FFC Categories

Introduction

While the large majority of energy used in the United States still comes from fossil fuels (see EIA for example), there is also tremendous growth in alternative and renewable energy technologies. In this context, alternative energy refers to energy not derived from traditional fossil fuel sources (coal, natural gas, petroleum) through conventional processes. Renewable energy is a subset of alternative energy; according to the National Renewable Energy Laboratory (NREL), "Renewable energy resources—such as wind and solar energy-are constantly replenished and will never run out."

Both market and regulatory forces are driving increased adoption of renewable energy. The Energy Policy Act of 2005 (EPACT), for example, calls for federal agencies to obtain at least 7.5% of their electricity from renewable sources. To stimulate development of new renewable energy projects, Executive Order 13693 requires federal agencies to explore on-site renewable energy generation at their facilities. Many states around the nation have implemented renewable portfolio standards (RPS) mandating a minimum fraction of renewably generated energy in all electricity sold. The Database of State Incentives for Renewables and Efficiency (DSIRE) has information on some of these RPS's.

In conjunction with regulatory requirements for renewable energy, costs of fossil fuels remain rather high and costs of some renewable and alternative energy technologies are coming down. This article focuses on several such energy sources, with a primary focus on electricity generation. The practical use of these systems varies with the specific technology, application, location, cost of energy, and other factors. While many of the technologies are becoming more cost-effective, alternative energy generation is not a substitute for reliable energy efficiency strategies. Implementing efficiency strategies first is still the best approach to meet most energy goals.

Description

Wind

For centuries, people have harnessed energy in the wind—historically this has been used as mechanical energy for milling or water pumping. Wind-powered water pumps are still used in remote areas of the U.S., but harnessing the wind to generate electric energy has become much more common. In modern wind turbines, kinetic energy in the wind is converted to rotational energy and then to electrical energy. This electricity is then conditioned and—in most cases—sent into the utility grid.

In some parts of the country, wind energy has become cost-competitive with conventional sources of electricity generation. There are a growing number of wind generators available with capacities ranging from a few hundred watts (powering small off-grid homes, sailboats, etc.) to several megawatts (for utility-scale generation). The physical size of these generators has a similar range&mdsh;diameters from 3–4 feet to 300–400 feet.

Wind generators are certainly most effective in areas with consistent, high-speed winds. Trees, buildings, and topography can slow winds down tremendously. In the United States, the best wind resources are generally near the coasts (off-shore) or on the Plains. DOE, NREL, and others have developed wind resource maps for the country and some states have developed more detailed maps.

Proper location of wind turbines is critical. Because there can be wide variations in wind speed over small distances, best practices often call for monitoring wind resources at a site (or several potential sites) for a year or more. With smaller generators (several kilowatts), turbines should typically be mounted 30–50 feet above the next highest object in a 500-foot radius (trees, buildings, etc). Larger generators are centered 100 feet or more off the ground where wind speeds are higher and less turbulent.

Because most electric energy is used in buildings, many people have explored mounting wind turbines on top of buildings. This is often not a viable strategy because of the weight, vibrations, torque, and noise of the generators. To get access to higher wind speeds, generators should be positioned well above nearby buildings. There are some wind generator products, however, specifically designed for mounting on buildings. They are usually small (typically 2000 Watts or less) and are still subject to wind speed and turbulence limitations.

Biomass

Biomass power generation typically refers to the combustion of plant material to power turbines which—in turn—generate electricity. The term biofuel generally refers to a fuel derived from plant material (biomass) that can be used in lieu of conventional fossil fuels.

An efficient wood stove in a new home Photo Credit: Steven Winter Associates, Inc.

The oldest use of biomass energy is burning wood to keep warm. This is still quite common in homes today, and there are also more advanced boiler systems that burn wood to heat water for use in homes or larger buildings. Some of these devices are designed to burn wood pellets rather than larger pieces of wood. Wood pellets are small (less than one inch) pieces of processed biomass from a variety of sources (wood chips, sawdust, waste from wood processing, etc.) Pellet-burning appliances typically have hoppers that feed the fuel to the firebox at a controlled rate—making pellet burning easier to control than some other types of biomass appliances. More information on this and other wood burning technologies for buildings is available through ENERGY.GOV Energy Saver pages.

On larger scales, many timber and agricultural industries burn wood and agricultural waste to obtain useful heat—the heat can be used directly or used to power turbines to generate electricity. When the biomass fuel is inexpensive—especially when it is a waste product—such power generation can be very cost-effective.

As with burning of fossil fuels, burning biomass releases carbon dioxide and other pollutants. Because the carbon in biomass has quite recently been absorbed from the atmosphere, if the biomass resource is managed sustainably there may be little net-emissions of carbon dioxide. This closed carbon cycle, however, does not necessarily include any energy needed to cultivate, harvest, and process the biomass. In addition to pollutants, opponents of biomass generation cite potential effects on regional agriculture or forestry. With growing demand for biomass, there may be pressure to harvest resources in less sustainable ways.

Biofuels

Fuel pump with 20% biodiesel (B20), 85% ethanol, and standard unleaded fuel with 10% ethanol. Photo Credit: Charles Bensinger and Renewable Energy Partners of New Mexico

As described above, biofuels are fuels derived from biomass that can be used in place of conventional fossil fuels. The two most common biofuels are ethanol and biodiesel. Ethanol is currently used in gasoline mixtures to power many automobiles. Most of this ethanol comes from the fermentation of sugars found in food crops, primarily corn. Federal incentives make this cost-effective, but there is growing concern that using ethanol derived from fermentation of corn sugars is not sustainable; there may be more energy needed to cultivate, harvest, and process the material than is contained in the final fuel produced. Other ethanol production strategies—using cellulosic material rather than sugars—can derive ethanol from wood chips, leaves, agricultural waste, and similar material. These show promise with respect to sustainability, but they currently have substantially higher costs (see EERE Newsletter  for more information).

Biodiesel is made by converting natural oils—usually vegetable oils—into usable fuels. The fuel can be used in many engines or combustion appliances designed for diesel or no. 2 fuel oil. The appliances typically need no or minor adjustments, though sometimes a blend of biodiesel and petroleum results in best operation. The manufacturing process is well understood and quite environmentally benign. The chief limitation of biodiesel manufacture is a cost-effective, sustainable source of vegetable oils.

Waste oils were one of the first targets for biodiesel manufacturers. In some areas, restaurant managers—who used to pay substantial fees to dispose of waste cooking oils—found new consumers who were willing to take waste oil at no charge, or even to pay for the used oil. While truly sustainable, such waste oil results in a very small volume of biodiesel. Most fuel is generated from virgin vegetable oils, especially oils from soy or rapeseed. Most experts agree that biodiesel manufacture is much less energy-intensive than conventional ethanol production—i.e. much less energy is used to create the fuel than is contained in the final fuel product.

Solar Energy

Solar energy systems in buildings include systems that capture heat (such as solar water heating systems and passive heating), and systems that convert solar energy into electricity. The latter is done primarily through photovoltaic (PV) systems. PV technology has seen dramatic improvements—and cost reductions—since its first applications in the space program in the 1960's. While the technology is still not inexpensive, from 2006 to 2010, installed costs of PV systems have dropped 30–40%. This drop—combined with higher energy costs, government and/or utility incentives, and time-of-use electric rates—have made PV cost-effective in a growing number of applications.

The heart of PV technology is in the semi-conductors (mostly silicon-based) used in the PV modules themselves. The modules convert sunlight to direct current (DC) energy; the DC energy is typically then converted to alternating current (AC) energy via inverters. From the inverters, energy is typically fed into a building's electric system or exported to the utility grid.

Simple schematic showing the main components of a PV system and how it is typically incorporated into a building—in this case a home.

The amount of electricity that a PV system generates depends upon the amount of sun received and many other installation parameters (tilt, orientation, shading, etc.). A simple and accurate tool for predicting generation is PVWatts, developed by NREL.

As PV collectors need direct sun, they are often mounted on roofs. While not extremely heavy, structural factors must be taken into account in planning a roof-top installation. Designers need to be aware of mounting requirements, ballast, and wind loads. Any roof penetrations (for mounting or electrical) need to be planned for and detailed properly. Panels should face south (in the northern hemisphere) and shade (from trees, other buildings, roof-top equipment, etc.) should be minimized. In some cases, PV collectors can be incorporated as part of the roof or building envelope; see the Building-Integrated Photovoltaics page for more information.

While most PV collectors are mounted in stationary positions, some free-standing arrays use devices to track the path of the sun across the sky. This can increase electricity generation substantially (20% or more), but it also adds cost and complexity to the system. PV modules themselves are very durable and have no moving parts; most warrantees are 20–30 years. Inverters are usually shorter-lived; these warrantees are typically 5–10 years.

Geothermal

Temperatures at the bottom of the Earth's crust—some 5–40 miles below the surface—are typically over 1000°F. In a few locations, these high temperatures reach closer to the surface resulting in volcanic activity, hot springs, geysers, and the opportunity for geothermal electricity generation. Geothermal plants tap relatively shallow pockets of steam; the steam is used to operate turbines that generate electricity.

Clearly, geothermal generation is very location dependent. According to Department of Energy sources, there is approximately 3,000 MW of geothermal electricity generation capacity in the United States. Researchers say, however, that there is potential for 100,000 MW of generation using the latest technologies. At some locations where the accessible geothermal resources are not at sufficient temperature to generate electricity cost-effectively, the heat can be used directly (for industrial processes, space heating, etc.) In the United States, nearly all generators—and most potential sites—are located in the western part of the country (see map).

The term "geothermal" is also sometimes used to refer to ground source heat pumps (GSHPs). While not a means of generating renewable energy, GSHPs can be part of an efficient HVAC system.

Cogeneration

When a fuel—fossil-based or otherwise—is converted to electricity, there is also a substantial amount of heat generated. Usually the quantity of heat generated is far greater than the quantity of useful electricity; typically 30–40% of energy in a fossil fuel is converted to electricity using conventional technologies. Cogeneration or combined heat and power (CHP) is a strategy whereby both useful heat and electricity are obtained from processing a fuel.

These cogeneration units provide electricity to meet some of the base load in a New York City apartment building. While the up-front and maintenance costs are significant, the cost of the natural gas used to generate electricity is less than the cost of electricity purchased from the utility. The thermal energy the engines provide—used for water heating—results in additional natural gas savings of over $10,000 per year. Photo Credit: Steven Winter Associates, Inc.

The concept itself is not new. For nearly as long as people have been burning fuel to generate electricity, people have been looking for ways to utilize the excess heat generated. Newer technologies, combined with higher energy rates, allow smaller-scale, distributed cogeneration to be more cost effective in some buildings or campuses.

Cogeneration is a strategy that includes many types of distributed generation technologies such as turbines, micro-turbines, reciprocating engines, and fuel cells. The most common fuel for these cogeneration technologies is natural gas. A great deal of ongoing research and development focuses on hydrogen fuel cells, but most hydrogen is also currently derived from natural gas. While cogeneration can be considered an alternative energy technology, it is not renewable when it relies on fossil fuels.

Cogeneration is most effective where both electrical and thermal loads are predictable, steady, and coincident. For example, thermal demands for space heating in the winter and electrical demands for space cooling in the summer are not a good match for cogeneration. At the same site, however, there may be steady, year-round thermal loads (e.g. service water) and baseline electrical loads (lighting, equipment, HVAC base loads, etc.). It is possible that a properly sized cogeneration system could cost-effectively meet the base loads while additional heat and electricity would be obtained at lower cost from conventional sources. An accurate knowledge of load patterns—both thermal and electric—is key in designing a good cogeneration system.

Hydropower

Hydropower is one of the oldest and most prevalent renewable energy technologies, accounting for over 10% of all U.S. electricity in 1996 (EIA). By 2009, however, this fraction dropped to below 7%. Hydropower generation itself dropped 22% over this period. While certainly renewable, conventional hydropower is often not sustainable. The effects of dams on river ecologies are frequently dramatic, and working dams have been removed in an attempt to restore riparian ecosystems.

A beta hydrokinetic generator to be installed near Eastport, ME—location of some of the largest tides in the U.S. Photo Credit: Ocean Renewable Power Company

While it is possible to create sustainable hydropower systems in rivers, these systems tend to be smaller (see EERE resources for more information). Hydropower generation is also moving away from dams towards hydrokinetic systems—systems that use the natural flow of water rather than damming or diverting flow through conventional turbines. There are many types of emerging hydrokinetic technologies; some are designed for rivers, some for ocean areas with strong tidal flows, and some designed to harness energy in ocean waves.

Application

While many alternative energy technologies are becoming more viable and affordable, renewable energy is still often much more expensive than energy efficiency; it is usually much less expensive to save energy than to generate renewable energy. The most cost-effective route to meet the EPAct (or other) renewable energy goals will likely include both increasing the numerator (renewable energy) as well as decreasing the denominator (total energy) in the renewable energy fraction equation:

Understanding total energy use at a facility is also important when exploring appropriate alternative energy systems. Cogeneration systems, for example, should be sized to meet consistent electrical and thermal loads in order to be practical and cost-effective. If power used for space cooling represents a large expense, a PV system sized to reduce this peak can translate into more significant cost savings.

During planning of alternative generation systems, it is critical to consider integration into existing electrical systems and/or the utility grid. Requirements for utility interconnection vary state-by-state and often utility-by-utility. Links to several state regulations can be found at DSIRE; check with local utilities and/or regional authorities for specific permitting and interconnection requirements.

Site considerations are also important during planning. In addition to the obvious (e.g. PV systems should not be shaded, wind turbines should have access to consistent winds), designers should consider aesthetic and noise impacts of the technologies.

Finally, in planning for alternative energy systems, consider ongoing operation and maintenance requirements. O&M requirements for these technologies vary widely. In addition to the costs, make sure the facility or staff has the resources needed to keep the systems operating at peak performance.

Relevant Codes and Standards

• Biodiesel Handling and Use Guide 
• Energy Policy Act of 2005 (EPACT)
• Executive Order 13693, "Planning for Federal Sustainability in the Next Decade"
• NFPA 70 National Electric Code®
• North American Board of Certified Energy Practitioners

Additional Resources

Organizations

• American Wind Energy Association
• Geothermal Energy Association
• Geothermal Resource Council
• International Hydropower Association
• National Biodiesel Board
• CHP Association
• Evergreen Solar (National Council for Solar Growth)

Others

• Database of State Incentives for Renewable Energy (DSIRE)
• DOE–EERE Bioenergy Basics
• DOE–EERE Alternative Fuels and Advanced Vehicles
• DOE–EERE Geothermal Technologies Office
• DOE–Marine Energy Projects Database
• DOE–EERE Microhydropower Systems
• NREL Biomass Energy Basics
• PVWatts® Calculator
• Wind Resource Data, Tools, and Maps

Overview

The purpose of this Building Type page is to assist in the planning and/or design of new Ammunition and Explosive (AE) storage magazines for the Department of Defense (DoD) by providing definitions, descriptions, requirements, and standards of drawings and specifications as available. The information is intended to offer a general introduction into the design and approval of AE storage magazines. For additional information refer to the DoD Component-specific explosives safety documents and the DoD explosives safety manual referenced below.

