Building regulations - proposed changes to energy and environmental standards: stage 2 consultation and BRIA

8 Enforcement, Sanctions and Monitoring

8.1 Background

The changes confirmed in this consultation identify where amendment is needed to supporting guidance to the Building (Scotland) Regulations 2004 (as amended) and the Building (Scotland) (Procedures) Regulations 2004 (as amended).

Supporting guidance will include the Technical Handbooks which give guidance on ways of complying the mandatory standards. Guidance will also include the proposed new Energy and Environmental Compliance Handbook which will give guidance on the production of the energy and environmental design and construction statements.

It will also extend to the approved calculation methodologies required by regulations and cited in published guidance.

All matters relating to enforcement, sanctions and monitoring will be carried out under the existing processes, which form the building standards system in Scotland, as set out under the Building (Scotland) Act 2003. Parties responsible for operation of the system are currently the 32 Scottish Local Authorities, appointed as verifiers under the Act, and the Building Standards Division, on behalf of Scottish Ministers.

8.2 Enforcement and sanctions

The regulatory changes proposed apply where work subject to the Building (Scotland) Regulations 2004 requires that a building warrant must be obtained before work commences and a completion certificate accepted once works are finished. Whether or not such work requires a building warrant is set out under Regulation 5 of the Regulations, the person responsible for the building or work, the ‘relevant person’ as defined in Section 17 of the Building (Scotland) Act 2003, is required to ensure compliance with building regulations.

Regulation 4 and 41 of The Building (Procedure) Scotland) Regulations 2004 set out information which must be provided in support of an application for building warrant or amendment of building warrant and the submission of a completion certificate. Changes to these regulations require the provision of an energy and environment statement at both design and construction stages to support verification of compliance against specified mandatory standards.

Where a building warrant is required, proposals are subject to the scrutiny of verifiers prior to approval of building warrant or acceptance of a completion certificate. Local authorities have enforcement powers under the act to ensure compliance with approvals and the Regulations. Cases of non-compliance can be referred to the Procurator Fiscal and persons found guilty of offences in terms of the Act are liable on summary conviction to a fine not exceeding level 5 on the standard scale. Separate work is underway to review the sanctions which can be applied to non-compliance with building regulations.

8.3 Monitoring

The objective of this exercise is to deliver a reduction in delivered energy and a healthy indoor environment alongside the introduction of a robust compliance regime in new buildings through changes to building regulations. Building regulations are applied within a legislative framework summarised above. In line with Scottish Government policy, any implemented changes which address this issue should be subject to a review within a 10-year period. Any such review shall be accompanied by a further Impact Assessment.