The Integrated Design Process

Preparation for the project can be led by many players but generally comes from the
user/client who identifies the need for building on the basis of quantifiable requirements
for space and budgetary capacity to undertake the activity. A needs assessment often
accompanies this planning activityit can describe existing space use; develop realistic
estimates of requirements, both spatial and technical; and arrive at a space program
around which design activity can develop. For larger projects, a construction manager
or a general contractor may be engaged at this point. See also WBDG Project
Management and Programming.
Once the Pre-design activities are complete, the architect or other prime consultant, in
consultation with his or her team of sub-consultants, may produce initial graphic
suggestions for the project or portions of it. Such suggestions are meant to stimulate
thought and discussion, not necessarily to describe the final outcome. Involvement of
sub-consultants is a critical part of the process at this stage - their individual insights
made at this point can prevent costly changes further along in the process. Gradually a
design emerges which embodies the interests and requirements of all participants while
also meeting the overall area requirements which the project budget will have
established during Pre-Design activities. The resulting Schematic Designs produced at
this stage show site location and organization, general building shape, space allocation,
and an outline specification which makes an initial list of components and systems to be
designed and/or specified for the final result. Depending on the size of the project, it is
often useful to have a cost estimate performed by a professional cost estimator at this
point. For smaller projects, one or more possible builders may perform this service as
part of a preliminary bidding arrangementselection can be made on the basis of an
estimate at this stage. On larger projects, a cost estimate can be part of the selection
process for a builder, assuming other prerequisites like bonding capacity, experience
with the type, and satisfactory references are met.
Design Development enlarges the scale of considerationgreater detail is developed
for all aspects of the buildingthe collaborative process continues with the architect
providing graphic focus for the various contributors. Greater detail is considered for all
aspects of the building. The conclusion of this phase is a detailed design on which all
players agree and may be asked to sign off.
The Development of Contract Documents involves translating the Design
Development information into formats suitable for pricing, permitting, and construction.
No set of contract documents can ever be perfect, but high quality can be achieved by
scrutiny, accountability to the initial program needs by the design team and the client,
along with careful coordination among the technical consultants on the design team.
Decisions continue to be made with the appropriate contributions of all players.
Changes in scopes during this phase will become more expensive once pricing has
begun. Changes to the contract documents invite confusion, errors, and added costs.
Cost estimates by an estimator may be made at this point, prior to or simultaneous with
bidding, in order to assure compliance with the budget and to check the bids. Bids
taken at this point may be used as a basis for selecting a builder.
After the general contractor is selected and during the Construction Phase, the
designers and other members of the team must remain fully involved. Decisions
previously made may require clarification; suppliers' information must be reviewed for
compliance with the Contract Documents; and substitutions must be evaluated.
Contract Documents are never perfectclarifications will be required. If changes affect

the operation of the building, it is especially important that the user/client be involved.
User requirements may change, necessitating changes in the buildingthese changes
require broad consultation among the consultants and sub-consultants, pricing, and
incorporation into the contract documents and the building.
The design team is responsible for assuring that the building meets the requirements of
the Contract Documents, but the building's success at meeting the requirements of the
original program can be assessed by the construction management team or third parties
in a process known as Commissioning. Here the full range of functions in the building
is evaluated and the design and construction team can be called upon to make changes
and adjustments as needed.
After the building is fully operational, it is often useful to conduct a Post-Occupancy
Evaluation to assess how the building meets the original and emerging requirements
for its use. Such information is especially useful when further construction of the same
type is contemplated by the same user. Mistakes can be prevented and successes
repeated.
This summary describes the standard operation of the integrated project team. Such a
model is neither new nor exceptional. But it depends on:
1. clear and continuous communication
2. rigorous attention to detail
3. active collaboration among all team members
adherence to these principles will assure the best result.

Engage the Integrated Design Process

by the WBDG Aesthetics Subcommittee

Design Objectives Index > Aesthetics > - Engage the Appropriate Language and Elements of
Design
- Engage the Integrated Design Process
- Select Appropriate Design Professionals
- Design Awards
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OVERVIEW

The design of buildings requires the integration of many kinds of information into a
synthetic whole. An integrated process, or "whole building" design process, includes
the active and continuing participation of users, code officials, building technologists,
cost consultants, civil engineers, mechanical and electrical engineers, structural
engineers, specifications specialists, and consultants from many specialized fields. The
best buildings result from active, consistent, organized collaboration among all
players. (See the Design Disciplines branch of the WBDG to learn more about the role

of design disciplines in the whole building process.)

The integrated design process enables project team members to work

together from the project outset to develop solutions that have multiple
benefits.

A. The Integrated Design Process

Preparation for the project can be led by many players but generally comes from the
user/client who identifies the need for building on the basis of quantifiable
requirements for space and budgetary capacity to undertake the activity. A needs
assessment often accompanies this planning activityit can describe existing space
use; develop realistic estimates of requirements, both spatial and technical; and
arrive at a space program around which design activity can develop. For larger
projects, a construction manager or a general contractor may be engaged at this
point. See also WBDG Project Management and Programming.
Once the Pre-design activities are complete, the architect or other prime consultant, in
consultation with his or her team of sub-consultants, may produce initial graphic
suggestions for the project or portions of it. Such suggestions are meant to stimulate
thought and discussion, not necessarily to describe the final outcome. Involvement of
sub-consultants is a critical part of the process at this stage - their individual insights
made at this point can prevent costly changes further along in the process. Gradually
a design emerges which embodies the interests and requirements of all participants
while also meeting the overall area requirements which the project budget will have
established during Pre-Design activities. The resulting Schematic Designs produced at
this stage show site location and organization, general building shape, space
allocation, and an outline specification which makes an initial list of components and
systems to be designed and/or specified for the final result. Depending on the size of
the project, it is often useful to have a cost estimate performed by a professional cost
estimator at this point. For smaller projects, one or more possible builders may
perform this service as part of a preliminary bidding arrangementselection can be
made on the basis of an estimate at this stage. On larger projects, a cost estimate
can be part of the selection process for a builder, assuming other prerequisites like
bonding capacity, experience with the type, and satisfactory references are met.
Design Development enlarges the scale of considerationgreater detail is
developed for all aspects of the buildingthe collaborative process continues with the
architect providing graphic focus for the various contributors. Greater detail is
considered for all aspects of the building. The conclusion of this phase is a detailed
design on which all players agree and may be asked to sign off.
The Development of Contract Documents involves translating the Design
Development information into formats suitable for pricing, permitting, and

construction. No set of contract documents can ever be perfect, but high quality can
be achieved by scrutiny, accountability to the initial program needs by the design
team and the client, along with careful coordination among the technical consultants
on the design team. Decisions continue to be made with the appropriate contributions
of all players. Changes in scopes during this phase will become more expensive once
pricing has begun. Changes to the contract documents invite confusion, errors, and
added costs. Cost estimates by an estimator may be made at this point, prior to or
simultaneous with bidding, in order to assure compliance with the budget and to
check the bids. Bids taken at this point may be used as a basis for selecting a builder.
After the general contractor is selected and during the Construction Phase, the
designers and other members of the team must remain fully involved. Decisions
previously made may require clarification; suppliers' information must be reviewed for
compliance with the Contract Documents; and substitutions must be evaluated.
Contract Documents are never perfectclarifications will be required. If changes affect
the operation of the building, it is especially important that the user/client be
involved. User requirements may change, necessitating changes in the buildingthese
changes require broad consultation among the consultants and sub-consultants,
pricing, and incorporation into the contract documents and the building.
The design team is responsible for assuring that the building meets the requirements
of the Contract Documents, but the building's success at meeting the requirements of
the original program can be assessed by the construction management team or third
parties in a process known as Commissioning. Here the full range of functions in the
building is evaluated and the design and construction team can be called upon to
make changes and adjustments as needed.
After the building is fully operational, it is often useful to conduct a Post-Occupancy
Evaluation to assess how the building meets the original and emerging requirements
for its use. Such information is especially useful when further construction of the same
type is contemplated by the same user. Mistakes can be prevented and successes
repeated.
This summary describes the standard operation of the integrated project team. Such a
model is neither new nor exceptional. But it depends on:
1. clear and continuous communication
2. rigorous attention to detail
3. active collaboration among all team members
adherence to these principles will assure the best result.

B. The Integrated, Multidisciplinary Project Team

Team Members in a process like this may include the following:
The Owner's Representative: this person must speak for the owner and be
prepared to devote the time needed to fully advocate, defend, clarify, and develop the
owner's interests. This person may come from within the organization commissioning
the project or may be hired as a consultant.
The Construction Manager: this professional is hired on a fee basis to represent the
logistics and costs of the construction process. This person can be an architect, a
general contractor, or specifically a consulting Construction Manager. It is beneficial for
this person to be involved from the beginning of the project.
The Architect acts as the lead designer in most building projects, coordinating the
sub-consultants, assuring compliance with the program, and assuring compliance with
the budget. In some cases, the architect hires some or all of the sub-consultants; in
larger projects the owner may contract directly with some or all of them. He or she
provides the progressively more precise and detailed suggestions for the form of the
result and manages the production of the contract documents. The architect usually
participates in the construction phase of the project, assessing compliance with the
contract documents by managing appropriate inspections, submissions approvals, and
evaluations by the sub-consultants. The architect assists in the evaluation of requests
for payment by the builder.
The Civil Engineer is essential for understanding the land, soil, and regulatory
aspects of any construction project; early involvement is essential and the civil
engineer is frequently hired directly by the owner in advance of the rest of the design
team. The civil engineer prepares his or her own contract documents and assesses
compliance of the work with the contract documents.
The Landscape Architect is often part of the civil engineer's resources, but can also
be involved as an independent consultant. In either case, the landscape architect
should be involved early in the project to assess natural systems, how they will be
affected by the project and the best ways to accommodate the project to those
systems.
Consulting Structural, Mechanical, and Electrical Engineers can be engaged by

the architect as part of his work or, on larger or more complex projects, may be
engaged separately by the owner. They are responsible for the structural, heating,
ventilating and air-conditioning and the power, signal, and illumination aspects of the
project. Each produces his or her own portions of the contract documents and should
be involved in assessing their part of the work for compliance with those documents.
Specialized Consultants should be involved as needed by the special requirements
of the project. These may include specifications writers, materials and component
specialists, sustainability consultants, and technical specialists like kitchen, audiovisual, materials handling, and parking. The size, complexity, and specialization of the
project will suggest the kinds of additional experts who will be needed. Like all
contributors to the integrated design process, they should be involved early enough to
include their suggestions and requirements in the design, not so late that their
contributions must be remedial.
C. Results
The best buildings in history are the result of high degrees of consistency at all levels
of their realization. The simplicity in massing of the Seagram Building by Mies van der
Rohe in New York City, for example, is supported by the building's subtle and spare
details at every level. Design attention is applied to the massing and the drinking
fountains, the site plan, and the door details. Good buildings result from an
appreciation by all involved of the importance of formal consistency throughout the
design.

Start Right Set energy goal and assemble design team

Pre-Design Investigate energy design concepts
Schematic Design Simulate and compare energy strategies
Design Development Confirm that your design energy meets the target
Construction & Bid Documents Include energy goal in specs
Follow Through Commission building, rate operational performance,
and apply for ENERGY STAR

Start Right: Set Goal - Assemble Design

Team
Setting a definitive and measurable energy
performance target is an important step in designing
sustainable buildings that reduce operating costs and
prevent pollution. Once your goal is set, a method to
achieve it is required.
Action Items

Set an energy performance target by using the EPA

Energy Performance Rating Target Finder for design
projects.

Use energy design guidance to help choose energy-

efficient strategies and technologies that will achieve your

target. See Advanced Building Guidelines E-Benchmark
at Building Design Links.
Review case studies that demonstrate enhanced
energy performance in buildings similar to your project.
See Resources for case studies and links to profiles of
ENERGY STAR labeled buildings.
Review your firm's relevant past projects and
compare their energy performance with the target for your
new project. Consider touring local facilities to understand
how design and energy strategies were successfully
implemented.
Consider financial and environmental impacts by
using Target Finder to assess the cost of target energy use
and the associated greenhouse gas emissions for the
design.
Work with client to allocate sufficient funds to
carry out an integrated design process and reach your
energy performance target.

Assemble Design Team

Achieving superior energy performance requires assembling a multi-disciplinary team
that works together from goal setting to building operation. The team should investigate
energy performance design strategies and determine how these strategies can be
integrated in the design. Team buy-in, experience, and early involvement are vital so
that they can establish and achieve design and energy performance goals.
Action Items

Select a multi-disciplinary team early in the process, including the building owner,
architects, energy consultants, engineers, proposed tenants, state and local government
officials, construction contractors, commissioning agent, and Operations & Maintenance
(O&M) staff.

Adopt an integrated design approach and educate the project team on goals, costs,
and benefits of the process. Use a front-loaded, research-intensive process to determine
strategies for creating buildings that achieve energy performance goals.

Pre-Design
The conventional design process usually introduces energy-efficient technologies during
design development. However, the greatest opportunity for cost-effective energy
measures occurs earlier in the design process. The pre-design stage is when the team
investigates energy-related design concepts that consider the environment, climate,
building orientation, and other features that will impact performance well into the
future.
Action Items

Have a facilitated charrette that includes addressing energy objectives pertinent to the
design. Identify synergies between design concepts and energy use. Develop a plan and
adopt a method for delivering a top performing energy-efficient building. Determine
requirements needed to start schematic design.