The Department of Defense Explosives Safety Board (DDESB) has established uniform minimum AE safety standards for personnel and property that have the potential of being exposed to the effects of an accidental explosion. These standards govern the design, construction, and use of all AE storage magazines within the Department of Defense.

Earth Covered Magazine (ECM) structures are built to store AE. They are not designed to resist the damaging effects from an internal explosion, although they can effectively contain the effects from an explosion of very small AE quantities. ECMs are designed to protect their contents and prevent propagation of an explosion that may occur in an adjacent magazine. Proper siting of an ECM, from other Potential Explosion Sites (PES) and Exposed Sites (ES) including operations buildings, piers, aboveground magazines, rail sidings, classification yards, etc, ensures against unacceptable damage and injuries in the event of an accidental explosion.

Facilities are sited from a PES using the appropriate Explosive Safety Quantity- Distance (ESQD) relationship and based upon the Net Explosive Weight (NEW) at the PES.

Explosive safety standards that implement the DoD standards are contained in the following:

• Air Force: AFM 91-201
• Army: AR 385-10 / DA PAM 385-64
• DoD Contractors: DoD 4145.26-M
• Navy: NAVSEA OP 5 Volume 1 (Distribution authorized to U.S. Government agencies and their contractors; administrative/operational use; Other requests for this document must be referred to the Naval Ordnance Safety and Security Activity (NOSSA) (N5))

Description

A. ECM Designs

ECM designs fall within three basic structural hardness classifications; "7-Bar", "3-Bar" and "Undefined" depending upon the relative ability to resist blast loadings. The DDESB has established design criteria for each of the ECM classifications, and approved the classification of previously designed ECMs. DDESB Technical Paper (TP) 15  summarizes the development of AE storage facilities and documents approved protective construction designs.

Approved ECM designs may be site-adapted or tailored to the requirements of a specific site. Site specific tailoring primarily involves adapting the foundation and the drainage system to suit local soil and site characteristics. In addition, certain AE may require additional consideration for utilities, security, electrical, grounding, or humidity and temperature limits.

Any changes to approved designs, other than minimal site adaptation, that in any way may affect the explosive safety of the magazine design will not be used for construction without coordination and approval from the appropriate design agency and from the DDESB.

1. "7-Bar" (Standard) Designs A 7-Bar ECM provides the highest level of blast resistance and allows the use of the least restrictive siting separation distances. These designs may store up to 500,000 pounds NEW of hazard division 1.1, however some approved designs are based upon a lower storage capacity.

2. "3-Bar" Designs The headwall and doors of a 3-Bar ECM provides a lower level of blast resistance than a 7-Bar ECM resulting in more restrictive siting separation distances. A 3-Bar ECM may store up to 500,000 pounds NEW of hazard division 1.1, however some approved designs are based upon a lower storage capacity.

3. "Undefined" (Nonstandard) Designs An Undefined ECM provides the lowest level of blast resistance and requires the greatest siting separation distances. An Undefined ECM may store up to 500,000 pounds NEW of hazard division 1.1, however many of the designs are based upon a lower storage capacity.

B. Siting Criteria

Siting criteria for ECMs has been developed by the DDESB to define the minimum required separation distances between an ECM as a PES and ES that would be impacted from an accidental explosion. Minimum separation distances have been established between ECM and other magazines, operating buildings, inhabited buildings, and public traffic routes to ensure uniform minimum explosive safety standards for DoD facilities. Minimum separation distances are determined by the level of protection mandated by the applicable explosive safety standard, the ECM classification, the ES type, the quantity and type of AE within a PES, the physical orientation between the PES and the ES and the potential presence of barricading.

For most PES—ES orientations involving an ECM, it can be generally stated that the required siting separation distances are typically greater for a 3-Bar than a 7-Bar ECM and greater still for an Undefined ECM.

C. Approval Requirements

Plans for ECM projects must be reviewed and approved by the DDESB to ensure that minimum DoD explosive safety considerations have been addressed. Situations requiring approval include:

• New construction or major modification
• Changes in utilization of facilities that affect the siting separation distances

If pre-approved ECM designs are used, the project site plan along with the drawing numbers of the ECM design must be submitted for approval.

All new 7- and 3- Bar ECM designs must be approved by the DDESB before they can be used. The approval will require the submission of test results and/or detailed structural calculations.

All new Undefined ECM designs require approval from the DDESB to ensure minimum design and construction criteria are met.

For a description of the minimum requirements to validate explosive safety protective construction see the Department of Defense Explosives Safety Board Memorandum DDESB-PD , dated 21 October 2008.

D. ECM Design Resources

Previous ECM designs have been grouped into four categories described by the following tables. The tables include information related to the design of the magazines including size and maximum stowage capacity. Only the designs within the first category, Table 1, are pre-approved as 7- or 3- Bar ECM Designs for new construction. The source of these tables is DDESB TP 15.

An individual summary page for each of the approved magazine designs is linked from Table 1. Electronic drawing files in PDF format are also provided along with additional information, if available, including guide specifications, AutoCAD or Micro Station drawings that can be downloaded and tailored for site-specific conditions, DDESB approval letters, and other relevant data.

1. Table 1—7-Bar and 3-Bar ECM Approved for New Construction—The content of this category identifies all 7-Bar and 3-Bar ECM currently approved by the DDESB for new construction. Notes are provided to identify those ECM that have NEW limitations and/or restriction associated with their approval.

2. Table 2—7-Bar and 3-Bar ECM No Longer Used for New Construction, But Still in Use—The content of this category identifies all ECM designs that previously have been approved for 7- and 3-Bar siting by the DDESB, but are no longer approved for use for new construction. In most cases, these designs have not been updated to satisfy current criteria. The primary intent of this table is to assist activities in siting existing magazines. NEW limitations and/or restrictions associated with their DDESB approval must be observed. These design drawings may be used as the basis for new ECM designs, but they must not be constructed until they are updated to comply with current explosive safety requirements, current construction methods and criteria, and are reviewed and approved by the DDESB. Approved updated design drawings shall clearly identify all changes made to the original design.
   
   If ECM designs from this table are of interest to an activity as new construction, their use must be coordinated with the DDESB to ensure acceptability prior to initiating a project.

3. Table 3—Undefined Earth-Covered Magazines—The content of this category contains ECMs that have not been shown by analysis or testing to be capable of withstanding 7-bar or 3-bar loading. An Undefined ECM is permitted to store up to 500,000 pounds NEW of hazard division 1.1 unless noted otherwise in the table.
   
   An undetermined ECM can be structurally analyzed in accordance with the Joint Service Manual TM5-1300/NAVFAC P-397/AFR 88-22 to determine its structural capabilities. Upon approval of the structural analysis supporting the magazine classification by the DDESB, the ECM design classification may be upgraded. For a listing of Undefined ECM designs see Table AP1-3 of DDESB Technical Paper (TP) 15 

4. Table 4—Magazines (Earth-covered and Aboveground) and Containers that have reduced net explosives weight (NEW) and/or reduced quantity-distance (QD)—The contents of this category lists a number of AE storage structures and containers that have been approved by the DDESB for specific NEW and/or reduced QD. These items were generally designed for a particular application; however, as approved items, they can be used for other applications, providing all conditions, restrictions, design elements, etc., are observed. All documentation pertaining to the use of the storage structure or container must be obtained prior to their use. Table AP1-4 of TP-15 identifies restrictions or conditions for the use of these magazines or containers.

E. Typical ECM Features

• A semicircular arch or oval arch constructed of reinforced concrete or steel, or a combination of the two. It could also be a reinforced concrete box-type design.

• A reinforced concrete floor slab that is typically sloped for drainage.

• A reinforced concrete rear wall.

• Design blast loads apply to headwalls of 7- and 3-bar ECM and to the roof of box-type magazines.

• A reinforced concrete headwall that extends at least 2-1/2 feet above the top of the roof. The headwall is designed to withstand the blast pressures and impulses that will be experienced as a result of an explosion in an adjacent AE storage facility. This is a critical feature that is directly associated with the strength designation assigned to an ECM.

• Heavy steel doors in the headwalls (either manually operated or motorized). Approved box-type ECM may have as many as five of these doors in their headwall. Doors are either of the swinging doors or sliding type. Sliding doors are generally used on the larger ECM, while swinging doors are primarily used on smaller ECM. Doors are designed to withstand the dynamic forces from an explosion in an adjacent AE storage facility, and are therefore, a critical element of an ECM design.

• Earth cover over the top, sides, and rear of the ECM. A minimum of 2 feet (24 inches) of earth cover is required over the ECM.

• Reinforced concrete wingwalls on either side of the headwall. The wingwalls may slope to the ground or may join wingwalls from adjacent ECM. The purpose of wingwalls is to retain the earth fill along the side slopes of the ECM.

• Lightning protection and grounding systems. Reinforcing steel in the walls, floor, and roof must be electrically continuous to provide electrical bonding between the elements and produce a faraday-like shield. Techniques commonly used and approved in the construction industry to join reinforcing steel are acceptable. The steel arch of an ECM must be similarly joined to the reinforcing steel in the floor. Minimum resistance valves apply. Other metal masses, such as ventilators, shall also be grounded and connected to a common earth electrode system such as a buried ground girdle.

• Incoming utilities are installed to meet the material, installation, grounding, and lightning surge protection criteria.

• When required, internal electrical work and equipment must be rated for the hazardous environments expected within the ECM.

• In the case of a box-type ECM, the walls and roof may be constructed of reinforced concrete or of prefabricated concrete panels that are assembled in the field. Earth cover, lightening, and grounding criteria described above also applies to box-typed ECM.

F. ECM Types

Listed below are the descriptions of the cross-section of magazines.

Arch—Also known as a circular arch. A single radius is used to define the interior face of the arch, which may be constructed of reinforced concrete, steel (corrugated, laminated, or single gage), or a combination of reinforced concrete and steel to form a composite arch (steel interior arch with overlying concrete).

Arch, Oval—This arch is in the shape of an oval, with the lower portion of each sidewall bowing in towards the direction of the centerline. The arch can be constructed of steel, reinforced concrete, or a composite of both. The shape is defined by the use of a single radius for the majority of the arch, with a separate radius called out for the lower portions of the arch. The modified FRELOC-Stradley ECM design is an example of an oval-arch ECM.

Arch, Semi-Circular—The sidewalls are elongated with the arch defined by a radius that originates approximately 3 to 5 feet above floor level. A radius originating at the opposite sidewall defines the lower portion of the arch. The arch can be constructed of either reinforced concrete or steel.

Stradley—This reinforced concreted ECM is characterized by vertical sidewalls that blend into the arched roof. Three radii are used to define the arch and the transition from the vertical sidewalls to the roof arch. Another feature of the Stradley ECM is that its walls are significantly thicker at the base of the sidewalls and thinner at the crown of the arch. There are currently no Stradley designs approved for new construction.

FRELOC-Stradley—The FRELOC-Stradley ECM is constructed of reinforced concrete. Its interior shape is similar to a Stradley ECM, except that the sidewalls and arch have the same thickness.

Modified FRELOC-Stradley—This ECM design was the first ECM constructed with an oval arch. See the information above for the oval arch. There are currently no Modified FRELOC Stradley designs approved for new construction.

Box—This term describes any ECM that has an internal box shape. Explosives limits can range from less than a pound NEW of hazard division 1.1 to 500,000 pounds NEW hazard division 1.1.

Dome—The domed shape is used for only the Corbetta ECM design. The interior wall is approximately three times the height of the magazine. There are currently no Dome designs approved for new construction.

G. ECM Selection

The selection of an ECM is based primarily on the type and quantity of AE that will be stored in the magazine and the cost of construction. Siting restrictions, potential operational considerations, AE compatibility, and other considerations may also factor in the selection of the magazine.

Individual summary sheets for each of the approved 7- and 3- Bar ECM designs within Table 1 are provided to help in the selection process. The information provided in the summary sheets include the physical dimensions of the magazine, approved drawing number, number and size of doors, maximum NEW storage capacity, and comments related to the use of the design.

Individual services may also provide additional guidance on the selection of magazine designs.

Suggested storage layout plans for various AE within many of the approved magazine designs are available to assist in the effective use of the magazine and as a tool to estimate the potential stowage capacity. The U.S. Army Technical Center of Explosives Safety (USATCES) develops and maintains several tools and documents related to the storage of AE.

• NAVSEAINST 8024.2
• U.S. Army Command drawings 19-48-75-5

H. Barricades

Barricades are protective structures that can act as a barrier between a PES and an ES. When properly sited and constructed they are an effective protection against low angle fragments and for reducing shock overpressures near the barricade. To protect against low angle fragments barricades must be high enough to intercept the ballistic trajectories of fragments and thick enough to reduce the fragment velocity to acceptable levels.

Army Definitive Drawings for Barricades Standard Design (Drawing Code DEF 149-30-01) illustrates several conceptual barricade designs utilizing various construction materials. For additional information see DoD Explosives Safety or the applicable service explosive safety standards.

Relevant Codes and Standards

• AR 385-10 The Army Safety Program by Department of the Army.
• AFM 91-201 Explosives Safety Standards by HQ USAF/SE.
• DA PAM 385-64 Explosives Safety Standards by Department of the Army.
• DoD 4145.26-M DoD Contractors' Safety Manual for Ammunition and Explosives by Under-Secretary of Defense for Acquisition and Technology.
• DESR 6055.09 Defense Explosives Safety Regulation by Under-Secretary of Defense for Acquisition and Sustainment
• NAVSEA OP 5 Volume 1 Ammunition and Explosives Safety Ashore, Department of the Navy, Naval Sea Systems Command (Distribution authorized to U.S. Government agencies and their contractors; administrative/operational use; Other requests for this document must be referred to the Naval Ordnance Safety and Security Activity (NOSSA) (N5)).

