Building standards - compliance plan manager role: development of scope

5. CPM Role Document

1. Building on all the research and development work to date, including preliminary CPM role proposals developed by the Scottish Government, desk research, stakeholder interviews and input/guidance from the Professional Body Group (PBG), this chapter – the CPM Role Document – provides a detailed picture of the role and associated requirements.

2. The CPM Role Document has been developed iteratively through the course of the research and reviewed at two junctures by the PBG. It is intended to be used on a standalone basis and comprises the following sections:

• Role description
• Appointment
• Responsibilities
• Outside scope
• Relationships with others
• Qualifications
• Experience
• Competences

3. It is not intended that this iteration of the Role Document be the final version, nor that it be restricted to this format, but it provides a well-developed articulation of the role to be taken forward based on expert insights.

5.1 Role description

1. The CPM is a mandatory and independent role for all high-risk category building projects in Scotland;

2. The CPM takes responsibility for shepherding the compliance journey from start to finish on high-risk category building projects; demonstrating the achievement of compliance under the Building (Scotland) Act 2003; reducing the risk of non-compliance during construction and once a building project is complete; and exercising all reasonable skill and care to ensure process and procedural compliance is followed.

3. The involvement of a CPM on a project does not transfer existing compliance responsibilities from other project stakeholders on to the CPM. Ultimate responsibility for compliance will remain with the Relevant Person (RP) – usually the building owner.

4. Their role is to:

a. Support the RP, namely the building owner/developer, to meet their legislative requirement to build in accordance with the approved plans and achieve compliance in accordance with the building regulations;

b. Protect the public interest by confirming and evidencing that the design and construction of building projects complies with the Building (Scotland) Regulations 2004, including the approved plans and details;

c. Reduce the risk of non-compliance during construction and once building projects are complete;

d. Determine through a process of inspection or other means that everything is in order before authorising a verification stage inspection by the local authority verifier to check that all work is proceeding according to plan;

e. Confirm that all pre-emptive procedural requirements are met, including that building warrant approval is obtained before building work takes place; approved stages of work are adhered to; any amendments to design follow the appropriate amendment to the building warrant process; and that permission is obtained prior to building use/occupation.

5. Failure in the above will result in construction/occupation delays, potential suspension of work, fines and ultimately imprisonment.

6. To meet their role requirements, the CPM is to:

a. Provide continuity of compliance oversight and coordination from as early a point as possible but no later than pre-application assessment, to completion of high-risk building projects;

b. Produce and oversee a Compliance Plan (CP) from building warrant pre-application discussion stage to completion;

c. Ensure that the CP is fully executed and achieved on behalf of the RP as their ‘duly authorised compliance agent’;

d. Be impartial and fully independent of the verifier, designer, contractor, sub-contractors and specialists involved in the project.

7. The CPM oversees work to the point that the RP or the CPM can properly and legally submit a completion certificate to the verifier. The CPM also ensures that the verifier has been able to make all planned inspections and checks and is in a position to accept the completion certificate submission. Ultimately, this is to ensure a building is suitable to be sold, occupied and insured.

5.2 Appointment

1. The CPM is to be appointed by the RP no later than the pre-application assessment stage, and ideally as soon as possible after planning permission has been granted, in order that the CPM can:

a. Contribute to the compliance discussion and associated risks at the detailed design stage of a HRB;

b. Develop familiarity with the project;

c. Identify safety critical features in the proposal that may not otherwise have been considered;

d. Consider how identified risks can be mitigated;

e. Consider procedural compliance requirements; and

f. Consider realistic timescales for staged submissions etc.

2. Any change of CPM must be notified to the verifier as soon as possible with the RP being responsible for ensuring the continuity of compliance.

5.3 Responsibilities

1. At design stage, identify the safety critical aspects of the project, compliance risks, inspection needs and information/documents to be gathered and collated;

2. Work with the designer, contractor, sub-contractors and specialists (where appropriate depending on the procurement route) to coordinate, collate and submit to the local authority verifier:

A draft CP for consideration with the building warrant;

A risk assessment statement identifying any design-related issues to support the verifier’s interrogation of building warrant application proposals.

3. Set out assurances to demonstrate to the verifier how compliance with the building regulations will be achieved;

4. Finalise and agree the CP verification inspection and compliance information requirements in conjunction with the verifier;

5. Develop (in conjunction with the designer and contractor):

The Relevant Person Compliance Evidence (RPCE) detailing the complete package of documentation to be collated and submitted to the RP, including the programme of intended inspections and testing, project dates and stages. To be based on the building type and associated risks identified in the project;

The Verification Compliance Evidence (VCE) containing the relevant evidence required to support the completion certificate submission and including details of verification notifications for agreed inspection stages and any alternative evidence. To be based on the building type and associated risks identified in the project.

