BUILDING REGULATORY CAPACITY ASSESSMENT Level 2 – Detailed Exploration BUILDING REGULATORY CAPACITY ASSESSMENT Level 2 – Detailed Exploration 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 LEGAL AND ADMINISTRATIVE COMPONENT 18 3.1– Context 23 3.2– Screening Questions 25 3.3– Detailed Exploration Questions and Requirements 05 6 TABLE OF CONTENTS 34 DEVELOPMENT AND MAINTENANCE COMPONENT 34 4.1– Context 36 4.2– Screening Questions 40 4.3– Detailed Exploration 49 IMPLEMENTATION COMPONENT 49 5.1– Context 51 5.2– Screening Questions 54 5.3– Detailed Exploration 61 OPERATIONAL CAPACITY – DETAILED INFORMATION REQUIREMENTS 66 QUICK ASSESSMENT SCORECARD 70 GLOSSARY 74 REFERENCES 75 ANNEXES 75 Annex A: Overview of Building Regulation as a Socio-Technical System 76 Annex B: Contractor Terms of Reference 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 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 Last, but not least, building regulatory frameworks achieve the minimum levels of performance. help address emerging societal objectives. “Global Construction Market Worth $10.3 Trillion in 2020 (50 Largest, Most Influential Markets),” Market Reports Store, 2015. 4 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 and licensing schemes that support a safe, sustainable and resilient built The term “building regulatory framework” used in this document environment. encompasses building and land use regulations since the siting, design, construction and maintenance of buildings are closely intertwined and Consistent with the Building Regulation for Resilience report, the Building cannot readily be treated as separate issues. This report places primary Regulatory Capacity Assessment identifies three basic components emphasis on building regulatory regimes with specific focus on the core that form the core of any “building regulatory framework”: a set of legal implementation activities of building codes, plan reviews, inspection and and administrative documents at the national and/or subnational level; compliance assurance. Historically, building regulation has focused 1.1– Assessment is Needed primarily on the health and safety of occupants to Address Dysfunctional of buildings and on helping to reduce economic losses associated with a wide range and magnitude Building Regulatory of hazards and disaster events. As disasters are Frameworks becoming more frequent and intense, particularly as Unfortunately, building regulatory frameworks a result of climate change, building regulation must are not always comprehensive or effective. In take into account additional measures to protect some cases, the appropriate legal and legislative the increasing number of people at risk. In addition, foundations may be lacking. In others, the zoning, building and fire regulations needed to provide building regulation is being used to address the necessary baseline building performance emerging societal objectives such as accessibility expectations for public safety and disaster resilience for all, affordability and resource efficiency. may present gaps, or may not be working in sync. A well-designed and structured building regulatory Far too often, even if appropriate regulations framework provides the means to address such and related technical documents are in place, the objectives holistically and comprehensively. institutional infrastructure needed to implement Conversely, deficient building regulations can result the regulations and assure compliance during 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 The Building Regulatory Capacity Assessment 1.2– The Building Regulatory focuses on three critical components of building Capacity Assessment regulatory frameworks: The Building Regulatory Capacity Assessment A) Legal and Administrative can be used as a tool to facilitate the collection of B) Development and Maintenance, and critical information about the building regulatory C) Implementation framework in a particular jurisdiction, identify where critical gaps exist, and develop a baseline These components, are considered along with for formulating technical assistance and training several support elements in a two-level evaluation: activities. an Initial Screening (Level 1), which aims to quickly identify critical information and issues to inform The Building Regulatory Capacity Assessment initial project decisions, and a Detailed Exploration builds on the findings and recommendations (Level 2), intended to be carried out by experts in provided in the Building Regulation for Resilience policy and engineering, and disaster mitigation to report5 and aims to support project implementers develop strategies for the jurisdiction (see Figure in the definition of priority areas for intervention 1.1). and project design for improving building regulatory efficiency and effectiveness across a wide range of development objectives, including hazard 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. 13 “Building Regulation for Resilience,” World Bank, 2016. 5 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 – Level 1 - Initial Screening describes: activities during the conceptual and design phases • Why a building regulatory framework is important; of a project. Table 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 hy 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 the built environment, a robust building regulatory of Complex Information and 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 Stimulates Economic estate transactions and to help increase the value of real estate assets. For example, Japan, Peru Growth and some other seismically risky countries use Building regulations outline a common set of ‘earthquake-safe structure’ as a value-add feature requirements for buildings to be constructed within, in advertisement. The requirement for energy and sometimes between, jurisdictions. For most performance labeling of buildings within the EU buildings, this allows a high degree of certainty in Energy Performance of Buildings Directive (and terms of factors such as acceptable methods and now Regulation) is used to advertise energy efficient materials of design and construction, minimum buildings as a value-add feature. 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 A building regulatory framework can also check that the building meets the qualities they facilitate trade between jurisdictions, offering beleave they are paying for and are often not minimum performance and quality criteria and even aware of what could go wrong. Also, users a clear path to approval of building products (such as tenants and workers) are often not in a and materials. This has been exemplified by the position to fully assess building performance, as EU Construction Products Directive (and now once a building is completed some aspects are Regulation), which set out essential requirements concealed and impossible to inspect thoroughly. for construction products in terms of function For investors, regulations reduce uncertainty about 02 Chapter expected building performance across several technical challenges which exist within and between 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 level of acceptable risk and availability of risk Externalities 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 A comprehensive building regulatory framework negative impacts experienced by people other than designed for a specific country will provide a those directly engaged in a particular activity. In the robust socio-technical framework within which the absence of government intervention or other means country can identify and address physical, social, of action, the responsible entity does not bear the cultural and economic conditions and needs and full costs of the adverse effects and, therefore, has can facilitate interactions between government no incentive to mitigate or compensate for related institutions, the market and the public to deliver outcomes. Other aspects of buildings that may have appropriate solutions. For example, a building adverse effects include: 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 An appropriate building regulatory framework is one professionals, contractors, operators; in which the required legal and social foundations • Adverse environmental impacts from emission are in place, appropriate regulatory instruments of toxic substances resulting from fires and other and enforcement mechanisms are designed and events; and implemented to the educational, technological and • Adverse environmental impacts from energy use, resource capacity of the jurisdiction, and supporting where the price does not reflect the effects of regulatory infrastructure and market mechanisms greenhouse gas emissions or other pollution. (e.g., insurance) are operational and effective for that environment. 2.5– Helps Facilitate Appropriate Solutions As a general rule, there is no ‘one size fits all’ solution for any of the numerous complex socio- 17 03 Chapter Legal and Administrative Component The level of government at which particular 3.1– Context protections are provided can vary based on the type The Legal and Administrative component of the and form of government and on the authority and Building Regulatory Capacity Assessment focuses accountability of responsible entities within the on identifying whether the necessary legal and government. By type of government we refer to the administrative structure is in place to implement difference between a unitary state and a federation and support a comprehensive building regulatory of states. Forms of government include Republics, framework. Constitutional Republics, Federations, Monarchies and Constitutional Monarchies. The form of government A fundamental responsibility of most governments determines how acts, laws, ordinances, orders and is to protect the health, safety and welfare of related instruments are developed and by whom. the general public. This responsibility is often Authority and accountability speaks to such issues articulated within the constitution, charter or other as scopes, limits and responsibilities of relevant foundational document, which defines and enables governmental entities within the system with respect the authorities and responsibilities of the state. to development, promulgation and enforcement. 18 L egal and A dministrative C omponent The form of law, or legal system, is also an important are needed for land use and fire prevention and consideration with respect to enabling, enacting, safety policy, in addition to building design and promulgating and enforcing regulatory instruments, as construction. This translates into the need for well as market instruments, such as insurance. By form laws, orders and ordinances that regulate land (rule) of law we refer to largely to Common Law, Civil use, building and fire safety, as well as regulations Law, Customary Law, and various combinations or for implementation and enforcement. Table 3.1 permutations thereof. illustrates the relationship between building and fire codes in the State of Massachusetts. For example, the USA is a federation, of the Constitutional Republic type, where the Constitution defines the specific powers of the federal government, with the states having power to Figure 3.1 – Building Regulatory Structure in Massachusetts regulate other areas. In the case of the USA, building regulation is at the state level or local level, with various forms in existence, from regulations that are US Constitution enacted and implemented statewide, to regulations that are all at the local level, to combinations of these. One example of such structure is shown in Legislation Figure 3.3, which shows the legal and administrative State Constitution (Laws) relationships for building regulation in the State of Massachusetts, (note: this is building regulation only, and not land use planning or fire regulation.) Code To understand the situation in the USA, one would Commission have to understand how each of the 50 states operates. By contrast, in a unitary government system, the legal and administrative basis may be Legislation (Ordinances) Local Jurisdiction concentrated at the national government level. In addition to legal and administrative components focused only on buildings, legislative foundations Code Commission Implementation, plan review, Building Department en orcement,… 19 20 L egal and A dministrative C omponent Table 3.1 – Summary of Major Components of a Building critical for the successful implementation and use Regulatory Framework in Massachusetts of building regulation which focus on various actors in the market. There may be legislation providing Building Code Fire Code for the certification or licensing of building professionals, contractors and regulators and other Enabling Massachusetts General Law, Massachusetts General Law, actors. There may also be government or market Legislation Chapter 143, Inspection and Chapter 148, Fire Prevention requirements for the testing and certification of Regulation of, and Licenses for, Buildings, Elevators and building materials and equipment. Legislation Cinematographs can prescribe penalties for failure to comply with building regulation and define professional liability Code Massachusetts State Building Massachusetts Comprehensive Fire for errors and omissions in design and construction, Provisions Code, which is Title780, Safety Code, which is Title 527, Code Code of Massachusetts of Massachusetts Regulations providing an essential check on professional Regulations practice. There may be laws regulating the insurance industry, which may have major implications for Basis of Code 2009 editions of the IBC, IEBC, Numerous individual standards construction finance. Land tenure laws may also Provisions IECC, IMC and IFC, as well as from ASTM, FM, NFPA, UL, and other several Massachusetts codes private sector organizations, the affect to what extent buildings comply with building (780 CMR, 527 CMR, 521 CMR, CFR, EPA, DOD and other federal codes and their structural safety. 248 CMR and 524 CMR) regulations, and more. Is should also be understood that the regulatory Code Executive Office of Public Executive Office of Public Safety development process varies from country to country. Development Safety and Security (EOPSS), and Security (EOPSS), Department In countries with a unitary government system, the Responsibility Department of Public Safety, of Fire Services, Division of Fire Board of Building Regulations Safety, Board of Fire Prevention building regulatory development process is often and Standards (BBRS) Regulations (BFPR) managed by a unit of the national government (e.g., ministry of construction, public works, urban Code Local municipalities (except Local fire departments and the development, etc.). In federal systems, building Enforcement for state owned buildings, Executive Office of Public Safety and Responsibility which then varies by state Security (EOPSS), Department of regulations may be developed by a government entity, agency). Note: capability at Fire Services, Division of Fire Safety, a quasi-government entity, a research institution, or local level will vary with size Code Compliance Enforcement Unit a private sector entity, but are not legally enforceable of municipality and local (CCEU) for any suspected problems. requirements (e.g., the City of Note: capability at local level will until adopted via enabling legislation. The process Boston has own ordinances vary with size of municipality and varies by country, and can be a reflection of the form as well). local requirements (e.g., the City of of law (i.e., Civil Law, Common Law, Customary Boston has own ordinances as well). Law or some combination or variation) and of the Appeals Local and state level (BBRS) Local and state level (CCEU) and regulatory style (i.e., adversarial, elite consensual, or various appeals boards strong central government). Why Does Understanding the Legal The situation can be more complicated. While, Basis Matter? in fact, implementation is by the government, Inadequate or incomplete legal and administrative the development and maintenance of building systems can undermine the effectiveness of a regulations (i.e. codes / standards) may be within the building regulatory framework, making it difficult private sector, and enforcement can be responsibility to achieve intended benefits. Assessment of the of the government, private sector, or a combination existing legislative and legal foundation for laws of the two. There may also be legislation that is and regulations related to buildings can identify 03 Chapter shortcomings and provide the basis for relevant There may also be several government entities with technical and legal assistance. Before the framework some type or level of responsibility, depending on can be assessed, one must collect the foundational the overall objective of the project (e.g., ‘disaster information. risk / vulnerability reduction’ as compared with ‘facilitating energy efficient buildings’). For this Since there is a wide range of legal and reason, it is important to understand which entities administrative systems in use around the world, may be responsible for the types of information and the required information can exist in many required for a project. government entities and various levels of government, one needs to know where to look. Regulations may be promulgated at a national level In a unitary government system, this might be a (unitary government system), state (territory, small number of central government ministries or provincial) level (federation), or municipal level agencies (e.g., New Zealand), or dozens of national, (in either system). There can often be overlaps state and local government entities within a federal within and between levels, as illustrated in the government structure (e.g., the USA). Establishing table below for a Unitary government system. The the baseline type and form of government inform provisions of the building regulation establish the at what level of government pertinent information legally mandated design requirements, functional might be found. requirements, and construction practices. 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 or equivalent Act or equivalent National or Local Planning / Zoning Regulations or equivalent Buildings National Building Act or Ministry of Construction or equivalent equivalent Building Regulations Ministry of Construction or equivalent (Codes, Standards6, Laws) Regional or local Building regulation Local Council or equivalent orders, ordinances, etc. Fire prevention National Fire Services Act or Ministry of Public Safety or equivalent equivalent 6 It should be noted that in this context, Regulations, Codes and Standards all have equivalent meanings, e.g., the Building 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. 