High risk buildings - verification during construction: phase 1 of compliance plan approach - verifiers guidance

2. Description

The Compliance Plan Approach is essentially a robust compliance quality system in which the actions of parties involved in the building warrant design and construction process and verifiers are planned, recorded and reported on.

This will provide clarity on the responsibilities individuals have in terms of the Building (Scotland) Act 2003, and in turn allow contractual responsibilities to be clear.

There are a number of potential offences which can be committed under the Building (Scotland) Act 2003. These offences, which include carrying out work without or not in accordance with a building warrant, or occupying a building knowingly or without regard to a completion certificate not having been granted, can be committed by any person.

Offences related to the submission of a completion certificate can only be committed by a Relevant Person, and the offence relates to the submission of the completion certificate, knowingly or recklessly, which contains a false statement, not the signing of the completion certificate declaration.

Offenses can also be committed by persons in their capacity or employment within a body corporate including local authorities, to which section 49 of the Building (Scotland) Act 2003 refers.

The identify of individuals who may have committed offences under the Building (Scotland) Act 2003 would be identified by applicants on building standards forms but ultimately identified by a Procurator Fiscal in pursuing a prosecution.

The processes involved in the CPA support the actions and responsibilities in the current Building Standards system. The purpose of the CPA is to demonstrate that the duty imposed on the Relevant Person to certify compliance with building regulations (by signing and submitting a completion certificate to the verifier) is being managed robustly during the design and construction stages of a building warrant application to deliver a compliant completed building.

This focus on planning and recording the actions of those responsible for compliance (through legislative requirements and contractual arrangements to support those responsible), will provide local authorities with evidence to support any necessary enforcement action.

The Act establishes a role for suitably qualified persons (whether individuals or bodies corporate or unincorporated and including public bodies and office-holders) as approved certifiers of design or construction. The appointment by Scottish Ministers, is to certify that specific elements of design or construction work comply with the building regulations.

Two roles are designated as approved certifiers of design and approved certifiers of construction. Approved certifiers are required to check the specified elements of design/construction, as set out within the scope of the scheme of which the certifier is a member and detailed within the relevant scheme guide. Their role is to certify compliance with the building regulations as appropriate.

Certification under the Act provides increased assurance through legislation over other recognised forms of industry based certification. Certification of Design or Construction schemes are approved through application Scottish Ministers only.

Prewarrant stage – it is not uncommon in projects which fall under the definition of HRB that the project design team will seek an early discussion with the local authority building standards verifier. This is normally to discuss a technical compliance issue which is considered complex or unusual but can also involve a discussion of the proposed stages of building warrant that may be submitted.

The verifier must not provide design advice, since this is not the role of a regulator.

This guidance looks to focus prewarrant discussions on compliance and how the risks of non-compliance during the construction phase can be managed and mitigated and provides a standard template for use in recording salient points and outcomes, which can be used by both parties to inform and support a subsequent building warrant submission.

This standard template, found in appendix 2, prompts discussion on procedural compliance, approaches to compliance with building regulations and standards, areas of high risk, those responsible for delivering the works and evidence to the Relevant Person and building standards verifier.

Since 2013 building warrant assessment and approval requires the creation of a Construction Compliance Notification Plan (CCNP) by the building standards Verifier in line with VDC guidance. The CCNP describes the inspections, checks and evidence requirements required when considering the acceptance or rejection of a completion certificate for that project.

The Compliance Plan (CP) aims to broaden the scope of the Construction Compliance and Notification Plan (CCNP) by incorporating procedural compliance requirements, defined information checkpoints, such as building warrant stages, design and construction certification, and contractor designed portions, along with mandatory inspection and notification points and the compliance evidence needed by the verifier at completion.

Construction and completion - the CP will be issued to the applicant or their agent and as per a CCNP be created and completed by the building standards verifier. This will require a partnership between the verifier and applicants’ team, as the verifier will have to request information from the project.

As with the CCNP, it can be amended and reissued when the building warrant is amended (including amendments for a stage). During construction the verifier must update the CP, showing actuals against the planned actions and requirements.

In adding this guidance to the suite of VDC, it is expected that the existing publications will be amended for clarity.

Further details on the Scottish building standards system can be found in the building standards procedural handbook, and other guidance published by the Scottish Government^[4]