Additional Resources

Websites

• The Air Force Sustainment Center
• The Defense Ammunition Center
• The Naval PHST Center
• The Naval Safety Center
• The U.S. Army Engineering and Support Center, Huntsville, AL
• The U.S. Army Technical Center for Explosives Safety

Publications

• DDESB TP 15 Approved Protective Construction  by Department of Defense Explosive Safety Board.
• DDESB-PD Memorandum, 21 Oct 2008, Minimum Requirements to Validate Explosives Safety Protective Construction  by Department of Defense Explosives Safety Board.
• EP 1110-345-102 Engineering and Design Explosives Storage Magazines  by Department of the Army, Army Corps of Engineers.
• NAVSEAINST 8024.2 Magazine Stowage Layout Standards by Department of the Navy, Naval Sea Systems Command.
• TM 5-1300/NAVFAC P-397/AFR 88-22 Structures to Resist the Effects of Accidental Explosions by Departments of the Army, the Navy, and the Air Force.
• U.S. Air Force Munitions Facilities Standards Guide, Vol. 1
• U.S. Air Force Munitions Facilities Standards Guide, Vol. 2
• U.S. Army Material Command Drawings 19-48-75-5 by U.S. Army Ammunition Center and School (USADACS).

Drawings

• Navy Only – Additional Electrical Details

Introduction

ESG is a growing movement that helps define and assess the impacts of businesses and companies on Environmental, Social, and Governance issues. While the concepts of ESG have existed for a long time, partly arising from the sustainability movement of the 1980s, the term ESG was officially coined in 2005. It was the result of the report "Who Cares Wins,"  which was published by the United Nations and was originally intended to focus on investments. The report demonstrated that incorporating ESG factors into financial analysis and decision-making would more quickly lead to sustainable markets and better outcomes for society overall. The Paris Agreement, an international treaty on climate change that seeks to limit the Earth's temperature increase to 1.5°C above pre-industrial levels, has also shaped much of the environmental focus of ESG since. ESG has continued to grow exponentially as government, businesses, and consumers have become more conscious of the need to address how actions and operations affect society and the environment.

ESG has also become far more significant than just a tool for investors. Approximately 90% of ESG regulations are now the responsibility of government agencies. Other groups such as financial regulators, central banks, industries, and statutory bodies also play a role in regulating ESG. The regulations and regulating practices also vary by country. With the increased focus on climate change, carbon emissions reduction requirements, and nature-positive development and investments, ESG is set to grow even further and become more standardized and transparent in the coming years. Companies, businesses, and organizations will need to understand and incorporate ESG policies into their operations and business practices, given the rapidly expanding importance and more stringent requirements of ESG around the world. A brief overview of ESG issues, policy development, and some of the proven benefits, along with links to additional resources for planning, implementing, and reporting ESG are provided in this page.

Description

Defining ESG

As companies, organizations, consumers, and investors are seeking more accountability and transparency around the three main focus areas of ESG: Environmental, Social, and Governance issues, it is important that a set of ESG policies are developed to ensure that specific requirements are met. A thorough review and analysis of the company or business operations, assets, supply chains, shareholders and stakeholders, and how they align with their business objectives and sustainability goals are essential. The process should be inclusive and engage employees, customers, communities, and others closely involved with the company or organization. ESG can be implemented in small, medium, and large size businesses, companies, and organizations and is often a way to attract socially and environmentally conscious investors, consumers, and customers. It is also an opportunity to get creative and find new solutions to both internal and external problems and issues while also ensuring long-term success and growth.

Environmental

The environmental aspects of ESG are focused on improving the environmental performance of a business or company. For example, this may include reducing direct and indirect greenhouse gas emissions, increasing resource efficiency, implementing recycling practices, emergency preparedness, understanding and reducing climate risks, increasing the use of renewable energy, water and waste management strategies, complying with other environmental regulations, and even animal treatment.

Analyzing the impacts of the buildings and operations of a business can lead to major improvements and retrofits to meet ESG goals. Photo Credit: U.S. EPA

Social

The social aspects of ESG focus on a business or company's impact on its employees, customers, suppliers, and the local community. Issues such as workplace conditions and employee health and well-being, and safety should be addressed in the ESG policies. Ethical treatment of employees and other organizations and companies that they are associated with should be considered. Supporting the local and surrounding community through donations, services, or volunteer work should also be considered in this category. Supporting the local economy, local infrastructure, and encouraging education and training events can also be included. Policies that support diversity, inclusion, equity, and social justice are also ways to fight against racial, gender, and sexual discrimination.

Planning for diversity, equity, and inclusion results in a much more engaging and collaborative environment, often solving challenges in new and creative ways. Photo Credit: Wikimedia Commons/University of Michigan, School for Environment and Sustainability

Governance

ESG governance standards help to ensure that a business or company uses accurate and transparent accounting and reporting methods, pursues integrity and diversity in selecting its leadership, including its board of directors, and is accountable to all its shareholders or stakeholders. It is also a way to ensure that a company is not engaging in risky or unethical business practices such as not adhering to zoning laws, having outstanding lawsuits, or is in conflict of interest with authorities or other parties. Additional concerns include the management structure, employee relations and retention, and salaries and compensation.

An example of corporate governance framework issues to address. Image credit: Wikimedia/Creative Commons

Application

Developing ESG Policies

ESG policies should include very clear and specific objectives and targets. This will ensure that the policies are implemented accurately and effectively. These objectives and targets should also be quantifiable and aligned with a company or organization's larger mission, vision statement, and business plan. For example, if a company is planning to reduce its greenhouse gas emissions by 35% by the year 2030, they must explain how they will do that, how they will measure it, and be able to prove that they are meeting the goal. The policies should be developed with input and participation by employees, stakeholders, and shareholders, and must be transparent and attainable in order to be effective. Polices will need to be reviewed and modified as situations, values, and circumstances change and as new tools, technologies, and opportunities arise.

Reporting of ESG measures and plans requires analyzing specific forms of data in order to create an ESG rating or ESG score. This information is used by investment analysts to determine their effectiveness and accuracy, which will then in turn determine whether or not a business or company can become engaged with a proposed business, project, or investment. Carbon accounting software is a significant part of reporting, since carbon emissions reduction and/or carbon neutrality are important aspects of the environmental issue of ESG. For example, to create a complete and accurate picture of the emissions, it is important that the report includes the source and measurements of current impacts, specific activities or measures to reduce or offset carbon emissions, and how this is certified.

There are a number of ESG reporting frameworks due to the variety of companies that are participating in this type of reporting. There are also such a wide range of industries that have different types of ESG impacts and aspects, so the reporting frameworks need to be able to report on different types of metrics. Additionally, different types of stakeholders such as investors, regulators, and even consumers often want to be able to review various types of information. Each of the ESG reporting frameworks will have their own type of metrics, methodology, and scoring system. This can make it difficult to compare information. So, it is important to have a good understanding of how the information is collected, analyzed, and presented in order to interpret it correctly. The most popular ESG reporting frameworks include standards developed by the Carbon Disclosure Project, Climate Disclosure Standards Board, Global Reporting Initiative, International Integrated Reporting Council , and the Sustainability Accounting Standards Board.

Benefits of ESG

Today, businesses and organizations that have robust ESG policies tend to gain consumers and investors that also value sustainability and ethical behavior and decision-making practices. When ESG issues are prioritized, it is also possible to reduce risks and cultivate better relationships with investors, employees, and other organizations, businesses, and companies that are in alignment with these values. Additionally, investors now prefer, and in many cases are required, to support only socially and environmentally responsible businesses, companies, and organizations. With the increased focus on addressing climate change, more businesses, companies, and organizations will need to be a part of the solution, especially since any business activity, product, or project that is carbon intensive is now considered high risk.

ESG policies show a commitment to doing more than just generating a profit and to demonstrating values that have a positive impact on people and the planet. ESG policies also help reduce operating costs and increase employee engagement and satisfaction. They can also improve the financial standing and performance as well as the reputation of a business or company over the long-term.

Solar energy and wind power are among the many forms of renewable energy sources that can be implemented to meet ESG goals such as reducing carbon emissions. Photo Credits, Left to Right: NREL.gov and DOE.gov.

Related Issues

ESG can also align with and support larger initiatives such as the U.N.'s Sustainable Development goals, LEED, Living Future Challenge, and other green-rated building projects, Zero Net Carbon Buildings, the Fair Housing Act, and many other strategies, investments, and markets that are engaged in creating a more sustainable, resilient, inclusive, and just future for all.

For example, if a building is designed to meet LEED or other green building rating system requirements, ensuring that it performs as intended, can directly tie to the organizations and companies who own or lease the building or spaces through the ESG policies. In another case, for a residential real estate investor it may be detrimental to the approval and funding of a housing project if it is not meeting LEED requirements, addressing fair housing laws, or located near good schools. It is important to also consider ESG before acquiring an existing building to better understand and plan for the eventual transition that may entail upgrades, retrofits, and other strategies that are necessary to bring the property into alignment with ESG.

ESG through the lens of the U.N.'s Sustainable Development Goals Image Credit: United Nations

Emerging Issues

As ESG continues to grow and become more ingrained into business, investing, and the economy, there will be a need to look at the issues more holistically. This means that all of the potential impacts that a company or organization has on the world around them will need to be considered and addressed. This will also entail creating a culture within the business or organization that is committed to the ESG goals and where everyone feels a sense of responsibility to the objectives. This may also require hiring and collaborating with new people that align with the mission and vision of the company or organization and the ESG goals.

Technology advancements and improved access to ESG-related data will only continue to further enhance the ability of investors to assess a business or company's ESG performance more accurately. As a result, development of more sophisticated ESG investment products and strategies, as well as an increasing integration of ESG goals into mainstream investment decision-making, are likely to happen in the near future.

Relevant Codes and Standards

• Fair Housing Act
• International Green Construction Code (IgCC) developed collaboratively by the International Code Council, the American Institute of Architects (AIA), ASHRAE, the US Green Building Council (USGBC), and the Illuminating Engineering Society (IES). 2021.
• Just Label, Program of the International Living Future Institute
• Living Future Challenge, Program of the International Living Future Institute
• LEED Rating System, Program of the U.S. Green Building Council
• National Preparedness, Program of FEMA
• U.N. Sustainable Development Goals

Additional Resources

Organizations And Associations

• Carbon Disclosure Project
• Climate Disclosure Standards Board
• EPA Center for Corporate Climate Leadership
• Global Reporting Initiative (GRI)
• International Integrated Reporting Council 
• International Sustainability Standards Board (ISSB)
• Science Based Targets Initiative (SBTi)
• Sustainability Accounting Standards Board (SASB)

References

• Who Cares Wins: Connecting Financial Markets to a Changing World by the Swiss Federal Department of Foreign Affairs and the United Nations. 2004.

Tools

• Acquisitions Sustainability Toolkit by the Better Buildings Partnership
• Risk Management, Tools for Hazard Resilience, Program of FEMA

Introduction

Mechanical insulation systems are defined as the materials and components used to insulate piping, equipment, vessels, ducts, and other types of mechanical items. Although important to facility operations and manufacturing processes, mechanical separation is often overlooked and undervalued. National standards, universal energy policies, or generally accepted recommendations as to what should be insulated, what insulation systems are acceptable for a specific use, and application best practices do not currently exist. As a result, the value of mechanical insulation is not being realized to its potential for energy conservation, reducing the dependency on foreign energy sources, improving the environment by reducing greenhouse gas emissions, improving global competitiveness, and providing a safer work environment for personnel and process.

Insulation is applied, but it is rarely engineered. With the best intentions, but not necessarily thorough knowledge, many specifications have evolved over the years primarily based on the modification of old documents. This practice-combined with the lack of education and awareness programs on the value of having a properly engineered, installed, and maintained mechanical insulation system-has led to the underutilization of mechanical insulation in energy conservation, emission reduction, process and productivity improvement, life-cycle cost reduction, personnel and life safety, workplace improvements, and a host of other applications.

Description

Whether someone is looking for basic insulation information or needs to design a complex insulation system, NIA's Mechanical Insulation Design Guide (Design Guide) is the best resource. Designed to assist the novice or the knowledgeable user alike in the design, selection, specification, installation, and maintenance of mechanical insulation, the Design Guide is continually updated with the most current and complete information.

Click to visit the Design Guide

Mechanical insulation is often used to limit heat gain or loss from operating at temperatures. However, there are far more reasons to use insulation on a project and that reason will impact the final insulation system design. Of course, insulating may be done to achieve multiple goals. Here are some common reasons.

• Condensation Control: minimizing condensation and the potential for mold growth by keeping the surface temperature above the dew point of the surrounding air. This can also help avoid slip and fall hazards.

• Energy Conservation—Financial Considerations: minimizing unwanted heat loss/gain from systems while minimizing the use of scarce natural resources and saving operational expenses.

• Economic Considerations—Return on Investment: maximizing return on investment and minimizing the life-cycle cost.

• Economic Thickness Considerations: considering the initial installed cost of the insulation system plus the ongoing value of energy savings over the expected service lifetime.

• Environmental Considerations—Sustainability: minimizing the emissions associated with energy usage of projects.

• Fire Safety: protecting critical building elements and slowing the spread of fire in buildings.

• Freeze Prevention: minimizing energy required for heat tracing systems and/or extending the time to freezing in the event of system failure.

• Personnel Protection—Safety: controlling surface temperatures to avoid contact burns (hot or cold).

• Process Control: minimizing temperature change in processes where close control is needed.

• Noise Control: reducing/controlling noise in mechanical systems.

In some projects, multiple design objectives must be satisfied simultaneously. For example, the objective may be to provide the economic thickness of insulation and to avoid surface condensation on a chilled water line. The chilled water line may pass through various spaces within the project. Since the various spaces may have differing temperature and humidity conditions, it is likely that different insulation materials, thicknesses, and coverings may be required for a single line. Because projects may involve many lines, operating at different service temperatures in various environmental conditions, it is clear that a systematic approach is required for all but the simplest projects.

Learn more about these design considerations and how to plan a project, or use the insulation design calculators at the Design Guide website.

Application

The design process for mechanical insulation systems entails developing answers to six basic questions: Why? What? Where? How? How to? and How much?

The Design Guide is divided into sections that answer each of these questions:

The Design Guide was created by the National Insulation Association to address these questions and includes information on the design, specification, installation, and maintenance of insulation systems used in the commercial and industrial sectors.

Design Guide Objective

The overall objective of the Design Guide is to identify, develop, and disseminate information related to mechanical insulation in commercial and industrial applications by examining current policies, procedures, and practices; identifying research or testing needs; developing recommendations utilizing the best science and information available; providing education and awareness programs as to the merits and value of properly designed, installed, and maintained insulation systems; and to establish a roadmap to implement improvements in insulation system design and selection; and establish application best practices. It is continually updated as deemed necessary and appropriate by the NIA to reflect current and state-of-the-art information.

Mechanical Insulation Market Definitions

Mechanical insulation encompasses all thermal, acoustical, and personnel safety requirements in:

• Mechanical piping and equipment, hot and cold applications
• Heating, Venting & Air Conditioning (HVAC) applications, and
• Refrigeration and other low-temperature piping and equipment applications.