Develop scope of work, project budget, and schedule, which include energy-efficient
strategies and your performance target.

Schematic Design
As the team's ideas are taking form during schematic design, do preliminary simulations
of various energy options and technologies. Compare the results to your energy target
to know which strategies meet your goal.
Action Items

Analyze the site based on how it will affect energy and determine building orientation
that enhances energy performance. Use natural shading features to reduce cooling load.
Consider daylighting to reduce electrical lighting requirement and the air-conditioning load.
These contribute to quality of the space.

Use energy design guidance to select the technologies that help deliver superior
energy performance and indoor environmental quality. Right-size mechanical systems based
on anticipated systems performance and loads, rather than rules of thumb. Ensure
compliance with energy codes and standards during schematic design rather than tweaking
the design later in the process. Enhance code compliance by using the Advanced Building
Guidelines E-Benchmark at Building Design Links.

Include energy expert to review the selected energy strategies and provide preliminary
costs and benefits for various design options. Begin energy analysis of design concepts using
appropriate system design tools. Perform progressive analysis during schematic design to
determine the relative efficiency of energy strategies and make improvements to your design.

Compare estimated energy use to design target using Target Finder. Make
adjustments and integrate energy performance strategies in building design to achieve your
performance target.

Design Development
Refine the project in Design Development and confirm that your energy performance
target can be achieved. Include the energy performance goal in specification language.
Action Items

Prepare energy performance specification with estimated energy use target,

anticipated outcome, and compliance schedule. Include the Building Energy Performance
Specification in construction documents.

Identify energy-efficient design elements that require careful specification and

assemble resources that explain installation, operation, and any other requirements.

Gather manufacturers' technical literature for energy systems and components to

include in construction documents and for use during building commissioning. Supplement
literature with design team's summaries of intended operation.

Construction & Bid Documents

It is important to select a qualified construction team that is able to execute the
specified energy efficiency strategies that meet your design target. Seek a contractor
who has a track record for constructing buildings that achieve superior energy
performance.
Action Items

Include Statement of Energy Design Intent (SEDI) from Target Finder, which shows
the intended energy performance outcome for your design in final construction documents and
bid package.
Specify design team participation during construction to ensure that energy
performance features are incorporated and to help produce a more comprehensive set of asbuilt documents.
Include approval process for change orders to methods and materials prior to
construction, or require design team supervision during construction. Encourage building
owner or designee to hold all parties accountable for achieving your energy performance goal.
Document construction methods associated with specific energy-efficient products and
materials by including manufacturers' literature and contact information for local technical
reps. Include design team's summaries of energy-efficient features in specifications and
drawings. Explain anticipated functions of features to assist construction team in
understanding desired outcome.
Select qualified manufacturers and do not accept unapproved alternatives for
installing/constructing key energy-efficient features/systems. Be specific with explanations to
all manufacturers so that proposals are compatible with one another.
Seek incentives for meeting your energy performance goal. Local utility companies may
offer incentives to offset costs for the design team/owner to explore options that achieve the
desired energy performance target.
Communicate your superior energy design intent by placing the "Designed To Earn
The ENERGY STAR" graphic on final drawings that achieve 75 or better in Target Finder.

Commissioning is the process of verifying that a new building functions as intended and
communicating the intended performance to the building management team. This usually occurs
when the building is turned over for occupancy. In practice, commissioning costs aren't included
in design fees and often compete with other activities. As a result, it is seldom pursued properly. It
is critical that the building is commissioned to ensure that energy performance and operational
goals are met.
Action Items

Communicate your energy performance goal during commissioning to ensure that the
design target is met. Encourage energy-use tracking that will allow performance comparisons
to be made over time.

Specify detailed commissioning activities in your project contracts. Seek separate

funding for commissioning work to ensure that it is given the appropriate level of importance.

Hire experts that specialize in building commissioning. Include the commissioning firm
as part of the design team early in the project.

Finalize and transfer a set technical documents including manufacturers' literature for
systems and components. Supplement technical literature with summaries of intended
operation. Provide additional explanation for innovative design features.

Tracking, Measurement & Verification

Building automation systems in commercial buildings allow users to track actual energy
consumption over time. In contrast, the EPA Energy Performance Rating allows users to
evaluate overall annual building performance using a 1-100 scale.
Action Items

Communicate the energy performance target (of your design) to the M&V team and
ensure they understand specific performance expectations for the new building.

Document how sustained energy performance compares to the design intent and best
practices from the project design.

Use EPA's Web-based Portfolio Manager, once the building has been operating for 12
months, to track and rate annual energy performance. To check a building's eligibility for
ENERGY STAR, see "Evaluate Building Performance" on the ENERGY STAR Web site.
The selection of the design team should be undertaken as early in the life of a project
as possible. Every design and construction project is unique, with a variety of services
required to transform the generalized concept into reality. A qualified design
professional can guide an owner through the intricacies of the design process; standard
phases include pre-design, concept design, design development, construction
documentation, bidding and negotiations, and construction. Building design
professionals can assist in defining the project at the outset in terms that provide
meaningful guidance for design. Pre-design services might include site selection,
existing facilities surveys, environmental studies and reports, feasibility and
programming studies. Design services, in addition to the standards phases of design,
might include Building Information Modeling, LEED certification, and commissioning. It
is important to begin the process of selecting design professionals with a consideration
of delivery method, and site, programmatic, schedule, and budget issues. These factors
contribute to defining the scope of work for projects, which in turn inform the selection
of appropriate design professionals and delivery team composition.
A. Selecting Design Professionals
When a building project is initiated by an agency representing the public, the selection
of a qualified building professional becomes a reflection of how tax dollars will be spent.
When selecting a design professional, a public owner's primary concerns are to get the
best available design services and outcome, and to conduct a fair and equitable
selection process. Once that selection has been made, it is then the responsibility of the
agency to negotiate the best value for those services; but first, the selection panel
should ensure the selection of the best available firm for the project. A building project
is a long-term investment, and the realized, built project will be a testament to how well
thought-out the selection process is.
For public projects, there are two main methods for selecting design professionals:
Qualifications-Based Selection and Design Competitions. In either method, the
individuals responsible for selecting the design professional should have an
understanding of the needs of a specific project and should be able to evaluate the
achievements of the potential firms. Selection panels evaluate firms on criteria such as
previous experience, past performance, portfolio review, awards and recognitions, level
of commitment to project, and overall customer service.

To ensure the selection panel will make a well informed choice, it is important that any
procurement for professional design services take into consideration:
The goals of the project. Solicitations for qualifications and requests for
proposals should be specific about the goals and parameters of the project, the
anticipated scope of work, and any specialty disciplines that will be required. Be
clear about what will be expected of the design team and what evaluation
factors will be used to select them.
The design team's suitability for the project. This does not mean an AE must
have done the same type of project, but that his/her experience demonstrates a
competency in projects of similar complexity or context.
Who is in charge. Complex needs may be addressed by a complex team; make
sure you know who is in charge and how the team is structured.
Qualifications-Based Selection (QBS)
Qualifications-Based Selection - When a building project is initiated by an agency
representing the public, the selection of a qualified building professional becomes even
more important. When selecting a design professional, a public owner's primary
concerns are to get the best available design services, and conduct a fair and equitable
selection process. Federal project solicitations are announced in FedBizOpps.gov, a
website that lists government-wide notices for all types of services.
Recognizing the need for a qualifications-based approach to procuring design services,
the U.S. Congress established as federal law in 1972 (P.L. 92-582), commonly referred
to as the "Brooks Act", that requires that architects and engineers be selected for
projects on the basis of their qualifications subject to negotiation of fair and reasonable
compensation. Selection panel members must be highly qualified professionals with
experience in design and construction related fields. Most states and numerous local
jurisdictions also use Brooks Act procedures.
Qualifications-Based Selection (QBS) usually involve the following steps:
1. The owner prepares a description of the project to be built or problem to be
solved, referred to as a preliminary scope of services.
2. The owner invites design professionals to submit statements of qualifications for
the project at hand.
3. Statements of qualifications are evaluated and several individuals or firms are
selected, or "short-listed," for further consideration.
4. The individuals or firms are then interviewed and ranked according to an
evaluative scoring system.
Design Competitions
A design competition is a method of awarding a design contract based on design
excellence and is a permitted selection method allowed by FAR 36.602-1b. When the
use of a design competition is approved by the agency head or designee, the agency
may evaluate firms based on their conceptual design of a project. Design competitions
are typically used for significant Federal projects, such as monuments or those of
unusual national significance. Since selection of the design firm takes longer when a
competition is used as the selection method, there must be sufficient time in the project
schedule to produce and evaluate conceptual designs. There must also be a significant
benefit to the project to use a competition as this selection vehicle also costs more.
There are two types of federal design competitions:

Open design competitions are open to all design professionals. These are usually
design teams headed by an architectural firm with a registered architect at the
helm. An example of this is the World War II Memorial Competition, won by
Freidrich St. Florian.
Invited design competitions are competitions where a selected group of design
professionals, usually highly regarded or recognized architects, are invited to
submit a design on a project. This is often the last stage of a qualificationsbased selection process. An example of this is the proposed Federal Courthouse
in Rockford, IL, won by Koetter Kim Architects.

Competitions are structured as a one-stage, two-stage, or in some cases, a three-stage

process:
In a One-Stage design competition, the selected firm is chosen by a jury from all
submitted entries. The winner is then awarded the design contract. Because of
the nature of projects that lend themselves to Federal Design Competitions, this
type of competition is not used very often.
A Two-Stage design competition is also open to all design professionals. The
goal of the first stage is to solicit design portfolios from Design Firms and Lead
Designers. Based on the jury evaluation of the submitted portfolios, a short-list
of Design Firms and Lead Designers is selected to proceed to Stage II. The
highest ranking competitors are then invited to form complete A/E teams, and
submit additional written material on the teams for further evaluation by the
agency's A/E Evaluation Board. During Stage II, team interviews are also held. A
final ranking of the teams is completed by the A/E Evaluation Board, who then
makes the final selection.
A Three-Stage competition incorporates the same components as the One- and
Two-Stage competition, however final selection is made following completion of
a "vision" for the project. The evaluation of the design concepts by an
independent jury, as well as the evaluations of the Stage I and Stage II
components, will be used by the A/E Evaluation Board to prepare the final
ranking of the Stage III Teams. Because of the additional expense associated
with preparing project "vision" submittals, teams are compensated with an
amount that is specified in the original announcement in FedBizOpps.gov.
Project Requirements
Project inception and preliminary planning require thoughtful definition of goals and
needs (Project Scope); master planning to accommodate anticipated future needs;
evaluation of project alternatives; identification of site requirements; funding
requirements; budget authorization cycles and/or financial impacts; and project
phasing.
Delivery Methods
There are many approaches to achieve successful project design and construction.
These "Delivery Methods", which are driven by the project's scope, budget, and
schedule, include Traditional (Design/Bid/Build), CM (also called CMc, or Construction
Manager as Constructor), Design-Build, Bridging, and Lease/Build. The selection of a
delivery method will in turn influence the Delivery Team composition, schedule, budget,
and management plan.

Project Management Plans

A Project Management Plan (PMP) is commonly used to document key management
parameters in a central location and is updated throughout the project focusing on
recognition of changes in program planning and management of those changes. It
includes definition of an owner's program goals, technical requirements, schedules,
resources, budgets, and management programs.
Design Stage Management
Once a design team has been assembled (procured), a high level of owner coordination
is needed to manage the entire delivery team through the project's design phases.
Design management requires oversight of schedules and budgets; review of key
submissions and deliverables for compliance with program goals and design objectives;
verification of incorporation of stakeholder review input; verification of incorporation of
construction phase functional testing requirements; and appropriate application of the
owner's design standards and criteria.
Construction Stage Management

Project coordination/communication
RFIs
Change order management
Conflict resolution
Inspections
Submittal reviews
Schedules
Payments

Building Commissioning
Commissioning (Cx) is a systematic process of ensuring that building systems perform
interactively according to the design intent and the owner's operational needs. This is
achieved by documenting the owner's requirements and assuring those requirements
are met throughout the entire delivery process. This involves actual verification of
systems performance and integration; comprehensive operation and maintenance
(O&M) documentation; and training of the operating personnel. Building Commissioning
procedures may include: Commissioning Plans, Total Building Commissioning, Systems
Commissioning, Pre-installation Performance Testing/Commissioning, ReCommissioning, Retro-Commissioning, and LEED Certification.
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INTRODUCTION

Accurately forecasting the cost of future projects is vital to the survival of any business
or organization contemplating future construction. Cost estimators develop the cost
information that business owners or managers, professional design team members, and

construction contractors need to make budgetary and feasibility determinations. From

an Owner's perspective the cost estimate may be used to determine the project scope
or whether the project should proceed. The construction contractor's cost estimate will
determine the construction bid or whether the company will bid on the construction
contract.
There were about 198,000 cost estimators in 1994 according to the U.S. Department of
Labor, Bureau of Labor Statistics, 2006-2007 Occupational Outlook Handbook, Cost
Estimators, of which 58% work in the construction industry, 17% are employed in
manufacturing industries, and the remaining 25% elsewhere. Most construction
estimators have considerable experience gained through working in the building
construction industry. This guide will be confined to cost estimating in the building
construction industry.
Construction cost estimators can be contractually hired in many different ways. They
may be employed by the owner's representative/project manager, employed by the
construction manager, employed as a member of a professional design team, or
separately hired by the owner. They estimate building costs through all the stages of
design and the construction of the project. On large projects it is common for
estimators to specialize in disciplines that parallel design discipline specialization.
It is very important to have the cost estimator involved right from the start of the
project to ensure that the project budget reflects the decisions made by the rest of the
project team throughout the integrated design process.

