Building regulations - energy and environmental standards: consultation on proposed changes

4 Proposed components of the standard - Compliance

4.1 Introduction

4.1.1. Outcome sought

New buildings and new building work require to comply with current building regulations and should function and offer the performance that is set out at design stage when complete.

This section sets out and discusses proposed actions to improve assurance that the design intent for energy performance and ventilation standards for new buildings is achieved in practice. And considers how an evidence-led compliance process can enable reporting on this goal throughout the design and construction stages of a project.

It is important for consultees to be aware that this consultation does not set out the detail of proposed new processes to demonstrate compliance with standards at design or construction stages. This will be set out in the stage 2 consultation next year.

This consultation looks to discuss what can be learned from current industry good practice and from the approach taken by the Passivhaus standard and its certification regime – principles and processes - and the extent that such provisions might be implemented within the context of the current verification process for building warrants and prior to acceptance of a completion certificate.

4.1.2. Background

Section 1.1.3 of this document summarises the form and intent of the building standards system in Scotland. A key element of this is the building warrant process. The system is pre-emptive, requiring that designs need to be checked and approved by local authority verifiers before work on site can commence. This is a recognised strength of the system. Building in advance of building warrant approval is an offence under The 2003 Act and increases the risk of non-compliance because the developer does not have the comfort of a design reviewed by the verifier.

The 32 Local Authorities are appointed as verifiers by Scottish Ministers to administer the building standards system for their own geographic area. Their primary function is to protect the public interest by providing an independent check of applications for building warrants to construct or demolish buildings or convert buildings. This includes checking of design proposals before granting a building warrant and checks during the construction phase, commonly supported by a construction compliance notification plan, before accepting a completion certificate on completion of works.

However, checks by the verifier do not provide a system for the control and assurance of work onsite. That is the responsibility of the ‘relevant person’, with appropriate arrangements put in place with their design team and contractor. The relevant person is usually the owner, tenant or developer who is doing the work for themselves, or who may engage a contractor to do the work on their behalf. When a building warrant is obtained, it is the duty of the relevant person to ensure compliance of the works with the building regulations.

On completion of the work the relevant person or their duly authorised agent must sign and submit a completion certificate to the verifier. The completion certificate certifies that the work was carried out in accordance with the building warrant, and the building, as constructed, complies with the building regulations.

Alongside verifiers, Scottish Ministers may also appoint organisations (Scheme Providers) who register individuals or bodies, either public or private, as Approved Certifiers of Design or Construction. There are a number of areas of work which can be covered by this Certification regime. These are listed on the Scottish Government website and Certification Register. The benefit of using an Approved Certifier is that the building work will be certified by building professionals, who have demonstrated competence in their area of expertise, as complying with regulations.

4.1.3. The Building Standards Futures Board

The Building Standards Future Board was set up in 2019 to provide guidance and direction on the development and implementation of recommendations made by the Review Panels on Compliance and Enforcement and Fire Safety. The Review Panels were formed by the Ministerial Working Group on Building and Fire Safety following failings in the construction of Edinburgh School Buildings and the fire at Grenfell Tower, London.

The Board’s remit is to strategically advise and direct a board programme of work aimed at improving the performance, expertise, resilience and sustainability of the Scottish building standards framework and services across Scotland.

Work streams are being taken forward by the BSD, involving a range of stakeholders from construction industry organisations and professional and public bodies.

Seven work streams were agreed in 2019:

• verification delivery model
• compliance plan approach
• digital transformation
• certification strategy
• workforce strategy
• technical strategy
• verification standards

Progress and change are happening across all workstreams. From 2024 delivery will focus on four workstreams:

• compliance plan approach
• verification delivery model (incorporating verification standards)
• certification strategy
• digital transformation

It is anticipated this programme of works will be completed no later than 2026.

4.1.4. The Compliance Plan Approach

The new Compliance Plan Approach will define and implement (through future changes in legislation) an appropriate and robust building warrant compliance assurance regime. Its purpose 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 at both the design and construction stages, to deliver a compliant building. The Compliance Plan Approach workstream will:

• minimise the risk of completed buildings failing to comply with the building regulations and the building warrant approved plans and details;
• increase compliance with building warrant process legislative requirements (procedural compliance) to support the delivery of safe compliant buildings and the legal use/occupation of buildings;
• support the relevant person (normally the building owner/developer) to build in accordance with the approved building warrant plans and the building regulations to deliver a compliant building and be able to evidence this; and
• to ensure the local authority verification inspection checks and evidence within the approved building warrant compliance plan are fully achieved.

The Compliance Plan Approach will see the creation of the role of Compliance Plan Manager to oversee compliance with building regulations from concept to completion on behalf of the relevant person and be the verifier’s point of contact to support the verification process. The Compliance Manager’s role would be to support the building owner and assume responsibility for managing the actions of others which are needed to provide assurance that work is completed in accordance with building regulations and all agreed verification compliance requirements are met and documented.

Currently the Construction Compliance and Notification Plan (CCNP) is created and issued by the verifier along with an approved building warrant. The CCNP identifies the inspection stages that the verifier requires to be notified, to provide them the opportunity to inspect and check the project at different stages.

The Compliance Plan Approach changes this process for High Risk Buildings. The Compliance Plan Manager, working with the design team and contractor (if in place), is responsible for developing a Compliance Plan to detail the measures that will be in place to control work on site and collate the necessary evidence to deliver a compliant building.

To support the Compliance Plan work an Early Adopters Scheme was launched in early 2024. The scheme is aimed at relevant persons wishing to participate in early trials of the new Compliance Plan approach and is being hosted by the Construction Quality Improvement Collaborative (CQIC).