21 22 L egal and A dministrative C omponent Legislated Area Level of Government Type of Document Where to Look National, Regional or Fire Regulations (Codes, National, Regional or Local authority Local Laws) Energy conservation / National National Climate Policy, Office of the PM, Ministry of Environment, efficiency Energy Policy, Resource Ministry of Energy, etc. Management Policy Climate Change / Hazard National National Climate Policy, Office of the PM, Ministry of Environment, Resiliency Resiliency Policy, Ministry of Disaster Response and Recovery, Disaster Recovery Policy, etc. etc. Licensing and National or Local (or Building Act, Planning Act, Office of Consumer Affairs, Board of certification of market, e.g., professional etc.; Building Regulations, Professional Engineers, Institution of Architects, practitioners society) Zoning Regulations, etc.;, etc. Consumer Protection Policy Licensing and National or Local (or Building Act or Office of Consumer Affairs, Board of Contractor certification of market, e.g., professional equivalent, Building Licensing, etc. (or Association of Electricians or contractors society, industry Regulations, Consumer so forth) association) Protection Policy Product certification National (or market, e.g., Building Act or National Bureau of Standards, National insurance entity) equivalent, Building Product Testing Laboratory and so forth (or Regulations, reference Underwriters Laboratories or so forth) standards; Consumer Protection Policy Insurance National (e.g., flood Resiliency Policy, Emergency Management Agency (or market) insurance) or market Disaster Recovery Policy, and so forth Federation (e.g., combination of national government and regional / local government responsibility) In federal system countries, one will need to identify the above types of information at each level of government – national, regional (e.g., state, territory, or province) and local (as appropriate). It will be important to know the regulatory hierarchy as well. For example, in the USA, buildings are regulated at the state or local level, as is planning and zoning. However, there are resource management and environmental regulations at national and state level. As such, understanding how the hierarchy of regulations works will be important to inform on what land areas it might be possible to build, what types of assessments and permission will be needed, and so forth. Potential Informants Texts of legislation and laws related to building regulation may be publicly accessible. However, it may be necessary to consult with local experts in construction law and parties active in the construction sector, including building professionals, contractors and owners to understand the actual functioning of the legal process. One should consult those agencies to which responsibility for code development and implementation has been clearly assigned. In a unitary (national) government system, starting at the ministerial level (or equivalent) will be helpful. In federal systems, one will need to reach out to parties at each level of government, consistent with project objectives. 03 Chapter 3.2– Screening Questions These questions are repeated from the Level 1 - Initial Screening as a reminder of the preliminary information that has been collected. It should be noted that Level 2 - Detailed Exploration should focus on questions and issues identified in Section 3.3 below, recognizing that some of the pertinent information may have already been collected. Screening Questions Questions Why This is Important 3.2.1 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. 3.2.2 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? 3.2.3 Are there regulations7 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? 3.2.4 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. Note that the term ‘regulation’ is used to encompass the document, or set of documents, which define the legally mandated building requirements. 7 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). 23 24 L egal and A dministrative C omponent Questions Why This is Important 3.2.5 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. 3.2.6 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? 3.2.7 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. 3.2.8 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. 3.2.9 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. 3.2.10 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. 03 Chapter (c) fire prevention / control, and/or the fire 3.3– Detailed Exploration service; This section builds on the screening questions, (d) resource / energy conservation; providing addition commentary as to why requested (e) accessibility / usability rights; and information is important, and including additional (f) historic / cultural heritage preservation? questions and informational requirements to be Once the form of government has been identified, resolved during in-depth investigation. and there is a sense of where to look for associated Form of Government legislation, the next step is to identify whether (supports Screening Question 3.2.1) the fundamental enabling legislation for such regulations are in place, and if so, to collect text of Understanding the form of government is essential for the legislation (acts, decrees, laws). As appropriate knowing where to look for relevant legislation and to the scope of the project, one should collect text regulation for the built environment. from all enabling legislation, from all appropriate In unitary government countries, one typically finds levels of government and describe the distribution responsibility, and therefore enabling legislation for of legal responsibility (between legislated areas and areas such as land resource conservation, building between layers of government). regulation and fire services regulation at the national government level. Legal Responsibility for Enabling Legislation (supports Screening In countries with a federal system of government, Question 3.2.2) the power for developing and promulgating What entity (or entities) in the government have regulations for these areas more typically rests with legal responsibility for enacting the enabling acts, states, territories or provinces, as defined in the decrees, laws associated with the regulation of: country’s constitution. (a) the use or condition of land upon which a With either type of governmental structure, the building can be constructed (i.e., planning or authority for the implementation and application of zoning); building regulations may be delegated to a regional (b) the design, construction or operation of or local level of government, and in some countries buildings; there will be several layers of responsibility. In (c) fire prevention / control, and/or the fire these countries, one will need to explore each layer service; of government to obtain a complete picture of the (d) resource / energy conservation; regulatory scheme. (e) accessibility / usability rights; and (f) historic / cultural heritage preservation? Enabling Legislation (supports Screening Question 3.2.2) At a national level, this might often be the Are there Acts, Decrees, Laws or similar which parliament, legislature or similar body responsible enable the regulation of: to formulation and promulgation of laws. A parallel structure might be expected at a state, provincial or (a) the use or condition of land upon which a building territorial level in a federal system. This will likely can be constructed (i.e., planning or zoning); depend on the form of government in place. (b) the design, construction or operation of buildings; 25 26 L egal and A dministrative C omponent Legislative Process for Enabling regulations – documents which have been enacted Legislation (supports Screening under the power of enabling legislation. Second, Question 3.2.2) the term ‘regulation’, as used in this context, refers generically to formal document, with the This area is intended to obtain information on understanding that the actual name / title will vary the legislative process used for the adoption and by country. For example, it might be called the promulgation of enabling legislation for the above Building Regulations (as in England), the Building areas, as applicable to the project. In democratic Code (as in many states in the USA), or the Building countries, elected members of parliament or the Standards (as in Scotland), or the Building Standard legislature are constitutionally empowered with Law (as in Japan). the responsibility to develop and promulgate laws and do so as representatives of the citizenry. In This is important to understand for two primary non-democratic governments, the responsibility reasons: first, to be able to identify the document, may lie with appointed officials. This question aims and second, because the term ‘standard’ is also used to understand not only the responsibilities, but the for a wide range of documents, often referenced representativeness of public will in the process. within the regulation, which are essential for Formally Adopted / Enacted attaining consistency in material properties, design, Regulations (supports Screening construction and the like. Exemplar definitions of Question 3.2.3) this type of standard are provided in the text box. Are there formally adopted / enacted regulations for An example would be any of the wide range the following: of standards published by the International Organization for Standardization (ISO), the (a) land use planning/zoning; European Committee for Standardization (CEN) (b) building; and the national standards-making organizations of (c) fire prevention; a country. (d) resource / energy conservation; (e) accessibility; and Extent of Land Use / Building Design (f ) historic / cultural preservation? & Construction Controlled by Formal Regulations (supports Screening This area aims to identify, and if in force, collect Question 3.2.3) the text of the promulgated regulations for those areas pertinent to the scope of the project. In many low- and middle-income countries, while When seeking this information, there are two there may be formal regulations in place for key important considerations. First, the aim is to areas such as land use planning, building design identify the existence of ‘formal,’ or promulgated and construction, and fire safety, the regulations Standards may be classified as (1) government or statutory agency standards A standard is a document that provides requirements, specifications, and specifications enforced by law, (2) proprietary standards developed guidelines or characteristics that can be used consistently to ensure by a firm or organization and placed in public domain to encourage their that materials, products, processes and services are fit for their purpose. widespread use, and (3) voluntary standards established by consultation and (http://www.iso.org/iso/home/standards.htm) consensus and available for use by any person, organization, or industry. (http://www.businessdictionary.com/definition/standards.html) 03 Chapter may not be applied to all geographic areas, or to all resources that are needed to overcome the lack buildings within all geographic areas. There can be of formal regulatory framework in currently several conditions in which a combination of formal unregulated areas. regulation, information regulation and no regulation can exist. Regulatory Development Responsibilities (supports Screening In many countries, there are different requirements Question 3.2.4) for different building uses, such as domestic’ What Ministry, Agency, Department or other entity housing, ‘commercial’ (sometimes called ‘public’) has primary responsibility for development of buildings, and ‘heavy’ industrial facilities. The regulations for: delineation is often around such factors as places where people live (domestic housing), places (a) the use or condition of land upon which a used by the public for work and commerce (e.g., building can be constructed (i.e., planning or offices, shops), temporary housing (e.g., hotel) zoning); and care (e.g., hospitals), and places of industry (b) the design, construction or operation of and storage of all types of materials, including buildings; hazardous materials. (c) fire prevention / control, and/or the fire service; Each area may have formal regulations or not. (d) resource / energy conservation; Where formal regulations exist for each area, they (e) accessibility / usability rights; and may have different sets of requirements or levels (f) historic or cultural heritage preservation? of performance delivered in terms of health, safety and welfare, and may even be regulated by different The development and promulgation of regulations government ministries, agencies or departments. may not be by the same entity, so it is important to Even when formal regulations exist, they may know which entity is responsible for each function. not address all building types within a use type It may or may not be by government. (e.g., small sheds not meant for human habitation, but associated with domestic housing, are often For example, development may be by a private not regulated). sector ‘model code’ development organization, but promulgation is typically the responsibility of In some cases, formal regulations may be in place government. Here we need to know which entities for some or all uses, but are not applied to all are responsible for developing the associated buildings or geographic areas equally. An example is regulations (Codes or Standards). Who develops informal housing and other unregulated buildings, regulatory provisions on what authority? Is which may co-exist with regulated buildings in this done within government agencies or with slum or other areas, or which may exist in part external consultation with technical experts of a municipality, state or country where formal and stakeholders? What is the process for regulations have not been promulgated, even modification of the regulations? Who has standing though there is a regulatory framework in place. to recommend and approve regulatory changes? It is extremely important to determine the breadth It will also be helpful to know if influence and depth of application of formal regulation, as peddling or corruption is of concern in the client this will have a significant bearing on the efficacy country, as it might influence development of of the building regulatory framework, and the the regulation. 27 28 L egal and A dministrative C omponent Authority / Responsibility for areas becomes adopted into law and promulgated Promulgation of Regulations (supports within the jurisdiction. Also, it is important to Screening Question 3.2.5) identify what entities have responsibilities, and across how many entities and levels of government What Ministry, Agency, Department or other entity coordination is required. has primary responsibility for promulgation of regulations for: Certification / Registration / Licensing of Professionals (supports Screening (a) the use or condition of land upon which a Question 3.2.6) building can be constructed (i.e., planning or zoning); Are there acts, decrees, laws or similar which enable (b) the design, construction or operation of the regulation / licensing / certification of: buildings; (a) architects / planners; (c) fire prevention / control, and/or the fire (b) engineers; service; (c) builders (carpenters, masons, …); (d) resource / energy conservation; (d) trades (plumbers, electricians, …); (e) accessibility / usability rights; and (e) contractors, installers, …; (f ) historic or cultural heritage preservation? (f) building / fire officials (inspectors, …); and The development and promulgation of regulations (g) third-party reviewers? may not be done by the same entity, so it is There are a variety of quality assurance mechanisms important to know what entity is responsible for that can be employed across the building regulatory each function. For example, development may process, from use of recognized reference standards be by a private sector ‘model code’ development for building materials and products, as noted organization, but promulgation is typically the above, to the accreditation of testing laboratories responsibility of government. Here we need to know for material, system and component qualification, which entities are responsible for promulgating the to the registration and licensing of design associated regulations (Codes or Standards). It will professionals and building contractors. Quality also be helpful to know if influence peddling or assurance may also be applied to the building corruption is of concern in the client country, as it regulatory process through certification of building might influence promulgation of the regulation. officials and accreditation of building departments. Legislative Process for Adoption and This section focuses on the certification / Promulgation of Regulation (supports registration / licensing of design professionals, Screening Question 3.2.5) building contractors and enforcement officials. This area is intended to obtain information on A system of qualification and licensing for building the legislative process used for the adoption and professionals must be supported by effective promulgation of regulations for the areas identified oversight procedures that ensure that they meet above, as applicable to the project. Whereas licensing requirements and that they are subject development and promulgation of regulation to disciplinary action in cases of negligence may be at different levels of government than or defective work. In some cases, professional the enabling legislation which permits it, this societies or trade associations participate in this question gets to the processes in place at the level role. Oversight can involve either private or public of government where regulation of the target entities or joint public-private entities. 03 Chapter There are generally two approaches taken: engineers), building contractors, building services government-based and market-based. In a manufacturers and installers, specialty building government-based system, there will typically trades (e.g., plumbers, electricians, etc.), building be laws governing the practice of the profession, enforcement officials, and others in the building with requirements for professional certification / regulatory framework. In addition, accreditation registration / licensing overseen by the government. standards for training institutions contribute to An example is licensing of Professional Engineers the preparation of qualified building professionals in the USA, which is overseen by individual states including building engineers, architects, contractors, via board of Professional Engineers and Land and regulators. Evidence of such accreditation Surveyors or similar. In this system, there are clear standards should be compiled, as well as, accredited education and experience requirements, the need curricula for planning, design, engineering and to successfully pass nationally consistent and enforcement, and evidence of accredited curricula, administered examinations in engineering, and then as delivered by recognized institutions. licensing by the state. In a market-oriented system, the benchmarking of professional qualifications Enabling Legislation for Third Party and competencies is by a professional body (e.g., Certification (supports Screening Institute of Structural Engineers), which ‘oversees’ Question 3.2.6) the profession, but there are no legal requirements In some countries, the use of third party (non- for certification or oversight by government. governmental) entities for regulatory review, inspection and approval is permitted. Third parties The extent to which the professions and trades can be an alternative to government (e.g., private associated with design and construction are certification in Australia or England), contractors controlled, including minimum qualifications and to government (e.g., contract plans reviewers), or competency requirements, experience, and so independent reviewers used on specific project forth, can have a significant influence on the quality types, such as performance-based designs. Such of construction and compliance with regulation. arrangements facilitate the expansion of building National, state (provincial), or local building regulatory capacity through collaboration with the regulatory legislation may define requirements for private sector. This can be an important means the licensing or registration of building professionals, to expand regulatory coverage and expertise, contractors, and building regulators. Such building particularly in low and middle-income countries. regulatory legislation may also provide for enforcement of regulations and penalties for failure to It therefore needs to be determined if there are legal comply. Identifying who is controlled by legislation, provisions for the employment of certified third party and how, is the first step in the assessment process. (private) specialized professionals in building control Built environment professionals must be adequately activities including plan review and inspection, and if trained in accredited institutions and individually so, to collect text of the enabling legislation. Enabling licensed on the basis of tested technical competence. legislation should be specific about the modalities Professional accreditation, certification and licensing and the process of involving private professionals can be reinforced by requirements related to building in building control and specify the professional finance and insurance. certification requirements. They should have provisions on transparency and conflict of interest The types of information and data to collect include and create or enable accountability mechanisms a description of legal requirements and certification in the form of a public or a public-private entity in processes for building professionals (architects and charge of establishing and monitoring the standards. 