DESCRIPTION

A. Professional Behavior Expected of the Cost Estimator

Ethics: The practice of construction estimating is a highly technical and

professional discipline. It also involves abiding by certain standards of ethical
conduct and moral judgment that go beyond the technical aspects of the
discipline. Estimators are often the most familiar with the complete project.
They must exercise sound moral and professional judgment at all times when
preparing the project estimate. Estimators sometime receive pressure from
other members of the construction team to make expedient short-term decisions
that can result in an unsound bid. Resistance to this type of pressure is a part of
the estimator's job. Examples of expedient behavior litter the history of
inaccurate construction estimating. Deficient estimates can also cause strife and
litigation between members of the construction team. The American Society of
Professional Estimators (ASPE) has stated the following ethical, moral and
technical precepts as basic to the practice of estimating. See the ASPE, Canon of
Ethics.
Integrity: Estimators are expected to use standards of confidentiality in a
manner at least equal to that of other professional societies. The estimator shall
keep in strictest confidence information received from outside sources. The
practice, commonly called "bid peddling", is a breach of ethics and is condemned
by the ASPE and that of other societies and construction organizations.
Judgment: Judgment is a skill obtained by estimators through proper training
and extensive experience. Estimators should always use sound judgment and

common sense when preparing estimates. Proper use of judgment may mean
the difference between profit and loss for the company or client.
Attitude: Estimators should approach each estimate with a professional attitude
and examine in thorough detail all areas of the work. They will set aside specific
times each day for entry of estimate quantities and data without interruption.
Total mental concentration is a basic requirement for preparing accurate cost
estimates.
Thoroughness: An estimator will allow enough time to research and become
familiar with the background and details of the project and then promptly
complete the quantity survey. They will review the various aspects of the project
with the other disciplines involved. The estimator with the most thorough
knowledge of a project best serves the owner and project team, and has the
best competitive advantage when preparing a bid.

Common Cost Estimator Practice Traits

Awareness: The estimator should firstly consider the project scope and the
level of effort and resources needed to complete the task ahead; the
organization's financial capability, staff, and plant capacity (if working as an
estimator for a construction company) to complete the project.
Consider the time allotted for the construction of the project in
coordination with the owner's schedule needs.
Examine the general and special conditions of the contract and
determine the effect these requirements have on indirect costs.
Consider alternate methods of construction for the projects.
Review all sections of the drawings and division specifications to
ascertain an accurate perspective of the total project scope, level of
design discipline coordination, adequacy of details, and project
constructability.
Make other members of the project team aware of any problems with
the project documents.
Communicate and coordinate information to other project team
members in a timely manner.
Uniformity: The estimator should develop a good system of estimating forms
and procedures that exactly meet the requirements of the project, and that is
understood and accessible by all team members. This system should provide the
ability to define material, labor hour and equipment hour quantities required for
the project. Material, labor, and equipment unit costs are then applied to the
quantities as developed in the quantity survey. Apply amounts for overhead and
profit, escalation, and contingency in the final summaries.
Consistency: Use methods for quantity surveys that are in logical order and
consistent with industry standard classification systems such as the UniFormat
or CSI MasterFormat systems. These methods also must meet the specific
need of the company or client. Use of consistent methods allows several
estimators to complete various parts of the quantity survey, or be continued
later by another estimator. Consistency also aids the identification of cost
increases and decreases in certain areas as the project progresses through the
design stages. Combine these surveys into the final account summaries.
Verification: The method and logic employed in the quantity survey must be in
a form, which can provide independent method of proof of the accuracy of any
portion of the survey.
Documentation: Document all portions of the estimate in a logical, consistent,
and legible manner. Estimators and other personnel may need to review the

original estimate when the specific details are vague. The documentation must
be clear and logical or it will be of little valve to the reader. Such instances may
occur in change order preparation, settlements of claims, and review of past
estimates as preparation for new estimates on similar projects.
Evaluation: When the estimate involves the use of bids from subcontractors,
check the bids for scope and responsiveness to the project. Investigate the past
performance records of subcontractors submitting bids. Determine the level of
competence and quality of performance.
Labor Hours: The detailed application of labor hours to a quantity is primary in
governing the accuracy and sufficiency of an estimate. The accuracy of the
project's schedule and work force requirements are dependent on the evaluation
and definition of the hours. The combined costs for worker's compensation,
unemployment insurance and social security taxes are significant factors in the
project costs. The most accurate method for including these costs is to define
labor hours and wage rates; then apply percentages to the labor costs.
Valve Engineering: Structure the estimate to aid in researching and
developing alternative methods that will result in cost optimization. These
alternative methods can include different construction methodology,
replacement materials, etc. Using the same level of detail in both the value
engineering studies and the base estimate is extremely important. This provides
a more precise comparison of costs for proposed alternate methods.
Final Summaries: Provide methods for listing and calculating indirect costs.
Project scope governs the costs of overhead items such as insurance, home
office plant, and administrative personnel. Determine these costs in a manner
consistent with quantity survey applications. Consider other work in progress,
and/or owner occupancy of existing space that may have a bearing on projected
overhead costs. Determine amounts for performance bonding, profits,
escalation, and contingencies.
Analysis:

Develop methods for analyzing completed estimates to ascertain if they

are reasonable. When the estimate is beyond the normal range of costs
for similar projects, research the detail causes for possible errors.
Develop methods of analysis of post-bid estimates to find the reasons
for the lack of success in the bidding process.
Calculate the variation of the estimate from the low bid and low
average bids.
Determine from an outside source if there were subcontract or material
bids provided only to certain bidders.
Determine if bids were submitted by a representative number of
contractors for the level of construction quality expected.
Determine if the low bidder may have made omissions in the estimate.
Properly document this information for future use and guidance.
Conversion: Show estimating procedures that allow conversion of the estimate
to field cost systems so management can monitor and control field activities.
These procedures include methods of reporting field costs for problem areas.
Make reports daily or weekly rather than at some point in time after the project
is complete. Field cost reporting, when consistent with estimating procedures,
enables estimators to apply the knowledge gained from these historical costs to
future estimates, and help train field personnel in labor hour and cost reporting
that provide the level of accuracy required.
Change Orders: Apply the highest level of detail from information provided or
available to the estimator. State quantities and costs for all material, labor,
equipment, and subcontract items of work. Define amount for overhead, profit,

taxes, and bond. Specific itemization of change order proposals is essential in

allowing the client to determine acceptability. Upon approval, use the estimate
detail as the definition of scope of the change order.
Levels of Estimate
As a project is proposed and then developed, the estimate preparation and information
will change based on the needs of the Owner/Client/Designer. These changes will
require estimates to be prepared at different levels during the design process with
increasing degrees of information provided. It should also be noted that within each
level of estimate preparation, not all portions of the design would be at the same level
of completeness. For example, the architectural design may be at 80% complete while
the mechanical design is only 50% complete. This is common through the design
process, but should always be noted in the estimate narrative.
In addition to construction costs, estimates for process or manufacturing areas require
information related to the involved processes such as product line capacity, process
layout, handling requirements, utility requirements, materials and storage required,
service requirements, flow diagrams, and raw materials access.
The following descriptions constitute the different levels of an estimate. Estimates within
each of these levels may be prepared multiple times during the design process as more
information becomes available or changes are made to the scope. As the level of the
estimate increases it will become more detailed as more information is provided;
"unknowns" are eliminated; fewer assumptions are made; and the pricing of the
quantities become more detailed. Contingencies for the aforementioned will be reduced
as more design documentation is produced.
The levels of the construction cost estimate correspond to the typical phases of the
building design and development process and are considered standards within the
industry. These levels are as follows:
Level 1 - Order of Magnitude
The purpose of the Level 1 estimate is to facilitate budgetary and feasibility
determinations. It is prepared to develop a project budget and is based on historical
information with adjustments made for specific project conditions. Estimates are based
on costs per square foot, number of cars/rooms/seats, etc.
Project information required for estimates at this level usually might include a general
functional description, schematic layout, geographic location, size expressed as building
area, numbers of people, seats, cars, etc., and intended use.
Level 2 - Conceptual/Schematic Design
The purpose of the Level 2 estimate level is to provide a more comprehensive cost
estimate to compare to the budgetary and feasibility determinations made at Level 1
and will be typically based on a better definition of the scope of work. An estimate at
this level may be used to price various design schemes in order to see which scheme
best fits the budget, or it may be used to price various design alternatives, or
construction materials and methods for comparison. The goal at the end of schematic
design is to have a design scheme, program, and estimate that can be contained within
budget. This estimate is often prepared in the UniFormat estimating system rather

than the MasterFormat system, which allows the design team to easily and quickly
evaluate alternative building systems and assemblies in order to make informed
alternatives analysis decisions to advance the design progress. The Level 2 estimate is
based on the previous level of information available at Level 1, in addition to more
developed schematic design criteria such as a detailed building program, schematic
drawings, sketches, renderings, diagrams, conceptual plans, elevations, sections and
preliminary specifications. Information is typically supplemented with descriptions of soil
and geotechnical conditions, utility requirements, foundation requirements, construction
type/size determinations, and any other information that may have an impact on the
estimated construction cost.
Design Development
Estimates prepared at Level 3 are used to verify budget conformance as the scope and
design are finalized and final materials are selected. Information required for this level
typically includes not less than 25% complete drawings showing floor plans, elevations,
sections, typical details, preliminary schedules (finishes, partitions, doors, and hardware
etc.), engineering design criteria, system single line diagrams, equipment layouts, and
outline specifications.
The Level 3 estimate provides a greater amount of accuracy, made possible by better
defined and detailed design documentation. Estimates at this phase may be used for
value engineering applications before the completion of specifications and design
drawings.
Level 4 - Construction Documents
Level 4 estimates are used to confirm funding allocations, to again verify the
construction cost as design is being completed, for assessment of potential value
engineering opportunities before publication of the final project design documentation
for bids, and to identify any possible "design creep" items, and their costs, caused by
modifications during the completion of the construction documents. This final
construction document cost estimate will be used to evaluate the subcontract pricing
during the bid phase. Level 4 estimates are typically based on construction documents
not less than 90% complete.
Level 5 - Bid Phase
The purpose of this level estimate is to develop probable costs in the preparation and
submittal of bids for contract with an Owner. In the traditional "design-bid-build"
delivery system, this would be with 100% completed and coordinated documents. The
Level 5 estimate will be used to evaluate sub-contractor bids and change orders during
the construction process.
In other delivery systems, becoming more widely used, such as design-build or
guaranteed maximum price, the bid could actually be prepared at an earlier level, often
Level 3 or Level 4. In such an instance estimates are prepared as previously described
along with progressive estimates as the design is completed. It should be stressed that
when preparing a bid at a prior estimate level, it is very important to include a complete
and thorough "Scope of Estimate" statement that would state clearly such items
assumptions, allowances, documents used for the estimate, and contingency amounts
included.
For a discussion of project delivery systems.

To explore the impact of various delivery systems on a specific project.

Various types of construction contracts include:
Stipulated sum
Lump sum unit price
Cost plus a fee
Design-build
Bridging
Cost plus a fee with a guaranteed maximum price (GMP)
Turn Key
The transfer of the estimate information to the field cost control system provides
management the opportunity to closely monitor and control construction costs as they
occur. Computer estimating and cost control programs, whether industry-specific or
general spreadsheet type, are especially valuable for rapid and efficient generation of
both the estimate and actual construction cost information.
It should be noted that it is always good cost control practice to review and evaluate the
final cost estimate vs. the actual bid. This exercise is not another level of estimate, but
is a cost control mechanism and important data for estimating future projects.
D. Elements of a Cost Estimate
Quantity Takeoff: The foundation for a successful estimate relies upon reliable
identification (takeoff) of the quantities of the various materials involved in the project.
Labor Hours: Labor hour amounts can be developed by crew analysis or applied on a
unit man-hour basis. The use of a labor dollar per unit of work (ex: $15 per cubic yard
for grade beams or $20 per cubic yard for walls) is only applicable when the cost history
supports the data being used. The estimator must make allowance for the varying
production capability that will occur based upon the complexity of a project.
Labor Rates: The labor rate is the cost per hour for the craftsmen on the project. To
determine any craft rate, whether union or open shop, the estimator starts with the
basic wages and fringe benefits.
To the wages and fringe benefits, the estimator must add payroll burdens. These
are FICA (Social Security), FUI (Federal Unemployment Insurance), SUI (State
Unemployment Insurance), WC (Worker Compensation) and others mandated by
legislation and/or company operations. These burdens, plus the base wages and
fringe benefits, determine the hourly cost of a craft classification (i.e., carpenter,
pipefitter, etc.).
The hourly rate can also involve a mixed crew where a mix of different crafts for
a work crew for the performance of the work.
Overtime or the lack of overtime is another consideration in determining the
calculation of the hourly rates. A project that is scheduled for completion using a
forty hour work week (Some areas may have a standard 35 hour week) will
have a modest amount of overtime costs required in the estimate. A project that
is scheduled for extended 50, 60 or even 70 hour work weeks will have a
substantial amount included for overtime and loss of productivity.
Material Prices: Material prices, especially in today's current market, fluctuate up and
down. The estimator must both understand and anticipate the frequency and extent of

the price variations and the timing of the buying cycle. Material prices may be affected
by:
purchase at a peak or slack time of the year for the manufacturer
material availability
the size of the order
the delivery timeframe requirement
physical requirements for delivery, such as distance, road size, or site access
payment terms and history on previous purchases
sole-source items
exchange rates (if the material will be imported into the U.S.)
Equipment Costs: Equipment rates depend on the project conditions to determine the
correct size or capacity of equipment required to perform the work. When interfacing
with other equipment, cycle times and equipment capacity control the costs on the
project. Costs will also differ if the equipment is owned by the contractor as opposed to
rented.
Subcontractor Quotes: A subcontractor quote, like the general estimate, contains
labor, material, equipment, indirect costs, and profit. It is dependent upon having the
quantities, labor hours, hourly rate, etc., prepared in a reliable manner just like any
other part of an estimate. The amount of the subcontractor quote is also dependent
upon the payment terms of the contract, and previous payment history between the
subcontractor and general contractor. Bonding costs should also be considered.
Indirect Costs: Indirect costs consist of labor, material, and equipment items required
to support the overall project.
For the owner: design fees, permits, land acquisition costs, legal fees,
administration costs, etc.
For the contractor and subcontractor: mobilization, staffing, on-site job office,
temporary construction, temporary heat/cooling, and temporary utilities,
equipment, small tools and consumables, etc.
Profit Amount: Apply appropriate or contracted profit rate uniformly to all contractors
and to original bid and change orders.

