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Performance-Based Building Regulatory Systems: Principles and Experiences

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Performance-Based Building Regulatory Systems: Principles and Experiences Performance-Based Building Regulatory Systems Principles and Experiences A Report of the Inter-jurisdictional Regulatory Collaboration Committee February 2010 Brian J. Meacham, Editor NOTICE This Report was prepared for the Inter-jurisdiction Regulatory Collaboration Committee (IRCC) with support from the Ministry of Land, Infrastructure, Transport and Tourism, Japan (MLIT), the National Research Council, Institute for Research in Construction, Canada (NRC), the New Zealand Department of Building Housing (DBH), and the Scottish Government, Directorate for the Built Environment (DBE). Much of the information presented in this report was provided by Members of the IRCC. Reasonable attempts were made to verify the accuracy of the information provided, referenced and summarized in this report. However, neither the IRCC and its Members, nor any person acting on their behalf: a. Makes any warranty, express or implied, with respect to the use of any information, apparatus, method or process disclosed in this report, or that such use may not infringe upon privately owned rights; or b. Assumes any liabilities of whatsoever kind with respect to the use of, or damage resulting from use of, any information, apparatus, method or process disclosed in this report. Any summaries, opinions, findings, conclusions or recommendations expressed in this report are those of the author and do not necessarily reflect the views of the IRCC member institutions. Copyright 2009, IRCC. All rights reserved. 1 PREFACE In the early 1990s, a handful of countries had implemented functional or performance-based building regulations and several others were in the process of developing them. In 1997, representatives from lead building regulatory development agencies of four countries created a forum for discussing issues associated with the development and implementation of performance-based building regulations: the Inter-jurisdictional Regulatory Collaboration Committee (IRCC). The founders immediately reached out to other countries and the IRCC increased its membership. Recognizing the benefit of capturing and sharing their experiences and challenges, the IRCC published in 1998 a discussion paper entitled Guidelines for the Introduction of Performance-Based Building Regulations. Since the publication of the 1998 Guidelines, the IRCC has expanded to include fourteen governmental agency members, and the scope of building regulations has greatly expanded, with the traditional concerns of life safety and public health being joined by requirements on energy efficiency, disabled access, sustainability and more. In addition, the building regulatory environment is becoming increasingly political in some countries, such that it is no longer possible to simply decide issues on a solely technical basis. As a result, the IRCC decided to undertake a complete rewrite of the 1998 Guidelines. It was agreed that this new document should confirm and explain the principles which must underlie a performance based system (distinguished from the local practices, which should be determined by local conditions and politics), and record the present position in each member country for the benefit of other countries that might be in process of transforming their system or considering change. The result is this document, Performance-Based Building Regulatory Systems: Principles and Experiences, which outlines some of the fundamental legal and technical principles of performance-based systems and reflects the experiences of member countries in these areas. This document is structured along four primary concepts: Why (why regulation – why performance-based regulation), What (technical and legal principles), How (experiences of member countries) and Where To (emerging issues and future strategies). • Section 1 discusses the issues of why building regulation, why performance-based systems, and what distinguishes building regulations from building advice. Although building regulations are set for different reasons in different countries, the essential issue of common agreement between IRCC members is that their political systems have decided there are a number of issues of sufficient importance that they require legislative backing. Some of the key reasons are outlined in this section. • The IRCC is committed to the concept of performance based building regulations. Section 2 aims to explain what this means and the extent to which it can be achieved differently in different countries. This is done by presenting a set of agreed definitions, by summarizing technical principles which are common to all IRCC members, and where consistency is regarded as essential to a performance based system, and by identifying legal practices that reflect how members have set out to achieve the principles within the legal structure of the member country. Additional details regarding legal practices in member countries are provided in Annex B. 2 • Section 3 then provides country-specific experiences with respect to the transition from a prescriptive-based building regulatory system to a functional-, objective- or performance-based system. This includes discussion of the history, process and methods of changing from a prescriptive to a performance based system in a ‘case study’ format which reflects the experience of IRCC members, discussing how transformation has been effected and how successful it has been. Contact information for each IRCC member is provided in this section as well. • Section 4 takes a more forward-looking approach, serving as both a list of key issues facing IRCC members and topics to be addressed by the IRCC in its second decade of existence. • Annex A contains definitions related to performance-based building regulatory systems. • Annex B contains details regarding legal practices in member countries. • Annex C contains a summary of a survey on application of building regulation to existing buildings conducted by the IRCC. This Principles and Experiences document builds upon – and does not replace – the 1998 Guidelines. It is highly recommended to review the 1998 Guidelines in conjunction with this Principles and Experiences document, along with associated IRCC papers and reports, to gain a more complete understanding of the current situation and challenges. Looking ahead, the IRCC recognizes that there is significant benefit in creating a document that looks forward into possible issues and strategies for those countries developing, implementing and maintaining performance-based building regulatory systems. To address this need, the IRCC is in the process of developing a document on Emerging Issues and Approaches, which will address performance building regulatory issues that are just now, and anticipated to be, coming on the building regulatory agenda, along with possible approaches to addressing these issues. Together, the 1998 Guidelines, this Principles and Experiences document, and the forthcoming Emerging Issues and Approaches document are offered as a means to help those countries struggling with the issues of performance-based building regulatory systems through the collective experience and perspectives of the IRCC. The IRCC sincerely hopes that all readers of these documents will gain some benefit from this collective experience. Finally, although steps have been taken to accurately reflect in this document the material provided by IRCC members, invariably, some errors or inadvertent misrepresentations may yet exist. Any such errors or misrepresentations are the responsibility of the Editor and not the members of the IRCC who provided the information. Brian J. Meacham, Editor 3 ACKNOWLEDGMENTS No document such as this – a collection of principles and experiences of several countries – can be possible without the contributions from each country represented. I extend my sincere appreciation to each IRCC member organization and their staff, and other contributors, for generously supporting this effort with their time in developing text, reviewing the document, and providing helpful feedback. I would especially like to thank the editorial committee who provided detailed reviews, comments and feedback on the content and format of this document, and in addition, facilitated financial support for this effort through their organizations: • Mr. Denis Bergeron, National Research Council, Canada • Mr. William Dodds, Scottish Government, Directorate for the Built Environment, Scotland • Mr. Mike Stannard, Department of Building and Housing, New Zealand • Mr. Hiroki Sunohara, Ministry of Land, Infrastructure, Transport and Tourism, Japan Finally, this document would not have been developed without the foresight and direction provided to this effort by Dr. Paul Stollard, former Chief Executive of the Scottish Building Standards Agency and former member of the IRCC. Brian J. Meacham 4 FOREWORD The New Zealand Government, through the Department of Building and Housing, is pleased to have supported the development of this document and congratulates the IRCC on this important international collaborative effort. A building regulatory system that minimizes red tape whilst facilitating quality buildings, protecting consumers, and allowing for innovation, choice and improved productivity is important for the Government and for New Zealanders. This document provides considerable detail on the regulatory frameworks across a number of countries, and provides helpful benchmarks, comparisons and ideas for considering improvements and for avoiding pitfalls. Working collaboratively and drawing on the
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