29 30 L egal and A dministrative C omponent In a robust framework, third party entities must contents are controlled, in terms of quality, be officially qualified and registered. There must strength, and overall fitness for purpose, can be provision to avoid conflicts of interest for have a significant effect on the ultimate safety, firms practicing in the same market. Provisions health, energy or other performance of a building. for registration and management of third party Identifying what legislation and regulation is in reviewers and inspectors should be described. place with respect to material control is important. It will also be helpful to know if corruption is of Documentation to be collected includes explanation concern in the client country, as it relates in this of the enabling legislation, the process of case to building materials. employment, and the regulation of private third party plan review and inspection professionals. The types of information and data to collect include Third party registration and management, and rules a description of legal requirements and certification and provisions for liability coverage should also processes for construction products (building be obtained. materials, components, systems), building contents (e.g., flammability requirements), products testing Quality Control of Materials / Systems and certification laboratories, and others associated / Components (supports Screening with qualification testing and market surveillance, Question 3.2.7) as appropriate. Are there acts, decrees, laws or similar which Liability Scheme and Products enable the regulation / certification / testing / (supports Screening Question 3.2.8) quality control of the following building regulatory framework components, and for accreditation of the The liability scheme in place in a country, namely entities undertaking the qualification testing: joint- and several or proportionate, may influence which parties assume what levels of liability, and the (a) building materials (e.g., steel, timber, masonry, extent to which the liability can be transferred or concrete…); limited. There are a number of questions associated (b) building products and systems (e.g., walls, with understanding the liability landscape. doors, windows, heating appliances, lighting systems, etc.); First, are liability and accountability legally defined to (c) contents or aspects of contents (e.g., materials ensure that fault and responsibility for construction which may be toxic…); failures are linked to the party that occasioned the (d) accreditation of testing and approvals failure? National legislation can provide for allocation laboratories; and of liability. It should be identified if there are legal (e) market surveillance? provisions that ensure that those responsible for construction failure can be identified and held As noted above, there are a variety of quality accountable. In jurisdictions where such provisions assurance mechanisms that can be employed exist, proportional liability may apply. Proportional across the building regulatory process, including liability requires parties to pay only in proportion the accreditation of testing laboratories for to their share of fault. Proportional liability is material, system and component qualification, often introduced with mandatory insurance and and requirements for testing and certification of registration of building professionals. material, system and component performance. Second, is there a legal foundation for a mandatory The extent to which construction materials and liability insurance regime for building professionals? 03 Chapter Here the aim is to identify whether there are building legislation. The below discussion seeks legal provisions establishing a mandatory liability information on how the responsibility and liability insurance regime that can enable all building is apportioned. Together, understanding who is professionals involved in the construction sector accountable for compliance with regulations, to be insured so that members of the public and and how liability is apportioned in cases on institutional users are protected. If local conditions non-compliance, are important aspects to are appropriate, it is desirable to introduce understanding the effectiveness of the regulatory mandatory insurance as a vital complement of framework and what measures are needed to proportional liability. facilitate enforcement. Third, it is useful to identify to what extent It may also be necessary to understand the role of there are legislated or market-based warrantees contract law. In many countries, there is a single and guarantees around services and products entity who is liable (often building owner or agent for buildings. Many countries have consumer that constructs on behalf of owner), but liability is protection legislation aimed at providing some level shared via contract (contract law). In Sweden, the of quality assurance for initial purchases, for which owner/agent is responsible. In Spain, the Architect responsibilities and liabilities can be assigned to has significant responsibility. In New Zealand, it is manufacturers, designers, contractors and installers often the territorial authority (local authority) who (e.g., warrantee that a new home meets the requisite is the last person standing. level of performance and compliance for at least X months). One should determine the existence and One should gather documentation of provisions for role of such consumer protection legislation and liability of building professionals, contractors and related market instruments. owners for consequences of building failure. Stakeholder Responsibilities and Codes / Canons of Professional Ethics Accountability (supports Screening (supports Screening Question 3.2.8) Question 3.2.8) In addition to legislated requirements for This area aims to identify the legal roles and regulatory compliance, and associated penalties responsibilities of stakeholders within the for non-compliance, many countries significantly client country. In many countries, the building rely on the professional ethics of practitioners. owner has responsibility for compliance with The intent here is it identify whether there are regulations. This responsibility, and associated any legal provisions and/or professional codes liability, can be shared / transferred via contract. of ethics that serve to monitor professional In other countries, however, there are limits on practices of engineers, architects, contractors liability, and the government may ultimately bear and building regulators. Information to look for responsibility and liability, especially if they are includes documentation of established canons of the ‘last entity standing’ relative to those entities ethics, codes of practice and related documents with some responsibility for building compliance which benchmark professional ethics for building and performance with the regulations. professions and contractors. The aim here is to identify which stakeholders have responsibility, accountability and liability with respect to assuring compliance with 31 32 L egal and A dministrative C omponent Legal Requirements around Penalties for Non-Compliance Compliance with Regulations (supports with Formal Regulations (supports Screening Question 3.2.9) Screening Question 3.2.9) Robust regulatory frameworks for land use planning, In parallel with understanding the legal building design and construction and fire prevention requirements around compliance, it is also and control are characterized by a set of procedures necessary to understand what types and forms for helping to identify works being planned and of penalties are possible with respect to non- carried out, and for their review and approval. Using compliance with building-related regulations, and the building design and construction process as an to what extent such penalties are levied. These can example, this would typically involve starting with range from stop work orders, to civil penalties, and the entity requesting to conduct building works in some countries, criminal penalties. Information submitting an application for a building permit from should be collected on the legal requirements and the local authority, and would include a process the history of enforcement of associated penalties. wherein the government or its designees carry out one or more functions of review, inspection and Appeals Mechanisms / Processes approval before issuing notification of compliance, (supports Screening Question 3.2.9) occupancy permit or similar. This area aims to identify if there are provisions in the legislation, and if so, at what level, for the Submit Submit Construction Certificate of establishment of an appeals or a conflict resolution Issue Permit Application Application Inspections Occupancy process related to interpretation or application of building laws. This aspect of the assessment aims to understand The mandate of such appeals and conflict resolution what legal requirements are in place with respect to processes would include: conflicts pertaining planning, design and construction, fire prevention, to the interpretation of technical requirements; filing for permission to construct and/or occupy a sufficiency of building-code design compliance; and building, components and steps in the process that licensing of building professionals (e.g. disciplinary need to be completed and by whom, and who has measures, revocation of practitioner’s license, what responsibilities in the process. or renewal of license). Setting up a professional dispute-resolution mechanism regarding building With respect to responsibilities, this is both regulation is an important policy element to for determination of compliance (e.g., local promote procedural justice and level the playing authority, third-party reviewer, self-certification by field. Relevant building legislation should include practitioner), and responsibility for compliance (e.g., provisions for such processes. often the building owner, as further discussed below). The type of information to collect includes The determination of compliance can vary widely, provisions for the establishment of an appeals and is discussed in more detail in section 5.0 process and conflict resolution, as well as evidence Implementation. At this stage, however, the focus of successful utilization of these processes. is on legal requirements and assignments of responsibility. One should collect the text of the legislations regulations, administrative ordinances and such, which identify issues around compliance. 03 Chapter Enabling Legislation for Collection of Fees / Levies (supports Screening Question 3.2.10) Many jurisdictions utilize fees or levies on various stages of the building regulatory process, including when applying for permits to build, for plans review and approval, and for inspection and witnessing of building commissioning. The aim here is to identify the enabling legislation or regulation used to allow and govern the fee levels that can be charged. Areas of research include whether legislation exists regarding the adequacy, uniformity or allocation of building permit fees, and if so, at what level(s) of government, and whether building regulatory legislation provides for the allocation of financial resources to building authorities that are consistent with their workload and associated overhead costs. The level of fees to be charged should be proportional to the effort and should not duplicate other sources of funding. In general, fees charged by local building authorities should be based on the actual cost associated with the review of building plans and site inspections, including overhead costs. Fees charged for construction permitting and building inspection may be expected to cover the costs of regulatory services. Data to be collected includes fee schedules for building authorities at the local level and one should assess the uniformity of application across jurisdictions. 33 04 Chapter Development and Maintenance Component includes land use planning, zoning, building and 4.1– Context fire regulation. There can be numerous applicable With the establishment of the authority and regulations depending on the type of project (e.g., responsibility for design, construction and building disaster risk / vulnerability reduction as compared use control, the next element for review within the with climate change mitigation or cultural heritage building regulatory framework is the regulatory protection). The range of regulations can include: documents themselves: those documents which Planning and Zoning Regulations, Building define / describe specific requirements that must be Regulations, Fire (or Fire Prevention) Regulations, complied with. Energy Use / Efficiency Regulations, Accessibility / Universal Design Regulations, Cultural / Heritage This assessment seeks to identify and describe Protection Regulations, and the like. Components the organizations responsible for regulatory of the building regulatory framework function development and promulgation, the particulars holistically to assure that a particular building, on a of the regulatory development process, the level particular site, exposed to well-characterized hazards, and inclusiveness of participation in regulatory is able to achieve the minimum levels of performance. development, and the extent to which the regulations reflect appropriate solutions for local Using the term ‘building regulation’ for the political, social, cultural, technical and economic legally-enforceable regulatory document also helps conditions. differentiate these regulatory documents from ‘reference standards,’ developed by standards For the purpose of the Building Regulatory Capacity development organizations (such as the International Assessment, the building regulatory framework Organization for Standardization (ISO)), and 34 D evelopment and M aintenance C omponent ‘design codes,’ such as the Eurocodes for Structural design provisions, and basic structural material Design. Such reference standards and design codes properties, are largely addressed by standards of are often developed in the private sector through the American Society of Civil Engineers (ASCE), a consensus process involving stakeholders across but supported by the American Iron and Steel different areas, and focus on specific requirements Institute (AISI), the American Concrete Institute associated with testing, design, installation and (ACI), and Others. These, in turn, are supported by maintenance of materials and systems. Such test standards, such as from the ASTM, and product reference standards and design codes are cited by certification standards, such as from UL. reference in building regulation, which makes them legally enforceable, or are available as voluntary The IBC alone references more than 500 standards, guidance. There can be many hundreds of applicable many of which reference several others. There can reference standards and design codes that underpin a be literally thousands of applicable standards within comprehensive building regulatory framework. the regulatory framework. Consider the relationships between the International Building regulations may be promulgated at a Building Code (IBC) in the USA and related national level (unitary government system), regulations, standards, and market entities. The IBC state (territory, provincial) level (federation), is a model code developed by the International Code or municipal level (in either system). Building Council (ICC), a private sector code development regulation provisions establish the legally mandated organization. The IBC contains the ‘top level’ design requirements, functional requirements, and regulatory provisions for buildings, which if adopted construction practices. into law at a state or local level, becomes the legally The regulatory development process varies from enforceable building code (regulation). country to country. In countries with a unitary However, the IBC is not the only applicable government system, the building regulatory code which must be adopted into law. There are development process is often managed by a unit of the numerous other codes that support the IBC, national government (e.g., Ministry of Construction, including the International Mechanical Code Public Works, Urban Development, etc.). In federal (IMC), the International Plumbing Code (IPC), the systems, the building regulations may be developed International Fire Code (IFC) and several others, by a government entity, a quasi-government entity, which address specific attributes of a building’s a research institution, or a private sector entity, framework or features. but are not legally enforceable until adopted via enabling legislation. The process varies by country, Within each code are numerous reference standards and can be a reflection of the form of law (i.e., that address all types of material, system, and Civil Law, Common Law, Customary Law or some product performance, quality, design, installation, test combination or variation) and of the regulatory style and maintenance features. For example, requirements (i.e., adversarial, elite consensual, or strong central for material, system and component performance, government). design, installation, test and maintenance associated with fire protection are largely addressed by standards In many respects, building regulations represent of the National Fire Protection Association (NFPA), the embodiment of data, political policies, public but also by test standards, such as from the American perceptions and expectations, and expert judgment Society of Testing and Materials (ASTM), and product about technical aspects of building performance certification standards, such as from Underwriters and social evaluation of tolerable or acceptable risk. Laboratories (UL) and others. Likewise, structural In order to adequately reflect the breadth of issues 35 36 D evelopment and M aintenance C omponent and perspectives, the building regulatory development Potential Informants process should be broadly representative of First contact may be with the head of the technical experts, such as engineers, architects, government entity designated with primary building researchers, manufacturers and suppliers of responsibility for development and maintenance construction materials and systems, the construction of building regulations. Within a unitary (national) and real estate industry, the building finance and insurance industries, those who represent the government system, this may be a unit of the concerns of public health and safety, and those who ministry concerned with construction or urban represent the owners and occupants of buildings. development (e.g., Ministry of Construction, Public Works, Economic Development, etc.). Regulation Building regulations should be periodically reviewed related to buildings may also reside with the and updated to address shortcomings or reflect Ministries of Health, Energy, Civil Defense or Interior. improvements based on loss experience to hazard Within a federal system, this may be the equivalent events, research and technology, to reflect new policy entity within a state, territory or province. In some objectives, such as climate change adaptation or instances, entities may be commissions or boards universal accessibility, to reflect changes in social (e.g., Building Regulation (Code) Commission, Board norms, and to meet affordability objectives. Critical of Building Regulations). This structure may also be functions of building regulations include setting observed at a county or municipal level. the benchmark for the minimum level of acceptable performance in terms of safety, health and welfare of Occasionally, the regulatory development the occupants, and doing so in a way that facilitates process may be managed by a non-governmental the introduction of new knowledge and improved organization (as in the case of the USA) or quasi- processes into building practice. This requires that governmental organization (such as in Australia, codes be written in clear language, accessible to Austria and Canada). In such cases assessment designers and builders and, to the extent possible, questions should be addressed to the relevant accessible to informal sector builders. Codes should official of that organization. aim to cover all prevalent construction types, providing guidance for safe construction and use of buildings. 