Removeable blanket insulation Image credit: Christopher Vella/Wikimedia Commons

Mechanical insulation in the Commercial Sector is defined to include systems used in education, health care, institutional, retail and wholesale, office, food processing, light manufacturing, and similar types of applications.

Mechanical insulation in the Industrial Sector is defined to include systems used in power, petrochemical, chemical, pulp and paper, refining, gas processing, brewery, heavy manufacturing, and similar types of applications.

Scope of the Design Guide

The scope of the Design Guide includes the design, specification, installation, and maintenance of insulation systems for use within the markets defined above. Specialized insulated air-handling products (flex-duct, duct liner, and duct board products) are not considered to be mechanical insulation in the context of this Design Guide and are not addressed.

The Design Guide is an evolving, online resource intended to provide architects, engineers, facility managers, project managers, etc. with design guidance, criteria, and technology for mechanical insulation systems. The Guide is continually updated with new information and is structured as a "vertical portal," enabling users to access increasingly specific information as they navigate deeper into the site.

Click here to access the Mechanical Insulation Design Guide.

Insulating Pipe Hangers Image Credit: ©American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.

Emerging Issues

Mechanical Insulation's Role in Carbon Reduction/ESG

Research and Data

Insulation Industry Opportunity Study
A coalition of trade associations, including the North American Insulation Manufacturers Association, the Insulation Contractors Association of America, the National Insulation Association, the American Chemistry Council (Plastics Division), and the Polyisocyanurate Insulation Manufacturers Association, commissioned a study that quantifies the benefits of completing insulation retrofit projects across residential, commercial, and industrial buildings and underlines the potential impact forward-thinking policies can have on decarbonizing the built environment. A press release, Executive Summary , full copy of the study , and webinar are available for reference.

A Study on Insulation's Positive Impact on Energy Efficiency and Emission Reductions

The National Insulation Association (NIA) and the Foundation for Mechanical Insulation Education, Training, and Industry Advancement commissioned—for the first time in the history of the mechanical insulation industry—a study to determine the impact mechanical insulation systems can have on reducing the demand for energy and greenhouse gas emissions. This analysis of high-service temperature ranges (150°F–800°F) examines and interprets an 11–year window of information.

For more information about this study please visit insulation.org/about-insulation/carbon-reductions/

Relevant Codes, Standards, and Guidelines

Building Codes and Specifications

It can be difficult to find information on mechanical insulation, so NIA members and staff have created and compiled the following free technical resources. NIA's Technical Information Committee (TIC) reviews and updates these documents quarterly.

To access NIA's codes and specification resources including the Insulation Materials Specification Chart and Guide to Insulation Product Specifications click here.

Government

The following are examples of commonly referenced government codes and standards:

• ASHRAE 90.1—Standard 90.1 has been a benchmark for commercial building energy codes in the United States and a key basis for codes and standards around the world for more than 35 years.
• ASTM—ASTM International is an international standards organization that develops and publishes voluntary consensus technical standards for a wide range of materials, products, systems, and services.
• International Code Council (ICC)—The ICC is dedicated to developing model codes and standards used in the design, build, and compliance process to construct safe, sustainable, affordable, and resilient structures. The International Codes®, or I-Codes®, published by ICC, provide minimum safeguards for people at home, at school, and in the workplace. The I-Codes are a complete set of comprehensive, coordinated building safety and fire prevention codes.
• MasterSpec—MasterSpec®, a product of the American Institute of Architects (AIA), is the ultimate resource for producing specifications your way. With master guide specifications, delete what does not apply, add customizations, and rest assured that the specs are current and complete.
• National Commercial & Industrial Insulation Standards Manual—The National Commercial & Industrial Insulation Standards Manual, also known as the MICA Manual, was developed by the Midwest Insulation Contractors Association (MICA). The newly updated 8th Edition is available both in printed and interactive PDF versions with 111 MICA Insulation Plates, including vapor dams and a new Cryogenic Section, and updated Materials Property Section with tables conforming to ASTM Standards.
• Process Industry Practices (PIP)—Process Industry Practices (PIP) is a coalition of process industry owners and engineering construction contractors who serve the industry. PIP was organized in 1993 and is a separately funded initiative of the Construction Industry Institute (CII), at The University of Texas at Austin. PIP publishes documents called Practices. These Practices reflect a harmonization of company engineering standards in various disciplines. One of these disciplines is coating and insulation and includes design, selection and specification, and installation information. Visit www.pip.org to learn more.
• UL's Product iQ®—UL's Product iQ allows users to quickly find, specify, or verify UL-Certified products for projects. Visit it at https://productiq.ulprospector.com/en

Additional Resources

NIA has a vast collection of technical resources about mechanical insulation and the general insulation industry.

Glossary of Mechanical Insulation Terms: This extensive glossary can help make sense of even the most technical insulation jargon. Click here to access the glossary.

Insulation Outlook Magazine: An award-winning publication, Insulation Outlook® is the only international magazine devoted exclusively to industrial and commercial insulation applications, products, and materials. It is free for engineers, specifiers, mechanical contractors, and insulation end users. For subscription information, click here. To access Insulation Outlook's article database, click here.

Insulation Products and Providers: For the most up-to-date information on how to use or install insulation products or accessories, it is best to reach out directly to the experts. For contact information on NIA member companies, click here.

MICA's National Commercial & Industrial Insulation Standards Manual: The National Commercial & Industrial Insulation Standards Manual was developed by the Midwest Insulation Contractors Association (MICA) to serve as a useful resource for commercial and industrial insulation professionals. Widely accepted as the industry standard, the manual is a must-have guide for contractors, engineers, architects, and specifiers. For more information about the MICA National Commercial & Industrial Insulation Standards Manual, click here.

NIA's Online Store: NIA is committed to delivering access to top products and services that provide technical resources, increase industry awareness, and improve worker safety. If a specific product cannot be found, please contact products@insulation.org. To access NIA's online store, click here.

Education and Training

NIA is committed to industry advancement and offers access to a variety of training opportunities and online tools for NIA members and non-members. The resources listed below are designed to advance a business and increase industry and technical knowledge.

NIA's Education Center: NIA's Education Center is a new concept in training and education for the insulation industry to meet the growing need for easily accessible, on-demand training from a trusted industry source. With more than 30 topics in development, it will be the go-to national resource for information and training tools specifically designed for anyone who is involved in the mechanical insulation industry.

Free Industry Resources—Available to everyone through the Education Center.

• Insulation Materials Specification Chart
• Guide to Insulation Product Specifications
• Insulation Science Glossary
• Mechanical Insulation Design Guide
• Insulation Calculators

For information about the NIA Education Center email training@insulation.org. To explore the NIA Education Center, click here.

NIA's Thermal Insulation Inspector Certification: NIA's Thermal Insulation Inspector Certification Program, a two-part, four-day course to educate insulation inspectors on how to evaluate installation work and determine whether it is compliant with mechanical insulation specifications.

NIA Certified Thermal Insulation Inspector Benefits
This certification program provides education on mechanical insulation, how to verify that the insulation is being installed to the specification, and how to identify potential areas of concern during initial installation or ongoing operations. This certification-level course is designed for experienced insulation professionals ready to learn a new specialty and companies ready to offer insulation system inspection as part of their services. The course is beneficial for anyone who has responsibility for contracts, maintenance, business development, quality assurance (QA)/quality control (QC), project oversight, safety, inspections, estimating, management, product development, mechanical insulation system design, and specification development. For more information about NIA's Thermal Insulation Inspector Certification program, click here. To find a Certified Thermal Insulation Inspector, click here. For a list of insulation inspector program FAQs, click here.

NIA's Insulation Energy Appraiser Certification: The Insulation Energy Appraisal Program™ (IEAP) is a 2–day course that teaches students how to determine the optimal insulation thickness and corresponding energy and dollar savings for a project. The program was designed to teach students the necessary information to give facility managers a better understanding of the true dollar and performance value of their insulated systems.

During the course students will learn how to conduct a facility walkthrough; use the 3E Plus® software; utilize infrared cameras during inspections; understand steam efficiencies; analyze and complete an appraisal spreadsheet; and present a customer with a final report that outlines the potential savings and emission reductions that mechanical insulation can provide. If interested in taking the IEAP course, email training@insulation.org for more information.

Certified Appraisers: Students who pass the certified course exam become Certified Insulation Energy Appraisers™. The certification is valid for 3 years, after which the individual must recertify. After passing the exam, students will receive a certificate, lapel pin, and marketing kit. The marketing kit includes the official copyrighted Certified Insulation Energy Appraiser™ logo to promote their certification to clients. For more information about NIA's Insulation Energy Appraiser Program, click here. To find a Certified Thermal Insulation Inspector, click here.

Overview

Animal research and animal research facilities are critical to the biomedical research enterprise. Animal species are used in every stage of the research and development effort-from discovery, to development and safety testing, to clinical trials, and to manufacture-because their biological systems, genetic structures, and immunological responses, in various ways, closely mirror ours as a species.

Numerous organizations have clearly articulated the importance and the value of animal research. Three of them are:

• Association for Accreditation and Assessment of Laboratory Animal Care International (AAALAC)
• New Jersey Association for Biomedical Research
• Pennsylvania Society for Biomedical Research

The animal research facility, also known as the vivarium, is a specially designed building type, which accommodates exquisitely controlled environments for the care and maintenance of experimental animals. Animal research facilities are related to but distinct from research laboratories. The facilities are complex, and expensive to build and to operate, but they are vital to the support of a proper, safe, and humane research effort.

Clients are pushing project design teams to create laboratories that are responsive to current and future needs; that encourage interaction among scientists from various disciplines; that help recruit and retain qualified scientists; and that facilitates partnerships and development. As such, a separate WBDG Resource Page on Trends in Lab Design has been developed to elaborate on this emerging model of laboratory design.

Building Attributes

Whether vivariums are embedded within a lab building, are in a separate structure connected to a lab building, or are independent free-standing structures, they share the same basic attributes.

Design Drivers

Walter Reed Army Institute of Research, Forest Glen, MD—A technically advanced, highly flexible facility which houses multiple organizations from the Army & Navy's major domestic biomedical research activities. Photo Credit: HLW International LLP

• Through the capabilities of their particular architecture and building systems, they maintain tight environmental control over the facility to avoid the introduction of contaminants or pathogens, and prevent the possibility of infectious outbreaks, and avoid the transmission of odors. See also WBDG High-Performance HVAC.

• These facilities are fundamentally about the care and maintenance of the experimental animals.

• Promote maintainability and cleanliness. See also WBDG Sustainable O&M Practices.

• Organize circulation to permit controlled flows of people, animals, material, supplies, and wastes.

• The ability of the operator to maintain and adapt environmental control within spaces and between circulation paths and to avoid contaminants or infection.

• Cage sizing and cage systems are species-dependent and are governed by the standards set forth in the Guide for the Care and Use of Laboratory Animals. These in turn influence room sizes, room environment, and circulation patterns.

• Research using animals is sensitive, and the design of these facilities requires a heightened awareness to the issues of security control to maintain confidentiality and to prevent unauthorized intrusions.

• The continuous maintenance of environments in these facilities must be without failure, downtime, or disruption. See also WBDG Productive—Assure Reliable Systems and Spaces.

Types of Spaces

• Animal Housing Rooms (AHRs)—Accommodate caging, bedding change stations, and sinks. See Figures 1, 2, and 3 for examples. AHRs can be organized as individual rooms accessed from a corridor system or multiple rooms could be organized into self-contained suites.

• Procedure Rooms—Proximate to AHRs and frequently interchangeable with them; they are a primary setting for research activity within the unit. The method of allowing researcher access under controlled conditions is a critical issue to be solved.

• Barrier Elements—Airlocks, lockers, pass-through autoclaves. These provide the primary barrier and access control that separates the controlled animal care environment from external influences.

• Cagewash—The hub for all cleaning, sanitizing, and husbandry activities. These areas are dominated by equipment-generated heat and moisture. The major equipment items include pass-through rackwashers, tunnelwashers, pass-through autoclaves, bedding dispensers and dump stations, and bottle washing and filling stations.

• Cage Storage—A necessary function, but a space consumer, which unfortunately is frequently short shrifted.

• Storage—A necessary space and function for feed, bedding, and equipment has to be incorporated into the operational flow and space allocation.

• Quarantine—Isolated AHRs for suspect and incoming animals that could be a source of infection.

• Dedicated Receiving Dock—A dock specific to animal functions is generally required. An elevator dedicated to animal usage should be located near the dock.

• Necropsy/Perfusion—Critical support function used for post mortem procedures on sacrificed animals. A "dirty" function that should not be proximate to "clean" areas.

• Containment Facilities—Facilities for working with potentially infectious biological agents. They operate under negative pressure to prevent the escape of air to the general environment. Wastes and effluents are separately contained and decontaminated. Sophisticated control and monitoring systems and equipment are employed to achieve closely controlled and regulated air pressurizations and flows.

• Barrier Facilities—Facilities for working with immuno-compromised species. These operate under positive pressure to keep contaminants out. As in containment facilities, control and monitoring systems and equipment are utilized in barrier facilities to maintain the required pressures and flows.

• Veterinary Care—Lab and care functions, e.g. surgery, clinical chemistry, and histology.

• Veterinary Office Space—Some provision for in-unit office spaces for veterinary care staff.

• Staff Support Areas—Break area, cafeterias, workstation, lockers, and rest-room facilities. All are intended to support veterinary and research staff during their in-unit tours of duty.

• Mechanical/Electrical Equipment Spaces—Mechanical equipment rooms, electrical and telecom closets, rooms for terminal trim devices such as dampers, coils, humidifiers and controls, distribution shafts, and mechanical penthouses. A desirable goal is to locate the spaces and devices in a manner that allows the separation of maintenance functions from animal care functions.

• Corridors tie everything together. These should be wide enough to accommodate animal rack, cart, and material traffic flow, not just egress requirements. Corridors should have a clear width of 7'–0" to 8'–0". Corridors should have impervious finishes so that they are easy to clean and maintain. Protective components such as bumper and corner guards are frequently employed to protect walls and doors from heavy, abusive traffic.

• The general organization of a vivarium is illustrated in Figure 4.

Important Attributes

1. Internal circulation systems need some form of control over clean vs. dirty (or supply vs. return) traffic.
2. Cage wash is divided between a clean, that is an incoming or supply side, and a dirty, that is an outgoing or return side.
3. Presumed or inherent, dirty functions such as necropsy and quarantine should be located near the dock.
4. The Animal receiving areas should be subdivided to distinguished between incoming animals and receiving, and outgoing waste.

