels of planning, building and fire regulation to these settlements, so as to increase In some countries, specific regulatory mechanisms the levels of health, safety and welfare of the and instruments have been implemented for occupants. The Building Regulatory Capacity addressing the needs of existing buildings and Assessment can help identify and avoid challenges heritage buildings. This includes specific building such as implementing regulatory instruments codes, engineering approaches for risk mitigation, that are beyond the capacity of the jurisdiction, and risk management and mitigation strategies.18 The applying technology that is not known, not local and Building Regulatory Capacity Assessment can help beyond reasonable market capability, or achieving identify aspects of a building regulatory framework unreasonable expectations for compliance. that respond to such specific needs, and can result in recommendations for how the framework can be 3.8– Protection of Cultural enhanced to address related challenges. Heritage Existing buildings, be they several decades or several centuries old, present a wide range of challenges, including safety of occupants or visitors, energy efficiency and accessibility for all. This can be particularly true for designated cultural heritage sites, where the intent is to protect the historic 18 For example, see: www.worldbank.org/en/news/ fabric of the building from destructive change while feature/2016/08/08/supporting-lebanons-cultural- providing safe access to the visiting public. heritage-as-a-driver-of-job-creation-and-local- economic-development and www.worldbank.org/en/ While many historically significant buildings have news/feature/2016/12/22/cultural-heritage-project- strengthens-economic-community-activity-in-lebanon 25 04 Chapter Screening Questions and Required Information This chapter identifies information of importance in place to implement and support a comprehensive to the Building Regulatory Capacity Assessment. building regulatory framework. Additional detail is Questions reflect key data to be collected, provided in Annex A. and commentary is provided as to why it is Potential Informants important. As this information is being collected, it is important that verbal or summary written Texts of legislation and laws related to building communication alone is insufficient: verification of regulation may be accessible. It may also verbal statements and written summaries should be necessary to consult with local experts be made on site (e.g. check if laws exist, obtain in construction law and parties active in copy of building regulation, verify that referenced the construction sector including building documents for reviews are available on building professionals, contractors and owners to officials’ desk, see if those referenced documents understand the actual functioning of the legal are really used (e.g., look for audits), undertake process. In the case where responsibility for code actual headcount of staff; etc.). development and implementation has been clearly assigned, those agencies should be consulted. 4.1– Legal and Administrative In a unitary (national) government framework, starting at the ministerial level (or equivalent) will This first component of the Building Regulatory be helpful. In federal frameworks, one will need to Capacity Assessment focuses on identifying whether reach out to parties at each level of government, the necessary legal and administrative structure is consistent with project objectives. 26 S creening Q uestions and   R equired I nformation Screening Questions Questions Why This is Important 4.1.1 What is the form of government: national / centralized, In a national government, the enabling legislation for building federation, or other? regulation will be at the national level. In a federation, the enabling legislation may be at the state (territory, provincial) level. However, even in a centralized system, it is important to understand the level of decentralization that may render national and sub-national laws and regulations at odds. 4.1.2 Which acts, decrees, laws or similar enable the regulation of: The first step in the assessment process is to identify whether (a) the use or condition of land upon which a building can the fundamental enabling legislation for such regulations is in be constructed (i.e., planning or zoning), and whether place. For disaster mitigation and related projects, land use, disaster risk management elements are integrated into the building design and construction, and fire safety regulation legislation; is critical, so related enabling legislation must be in place. (b) the design, construction and operation of buildings, and A parallel condition exists for other areas where regulation the strengthening or upgrading of existing buildings; can be helpful (e.g., energy conservation, accessibility, etc.). (c) fire prevention / control, and/or the fire service; Obtaining text of the relevant legislation is needed for the (d) resource / energy conservation; assessment. (e) accessibility / usability rights; and (f) historic / cultural heritage preservation? 4.1.3 Are there regulations18 for the following: Assuming the enabling legislation is in place, it is then (a) land use planning/zoning; important to understand what specific regulations are in place (b) building design and construction, and retrofitting of in each pertinent area. It will be necessary to obtain text of the existing buildings; pertinent regulations. (c) fire prevention; (d) resource / energy conservation; (e) accessibility; and (f) historic / cultural preservation? 4.1.4 What entity has primary responsibility for the development of The development and promulgation of regulations may not be regulations for: by the same entity, so it is important to know what entity is (a) the use or condition of land upon which a building can be responsible for each function. For example, development may constructed (i.e., planning or zoning); be by a private sector ‘model code’ development organization, (b) the design, construction or operation of buildings; but promulgation is typically the responsibility of government. (c) fire prevention / control, and/or the fire service; Here we need to know which entities are responsible for (d) resource / energy conservation; the development of the associated regulations. It will also be (e) accessibility / usability rights; and helpful to know if influence peddling or corruption is of concern (f) historic or cultural heritage preservation? in the client country, as it might influence development of the regulation. 4.1.5 What Ministry, Agency, Department or other entity has primary The development and promulgation of regulations may not be responsibility for promulgation of regulations for: by the same entity, so it is important to know what entity is (a) the use or condition of land upon which a building can be responsible for each function. For example, development may be constructed (i.e., planning or zoning); by a private sector ‘model code’ development organization, but (b) the design, construction or operation of buildings; promulgation is typically the responsibility of government. Here (c) fire prevention / control, and/or the fire service; we need to know which entities are responsible for promulgating (d) resource / energy conservation; the associated regulations. It will also be helpful to know if (e) accessibility / usability rights; and influence peddling or corruption is of concern in the client (f) historic or cultural heritage preservation? country, as it might influence promulgation of the regulation. 18 Note that the term ‘regulation’ is used to encompass the document, or set of documents, which define the legally mandated building requirements. With respect to buildings, such documents may be referred to as Building Regulations (as in England), Building Codes (as in Australia and the USA), or Building Standards (as in Scotland, or the Building Standard Law, as in Japan). 