4.2– Screening Questions At the end of the day, building regulations must The second component of Building Regulatory be local instruments that address local economic, Capacity Assessment focuses on the regulatory social and technical capacity. This is particularly true documents themselves: those documents which define for low- and middle-income countries, which rely on the regulations to be appropriate to local conditions. / describe specific requirements that must be complied However, for expediency, reference is sometimes made with, as well as how they are developed and maintained to building regulations from developed countries (e.g., (updated). This includes land use planning, building the International Building Code, the Building Code and fire regulation. of Australia, the Building Standards Law of Japan, The Screening Questions in this section are repeated etc.). In these cases, it is imperative to understand from the Level 1 - Initial Screening as a reminder of the extent to which such documents, if used, are preliminary information which has been collected. It effectively adapted to meet local conditions, materials, should be noted that Level 2 - Detailed Exploration expertise and values, and that the associated level of should focus on questions and issues identified required regulatory infrastructure is in place. in Section 4.3 below, recognizing that some of the pertinent information may have already been collected. 04 Chapter 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. 37 38 D evelopment and M aintenance C omponent 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. 04 Chapter 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 standards8 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. 8 As used here, a ‘consensus standard’ is a standard, developed by an accredited standards-making organization (e.g., the International Organization 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. 39 40 D evelopment and M aintenance C omponent 4.3– Detailed Exploration Hazard Mapping within Land Use Planning Regulations (Supports This section builds from the screening questions, Screening Question 4.2.2) providing addition commentary as to why requested Having robust maps of risks and hazards is important information is important, and including additional in order to assess the appropriateness of land on questions and informational requirements to be which buildings can be sited, to zone building uses resolved during in depth investigation. These based on the number of people at risk from natural or areas and questions start from the fact that formal technological hazards, or for similar risk management regulations are in use, as identified in the Legal and purposes achieved by regulation. Such maps are Administrative Component. typically developed by the entities identified above. Risk & Hazard Source(s) and Data Sets Here, the question is to what extent such risk or (Supports Screening Question 4.2.1) hazard maps are utilized in formal land use planning and zoning regulation. Specifically, it should be A fundamental objective of planning, building and determined if the formal land use planning / zoning fire safety regulation is to protect the public from a regulation incorporate the following: wide range of hazards, both natural and technological (man-made). In order to assess the capacity of a) hazard maps or related means that identify areas the regulatory framework overall, it is essential to in which building is not permitted due to natural understand the risks and hazards of concern in the hazards; jurisdiction, as well as the depth of knowledge and b) hazard maps or related means that identify available data about the risks and hazards to inform minimum separation between residential and regulatory decisions, including the establishment of hazardous occupancies; hazard resiliency criteria within the regulations. c) maps or related means that identify areas in which building is not permitted in relation to It is therefore important to gather information natural resources; and regarding government ministries, agencies, d) requirements for infrastructure associated with departments, research institutions and others building density, population or related factors. that collect, analyze and publish such data for the country. The search should extend to academia, Hazard zone maps are typically developed for flood non-governmental organizations, private sector plains, earthquake shaking and liquefaction, wind research laboratories and others. The primary aim is load and snow load and coastal zone hazards, such to identify credible sources of hazard information. as storm surge and tsunami. Risk maps present expected frequency and intensity of hazard loads. Once the sources have been identified, it is important Planning and zoning regulations may also include to understand the risks and hazards of concern hazard and risk maps as associated with technological within the jurisdiction, as identified by these sources, hazards, such as minimum separation distances and the level of knowledge and data available on the from fuel storage depots and domestic housing, for risks and hazards of concern. example, as well as related safety and health risks. To the extent possible, one should compile data and/ In addition to collecting maps (or regulations that or data sources to assess the risks and hazards, and include the maps), one should assess the data on the capacity of the building regulatory framework to which the maps are based against data obtained adequately address such risks and hazards. above. 04 Chapter Extent of Coverage of Formal Building Basis of Formal Building Regulations Regulation (Supports Screening (Supports Screening Question 4.2.3) Question 4.2.3) Several countries take advantage of ‘model’ If formal building regulations (codes, standards) regulations, or codes, which are developed as exist, do they have specific provisions or a separate ‘comprehensive’ regulatory documents that can be building code for indigenous buildings, “non- adopted by legislation, with or without modification, engineered” and/or “informal” construction? and promulgated by a jurisdiction. This approach is By ‘formal’ we mean adopted by law and are often found in federal type governments. Examples enforceable, and not used simply as guidance. include the National Construction Code (Australia), the National Building Code (Canada), and the As discussed earlier in Section 3.3., even if a International Building Code (USA). jurisdiction has formal regulations in place, they may not be applied to all geographic areas, they While such model regulations work well in the may have different sets of requirements or levels of countries for which they are design, they may not performance in terms of health, safety and welfare, be applicable, without significant modification, for and they may not address all building types (e.g., other countries, especially low- and middle-income small sheds not meant for human habitation but countries. There are numerous reasons for this, associated with domestic housing are often not including different social objectives, economic regulated). The intent is to determine, within conditions, risk tolerance, different materials and formal building regulations, whether specific code methods of construction (including indigenous provisions exist for indigenous construction, if there materials and methods), lack of systems and are separate regulations for indigenous, “non- components as included in associated reference engineered” and/or “informal” construction, if standards, and lack of knowledge about the use, there are any specific types, uses, sizes of buildings applicability and enforcement of the regulation. that fall outside of formal regulation, and if so, the The process of adaptation and modification of extent to which indigenous, “non-engineered” and/or model international codes should be examined and “informal” construction is used for these buildings. documented. If such model regulations are used as a basis, this needs to be determined, and applicability In many low and middle-income countries, needs to be assessed. building codes do not include provisions related to indigenous or “non-engineered” structures. Regulations developed within the country of While building codes are relatively well-developed concern may be by government ministries for more sophisticated engineered construction, or agencies, government research entities, significant vulnerability resides in the buildings or private sector entities. While such locally- of the “informal” sector. If this is the case, it is developed regulations may be more targeted to of critical importance that either the regulatory the needs of the country, their completeness framework be modified to address “informal” will likely be a function of the knowledge base construction, or that appropriate guidance be of the persons responsible for development. provided for the safest possible use of local methods Data should be gathered with respect to who is and materials of construction. This guidance developing the regulation, how (process), and the may consist of best practice principles or “rules data and information used as the basis. Subsequent of thumb”. Such authoritative guidance is an focus areas below help expand on data and important link to the informal building sector. assessment needs. 41 42 D evelopment and M aintenance C omponent Structure of Formal Building performance-based) approach has the advantage of Regulations (Supports Screening allowing for innovation and possible greater efficiency; Question 4.2.4) however, it places a greater burden on the technical capacity of the regulatory agency and requires There are two primary forms of building regulation: greater technical sophistication in application. prescriptive- and functional-based (also known as performance- or objective-based). Prescriptive It should be noted that even with a prescriptive building regulations are characterized by detailed approach, regulations typically include one or more provisions which specify requirements that, if provisions that allow for performance-based or complied with, result in compliance with health, engineered designs to be undertaken through an safety and welfare objectives. Such regulations ‘equivalency’ or ‘alternate methods and materials’ include items such as material properties (e.g., clause, subject to the approval of the authority strengths, fire resistance, emissivity), limits on having jurisdiction. height and area based on type of construction (e.g., concrete, timber, steel, masonry), safety To support evaluation, one should collect texts requirements (e.g., fire safety systems, signage) and of the building regulations and if functional- access and egress specifications. Such prescriptive (objective- or performance-based), one should regulations can be several hundred pages in length. also collect the text of the associated compliance An example is the International Building Code documents, approved documents or deemed-to- (IBC), a mode building code (regulation) developed satisfy solution. by the International Code Council (ICC) in the USA. Requirements for Recognized Design Functional regulations, by contrast, are typified Professionals (Supports Screening by including only functional, operative and/or Question 4.2.4) performance requirements (i.e., what is expected, As noted in the Legal and Administrative not how to achieve it). These documents are component, there may be (and arguably should be) typically much shorter, as they have far fewer legal requirements for the certification, registration provisions (e.g., the Building Regulation in England or licensing of design professionals. This is a consists of 19 pages of text). However, functional measure often applied to help increase the quality regulations have associated with them sets of of building design. Such requirements would compliance documents, approved documents, reflect the certification, registration or licensing deemed-to-satisfy documents, or other largely of building designers (engineers, surveyors, prescriptive means that can be used to demonstrate architects, planners), and perhaps builders compliance. The fundamental difference between (developers, contractors, subcontractors), on the this approach and a prescriptive system is that in basis of completion of accredited professional the functional system, compliance documents are education and training programs, examinations and not mandatory. professional experience. A prescriptive approach provides for relative ease As part of the system, building regulations need in determining compliance, as the regulatory to reference the required use of recognized design requirements are clearly specified. However, the need professionals to assure continuity of legislation, in to specify all parameters is not practical, and this can addition to being a means to achieve quality designs. result in loss of flexibility and innovation in materials, Documentation of the requirement for work to systems and design. The functional (objective- be conducted by recognized design professionals 04 Chapter needs to be obtained. This can often be found in hazards, and the level of performance may vary the ‘administrative’ chapter of a building or other by hazard. For example, structural and fire safety regulation. requirements for buildings may vary according to the consequences of potential failure. In structural design, Technical Contents of Building an “importance factor” is often assigned to particular Regulations (Supports Screening classes of buildings, which are expected to be available Question 4.2.4) during and after a hazard event, such as hospitals, Building regulations are largely technical documents fire stations, police stations, utilities, and places of which reflect societal expectations for health, safety safe haven. Likewise, different levels of fire safety and welfare of people in and around a building performance is often warranted based on the risk and its neighboring buildings. Robust building to the exposed occupants, be it due to vulnerability regulations address a wide range of technical areas (e.g., hospital patients, aged persons), numbers of in this regard, including: people (e.g., large occupant load buildings, such as malls, arenas, and the like), difficulty of access a) structural design for normal and expected and egress (such as high-rise buildings), or the loading (hazard) conditions; hazardous nature of the operations or storage b) material requirements (e.g., strength, testing, (e.g., industrial facilities, fuel storage, etc.). One quality, etc.); should obtain evidence of such importance or risk c) means of access and egress; categories and how they are applied. d) fire prevention and protection systems e) mechanical systems (e.g., heating, cooling, In addition, there may be associated design codes, ventilation); reference codes, and complementary regulations. In f) plumbing & sanitary systems; Europe, for example, the Eurocodes for Structural g) electrical systems; Design, developed by the European Committee h) energy / resource efficiency; for Standardization (CEN), are used to define i) elevators, escalators and lifts; and verify structural requirements, with local j) fire service access; and modification via nationally determined parameters k) environmental protection. (NDPs). In the USA, the American Society for Civil The investigation should collect texts from the Engineers (ASCE) Standard 7 serves a similar role. building regulations (and/or compliance documents Also in the USA, the International Fire Code (IFC) if within a functional-based regulatory framework) and National Fire Protection Association (NFPA), and determine if, and to what extent, these technical the National Fire Code, are complements to the areas are addressed. Adequately addressing these International Building Code (IBC), including fire issues is critical for establishing levels of building safety provisions, which need to be accounted for in performance necessary to safeguard occupants from building design and approval. expected risks and hazards, providing healthy and With respect to energy and resource efficiency, comfortable environments, facilitating resource it may be that associated regulations exist and conservation and management, and facilitating reference standards exist, defining together emergency responder activities. the requirements. For example, in the USA, the With respect to hazard mitigation and occupant risk International Building Code (IBC), International reduction, it should be noted that equal performance Mechanical Code (IMC), International Energy of all buildings is not typically expected for all Conservation Code (IECC), and International 43 44 D evelopment and M aintenance C omponent Green Construction Code (IGCC) may all be Hazard Mapping within Building applicable, as well as the International Code Regulations (Supports Screening Council Green Building Standard, standards of the Question 4.2.6) American Society of Heating, Refrigeration and Air- Having robust maps of risks and hazards is conditioning Engineers (ASHRAE), and others. important in order to assess the appropriateness of technical building provisions aimed at safeguarding There will likely be accessibility legislation, people in buildings from risks associated with regulations and or standards that also need to natural or technological hazards, or for similar be complied with, as well as environmental, risk management purposes achieved by regulation. occupational health and safety, and related areas. Such maps are typically developed by the entities identified in 4.3.1 above. Here, the question is to One should collect texts of applicable provisions what extent such risk or hazard maps are utilized and associated regulations, and design codes. in formal building regulation. Specifically, it should Appropriateness of Material be determined if the formal building regulation incorporates the following: Requirements (Supports Screening Question 4.2.5) a) hazard maps identifying expected natural hazard loads by region; While it is important to have a clear set of building b) requirements for structural resistance to regulatory requirements regarding the properties of expected hazard loads; construction materials, such as strength, resistance c) requirements for moisture resistance to to moisture and so forth, the utility of including expected hazard loads; and comprehensive material performance criteria within d) requirements for fire separation from other the regulations (and reference standards) can be buildings, wildland interfaces, etc. significantly reduced or negated if there are no Adequate provision of risk and hazard maps materials available locally that can and have been is important as building regulations should tested and certified to meet the requirements. differentiate structural and other requirements according to the geographic distribution of expected This is in some ways tied to question 4.2.3 above in loads or disaster impacts. Hazard zone maps are understanding the local conditions and applicability typically developed for flood plains, earthquake of formal regulation as compared with indigenous shaking and liquefaction, wind load and snow load materials and construction, and matching the and coastal zone hazards, such as storm surge and regulations to the materials and skills within the tsunami. Risk maps present expected frequency sector. With respect to material performance and intensity of hazard loads to provide design parameters and structural requirements. Building requirements, it is important to make sure that the regulation may also include hazard and risk maps regulatory requirements match available materials, as associated with technological hazards, such as and that local, accredited and trusted laboratories minimum separation distances from fuel storage exist to certify materials against the material depots and domestic housing, for example, as well performance requirements. as related safety and health risks. 