An Overview Of Energy Code Enforcement Programs

The Online Code Environment and Advocacy Network

Energy Code Enforcement Programs The Challenge The enforcement of building energy codes supports the commitment to provide safe, healthy and attractive living conditions for all of the residents of a state and/or municipality.

Roles and Responsibilities Statewide/local officials. Jurisdictional enforcement for building energy codes can happen at either the statewide or local level. Some states enforce the codes, requiring applicants to submit permit applications and participate in drawings which are then reviewed by state code administration staff. The state enforcement process may also include inspection at the county level.

Courtesy of DOE-NREL, Credit—Pat Corkery

For example, Louisiana practiced statewide enforcement for its first commercial energy code. The state fire marshal acted as both the administrator and the enforcing agency, with responsibility for project review and approval of plans. Local city, town or village. Most often, codes are enforced at the local city, town, or village level. The administering body (local code office) has direct enforcement responsibility with oversight conducted by a locally hired enforcement officer. Third parties. In certain cases, third-party enforcement by a qualified or certified company (for instance, an automation engineering firm) or even self-certification or enforcement (by the builder, contractor, developer or permit applicant) is allowed. An example of such self-certification is currently practiced in Vermont. A certification letter is filed with a local municipal tax assessor along with that home or building’s title. In most cases the enforcement process follows a sequential pattern: 1. A local code enforcement office and its staff conduct permit application intake 2. The plan is reviewed and approved 3. Site inspection takes place to assure the building is constructed as shown in the plans, or approved if modified during the process 4. Upon final approval, the administrator issues a final Certificate of Occupancy (CO) enabling the building to be turned over to the new owner and, ultimately, occupied

Guidelines for Enforcement Programs Statewide Enforcement. This happens often in states where no local code enforcement infrastructure exists. Either the state did not appoint a local administrator, or codes weren’t adopted requiring this level of support. In these cases, a state agency is often charged with administering building code and/or fire regulation and providing the building permit, plan review and site inspection from its central office. In many cases, this type of infrastructure doesn’t include site inspection, as it is both expensive and difficult to do logistically at the state level. The entire process may simply involve the intake and review of plans or other documentation, followed by an issuance of approval for construction by that state office. Often, there is little or no local, on-site follow-up outside of a municipal permit issuance. This process tends to result in little assurance that buildings meet code. The New Hampshire Public Utilities Commission, as an example, conducts its energy code enforcement process in this

BCAP

OCEAN is an online resource of the Building Codes Assistance Project 1850 M St. NW Suite 1050 | Washington, DC 20036 | www.bcap-ocean.org

Energy Code Enforcement Options manner. Essentially, one single point of contact receives, reviews and issues certification to applicants for the energy code compliance component of their buildings. The local jurisdiction then must handle the permitting itself, regardless of whether it has a code official or not. Ultimately, there may be no compliance assurance. In these cases, it is extremely difficult to ensure the compliance of installed vs. designed construction. Where resources to support energy and other code enforcement are scarce, this may be the only method of code enforcement available and practicable. It is left up to the designer to create plans to the code. The builder or contractor, then, must construct the building according to this compliance when in the field. Local administration and enforcement. The most common enforcement model is one where local jurisdictions are: Charged with enforcement by a state administrative authority (where statewide codes have been adopted) or The adopting entity itself The latter option often results in the best and most thorough enforcement assurance, as it places accountability closer to the point of actual construction. Building plans are reviewed, site work inspected, and the permit and CO paperwork tracked more easily. Some states, such as New York, charge the local jurisdiction with enforcing the state mandated code. Others, such as Illinois, adopt and enforce locally due to the lack of statewide codes. In this case, the jurisdictions adopt whatever version of the codes they choose by local legislation or rulemaking and then provide enforcement through the local code office. In the Illinois example, the state agency administering rules for the commercial energy code and the law enabling it charges the jurisdictions with adopting the state code. This puts the ultimate responsibility with the local enforcement. Typically, intake of permits and permit documentation, plan compliance review and issuance of permits to build (or change in plans if non-complying issues are found) are handled at the municipal level. This is then followed by site inspection conducted by the local code officers to assure construction to as-built plans or approvals of any site-specific change orders that may be encountered, final review and issuance of certificate of occupancy. This process is normally quite effective; it offers the greatest likelihood that buildings will be constructed in accordance with the approved plan. It does, however, require a fairly high level of resource support from the community and, in some cases, the state. Local enforcement with third party agent. This option is growing in popularity, as many jurisdictions that lack the resources to administer, train and oversee a full code enforcement effort would rather pass those duties on to trained professionals. Many companies’ architectural and engineering firms provide this service and have a trained staff that can review plans and conduct site inspections for the code enforcement function of one or more jurisdictions. The process is much the same as in local enforcement. The jurisdiction simply outsources the elements of the process it finds too cumbersome to conduct itself. This method allows jurisdictions to hire only the support that they need, when they need it, avoiding potential budget issues if construction activity does not warrant a full-time code official or office. Self-certification. Self-certification by permit applicants—ranging from the prospective homeowner to the builder or even a design professional—is a good option when there is little or no code enforcement infrastructure available at the state or local level. In this scenario, the person or entity seeking code compliance certification may file a statement, indicating that the design to be built complies with the energy (or other) code. This certification may be filed at the state or local level with an office that handles property issues (i.e. a town assessor). While it is a relatively low-cost option, it provides little assurance of code compliance.

OCEAN is an online resource of the Building Codes Assistance Project For more information, please visit us at: www.bcap-ocean.org

BCAP

A joint initiative of the Alliance to Save Energy (ASE), the Natural Resources Defense Council (NRDC), and the American Council for an Energy Efficient Economy (ACEEE)

1850 M St. NW Suite 1050 | Washington, DC | www.bcap-ocean.org