Conceptual Cross-Theoretical Assessment Model for Practitioners’ Compliance Behavior with Building Energy Codes

Abstract

Recent studies indicate that issues in compliance with building energy codes (BEC) are closely linked to practitioner’s varying compliance behavior, which jeopardizes BEC’s effectiveness and low-carbon target. Compliance usually means conforming to a rule, however what concerns BEC is going beyond minimal compliance. While building authorities introduce various interventions to promote practitioner’s compliance, magnitude of behavior changes from these interventions is unknown. In addition to this, variables from disciplinary-isolated compliance theories may generate a limited understanding concerning practitioner’s compliance behavior. Thus, this paper aims to conceptualize a cross-theoretical assessment model for building practitioner’s compliance behavior with BEC. This is achieved over two steps. First, an assessment for individual practitioner’s BEC compliance behavior is designed, integrating theory of planned behavior with compliance models from disciplines across criminology and psychology. This illustrates the variables that shape practitioner’s compliance behavior, and classifies the practitioner’s compliance behavioral states into: (1) not intended to go beyond minimal compliance, (2) intended but unsuccessful to go beyond minimal compliance, and (3) intended and successful to go beyond minimal compliance. Second, the model is expanded to aggregate-level by incorporating social influence theory. This enables a group-level time-dynamic assessment that considers interconnected practitioners’ interactions. This model thus demonstrates assessment mechanism of characterizing building practitioner’s emergent compliance behavior that results from inter-person interactions and regulatory interventions. Though this conceptual model is not yet empirically tested, it is designed based on well-established theories to ensure credibility. Eventually, this study informs authorities to formulate suitable and tailored interventions to promote compliance with BEC.