EMERGING ISSUES

Computers and Building Information Models (BIM)

Computers have played an increasingly larger role in cost estimation for complex
calculations as the design and construction industry has become more computerized.
For example, to undertake a parametric analysis (a process used to estimate project
costs on a per unit basis, subject to the specific requirements of a project), cost
estimators will often use a computer database containing information on costs and
conditions of many other similar projects and geographic locations.
BIM is a simple concepta master, intelligent data model, resulting in an as-built
database that can be readily handed over to the building operator upon completion of
commissioning. The BIM standard could someday integrate CAD data with product

specifications, submittals, shop drawings, project records, as-built documentation and

operations information, making printed O&M and Systems manuals virtually obsolete.
The technology has moved forward, but the industry's ability to absorb these IT
advances has yet to change. Clearly, if BIM offers a genuine solution to reduce errors
and rework, while improving building operations, it will eventually change the way all
project team members develop and share information over facility life-cycle phases.
Sustainable Design and LEED Certification
The GSA LEED Cost Study for the U.S. General Services Administration defines costs
associated with the U.S. Green Building Council's Leadership in Energy and
Environmental Design (LEED) ratings. Two building types (new construction
courthouses and Federal Building modernization) are modeled against two scenarios for
each LEED rating (Certification, Silver, Gold), identifying differential costs of
construction, design, and documentation/submission requirements.
The newly issued GSA LEED Applications Guide, a companion document to the GSA
LEED Cost Study, outlines an evaluation process in which the predicted first cost
impacts of the individual LEED prerequisites and credits (developed from the Cost
Study) are used as a basis for structuring an overall LEED project approach. The
process also illustrates how LEED criteria relate to existing GSA mandates,
performance goals, and programmatic requirements.
Descriptions of LEED cost impacts on private and non-federal public sector work may
be found in various periodicals describing current projects. Coverage of sustainable and
LEED issues is becoming more frequent and is often the main focus of many periodical
articles.
An article that discusses LEED cost impacts and the participation of the cost estimator
in the LEED point evaluation process is The Cost of LEED Certification by Joseph
Perryman (Design Cost Data (DCD), November 15, 2005). Mr. Perryman is Chairman of
the ASPE Sustainability Special Interest Group, and a member of the Association for
Project Management, the USGBC, the Royal Institution of Chartered Surveyors, SAVE
International, and the Association for the Advancement of Cost Engineering.

RELEVANT CODES AND STANDARDS

The American Society of Professional Estimators (ASPE) recognizes the Certified

Professional Estimator (CPE) as an individual trained in the estimating practices within
the construction industry. Private and/or public sector owners can ensure a certain level
of professionalism and ethics by stipulating that the cost estimator be a member of the
ASPE. There are no legislative codes or mandated standards applicable to the cost
engineering or cost estimating profession.
Architect's Role
Today, the required legal, technical, and cultural knowledge base has such breadth and
depth that it is no longer in the best interest of the project for one discipline to hold,
implement, and be responsible for all building-related knowledge, as did the Master
Builder of old. Professional malpractice concerns have led liability insurance companies

to encourage, even implicitly force, architects to limit activities to design. For example,
"construction supervision" became "construction observation," moving the architect
further away from the risks associated with construction activities.
According to some industry analysts, such as Carl Sapers, the architect's role has been
further limited by the idea that buildings are commodities, consisting of assemblies of
standard materials and systems best understood by their suppliers and constructors.
New forms of project delivery, including "design/build", "bridging", and "construction
management", come out of a belief that architects are no longer able to stay abreast of
complex information in order to lead the design process on the owner's behalf. (Carl
Sapers, "Toward Architectural Practice in the 21st Century," in Harvard Design
Magazine, Fall 2003/Winter 2004)
However, this standardized approach to efficient building design is not necessarily
synonymous with the requirements for whole building design. Integrated, highperformance design requires both efficiency and innovation. It requires a design process
in which the users, owners, and project participants are all integral team members.
The Composite Master Builder
With whole building design, the project team can be guided once again by a collective
vision. This structure, along with the process by which the design team works together,
has been termed by Bill Reed as the "Composite Master Builder". The term recasts the
historical single Master Builder as a diverse group of professionals working together
towards a common end. The intention is to bring all of the specialists together, allowing
them to function as if they were one mind. The process avoids, as Mario Salvadori says,
the "reciprocal ignorance" of the specialists in the design and building field.

An innovative approach to efficiency: a

prefabricated structure for an ecologicallysensitive site. Kingman Island Environmental
Education Center competition finalist
(Courtesy University of Maryland School of
Architecture, Planning, and Preservation.)

The cast of specialists is potentially quite large, and depending on the complexity of the
project, can include:
site professionals, such as planners, civil and environmental engineers, and
landscape architects;
design team members such as programmers, architects, and interior designers;
building systems experts, such as structural, mechanical, fire protection, and
building science and performance engineers;
construction professionals, including cost estimators, project managers,
tradespeople, and craftspeople;

owners, including financial managers, building users, and operations and

maintenance staff; and
local code and fire officials.

The Team Needs a Leader

The legal obligations of the profession, comprehensive training in holistic problemsolving, and an understanding of broad cultural concerns make architects ideally suited
for the leadership of design teams.
Architects in the United States have historically been bound by comprehensive legal
requirements and responsibilities for the building design. They are legally obligated to
safeguard the public health, safety, and welfare. This presumes that architects maintain
at minimum a clear overview of the project team's work. Arguably, the most effective
way to discharge this public duty is to oversee and coordinate the work of the project
team.
The profession emphasizes comprehensive training in the arts and sciences, as well as a
holistic approach to design problems. Architectural education teaches both abstract and
concrete problem-solving. Its core skills are learned and re-learned, in an iterative
process that incorporates history, theory, technology, and other social and cultural
factors. Architects are both specialists and generalists, which ideally enables them to
communicate effectively with other specialists while maintaining the "big-picture" view
of the project goals.
In addition to health, safety, and welfare considerations, buildings incorporate the
culture that created them. The built environment is both "mirror and lamp", shaping
while acting as a repository of cultural meaning. As Churchill said, "We shape our
buildings; thereafter they shape us." With their knowledge of the arts and culture,
architects hold a comprehensive understanding of the project context and can help the
design team move beyond mere problem-solving.
Education, Training, and Process for Whole Building Design
As leaders and participants in the design process, architects need to understand and
work collaboratively with other disciplines. To this end, architects need to pursue
education and training throughout their professional careers. Many excellent examples
of interdisciplinary design studios exist in the United States. These studios involve
students, faculty, practicing design and engineering professionals, and even clients and
regulatory officials. Some studios participate in service-learning projects to build
structures for deserving clients. Everyone involvedstudents, professionals and
members of the communitybenefits from the process itself, as well as the crosspollination of ideas and techniques. Examples include Studio 804 at the University of
Kansas School of Architecture and Urban Design, and Architecture 600/611
Comprehensive Studio and Advanced Technology at the University of Maryland's School
of Architecture, Planning, and Preservation.
Continuing education is a lifelong endeavor for practicing architects and is mandated in
many jurisdictions, as well as by The American Institute of Architects (AIA). Typically,
this education involves technical training, management courses, legal and liability
issues, and learning about new materials and products. The practice of seeking out
training in the various aspects of leadership of an integrated design team, such as

workshop facilitation, is not yet common. However, critical skills are needed to assume
this role, which was addressed in a recent article in Environmental Building News.
Current practitioners of integrated design, such as Terry Brennan of Camroden
Associates, observe that architects have the intention to become cooperative but lack
the skills. "The lead designer must be skilled in nurturing and giving form to the
collective vision, rather than expressing his or her own vision. Not all architects are
comfortable with this role, which is more akin to that of a midwife than to that of an
individual artist." (EBN, November 2004, "Integrated Design" feature article)
In daily practice, early and regular, structured interaction of the "Composite Master
Builder," is critical to establishing a project vision and maintaining momentum
throughout the design and construction process. Activities might include charrettes,
workshops, peer review, and post-occupancy review.
Until recently, most building codes have been prescriptive, effectively casting design
professionals in the role of negotiators between the owner's ideas and the realities of
codes. High-performance, integrated building design recently started leading design
teams away from this "just barely legal" approach. As a tool to aid in this process, the
new performance-based building codes give the design team more flexibility in meeting
requirements.
1. List of Codes
The international Code Council (ICC) was formed from the joining of publishers of
National and Standard Building Codes, Building Officials and Code Administrators
International, the Southern Building Code Congress International, and the International
Conference of Building Officials. The result of their merging was the International Code
Seriespart of the U.S.'s first unified comprehensive and coordinated building codes.
A. U.S. Code Organizations:
International Code Council (ICC)
International Conference of Building Officials (ICBO), member of ICC
Southern Building Code Congress International, Inc. (SBCCI), member of ICC
International Association of Plumbing and Mechanical Officials (IAPMO)
National Fire Protection Association (NFPA)
Underwriters Laboratories (UL)
B. Codes:
Americans with Disabilities Act Guidelines (ADAAG)
CABO One and Two Family Dwelling Code
International Code Series:
International Building Code (IBC)
International Energy Conservation Code (IECC)
International Fire Code (IFC)
International Fuel Gas Code (IFGC)
International Mechanical Code (IMC)
International Plumbing Code (IPC)
International Property Maintenance Code (IPMC)
International Residential Code (IRC)
National Building Code (BOCA NBC)
National Fire Protection Association codes (NFPA)
National Electric Codes (NEC)
Uniform Building Code (UBC)

2. List of Standards and Organizations

Many of these organizations have voluntary standards for quality assurance. Others
publish standards that are referenced by the LEED Green Building Rating Guide, for
meeting requirements of various credits.
American Forest and Paper Association (AFPA) (formerly the National Forest Products
Association)
American Institute of Steel Construction (AISC)
American National Standards Institute (ANSI)
APA - The Engineered Wood Association (APA)
American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE)
ASTM International
Architectural Woodwork Institute (AWI)
American Wood Council (AWC)
Federal Emergency Management Agency (FEMA)
Federal Energy Management Program (FEMP)
Federal Housing Administration (FHA)
Forest Stewardship Council (FSC)
Illuminating Engineering Society of North America (IESNA)
International Performance Measurement and Verification Protocol (IPMVP)
National Fire Protection Association (NFPA)
National Association of Home Builders (NAHB)
National Institute of Standards and Technology (NIST)
National Institute of Building Sciences - Construction Criteria Base (CCB)
Underwriters Laboratories (UL)
U.S. Department of Agriculture, Forest Service, Forest Products Laboratory (FPL)
U.S. Department of Commerce, National Technical Information Service (NTIS)
U.S. Department of Energy (DOE)
U.S. Environmental Protection Agency (EPA)
U.S. Department of Housing and Urban Development (HUD)
3. Federal and Non Government Databases for Standards and Regulations
Whole Building Design GuideMandates/References
Whole Building Design GuideConstruction Criteria Base

Professional Associations
Association of Collegiate Schools of Architecture (ASCA)
The American Institute of Architects (AIA)
American Institute of Architecture Students (AIAS)
National Council of Architectural Registration Boards (NCARB)
National Architectural Accrediting Board, Inc. (NAAB)

Related Organizations
Architecture Research Institute, Inc.
Association for Computer Aided Design in Architecture (ACADIA)
Building Owners and Managers Association (BOMA)

Congress for the New Urbanism (CNU)

Department of Energy (DOE):
Energy Sources
Energy Efficiency
National Association of Homebuilders (NAHB)
National Association of the Remodeling Industry (NARI)
National Organization of Minority Architects (NOMA)
Sustainable Buildings Industry Council (SBIC)
Urban Land Institute (ULI)
U.S. Green Building Council (USGBC)