04 Chapter Occupancy Types in Building Regulations for Existing Buildings Regulations (Supports Screening (Supports Screening Question 4.2.8) Question 4.2.7) In most jurisdictions building regulations Buildings are used for a wide range of purposes and apply primarily to new construction. Building the requirements for the design and performance of regulatory authority therefore stops once a the buildings will vary by use and occupancy type. certificate of occupancy (or equivalent) is issued. As such, it is important to identify the extent to In some cases, there are provisions in building which building regulations have specific provisions regulations that address changes that are made for different uses and occupancy types, including: to an existing building, usually based on the a) assembly spaces (restaurants, theaters,..); extent of the change. Such delineations often b) businesses (offices); trigger the need for building permits, review c) educational buildings (schools); and approval and design documentation, and d) healthcare buildings (hospitals, nursing inspection functions. homes,…); e) correction and detention buildings; The issue of existing buildings and how they f) domestic housing (homes, apartments); are risk-managed is important, since for most g) hotels and motels; jurisdictions changes to existing buildings exceeds h) dormitories, hostels,…; new construction. As such, it is necessary to i) light industry; identify if building regulations have specific j) heavy industry; provisions for the following: k) hazardous industry; l) light storage; a) minor repairs to existing buildings; m) hazardous storage; b) renovation of existing buildings; n) above and below grade parking; c) extensions to existing buildings; o) underground structures; d) change of use of existing buildings; p) high-rise structures; e) culturally / historically ‘listed’ buildings. q) small to medium shops; r) malls and large shopping complexes; and If such provisions exist, one should collect the text s) mixed use buildings. of the provisions and trigger conditions, as well as guidance on decision-making around level of Such ‘classifications’ exist in both prescriptive and functional regulatory frameworks. In prescriptive compliance to be achieved. systems, the uses and occupancies are typically In some jurisdictions, specific regulations for included in the body of the regulation, with specific existing buildings are used. In these cases, text requirements noted by occupancy classification. In of the regulations for existing buildings should functional-based systems, such use and occupancy classifications are typically found in the approved be collected. documents, compliance documents, or deemed-to- In some jurisdictions, specific regulations for satisfy documents. culturally and/or historically significant buildings One should collect the text which identifies and are in place. In these cases, one should collect the defines the uses and occupancy classifications. text of the regulations for such buildings. 45 46 D evelopment and M aintenance C omponent Fire Regulations (Supports Screening and focus group discussions? Is there a consensus Question 4.2.9) process for the approval of regulatory provisions or changes that requires addressing objections In most countries, fire regulations are separate from to proposed requirements? Is there a process for building regulations, but are intended to be applied public review and comment for proposed regulatory jointly in the design and construction of buildings. changes? Provisions for open participation and Enabling legislation will be different for each, as fairness in the regulatory process are a foundation well as regulations and enforcement authorities. for legitimacy and compliance in a democratic In some countries, such as Australia, England and the system of government. An inclusive approach to USA, most of the pertinent fire safety features that regulatory development for the built environment are required in buildings are addressed in building should involve the participation of representatives regulations, with reference being made to additional from building professionals, builders, owners, requirements in the associated fire regulations. In other occupants, as well as those with expertise on health, countries, such as Japan and Singapore, fire regulations safety and disaster risk reduction. are completely separate, and the combination of This breadth of participation is important both building and fire regulations are needed to identify to develop relevant and feasible codes and to required fire safety features in buildings. communicate the social rationale for the building regulatory process. One should gather information It is important to identify the relationship between on provisions for inclusive public participation building and fire regulations, and if fire safety in code development, provisions for providing requirements are included in both, one needs to response to regulatory change proponents (those collect the text of applicable requirements from the who submit regulatory change proposals), and fire regulations. process(es) for dispute resolution. Regulatory Development Processes In addition, by engaging stakeholders, even those (Supports Screening Question 4.2.10) aspects of the regulatory framework that are non- Responsibilities for the development and mandatory can be more easily embraced. Research promulgation of regulation were addressed under points to participation and legitimacy as a major the Legal and Administrative Component in driver of voluntary compliance, which is also a Chapter 3. For this question, the issue is what is the significant aspect of a regulatory framework. process used for development and maintenance of regulations. Unlike enabling legislation, which is The regulatory development process is not static, typically developed by parliaments and legislatures, as there is little expectation that political, societal the development of regulations can be by ministries, and technical components remain static. As such, agencies, or departments of a government, as well updating the regulation on a regular basis is needed. as by private sector organizations. To this end, one needs information on whether there are planned periodic reviews and updates In many jurisdictions, it is deemed important to have of building regulations to incorporate current and broad stakeholder involvement in the regulatory changing technical, social and economic factors. development process. This raises question: Does One needs to obtain documentation on the revision the legal system support effective stakeholder period or cycle, change process (i.e., who has consultation and participation with notice of standing to recommend such changes whether the comments or public review processes, surveys process formally defined, and who oversees the 04 Chapter process), and approval process. amended documents. The information to be collected here includes Reference Standards (Supports written process(es) for regulatory development, Screening Question 4.2.11) written processes for public consultation, review, Comprehensive building regulatory frameworks feedback on proposed regulations, and evidence make extensive use of ‘reference standards,’ of public consultation and review of proposed and developed by recognized standards-development subsequently promulgated regulation in the areas organizations, which when referenced by a legally pertinent to the project. promulgated regulation have the force of law, even Extent to Which Formal Regulations though they are not developed within the legislative Incorporate Local Modifications or regulatory development processes of a country. (Supports Screening Question 4.2.10) Such reference standards and design codes are often In many countries, especially of the federal developed in the private sector through a consensus government type, the constitution, charter or process involving stakeholders across many areas, other enabling document allows or retains for and focus on specific areas such as testing, design, the municipality the right to regulate planning, installation and maintenance of materials and zoning, building design and construction, and fire systems. There can be many hundreds of applicable safety. In some cases, municipalities may create reference standards and design codes that underpin their own regulations. However, they may also a comprehensive building regulatory framework. adopt model regulations, either developed within Such reference standards are a critical element the government at a higher level, or in the private of building codes in that they provide standards sector, or even from another jurisdiction. In any of predictable performance for materials and of these cases, modifications are likely required to procedures based on standard test methods. Design fit the local situation. Determining the extent and is based on the assumption of material performance appropriateness of local modification is therefore under various conditions of loading. An essential quite important. One needs to collect the text of the component of code compliance is the provision for regulations, with indication of local modifications. certification of materials, equipment and processes. Process(es) for Local Modification to To assess the strength and capacity of the building Formally Promulgated Regulations regulatory framework, it is important to understand (Supports Screening Question 4.2.10) if such standards are legally enforceable, or if such If local modifications are made to some base standards are only available as voluntary guidance. (model) regulation, it is important to identify and If legally enforceable, documentation of legislative document the procedure for local amendment and regulatory text that establishes this should or modification of the administrative or technical be collected. It should be determined if there is content of the code. In some jurisdictions, this may a national standards agency and/or recognized be accomplished by a local board or commission standards-making organizations within the country. (e.g., Municipal Board of Building Regulations). It If so, it needs to be determined what standards would be expected that enabling legislation for such are developed and made available for the building a Board will have been identified in Chapter 3 above. sector, and to what extent they are referenced in Here, it is important to document the process and the regulations. One should determine the extent to responsible parties for amending and promulgating which international standards are referenced and/or 47 48 D evelopment and M aintenance C omponent accepted as guidance. In this regard, ‘international’ In addition, these people should be trained on the standards means both the standards developed regulations and supporting infrastructure (e.g., by recognized national standard-development standards). As such, it is helpful to have educational organizations (e.g., the British Standards Institute curricula regarding the structure, content and use (BSI), or Standards Australia Inc. (SAI)), as well of land use planning, building, and fire regulation as the international standards of the International that can serve as a basis of formal education and continuing professional development. Organization of Standardization (ISO). Where non-locally developed standards are used, it should It is also essential to socialize the benefits of the be determined if modifications are made to reflect building regulatory framework via social networks local conditions, and if so, what they are. outside of traditional channels, especially within informal settlements and other unregulated areas, Educational Curricula and Outreach where traditional communication paths may be Materials (Supports Screening Question absent. This may be through social workers, medical 4.2.12) professionals or others, who work with inhabitants, A well-functioning building regulatory framework observe conditions, and can help facilitate changes. needs educated professionals and properly trained Having outreach materials about the benefits of skilled craftspersons for the framework to work formal regulatory frameworks and components can well. This relies on having a sound set of university be very useful in this regard. educational programs for professionals, such as architecture and engineering, but also appropriate training institutions for skilled tradespersons and craftspersons, who are involved in areas such as construction, installation and maintenance of buildings and systems. 05 Chapter Implementation Component Implementation and management of the related 5.1– Context building regulatory components is often addressed Once the legislative and legal foundation for via three distinct entities: the local Planning planning, building and fire regulation is established and Zoning Department, the local Building and planning, building and fire regulations have Department, and the local Fire Department, (note been promulgated by the relevant authority that different names are used in different countries having jurisdiction, the next area of focus is on the and that there may be national components within implementation and management of the regulatory implementation mechanisms). framework at the target level, which is often the municipal or local level. Regardless of the name of the entity, the focus is on regulatory implementation by those governmental The Implementation Component of the assessment entities, or legally authorized private sector entities, focuses on the type, organization, efficiency and which are responsible for compliance with planning, effectiveness of the building control framework. In building and fire regulations, as well as with other particular, it explores the regulatory implementation jurisdictional ordinances involved in enhancing by governmental entities responsible for compliance the safety and quality of life of persons within and enforcement of building regulations and other the jurisdiction. jurisdictional ordinances relating to enhancing the safety and quality of life within their jurisdictions, While responsibility for planning and fire service such as planning, zoning, building, fire, resource regulatory implementation at a local level is conservation or accessibility ordinances. Having an typically of the government, building control adequate building control framework is critical for may see more private sector involvement. ensuring building quality and safety. Building control may be solely or fundamentally 49 50 I mplementation C omponent governmental, solely or fundamentally private architecture and engineering, but also appropriate sector, or some combination, often with both a training institutions for skilled tradespersons and governmental option and private sector option. craftspersons, who are involved in areas such as construction, installation and maintenance of Broadly, building control in such systems may buildings and systems. contain some or all of the following functions: planning and zoning control (e.g., siting of the In addition, these people should be trained on the building); control of technical requirements regulations and supporting infrastructure (e.g., (e.g., permitting, plan review, building regulation standards). As such, it is helpful to have educational and code compliance); control activities during curricula regarding the structure, content and use construction (e.g., inspection); completion of land use planning, building, and fire regulation of the building (e.g., final inspection and/or that can be used as a basis for formal education and commissioning); and, maintenance and use (e.g., continuing professional development. inspection and enforcement). Within governmental systems, these functions may be across several It is also essential to socialize the benefits of the agencies or departments (e.g., Planning, Building building regulatory framework via social networks and Fire). In systems with private certification and outside of traditional channels, especially within building control, some or all of the functions are informal settlements and other unregulated areas, undertaken by private sector entities. where traditional communication paths may be absent. This may be through social workers, There are also more ‘quality management’ systems, medical professionals, NGOs or others, who work where ‘self-certification’ or ‘self-approval’ of designs with inhabitants, observe conditions, and can help is made by qualified design professionals, without any significant government or private sector facilitate changes. Having outreach materials about building control. the benefits of formal regulatory frameworks and components can be very useful in this regard. Building control is one of the most important aspects of the building regulatory framework, as this Potential Informants is the point at which compliance is to be determined The primary focus of this assessment are the and assured. If the building control component Planning, Building and Fire Departments (or is weak, it can negate the benefits of strong legal equivalents), and/or private sector organizations foundations and technical regulations. The adequacy with implementation and enforcement functions. of building control functions is fundamentally Within government entities, the chief official dependent on the number, competency and (planning, building, fire) of the jurisdiction, qualifications or building control practitioners or CEO of a private sector entity, will typically (government, private sector or both). Local be the principal informant, with reference to implementation and enforcement is in many cases a relevant subordinates when appropriate. It is also critical point of failure in the pursuit of resilience. highly desirable to consult with relevant senior A well-functioning building regulatory framework jurisdiction officials such as mayors, city managers, needs educated professionals and properly trained related city department heads and members of skilled craftspersons for the framework to work the building community, including designers, well. This relies on having a sound set of university builders, developers, building owners and contract educational programs for professionals, such as regulatory staff. 05 Chapter 5.2– Screening Questions This third component of the Building Regulatory Capacity Assessment focuses on the implementation and management of the building regulatory framework at the level(s) associated with the project scope. The screening questions are aimed at identifying a minimal set of information for preliminary assessment of local capacity. These questions are repeated from the Level 1 - Initial Screening as a reminder of preliminary information which has been collected. It should be noted that Level 2 - Detailed Exploration should focus on questions and issues identified in Section 5.3 below, recognizing that some of the pertinent information may have already been collected. Screening Questions Questions Why This is Important 5.2.1 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. 5.2.2 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. 5.2.3 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. 5.2.4 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. 5.2.5 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. 51 52 I mplementation C omponent 5.2.6 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. 5.2.7 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? 5.2.8 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 c) calculation verification; a year might be expected.9 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. 5.2.9 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.). 9 For examples, see http://www.doingbusiness.org/data/exploretopics/dealing-with-construction-permits 05 Chapter 5.2.10 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)? 5.2.11 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. 5.2.12 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. 5.2.13 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?” 5.2.14 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. 