Architectural Design Elements

• Floor-to-Floor Height—The clear height from floor to ceiling should be 8'–6" to 9'–0". The clear height above the ceiling should be 5'–0" to the underside of the structure to accommodate infrastructure support system distribution. Overall floor-to-floor height should be approximately 16'–0".

• Floor and Framing System—Should be stable, monolithic, (preferably concrete), and capable of a 125 psf live load to dampen vibration. Epoxy terrazzo or resinous floor coatings are preferred.

• Interior Walls and Partitions—Should be stable and capable of withstanding abuse and wash-down. Concrete masonry units are preferred substrate because of their strength and stability. There are many combinations of wall coatings, most of which employ block filler on CMUs for a smooth surface, trowelled on or sprayed on cement or epoxy based undercoatings, and are top coats with epoxy based products. Steel studs and moisture-resistant gypsum board can be used if necessary but should be coupled with protection, e.g., rails, bumpers, corner guards. Walls should have an impervious, easily cleanable finish, either block filler with latex paint, high-build coatings, or solid panels.

• Doors—Should be a minimum of 42" wide and 84" high or more. Doors should be tall enough to accommodate the free movement of racks with integrated blowers. The opening size depends on the cage and rack system in use. The other key principle is that door assemblies should be constructed to prohibit the growth of vermin or bacteria. There are numerous system choices. What they should have in common is solidity, that is the absence of voids in the top and bottom rails of the door, the jambs and the strike; an easily cleanable and maintainable surface like epoxy painted steel, stainless steel, or fiberglass reinforced plastic (FRP); and surface that won't dent or dink. Doors need to be properly protected, particularly latches, locks, and other hardware. Continuous hinges are preferred.

• Ceilings—Should consist of moisture-resistant gypsum board, latex paint or high-build coating, and sealant at intersections with walls and openings to ensure air and water tightness.

Mechanical Electrical Plumbing System Elements

• Overall system design is largely governed by the Guide for the Care and Use of Laboratory Animals and ASHRAE Handbook—HVAC Applications, Chapters 16 and 24.

Example Building Automation System (BAS) that controls airflow and space temperature, and monitors system performance, etc. from a central location.

• HVAC is the dominant system (see also WBDG High-Performance HVAC):

  • It is the maintainer of environmental control via regulation of airflow, air cleanliness via filtration, temperature, humidity, odor transmission, and contaminant control.

  • Air changes per hour, a key benchmark of system capability, can vary from a minimum of 10 to greater than 20, which equates to 1.5 cfm/sf to more than 3 cfm/sf.

  • Air quality, caging type and caging density are the primary determinants of airflow rate.

  • Since HVAC is the life-sustaining system, consideration should be given to methods of providing redundancy and backup to maintain continual operation. See also WBDG Productive—Assure Reliable Systems and Spaces.

  • Building Automation Systems (BAS) via Direct Digital Controls (DDC) control and monitor the interaction of all elements of the HVAC system. BAS makes the HVAC system responsive and adaptive.

• Plumbing systems are pervasive, but are varied, discrete, and independent. The most important elements are animal watering and major water users such as cage and rack washers. Watering system vendors maintain reliable empirical databases on watering needs by species. For major equipment, load capacity is calculated system by system.

• Electrical systems are ubiquitous. The most critical issues are reliable power and redundancy and back-up for critical systems and equipment via standby generators, weather-protected outlets in wet locations, and the increasing use of computers in procedure and holding rooms. Other critical electrical systems include: lighting cycle control, security, and monitoring of water usage.

Construction Costs

• In the New York City metropolitan area, new animal research facility construction in 2005 costs $425 — $475/sf, renovations cost $325 — $375/sf. Nationwide costs are generally 85% — 95% of the NY metro costs, depending on local market conditions.

• MEP systems represent 45% — 50% of the total construction cost.

Emerging Issues

• New research directions and technologies have increased the use of new experimental species:
  • Transgenic mice are widely used in genomic-based research across all therapeutic areas. This has been increasing the use of higher density housing types of caging in order to run more studies in shorter time periods, thus to generate a higher level of throughput. The impact on facilities has been to alter room design and room airflow characteristics to accommodate the new high density ventilated racks.
  • Zebra fish are extensively used in neuroscience studies.
• New caging and housing types, such as high density ventilated racks (HDVRs), have altered room design and are promoting the increased usage of computational fluid dynamics (CFDs) to model room environments and HVAC characteristics. When given input on room footprint, volume, lighting, air output, and heat loads sources, CFDs can generate hitherto never before conceived optimized space configurations.

• Automated record-keeping and integration with Building Automation Systems.

• Initiatives to promote psychological well-being of animals are affecting all species. Providing for such natural behaviors as exercise, opportunities for group interactions, and nesting and foraging are warranting new ideas to replace more stressful traditional housing paradigms.

• Labor saving technologies such as robotics and to a lesser extent, overhead gantry- or floor rail-based-systems, are being more extensively applied in cagewash facilities.

• Reliance on the institutional knowledge of veterinary staff at all levels during the design process is increasing.

• A "zoning" approach to facility layout that allows access to daylight via windows or other means at office and non-sensitive support spaces without having the staff leave the animal environment. This approach also provides for maintenance and device access zones for non-vivarium operational staff to service the vivarium MEP systems without crossing the animal environment barrier.

• Designing the AHR space as a flexibly-rearranged entity which can be readily changed between animal holding and procedural functions with a minimum of refit as study paradigms change.

• The streamlining of waste treatment and disposal in an environmentally-sensitive manner, both from the cagewashing operation and Necropsy/Perfusion spaces, are being addressed with new technologies.

Relevant Codes and Standards

• ASHRAE Handbook—HVAC Applications, Chapter 16 Laboratories
• ARS Facilities Design Standards Manual ARS 242.1M  by U.S. Department of Agriculture, Research Education and Economics. (See Chapter 9.4 for BL3 and BL3 Ag facility design standards. See Chap. 9.6 for Testing and Certification requirements.)
• Biosafety in Microbiological and Biomedical Laboratories (BMBL) 5th Edition by U.S. Department of Health and Human Services, Centers for Disease Control and Prevention and National Institutes of Health
• Guide for the Care and Use of Laboratory Animals by the Institute of Laboratory Animal Resources, Commission on Life Sciences, National Research Council

Government Agencies

• USDA Animal and Plant Health Inspection Service (APHIS)—APHIS is responsible for vivarium facilities under the U.S. Code of Federal Regulations.

Additional Resources

Associations/Organizations

• American Association for Laboratory Animal Science (AALAS)
• Association for Assessment and Accreditation of Laboratory Animal Care (AAALAC)—AAALAC is the most globally oriented and most widely known organization of animal research professionals. It promotes the humane treatment of animals in science through a voluntary accreditation program.
• Institute for Laboratory Animal Research (ILAR)
• Scientific Equipment and Furniture Association (SEFA)

Publications

• Building Type Basics for Research Laboratories, 2nd Edition by Daniel Watch. New York: John Wiley & Sons, Inc., 2008. ISBN# 978-0-470-16333-7.
• Guide for the Care and Use of Laboratory Animals by the Institute of Laboratory Animal Resources, Commission on Life Sciences, National Research Council. National Academy Press, Washington, D.C. 1996.
• ILAR Journal—The quarterly, peer-reviewed publication of the Institute for Laboratory Animal Research.

Overview

Work on historic buildings, landscapes, archaeological sites, or other cultural resources, requires knowledge of a unique process of compliance and review. This process differs from work on existing buildings or on new construction. The preservation process involves five basic steps: Identify, Investigate, Develop, Execute, and Educate. They should be considered in concert with other project goals requiring close collaboration between preservationists and design disciplines. To ensure a balanced, economically viable, and preservation-sensitive project, the outline below should be followed. Work on existing buildings or on new construction should also be considered in concert with other project goals requiring close collaboration between preservationists and other design disciplines.

1. Initial Project Planning Stage
2. Planning Stage
3. Design Development Stage
4. Construction Stage
5. Occupancy Stage and Operational Guidelines
6. Divestiture

A.  Initial Project Planning Stage

Determining What Makes a Building Historic

Properties may be designated as historic at the federal, state, and/or local government levels. Designation recognizes a property's historic, architectural, and community value, and from a sustainability perspective, is an indication that a building is worthy of preservation. All designating agencies use qualifications that emphasize age (usually 50 years old and older), historic significance, architectural and engineering merit, and integrity of design, character, workmanship and materials. Integrity means how well a building or property has retained the important aspects of its historic construction, appearance and association.

1. Resources that are associated with the events that have made a significant contribution to the broad patterns of history; or
2. Resources that are associated with the lives of persons significant in our past; or
3. Resources that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction; or
4. Resources that have yielded or may be likely to yield information important in prehistory or history.

Written and photographic documentation of a property, including a narrative description and a statement of significance, is required for nomination. This documentation, presented in the National Register of Historic Places Registration Form (NPS Form 10-900) or a state or local inventory form, is a key source of information to use in planning for treatment of a building. An on-line index of National Register properties is available at here.

Some income producing properties listed in the National Register, or eligible for listing in the National Register, may qualify for a federal historic preservation tax credit. States may also offer state tax credits to eligible properties.

Monticello, Charlottesville, Virginia, Thomas Jefferson, 1768 to 1782. Photo Credit: Library of Congress, Prints & Photographs Division, FSA-OWI Collection, John Collier Photographer. Reproduction number, e.g., LC-USF35-1326

National Register designation offers some protection when federal actions may impact a property. Federal financial assistance, permit, or license trigger a consultative review process known as Section 106 review which aims to avoid, minimize, or mitigate adverse effects on historic properties. The protections apply when properties are eligible, even if they are not officially listed in the National Register. Private actions are not regulated regarding National Register listed properties, although local zoning may impose local review requirements if changes are proposed for a historic building. Some states also have state laws that protect historic properties.

State Historic Preservation Offices (SHPOs) are sources of information on designated federal and state historic buildings, tax credits, and relevant laws and regulations. See ncshpo.org for a list of SHPO contacts.

Community engagement is important. Interested parties and the public can contribute insights, information and talent to the success of a project. So consider working with advocacy groups, neighborhoods, and local community organizations in the process. Likewise, professionals with related skills in architectural history, historic architectural design, ethnography, and community planning can recognize and help accommodate historic significance, architectural character, and intangible value in the final project. Build a team that best fits the needs and goals of the project.

Conduct Investigation and Research

Completing a state and/or national historic register nomination requires general knowledge of the resource type being considered (building, landscape, archaeological site), which necessitates investigation and historical research requiring qualified preservation professionals. Procuring qualified preservation professionals can make the process more efficient. (Refer to section on Form a Qualified and Experienced Project Team in Section B below.) There may also be regulations, guidelines, and applicable codes that must be followed. Preparing a nomination should be done in consultation with the consulting agencies (State Historic Preservation Officer, the Federal Preservation Officer, and the Tribal Historic Preservation Officer) to make certain all requirements are met.

Understand the History of a Property

For the long-term preservation of a historic property, it is very important to understand its history before any construction begins. Consider the following:

• When was it built?
• With what materials and methods was it built?
• Who was the architect or designer?
• What are its defining architectural characteristics or features?
  • Are these features unique in some way?
• What is their condition and will they be lost if not repaired in a timely manner?
• Are original drawings or other planning documents for a building still available?
• Has the building changed over time? If so, how?

Archival research to verify the original appearance of the building and site is helpful in establishing preservation priorities and in preparing treatment alternatives.

The Gamble House in Pasadena, California, designed by Greene and Greene in 1909 is considered to be one of the finest examples of Craftsman architecture in the U.S. A major restoration of the house was undertaken between 2003 and 2004. Photo Credit: National Park Service

An excellent planning tool for successfully completing a project for any historic resource is to develop a Preservation Management Plan. This plan may address a single building or multiple facilities and cultural resources. This document records a resource's history, why it is significant, what are the most important features to preserve. The plan delineates which areas require special protection or which areas first merit rehabilitation. The preservation management plan guides future maintenance, repairs, and alterations. Some also provide detailed guidance for rehabilitation or adaptive use.

The following are sources to aid in archival research concerning the property:

National Sources

• AASLH—American Association for State & Local History
• AIA Historic Resources Committee
• American Historical Association
• Historic American Buildings Survey (HABS)—for architectural documentation
• Historic American Engineering Record (HAER)—for sites and structures documentation
• Library of Congress
• National Archives
• National Register of Historic Places—National Register Database and Research

State Sources

• State Historic Preservation Offices
• State archives, newspapers, historical societies, libraries, and genealogical societies

Local Sources

• Local preservation commissions and advocacy groups, archives, newspapers, historical societies, libraries

Facebook Historic Preservation Groups

• Happening in Preservation!—Request to join group focused on networking opportunities for historic preservationists in the DC metro area
• Historic Preservation Professionals—Request to join group that discusses historic preservation issues, job opportunities, etc.
• Preservation Trades Network—Non-profit membership organization that provides education, networking and outreach for the traditional building trades
• Preservation of Indigenous Art and Culture—Public
• SCAD Preservation—Request to join group focused on Preservation Design within the SCAD historic preservation curriculum

Linked In Historic Preservation Groups

• ADC50 Historic and Archaeological Preservation in Transportation
• Association for Preservation Technology International
• Heritage Conservation/Historic Preservation of the Built Environment Network
• International Institute for Conservation of Historic and Artistic Works
• National Trust for Historic Preservation

Determine the Regulation, Guidelines, and Standards When an Activity is Planned That Affects the Proposed Work

When a treatment is proposed for a historic property, compliance involving a variety of public agencies may be required. Compliance with multiple federal laws is mandatory if the property is using federal funds, leases, grants, permits, or licenses (even if the historic resource is privately owned), is on federal land, or is under the jurisdiction of the federal government. For example, the National Environmental Policy Act (NEPA) requires project planners to assess the environmental effects of their proposed action before major renovations proceed. To save time and money, determine ahead of time who must review the preservation project and learn what is required for approval (at all governmental levels).

Section 106 and Section 110 of the National Historic Preservation Act (54 U.S.C. § 300101 et seq.)

Section 106, 36 CFR Part 800, Protection of Historic Properties: Section 106 regulations require that the head of any federal agency "prior to the approval of the expenditure of any federal funds on the [construction] undertaking... take into account the effect of the undertaking on any [historic] district, site, building, structure, or object". Or, more simply, if federal funds are used to do work on an individual property, then studies must be conducted to determine the potential effect of the work on the property. If any historic or cultural resource (building, land, structure, object, or feature) will be adversely affected by the work, then mitigation and/or remedial plans must be made, as well as a plan to suitably document any resource to be lost. The Advisory Council on Historic Preservation establishes policy on this process. (Note that the NHPA has been renumbered and Section 106 is now legally cited as 54 U.S.C. § 306108, although by consensus it is still commonly referenced as Section 106.)