Today's HVAC&R engineer, or mechanical engineer of record (MER), continues to be a

steward of the basic discipline issues identified by Mr. Wilson nearly 100 years ago.
Roles have expanded, though, to address more modern quality of life issues. ASHRAE
offers the current vision of the MER's stewardship responsibilities: to improve the
quality of life by helping keep indoor environments comfortable and productive; by
helping to deliver healthy food to consumers; and by helping to preserve the outdoor
environment.
As part of a holistic controlled environment design solution, the MER is responsible for
addressing seven major processes. These are:
1. Heatingthe addition of thermal energy to maintain space or process
conditions in response to thermal heat loss
2. Coolingthe removal of thermal energy to maintain space or process conditions
in response to thermal heat gain
3. Humidifyingthe addition of water vapor to maintain space or process
moisture content
4. Dehumidifyingthe removal of water vapor to maintain space or process
moisture content
5. Cleaningthe process of removing particulate and bio-contaminants from the
conditioned space.
6. Ventilatingthe process of providing suitable quantities of fresh outside air for
maintaining air quality and building pressurization.
7. Effectivenessthe process of achieving the desired thermal energy transfer,
humidity control, filtration, and delivery of ventilation air to the breathing zone
of the occupied space in accordance with required needs.
It is important for the MER to be involved early in the project, even as early as the
programming stage, so that mechanical system space issues and facility energy budgets
can be evaluated and integrated into the design process before building construction
elements, configurations, and orientations are finalized (see also WBDG HighPerformance HVAC). A few critical issues that need to be considered early are:
Financial Focus: Will the project be a code minimum type facility or will total
ownership cost perspectives be considered that balance capital first costs
against long-term ownership and operating costs?
Owner Sophistication: The MER needs to understand the abilities of the owner
and keep these in mind as mechanical system architecture issues are
considered. The best of design solutions aren't much good if operators do not
understand how to correctly operate or control the equipment.
Operations and Maintenance: No matter what level of system complexity is
applied, it is imperative that suitable space be made available for equipment
without compromising performance or maintenance access. A good MER will
understand the requirements published in equipment installation manuals and

focus on providing prescribed minimum service and operating considerations in

the planning of a facility layout.
Before any equipment selections can be finalized, the MER will need to perform a
thermal load calculation for the developing facility based on internal and external
influencing factors. In many cases, this activity will be expanded to include analysis of
comprehensive energy models. These models will foster dynamic integration
opportunities whereby the design team and owner can evaluate the impacts of tradeoffs between facility construction elements, mechanical system alternatives, and
available operating efficiencies. Load calculations can be utilized for any or all of the
following design activities:
A. Defining the basic load dynamics
B. Evaluating solution alternatives via life-cycle analysis
C. Optimizing system performance
D. Selecting final HVAC equipment
E. Establishing energy budgets for owners
F. Verification of proposed equipment performance
G. Commissioning Design Intent for seasonal comparison
The MER will be responsible for securing/developing the following fundamental
information from the Owner and design team members:
Basic Load Calculations:
Establish summer/winter design weather conditions paying particularly
close attention to regional weather issues and impact on
humidification/dehumidification considerations.
All elements of the building envelope must be identified so that thermal
energy loss/gain can be determined. Reference should be made to
ASHRAE Standard 90.1 for regionally documented envelope
construction minimum thermal quality considerations.
Orientation of walls and roofs need to be defined so that sun
angle impacts can be evaluated.
The composite construction of all walls, roofs, and floors needs
to be defined so that thermal transfer calculations can be
performed. This information will also be useful when a dew
point analysis is performed on the envelope.
Thermal mass and color of walls and roofs need to be defined
so that thermal time lags and radiation absorption can be
evaluated.
Fenestration U-values and solar heat gain coefficients need to
be defined.
External/internal shading provisions need to be defined that
may impact fenestration heat gain.
Lighting:
Lighting densities and ballast loss factors need to be mapped
per individual space. Maximum densities are identified for
individual space types in ASHRAE Standard 90.1.
Opportunities to capture natural light (Daylighting) and apply
occupancy sensing techniques to reduce light heat gain need
to be explored.
Basic internal sensible heat gain allowances for receptacle loads need
to be established.
Miscellaneous sensible and latent heat gain values need to be identified
for special circumstances.
People contributions:

The total number of people and the occupancy usage profiles

need to be established.
The activity levels of people need to be identified.
Ventilation:
For a given space, the area factor and people factor ventilation
rate components need to be calculated per ASHRAE Standard
62.1.
Depending on HVAC system architecture employed, critical
space calculations may need to be performed to adjust
ventilation quantities to ensure adequate outside air is being
provided to occupied spaces during all system fluctuations.
Calculate all building exhaust requirements and compare to
minimum required outside air ventilation rates. The overall
impact of building pressurization dynamics must be evaluated
for the facility, for seasonal conditions, and for regional
locations. The MER must fully understand how moisture and
thermal gradients work with the building envelope
construction and what influence infiltration/exfiltration has on
condensation potential.
Basic system zoning:
Identify spaces and zones.
Establish summer/winter design temperature set-point
conditions and dead-band ranges per thermal comfort
recommendations of ASHRAE Standard 55.
Energy Modeling:
Establish realistic average weather profiles for project location.
Define realistic 24-hour usage profiles for the entire calendar year
taking into account workdays, weekends, holidays, etc.
Obtain current rate structures from utilities.
Define accurate equipment power consumption paying particular
attention to part load efficiencies.
Life-Cycle Analysis:
Define capital cost impacts of equipment and system alternatives.
Determine client applicable time value of money evaluation
parameters.
Determine accurate maintenance costs for equipment and system
alternatives.

Once the facility thermal issues are identified, the MER will be faced with application
decisions to find appropriate, constructible, controllable, affordable, and maintainable
HVAC&R solutions. These solutions must be integrated and coordinated with parallel
design and planning activities of fellow design team members. While not totally
encompassing, the following discipline considerations need fundamental attention:
Architectural Interaction:
Impacts By

Equipment room locations,

accessibility, and size
Location and appearance of air

Impacts To

Location of equipment

distribution devices

Floor to floor height, depth of

structure, ceiling height, and available
utility space in ceiling cavity
Component aggregation and
location of building envelope elements
Location of Life Safety features
such as fire and smoke rated
construction and the impacts on HVAC
constructability
Location and construction of noise
sensitive areas

Orientation of the building

Selection of interior finishes and

VOC impacts.
Structural Engineering Interaction:
Impacts By

Type of construction: steel,

concrete, wood, etc.
Foundation design
Fireproofing techniques

Impacts To

Location, weights, and

support/attachment of equipment

Seismic criteria
Civil Engineering Interaction:
Impacts By

Location of site utilities

Impacts To

Size and location of utility

connections

Siting and landscaping impacts on

thermal loads and noise trespass

Electrical Engineering Interaction:

Impacts By

Impacts To

Size of available power service

Layout of design

Gen-set ventilation, heat removal,

and fuel support requirements

Location of electrical
infrastructure: switchboards, panels,
feeders, etc.

Equipment power requirements

Coordination of power hook-up and
disconnecting means
Coordination of Fire Alarm shutdown and smoke detectors
Location of duct, pipe, and air
distribution

Plumbing Engineering Interaction:

Impacts By

Type and capacity of heat

generation plant for hot water heating

Impacts To

Location of plumbing
infrastructure: equipment, piping, etc.

Make-up water requirements and

backflow protection
Condensate drainage disposal
requirements
Location of duct, pipe, and air
distribution

Fire Protection Engineering Interaction:

Impacts By

Fire pump ventilation, heat

removal, and fuel support requirements

Location of sprinkler and standpipe

infrastructure: equipment, piping,
heads, etc.

Impacts To
Location of duct, pipe, and air
distribution

EMERGING ISSUES

HVAC systems have increased in complexity over the years. While the fundamentals
track to the basics developed by the pioneers in the early 20th century, the MER has
many more collateral design issues and liability concerns to consider today.
A. Energy
The energy crisis of the 1970s initiated a new focus on energy efficiency and shift to
part-load design dynamics. Energy wasteful solutions have become obsolete. Designing
systems with a peak load only perspective has become obsolete. Managing peak loads
to reduce peak energy demand has become essential. The MER must understand the
impacts of equipment part-load performance and overall, integrated system
performance.
Energy codes and standards have aggressively forced equipment manufacturers to
improve the efficiency of equipment and integrated systems. Renewable energy
solutions have become, for some applications, economically feasible considerations.
Owners have become total ownership cost savvy and understand the bottom line impact
of energy budgets and energy consumption profiles. Dependence on fossil fuel based
energy solutions is becoming a concern. The MER must recognize the impact of the
energy issue and respond to energy efficient and renewable solutions.
B. Energy Modeling

Energy modeling is the process of using scientific methods and analytical tools to
estimate the energy consumption patterns of a given facility, constructed of given
materials, located in a given climate zone and operated according to given schedules.
These tools and methods range from simple hand calculations and spreadsheets to the
most sophisticated software packages designed to consider numerous building
configurations, denote multiple zones, model multiple systems with many varied hours
of operation, and integrate with/to Building Information Models.
Energy modeling should be utilized to help integrate and optimize a building's energy
consuming systems' performance over the expected life cycle of the facility. Those
systems include, but are not necessarily limited to, the building envelope, HVAC&R
systems, area lighting, water heating, pumping, elevators and personnel transportation
devices, process and plug type power loads. Plug type loads include items such as task
lights, computers, space heaters, appliances, TVs, etc.
Energy modeling may also be required if it becomes necessary to value engineer a
project after the design phase is complete. Simple substitutions of less costly materials,
products, equipment, or systems at this stage of a highly integrated building design
may have serious and profound negative effects on the building's future energy and
environmental performance if not properly analyzed prior to acceptance.
During the programming and/or schematic design phases the HVAC&R engineer should
be prepared to assist the architectural design professional and Owner in optimizing a
building's envelope and orientation design long before HVAC&R system selections and
equipment alternatives are considered. Simple shoe box type models considering the
buildings basic mass and scale may be quickly setup at this phase of design and zones
with similar thermal characteristics may be assigned within the building. Consideration
should be given to the building envelope materials (exterior wall cladding, wall
insulation, roof materials and insulation, fenestration materials), orientation, cost of
materials, and local climate. During this phase, a baseline model should be created with
which to compare any alternative or proposed designs. The baseline model may be a
code required minimum building, a building similar to one that the Owner is moving out
of, or a building similar to one that the Owner typically constructs.
Moisture Control
Moisture control has become a significant liability issue for the MER. A very negative
trend has been developing in the industry recently whereby buildings are making
occupants sick due to growth of mold. There is no one reason to explain why such a
proliferation of mold contamination cases has blossomed, but there are some
fundamental factors that the MER must keep in perspective while designing a facility,
such as:
All water generation sources inside the facility need to be understood and
minimized.
Construction of the building envelope must be properly applied to the climate
zone in question. The relationship of vapor retarders and air barriers needs to be
correctly understood.
All possible relative building air pressure relationships (internal and external)
need to be understood to avoid bringing undesirable, untreated moisture into
the facility.
D. Ventilation and Dedicated Outside Air Systems (DOAS)

Application of ASHRAE Standard 62.1 may create some difficult design challenges for
the MER. The correct outside air ventilation requirements for a given space/zone/facility
layout may very easily exceed the summation of the simple people and area factor
prescribed ventilation rates when ventilation effectiveness is taken into account. When
multiple spaces are included into the same zone, calculations must be performed to
identify the correct ventilation rate that ensures adequate distribution to all spaces and
zones for all operating conditions. Depending on the zoning configuration, the multiple
space calculation corrections can increase the minimum required outside air quantity.
The utilization of excessive outside air will have a significant impact on cooling/heating
loads and the sizing/selection of equipment and plant solutions. Additionally, depending
on the climate zone in question, an undesirable high quantity of moisture could be
coming into the building. As latent cooling requirements increase, sensible heat ratios
start to decrease. As sensible heat ratios drop, the proper application of equipment to
maintain space temperature and humidity becomes problematic.
The increased outside air quantities also impact the minimum setting on variable
volume terminal units. It is conceivable that the terminal unit minimums could be so
high that the need for constant reheat may be required and the benefit of having the all
air VAV system becomes an energy liability.
DOAS systems provide a creative solution that addresses multiple issues. For example:
The DOAS approach allows the outside air latent load to be decoupled from the
space sensible load. The outside air path can be conditioned based on dew point
control to deliver neutral or cold air to a parallel space sensible cooling system.
Space temperature can then independently be controlled by the sensible cooling
system.
The DOAS air path is 100% outside air, not mixed, and can be delivered at the
prescribed quantity directly to the space based on the people and area factor
ventilation rates. Multiple space calculations do not need to be considered.
Since no mixing is involved, ventilation rate delivery to the space/zone can
actually be verified and continuously monitored.
The new requirement in ASHRAE Standard 62.1 that requires occupied spaces
be held below 65% relative humidity now becomes achievable at part-load
cooling conditions.
The problems encountered with scroll compressor DX VAV units cycling off when
leaving air temperature is satisfied and raw outside air is pulled across a deactive coil, are minimized. Additionally, the phenomena of moisture on the coil
and in the drain pan being re-evaporated back into the unconditioned air path
can be eliminated.
Building Information Modeling (BIM)
BIM is the concept of using truly intelligent 3D modeling software to create optimized,
efficient, and environmentally friendly building designs. The concept has been around
since the advent of the first computer-aided drafting (CAD) system. However, the
industry is still a decade or more away from having commercially available software that
integrates the needs of every design and construction discipline as well as the
ownership, operation, and maintenance needs of the building owner throughout the
useful life of a facility.
For example, a complete BIM solution would allow the Architect to create an intelligent
3D model of a building, its site and location. That model would include the aesthetic,