53 54 I mplementation C omponent daytime populations; population growth trends and 5.3– Detailed Exploration projections; current housing count and future-needs This implementation Component focuses on the projection; median housing price; property tax rate; implementation and management of the building and major contributors to local economy (tourism, regulatory framework at the level(s) associated manufacturing, education, etc.). with the project scope. The detailed exploration Extent of Promulgated Formal questions expand on the information highlighted in Regulations within Jurisdiction of the screening questions for preliminary assessment Concern (supports Screening Question of local capacity. (Note: Chapter 6 provides more 5.2.1) detailed questions for assessment of regulatory and enforcement bodies, with respect to policies, While it may be that a country has appropriate procedures, staffing, function and capacity). legislation to enable pertinent regulation, that fact alone does not mean such regulations have been Documentation on the Jurisdiction of adopted into use. One should know the extent of Concern (supports Screening Question promulgation and enforcement in order to assess the 5.2.1) effectiveness of the building regulatory framework. As a starting point, one should document basic As discussed earlier, even if a jurisdiction has formal information on the characteristics of the jurisdiction regulations in place, they may not be applied to all and the organization of the local building regulatory geographic areas, they may have different sets of function for the selected jurisdiction. This should requirements or levels of performance delivered in include a wide range of documentation, such terms of health, safety and welfare, and they may as: historical and political information on the not address all building types within a use type administering entity, including a copy of the Charter (e.g., small sheds not meant for human habitation, and incorporation details, if any; copy of enabling but associated with domestic housing, are often legislation; organizational chart showing lines of not regulated). With this line of investigation, authority within the jurisdiction; and map showing the intent is to determine, within formal building boundaries of the jurisdictional area. regulations, whether specific code provisions exist One should collect environmental and for indigenous buildings “non-engineered” and/ topographical information as well, including: or “informal” construction, if there are separate area (in square kilometers); geographical and regulations for indigenous, “non-engineered” and/ topographical features that might have a bearing on or “informal” construction, if there are any specific structural performance, such as wind speeds and types, uses, sizes of buildings, which fall outside direction, rainfall, and coastal exposure. Geological of formal regulation, and if so, the extent to which information is also needed, especially in earthquake indigenous, “non-engineered” and/or “informal prone areas. One should collect information construction is used for these buildings. on industry, hazardous processes and storage, In many low and middle-income countries, hazardous materials transportation, and related building codes do not include provisions related issues which may impact local environmental and to indigenous or “non-engineered” structures. human health and safety. While building codes are relatively well-developed Social, economic and demographic information is for more sophisticated engineered construction, important as well, including: current residential and significant vulnerability resides in the buildings 05 Chapter of the “informal” sector. If this is the case, it is One should estimate the percentage of buildings not of critical importance that either the regulatory currently subject to formal regulations. framework be modified to address “informal” construction, or that appropriate guidance be Risks and Hazard Concerns for provided for the safest possible use of local methods Jurisdiction(s) of Focus (supports and materials of construction. This guidance Screening Question 5.2.3) may consist of best practice principles or “rules The range of natural and technological hazards of thumb”. Such authoritative guidance is an that can be expected to impact the building stock important link to the informal building sector. covered by a project, should be well-understood for all geographic regions addressed by the project. In A critical question, therefore, is whether formal part this is to help assess whether the hazard and land use planning, building, and fire regulations risk maps in the existing regulations are appropriate are legally promulgated and enforced throughout to meet the required mitigation targets. all areas of the country, region (state, territory, province), or municipality(ies) which will be Here it is important to identify the natural and materially affected by the World Bank project. technological hazards and risks of concern in the Information that documents the extent of jurisdiction of the project, for comparison with regulatory coverage should be collected. building regulations, capacity of the practitioners, and related areas. Collection of information should Extent of Unregulated Area with include documentation on number and values of Jurisdiction of Concern (supports all annual losses by type, details on annual losses of Screening Question 5.2.2) note (e.g., large life loss or large monetary loss), and This question addresses to what extent are (or history of each for the past 50 years. will be) buildings subject to formal regulations on planning, zoning, design, construction and use. In Relevancy of Hazard & Risk Maps the case that a significant portion of the building for Jurisdiction(s) of Focus (supports stock is somehow outside of the building regulatory Screening Question 5.2.4) framework (e.g., ‘informal’ construction, shanties, Related to the above, the presence of hazard and etc.), there are limits on the effectiveness of a risk data, maps, and related information, within formal building regulatory framework. the regulations, does not assure that they are To help assess the extent to which formal regulation up to date and appropriate to the needs of the is in place, and if it is desired or needed, this question project, especially for disaster risk and vulnerability aims to develop an estimate of the percentage of the mitigation. This is especially true with respect country, region or city(ies) covered by the project to projected climate change related hazards and which does not have a set of comprehensive land mitigation needs in the future. use planning, building, and fire regulations legally This question aims to collect data relative to promulgated and enforced for all buildings. whether hazard and risk data, maps, etc., that are This estimate should cover any areas of indigenous pertinent to the city(ies) covered by the project, construction, which may be materially affected are comprehensive, up to date, appropriately by the project, in particular disaster risk and implemented in the regulations and available for vulnerability mitigation, disaster recovery, urban use in assessing the adequacy of the regulations in densification, and energy conservation type projects. mitigating or avoiding the hazards or risks. 55 56 I mplementation C omponent Current and Projected Construction associated number of contractors by department and Outlook (supports Screening Question geographic area should be obtained. 5.2.5) Baseline Staffing Situation – Fulltime Aside from having the legislation and regulations and Contract Regulatory Staff in place, building regulatory capacity is largely a (supports Screening Question 5.2.7) function of how many projects are being controlled, Following on the above, this question aims to and how many people are involved in the regulatory provide additional detail on the number of staff control of those projects. This question provides and/or contractors assigned to the key functions of benchmarking data on the historical and projected regulatory review and approval. One should collect volume of construction. By estimating the 10-year data on the number of staff, and where applicable, historical and 10-year projected number of building contractors, in each Planning Department, Building projects – new construction, renovation, expansion, Department and Fire Department (or equivalent), etc. – for the country, region or city(ies) covered who are responsible for reviewing and approving by the project, this will provide helpful input land use, zoning, building and fire regulation on evaluating the capacity of the framework to compliance, in the jurisdiction(s) covered by the adequately fulfill regulatory needs. project. Number and Location of Applicable Baseline Regulatory Staff Functions Planning, Building and Fire and Loads (supports Screening Departments (supports Screening Question 5.2.8) Question 5.2.6) The number of activities which staff need to The best, most up-to-date, and comprehensive perform and the target time allotted or required set of planning, building and fire legislation to perform those tasks is essential information and regulations will only be effective if they for capacity assessment. In some countries, very are implemented and adequately enforced. short turnaround times are mandated by law While neither the only nor a complete measure, (e.g., perhaps 2 weeks for review and approval or obtaining a count of the total number of relevant drawings and issuance of building permits), where departments, and of the fulltime staff working in in others up to a year might be expected. To be each relevant department, in all relevant areas of efficient, there needs to be an appropriate balance the country, can provide insight into capacity and of available time and resources. quality. This is especially true where rapid urban expansion is taking place, and the need for large One should obtain data regarding the relevant staffs exist due to the volume of construction. department’s responsibility for regulatory enforcement and administration of zoning, Data should be collected on how many fulltime- transportation, storm-water, floodplain management, staffed Planning Departments, Building Departments utilities (water and sewer), landscaping, fire and Fire Departments (or equivalent) are there in the inspections, contractor licensing, occupational jurisdictions covered by the project, and how many licensing, etc. fulltime staff are employed in each Department in the relevant geographic area (i.e., country, region It is also important to identify the types, or municipality(ies) covered by the project). If turnaround times and frequency of review and contractors are used in support of fulltime staff, the approval activities undertaken by relevant Planning 05 Chapter Departments, Building Departments and Fire prevention, to filings for permission to construct Departments (or equivalent), who are responsible and/or occupy a building, components and steps for enforcing land use, zoning, building and fire in the process that need to be completed and by regulation compliance, in the jurisdictions covered whom, and who has what responsibilities in the by the project, such as: process. With respect to responsibilities, this is both for determination of compliance (e.g., local a) site review; authority, third party reviewer, self-certification b) plan / drawing review and approval; by practitioner), and responsibility for compliance c) calculation verification; (e.g., often the building owner, as further discussed d) permit issuance, and for what (e.g., foundation, below). One should collect the text of the processes. construction, …); e) site inspection, and for what (e.g., foundation, Processes and Penalties for Non- structure, materials, electrical, mechanical, Compliance with Formal Regulations plumbing, fire, …); (supports Screening Question 5.2.8) f) witnessing of commissioning tests; and In parallel with understanding the processes around g) issuance of certificate of occupancy. compliance, it is also necessary to understand what types and forms of penalties are possible with Processes for Compliance with respect to non-compliance with building-related Regulations (supports Screening regulations, and to what extent are such penalties Question 5.2.8) levied. In many countries these can range from Robust regulatory frameworks for land use stop work orders, to civil penalties, and in some planning, building design and construction and fire countries, criminal penalties. Information should be prevention and control are characterized by a set of collected on the legal requirements and the history procedures for helping identify works being planned of enforcement of associated penalties. and carried out, and for review and approval of such Appeals Mechanisms and Processes works. Using the building design and construction (supports Screening Question 5.2.8) process as an example, this would typically involve This area aims to identify if there is an appeals the entity requesting to conduct building works process or a conflict resolution process related to through an application for a building permit interpretation or application of building regulations. from the local authority and a process wherein Information to collect includes text of the appeals the government or its designees would carry out process, conflict resolution process, identification one or more functions of review, inspection and of adjudicating parties and how they are selected, approval before issuing notification of compliance, occupancy permit or similar. Submit Submit Construction Certificate of Issue Permit Application Application Inspections Occupancy This aspect of the assessment aims to understand appointed, the qualifications and experience that what local processes are in place in relation they are required to have, and evidence of successful to planning, design and construction, and fire utilization of these processes. 57 58 I mplementation C omponent Processes for Third Party Certification Collection and Values of Fees and (supports Screening Question 5.2.8) Levies (supports Screening Question In some countries, the use of third party (non- 5.2.8) governmental) entities for regulatory review, inspection Many jurisdictions utilize fees or levies on various and approval is permitted. This can be an alternative stages of the building regulatory process, including to government (e.g., private certification in Australia when applying for permits to build, for plans review or England), contractors to government (e.g., contract and approval, and for inspection and witnessing of plans reviewers), or independent reviewers used on building commissioning. specific project types, such as performance-based It is assumed that the level of fees to be charged are designs. Such arrangements facilitate the expansion of proportional to the effort, and should not duplicate building regulatory capacity through collaboration with other sources of funding. Fees charged by local the private sector. This can be an important means to building authorities should be based on the actual expand regulatory coverage and expertise, particularly cost associated with the review of building plans in low and middle-income countries. and site inspections, including overhead costs. Fees It needs to be determined if there are legal provisions charged for construction permitting and building for the employment of certified third-party (private) inspection may be expected to cover the costs of specialized professionals in building control activities regulatory services. Data to be collected includes including plan review and inspection, and if so, to fee schedules for building authorities at the local collect text of the enabling legislation. Enabling level and assessment should be made regarding legislation should be specific about the modalities uniformity of application across jurisdictions. and the process of involving private professionals in building control and specify the professional Baseline Qualifications of the Fulltime certification requirements. They should have Regulatory Staff (supports Screening provisions on transparency and conflict of interest Question 5.2.9) and create or enable accountability mechanisms in the The capacity assessment rests on the qualifications form of a public or a public-private entity in charge of as well as the numbers of staff involved in regulatory establishing and monitoring the standards. review. Use of un- or ill-qualified persons might ‘make the numbers look good’ in terms of capacity, In a robust framework, third party entities (individuals, but the outcomes can be dangerous, especially when firms) must be officially qualified and registered. There it comes to approving safety-related issues (e.g., must be provisions to avoid conflicts of interest for geotechnical assessments and design, structural firms practicing in the same market. Provisions for analysis and design, fire safety design, etc.). registration and management of third party reviewers and inspectors should be described. The qualifications held by the fulltime staff of the Planning Departments, Building Departments One should collet documentation on all processes and Fire Departments (or equivalent), who are and qualifications regulating the use of third party responsible for reviewing and approving land use, reviewers / verifiers, the process of employment, and zoning, building and fire regulation compliance, in the control of private third party plan review and the jurisdiction(s) covered by the project, should be inspection professionals. Third party registration and identified and documented. management, and rules and provisions for liability coverage should also be obtained. 