27 28 S creening Q uestions and   R equired I nformation Questions Why This is Important 4.1.6 Which acts, decrees, laws or similar enable the regulation / The extent to which the professions and trades associated licensing / certification of, and define the roles of: with design and construction are controlled, including (a) architects / planners; minimum qualifications and competency requirements, (b) engineers; experience, and so forth, can have a significant influence on (c) builders (carpenters, masons, …); the quality of construction and compliance with regulation. (d) trades (plumbers, electricians, …); Identifying who is controlled by legislation, and how, is the first (e) contractors, installers, …; step in the assessment process. (f) building / fire officials (inspectors, …); and (g) third-party reviewers? 4.1.7 Which acts, decrees, laws or similar enable the regulation / The extent to which construction materials and contents are certification / testing / quality control of: controlled, in terms of quality, strength, and overall fitness for (a) building materials (e.g., steel, timber, masonry, concrete, …) purpose, can have a significant effect on the ultimate safety, (b) building products and systems (e.g., walls, doors, windows, health, energy or other performance of a building. Identifying heating appliances, lighting systems, etc.); and what legislation and regulation is in place with respect to (c) contents or aspects of contents (e.g., materials which may material control is important. It will also be helpful to know if be toxic, …)? corruption is of concern in the client country, as it relates in this case to building materials. 4.1.8 Within the legal framework of the country, which stakeholders Who has liability in relation to compliance with regulations, have responsibility, accountability and liability with respect to and how liability is apportioned, are importance aspects to assuring compliance with building-related legislation, and how understanding the effectiveness of the regulatory framework is the responsibility and liability apportioned? and what measures are needed to facilitate enforcement. 4.1.9 Within the legal framework of the country, what types and Closely related to the above, understanding what penalties forms of penalties are possible with respect to non-compliance are in place for non-compliance, and the extent to which they with building-related regulations, and to what extent are such are enforced, provides insight into the effectiveness of the penalties levied? regulatory framework. 4.1.10 Is there legislation in place that facilitates the establishment Many jurisdictions utilize fees or levies on various stages of the and collection of fees or levies that can be used to financially building regulatory process, including when applying for permits support implementation of regulations for planning, zoning, to build, for plan review and approval, and for inspection and design, and construction of buildings? witnessing of building commissioning. The intent here is to identify the enabling legislation or regulation used to allow and govern the fee levels that can be charged. 04 Chapter entity within a state, territory or province. In some instances, 4.2– Development and the entities may be commissions or boards (e.g., Building Maintenance Regulation (Code) Commission, Board of Building Regulations). This structure may also be observed at a county or municipal The second component of the Building Regulatory Capacity level. Occasionally, the regulatory development process may be Assessment focuses on the regulatory documents themselves: managed by a non-governmental organization (as in the case those documents that define and describe specific requirements of the USA) or quasi-governmental organization (such as in that must be complied with, as well as how they are developed Australia, Austria, and Canada). In such cases the assessment and maintained (updated). This includes land use planning, questions should be addressed to the relevant official of that building and fire regulation. More background discussion is organization. provided in Annex B. Potential Informants First contact may be made with the head of the government entity designated with primary responsibility for development and maintenance of the building regulations. Within a unitary (national) government system, this may be a unit of the ministry concerned with construction, urban development or other (e.g., Ministry of Construction, Public Works, Economic Development, etc.). Regulation related to buildings may also reside with the ministries of Health, Energy, Civil Defense or Interior. Within a federal system, this may be the equivalent 29 30 S creening Q uestions and   R equired I nformation Screening Questions Questions Why This is Important 4.2.1 What are the sources for hazard / risk data, maps, etc. Hazard and risk data, as used in regulations, needs to come from reference in the regulations (land use planning, zoning, a credible source, such as a relevant government ministry, agency, building, and fire)? etc. in the country of the project. It is important to understand the level of institutionalization (e.g., research program, or fixed bureau/agency) of these sources, and mechanisms/frequency of updating, especially exposure and fragility information. 4.2.2 Do formal land use planning / zoning regulations exist, and if For any building project, and in particular for projects so, do they incorporate: addressing disaster risk and vulnerability mitigation, disaster a) hazard maps or related means that identify areas in which recovery, and urban densification, it is critical to have a set building is not permitted due to natural hazards; of comprehensive planning, building and fire regulations in b) hazard maps or related means that identify minimum place. This first question focuses on the land use planning and separation between residential and hazardous zoning regulations, as this gets to the issue of what building occupancies; can be constructed in which locations, and to what extent are c) maps or related means that identify areas in which those locations within, or external to, hazards that need to building is not permitted in relation to natural resources; be mitigated (natural or man-made). Obtaining text of such and regulations is essential. d) requirements for infrastructure associated with building density, population or related factors? 4.2.3 Do formal building regulations exist, and if so, do they have In low and middle-income countries, building codes, if they specific provisions for, or is there a separate building code, for exist, may not include provisions related to indigenous, indigenous, “non-engineered” and/or “informal” construction “non-engineered” and/or “informal” construction. Significant (buildings)? By ‘formal’ we mean adopted by law and are vulnerability resides in the buildings of the “informal” sector, in enforceable, and not used simply as guidance. particular, so having this information is critical to investment decisions. Texts of regulations will be needed. 4.2.4 If building regulations exist, do they incorporate provisions for: The extent to which a building regulation comprehensively a) structural design for normal and expected loading and addresses the wide range of health, safety, welfare, hazard conditions; sustainability and resiliency issues will have a direct b) material requirements (e.g., strength, testing, quality, etc.); relationship to the effectiveness of the building regulation c) means of access and egress, including for people with in mitigating health, safety & welfare vulnerabilities, and/or disabilities; enhancing sustainability and resiliency objectives. If a robust d) fire prevention and protection systems; building regulation is not in place, there can be significant e) mechanical systems (e.g., heating, cooling, ventilation); questions around the quality of buildings and the performance f) plumbing & sanitary systems; they deliver. If a robust building regulation is not in place, there g) electrical systems; may be need for investment to put a framework into place, h) energy / resource efficiency; before construction / reconstruction, to help assure objectives i) elevators, escalators and lifts; for buildings are met. j) fire service access; and k) environmental protection? 4.2.5 With respect to material requirements (e.g., strength, testing, The utility of comprehensive material performance criteria quality, etc.), are the requirements consistent with the in the regulations is reduced or can even be negated if there quality of locally available materials, and are accredited test are not materials locally available that can be, and have been laboratories locally available to accredit local materials? tested and certified to meet, the requirements. It is important to make sure that the regulatory requirements match available materials and production capacities, and that local, accredited and trusted laboratories exist to certify materials against the material performance requirements. 