physical, and thermal properties of each component as well as specification and cost
data. Then the Civil Engineer would use a software interface to allow the design of the
site and analysis of all utilities and drainage systems involved. Similarly, the Structural
Engineer's software would allow him to use the characteristics from the Architect's
model to size structural members and properly reinforce the structure based on each
component's physical characteristics and the project's geographic location. The MER
would interface with the Architect's model to seamlessly generate Energy Models and
Life-Cycle Cost Analysis of the building's envelope and energy consuming systems, and
so on for all other disciplines involved. Finally, after all design is complete, the original
modeling software would compile the data from each discipline and generate a BIM and
a set of digital Construction Documents for use to construct the facility.
Use of the BIM would continue into the bidding phase by interface with a contractor's
cost estimating, scheduling, and project management software and manufacturers'
material, fabrication, and cost databases to generate optimized cost estimates and
construction schedules. During construction, the model would be continually updated to
as-built conditions including integration of manufacturers' complete operations and
maintenance data and instructions. At completion of construction the Building
Information Model would be turned over to the Owner for interface with facility
management software to optimize the operation and maintenance of the facility for the
duration of its life.
F. Commissioning
See Building Commissioning.
G. Performance-Based Building Codes
See Fire Protection Engineering in the Design Disciplines section for a discussion of
Performance-Based Building Codes.
H. Acoustics
The fundamentals of equipment sound power levels, transmission paths, and resulting
sound pressure readings go beyond the application and understanding of basic
thermodynamics. The MER should have sufficient understanding of acoustics to be able
to benchmark the sound quality of the equipment applied as the design solution and
attenuate sound paths accordingly to the acoustical criteria for the occupied spaces.
While acoustical design techniques really haven't changed, the issuance of ANSI 12.602002 has changed the integrated design dynamic. A standard of care document is now
in print that details sound quality features for school environments. Successful
compliance with this new standard will require a concentrated coordination effort
between mechanical and general construction interest. All sound transmission paths
(discharge, radiated, breakout, etc.) must be analyzed to show anticipated space sound
pressure based on equipment selection sound power source energy. Equipment
locations, equipment operating points, transmission path construction, end room
reflectance, and resulting sound pressure are all variables that the MER needs to
understand and manipulate.
I. High Density Data Servers

Facilities are becoming "smarter" and fully networked. This high-tech trend has created
a new challenge for the MER. Communication and data storage servers are adding
significant sensible cooling loads to the indoor environment. As server technology
improves to provide better speed and capacity, the sensible heat rejection load
component keeps rising. Recent studies show the heat rejection densities for server
equipment doubling, maybe even tripling, in just the next five year window. Rarely has
the MER been faced with a commercial design challenge wherein the HVAC
infrastructure may be obsolete so quickly. High density loads, hot/cold aisles, and
phased capacity methodology are new issues that the MER will have to address. See
Information Technologies Engineering.
Indoor Air Quality (IAQ)
IAQ is a broad issue that requires a total team stewardship; it is not just an HVAC&R
issue. Addressing IAQ issues requires a holistic, integrated response from the owner,
the entire design team, and the operation/maintenance team. Occupant discomfort and
building related illness are frequent complaints that owners must respond to. Discomfort
factors can include: temperature, humidity, drafts, indoor pollutants, biological agents,
and non-biological particles and fibers. Building related illnesses can include
hypersensitivity, pneumonitis, and Legionnaire's disease. Common health complaints
can include eye/nose/throat irritation, headaches, fatigue and lethargy, upper
respiratory symptoms, and skin irritation and rashes. See Indoor Air Quality and Mold
Prevention of the Building Envelope.
The MER should be cognizant of the following issues:
Volatile Organic Compounds (VOC) pose a source challenge based on the variety
of source opportunities and possible chemical introductions to the building.
Sources can include: construction materials, furnishings, cleaning products,
copiers/printers, environmental tobacco smoke, people, personal hygiene
products, air fresheners, and outdoor air. Consideration should be given to
elimination, substitution, or containment of VOC generation sources.
Effective temperature and humidity control are achievable with the application of
appropriate systems, effective air distribution, and proper control sequences.
Humidity levels can negatively impact mucous membranes (too low) and upper
respiratory tracts (too high). The MER should also consider that high humidity
levels support the growth of mold and bacteria. An interesting new provision in
ASHRAE Standard 62.1 is the addition of a maximum humidity level of 65% for
occupied spaces.
The design of air systems must factor in the possible spread of airborne
infectious agents, such as viruses and bacteria, generated by the occupants
inside the building. As part of an appropriate risk management analysis,
infrastructure solutions such as extent of filtration, UV light treatment,
ventilation effectiveness, air changes, and building pressure control need to be
investigated.
The building or systems within it may be sources of infectious agents such as
fungus or bacteria. These sources can contribute to significant invasive diseases
such as aspergillosis, legionellosis, and histoplasmososis. Minimizing the
introduction of moisture into the building or ventilation system is critical to the
mitigation of these deadly diseases.
The growth and support of non-infectious biological agents (fungus, bacteria,
dander, and allergens) needs to be minimized. Locations of outside air ducts
need to be optimized with site dynamics. Sources of moisture generation and
intrusion need to be eliminated. Maintaining filtration and proper operation of
equipment become critical factors.

Non-biological particles must be considered. Sources include the quality of the

outside air available, tobacco smoke generation, combustion products, process
related dust/fume generation, and material generated particles. Construction
activities can be a significant source of fine and large particles. Early occupancy
of new construction can present a liability to the owner. Protection of buildings
under renovation becomes a critical exercise.
Inorganic gases such as carbon monoxide, nitrogen oxides, ozone, and radon
can all have significant impact on occupants. These gases can be generated
internally from smoking or combustion processes, operation of copiers and
printers, operation of air cleaners, and poorly vented combustion equipment.
Gases can also be introduced from the exterior via poor outdoor ventilation air,
or in the case of radon, drawn up through the soil beneath and around the
building.
Individual susceptibility, the "human factor", can vary from person to person.
Factors such as allergic sensitivity, prior exposure, stress, and gender all play a
role in how individuals react to and are impacted by IAQ issues.

(Source: Indoor Air Quality - Position Document, ASHRAE, 2005)

M. Sustainable/Green Building Design

Leadership in Energy and Environmental Design (LEED) is no longer a design and
construction industry buzzword, catch phrase, or fad. As of fall 2005, there were over
21,000 LEED Accredited Professionals, 2,100 LEED registered projects, and almost 300
LEED certified projects located in 50 states and 14 countries encompassing more than
300 million gross square feet of buildings.
LEED is a Green Building energy and environmental performance rating system
conceived by the United States Green Building Council (USGBC) in 1991 and formally
introduced to the design and construction industries in 1993. Currently there are over
5,500 members of the USGBC. Members include owners, manufacturers, universities,
design professionals, and local/state/federal agencies. The USGBC has partnered with
the AIA and ASHRAE along with other organizations to help refine current rating
systems and develop future rating systems that are truly consensus based.
The LEED System is not a code or standard. It is rather a voluntary method by which
building owners may demonstrate their commitment to energy efficient and
environmentally friendly building design, construction, operations, and maintenance
practices that are better than minimum code requirements. The Green Building
Initiative has a similar rating program called Green Globes. Additionally, many state and
local government agencies have regionally customized rating systems that outline highperformance building roadmaps.
A question often asked by clients is: What is the cost associated with designing and
building high-performance green buildings? For federal building applications see the
GSA LEED Cost Study and Applications Guide. Although the first cost of designing and
building is often more, the payback for owning and operating a high-performance
building is typically 5 years or less. Since employee salary costs are typically ten times
the cost of energy and operating costs of a building, paybacks may be much less when
the increased productivity and lower absenteeism often associated with working in a
high-performance building are considered.

The "Green Building" movement has brought the MER to the forefront within the
building design team by emphasizing skills in Building Information and Energy Modeling.
The specialized knowledge of the MER is critically important to the success of the highperformance project as IAQ, energy, acoustical quality, building security/safety, and
environmental perspectives are constantly evaluated.
Specifications
With the release of MasterFormat 2004 Edition, the A/E community, constructors,
manufacturers, and owners have an entirely new organizational structure for preparing
project manual content. The old Division 1-16 specification system has been completely
replaced by a system that has 2 main Groups, 5 Subgroups, and 50 total Divisions.
The MER is significantly impacted by this change as the familiar Division 15 - Mechanical
does not exist anymore. The same can be said for the old Division 16 - Electrical.
Plumbing, mechanical, and electrical systems for facilities have been organized into a
new Group titled Specifications and a new Subgroup titled Facility Services. An excerpt
from MasterFormat 2004 Edition showing the facility oriented content is organized as
follows:
Facility Services Subgroup:

Division
Division
Division
Division
Division
Division
Division
Division
Division

Division 29 - (Future)

20
21
22
23
24
25
26
27
28

(Future)
Fire Protection
Plumbing
Heating, Ventilating, and Air-Conditioning (HVAC)
(Future)
Integrated Automation
Electrical
Communications
Electronic Safety and Security

(Source: MasterFormat 2004 Edition, CSI, 2004)

O. Building Health and SafetyExtraordinary Incidents

Building Health and SafetyExtraordinary Incidents
The concept of "extraordinary incidents" creates a paradigm shift in thinking for the
MER and the resulting approach to facility design. Events such as war, terrorism,
accident, or natural disaster need to be considered while planning for the occupant
safety and protection of basic air, water, and food sources in the built environment.
The owner and design team now must consider and evaluate levels of risk, vulnerability,
and acceptable vulnerability. Risk and vulnerability vary depending on the type of
facility, function, accessibility, and location. Risk management techniques, which have
not been a traditional part of HVAC&R design logic, must now be employed to determine

potential compromise issues and to identify measured design solution responses.

Theses issues are discussed in the document Risk Management Guidance for Health,
Safety, and Environmental Security under Extraordinary Incidents, published by
ASHRAE in 2003.
Extraordinary incident design response will have significant impact on building system
design, construction, and operation. Consider the following points:
Interdependence of building systems must be understood so that the
relationships of impacts can be planned for once any one system fails.
The extent and cost of redundant and backup systems needs to be determined.
The health and comfort of occupants should not be compromised at the expense
of addressing vulnerability.
Application of high efficiency particulate filtration (MERV 14 or greater), gas and
vapor removal technology, and UV light treatment can provide significant levels
of protection. Risk assessment and economic analysis will determine the extent
to how extensive this response can be implemented.
Outdoor air intakes need to be strategically located to minimize potential intake
of airborne biological contaminants.
Building envelopes need to be designed with appropriate air/moisture barriers
and positive building pressure control provisions to minimize infiltration of
airborne biological contaminants.
HVAC control sequences of operation need to be defined for normal and
extraordinary events. Infrastructure must be in place to provide transitions
between operating modes.
Commissioning becomes a critical event now. The proper operation of equipment
during an extraordinary event must be verified and understood.

RELEVANT CODES AND STANDARDS

Air-Conditioning and Refrigeration Institute (ARI):
ARI Standard 260-2001: Sound Rating of Ducted Air Moving and Conditioning Equipment
ARI Standard 300-2000: Sound Rating and Sound Transmission Loss of Packaged Terminal
Equipment
ARI Standard 350-2000: Sound Rating and Non-Ducted Indoor Air-Conditioning Equipment
ARI Standard 410-2001: Forced-Circulation and Air-Cooling and Air-Heating Coils
ARI Standard 430-1999: Central Station Air Handling Units
ARI Standard 550-2003: Standard or Water Chilling Packages Using the Vapor Compression
Cycle
ARI Standard 880-1998: Air Terminals
ARI Standard 885-1998: Procedure for Estimating Occupied Space Sound Levels in the
Application of Air Terminals and Air Outlets
ARI Standard 890-2001: Rating of Air Diffusers and Air Diffuser Assemblies
Air Movement and Control Association (AMCA):
AMCA Standard 99-0021-01: The Fan Laws
AMCA Standard 210-99: Laboratory Methods of Testing Fans for Aerodynamic Performance
Rating
AMCA Standard 300-05: Reverberant Room Method for Sound Testing of Fans
AMCA Standard 301-05: Methods for Calculating Fan Sound Ratings from Laboratory Test
Data
AMCA Standard 330-97: Laboratory Methods of Testing to Determine the Sound Power in a
Duct
AMCA Standard 500-D-98: Laboratory Methods of Testing Dampers for Rating
AMCA Standard 500-L-99: Laboratory Methods of Testing Louvers for Rating

American National Standards Institute (ANSI):

ANSI S12.60-2002: Acoustical Performance Criteria, Design Requirements and Guidelines
for Schools
American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc. (ASHRAE):
ASHRAE Standard 15-2004: Safety Standard for Refrigeration Systems
ASHRAE Standard 15 Users Manual
ASHRAE Standard 34-2004: Designation and Safety Classification of Refrigerants
ASHRAE Standard 52.2-1999: Method of Testing General Ventilation Air Cleaning Devices
for Removal Efficiency by Particle Size
ASHRAE Standard 55-2004: Thermal Environmental Conditions for Human Occupancy
ASHRAE Standard 62.1-2004: Ventilation for Acceptable Indoor Air Quality
ASHRAE Standard 62.1 Users Manual
ASHRAE Standard 90.1-2004: Energy Standard for Buildings Except Low-Rise Residential
Buildings
ASHRAE Standard 90.1 Users Manual
ASHRAE Standard 126-2000: Method of Testing HVAC Air Ducts
ASHRAE Standard 135-2004: BACnet - A Data Communication Protocol for Building
Automation and Control Networks
ASHRAE Standard 140-2004: Standard Method of Test for the Evaluation of Building Energy
Analysis Computer Programs
ASHRAE Standard 147-2002: Reducing the Release of Halogenated Refrigerants from
Refrigerating and Air-Conditioning Equipment and Systems
International Code Council (ICC):
International Building Code, 2003
International Energy Conservation Code, 2003
International Fuel Gas Code, 2003
International Mechanical Code, 2003
National Fire Protection Association (NFPA):
NFPA 70: National Electrical Code
NFPA 90A: Standard for the Installation of Air Conditioning and Ventilating Systems
NFPA 101: Life Safety Code
NFPA 900: Building Energy Code
NFPA 5000: Building Construction and Safety Code

This resource page examines both a description of a Building Information Model (BIM)
as well as the collaborative effort currently underway to develop a National BIM
Standard.
A BIM is a digital representation of physical and functional characteristics of a facility. As
such it serves as a shared knowledge resource for information about a facility forming a
reliable basis for decisions during its life-cycle from inception onward.
A basic premise of BIM is collaboration by different stakeholders at different phases of
the life-cycle of a facility to insert, extract, update or modify information in the BIM to
support and reflect the roles of that stakeholder. The BIM is a shared digital
representation founded on open standards for interoperability.
Some have identified BIM as only 3D modeling and visualization. While partially true,
this description is limiting. A more useful concept is that a BIM should access all
pertinent graphic and non-graphic information about a facility as an integrated resource.
A primary goal is to eliminate re-gathering or reformatting of facility information; which
is wasteful. BIM standards have many objectives but one of the most important is to
improve business functioning so that collection, use and maintenance of facility

information is a part of doing business by the authoritative source and not a separate
activity.