05 Chapter Baseline Staffing Situation – Fulltime in the jurisdiction(s) covered by the project, such as Enforcement Staff (supports Screening the following, should be documented: Question 5.2.10) a) site inspection; Similar to the above line of questioning, this b) building inspection; question seeks to understand the capacity, in c) stop work orders; and numbers, of persons available for enforcement d) stop use of building orders. activities. In this case, we focus largely on post- occupancy enforcement, as improper use of Baseline Qualifications of the Fulltime permitted buildings, and improper storage, etc. can Enforcement Staff (supports Screening lead to significant losses in hazard events – much Question 5.2.12) more so than in compliant buildings. The capacity assessment rests on the qualifications One should document the number of staff in as well as the numbers of staff involved in each Planning Department, Building Department regulatory enforcement. Use of un- or ill-qualified and Fire Department (or equivalent), who are persons might ‘make the numbers look good’ responsible for enforcing land use, zoning, building in terms of capacity, but the outcomes can be and fire regulation compliance in the jurisdictions dangerous, especially when it comes to inspecting covered by the project, such as the following: safety-related issues in operational buildings. a) wetlands infringement; One should identify and document the b) improper building use; qualifications held by fulltime staff of the Planning c) improper storage of hazardous materials; and Departments, Building Departments and Fire d) inadequate upkeep of required safety systems Departments (or equivalent), who are responsible (e.g., fire systems). for enforcing land use, zoning, building and fire regulation compliance, in the jurisdiction(s) Baseline Enforcement Staff Functions covered by the project. and Loads (supports Screening Question 5.2.11) Extent of Education and Training Based on Regulatory Documents The number of enforcement activities that staff (supports Screening Question 5.2.13) needs to perform and the target time allotted or required to perform those tasks is essential Building codes should be the subject matter of information for capacity assessment. In some building professional education and construction countries, annual ‘warrant of fitness’ reports and workforce training, especially at the local level. inspections are required. In other countries, by This area focuses on the extent to which building legislation, enforcement entities may only enter a regulations are included in the curriculum of premises if it is suspected that a clear and present professional schools of architecture, planning danger exists. and engineering, as well as being part of training programs for local practitioners and regulatory and The types and frequency of enforcement activities enforcement officials. One should collect examples undertaken by relevant Planning Departments, of regulation related training materials and Building Departments and Fire Departments (or description of educational and training programs. equivalent), who are responsible for enforcing land use, zoning, building and fire regulation compliance, 59 60 I mplementation C omponent Educational Curricula and Outreach Free Access to Regulatory Documents Materials (supports Screening Question (supports Screening Question 5.2.13 and 5.2.13 and 14) 14) A well-functioning building regulatory framework Access to regulatory documents is critical to needs educated professionals and properly trained facilitate uptake, proper application of and skilled craftspersons for the framework to work compliance with regulations. Documents should well. This relies on having a sound set of university be readily available in hard copy and digitally, if educational programs for professionals, such as possible. They should be distributed freely or at architecture and engineering, but also appropriate nominal cost to designers and builders. They must training institutions for skilled tradespersons be available in all official languages and written in and craftspersons who are involved in areas such accessible form. as construction, installation and maintenance of buildings and systems. It is understood, however, that regulatory In addition, these people should be trained on the development has costs associated with it. As regulations and supporting infrastructure (e.g., such, it should be determined how development standards). As such, it is helpful to have educational and dissemination costs are covered (e.g., by curricula regarding the structure, content and use permit fees, education sessions, government of land use planning, building, and fire regulation support, or other). If regulations are not free, that can be used as a basis of formal education and it should be determined what is covered by the continuing professional development. sales costs of the regulatory documents, i.e., the regulatory development process, maintenance It is also essential to socialize the benefits of the process, development of handbooks and associated building regulatory framework via social networks outside of traditional channels, especially within explanatory material, development of training informal settlements and other unregulated areas, materials, etc. One should collect evidence of on- where traditional communication paths may be line availability of regulations and, if applicable, the absent. This may be through social workers, medical price list for regulatory documents. professionals or others, who work with inhabitants, observe conditions, and can help facilitate changes. Having outreach materials about the benefits of formal regulatory frameworks and components can be very useful in this regard. 06 Chapter Operational Capacity – Detailed Information Requirements This section lists a set of data, which if available, will education and certification and/or licensing be helpful in assessing the operational capacity of requirements for contract code officials specific Planning, Building and/or Fire Departments (including all administrative functions: in jurisdictions of concern. These build on the Administration, Plan Review, etc.). Detailed Exploration for Implementation discussed in Chapter 5. • What are the methods of hiring, training and supervising code officials? Staff Information (supports Screening Collect text: Written hiring and training Question 5.3.7) procedures. • Does the building department have a sufficient number of permanent or contract staff with • How are individuals’ qualifications, education, the range of expertise to carry out its normal etc. verified? functions? • What are current standings and expiration Collect text: Organizational chart providing dates of required certification(s) issued by employee names and titles for all full- and a national construction code promulgation part-time staff positions within the code organization or acceptable certification enforcement organization and the total organization, as determined by local ordinance number of employees. Job descriptions of full- or state laws? time and part-time staff positions, including information on minimum qualifications, • Does the department have a system of 61 62 O perational C apacity – D etailed I nformation R equirements performance evaluation? Are clearly defined • What is the number of reviews done annually, performance goals evaluated on a regular by category, such as residential buildings, schedule? commercial buildings, site development plan reviews, and others, such as fire sprinklers, Collect text: Departmental performance goals alarms, etc.? • Does the department have minimum • What is the system used for tracking and continuing education requirements? coordinating plan review activities? Collect text: Departmental continuing education requirements. • What are department requirements for review of building plans for structural parameters? • What is the participation of individual code officials in code development activities? • What is the number of plan reviews done by department staff in the last 12 months that • Are there education, experience and training resulted in rejection or correction of designs requirements for performing post-disaster (residential and commercial)? What is the assessments and making substantial damage number of plan reviews done by contract staff determinations in earthquake, flood or storm in the last 12 months that resulted in rejection hazard areas? or correction of designs (residential and Collect text: Documentation on post-disaster commercial)? assessment training. • What are typical reasons for rejections or Plan Review (supports Screening correction of designs? Question 5.3.8) • What are policies and procedures for • Does the department employ an adequate approving alternate materials and methods of number of plan reviewers, by category (i.e. construction? single-trade, such as structural, mechanical, Collect text: Policies and methods for approval plumbing, electrical, etc.)? of alternative materials. • What is the percentage of plan reviews • Are service goals for plan review established completed by contract staff? with stakeholder input and is performance toward meeting stated goals monitored • Are there bonding requirements for contract regularly? plan reviewers? Permitting Information (supports • Are there registered design professionals on Screening Question 5.3.8) staff, full-time, part-time or contract? • What is the process for issuance of permits? Collect text: Data on number and qualification of registered design professionals on staff. • How is the permitting process coordinated with other government departments? • Are there policies, procedures and checklists for plan reviews? • What is the process for establishment of permit fees? Collect text: Written policies and checklists for plan review. • What is the number of permits issued in the 06 Chapter last 12 months, by category for: Inspection (supports Screening 1) Residential permits: Question 6.3.8) a. new; • Does the department employ an adequate b. alterations; number of inspectors by category (i.e. c. repairs; single-trade, such as structural, mechanical, d. additions; and plumbing, electrical, or multi- trade)? e. single family and multifamily. 2) Commercial permits: • What are the number of private inspectors a. new; employed and their types of contract? b. alterations; • Percentage of inspections completed by c. repairs; and contract staff? d. Additions. 3) Construction type: • What are policies, procedures and checklists a. number of permits issued for each for inspections? construction type and occupancy Collect text: Written policies and checklists for classification (including mixed-use inspection. occupancies); b. permit type: number issued by • What is the number and what are the types category, such as building, mechanical, of inspections done (by category, such as electrical, plumbing, fuel gas, etc., or structural, mechanical, plumbing, electrical, combination/master permits; fuel gas, fire) in the last 12 months? c. flood hazard areas: number of permits • What is the percentage of work rejected and for new buildings and substantially corrected? improved buildings issued in the last 12 months for construction in • What are typical reasons for rejections and designated flood hazard areas; and corrections? d. historic building preservation. • What are the procedures for overseeing work • What is the size (in square meters) most typical of done by private inspection providers hired by buildings permitted in the past 12 months? owners? • What is the size (in square meters) of the largest Special Inspections (supports building permitted in the last 12 months? Screening Question 5.3.8) • Are special inspectors, structural observers, • What is the story height of the tallest building approved fabricators/welders utilized? permitted in the last 12 months? • What are accreditation requirements or field • Are service goals for permitting established monitoring of special inspection? with stakeholder input and performance toward meeting stated goals monitored • What is the procedures for approving third- regularly? party inspection and testing agencies? • Is there a procedure for dealing with expired or • What are special inspector reporting inactive permits? requirements? 63 64 O perational C apacity – D etailed I nformation R equirements Final Inspection (supports Screening Complaints and Appeals (supports Question 5.3.8) Screening Question 5.3.8) • What are procedures for final inspections • Is there a documented procedure in place to conducted by the department? Are there record, investigate and resolve complaints procedures for collection of as-built elevation against contractors, work without permits and certificates prior to certificate of occupancy in other similar violations? flood hazard areas? Collect text: Written procedure for investigation and resolution of complaints. • What provisions are made for clear, concise and accurate reporting of inspection results? • Is there an established board of appeals What are procedures to guard against the with documented procedure for hearing and alteration of inspection report records? deciding appeals in accordance with other adopted national construction codes? • Are service goals for inspection established with Collect text: Rules of the Board of Appeals. stakeholder input and is performance toward meeting stated goals monitored regularly? Existing Buildings (supports Screening • Is there a documented procedure for the Question 5.3.10) issuance of certificate of occupancy or • Does the department have responsibility for certificate of completion or temporary the implementation of an existing building certificate of occupancy? code and the inspection of existing buildings Collect text: Written procedure for issuance of for protection of public health and safety? Certificate of Occupancy. • Does the department have the authority to Verifications of Credentials/ require improvement or to condemn and Professional Licenses (supports remove hazardous existing buildings? Screening Question 5.3.8) • How many corrective actions involving existing • What is the process for verifying builder and hazardous buildings have been initiated in the contractor licenses and insurance? past 12 months? Collect text: Written process for verifying Outreach and Community Relations licenses and insurance. (supports Screening Question 5.3.14) • What efforts are made to bring the benefits of • What is the process for verification of licenses safer construction to the informal sector? of registered design professionals? • What awareness programs and community Collect text: Design professional registration outreach activities are conducted by the criteria. department? Collect text: Program documents from • What is the process for verification of special inspector’s special inspection agency credentials? outreach activities. Provide description of all documents provided to the public. Collect text: Special inspector credential criteria. • Is the department engaged in any training 06 Chapter or code compliance support for the building contract personnel (i.e. computers, internet sector, owner-builders or students? access, books, manuals and tools, gauges, meters and equipment used for plan review • Are there examples of innovative outreach and inspection functions)? What relevant practices developed by the department? computer programs are in use? Policies and Procedures (General • Does the department provide adequate capacity) transportation equipment and provide policies • Can the department provide documented on use and maintenance? evidence of steps taken to avoid potential • Is adequate support provided for information conflicts of interest? technology (ITC) applications? • Does the department have established standard • What is the validation procedure for computer operating procedures and a process in place to programs used for plan checking (e.g. hand control uniformity of operations? calculations)? • Describe accessibility of information and Collect evidence of validation of computer records, documented minimum retention programs. times for records, and provide evidence of safe • Does the department have policies guiding storage of records. appropriate employee and contract personnel • Does the department maintain control use of wireless voice and data communication, of access to records? Are there adequate such as cell phones, wireless networks, etc.? safeguards in place to prevent unauthorized Department Budget (General capacity) access or modifications to records? • What was the budget for code implementation • Does the department have a quality assurance and enforcement for the past fiscal year? What plan? was the revenue versus expenditure? Is the department self-supporting? • Does the Department have written policies or statutes in place which provide code • What is the operating budget type (i.e., officials freedom from external and internal General Fund, Enterprise Fund, other means of pressures and influences that may impair the funding)? What part of the department budget enforcement of codes? is funded from permit fees? Collect text: Written policies protecting code • What is the method of financial audit (i.e. officials from external influence. internal or third-party)? • Can the department provide documented • Does the building department have access to evidence of steps taken to avoid potential legal counsel and prosecution support? conflicts of interest? Equipment and Technology (General capacity) • Does the department provide adequate facilities and equipment to employees and 65 Chapter 07 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 Chapters 3, 4 and 5. The scorecard is meant small country with a national government system to provide a quick snapshot, or summary, of the and national scope will likely require less resources regulatory environment through closed questions than a large federal system, where differences prompting ‘yes’ or ‘no’ answers. exist between states (territories, provinces) and municipalities, and the regulatory framework needs to be addressed at all levels. 66 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? Chapte 3 Legal and Administrative Component 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 Basis for Building Regulation 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, Chapter 4 Development and Maintenance Component provides a quick snapshot of the extent of regulatory capacity building that may be needed around the 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 resource 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 needed. 67 68 Q uick A ssessment S corecard 3 Regulations (Codes/Standards), 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? Chapter 5 Implementation Component 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, on 4.2, having a solid ‘formal’ framework in place is all well and good, so long as it applies to a significant portion of the country for which the project is targeted. If not, and the ‘informal’ sector is dominant, that much work and resource may be needed to achieve objectives. 07 Chapter 4 Implementation and Enforcement Mechanisms 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? 69 Glossary Accreditation system: Applicant The term “accreditation system” describes a national An individual or corporation applying for a building framework through which a national accreditation construction permit or plan review in accordance body attests that a conformity assessment body (e.g. with local codes or other normative documents. a testing laboratory, inspection body, or certification Approved body) meets the set standard requirements. Where Acceptable to the official having jurisdiction. applicable, additional requirements, such as those set out in relevant sectoral schemes, may be necessary to Approved Agency carry out a specific conformity assessment activity.   An established and recognized agency regularly engaged in conducting tests or furnishing inspection Alternate materials and methods of construction services, when such agency has been approved A material, design or method of construction that through an established accreditation process. does not comply with one or more specific provisions of a building code, but which has been deemed Authority Having Jurisdiction (AHJ) acceptable for use by the authority having jurisdiction, An organization, office, or individual responsible for where the authority finds that the proposed design or enforcing the requirements of a code or standard, or product adequately and satisfactorily complies with for approving equipment, materials, an installation, the intent of the provisions of the code. or a procedure. Appeal Building Request for reconsideration of any administrative Any structure used or intended to support or shelter decision by the department related to its enforcement any use or occupancy. authority. Administrative decisions include: Building Regulation (Building Code, Building – refusal to accept an application for issuance of Standard) a permit A set of rules that specify the standards for constructed – refusal to proceed with plan check or inspections
 objects such as buildings and non-building structures. – corrective action requests