04 Chapter Questions Why This is Important 4.2.6 If building regulations exist, do they have: Robust building regulations differentiate structural, moisture, a) hazard maps identifying expected natural hazard loads by wind and related requirements according to the geographic region; distribution of expected loads or disaster impacts. Hazard b) requirements for structural resistance to expected hazard (or risk) maps are used to show such vulnerable areas as loads; flood plains, earthquake and liquefaction zones, wind, rain c) importance factors for critical facilities; and snow loads, storm surge and tsunami hazard areas, and d) requirements for resistance to moisture penetration of the wildland (bush) fire prone areas. Important facilities, which building envelope; and need to operate during emergencies, including as safe refuge e) requirements for fire separation from other buildings, for people, may require higher levels of performance during wildland interfaces, etc.? hazard events. 4.2.7 If building regulations exist, do they have specific provisions for: The extent to which a building regulation comprehensively a) assembly spaces (restaurants, theaters,…); addresses the wide range of building uses, or occupancies, b) businesses (offices); is important in terms of understanding how health, safety & c) educational buildings (schools); welfare vulnerabilities are addressed for different population d) healthcare structures (hospitals, nursing homes,…); groups (e.g., families in dwellings, workers in a factory, patients e) correction and detention buildings; in a hospital, urban poor). It is also important in regards to f) domestic housing (homes, apartments); the extent to which ‘high risk’ buildings (as either posing risk g) hotels and motels; to the community, such as a chemical processing facility, or h) dormitories, hostels, …; placing large numbers of occupants at risk, such as a space of i) light industry; assembly or high-rise building) have associated requirements, j) heavy industry; specific to those particular building uses. k) hazardous industry; l) light storage; m) hazardous storage; n) above and below grade parking; o) underground structures; p) high-rise structures; q) small to medium shops; r) malls and large shopping complexes; and s) mixed use buildings? 4.2.8 If building regulations exist, do they have specific provisions for: Building regulations typically apply only to new construction, a) minor repairs to existing buildings; unless major changes are made to a building. A robust b) renovation of existing buildings; building regulation will identify what types of changes require c) structural retrofit of existing buildings; upgrading of some or all of the building to meet current d) extensions to existing buildings; requirements. Historically or culturally protected buildings may e) change of use of existing buildings; and have exemptions for some otherwise required change. f) culturally / historically ‘listed’ buildings? 4.2.9 To what extent are access, use and egress requirements for The World Bank estimates that 15 percent of the world’s disabled and aged populations addressed within the building population have some kind of disability, with 80 percent regulation? living in developing countries. Effective implementation of building and urban development standards for accessibility and protection of persons with disabilities and elderly requires policies and principles to be translated into actual change in the configuration of the built environment. 31 32 S creening Q uestions and   R equired I nformation Questions Why This is Important 4.2.10 Do formal fire regulations exist, and if so, what do they This is important, especially in countries for which address, and what is their relationship to the building requirements for fire protection systems are located in the fire regulations (codes, standards)? regulations and not within the building regulations (e.g., Japan, Singapore, Hong Kong). In such cases, one can only assess fire safety by assessing both building and fire regulations. 4.2.11 In question 4.1.4 above, it was asked what entities have Developers of regulations can range from bureaucrats within responsibility for development of land use, building and fire a government ministry (department, agency), to contractors regulations. For each of these entities, what is the process working for government, to private sector organizations used for development and maintenance of the documents, which form committees of stakeholders to develop regulatory and to what extent are pertinent stakeholders consulted or provisions. Furthermore, consultation with industry can range involved in the development, review and/or approval of the from little or none, to review of text with no obligation by the final provisions? developer to change the text, to requiring the developer to act and report on every proposal to change the regulatory text. In general, the more stakeholder involvement the better, and the more transparency the better. There can be particular concerns in ‘opaque’ regulatory development frameworks, especially within countries where influence peddling or corruption is of concern. 4.2.12 If formal building and fire regulations exist, do they require, by Robust building regulatory frameworks include both reference, the use of nationally or internationally recognized regulations, which identify societal expectations for buildings consensus standards19 which specify required material (e.g., resilience against earthquakes, resistance to fire, …), as properties and performance (e.g., strength, durability, fire well as consensus standards, that are legally enforceable by resistance, …), the tests to confirm performance, and which being referenced or cited in the regulations (thus sometimes specify requirements for design, installation, testing and referred to as reference standards), which specify what maintenance of building and safety products, components, types of materials, systems and components are acceptable systems and assemblies? If so, what standards are referenced for use in meeting building regulation requirements, but and what entities develop them? defining such aspects as material properties, test methods, and installation requirements. These may be developed by nationally-recognized standards development organizations (SDOs), such as the National Fire Protection Association (NFPA) in the USA, regional SDOs, such as the European Committee for Normalization (CEN), or international SDOs, such as the International Organization for Standardization (ISO). Having a robust set of recognized consensus / reference standards is essential to assuring quality of building construction. 4.2.13 Do educational curricula exist regarding the structure, content A well-functioning building regulatory framework needs and use of land use planning, building, and fire regulation suitably educated professionals and properly trained skilled that can be used as a basis of formal education, continuing craftspersons for the framework to work well. It is also professional development and outreach to the informal sector? essential to socialize the benefits of the building regulatory framework via social networks outside of traditional channels, especially within informal settlements and other unregulated areas, where traditional communication paths may be absent. As used here, a ‘consensus standard’ is a standard, developed by an accredited standards-making organization (e.g., the International Organization 19 for Standardization (ISO)), which is required to have a ‘balanced’ committee of varied interests participate and reach consensus on the content. Consensus requires that all views and objections be considered, and that an effort be made toward their resolution. 