Case Studies - Washington State Energy Code

Certification for Inspectors and Plan Reviewers for the Non-Residential Energy Code

Executive Summary

Strong energy codes are an important, low cost approach for improving energy efficiency. Without strong enforcement by local code officials and compliance from the construction industry, energy codes do not deliver the promised energy savings.

In 1991, Washington State began the process of revising its non-residential energy code (NREC). Early in the revision process, energy code compliance became an important issue. A 1991 study of compliance in a randomly drawn sample of roughly 200 buildings in Oregon and Washington concluded that compliance with the commercial energy code was roughly 50 percent in both states.

The energy code compliance study emphasized the need for strong energy code enforcement and this became an important element of the NREC revision and implementation effort. The revised NREC was greatly simplified over previous versions of the code to make it easier to comply with and enforce. The NREC allows for the use of qualified special plans examiners and inspectors (SPE/I) for required inspections pursuant to Section 1701 of the Uniform Building Code.

The SPE/I Certification Program was established to assure local jurisdictions that qualified individuals were available to provide special plans review and inspection as specified in the code. The program was purely voluntary. Local building departments had the option of enforcing the energy code themselves or using SPE/I. In addition, local building officials did not have to be SPE/I certified to provide plans review or inspection for energy code compliance.

The SPE/I Certification Program was the key element of the enforcement component of the NREC Implementation Plan. The utilities in Washington State created and funded the Utility Code Group (UCG) to fund, manage, and coordinate the Implementation Plan for the 1994 NREC. The emphasis on enforcement and certification in the Implementation Plan was due to the desire of the utility funders to make sure their investment in the 1994 NREC resulted in increased compliance with the energy code.

A certification program can increase compliance with the energy code in three principle ways:

Ensuring Minimum Competence Levels. Certification assures that inspectors have a minimum level of knowledge. Certification allows local building code jurisdictions to use registered SPE/I and meet the enforcement requirements in the energy code.
Long-term Professional Development. Certification establishes professional standards and benchmarks. It provides those in the industry with the opportunity to raise their professional competency and to receive recognition and credentials for doing so.
Marketing Energy Codes. Certification increases the penetration and credibility of a code. It sends a signal that a code should be taken seriously and that someone cares about the code and how it is enforced.

The special plans examiner and inspector (SPE/I) certification program was administered by the Washington Association of Building Officials (WABO). The components of the SPE/I Certification Program included:

Code Language: Language in the 1994 non-residential energy code (NREC) specifically allows for the use of SPE/I.
Training: A comprehensive eight hour course was offered to prepare for the certification test. The training classes were free. The training course was developed by Building and Design 2000, a consortium of industry partners headed up by the Association of General Contractors.
Testing: Seven certification tests for special plans examiners and inspectors were given during the three and a half year life of the program. The cost for taking the exam was 50 dollars. The tests were developed, given, and scored by the International Council of Building Officials (ICBO). WABO scheduled, marketed, and handled registration. The Utility Code Group (UCG) paid for the development of the exam and heavily subsidized the exam fee.
List of Certified SPE/I: WABO maintained a list of certified SPE/I which was updated and provided to local building departments quarterly. The UCG developed and made available a list of certified SPE/I that were interested in providing third party plan review and inspection.
Support Materials: The UCG developed a guidebook to provide information to building departments and permit holders on how to use the services of an SPE/I. A field guide was developed for building code officials and SPE/I on what to look for in the field to achieve compliance.
Application: If a local jurisdiction chose to use the SPE/I program, then they directed the permit holder to contact an SPE/I and arrange for the appropriate review or inspection. The permit holder was responsible for paying the SPE/I directly for services. Local utilities provided reimbursement for these costs according to a standard fee schedule.

The total cost for the management and implementation of the 1994 NREC was a little less than five million dollars. It is difficult to identify the specific costs of the SPE/I Certification Program because it overlapped with other components of NREC implementation. The approximate cost of the SPE/I Certification Program was 250 thousand dollars. A little over half this cost was split between test development, testing, administration, and evaluation. The remainder was for the certification review training course.

As of June 1996 there were 156 registered plans examiners and 140 inspectors. Approximately 240 individuals took the plans examiners test (pass rate of 65 percent) and 350 took the inspectors exam (pass rate of 40 percent). Between 40 and 50 percent of those certified were employed by local building jurisdictions. The remainder were from the private sector, primarily engineers and energy consultants. Approximately 600 to 700 individuals took the certification test preparation course.

A little over 10 percent of the local building departments used the special plans examiner or inspector enforcement mechanism. Less than 10 percent of the permitted buildings used this approach. Most local jurisdictions decided to do energy code enforcement themselves. The reasons most local jurisdictions decided to enforce the energy code themselves are related to their professional ownership of code enforcement and the desire to provide comprehensive customer service to their clients.

The certification program played a role in increasing the competency of those enforcing the code. While the use of special plans examiners and inspectors (SPE/I) was somewhat limited, many local building jurisdiction staff that enforced the energy code were certified. An energy compliance study will be completed in February 1997. Preliminary assessments suggest higher levels of energy code compliance (relative to the 1991 study), particularly in cases where an SPE/I was involved. A series of interviews with building professionals, building officials, and SPE/I suggests that communication and compliance have improved since the 1991 compliance study. The use of an SPE/I was cited as an important contributor to this. However, some felt the SPE/I was an additional complication that lengthened the permitting process.

The energy code compliance study will give a more complete picture of the value of the SPE/I certification program. We believe the program helped market the energy code, provided a professional development opportunity, raised professional standards, helped ensure a minimum competency level, provided local jurisdictions with options for enforcing the energy code, and was a mechanism for helping the building industry become more familiar with the non-residential energy code (NREC).

The administration and maintenance of the SPE/I certification program was subsidized by the Utility Code Group (UCG) as part of the 1994 NREC implementation process. In March 1997, the UCG will close and transfer its activities to industry. It is not clear whether the certification program could be self sustaining without the utility subsidy. The market for those wanting to be certified may be saturated. If the demand for certification is low, then the ability to generate revenue from the certification program declines and the need for a subsidy continues. Given the ongoing restructuring of the utility industry, continued utility subsidies will be limited.

The International Council of Building Officials, or other peer organizations such as the American Institute of Architects, Electric League, and Oregon Building Officials could take over the certification program and potentially expand it regionally and nationally. There is also discussion of creating an Energy Codes Institute that could function on a regional and national level. Expansion to other states in the region could create enough demand to sustain the SPE/I Certification Program.

Some of the factors necessary for a successful certification program include the following issues:

Active participation of peer organizations in the certification
Move the certification program towards sustainability early in the implementation phase.
Provide for use of special inspectors in energy code language.
Tie certification into other energy code enforcement activities.
Recognize that certification is a marketing program.
Identify and prioritize key issues when developing training and testing.
Realize the limitations of a voluntary program that works within the existing elements of energy code enforcement.