 The term used can differ by country (e.g., in Australia – refusal to agree with the designer’s code and the USA, the term building code is used, in interpretation England and Wales, the term building regulation is – decisions to deny, suspend or halt construction used, and in Scotland, the term building standards is work used, all with the same meaning). – any other action that impedes the attainment of a permit for construction or certificate of Building Department/Code Enforcement Agency occupancy. Authoritative body which performs functions related Glossary to enforcement of construction and other laws. develop, and agree to support a decision in the best interest of the whole. Consensus may be defined Building Code (Regulation) Administrator professionally as an acceptable resolution, one that / Building Official / Code Official / Building can be supported, even if not the “favorite” of each Surveyor / Building Authority / Certifier / Verifier individual. The officer or other designated authority charged with the administration and enforcement of Construction Documents codes as adopted in their jurisdiction. May be Written, graphic and pictorial documents prepared governmental or private sector. or assembled to describe the design, location and physical characteristics of a building project. These Certificate of Occupancy typically include design drawings, material / system A document issued by a local government agency specifications, design calculations and similar. or building department certifying a building’s compliance with applicable building codes and Contract Staff other laws, and indicating it to be in a condition A third-party individual or entity hired by the local suitable for occupancy. jurisdiction to carry out functions on behalf of the government on a contractual basis instead of as a Certified/Licensed Contractor member of staff.. Any contractor who possesses a certificate of competency issued by state regulators and who is Control allowed to contract in any jurisdiction of the state. The direction, regulation and coordination of procedures and related documents to assure Code Commentary consistency of operations. Non-mandatory, explanatory text, provided as a supplement to code provisions, to support External/Internal Pressures and Influences understanding of technical aspects and rationale for Interference with due process of code development, code provisions. adoption, promulgation or enforcement by persons in a position of power (such as elected officials or Code Promulgation others influential in the community). The formal proclamation or declaration that a new statutory or administrative code is in force. Historic/Heritage Buildings Buildings that are designated as being historic or Comprehensive building code reflecting cultural heritage, and are protected as An adopted law or ordinance with the purpose of such, under appropriate legislation. providing minimum standards to safeguard life, health, property and public welfare by regulating Implementation Rules / Ordinances / Ministerial and controlling the design, construction, quality Orders of materials, use and occupancy, location and Administrative rules that govern the activities of maintenance of all buildings and structures within building officials in the application of building code a jurisdiction. A comprehensive building code provisions to the design and construction process. includes an integrated compatible set of provisions Informal Construction Sector that facilitates unified design and compliance. Construction without building permits Consensus Process including four dimensions of informality: (i) A decision-making process in which group members employment of workers; (ii) form of enterprise; (iii) 71 72 GLOSSARY compliance with procedural requirements; and (iv) contractors). Typical requirements include: compliance with planning and building regulations. completion of accredited educational program, professional apprenticeship and examination. Building failure and collapse stem principally from hasty construction, low quality workmanship, poor Proportional Liability supervision, inexperience, ignorance, evasion/ A system of proportional liability permits a non-compliance with building regulations and defendant to be held liable for damages only in non-enforcement of building quality, standards proportion to their fault (negligence?) in creating and control. Construction quality is threatened an unintended or unacceptable outcome due to by informality of land tenure and lack of access to non-compliance with the code or failure to act in formal financial mechanisms accordance with the prevailing standard of care. On contrary, at common law the all-or-nothing rule Internal Quality Audits requires that a plaintiff have either a full recovery Internal studies to identify the extent to which against the defendant or none at all. documented procedures are followed and the effectiveness of current processes. Quality Assurance The maintenance of a desired level of quality Jurisdiction in a service or product, especially by means of The territory over which the authority to enforce attention to every stage of the process of delivery or adopted codes is exercised. production.
 Management or Operational Audits Quality Assurance Plan Independent evaluations conducted by a qualified Documents which set forth the policies and entity, at the request of the elected or appointed practices aimed at ensuring the quality of the officials, to measure the operational consistency organization’s services. and overall efficiency of the department/code enforcement agency. Reference Standard Reference standards typically refer to standards Management Reviews produced by national or international standards- Reviews performed by management of internal making organizations, following well-defined audit findings (including quality audits) to assess processes for development and agreement as the organization’s level of procedural conformance, reflecting the consensus of the parties involved, identify and correct areas of nonconformance and which are part of a building code / building inefficiency, and engage staff in improving processes regulation through reference in the code to the and procedures. standard. Such standards are instrumental in specifying, evaluating, and testing the dimensional, Permit mechanical, rheological, and other performance An official document issued by the authority requirements of the materials used in the having jurisdiction which authorizes performance manufacture of main and auxiliary building parts of a specified activity, such as the initiation of and components. Such reference standards are construction or occupancy of a building. helpful in defining for manufacturers, construction Professional Certification / Licensure companies, architectural firms, and other users of The process of quality control for the building and such parts and components their proper fabrication, regulatory professionals (e.g. architects, engineers, installation, test and maintenance procedures. Glossary Registered / Licensed / Certified Contractor Special inspection agencies are required to Any contractor who has registered with the demonstrate competence, to the satisfaction of appropriate state agency pursuant to fulfilling the building or other code official, for inspection the competency requirements in the jurisdiction of the particular type of construction or operation for which the registration is issued. Registered requiring special inspection. contractors may contract only in such jurisdictions. Temporary Certificate of Occupancy Registered / Licensed Design Professionals A Temporary Certificate of Occupancy grants Individuals registered or licensed to practice residents and building owners all of the same rights their respective design professions as defined by as a certificate of occupancy, however it is only for a the statutory requirements of the professional temporary period of time. Temporary certificates of registration laws of the state or jurisdiction in which occupancy are generally sought after and acquired the project is to be implemented. when a building is still under minor construction, but there is a certain section or number of floors Service Goals that are deemed to be habitable and, upon issuance Goals set for performance in each area of service of a temporary certificate of occupancy, can legally offered by the building department or code be occupied or sold. enforcement agency. Goals must be quantified (expressed as a number, rating or grade) and Third Party Reviewer / Inspector established in cooperation with users of department A competent, independent entity approved by the building official having jurisdiction to perform services (citizens, architects, engineers, contractors, specified tasks, such as plan review and building etc.), as well as elected and appointed officials. inspection. A system must be in place to regularly measure progress in meeting service goals. As part of Third Party Review this system, targets should be established for A third-party review consists of having an improvements in three separate areas of overall independent party (other than the designer or the service: timeliness (turnaround time); quality (error building department) review a building design to rate); and professionalism (quality of interactions assess its compliance with building codes and other with staff [e.g., knowledge, attitude, responsiveness relevant regulations. Modern, effective construction and helpfulness of staff members] as perceived by systems increasingly involve licensed or approved users of department services). private engineers, often delegated by the municipality or the responsible local enforcement Special Inspection agencies, to fulfill this function. Inspection as herein required of the materials, installation, fabrication, erection or placement of Voluntary Compliance components and connections requiring special The act of obeying a particular rule or law, or of expertise to ensure compliance with approved acting according to an agreement without being construction documents and referenced standards. forced to. 73 74 R eferences References Angel, S., Blei, A., Parent, J., Lamson-Hall, P., and Market Reports Store. 2015. “Global Construction Galarza Sánchez, N. 2016. Atlas of urban Expansion. Market Worth $10.3 Trillion in 2020 (50 Largest, NYU Urban Expansion Program at New York Most Influential Markets).” University, UN-Habitat, and the Lincoln Institute of World Bank. 2016. “Building Regulation for Land Policy. Resilience: Managing Risks for Safer Cities.” Meacham, B.J. and van Straalen, I.J. 2017. “A Socio- Washington, D.C.: The World Bank. Technical System Framework for Risk-Informed Performance-Based Building Regulation.” Building Research & Information. UN-Habitat. 2016. “World Cities Report, Urbanization and Development, Emerging Futures.” Nairobi: UN-Habitat. Annexes Viewing the building regulatory framework as a Annex A: Overview of STS is useful as it helps to place into context the Building Regulation as a major subsystems that impact policy adoption Socio-Technical System and the implementation decision-making process. This is needed given the complexity of the Building regulatory frameworks are complex socio- building regulatory framework. Complex dynamic technical systems (STS). STS theory and concepts economic forces, business practices, technological emerged from studies of organizations and the roles options, alternative regulations, scientific of social and technological components, and the understanding and public opinion influence each realization that they are integrally linked. There of the interrelated subsystems. Social values, are many definitions of STS. But most share core and public perceptions and demands shape concepts of: understanding the component parts, strategies designed to address public interest and how each contributes to the performance of the concerns. Being able to see how these influences enterprise and creates or meets the requirements interact is important in order to facilitate good of other parts; the interrelation of these parts, with outcomes. Any policy decision related to the particular reference to the problems of internal built environment must take into account the coordination and control; and the analysis of the form of law and regulatory environment of a relevant external environment of the enterprise jurisdiction, as well as the relationship and balance and the way the enterprise manages its relations with market forces, whether one is operating to it. One representation of STS is illustrated in in a more regulatory-driven or a more market- Figure B.1. driven environment. These attributes can impact 75 Annex B: Contractor Terms Figure B.1 – Framework for socio-technical decision making of Reference Adequate assessment of building regulatory capacity will require a combination of expertise, Organizational Aspects at a minimum, policy and technical. The specific expertise and qualifications will depend on Primary Secondary the scope of the project (e.g., disaster risk Organizational Organizations Actors and vulnerability mitigation versus energy performance), as well as the component level for Socio- analysis (e.g., legal and administrative, regulatory Technical Political Setting Activity development and structure, or implementation and enforcement). Representative qualifications are DECISION provided below by component level. These areas Physical (Environmental) Setting Individual Actors serve as a template for constructing a project- specific set of terms of reference. Techno- Personal Setting Technology Social Groups TOR Template Specific terms of reference (TOR) will need to be developed for each project. The type of project will Technical Aspects Human Aspects dictate specific policy and technical needs. The Source: Meacham and van Straalen, 2017. following serves as a template, for identification of specific contract skills and expertise by building regulatory framework component. Component 1 – Legal and Administrative the extent to which the public and experts are Policy Expertise involved, and when, which in turn can influence, and are influenced by, public perception of risk At this level, it would be ideal to have someone associated with the hazards and the acceptability with a legal background, who understands legislative processes, and has experience of approaches to quantify and manage the hazards interacting with senior politicians and policy and risks. The perceptions and responses are makers, such as Members of Parliament, Ministers, influenced by whom is at risk, from what, and Agency or Department Directors, and so forth. under what circumstances. Ultimately, the success This is particularly important if the legal and of risk-informed policies or strategies to mitigate administrative frameworks necessary to support the risk to a tolerable level are influenced by these planning, building and fire regulations are not complex interactions. in place. Technical Expertise 76 Q uick A ssessment S corecard B Annex At this level, technical expertise may be focused the like). Depending on the needs of the project, around issues of economics, finance and risk, in appropriate technical expertise will be needed to terms of being able to support economic impact assess the regulations, reference standards, codes of analysis, benefit-cost analysis and the like, as related practice (for engineers), design guidance, technical to impact of regulation and market. qualifications, etc. These persons should hold university qualifications in their discipline, and hold Component 2 – Regulatory Professional Engineer or Chartered Engineer status Development and Structure in their respective disciplines. They should have at Policy Expertise least 10 years of experience in design of appropriate components (e.g., foundations, structure, etc). The ideal qualifications and expertise to facilitate Experience in forensic investigation is also helpful. policy-level assessment of this component includes For those working on disaster risk and vulnerability either an engineering, architecture or building mitigation, experience in investigative studies will be control degre, with experience serving as head of a helpful (e.g., post-earthquake assessment of buildings planning, building or fire regulatory development and infrastructure, post-landslide investigation of agency. The candidate should have served at least 10 soils, foundations and retaining walls, etc.). years in a lead management or administrative role with responsibilities for development of regulation, Component 3 – Implementation and consultation with industry and the public, and Enforcement promulgation of the regulations. The experience Policy Expertise may come from the national, regional or local level. The principal qualification for the policy Technical Expertise expert at this level is ‘hands-on’ experience in Technical expertise at this level will depend greatly implementation and enforcement, such as land on the type of project and associated needs. Building use planner, building control officer (code official, regulations, for example, are largely developed in verifier, certifier), and fire prevention officer. The ‘silos’ based on input from appropriate technical ideal person will have had at least 10 years managing professions. Structural engineers input to structural a local planning, building or fire prevention stability issues with specific expertise from department, having had responsibility for hiring, earthquake engineers, wind engineers and others as training and assessment of staff, preparation and appropriate to design requirements. Geotechnical management of budgets for implementation and and civil engineers are involved in requirements enforcement, and dealing with reviews, approvals, around soils, foundations, drainage and the like. This appeals and related legal matters. This person will be important for assessing capacity of regulations might have a qualification such as Certified Planner, relative to such hazards as liquefaction, earthquake Certified Building Code Official, or Certified Fire ground motion, landslides, etc. Fire protection Prevention Officer. Education in a related discipline engineers address fire and life safety (egress) issues would be expected. in buildings. Building services engineers (sometimes Technical Expertise mechanical engineers and/or architectural engineers) are largely responsible for building energy related The expertise at this level would ideally be related issues (e.g., heating, cooling, ventilation, and to plans review, approval, and site inspection as 77 78 Q uick A ssessment S corecard appropriate to the required technical discipline (e.g., capabilities and expertise in policy and technical foundations, structure, fire, etc.). An appropriate skills, as appropriate to the level of analysis and engineering or technical qualification would be component of assessment. Contractors can be expected, as well as at least 10 years of experience. identified through past involvement with the World This experience will likely to have been gained at Bank, response to Requests for Qualifications the local (regulatory enforcement) level. (RFQs) or recommendation by existing World Bank staff and contractors. Local Knowledge and Experience To supplement the policy and technical expertise Second, the contractors should attend a training and experience, it will be helpful to identify a program on building regulatory capacity assessment local counterpart in the country of the project. in low- and middle income countries, which will This should be someone who understands the help orient them to the specific needs of such legal, regulatory and technical environments, as countries, and how they will apply the BCRA in appropriate to the project, with experience at the support of project objectives. Training is anticipated appropriate level, as outlined above. This person to be conducted by the World Bank or designated will be essential in helping to make connections contractor on the BCRA.. The aim is to help to to the right persons for the purpose of collecting achieve consistency in application, as well as data and assessing capacity. They will serve as the prepare contractors for appropriate interactions in conduit for local connections, helping to address the field. language, culture and societal considerations. Third, appointment will be made of suitably Sociological and Culture Expertise qualified individuals, from the vetted pool, based on In some cases, it may be helpful to include the specific needs of a project. contractors who have expertise in facilitating Finally, depending on the project country and need, data collection from local populations through one or more local collaborators, with appropriate interviews, community meetings and other such experience and capabilities, will be identified. interactions. It should not be expected that policy or technical experts will have these capabilities. Team Make-Up and Size Regardless of level or component of analysis, Vetting a minimum team size is two persons: one with As a corollary to the TOR template, the following appropriate policy expertise and experience and outlines the suggested approach for identifying and the other with appropriate technical expertise and vetting contractors, and developing assessment experience. This team will be supplemented by the teams, as appropriate to project needs. local collaborator. Identification and Vetting For large and complex projects (e.g., multi-hazard disaster risk and vulnerability mitigation), several There are essentially three stages to identifying, different technical expertise sets may be needed. As vetting and appointment of contractors. appropriate, sociological or cultural expertise may be First, a list of qualified contractors should be needed as well. Decisions will need to be made based prepared, using the criteria in Section 3 to identify on the scope of the project and available funds. 79 Level 2 – Detailed Exploration