04 Chapter sector entity, will typically be the principal informant, with 4.3– Implementation reference to relevant subordinates when appropriate. It is also This third component of Building Regulatory Capacity highly desirable to consult with relevant senior jurisdiction Assessment focuses on the implementation and management of officials such as mayors, city managers, related city department the building regulatory regime at the level(s) associated with the heads and members of the building community, including project scope. More discussion is provided in Annex C. designers, builders, developers, building owners and contract regulatory staff. It is also essential to reach outside of traditional Potential Informants channels, especially within informal settlements and other The primary focus of this assessment are the Planning, Building unregulated areas, where traditional communication paths may and Fire Departments (or equivalents), and/or the private be absent. This may be through the social workers, medical sector organizations with the implementation and enforcement professionals or others, who work with inhabitants, observe functions. Within government entities, the chief official conditions, and can help to facilitate change. (planning, building, fire) of the jurisdiction, or CEO of a private 33 34 S creening Q uestions and   R equired I nformation Screening Questions Questions Why This is Important 4.3.1 If formal land use planning, building, and fire regulations While it may be that a country has appropriate legislation to exist, are they legally promulgated and enforced throughout enable pertinent regulation, that fact alone does not mean all areas of the country, region (state, territory, province), or such regulations have been adopted into use throughout the city(ies) covered by the project? entirety of the area addressed by the project. In order to assess the effectiveness of the building regulatory framework, the extent of promulgation and enforcement needs to be known. 4.3.2 If the answer to 4.3.1 is no, estimate the percentage of the This question gets to the issue of to what extent are (or will) country, region or city(ies) covered by the project does not buildings subject to formal regulations on planning, zoning, have a set of comprehensive land use planning, building, design, construction and use. In the case that a significant and fire regulations legally promulgated and enforced for all portion of the building stock is somehow outside of the buildings. Include in this estimate any areas of indigenous, building regulatory framework (e.g., ‘informal’ construction, “non-engineered” and/or “informal” construction, which may shanties, etc.), there are limits on the effectiveness of a formal be materially affected by the project, in particular disaster risk / building regulatory framework. Conversely, a higher level vulnerability mitigation, disaster recovery, urban densification, of investment in the building regulatory framework may be and energy conservation type projects. Estimate the percentage needed to facilitate the target resiliency, sustainability, or of buildings not currently subject to formal regulations. energy efficiency of the building stock. 4.3.3 What are the natural and technological hazards and risks The range of natural and technological hazards, which can of concern in the country, region or city(ies) covered by the be expected to impact the building stock that is affected by a project? What is the recent loss history related to such hazards project, should be well-understood for all geographic regions and risks? addressed by the project. This is to help assess whether the hazard / risk maps in the regulations, if they exist, are appropriate to the required mitigation targets. 4.3.4 Are hazard and risk data, maps, etc., pertinent to the country, Related to 4.3.3 above, the presence of hazard and risk data, region or city(ies) covered by the project, comprehensive, up to maps, and related information within the regulations does not date, and appropriately cited in the regulations and available assure that they are up to date and appropriate to the needs of the for use in assessing the adequacy of the regulations in helping project, especially for disaster risk and vulnerability mitigation. It to mitigate or avoid the hazard or risk as part of the project? also does not assure that sufficient technical capacity is available to properly apply and use hazard and risk information in decision- making. This is especially true with respect to projected climate change related hazards and mitigation needs in the future. 4.3.5 What are the 10-year historical and 10-year projected number Aside from having the legislation and regulations in place, of building projects – new construction, renovation, expansion, building regulatory capacity is largely a function of how etc. – for the country, region or city(ies) covered by the many projects are being controlled, and how many people project? are involved in the regulatory control of those projects. This question provides benchmarking data on the historical and projected volume of construction. 4.3.6 How many fulltime-staffed Planning Departments, Building The best, most up-to-date, and comprehensive set of planning, Departments and Fire Departments (or equivalent) are there building and fire legislation and regulations will only be effective in the country, region or city(ies) covered by the project, how if they are implemented and adequately enforced. While neither many fulltime staff are employed in each Department in the the only nor a complete measure, obtaining a count of the relevant geographic area (i.e., country, region or city(ies) total number of relevant departments, and of the fulltime staff covered by the project), and what are their salary levels? working in each relevant department in all relevant areas of If contractors are used in support of fulltime staff, what is the country can provide insight on capacity and quality. This is the associated number of contractors by department and especially true where rapid urban expansion is taking place, and geographic area? the need for large staff exists due to the volume of construction. 04 Chapter Questions Why This is Important 4.3.7 What is the number of staff and, where applicable, contractors, Following on the above, this question aims to provide in each Planning Department, Building Department and Fire additional detail on the number of staff and/or contractors Department (or equivalent), who are responsible for reviewing assigned to the key functions of regulatory review and and approving land use, zoning, building and fire regulation approval. compliance, in the country, region or city(ies) covered by the project, such as: a) site review; b) plan / drawing review and approval; c) calculation verification; d) permit issuance, and for what (e.g., foundation, construction, …); e) site inspection, and for what (e.g., foundation, structure, materials, electrical, mechanical, plumbing, fire, …); f) witnessing of commissioning tests; and g) Issuance of certificate of occupancy? 4.3.8 Identify the types, turnaround times and frequency of review Along with the numbers of building projects to be undertaken, and approval activities undertaken by relevant Planning and the staff and contractors in any given department, the Departments, Building Departments and Fire Departments number of activities that the staff need to perform, and (or equivalent), who are responsible for enforcing land use, the target time allotted or required to perform those tasks, zoning, building and fire regulation compliance, in the country, is essential information for assessing capacity. In some region or city(ies) covered by the project, such as: countries, very short turnaround times are mandated by a) site review; law (e.g., 2-4 weeks for review and approval of drawings b) plan / drawing review and approval; and issuance of building permits), where in others up to a c) calculation verification; year might be expected.20 To be efficient, there needs to d) permit issuance, and for what (e.g., foundation, be an appropriate balance of available time and resource. construction, …); One should collect information on the documents used or e) site inspection, and for what (e.g., foundation, structure, referenced during the review process. materials, electrical, mechanical, plumbing, fire, …); f) witnessing of commissioning tests; and g) issuance of certificate of occupancy. 