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

8. Appendix 1

Process Maps

Compliance Plan Verifier Guidance – Pre-Warrant Process (v1)

The process is divided into four main roles:

• Relevant Person(s)
• Design Team
• Main Contractor
• Local Authority/Verifier

Steps:

• 1.01a – Relevant Person appoints a contractor/developer with responsibility for the design team.
• 1.01b – Relevant Person appoints a design team.
• 1.02 – Design team approaches verifier for pre-warrant discussions.
• 1.03 – Main contractor appoints design team.
• 1.04 – Verifier provides standard pre-warrant assessment form.
• 1.05 – Design team completes pre-warrant assessment form and submits it to verifier.
• 1.06 – Submission of pre-warrant assessment received.
• 1.07 – Validity check: Is the submission detailed enough to support a discussion?
  • If NO, it loops back to step 1.05 (design team revises submission).
  • If YES, proceed to next step.
• 1.08 – Pre-warrant submission logged in verifier back-office systems and allocated to team.
• 1.09 – Verifier arranges pre-warrant meeting.
• 1.10 – Pre-warrant meeting chaired by verifier (appears twice, likely for different scenarios or participants).
• 1.11 – Verifier records meeting outcomes on the pre-warrant assessment form and issues to design team.
• 1.12 – END of process.

Compliance Plan Verifier Guidance – Building Warrant Application Process (v1)

(Note: This process map does not attempt to show detailed building warrant assessment and approval processes.)

• Relevant Person(s)
• Design Team (Applicant/Agent)
• Consultees
• Local Authority Verifier

Steps:

Compliance Plan Verifier Guidance – Construction Phase Process (v1)

The process involves four roles:

• Relevant Person(s)
• Design Team (Agent of the RP)
• Main Contractor
• Local Authority / Verifier

Steps:

• 3.01 – Compliance Plan provided to wider design team and main contractor.
• 3.02 – Design Team provides compliance evidence and site inspection notifications to verifier in accordance with the compliance plan.
• 3.03 – Main Contractor provides compliance evidence and site inspection notifications to verifier in accordance with the compliance plan.
• 3.04 – Verifier ensures communication channels between verifier team and project team remain open.
• 3.05 – Verifier logs contact with design team/contractor.
• 3.09 – Decision point: Is this a notification for an inspection event?
  • YES → Go to step 3.08.
  • NO → Go to step 3.11.
• 3.06 – Inspection event carried out as per compliance plan (Design Team).
• 3.07 – Inspection event carried out as per compliance plan (Main Contractor).
• 3.08 – Inspection event carried out as per compliance plan (Verifier).
• 3.11 – Verifier logs compliance evidence.
• 3.12 – Verifier assesses the compliance plan with the alternatives to the planned actions which will satisfy their reasonable inquiry.
  • If NO, go back to steps 3.02 / 3.03 / 3.04.
• 3.13 – Is the compliance plan being adhered to?
  • If YES, proceed.
• 3.15 – Have works been completed?
  • If YES, move to next process of considering completion certificate submission (step 4.01).
• 3.10 – Relevant person updated regularly by design team.
• 3.14 – Design team informed by verifier of updated requirements.
• 3.16 – Relevant person informed by design team/agent of updated requirements.
• 3.17 – If compliance plan is not adhered to, return to steps 3.02 / 3.03 / 3.04.
• 3.18 – Move into process of considering completion certificate submission (step 4.01).

Compliance Plan – Completion Stage Process (v1)

The process involves five roles:

• Relevant Person(s)
• Design Team
• Main Contractor
• Consultees
• Local Authority / Verifier

Steps:

• 4.03 – Work on site is completed.
• 4.04 – Compliance plan inspection events and evidence reviewed:
• Decision Point: Has all compliance plan inspection event evidence been received?
  • NO → Go to step 4.08.
  • YES → Next decision point.
• Decision Point: Are there any other non-compliance issues with the building?
  • NO → Go to step 4.08.
  • YES → Go to step 4.07.
• 4.05 – Relevant Person can submit Completion Certificate Submission, including all supporting information.
• 4.06 – Relevant Person advised that work is completed and compliance plan actions have been actioned and accepted.
• 4.07 – Relevant Person advised that work is completed and compliance plan actions have been actioned and accepted (similar to 4.06, but after non-compliance resolution).
• 4.08 – Relevant Person advised that work is completed and compliance plan actions have been actioned and accepted (final confirmation).
• 4.09 – Local Authority Verifier receives Completion Certificate Submission.
• 4.11 – “Completion” information entered into verifier back-office system.
• 4.10 – Consultations carried out as per Building (Scotland) Act 2003, Section 18(3).
• 4.12 – Decision Point: Have all compliance plan inspection events and evidence been actioned?
  • NO → Go to step 4.13 (Completion Certificate Rejection).
  • YES → Next decision point.
• 4.14 – Decision Point: Are there any other non-compliance issues?
  • YES → Go to step 4.13 (Completion Certificate Rejection).
  • NO → Go to step 4.18 (Acceptance).
• 4.13 – Completion Certificate Rejection (Relevant Person).
• 4.16 – Completion Certificate Rejection (Design Team).
• 4.15 – Completion Certificate Acceptance (Relevant Person).
• 4.20 – Completion Certificate Acceptance (Design Team).
• 4.18 – Accept Completion Certificate, issue acceptance to Relevant Person/Agent and notify owner.
• 4.17 – Scottish Fire and Rescue Service (SFRS) notified.
• 4.22 – Verifier updates compliance plan process in Part 2 Building Standards Register (approval recorded as completed when Completion Certificate is accepted).