DESCRIPTION

This description contains two sections. The first section describes desirable BIM
characteristics and the second section describes the effort underway to develop a
standard for information sharing that will help weave all stakeholders into a common
fabric.
Section 1 - Building Information Model Ideals
The acronym "BIM," is historically linked in the minds of many to 3-dimensional and
now 4 (time) and 5 (cost) dimensional virtual modeling of buildings. BIM, however, has
the capability and even the responsibility to be much more.
"Building" in this usage is a noun referring to the structure more than the process and
accordingly, current BIM examples tend to be virtual models of individual or small
clusters of buildings executed in proprietary software for the purpose of supporting the
design, detailing and construction phases of the lifecycle. Used within this scope, BIM
speaks primarily to architects, architectural engineers, specifiers, estimators, scientists
interested in performance modeling, constructors and construction vendors, computer
application vendors interested in this business space, and owners as they participate in
the new-building development process. The future of BIM modeling is to expand the
information model to include more of the lifecycle phases (ie: real property commerce,
maintenance and operations, environmental simulation, etc.), to standardize lifecycle
process definitions and associated exchanges of information, and to standardize
information content so that meanings and granularity are clear and consistent. This
expanded scope definition will make BIM useful to a wider community including, for
example, real property managers, appraisers, brokers, mortgage bankers, facility
assessors, facility managers, maintenance and operations engineers, safety and security
personnel as incident responders, landscape architects, infrastructure engineers and
operators, and others outside the business verticals associated with new building design
and construction.
Although BIM applications and practices in current use are vastly superior to manual
and 2D-only CAD methodologies, current usage of BIM technologies and techniques
must be improved further. Currently, processes and content are locally negotiated on a
project-by-project basis and data sets (i.e.: models) are not necessarily capable of
being used for different purposes through unassisted machine-to-machine and
application-to-application exchanges. To realize needed end-to-end efficiencies in the
capital facilities industry these are the characteristics that are needed in BIM methods.
Ironically, many BIM applications are already capable of supporting standardized
interoperable processes and content if they existed. But in the absence of standards and
associated best practice definitions, this support is only utilized on an ad-hoc, projectby-project basis and often is re-negotiated and/or recreated for each services contract
and/or project.
It is true that associating BIM with the development and use of 3D virtual building
modeling techniques and technologies can yield very productive results. However, when

used in this context, BIM tends to be focused on data and technology standards during
design and construction and may not fully realize the potential for information-based,
interoperable business processes related to "building" (the verb).
Section 2 - Implementing BIM - The National BIM Standard
The work of the National BIM Standard Committee (NBIMS), a committee of the
National Institute for Building Sciences (NIBS), is to knit together the broadest and
deepest constituency ever assembled for the purpose of addressing the losses and
limitations associated with errors and inefficiencies in the building supply chain.
The current NBIMS Charter signatories (a list of which can be seen at the NBIMS web
site) represent most, of the active end-user constituencies as well as many of the
professional associations, consortia, and technical and associated services vendors who
support them.
Several organizations have initiatives underway to develop data technology (i.e.,
interfaces, encodings, schema, etc., that enable different technologies to "plug and
play"), generic business process workflows and content standards. One of the most
important tasks for NBIMS is to coordinate these efforts and harmonize work between
all organizations with similar products and interests. Many professional organizations
are actively endorsing NBIMS as well as providing subject matter expertise and
important development resources. In addition, over 300 applications now support IFC's
and most BIM application vendors have indicated their support for BIM standards and
are participating on the committee both in an advisory capacity and through
participation in test bed demonstrations. A list of the active organizations are found at
the end of this resource page.
NBIM standards will merge data interoperability standards, content values and
taxonomies, and process definitions to create standards which define
"business views" of information needed to accomplish a particular set of
functions as well as the information exchange standards between
stakeholders. This is significantly different than previous initiatives which have focused
primarily on data-centric approaches. Using business views as guides, NBIMS standards
will identify information needed to support these views, appropriate content standards,
and provide a technical description that developers can use to provide supporting
computer-based applications.
To illustrate this and to give readers a sense of what to expect, here are some of the
distinguishing characteristics of and goals for the Committee:
The scope and planned products are much more practice-oriented rather than
data-centric. Both the organization of and representation on the Committee
reflect this intent.
The Charter assumes and encourages participants from, and value propositions
for, all phases of the building process lifecycle.
A primary goal is to maximize value for all process participants involved in the
building lifecycle.
A primary strategy is to maximize existing research and development through
alliances, cross-representation, active testing and prototyping, and an open and
inclusive approach to both membership and results. NBIMS will, through
memorandums of understanding, recognize and harmonize its work with other
standards-development organizations.

The Committee has significant representation from government owners, private

and government practitioners, vendors, and specialist professionals. It is actively
seeking more involvement from, for example, private owners, A/E/C
practitioners, property and facility managers, and real property professionals.
The Committee supports the view that a building process lifecycle is not a
strictly linear process but is a primarily cyclical process with feedback and cycleto-cycle knowledge accumulation. The best representation of the building
process lifecycle is therefore believed to be a business process helix with a
central knowledge core and external nodes representing process suppliers and
external consumers. Between these three elements exist information
interchange "synapses" which require exchange rules

One of the principal products of the Committee's work will be process standards describing
parties to a process and the contracted information exchange requirements between the
parties. It has been estimated that about 250 process definitions will eventually be
required to support an interoperable building supply chain. Through a spiral development
process, NBIMS plans to release developments in packages that will be immediately
useful even as each release adds additional and more mature concepts and practices. The
first packages are scheduled to be available in late 2006.

NBIMS will support the development of content standards including taxonomy

standards such as CSI OmniClass; which provides organized classification of
elements important to the building process lifecycle.
NBIMS will recognize and facilitate the harmonization of software
implementation views as they provide necessary "machine interpretable" data
sources to the building information exchange process. buildingSMART, .ifc,
ifcXML, BLIS, AEX, CSI/2 and others are examples of software implementation
views.
Vendors are actively participating on the Committee because they see value in
having consistent and predictable processes to which they may apply their
technical solutions. Having to develop, market and maintain products to support
multiple, inconsistent processes, content, and interchange methods is expensive
and complicates the product development cycle.
Though not a CAD standard, NBIMS will address CAD graphic and non-graphic
information and processes as well as phases both before and after design and
construction (where CAD is most often used). However, the National CAD
Standard will continue to be important as, for the foreseeable future, building
processes will continue to need standards for 2D drawings as well.

By now, readers should understand that the work of the National BIM Standards
Committee is the next logical step in transforming the building supply chain. The
Standard assumes that a paradigm change is required, since the definition of paradigm
change is "reforming the underlying pattern or model on which actions are based".
Participants in the building supply chain, through standards development and use of
existing BIM technologies are already well on the way to changing the underlying
patterns and operating practices used during the building lifecycle. But to realize the
greatest efficiencies, BIM approaches must be based on broad aggregations of best
practices rather than narrow, project-specific, proprietary solutions. By focusing now on
the business view of contracted information exchanges and best-use of interoperable
data sources, and by expanding the conceptual scope of BIM to include all phases of the
building lifecycle, we can realize promised new levels of quality and efficiency.

APPLICATION

The application of BIM is pertinent to at least all the following participants in the
facilities industry:
OwnersHigh level summary information about their facilities
PlannersExisting information about physical site(s) and corporate program
needs
RealtorsInformation about a site or facility to support purchase or sale
AppraisersInformation about the facility to support valuation
Mortgage BankersInformation about demographics, corporations, and
viability
DesignersPlanning and site information
EngineersElectronic model from which to import into design and analysis
software
Cost & Quantity EstimatorsElectronic model to obtain accurate quantities
SpecifiersIntelligent objects from which to specify and link to later phases
Contracts & LawyersMore accurate legal descriptions as well as more
accurate to defend or on which to base litigation
Construction ContractorsIntelligent objects for bidding and ordering and a
place to store gained information
Sub-ContractorsClearer communication and same support for contractors
FabricatorsCan use intelligent model for numerical controls for fabrication
Code OfficialsCode checking software can process model faster & more
accurately
Facility ManagersProvides product, warranty and maintenance information
Maintenance & SustainmentEasily identify products for repair parts or
replacement
Renovation & RestorationMinimizes unforeseen conditions and the resulting
cost
Disposal & RecyclingBetter knowledge of what is recycleable
Scoping, Testing, SimulationElectronically build facility and eliminate
conflicts
Safety & Occupational HealthKnowledge of what materials are in use and
MSDS
Environmental & NEPAImproved information for environmental impact
analysis
Plant Operations3D visualization of processes
Energy, LEEDOptimized energy analysis more easily accomplished allows for
more review of alternatives - impact of re-siteing by 5 degrees for example
Space & SecurityIntelligent objects in 3D provide better understanding of
vulnerabilities
Network Managers3D physical network plan is invaluable for troubleshooting
CIO'sBasis for better business decisions and information about existing
infrastructure
Risk ManagementBetter understanding of potential risks and how to avoid
on minimize
Occupant SupportVisualization of facility for finding places - people can't
read floor plans
First RespondersMinimize loss of life and property with timely and accurate
information

Each of the above requires information as well as creates information for others. The
optimized BIM would only contain the information needed by others, however since this
is currently an expanding concept it is likely better to err on the side of collecting too
much information.

EMERGING ISSUES

This entire effort is an emerging issue and is the primary subject of nearly every forum
and conference in the facility industry today. It stands to go down as one of the most
notable disruptive business concepts in the industry since its inception, if implemented
in its entirety. The development of the National BIM Standard will take years to
complete and will evolve in a series of more detailed versions over time. The initial
version will only touch on the overall scope of the issue and the associations and
practitioners will collaborate to develop common languages and business processes to
enhance each others activities over many years to come.

RELEVANT CODES AND STANDARDS

This section will be completed later as the National BIM Standard is currently under
development and to get into detail prior to the consensus process would be
inappropriate. Save it to say that at the current time the following items, listed
alphabetically, are under consideration for inclusion in the National BIM Standard:

BIM Overall Scope, Coverage of Version 1.0

Business Processes & Business Rules
CADNational CAD Standard v 4.0
CAD-GIS-BIM Open StandardOWS-4
Coast Guard Information Model Guidelines
Construction Operations Building Information Exchange (COBIE) Project
Code checking project
Construction Scheduling SDEF mapping to IFC
Contract Language for BIMs
Data Models and Data Structures
Ductwork fabrication ductXML mapping to IFC
Structural Steel CIS/2 mapping to IFC
Exchange Data Worksheet
FIATECH Roadmap
GSA BIM Guidelines
Information Delivery Manual (IDM) Documentation
BIM Capability Maturity Model
NIST Project Handover Guide
CSI OmniClass Tables
OSCRE Taxonomies
International Reference Standards
International Alliance for Interoperability, IFC's (ISO PAS 16739)
STEP (ISO 10303)

Integration of life-cycle data for process plants including oil and gas
production facilities (ISO 15926)
Framework for Information (ISO 12006)
Related Resource Pages

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INTRODUCTION

Architecture and Urban Planning are related endeavors that focus on different
geographic scales. Architecture works at the scale of the individual building and
immediate site, while planning works at the scale of neighborhoods, municipalities, and
regions. In addition, planning has developed many specializations that focus on different
aspects of the larger built environment, such as affordable housing, transportation,
economic development, protection of natural resources, land use planning, and
community development.
Planning emerged from a need to overcome the disease, squalor, and poverty that were
urban side effects of the industrial revolution. Planners therefore are concerned with a
wide range of social, political, and economic factors beyond those that are the
immediate concerns of building owners.
An important function of planning is to engage citizens in the process of developing a
vision for how they want their community and its surrounding region to evolve over
time, what attributes are important to protect, and where new development should be
encouraged. The success of this process depends on listening, discovering shared
values, and recognizing how the parts of a neighborhood, a city, or a region relate to
one another and contribute to its overall vitality. Planners then work with a variety of
partners in the public, private, and nonprofit sectors to craft policies, land use
regulations, and incentives to help the community achieve its goals.
The Planner's Role in Whole Building Design
The architect, if designing from a whole building design perspective, will be looking
simultaneously at inside functional aspects, and how they might relate to the site
conditions such as sun/wind/view orientation. Architects, engineers, landscape
architects, and other design professionals will work in conjunction with the planner to
ensure that environmental, social, and economic issues directly affected by construction
or redevelopment are looked at. These include the building's effect on the natural
environment (increased impervious surface, runoff, elevated water tables, preservation
of wetlands and natural species, etc.), on the economy (increased tax base, more jobs,
costs of schools generated by houses, etc.), community infrastructure (cost and timing
of road and utility systems, different modes of transportation, etc.) and, in general, on
all factors that affect the quality of life or residents of the larger area within which the
individual building is situated.
Different constituencies within any given community often have differing opinions about
community goals. Hence, an important role of planners is to help manage the process
by which decisions can be made that best balance these differences. Planners are
trained in the use of a variety of engagement and consensus-building techniques,
ranging from interactive websites and electronic town meetings to more traditional
public meetings.