Section 110: Section 110 regulations require that each federal agency establish and maintain a "preservation program for the identification, evaluation, and nomination to the National Register of Historic Places, and protection of historic properties" for all properties owned by or under the jurisdiction of the agency, thus providing responsible management of current and future historic properties under their care.(Note that the NHPA has been renumbered and Section 110 is now legally cited as 54 U.S.C. §§ 306101- 306114 although by consensus the sections are still commonly referenced as Section 110(a), Section 110(k), etc.)

For more information on compliance, see A Citizen's Guide to Section 106 Review and refer to the following:

• The Advisory Council on Historic Preservation
  • NEPA and NHPA: A Handbook for Integrating NEPA and Section 106
  • Guidance Agreement Documents
• Federal Preservation Officers (FPO)—For projects affiliated with an agency of the federal government
• State Historic Preservation Officers (SHPO) are the appointed official in each of 59 states, territories and the District of Columbia who are responsible for helping to save the places that matter.
• Tribal Historic Preservation Officers (THPO)—For projects affiliated with a property located on or owned by a Sovereign Tribe recognized by the United States federal government

Legal Agreements

Sometimes there are historic easements, covenants, mechanisms of title transfer, or other legal agreements placed on historic properties that can restrict work undertaken.

For more information on easements, refer to the following:

• The Conservation Easement Handbook 2nd Edition: Managing Land Conservation and Historic Preservation Easement Programs by Elizabeth Byers and Karin Marchetti Ponte. Land Trust Alliance.
• Hearing on the Tax Deduction for Facade Easements 
• Guidance on Section 106 Agreement Documents
• Guidance on Use of Real Property Restrictions or Conditions in the Section 106 Process to Avoid Adverse Effects
• National Trust Preservation Easements Resources
• Easements to Protect Historic Properties: A Useful Historic Preservation Tool with Potential Tax Benefits 

Under Section 106 of the NHPA, agencies may have binding agreements with other organizations establishing terms and conditions for protecting historic or archaeological resources.

Under Section 111 of the NHPA, agencies may also lease space in federal historic buildings not needed for agency purposes, to nonfederal entitles. Such leases can supplement a predominantly federal occupancy or generate revenue to maintain historic federal buildings between federal tenants. Lease stipulations may include shared maintenance responsibilities as well as preservation conditions and processes for review of proposed alterations. Leases to nonfederal tenants in most federally occupied buildings include provisions for compliance with federal security standards, which may require separate building access and circulation, generally accomplished by segmenting the building horizontally.

Local Compliance

For information on compliance to local regulations, refer to the following:

• Certified Local Government Program
• Historic Preservation Review Boards (contact local historic or preservation society, permitting board, historic district, landmark preservation commissions, or county clerk)
• National Alliance of Preservation Commissions
• National Environmental Protection Act (NEPA)

Codes Compliance—Building Codes and Historic Buildings

Until recently, building codes were generally written exclusively for new construction with few provisions made for historic buildings and their unique requirements. New codes are now being developed for older structures on local, state, and national levels. These include those listed in the
Relevant Codes & Standards section below.

Additionally, significant older buildings often qualify for zone or code variances if provisions are not explicitly made for historic buildings in the state or local code. Federal Agencies must adhere to other mandates, such as those listed in the WBDG Mandates/Reference section. Federal employees embarking upon a project involving a historic building in addition to checking with the agency's Federal Preservation Officer (FPO), should check with their environmental compliance office, preservation office, and/or facilities division for immediate requirements that must be adhered to.

Identify the Character-Defining Features of the Historic Property

Two terms commonly used in the Standards—and in historic preservation in general—are important for this discussion: the 'historic character' and the 'integrity' of a property. 'Historic character' is, in essence, the things that make a building special—its 'visually distinctive features, materials, and spaces,' for example, or the architectural styling of a structure or its unique methods of construction or craftsmanship. 'Integrity' refers to whether or not a building retains these important 'character-defining' features and has not been inappropriately changed over time.

Character-defining elements of the U.S. Capitol include: symmetrical massing, the prominent dome, and extensive grounds. Photo Credit: Architect of the Capitol

The terms "character-defining" or "architectural character" refer to all those distinctive elements and physical features that comprise the appearance of every historic building. Character-defining aspects of a historic building include its massing, materials, features, craftsmanship, decorative details, interior spaces and features, as well its site and environment.

Consider the following in identifying the character defining features of the historic property:

• Site
  • Setting, landscape features, district, or neighborhood
• Plan
  • Spatial definition and volume
• Envelope
  • Roof profile
  • Window and door pattern
  • Elements and assemblies
  • Envelope materials
  • Decorative finishes and features
• Finishes
  • Interior materials
  • Color and texture
  • Decoration (ornamentation and artwork)
  • Fixtures and furnishings
  • Window and door treatments (interior shutters, graining, etc.)

Following are recommended sources to aid in the investigation and to help identify a building's most salient features:

• National Park Service:
  • " target="_blank">Preservation Brief 17—Architectural Character: Identifying the Visual Aspects of Historic Buildings as an Aid to Preserving Their Character 
  • Walk Through Historic Buildings—Learn to Identify the Visual Character of a Historic Building
  • Illustrated Guidelines on Sustainability for Rehabilitating Historic Buildings —the online version of the book. The print version is available through the Government Printing Office.

Fit the Program to the Historic Building

The goal of preservation is to protect the historic integrity of an individual building and its surroundings. Once the important features of a property are identified, their protection is a priority. The design process should respect and respond to the historic features.

This former rail station depot was converted to a hotel with reception areas that preserved the grandeur of the original passenger waiting rooms.

Consider the following:

• Can the new use be adapted to preserve the integrity and character of the building?
• Can the design include provisions for protecting the property from the wear and tear associated with active use?
• What should a tenant do to ensure long-term protection of the resource?
• Does it involve removing too much of the original architectural materials, changing the plan, or adding an addition that will adversely affect the historic construction?
• Are there alternative approaches that will save more historic fabric?
• Is it feasible to adapt this property to meet the programmatic needs?
• Is it possible to satisfy federal, state, and local regulations and compliance that deal with historic preservation?

See The Secretary of the Interior's Standards for the Treatment of Historic Properties for more information.

B.  Planning Stage

Form a Qualified and Experienced Project Team

A historic property's architectural integrity and successful long-term preservation rest on decisions made throughout the entire design and construction process. Therefore, assembling an experienced, competent project team is extremely important. The selected preservation professionals should have experience working on similar historic preservation projects (e.g., the same building type or property), and understanding their unique requirements.

Historic building surveys, planning documents, and technical studies concerning repair and alteration of historic material and spaces should be prepared only by firms and individuals meeting, at a minimum, Department of Interior qualification standards for the applicable preservation professions. This should also be done in accordance with the Secretary's Standards for the Treatment of Historic Properties. These individuals include but are not limited to architectural conservators, architectural historians, preservation architects, preservation engineers, and other allied preservation professionals. It is recommended to include one or more people with knowledge, skills, and experience in the preservation trades and crafts on the team for historic preservation projects. Preservation trades people can be very helpful in the planning and design process in the survey of needs, temporary removal of building fabric for investigation of hidden features and problems, development of scope, suggesting and reviewing treatment and repair options, estimating quantities, and review of construction details and specifications. Having an interactive relationship between designers and preservation trades people in the planning and design process can often reduce project unknowns, reduce likelihood of change orders, and help in quality control. Preservation trades people can also produce mock ups of preservation treatments that can be used in the bid process as the standard of technique, results and/or quality expected in the project construction phase. See Resources section below for referrals to preservation trades and crafts people, or check with SHPO offices or local preservation organizations for referrals in your area.

Some agencies have developed criteria and procedures for evaluating the competency of preservation professionals and construction contractors.

There are many sources for finding good expertise in historic preservation, including:

• Federal Preservation Officer (FPO)—For projects affiliated with an agency of the federal government. Some agencies also have preservation professionals on staff or on contract.
• State Historic Preservation Officer (SHPO)—SHPOs often have lists of individuals with this type of experience.
• How to Find Preservation Professionals

Develop Individual Preservation Management Plans & Master Plans

Preservation Brief 43: The Preparation and Use of Historic Structure Report 

Continuing the preservation process with sound preservation planning is the next course of action. Prior to construction, it is essential to create a planning document outlining the significance of a historic building, documenting the qualities and elements that contribute to its historic character, establishing preservation priorities, and addressing how the building is to be treated. This plan can be either a "preservation management plan" or "Historic Structures Report." In government agencies, this type of document may also be referred to as an Integrated Cultural Resource Management Plan (ICRMP) and Building Preservation Plan (BPP). In addition, a "Cultural Landscape Report or Inventory" may also need to be prepared.

For additional information on preservation management plans, refer to Cultural Resouce Management Guideline from the National Park Service, as well as this example of Historic District Design Guidelines , based on the Secretary of the Interior's Standards.

Federal regulation requires development of individual preservation management plans if the property is federally owned or uses federal funds. The plan can take many forms, but MUST include the following types of information:

• Key Historical Information (when, who, what, where)
  • Archival Research (including historic drawings and photographs if available)
• Site Survey Information
• Statement of Significance
• Identification of Character Defining Features
• Documentation of Existing Conditions
  • Captioned and Mapped Photos of Existing Conditions (interior and exterior)
  • Description of Existing Physical Conditions (on the interior and exterior)
• Materials Analyses
  • Overall Conditions Assessment
  • Structural Analysis
  • Fabric Analysis, Including Paint Analysis; Masonry
• Recommendations for Appropriate Treatments
• Future Compliance Requirements (where applicable as required by law)

The following types of information may be included in a preservation management plan or Historic Structures Report:

• Disaster Mitigation/Management Plan (See "Natural Disasters: Response, Recovery, And Resilience" on the Historic Preservation page.)
• Preservation Maintenance Plan
• Establishment of Preservation Zones
• Design Concept (for preservation, rehabilitation, and restoration of building)
• Feasibility Study for Reuse of Building
• Narrative History of Use (construction campaigns, alterations, and additions)
• Description as Built
• Project Scope of Work and Specifications
• Structural Analysis
• Life-Cycle Cost Analysis

Plan Suitable Spaces for Program Needs

Preservation management plans identify character-defining qualities and establish preservation priorities for matching program functions to specific buildings or spaces. The goal is to make the best possible use of existing historic features, minimizing the need for interventions that might compromise the historic character of the building or site. Comprehensive planning is encouraged so that all changes, large or small, are part of a well-integrated building plan, as opposed to piecemeal alterations undertaken without regard to long-term effects.

This late 19th century Chicago hotel ballroom conversion into a parking garage is not a suitable use or program for this type of highly articulated finished space. Photo Credit: National Park Service

Using preservation zoning to establish a hierarchy based on architectural merit, historic significance, and historic integrity is a helpful approach. These zone categories are then correlated to appropriate levels of treatment, in accordance with the Secretary of the Interior's Standards. The proportion of zones dictating a stricter vs. more lenient design approach is unique to each building. In some buildings, every space is highly significant and all changes must be taken with great care, under the guidance of an experienced preservation professional or team. Other buildings can accommodate greater change while still maintaining their historic character.

Buildings well matched to their tenants and functions require very little change. Whenever changing building occupancy or functions, seek uses and tenants suited to the building. Suitable uses are functions that minimize the need to alter character-defining features or spaces. The less modification required by the proposed program, the more suitable the program.

Accommodating new functions demands ingenuity. The success of which rests, to a great extent, upon the ability to successfully integrate old and new so that the property retains its historic character and the parts still relate to the whole. For specific structures deemed historic (or eligible) and perform scientific research, the Advisory Council on Historic Preservation developed guidance on Balancing Historic Preservation Needs with Scientific and Highly Technical Facilities .

In addressing changing space requirements, first consider options that enable the historic building to continue serving the function for which it was originally constructed. When the historic function is no longer viable, feasibility studies are undertaken to assess the financial and practical achievability of treatment options.

C.  Design Development Stage

Design to Minimize Changes to Historic Property

The underlying philosophy behind any preservation project is to keep to a minimum the proposed changes to a historic property. For its long-term protection, the historic property must always come first. Therefore, any changes should play a secondary role to the historic property and new work must not dictate what occurs on site. The role of the preservation design team or specialist is to help ensure that these changes contribute to, rather than detract from, a building's historic character and design unity.

If a historic property is on federal land or using federal funds and changes are proposed, the State Historic Preservation Officer (SHPO) in which the property is located must be consulted to comply with Section 106. The Secretary of the Interior's Standards provide the framework for responsible preservation design. Technical guidance is available to help resolve common preservation challenges.

U.S. Courthouse, Scranton, Pennsylvania. Adding an adjoining or freestanding annex, which is on the left of this image, has enabled many federal courts to remain in historic courthouse buildings, allowing continued public access to ceremonial courtrooms. Photo Credit: U.S. General Services Administration

For more detailed design guidance, refer to the following WBDG pages:

• Update Building Systems Appropriately
• Accommodate Life Safety and Security Needs
• Provide Accessibility for Historic Buildings
• Sustainable Historic Preservation

Skilled contractors repair historic steel industrial sash. Photo Credit: Audrey Tepper

Select Competent and Qualified Contractors

Similar to the selection of the project team, the construction team should consist of qualified contractors and subcontractors with experience working on similar historic properties. Select contractors early enough to include them in developing solutions that meet the project goals (where the contract process so permits).

GSA has developed contract language and evaluation criteria to verify the competency of architectural and engineering firms, as well as, construction contractors that propose to work on historic buildings. GSA's preservation project management online guidance also includes a model scope of services for architectural and engineering design work involving historic buildings. For more information, visit the GSA Historic Buildings.

D.  Construction Stage

Provide Temporary Protection

Construction activity during the course of a project can damage historic resources. Therefore, providing temporary protection of a building or site including character-defining features during this time should be incorporated in planning and construction documents. On-site supervision with regular inspections ensures that historic fabric is not at risk. For additional information on temporary protection, see the National Park Service's Tech Notes on Temporary Protection.

Ensure Fire Safety During Construction

Many historic buildings are destroyed as a result of fires during construction. Fire-safe clean-up, including removal of flammable solvents and rags and debris, is critical. Fire suppression systems must be maintained and augmented when appropriate. Leave pathways to exits clear, and ensure that fire doors remain closed. Additional supervision may be required while high-risk construction activities are underway.

Historic building sensitively rehabilitated after devastating fire. Photo Credit: National Park Service

Educate Workers and Public on Significance of Historic Property

Educating everyone involved in the project—from the property owner, to the consultants (architectural, structural, mechanical, plumbing, electrical, civil), to the contractors and laborers, and to the eventual property users—about why the property is worthy of preservation is vitally important. The better informed one is the more likely one is to treat the property with care.