6. Identify information required from others to support the CP being discharged in full;

7. Co-ordinate and liaise with the contractor on their planned inspection of works;

8. Co-ordinate the certification and inspections conducted by others, including the designer, contractor, sub-contractors and specialists;

9. Undertake own checks to ensure everything is in order before authorising/instructing notification of CP inspection stages to the verifier;

10. Confirm that all planned local authority verification inspections, checks and other evidence requirements are fully met;

11. Collate, manage and maintain all necessary records as evidence of required actions being undertaken and to support the submission of the completion certificate;

12. Verify that all required actions as part of the CP have been undertaken and make a declaration accordingly at the relevant design and construction stages;

13. Confirm that the building as constructed matches approved building warrant plans to enable the legal submission of the completion certificate to the verifier;

14. Confirm that any changes to the approved design have been agreed with the verifier through the appropriate building warrant amendment process prior to submission of the completion certificate;

15. Issue the completed CP with the VCE to the RP for onward submission with the completion certificate to the verifier, so that the verifier can check their requirements have been met;

16. Confirm that processes are in place regarding the choice of products, materials and systems to comply with the building regulations, including a Declaration of Conformity; and

17. Monitor and ensure procedural compliance.

5.4 Outside scope

1. Supervision of contractors to agreed quality assurance standards and/or codes set by contractual arrangement, their company, trade association or professional body;

2. Giving advice/making recommendations about aspects of design, except in relation to overcoming a compliance risk, for example using innovative techniques;

3. Steering and directing contractors in undertaking their existing duties;

4. Non-safety critical aspects of a project (except where these are a building regulation requirement); and

5. Stopping a construction project or taking enforcement action, although the CPM should seek a resolution in the first instance in representing the RP, and has a duty inform the verifier of any compliance concerns, failures or infractions.

5.5 Relationships with others

1. Act in the public interest and on behalf of the RP;

2. Act as the main point contact for the verifier and work with the site manager to ensure verification inspections are facilitated;

3. Maintain impartiality and act with honesty, integrity and respect for others;

4. Work collaboratively with all those involved in the delivery of a building project, including (but not limited to) the verifier, designer, contractor, sub-contractors and other specialists;

5. Promote that compliance is the responsibility of all involved in a building warrant project – collect and determine any compliance concerns raised (register)

5.6 Qualifications

1. Attainment and maintenance of professional competency as a CPM in line with relevant professional body scheme requirements (to be confirmed) including mandatory Continuing Professional Development (CPD);

2. Chartered membership of a relevant buildings-related professional institute.

5.7 Experience

Essential

1. Sufficient post-qualification experience to meet the competence requirements set out below;

2. Working in a built environment profession at a senior level, involving compliance checking of complex and/or high-rise/high-value commercial projects;

3. Managing the delivery of major building projects in relation to regulatory requirements and standards, including (for example) project definition and set up, management of consultants, costs, risks, quality and timings;

4. Managing compliance with the latest Construction (Design and Management) Regulations;

5. Work in relation to high-risk building types.

Desirable

6. Commercial experience in the construction industry;

7. Experience using innovative tools to oversee Compliance (e.g. interactive risk/issue trending dashboards and digital snagging and evidence tools).

5.8 Competences

Regulatory

1. Hold sufficiently detailed knowledge of relevant legislation, regulations and standards pertaining to the design, construction, health and safety of high-risk buildings in Scotland, including structural warranty technical manuals, construction and market infrastructure;

2. Hold sufficient knowledge of the principles of building design and construction to make independent decisions and assessments on the compliance of construction work to meet building regulations, including knowledge of:

a. Building products, including how they work together;

b. Design and build processes/methods; and

c. Building typologies and uses.

Technical

3. Able to make decisions on complex issues relating to the design and construction of higher risk buildings and commission specialist assistance where necessary;

4. Able to undertake investigations, inspections and/or surveys and report findings and recommendations;

5. Able to understand and monitor programmes of building work to ensure a ‘right first time’ approach to achieving procedural compliance;

6. Specialist skills and knowledge of safety critical features as they relate to higher risk buildings;

7. Strong understanding of risk identification and assessment techniques.

Contractual

8. Working knowledge and understanding of building contracts as well as technical/specialist/design tasks and inspections involved in meeting the standards applicable to high-risk buildings;

9. Able to interact effectively with different functions involved in the delivery of a building project, including verifiers, designers, contractors, sub-contractors and other specialists;

10. Able to communicate complex/technical issues clearly, concisely and effectively, both verbally and in writing, to suit the target audience;

11. Able to exercise sound judgement in determining when to insist on corrections in the interests of being able to demonstrate compliance;

12. Proven ability to work unsupervised in relation to higher risk complex buildings.

13. Independent of the contractor;

14. In possession of adequate Professional Indemnity Insurance (PII)^[16].

Cross-cutting

15. Persuasive, diplomatic and tactful;

16. Attentive to detail;

17. Professional, organised and driven, with a desire to learn and develop;

18. Calm in stressful situations;

19. Excellent at working under own initiative;

20. Strong problem-solving skills;

21. Strong analytical, reporting and general IT skills;

22. Strong thinking and reasoning skills;

23. Excellent standard of written English;

24. Able to demonstrate professional conduct at all times;

25. Committed to ethical working practices.

Desirable

25. Able to undertake and interpret robust fire safety risk assessments and make appropriate recommendations for remedial action;

26. Familiarity with software programs used in the development of building projects;

27. Proven management and financial governance skills.