4.3.9 What actual, verifiable qualifications are held by fulltime staff The capacity assessment rests on the qualifications as well as of the Planning Departments, Building Departments and Fire the numbers of staff involved in regulatory review. Use of un- Departments (or equivalent, such as third-parties), who are or ill-qualified persons might ‘make the numbers look good’ responsible for reviewing and approving land use, zoning, in terms of capacity, but the outcomes can be dangerous, building and fire regulation compliance, in the country, region especially when it comes to approving safety-related issues or city(ies) covered by the project? (e.g., geotechnical assessments and design, structural analysis and design, fire safety design, etc.). For examples, see World Bank Doing Business website http://www.doingbusiness.org/data/exploretopics/dealing-with-construction-permits. 20 35 36 S creening Q uestions and   R equired I nformation Questions Why This is Important 4.3.10 What is the number of staff in each Planning Department, Similar to the above line of questioning, this question seeks Building Department and Fire Department (or equivalent), who to understand the capacity, in numbers, of persons available are responsible for enforcing land use, zoning, building and for enforcement activities. In this case, we focus largely on fire regulation compliance, in the country, region or city(ies) post-occupancy enforcement, as improper use of permitted covered by the project, such as: buildings, improper storage, etc. can lead to significant losses a) wetlands infringement; in hazard events – much more so than in compliant buildings. b) improper building use; c) building modification, including increase in area, height, change of use; d) improper storage of hazardous materials; and e) inadequate upkeep of required safety systems (e.g., fire systems)? 4.3.11 Identify the types and frequency of enforcement activities As with 4.3.9 above, the number of enforcement activities undertaken by relevant Planning Departments, Building which staff need to perform, and the target time allotted or Departments and Fire Departments (or equivalent), who required to perform those tasks, is essential information for are responsible for enforcing land use, zoning, building and assessing capacity. fire regulation compliance, in the country, region or city(ies) covered by the project, such as: a) site inspection; b) building inspection; c) stop work orders; and d) stop use of building orders. 4.3.12 What actual, verifiable qualifications are held by staff of As with question 4.3.9 above, the capacity assessment rests the Planning Departments, Building Departments and Fire on the qualifications as well as the numbers of staff involved Departments (or equivalent), who are responsible for enforcing in regulatory enforcement. Use of un- or ill-qualified persons land use, zoning, building and fire regulation compliance, in might ‘make the numbers look good’ in terms of capacity, but the country, region or city(ies) covered by the project? the outcomes can be dangerous, especially when it comes to inspecting safety-related issues in operational buildings. 4.3.13 To what extent are land use planning, building and fire A well-functioning building regulatory framework needs regulations used in the education of professionals in the suitably educated professionals and properly trained skilled country, region or city(ies) covered by the project? What are craftspersons for building regulation to work effectively. the different types of trainings and capacity-building programs available for building officials (course titles, content) and are they carried out by the government, associations of engineers/ architects, or other training institutions, and what level of expertise do they have in the topic areas?” 4.3.14 To what extent are land use planning, building and fire It is essential to socialize the benefits of the building regulations used as educational tools for describing the regulatory framework via social networks outside of traditional benefit of regulation to be applied to any informal sectors channels, especially within informal settlements and other which exist in the country, region or city(ies) covered by unregulated areas, where traditional communication paths the project? may be absent. 05 Chapter Quick Assessment Scorecard While a detailed assessment of the building The Background is intended to baseline the scope regulatory capacity of a country is expected to of the effort. The breadth in terms of number of appropriately determine investment decisions government agencies or levels of government on the benefits of building regulatory capacity involved gives insight into the number of entities enhancement, one can obtain a ‘first-order’ that may one may need to contact and the estimate, based on answers to the questions posed complexity and magnitude of assessment effort. A in Chapter 4. The scorecard is meant to provide small country with a national government system a quick snapshot, or summary, of the regulatory and national scope will likely require less resources environment through closed questions prompting than a large federal system, where differences ‘yes’ or ‘no’ answers. exist between states (territories, provinces) and municipalities, and the regulatory framework needs to be addressed at all levels. 37 38 Q uick A ssessment S corecard 1 Background       1.1 The project scope is: (a) national; (b) regional (state, territory, province within the   country); (c) municipal (city level). 1.2 The project type is: (a) disaster risk / vulnerability reduction; (b) disaster recovery;   (c) rapid urbanization; (d) climate change adaptation; (e) resource / energy management; (f) upgrade of informal settlements; (g) protection of cultural heritage. 1.3 What are the natural and technological hazards and risks of concern in the country,   region or city(ies) covered by the project? Section 4.1 Legal and Administrative provides a quick snapshot of the extent of regulatory capacity-building that may be needed with respect to enabling legislation. Quite simply, the more enabling legislation in place, the less resources will be needed to build capacity. All ‘yes’ responses likely means a good legislative infrastructure is in place, and investment needs are comparatively low. All ‘no’ responses might suggest significant investment and time are needed. 2 Legal and Administrative Yes No Partial 2.1 Are there acts, decrees, laws or similar that enable the regulation of building aspects       pertinent to the project (i.e., land use, building design and construction, fire prevention, energy conservation, accessibility, or preservation of cultural heritage)? 2.2 Are there formal regulations (codes / standards) for those areas pertinent to the project?       2.3 Are there acts, decrees, laws or similar that enable the regulation / licensing /       certification of: architects / planners; engineers; builders (carpenters, masons, …); trades (plumbers, electricians, …); contractors / installers; building officials; fire officials? 2.4 Are there acts, decrees, laws or similar that enable the regulation / certification / testing       / quality control of: building materials (e.g., steel, timber, masonry, concrete, …); building products and systems (e.g., walls, doors, windows, heating appliances, lighting systems, etc.); and contents or aspects of contents (e.g., materials which may be toxic, …)? Much like above, Section 4.2 Development and Maintenance provides a quick snapshot of the extent of regulatory capacity building that may be needed around specific regulations (e.g., planning and zoning, building, fire, etc.). As with the above, the more formal regulatory components in place the less capacity-building resources will be required. All ‘yes’ responses likely means a good regulatory infrastructure is in place, and investment needs comparatively low. All ‘no’ responses might suggest significant investment is need. 05 Chapter 3 Development and Maintenance Yes No Partial 3.1 If formal land use planning / zoning regulations exist, do they incorporate: (a) hazard       maps or related means that identify areas in which building is not permitted due to natural hazards; (b) hazard maps or related means that identify minimum separation between residential and hazardous occupancies; (c) maps or related means that identify areas in which building is not permitted in relation to natural resources; and (d) requirements for infrastructure associated with building density, population or related factors? 