Building standards - Early Adopters Scheme: compliance handbook

5. Early Adopters Compliance Plan Process

The EA CP plan process consists of 9 steps:

Step 1: Apply to be an early adopter

Step 2: Acceptance/rejection of application

Step 3: Complete and submit the Application for a Pre-Warrant Compliance and Procedural Assessment Meeting, along with the proposed CP

Step 4: Verifier reviews application

Step 5: Pre-Warrant Compliance and Procedural Assessment Meeting

Step 6: Building Warrant Application

Step 7: Building warrant granted and final CP issued

Step 8: Construction stage

Step 9: Completion stage

5.1 Step 1 – Apply to be an Early Adopter

To apply to be an EA complete the Expression of Interest form, available on the Construction Quality Improvement Collaborative (CQIC) website. Applicants should ensure that the minimum requirements to become an EA (detailed in section of 4.4 of this guidance) have been met before applying.

5.2 Step 2 – Acceptance/rejection of application

The Expression of Interest application will be assessed, and BSD will speak to the relevant verifier to ensure that they can facilitate an EA project. The applicant will then be informed if the application can be taken forward. Included in an acceptance response will be a principal contact for the relevant verifier to be used by the applicant when applying for a Pre-Warrant Compliance and Procedural Assessment meeting.

5.3 Step 3 – Complete and submit the Application for a Pre-Warrant Compliance and Procedural Assessment, along with the proposed CP

Having developed the project design, the next step is to download and complete the Application for a Pre-Warrant Compliance and Procedural Assessment and the Proposed Compliance Plan template, from the CQIC website, in line with this Handbook.

The application for pre-warrant compliance and procedural assessment should be completed by the CPM/RP and should include the following information about the project:

• the key individuals involved
• any previous conversations with the verifier
• the approach taken to compliance with the building regulations, including any alternative approaches to the guidance contained in the Technical Handbook
• any high compliance risk elements that have been identified and the mitigation measures to be put in place
• any certification of design and/or construction that will be used
• any consultations, reports, or consents
• if a Customer Agreement is required - in some complex cases, applications for a building warrant can be subject to a "customer agreement" between the applicant and the Building Standards Team where the performance outcomes, including the target first response period, will be specifically agreed rather than default 20 days), and
• a proposed fire safety design statement.

The proposed CP should be completed by the person in the CPM role and will include the following information about the project:

• projected timescales
• building warrant submission plan, which includes the proposed stages of the project, description of the works in that stage and the associated dates
• who will be submitting the completion certificate
• contractor construction inspection and evidence documentation to demonstrate how compliance with the building regulations and client requirements are being met, and how these are being monitored
• any other construction inspection and evidence documentation (not carried out by the contractor), e.g. structural engineer checking erected steelwork, clerk of works inspections, to demonstrate how compliance with the building regulations and client requirements are being met, and how these are being monitored
• verification construction inspection stages (current CCNP element), including any additional compliance evidence that the CPM has identified could be submitted to assist with demonstrating compliance, and
• compliance evidence and completion certificate submission documentation checklist, which lists the items that must be submitted by completion stage (the items pre-selected are those that apply to all buildings).

These are then submitted to the verifier (via the principal contact as detailed in Step 2 above), along with drawings and supporting information to support the pre-warrant compliance and procedural assessment.

5.4 Step 4 – Verifiers checks and validates application

The verifier will review the application for completeness and respond with any requests for additional information or clarifications. Once all necessary information has been received a date for the pre-warrant compliance and procedural assessment meeting will be set.

5.5 Step 5 – Pre-Warrant Compliance and Procedural Assessment Meeting

The pre-warrant compliance and procedural assessment meeting with the verifier should be attended by the CPM, other members of the project design and management team and the contractor (if in place). It will focus on what compliance issues and risks may be anticipated during the construction process and what measures the CPM proposes to minimise risk of non-compliance during construction. At the meeting the contents of Pre-Warrant Compliance and Procedural Assessment Form and the CP will be discussed.

It is recommended that the pre-warrant compliance and procedural assessment meeting takes place at least 3 months before the building warrant application is planned to be submitted. This allows time for compliance and procedural assessment process to be carried out and the applicant to collate all the necessary reports and information required to make a competent building warrant application.

The purpose of the pre-warrant compliance and procedural assessment meeting is not to discuss detailed technical design aspects of the project. The purpose is to consider compliance risks and develop and agree the CP and to discuss and agree the timing of the building warrant application and stages. The meeting is informed by the Pre-Warrant Compliance and Procedural Assessment Form, the proposed CP, and any associated information (detailed in Step 3, above).

The outcome from the process is an agreed in principle CP (which should also state the drawing reference numbers used during the discussions) which will be part of the subsequent building warrant application.

5.6 Step 6 – Building Warrant Application

Having completed work for the full Building Warrant Application the application should be made in line with the timeframe detailed in the agreed in principal CP.

The agreed in principal CP should be included with the Building Warrant Application. If proposals have materially changed between the pre-warrant compliance and procedural assessment meeting and the building warrant submission, further discussions will be required during the building warrant assessment stage to finalise the CP. Relevant factors could include any significant design change, or any other changes that effect the compliance risk profile such as a change of contractor, additional alternative approaches being adopted.

5.7 Step 7 – Building warrant granted and final CP issued

The CP is issued along with the building warrant approval.

5.8 Step 8 – Construction Stage

At construction stage the CP becomes a living document in electronic format stored in a shareable space so that both the CPM and the verifier can edit and update it. It may require to be varied if significant changes to the project are proposed and this can be considered and facilitated during the normal amendment of BW processes.

It is the CPM’s responsibility to manage the CP throughout the project and to ensure it is fully discharged. The CPM will ensure the verifier is made aware, with reasonable notice, when each stage agreed in the CP is ready for inspection or any other checks were to be made. The verifier then carries out the planned inspections or reviews the agreed alternative evidence provided by the applicant.

It is recommended that the progress of the CP stages is reviewed regularly at routine meetings between the project team, contractor, and verifier. These could, for example, be as part of any Construction Quality Improvement Collaborative (CQIC) quality routine monthly meetings. As they occur, and certainly prior to the routine CP meetings, the CPM should check progress against the CP and flag any concerns, compliance or procedural that require discussion with the verifier, by moving the RAG status of the elements of concern within the CP to amber or red as appropriate. This sets the issues for discussion and resolution at the CP meeting. It is expected that due to the nature of complex large scale construction projects there will be situations that certain items within the CP may cause concerns and be highlighted as amber or red by either the CPM and/or verifier. However, it is essential that such matters are resolved within the CP and move to green with the agreement of the verifier before the completion certificate (CC) submission is made.

5.9 Step 9 – Completion Stage

The Completion Certificate (CC) submission must include the completed and fulfilled CP, the compliance evidence and all documentation and information previously requested. If the CP is not completed the CC will be rejected.

The CC must be submitted by the RP or the CPM as the duly authorised agent. The RP is legally responsible for compliance with the building regulations and therefore it is the RP responsibility to appointment competent professionals to oversee compliance on their behalf and to ensure that work has been carried out by qualified and experienced building professionals. The CPM may sign the CC on behalf of the RP, but this does not move the responsibility for compliance, which remains with the RP.