Regular on-site supervision and good communication between the preservation team and the construction team can protect a historic building while construction is underway. Sometimes features worthy of preservation are uncovered as work progresses and this can ensure these and other important elements are not compromised.

Wayside signs or exhibits describing construction/preservation work can generate interest in the project while building goodwill among tenants and visitors who are inconvenienced by construction. The costs of these installations can be offset by reduced effort required to respond to questions and complaints.

Develop Building Maintenance Manual

Ongoing maintenance at the Eisenhower Executive Office Building, Washington DC. Photo Credit: U.S. General Services Administration

For the long-term protection of a historic resource, operational guidelines should be developed for not only tenants, but also for the building staff. These guidelines should provide:

• Documentation on building systems
• Facilities management programs to record important information on the operation of a building or property
• Schedules for cyclical maintenance and custodial procedures
• Schedules for regular inspections of important features
• Guidance resources
  • Preservation Brief 47: Maintaining the Exterior of Small and Medium Size Historic Buildings 
  • GSA's Technical Preservation Guidelines

E.  Occupancy Stage and Operational Guidelines

Establish Leasing Agreements

Tenants must know what they can and cannot do prior to leasing. This type of information may be included in leasing documents and through the development of tenant guidelines.

Historic properties must also be protected when tenants move in or relocate to a property. Transporting furniture and office equipment can often cause damage unless care is taken to protect important features during increased levels of activity. Once again, accommodations for temporary protection should be made early on in the planning process and in construction documents.

Leases should also include procedural guidance for Section106 compliance when alterations are unavoidable.

Develop Special Events Policies

Historic properties are often used for special events (e.g., exhibitions, receptions, parties, demonstrations, etc.). These activities increase the wear and tear on a property and can damage an historic resource. Temporary protection of the architectural fabric and landscapes when equipment is moved in and out, and when the space is being used, should be provided.

Historic buildings must be protected when special events are held. Former general post office/Hotel Monaco, Washington, DC. Photo Credit: National Park Service

The following actions are recommended to minimize the effects of special events on the historic property:

• Confer with code officials to determine the types of activities that are appropriate for the space. Develop specific special events guidelines, noting that some activities are inappropriate for the property.
• Establish a permitting process when public or private buildings are leased for uses beyond their usual function, such as using a museum for a social event.
• Establish that lessees should submit in advance how they propose to use a historic property; some activities may be inappropriate.
• Determine beforehand who is responsible for protection and incidental damage as a result of leasing out a space. Consider mandatory security deposits.
• Ensure that the property (or lessee) is adequately insured to cover any damage.
• Ensure that appropriate on-site supervision is present throughout the event and clean-up.

Update Individual Preservation Management Plans

Technical guidance provided in the preservation management plans and other preservation plans should be periodically updated to ensure that the plans reflect current conditions especially following major rehabilitation, restoration, alteration or adjoining new construction. Updating also ensures that recommendations take into account technical advancements in treatment technologies that may have occurred since the plan was initially created. The opportunity should also be taken to confirm that photographic and narrative documentation is complete and sufficiently detailed to meet current needs. Updates should be undertaken by a specialist firm meeting the Department of Interior qualification standards, preferably by the firm who prepared the original plan.

F.  Divestiture

Changing missions and operations will often render historic properties excess to an organization's function. Any discussion concerning life-cycle costing is not complete unless the end of an asset's useful life is planned. Divestiture is the use of any authorized method to permanently remove the real property asset from the organization's inventory. Real property that is no longer required for current validated missions or established and authorized future missions will usually be identified as excess property and properly divested. In this regard, divesting of a property will be considered either by disposal in which the ownership of the property is transferred or by demolition in which the property is torn down, deconstructed, or otherwise destroyed. Within the Federal government, the divestiture process is highly regulated, documented, and controlled.

Disposal

Generally the Federal government promotes the use of historic buildings. Disposal of a historic property is the preferred course of action if the building cannot be repurposed for an organization's reuse. Methods of disposal include the sale, exchange, or transfer of the real property. For instance, the National Historic Lighthouse Preservation Act (NHLPA) of 2000 (P.L. 106-355) permits historic lighthouse properties excess to U.S. Coast Guard needs may be transferred at no cost to state or local governments, nonprofit corporations, or community development organizations for educational, cultural, recreational, or other uses that provide for long-term stewardship and public access.

Some agencies have disposal authorities and NHPA agreements supporting public-private preservation partnerships and agency-specific stewardship strategies. The Veterans Administration (VA) developed a Program Comment under the NHPA's Section 106 regulations (36 CFR 800.14(e)) to establish a hierarchical method of considering re-use, disposition, or demolition of vacant and underutilized secondary buildings on VA campuses. GSA disposal authorities allow transfer at below market value (up to 100 percent discount) to provide public benefits, including preservation and continued public access. Public benefit transfers also authorize the Government's option to revert the property back to Federal Government ownership if a transferee fails to maintain or use the property as stipulated in the transfer agreement. Property conveyed under certain circumstances may be used for revenue-producing activities to support the historic building's preservation.

Agencies such as GSA and the National Park Service have also used NHPA Section 111 leasing authoring to shift the burden of operational and maintenance costs for historic federal properties to nonfederal tenants. Although specialized federal functions and access restrictions required for security reasons are a common obstacle to shared federal and non-federal use, Section 111 has enabled many historic buildings to remain in federal ownership with provisions for public access to spaces of special significance. Revenue generated by Section 111 leases is reinvested, in turn, in the earning historic building or other historic buildings controlled by the agency.

Temporary Protection of Vacant Properties

To protect a vacant, unoccupied facility from the elements, vandalism, or trespassing while the future of the facility is considered, buildings can be temporarily closed. Mothballing is the term used for the systematic de-activation of a building after documentation and stabilization have been completed. This process requires securing the building from unwanted entry, securing components and decorative features, preventing moisture intrusion at the exterior envelope and roof, providing interior ventilation, and developing a maintenance and monitoring plan.

See NPS Preservation Brief 31: Mothballing Historic Buildings 

Demolition

While demolition of a historic property is usually not recommended, procedures are in place to regulate this activity. Part of the process for determining viability of alternatives to avoid demolition, should be an economic analysis of the alternatives which should include a no action alternative. When alternatives to avoid adversely affecting historic and cultural properties are determined by the consulting parties not to be prudent and feasible, mitigation measures with the SHPO or THPO shall be developed to minimize the potentially adverse effect. Mitigation measures shall be appropriate to the nature and importance of the historic and cultural properties in question. In all cases, there will be preservation of such physical features as may be prudent and feasible. Such measures may include, but are not limited to:

• Modifying the proposed undertaking through redesign, reorientation of the project site, and other changes;
• Limiting the magnitude or extent of the proposed undertaking or identified alternatives;
• Rectifying the potentially adverse effects by rehabilitation, repairing, or restoring the affected resources;
• Compensating for the potentially adverse effects, for example, through the recovery and interpretation of scientific, prehistoric, historic, and archeological data; and
• Minimizing potential adverse effects over time through preservation procedures occurring throughout or subsequent to the undertaking.

Whenever an action may result in destruction or alteration of an historic property, the property will be properly documented prior to its alteration.

Relevant Codes and Standards

Federal Mandates

• National Historic Preservation Act (NHPA) of 1966 as amended through 1992
  • Code of Federal Regulations, Section 106, 36 CFR Part 800, "Protection of Historic Properties"
  • Section 110 of the National Historic Preservation Act
• Executive Order 13006, "Locating Federal Facilities on Historic Properties in Our Nation's Central Cities"

Standards and Guidelines

• National Historic Landmarks Program
• National Park Service, Caring for Your Historic Building
• Secretary of the Interior's Standards for Treatment of Historic Properties
• National Register Nomination Process
• Secretary of the Interior's Standards for the Treatment of Cultural Landscapes
• Standards and Guidelines also exist for: archaeology, maritime resources, and other cultural resources

Federal

• Historic Preservation Technical Documents by the General Services Administration (GSA)

State / Local

• Contact your State Historic Preservation Officer
• Maryland Building Rehabilitation Code
• California Historical Building Code (2016) 
• CMR 3409.0 Massachusetts Building Code Section 780—Historic Building exceptions 
• New Jersey Rehabilitation Sub-Code. A groundbreaking performance code written for rehabilitation projects and widely recognized as a model by code promulgation bodies.
• Tribal Historic Preservation Officers (THPO)—For projects affiliated with a property located on or owned by a Sovereign Tribe recognized by the United States federal government.

Codes

• Fire Prevention and Building Code Compliance for Historic Buildings: A Field Guide prepared by the University of Vermont Graduate Program in Historic Prevention in cooperation with the Vermont Division for Historic Preservation and the Vermont Department of Labor and Industry, December 1997 
• Guideline on Fire Ratings of Archaic Materials and Assemblies, U.S. Department of Housing and Urban Development 
• International Code Council (ICC) family of Building Codes
  • International Building Code (IBC)
  • International Existing Building Code (IEBC), Historic Buildings, Chapter 12
• International Conference of Building Officials Uniform Code for Building Conservation, 1997
• Refer to "Determine the Regulation, Guidelines, and Standards When an Activity is Planned That Affects the Proposed Work" under Section A of this page.

Additional Resources

Publications

General

• Conservation of Historic Buildings, Third Edition (Conservation of Historic Buildings) by Bernard Feilden. Architectural Press: July 2003.
• Eight Guiding Principles in the Conservation of Historic Properties Architectural Conservation Notes. Ontario Ministry of Citizenship, Culture, and Recreation.
• LEED for Neighborhood Development and Historic Preservation
• National Register Bulletins and Brochures, National Park Service.
• Preservation Trades Network is a nonprofit organization for referrals to preservation trades and crafts people.
• Timber Framers Guild is a nonprofit organization for referrals to preservation trades people with a carpentry emphasis.

Codes

• Building Code, Heritage Standards & Laws Heritage Society of British Columbia
• Smart Codes: A New Approach to Building Codes by Elizabeth G. Pianca. Forum News: May/June 2001, Vol.7, No. 5.

Technical Guidance

• APT Bulletin, The Association for Preservation Technology International
• Athena Sustainable Materials Institute—For information on life cycle
• Balancing Historic Preservation Needs with the Operation of Highly Technical or Scientific Facilities by the Advisory Council on Historic Preservation. 1991 .
• Conservation of Historic Buildings, Third Edition by Bernard Feilden. Boston, MA: Architectural Press, 2003.
• Conserving Buildings: Guide to Techniques and Materials, Revised Edition. Martin E. Weaver. New York: John Wiley & Sons, Inc., 1997.
• Cultural Landscapes Charrette Background Paper, prepared by Victoria Coleman, NSW Heritage Office, 2003.
• English Heritage Publications
• GSA Technical Guidelines
• GSA Historic Preservation Policy, Tools & Resources
• Historic Scotland Technical Publications
• National Center for Preservation Technology and Training (NCPTT), National Park Service
• National Park Service, Preservation Brief Series

Investigation

• House Histories: A Guide to Tracing the Genealogy of Your Home by Sally Light and Margaret Eberle (Illustrator). Golden Hill Press, September 1989.
• Preservation Brief 35—Understanding Old Buildings: The Process of Architectural Investigation by Travis C. McDonald, Jr. National Park Service, 1994 .
• Specifying Buildings, A Design Management Perspective by Stephen Emmitt and David T. Yeomans. Butterworth-Heinemann, 2001.

Preservation Management Plans

• The Conservation Easement Handbook, 2nd Edition: Managing Land Conservation and Historic Preservation Easement Programs by Byers, Elizabeth and Karin Marchetti Ponte, Land Trust Alliance.
• CRM (Cultural Resources Management Bulletin) Issue 1984 7-01, Page 15: Historic Structures Report by Frances Joan Mathien.
• A Historic Structure Report Symposium Proceedings by Lonnie J. Hovey. The American Institute of Architects Press, October 1996.
• House Histories: A Guide to Tracing the Genealogy of Your Home. Sally Light, Margaret Eberle (Illustrator). Golden Hill Press, September 1989.
• Preservation Brief 43—The Preparation and Use of Historic Structure Reports by Deborah Slaton. National Park Service, 2005 .
• Preservation Plan for the Cruiser Olympia—Example of an individualized preservation plan
• Specifying Buildings, A Design Management Perspective, Stephen Emmitt, David T. Yeomans. Butterworth-Heinemann, 2001.
• What is Preservation Planning? (As it pertains to collections.) Sherelyn Ogden. Northeast Document Conservation Center.

Special Events Policies

• The Lincoln Memorial: Guidelines for Special Events and Demonstration, December 1996 by National Park Service, National Capital Parks-Central (NACC). Washington, DC, December 1996.—available through the National Park Service, Lincoln Memorial Park or National Capital Region Office.
• Understanding Old Buildings; The Process of Architectural Investigation. Preservation Brief 35 by Travis C. McDonald, Jr. National Park Service, 1994 .

Training

• WBDG13 Strategies for Sustainable Historic Preservation
• Advisory Council on Historic Preservation, Section 106 Training
• HistoriCorps
• National Council for Preservation Education
• National Preservation Institute (NPI)
  • Historic Structures Reports (HSRs) and Maintenance Plans: Tools for Preservation
  • List of NPI's Online and Customized Training
• Preservation Trades Network: List of Preservation Trades Training Programs and Apprenticeship Programs

Introduction

Architectural programming began when architecture began. Structures have always been based on programs: decisions were made, something was designed, built and occupied. In a way, archaeologists excavate buildings to try to determine their programs.

Today, we define architectural programming as the research and decision-making process that identifies the scope of work to be designed. Synonyms include "facility programming," "functional and operational requirements," and "scoping." In the early 1960s, William Peña, John Focke, and Bill Caudill of Caudill, Rowlett, and Scott (CRS) developed a process for organizing programming efforts. Their work was documented in Problem Seeking, the text that guided many architects and clients who sought to identify the scope of a design problem prior to beginning the design, which is intended to solve the problem.

In the 1980s and 1990s, some architectural schools began to drop architectural programming from their curricula. The emphasis of the Post-Modern and Deconstruction agendas was instead on form-making. Programming and its attention to the users of buildings was not a priority. Now, several generations of architects have little familiarity with architectural programming and the advantages it offers:

• Involvement of interested parties in the definition of the scope of work prior to the design effort
• Emphasis on gathering and analyzing data early in the process so that the design is based upon sound decisions
• Efficiencies gained by avoiding redesign and more redesign as requirements emerge during architectural design.

The most cost-effective time to make changes is during programming. This phase of a project is the best time for interested parties to influence the outcome of a project.