3.2 If formal building regulations (codes, standards) exist, do they have specific provisions       for, or is there a separate building code, for indigenous buildings, “non-engineered” and/ or “informal” construction? By ‘formal’ we mean adopted by law and are enforceable, not used simply as guidance. 3.3 If building regulations (codes, standards) exist, do they have: (a) Hazard maps identifying       expected natural hazard loads by region; (b) Requirements for structural resistance to expected hazard loads; (c) Requirements for moisture resistance to expected hazard loads; (d) Requirements for fire separation from other buildings, wildland interfaces, etc.? 3.4 If formal building and fire regulations exist, do they require, by reference, the use of       nationally or internationally recognized consensus standards that specify required material properties and performance (e.g., strength, durability, fire resistance, …), the tests to confirm performance, and requirements for design, installation, testing and maintenance of building and safety products, components, systems and assemblies? If so, what standards are referenced? Section 4.3 Implementation is a more detailed assessment to determine to what extent the systems, documents and appropriately educated and trained people are in place to facilitate the regulatory framework. The rating here may require somewhat detailed information, especially with respect to percentage coverage of ‘formal’ building code, and numbers and training of regulatory and enforcement personnel. In particular, having a solid ‘formal’ framework in place is all well and good, so long as it applies to a significant portion of the country. If not, and the ‘informal’ sector is dominant, that much work and resource may be needed to achieve set objectives. 39 40 Q uick A ssessment S corecard 4 Implementation Yes No Partial 4.1 Are formal land use planning, building, and fire regulations legally promulgated and       enforced throughout all areas of the country, region (state, territory, province), or city(ies).     > 80% 50% - 80% < 50% 4.2 If the answer to 4.1 is no, indicate the estimated percentage of the country, region or city       covered by the project which does not have a set of comprehensive land use planning, building, and fire regulations legally promulgated and enforced for all buildings. Include in this estimate any areas of indigenous, “non-engineered” and/or “informal” construction that may be materially affected by the project, in particular disaster risk / vulnerability mitigation, disaster recovery, urban densification, and energy conservation type projects. Estimate the percentage of buildings not currently subject to formal regulations. 4.3 Are hazard and risk data, maps, etc. pertinent to the country, region or city(ies) covered       by the project: comprehensive, current, and appropriately cited in the regulations and available to assess the adequacy of the regulations in helping mitigate or avoid the hazard or risk? 4.4 Are there fulltime-staffed Planning Departments, Building Departments, and Fire       Departments in the geographic region of importance to the project? 4.5 Based on initial assessments, are the departments in 4.4 above reported to be       adequately staffed in terms of number and qualifications of staff? REFERENCES Adeniran, A.J. 2013. “Environmental Disasters and Jain, S.K. “Earthquake Safety in India: achievements, Management: Case Study of Building Collapse in challenges and opportunities”, Bull Earthquake Eng Nigeria.” International Journal of Construction (2016), 14: 1338-1436 Engineering and Management, 2(3): 39-45, DOI: Maki, N. and Hayashi, H. 2000. “Building Codes and 10.5923/j.ijcem.20130203.01. Tradeoffs for Earthquake Risk Reduction: Disaster Angel, S., Blei, A., Parent, J., Lamson-Hall, P., and Management for Housing.” Proceedings, 12th World Galarza Sánchez, N. 2016. Atlas of urban Expansion. Conference on Earthquake Engineering, Auckland, NYU Urban Expansion Program at New York New Zealand, January 3—February 4, 2000. University, UN-Habitat, and the Lincoln Institute of Market Reports Store. 2015. “Global Construction Land Policy. Market Worth $10.3 Trillion in 2020 (50 Largest, Haynes, H. J.G. 2016. “Fire Loss in the United States Most Influential Markets).” During 2015.” National Fire Protection Association. National Institute for Land and Infrastructure IFC EDGE Green Buildings Certification System Management, Building Research Institute. 2016. website www.edgebuildings.com “Quick Report of the Field Survey on the Buildings Damage by the 2016 Kumamoto Earthquake.” “Mitigation of Climate Change,” Working Group III Tsukuba, Japan: National Institute for Land and Contribution to the Fifth Assessment Report of the Infrastructure Management, Building Research Intergovernmental Panel on Climate Change, Inter- Institute. governmental Panel on Climate Change (IPCC), 2014. 41 42 REFERENCES UN-Habitat. 2016. “World Cities Report, World Bank. 2016. “Supporting Lebanon’s cultural Urbanization and Development, Emerging Futures.” heritage as a driver of job creation and local Nairobi: UN-Habitat. economic development.” World Bank Feature Story. World Bank. 2016. “Building Regulation for World Bank Doing Business website http://www. Resilience: Managing Risks for Safer Cities.” doingbusiness.org/data/exploretopics/dealing-with- Washington, D.C.: The World Bank. construction-permits World Bank. 2016. “Roadmap for Safer Schools.” World Bank. Jhelum Tawi Flood Recovery Project. Guidance Note. Washington, D.C.: The World Bank. World Health Organization and World Bank. 2011. World Bank. 2016. “Cultural Heritage Project “World Report on Disability.” Geneva: World Health Strengthens Economic, Community Activity in Organization. Lebanon.” World Bank Feature Story. Annexes Annex A: Legal and Why Does Understanding Administrative the Legal Basis Matter? Context Inadequate or incomplete legal and administrative frameworks can undermine the effectiveness of a A fundamental responsibility of most governments building regulatory framework, making it difficult is to protect the health, safety and welfare of to achieve the intended benefits. Assessment of the the general public. This responsibility is often existing legislative and legal foundation for laws articulated within the constitution, charter or and regulations related to buildings can identify other foundational document, which defines and shortcomings and provide the basis for relevant enables the authorities and responsibilities of the technical and legal assistance. Before the framework state. The level of government at which particular can be assessed, one must collect the foundational protections are provided can vary based on the information. type of government, form of government, and authority and accountability of responsible entities Since there is a wide range of legal and administrative within the government. The form of law, or legal frameworks in use around the world, and the framework, is also an important consideration with required information can exist in many government respect to enabling, enacting, promulgating and entities and various levels of government, enforcing regulatory instruments, as well as market one needs to know where to look. In a unitary instruments, such as insurance. By form (rule) of government system, this might be a small number law we refer to largely to Common Law, Civil Law, of central government ministries or agencies Customary Law, and their various combinations. (e.g., New Zealand), or dozens of national, state and 43 44 A A nnexes local government entities within a federal government the overall objective of the project (e.g., ‘disaster structure (e.g., the USA). Establishing the baseline risk / vulnerability reduction’ as compared with type and form of government inform at what level of ‘facilitating energy efficient buildings’). For this government pertinent information might be found. reason, it is important to understand which entities may be responsible for the types of information There may also be several government entities with required for a project. some type or level of responsibility, depending on Unitary System (e.g., National / Central Government focused