Increasingly, planners and other design professionals are using more collegial and
collaborative techniques to help community groups reach consensus on development
issues. One such technique is the "community charrette." A charrette is essentially a
design workshop where designers, residents, developers, city officials, planners, and
other interested parties come together to envision and plan an area as small as a
building site or as large as a neighborhood. It is a short-term, intense design tool to
flesh out a community's vision for the future.
In all regions of the United States and in all sizes and types of communities, when
citizens come together to discuss their hopes for their community, they often express a
desire that it be a place that is economically viable, environmentally sustainable, and
socially equitable. As they explore ways to achieve these goals and identify
impediments to that progress, concerned citizens often come face to face with the
regional dynamics that promote sprawl, use up irreplaceable farmland and open space,
and undermine long-standing community investments.
Planners can assist elected officials, civic leaders, and a variety of other stakeholders,
understand these dynamics and examine the costs and benefits of different
development and conservation options. At the same time, they can elucidate how
adhering to the principles of the Smart Growth and New Urbanism movements and
employing many of the techniques they espouse, can help communities achieve their
economic, environmental, and equity goals. In this way "whole building design" can
become part of a holistic approach to neighborhood, community, and regional design.
Sprawl and the Built Environment
Throughout America, urban sprawl has been a major contributor to the degradation of
the environment, increased commuting times, destruction of viable farmland, and loss
of community fabric and social cohesion. An average of 45.6 acres of U.S. farmland is
developed every hour, much of it for housing. In 1950, the average size of a newly built
home in the United States was 983 square feet. In 2000 that number increased to
2,265 square feet. The result of our building habits is that metropolitan land
consumption is vastly outpacing population growth. For example, between 1970 and
1990, metropolitan Chicago's population increased by 4% while the land consumed for
housing increased by 46%.
We can choose the way we grow. There are great social, economic, and environmental
benefits to compact and sustainable design as an alternative to current sprawling
development patterns. Often when cities try to stop sprawl, they encounter regulations
adopted in the past that have been adverse to smart growth. Regulations such as
minimum lot sizes, setbacks, and building footprints have had serious social
consequences in communities.
Unfortunately compactness and increased density are still seen in many suburban areas
as code words for mixing unequal economic or racial populations. Maintaining low
density is still used as a device to keep up land development costs, increase values, and
keep the "them" people out of an area. Smart growth is used as a tool for dismantling
exclusionary regulatory barriers that prevent compact and sustainable growth from
occurring and increasing environmental quality, economic development, and social
equity.
Smart Growth

What is Smart Growth?

In contrast to conventional sprawling development practice, Smart Growth takes a
regional approach to development and focuses a larger portion of growth in areas where
development has already occurred. Smart Growth America defines smart growth as the
outcome of six core values shared by the majority of Americans. Smart Growth
communities promote:
Neighborhood Livability - Communities should be safe, affordable, attractive,
and convenient. Smart planning can achieve all of these neighborhood goals,
while sprawling communities can only achieve some.
Better Access and Less Traffic - This goal provides options for people and equal
access for those without cars.
Thriving Cities, Suburbs, and Towns - Reusing and reinvesting in the
communities that exist today is critical. Preservation and redevelopment of
buildings can help improve existing neighborhoods.
Shared Benefits - Enable all sectors of society to benefit from economic
prosperity.
Lower Costs, Lower Taxes - Building infrastructure for sprawl costs taxpayer
money. Reinvesting in areas with existing infrastructure saves taxpayers money.
Keeping Open Space Open - Open space and natural features are community
assets that are preserved through good planning and design. Developers can
preserve these features through optimizing site developments.
The American Planning Association's Policy Guide on Smart Growth endorses these
principles and guides its members to utilize smart growth principles in the planning
process. APA also has a number of publications geared towards helping communities
that want to revise state statutes and local ordinances to promote smart growth
principles.
APA is a member of the Smart Growth Network, a coalition of government agencies and
nonprofit organizations dedicated to advancing smart growth. Other agencies and
organizations participating in the network include the State of Maryland, the U.S.
Environmental Protection Agency, the National Association of Realtors, and the Local
Initiatives Support Corporation.
Reinvestment in Our Cities
A key strategy for smart growth is reinvestment in our cities. Cities offer many
opportunities and amenities that don't necessarily exist in outlying areas. These include:
Existing infrastructure
Historic Character
Access to public transportation, parks, schools, retail, and jobs
Pedestrian friendly streets
Also, many urban areas have reinvestment opportunities in vacant parcels and existing
buildings, and some municipalities offer tax credits for brownfield redevelopment.
New Urbanism
The "New Urbanism" movement complements smart growth in many respects. New
Urbanist communities feature compact neighborhoods that offer residents

transportation options, open space amenities, and retail and live/work opportunities.
New Urbanism can be new development or it can be integrated into an existing urban
context.
The Charter for New Urbanism highlights 27 principles necessary for achieving the
objective of a new urbanist community. New Urbanist communities encourage:
1. Mixed land uses, building types, and densities to promote diversity. Buildings
should respect local and regional character to promote a sense of place.
2. Infill and rehabilitation opportunities
3. Community design standards in order to allow a neighborhood to maintain its
local character to combat the "placelessness" associated with sprawl
4. Neighborhoods that promote walking and public transit
5. Neighborhood density coupled with regional preservation of farmland and
natural features
The health and character of a neighborhood are shaped by its diversity, walkability, and
access to public transportation. Effective building design can support these objectives. A
neighborhood with a wide range of housing optionswith regard to cost, size, and style
can be inhabited by various demographic groups. For example, accessory housing and
granny flats open a neighborhood to the elderly and others living on a small, fixed
income. Walkability and access to a variety of modes of transportation makes a
neighborhood accessible for more people, including people with disabilities and those
who can not afford, or choose not to own a car.
Complementary Approaches
In striving to create healthier communities, planners and designers draw upon a variety
of techniques including the following:
Historic PreservationCities may designate certain sections as "historic districts" and
require adherence to special design guidelines so that the historic character of existing
or renovated buildings is respected and new construction is compatible. Historic
preservation functions such as designation, design review, and technical assistance may
be housed in a separate public agency, but are often part of the planning department.
Historic preservation enhances the aesthetic character of a neighborhood and can
generate economic development in areas where tourism is a driving force in the local
economy. This is particularly true in older commercial downtown areas that are unable
to compete head-to-head with suburban, commercial strip development. The older
districts have to transform themselves and attract a tourist or day-trip oriented
customer with antique shops, restaurants, art shops, museums, entertainment, or other
unique activities. (See also WBDG Historic Preservation.)
Transit Oriented Development (TOD)TODs and other forms of development
(transit corridors, station area zones, and transit districts) are high density, mixed-use
and walkable areas built around transit nodes. TOD zones promote the use of many
means of transportation. Special development zones are often created within a quarter
mile radius of the transit stop, considered a comfortable walking distance for
pedestrians.
The Federal Transit Authority has created the Transportation Planning Capacity Building
Program, which serves as a clearinghouse for technical assistance and best case
practices on effective transportation planning initiatives.

Building DesignSome jurisdictions now have urban design standards incorporated

into their zoning codes. Elements such as window size, building materials, and lighting
can be reviewed by a city to ensure that it is consistent with community character,
promotes safety and security, and integrates the public and private realm.
An example of a town that has building design review is Apex, North Carolina. The town
has done several things to ensure that Apex maintains its small town, walkable
character. They have set up a Traditional Neighborhood Design (TND) district to promote
higher density, walkable neighborhoods. Apex has required design review for all
commercial and industrial uses within town limits, as well as for all residential
development within the TND and other designated districts. Building design within Apex
must be compatible with the architecture of the town and is achieved through
techniques such as the repetition of roof lines, the use of similar proportions in building
mass and outdoor spaces, similar relationships to the street, similar window and door
patterns, and the use of building materials that have color, shades, and textures similar
to those existing in the immediate area of the proposed development.
Street Elements
The aesthetic and social quality of neighborhoods can be improved through the layout of
the streets and the streetscape elements that are provided.
Street Widths: Short blocks with narrow streets support walking, calm traffic speeds,
and promote more neighborhood cohesion. Streets should complement the uses that
are found on them. Neighborhoods with many pedestrians, bicyclists, and street
activity, for example, should have slow moving cars.
Sidewalks: Sidewalks were once an installation that was taken for granted in
neighborhood design. In some municipalities, sidewalks are not a necessity and are
often eliminated in subdivision design. The result has been complete auto-dependency.
Planners value sidewalks because they:
Provide pedestrian safety - According to The National Highway Traffic Safety
Administration, in 2001 there were 78,000 pedestrians injured and 4,882
pedestrians killed by cars in the United States.
Support a healthy lifestyle by promoting physical activity - Walkability is
increasingly important as obesity has reached epidemic proportions. Almost 59
million individuals in the United States are considered obese.
Promote social gathering - Wide sidewalks allow for benches, outdoor seating for
restaurants, and activities that bring people together.
Lighting: Good lighting provides visibility along with a greater perception of safety.
Streetlights can be at a pedestrian or auto-oriented scale. Lighting fixtures can reflect
the aesthetic character of a neighborhood, particularly in historic neighborhoods.
Street Trees: Trees act as a buffer between pedestrians and automobiles. They provide
shade in the summertime and are an aesthetically pleasing addition to any streetscape.
Parking: On-street parking slows speeds of through-traffic and provides a buffer
between pedestrians and moving vehicles. Metered spaces generate revenue for cities
while reducing the need for additional off-street parking sites.

When combined, these elements convey an image of a neighborhood in which residents

and building owners take pride. Both of the neighborhoods depicted here are in urban
areas with a mix of retail and residential along the corridor. Which one of these
neighborhoods would you rather live in?
Emerging Techniques in Planning
When cities and regions take the initiative to stop sprawling and embrace smart growth
values, they often run into regulatory barriers to changing the physical landscape
created by traditional zoning. As part of their larger efforts to help communities achieve
the social, economic, and environmental goals of smart growth, planners and other
design professionals have crafted several alternatives to traditional zoning in an effort to
achieve more control over building and site design.
Among these alternatives are various "form-based development codes," which
emphasize the design character of the area and allow greater flexibility in the range of
land uses. Three types of form based development codes have emerged.

Form Based CodingForm based coding is a regulatory approach designed to

shape the physical form of development while setting only broad parameters for
use. They are created through community participation and visioning that
reflects the community character of a locality. Many cities are experimenting
with form-based by adopting them for specific neighborhoods and districts.
Form District ZoningForm District zoning incorporates a two-tiered approach
combining the use regulations of existing zoning districts with form districts that
regulate density and intensity and prescribe contextual design standards such as
build-to lines based upon the established development pattern.
Smart CodeSmart codes are based upon the New Urbanist concept of
transect planning. The smart code sets up different "ecozones" on a continuum
from rural to urban. These zones range in scale and intensity from T-1 (the
natural zone) to T-6 (The Urban Core). Each transect has a different set of rules
for building height, setbacks, street design, etc.

Enlarging the Collaborative Process

Using the techniques described above, planners can help communities achieve many of
their social, environmental, and economic goals. However other elements of a
successful community such as civic participation, affordable housing, environmental
justice, and ethnic and economic diversity cannot be achieved through physical design
alone. Planners and design professionals must work with a diverse group of
stakeholders and disciplines to ensure that these issues are addressed in a holistic
manner.

MAJOR RESOURCES
The Congress for New UrbanismThe 27 principles that guide policy to make a city more
livable on a regional, neighborhood, and building scale
Land Use Law CenterPace University Land Use Law Center
National Highway Traffic Safety AdministrationNational Traffic Safety Facts
Overcoming Obstacles to Smart Growth through Code ReformLocal Government
Commission

Pathways in American Planning HistoryA Thematic Chronology, by Albert Guttenberg,

FAICP
Physical Activity and Good Nutrition: Essential Elements to Prevent Chronic Diseases and
ObesityNational Center for Chronic Disease Prevention and Health Promotion
Policy Guide on Planning for SustainabilityAmerican Planning Association
Policy Guide on Smart GrowthAmerican Planning Association
Smart Growth AmericaWhat is Smart Growth?
Unified Development OrdinanceCity of Apex, NC
Organizations/Associations
American Planning Association
Congress for New Urbanism
Federal Transit Administration
Local Government Commission
Smart Growth America