The "whole building" design approach is intended "to create a successful high-performance building." To achieve that goal, we must apply the integrated design approach to the project during the planning and programming phases. People involved in the building design should interact closely throughout the design process. The owner, building occupants, and operation and maintenance personnel should be involved to contribute their understanding of how the building and its systems will work for them once they occupy it. The fundamental challenge of "whole building" design is to understand that all building systems are interdependent. (Source: WBDG Web site, the goal of "Whole Building" design).

Description

According to standard AIA agreements, programming is the responsibility of the owner. However, the owner's programmatic direction can vary from vague to very specific. In some cases, the owner does not have the expertise to develop the program and must use the services of a programming consultant. Most programming consultants are either architects or have architectural training, but others have become skilled through experience. Many architects perform programming as an additional service to their standard contracts. Many building type consultants (laboratory, health care, theater, etc.) have expertise in programming components of facilities.

Levels of Programming

Programming may happen for different purposes and may impact the level of detail of investigation and deliverables. For instance, programming at the master planning level is more strategic in nature—providing information to building owners to make decisions regarding current and projected space needs and rough budgeting for implementation. Programming at the individual project level provides specific, detailed information to guide building design.

An Architectural Programming Process

The following discussion is intended to provide a clear process for conducting the research and decision-making that defines the scope of work for the design effort. It is imperative that the major decision-maker—the client-owner—allows participation of all of the stakeholders, or the client-users, who are affected by the design. Experience has shown that client-users' involvement in the programming process results in designs that can be optimized more efficiently.

Organizing for the Programming Effort

Design programming should involve the parties that are affected by the design solution.

Prior to the beginning of the process of programming a project, the programmer and the client-owner develop a list of the stakeholders to be involved. One organizational method is to form a Project Programming Committee with representatives from the stakeholder groups. For example, if the project is to be an office/classroom building for the humanities department at an institution of higher education, the Project Programming Committee could include representatives from the involved academic department(s), faculty, students, and building operations and facility maintenance departments.

Lines of communication must be established to determine how and when meetings will be called, what the agenda will be, how contacts will be made, and how records of the meetings will be kept. The authority of the committee must be made clear. In the example above, the committee's authority will be to make recommendations to the college authorities. Within that framework, the committee must decide how it will make decisions as a committee (by consensus? majority rule? other means?).

A Six-Step Process

Many different programming formats incorporate the same essential elements. In all cases, the design programming fits within a larger context of planning efforts which can also be programmed. For design programming for a building, we propose a six-step process as follows:

1. Research the project type
2. Establish goals and objectives
3. Gather relevant information
4. Identify strategies
5. Determine quantitative requirements
6. Summarize the program

1) Research the Project Type

This step is necessary if the programmer is working on a project type for the first time. The programmer should become familiar with some of the following relevant information:

• The types of spaces frequently included in the building type,
• The space criteria (number of square feet per person or unit) for those spaces,
• Typical relationships of spaces for these functions,
• Typical ratios of net assignable square footage (NASF—areas that are assigned to a function) to gross square footage (GSF—total area to the outside walls) for this building type,
• Typical costs per square foot for this building type,
• Typical site requirements for the project type,
• Regional issues that might alter the accuracy of the data above in the case of this project, and
• Technical, mechanical, electrical, security, or other issues unique to the project type.

This information can be obtained from literature on the building type, analysis of plans of existing projects, expert consultants familiar with the building type, and/or cost estimating services.

2) Establish Goals and Objectives

Working with the committee, the programmer solicits and suggests broad goal statements that will guide the remainder of the programming process. (See Design Objectives on the WBDG Web site.) Each of the following categories of goals should be addressed:

• Organizational Goals: What are the goals of the owners? Where do they see their organization headed? How does this architectural project fit into this broad picture?
• Form and Image Goals: What should be the aesthetic and psychological impact of the design? How should it relate to the surroundings? Should its image be similar to or distinct from its neighbors? From other buildings belonging to the owner that are located elsewhere? Are there historic, cultural, and/or context implications?
• Function Goals: What major functions will take place in the building? How many people are to be accommodated? How might the building design enhance or impact occupant interactions?
• Economic Goals: What is the total project budget? What is the attitude toward initial costs versus long-range operating and maintenance costs? What level of quality is desired (often stated in relation to other existing projects)? What is the attitude toward conservation of resources and sustainability (energy, water, etc.)?
• Time Goals: When is the project to be occupied? What types of changes are expected over the next 5, 10, 15, and 20 years?
• Management Goals: These goals are not so much an issue of the nature of the project as they are the circumstances of the owner, clients, programmer, or architect. For example, perhaps the schematic design must be completed in time for a legislative request application deadline.

3) Gather Relevant Information

Based upon the goals, the categories of relevant information can be determined and researched. Typical categories include:

• Facility users, activities, and schedules: Who is doing what, how many people are doing each activity, and when are they doing it?
• What equipment is necessary for activities to function properly? What is the size of the equipment?
• What aspects of the project need to be projected into the future? What is the history of growth of each aspect that requires projection?
• What are the space criteria (square feet per person or unit) for the functions to take place?
• What other design criteria may affect architectural programming: access to daylight, acoustics, accessibility, campus/area design guidelines, historic preservation, etc.?
• Are there licensing or policy standards for minimum area for various functions? What are these standards?
• What are the energy usage and requirements?
• What code information may affect programming decisions?
• Site analysis: the site is always a major aspect of the design problem and therefore should be included in the program. Site analysis components that often affect design include:
  • Legal description
  • Zoning, design guidelines, and deed restrictions and requirements
  • Traffic (bus, automobile, and pedestrian) considerations
  • Utility availability (a potentially high cost item)
  • Topography
  • Views
  • Built features
  • Climate (if not familiar to the designer)
  • Vegetation and wildlife
• Client's existing facility as a resource
  • If the client is already participating in the activities to be housed in the new facility, it may be possible to make use of information at hand. Determine if the existing facility is satisfactory or obsolete as a resource.
  • If a floor plan exists, do a square foot take-off of the areas for various functions. Determine the building efficiency (the ratio of existing net-to-gross area). This ratio is useful in establishing the building efficiency target for the new facility.
  • If the client is a repeat builder (school districts, public library, public office building, etc.), obtain plans and do area take-offs; determine typical building efficiencies.
  • Use the existing square footages for comparison when you propose future amounts of space. People can relate to what they already have. (See illustration above in Step 5, Determine quantitative requirements.)

4) Identify Strategies

Programmatic strategies suggest a way to accomplish the goals given what one now knows about the opportunities and constraints. A familiar example of a programmatic strategy is the relationship or "bubble" diagram. These diagrams indicate what functions should be near each other in order for the project to function smoothly. Relationship diagrams can also indicate the desired circulation connections between spaces, what spaces require security or audio privacy, or other aspects of special relationships.

Other types of strategies recur in programs for many different types of projects. Some examples of common categories of programmatic strategies include:

• Centralization and decentralization: What function components are grouped together and which are segregated? For example, in some offices the copying function is centralized, while in others there are copiers for each department.
• Flexibility: What types of changes are expected for various functions? Do facilities need to change over a period of a few hours? A few days? A summer recess? Or is an addition what is really needed?
• Flow: What goods, services, and people move through the project? What is needed at each step of the way to accommodate that flow?
• Priorities and phasing: What are the most important functions of the project? What could be added later? Are there ongoing existing operations that must be maintained?
• Levels of access: Who is allowed where? What security levels are there?

Ideally, each of the goals and objectives identified in Step 2 will have some sort of strategy for addressing that goal. Otherwise, either the goal is not very important, or more discussion is required to address how to achieve that goal or objective.

5) Determine Quantitative Requirements

Cost, schedule, and affordable area are interdependent. Costs are affected by inflation through time. Affordable area is determined by available budgets.

In this step, one must reconcile the available budget with the amount of improvements desired within the project time frame. First, a list of spaces is developed to accommodate all of the activities desired (see Exhibit A). The space criteria researched in Step 3 are the basis of this list of space requirements. The space requirements are listed as net assignable square feet (NASF), referring to the space assigned to an activity, not including circulation to that space.

A percentage for "tare" space is added to the total NASF. Tare space is the area needed for circulation, walls, mechanical, electrical and telephone equipment, wall thickness, and public toilets. Building efficiency is the ratio of NASF to gross square feet (GSF), the total area including the NASF and tare areas. Building efficiency equals NASF/GSF. The building efficiency for a building type was researched in Step 1 and possibly Step 3. See Exhibit A for an example of space requirements.

The building efficiency of an existing space used by a client can inform the selection of the net-to-gross ratio. The example below of an office suite within an office building illustrates the areas of net assignable square feet and tare area. Notice that some space within an office is considered circulation, even though it is not delineated with walls. We call this circulation, "phantom corridor."

In the case of a tenant improvement within a larger building, one establishes the "internal gross" of the leased space. Additional support space or tare area such as mechanical rooms and public toilets would not be included in the calculation for this project type.

The desired GSF is then tested against the available budget (see Exhibit B). In drafting the total project cost, the programmer uses the cost per square foot amount researched in Step 1. Factors for inflation should be included, based upon the project schedule. Costs should be projected to the date of the mid-point of construction because bidders calculate estimates on the assumption that costs could change from the time of the bid date.

The total project cost includes the construction cost (for building and site work), plus amounts for architect's fees, furniture and equipment, communications, contingency, printing for bid sets, contingency, soils tests, topological surveys, and any other costs that must come from the owner's budget. The intention is to help the owner prepare for all the project costs, not just those costs assigned to construction.

If the bottom line for the project costs is more than the budget, three things can happen: 1) space can be trimmed back or delegated to a later phase (a reduction in quantity); 2) the cost per square foot can be reduced (a reduction in quality); or 3) both. This reconciliation of the desired space and the available budget is critical to defining a realistic scope of work.

6) Summarize the Program

Finally, once all of the preceding steps are executed, summary statements can be written defining "in a nut shell" the results of the programming effort. All of the pertinent information included above can be documented for the owner, committee members, and the design team as well. The decision-makers should sign-off on the scope of work as described in the program.

Once a program is completed and approved by the client, the information must be integrated into the design process. Some clients want the programmer to stay involved after the programming phase to insure that the requirements defined in the program are realized in the design work.

Emerging Issues

Some of the emerging issues in the discipline of architectural programming include:

1. Development of standards and guidelines for owners that build similar facilities frequently. These efforts include:
   1. Formalizing (computerizing) building facility requirements for Web-based consumption—for example, the National Park Service has developed Facility Planning Model Web-based software to assist park superintendents and other staff in the development of space and cost predictions for legislative requests. The intention is to make budget requests more realistic and more comprehensive.
   2. Facility programming to make early predictions to aid in early capital budgeting
2. Client-owners are increasingly requiring verification that the design complies with the program.
3. New technologies are generating a need for types of space which have no precedents. Basic research on these technologies is required to determine standards and guidelines.
4. As more clients require measures for building energy and resource conservation standards (LEED, Green Globes, etc), the programming process needs to reflect these requirements in goals, costs, scheduling, and process.
5. The supply of facility programmers is smaller than the demand. More professionals need to consider this sub-discipline as a career path.

Relevant Codes and Standards

A very important part of programming is identifying relevant codes and standards that apply to the project (see Steps 1 and 3 above). Codes, covenants, deed restrictions, zoning requirements, licensing requirements, and other legal obligations can have significant influence on costs and therefore, affordable GSF. These factors must be identified prior to design.

Many governments and institutions have developed standards and guidelines for space allocations. For example, the General Services Administration (GSA), military, and higher education institutions all have standards and guidelines. These standards must be adhered to in programming projects for these clients. The standards are also useful as guidelines for agencies that have not developed their own standards.

Some standards are mandated by statutes in some jurisdictions for licensing, accreditation, or equity purposes. Schools, hospitals, correctional facilities, and other licensed or accredited institutions may be required to meet these standards prior to opening their doors.

Some building codes identify the number of square feet allocated per person for certain types of occupancy. However, while these ratios may determine the legal occupancy numbers for the facility, exiting requirements, fire separations, etc., they represent the minimum requirements. It may be necessary to accommodate specific activities adequately with more space.

Additional Resources

WBDG

Design Guidance

Space Types, Building Types

Documents and References

Case Studies, Federal Mandates

Design Disciplines

Cost Estimating for a discussion of conceptual cost estimating.

Design Objectives

Cost-Effective for additional cost estimating software resources.

Sources for Space Criteria and Project Type Research

Graphic standards and other design standard sources:

• AIA Building Types series
• School Districts and/or Departments of Education
• National Park Service Facility Planning Models (Museum Collection Facility, Maintenance Facility, Education Facility, Visitor Facility and Administration Facility) by Architectural Research Consultants, Incorporated: Albuquerque, NM, 2004-2005. Computer software.
• Accrediting agencies
• State, county, and municipal, licensing and regulatory agencies.

Bibliography

• Architectural Programming: Creative Techniques for Design Professionals by R. Kumlin. New York, NY: McGraw-Hill, Inc., 1995.
• Architectural Programming, Information Management for Design by D.P. Duerk. New York, NY: Van Nostrand Reinhold, 1993.
• "Facilities Planning on a Large Scale: New Mexico State Police Facilities Master Plan" by John Petronis, AIA, AICP in Programming the Built Environment edited Wolfgang F. E. Preiser. New York, NY: Van Nostrand Reinhold, 1985.
• Chapter 12.1, "Programming" by Edith Cherry, FAIA, ASLA, in The Architect's Handbook of Professional Practice by American Institute of Architects. Washington D.C., 2008.
• Problem Seeking: An Architectural Programming Primer, 5th Edition by William M. Peña and Steven A. Parshall. New York, NY: John Wiley & Sons, Inc., 2012.
• Professional Practice in Facility Programming by W.F.E. Preiser. New York, NY: Van Nostrand Reinhold, 1993.
• Programming for Design: From Theory to Practice by E. Cherry. New York, NY: John Wiley & Sons, Inc., 1998.
• Programming the Built Environment by W.F.E. Preiser. New York, NY: Van Nostrand Reinhold, 1985 ed.
• Project Programming, A Growing Architectural Service by E.T. White. Tucson, Arizona: Architectural Media Ltd., 1991.
• Square Foot Cost Data and Building Construction Cost Data by RS Means. 100 Construction Plaza, P.O. Box 800, Kingston, MA, 02364-0800, issued annually.
• "Values: A Theoretical Foundation for Architectural Programming" in Programming the Built Environment by R. Hershberger. New York, NY: Van Nostrand Reinhold, 1985.

Exhibit A: Space Requirements

In this example of space requirements, the list is divided into two parts representing space with significantly different construction costs.

Exhibit B: Example of a Total Project Budget

Note that the Construction Cost, Line E, is significantly less than the Total Project Cost. The client needs to know what the total project will cost, not just the construction cost.