responsibility) Legislated Area Level of Government Type of Document Where to Look Land use National Resource Management Ministry of Environment Act or equivalent or equivalent National or Local Planning / Zoning Regulations or equivalent Buildings National Building Act or Ministry of Construction equivalent or equivalent Building Regulations Ministry of Construction (Codes, Standards20, Laws) or equivalent Regional or local Building regulation Local Council or orders, ordinances, … equivalent Fire prevention National Fire Services Act or Ministry of Public Safety equivalent or equivalent National, Regional or Fire Regulations (Codes, National, Regional or Local Laws) Local authority Energy conservation / National National Climate Policy, Office of the PM, Ministry efficiency Energy Policy, Resource of Environment, Ministry Management Policy of Energy, and so forth It should be noted that in this context, Regulations, Codes and Standards all have equivalent meanings, e.g., the Building 21 Regulations (England) is equivalent to the Building Code (New Zealand) and the Building Standards (Scotland) or Building Standards Law (Japan). Terminology is a function of the country and legal system. It should also be noted that Standards, in this respect, are different than ‘reference standards,’ which provide details on such areas as testing, design, installation and maintenance, and are developed by standards-making organizations, such as the International Organization for Standardization (ISO) or equivalent in each country. Such ‘reference standards’ are referenced by the top-level regulations as means to demonstrate compliance. A Annex Legislated Area Level of Government Type of Document Where to Look Climate Change / Hazard National National Climate Policy, Office of the PM, Ministry Resiliency Resiliency Policy, of Environment, Ministry Disaster Recovery Policy, of Disaster Response and so forth and Recovery, and so forth Licensing and National or Local (or Building Act, Planning Act, Office of Consumer certification of market, e.g., professional etc.; Building Regulations, Affairs, Board of practitioners society) Zoning Regulations, etc.;, Professional Engineers, Consumer Protection etc. (or Institution of Policy Architects and so forth) Licensing and National or Local (or Building Act or Office of Consumer certification of market, e.g., professional equivalent, Building Affairs, Board of contractors society, industry Regulations, Consumer Contractor Licensing, association) Protection Policy etc. (or Association of Electricians or so forth) Product certification National (or market, e.g., Building Act or National Bureau of insurance entity) equivalent, Building Standards, National Regulations, reference Product Testing standards; Consumer Laboratory and so Protection Policy forth (or Underwriters Laboratories or so forth) Insurance National (e.g., flood Resiliency Policy, Emergency Management insurance) or market Disaster Recovery Policy, Agency (or market) and so forth Federation (e.g., combination of buildings are regulated at the state or local level, as national government and regional / is planning and zoning. However, there are resource local government responsibility) management and environmental regulations at In federal system countries, one will need to national and state level. As such, understanding how identify the above types of information at each the hierarchy of regulations works will be important level of government – national, regional (e.g., state, to inform decisions relative to understanding what territory, or province) and local (as appropriate). land areas might be available to be built upon, what In such countries, it will also be important to know types of assessments and permission will be needed, the regulatory hierarchy. For example, in the USA, and so forth. 45 46 A A nnexes hazards, is able to achieve the minimum levels of Annex B: Development and performance. Maintenance Note that the terminology may vary by country. For Context example, the regulatory document associated with With the establishment of the authority and mandating the provisions for building design and responsibility for controls on the design, performance is called the Building Regulations in construction and use of building via legislation, England, the Building Standards in Scotland, the the next element for review within the building Building Standards Law in Japan, and the Building regulatory regime is the regulatory documents Code in Canada, New Zealand, USA and several themselves. other countries. For simplicity, the term ‘building regulation’ is used in subsequent discussion. In general, this assessment seeks to identify These documents may be developed by the and describe the organizations responsible for government or the private sector, but have the force regulatory development and promulgation, the of law when adopted and implemented through particulars of the regulatory development process, enabling legislation. the level and inclusiveness of participation in regulatory development, and the extent to which the Using the term ‘building regulation’ for the regulations reflect appropriate solutions in terms legally-enforceable regulatory document also of the local political, social, cultural, technical and helps differentiate these regulatory documents economic conditions. from ‘reference standards,’ developed by standards development organizations (such as the For the purpose of the Building Regulatory International Organization for Standardization Capacity Assessment, the building regulatory (ISO)), and ‘design codes,’ such as the Eurocodes framework includes land use planning, zoning, for Structural Design. Such reference standards and building and fire regulation. There can be design codes are often developed in the private numerous applicable regulations depending on the sector through a consensus process involving type of project (e.g., disaster risk / vulnerability stakeholders across many areas, and focus on reduction as compared with climate change specific requirements associated with testing, mitigation or cultural heritage protection). The design, installation and maintenance of materials range of regulations can include: Planning and and systems. Such reference standards and design Zoning Regulations, Building Regulations, Fire codes are cited by reference in building regulation, (or Fire Prevention) Regulations, Energy Use / which makes them legally enforceable, or are Efficiency Regulations, Accessibility / Universal available as voluntary guidance. There can be Design Regulations, Cultural / Heritage Protection many hundreds of applicable reference standards Regulations, and the like. The components of and design codes that underpin a comprehensive the building regulatory framework function building regulatory framework. holistically to assure that a particular building, on a particular site, exposed to well-characterized Consider the relationships between the B Annex International Building Code (IBC) in the USA of Testing and Materials (ASTM), and product and related regulations, standards, and market certification standards, such as from Underwriters entities. The IBC is a model code developed by Laboratories (UL) and others. the International Code Council (ICC), a private The IBC alone references more than 500 standards, sector code development organization. The IBC many of which in turn reference several others. contains the ‘top level’ regulatory provisions for There can be literally thousands of applicable buildings, which, if adopted into law at a state or standards within the regulatory framework. local level, becomes the legally enforceable building code (regulation). Building regulations may be promulgated at a national level (unitary government system), However, the IBC is not the only applicable state (territory, provincial) level (federation), code which must be adopted into law. There are or municipal level (in either system). The numerous other codes (regulations) which support provisions of the building regulation establish the the IBC, including the International Mechanical legally mandated design requirements, functional Code (IMC), the International Plumbing Code requirements, and construction practices. (IPC), the International Fire Code (IFC) and several others, which address specific attributes of a The regulatory development process varies building’s framework or features. from country to country. In countries with a unitary government system, the building Within each code are numerous reference regulatory development process is often managed standards, which address all types of material, by a unit of the national government (e.g., system, and product performance, quality, design, ministry of construction, public works, urban installation, test and maintenance features. For development, or…). In federal systems, building example, requirements for material, system and regulations may be developed by a government component performance, design, installation, test entity, a quasi-government entity, a research and maintenance associated with fire protection institution, or a private sector entity, but are not are largely addressed by standards of the National legally enforceable until adopted via enabling Fire Protection Association (NFPA), but also by legislation. The process varies by country, and test standards, such as from the American Society can be a reflection of the form of law (i.e., Civil of Testing and Materials (ASTM), and product law, Common law, Customary law or some certification standards, such as from Underwriters combination or variation) and of the regulatory Laboratories (UL) and others. Likewise, structural style (i.e., adversarial, elite consensual, or strong design provisions, and basic structural material central government). properties, are largely addressed by standards of the American Society of Civil Engineers (ASCE), In many respects, building regulations represent but as supported by the American Iron and Steel the embodiment of data, political policies, public Institute (AISI), the American Concrete Institute perceptions and expectations, and expert judgment (ACI), and others. These, in turn, are supported by about technical aspects of building performance and test standards, such as from the American Society social evaluation of tolerable or acceptable risk. In 47 48 A nnexes order to adequately reflect the breadth of issues and of new knowledge and improved processes into perspectives, the building regulatory development building practice. This requires that codes be process should be broadly representative of written in clear language accessible to designers technical experts, such as engineers, architects, and builders and, to the extent possible, accessible building researchers, manufacturers and suppliers to informal sector builders. Codes should aim to of construction materials and systems, the cover all prevalent construction types, providing construction and real estate industry, the building guidance for safe construction and use of buildings. finance and insurance industries, those who represent the concerns of public health and safety, At the end of the day, building regulations must and those who represent the owners and occupants be local instruments that address local economic, of buildings. social and technical capacity. This is particularly true for low- and middle-income countries, which Building regulations should be periodically rely on the regulations to be appropriate to local reviewed and updated to address shortcomings or conditions. However, for expediency, reference reflect improvements based on loss experience to is sometimes made to building regulations from hazard events, research and technology, to reflect developed countries (e.g., the International Building new policy objectives, such as climate change adaptation or universal accessibility, to reflect Code, the Building Code of Australia, the Building changes in social norms, and to meet affordability Standards Law of Japan, etc.). In these cases, it is objectives. Critical functions of the building imperative to understand the extent to which such regulations include setting the benchmark for the documents, if used, are effectively adapted to meet minimum level of acceptable performance in terms local conditions, materials, expertise and values, of safety, health and welfare of the occupants, and and that the associated level of required regulatory doing so in a way that facilitates the introduction infrastructure is in place. C Annex (e.g., inspection); completion of the building Annex C: Implementation (e.g., final inspection and/or commissioning); Context and, maintenance and use (e.g., inspection and enforcement). Within governmental frameworks, Once the legislative and legal foundation for these functions may be across several agencies or building regulation is established (Component 1) departments (e.g., Planning, Building and Fire). and a building regulation has been promulgated In frameworks with private certification / building by the relevant authority having jurisdiction control, some or all of the functions are undertaken (Component 2), the critical remaining step is the by private sector entities. implementation and management of the building regulatory regime at the municipal or local level. For There are also frameworks that are of a more building code compliance, this is often referred to ‘quality management’ structure, where ‘self- as building control. certification’ or ‘self-approval’ of designs is made by qualified design professionals without any significant This component of the assessment focuses on the government or private sector building control. type, organization, efficiency and effectiveness of the building control framework. In particular Building control is one of the most important it assesses the regulatory implementation by aspects of the building regulatory framework, as governmental entities responsible for compliance this is the point at which compliance should be and enforcement of building regulations and other determined and assured. If the building control jurisdictional ordinances relating to enhancing the component is weak, it can negate the benefits of safety and quality of life within their jurisdictions, strong legal foundations and technical regulations. such as planning, zoning, building, fire, resource The adequacy of building control functions conservation or accessibility ordinances. Having an is fundamentally dependent on the number, adequate building control framework is critical for competency and qualifications or building control ensuring building quality and safety. practitioners (government, private sector or both). Local implementation and enforcement is in many There are various types of frameworks, the cases a critical point of failure in the pursuit of principal ones being: solely or fundamentally resilience. governmental, solely or fundamentally private sector, or some combination, often with both a A well-functioning building regulatory framework governmental option and private sector option. needs educated professionals and properly trained Broadly, building control in such frameworks may skilled craftspersons for the framework to work contain some or all of the following functions: well. This relies on having a sound set of university planning and zoning control (e.g., siting of the educational programs for professionals, such as building); control of technical requirements (e.g., architecture and engineering, but also appropriate permitting, plan review, building regulation / code training institutions for skilled tradespersons and compliance); control activities during construction craftspersons, who are involved in such areas as 49 50 A nnexes construction, installation and maintenance of It is also essential to socialize the benefits of the buildings and systems. building regulatory framework via social networks outside of traditional channels, especially within In addition, these people should be trained on the informal settlements and other unregulated areas, regulations and supporting infrastructure (e.g., where traditional communication paths may standards). As such, it is helpful to have educational be absent. This may be achieved through social curricula regarding the structure, content and use workers, medical professionals, NGOs or others, of land use planning, building, and fire regulation who work with inhabitants, observe conditions, that can be used as a basis of formal education, and can help facilitate changes. Having outreach continuing professional development. materials about the benefits of formal regulatory framework and components can be very useful in this regard.