4.2 Principles of an evidence-led approach to compliance

4.2.1. Background

The need to demonstrate compliance through evidence of correct process is relevant to all building standards. Through robust management of compliance at both design and construction stages, parallel work on the Compliance Plan Approach will allow the relevant person to demonstrate that these principles have been followed, within its scope of application.

Proposal

To address the assurance element of a Scottish equivalent to the Passivhaus standard, we propose the introduction of a ‘Guide to Compliance and Assurance for Very Low Energy Buildings’. This section discusses the elements needed for such a document and to enable its application, including potential changes to regulations.

The Building Standards Division has worked in partnership with the Scottish Futures Trust to develop the initial principles of the proposed guide and identify how it would be applied at various stages in the building standards process. An illustration of work to date is included in section 4.3.

Application of such a guide is intended to offer a means of demonstrating that an informed and robust approach to compliance has been applied to the standards related to the delivery of energy and environmental performance. The guide will follow the principles already under development for the Compliance Plan Approach but will also be applicable as a stand-alone process.

In the development of the proposed guide, an assessment of comparative processes will be undertaken, between current building standards and other identified good practice regimes, including the assurance processes set out within the Passivhaus Building Certification Guide.

4.2.2. Elements of a robust evidence-led approach to compliance

Discussion to date on application of quality assurance principles has identified a series of component actions that would support delivery of a robust, evidence-led approach to compliance for energy-related elements of the building – ‘effective planning and implementation to prevent risks which could affect quality of outcome during the delivery of a process’.

What are the components of such an approach in the context of compliance with energy and environmental standards set through building regulations?

• Competence and understanding of assigned roles and responsibilities
• Effective engagement and communication between parties
• Informed decision making
• Risk assessment and mitigation
• A clear shared delivery plan
• Regular reviews of progress
• A recording of key actions taken as works progress
• Continuity in application of agreed processes
• Continuity of responsibility for outcomes
• Verification reporting on progress at key stages

4.2.3. General development of new processes

We will continue to review and understand what can be learned from the processes defined within the Passive House Institute’s Building Certification Guide, as a comparative example of good practice and consider other non-certified good practice currently in use. To understand what an effective and robust process looks like and key actions needed to deliver it. And the extent to which such processes can be mapped proportionately to the building standard ‘compliance journey’.

• Discussions with practitioners and verifiers will assist in identifying what the key risks are to the effective delivery of a very low energy building and how are they managed.
• Through gap analysis, understand which risks are not adequately addressed within the current scope of building regulations process or standards/guidance.
• Understand how good practice can be applied in a proportionate manner based upon the type, scale and complexity of a project.
• Set out a requirement for recording of information and reporting on specified issues at key points in the building warrant process. This would be through change to relevant regulations.
• Set out expectation in a guide to compliance. This is likely to be a new compliance document issued formally under section 4(2) of The 2003 Act.
• Identify the level of expected action and reporting at each stage of design and construction for each party involved in the building and when the applicant/relevant person is required to engage competent individuals to manage that process. Validation of that process at gateway points by the verifier.

The suggested validation of this process is at three key stages, submission of building warrant, confirmation of response to a CCNP/Compliance Plan when starting work on site and submission of completion certificate with reference to a design and construction stage energy statement/summary. Action at key stages is discussed further below.

Consultation Question 15

Do you currently apply an in-house or third party compliance management process to your projects which specifically addresses energy and environmental project elements?

Yes

No

If you answered ‘Yes’, please provide information summarising your approach and the key benefits you derive from its application in practice.

4.2.4. Preparation and design stage to issue of building warrant

At present, except in the case of pre-application discussions, the verification of compliance with building regulations begins on receipt of a building warrant application.

Advice is currently published to assist in the preparation of ‘right first time’ building warrant applications. This includes information on key roles and responsibilities and the principles of the system and options available to applicants.

New design stage guidance should reinforce the principles of good practice – roles and responsibilities, working within competence, effective communication within the design team, informed specification, risk assessment, identifying the elements of the project that contribute to both energy performance and occupant comfort and how these are considered collectively.

The process of making an application for building warrant and the information which must be submitted is set out in The Building (Scotland) (Procedures) Regulations 2004.

Defining expected activity and output from the Applicant from the point at which a design proposal starts to be considered will optimise the content and completeness of a building warrant application.

Regulatory relevance

Regulation 4 and schedules 1 & 2 of the Building (Scotland) Procedure Regulations 2004 set out information which must be provided in support of a building warrant application.

To deliver improved assurance of compliance, there will be a need for more comprehensive evidence of how the submitted design was developed and risks identified and managed. This would include evidence that the applicant has engaged suitably competent persons to undertake work on their behalf, information on design decisions is provided and an overall approach to the delivery of the proposed design and construction elements is set out.

Prior to building warrant application submission, additional prescription on information to be provided under regulation 4 may present the most useful route to drive improved practice. A published guide to compliance and assurance would be referenced as the means by which such a regulatory provision is met and emphasis would be placed on the importance of management of process from project inception to demonstrate compliance risk has been correctly managed.

Consultation Question 16

From your experience of delivering very low energy buildings, what are the most common risks identified at an early design stage and how are they managed most effectively?

Consultation Question 17

Do you consider there are practical limits to effective risk management at design stage alone and can you give examples of where management of risk is more effective at a later (construction) stage?

4.2.5. Post-warrant action and construction phase

At present, the CCNP process is undertaken as a convention, through agreement with verifiers. This forms part of a nationally adopted risk assessment methodology contained in the Verification During Construction Handbooks, produced by Local Authority Building Standards Scotland (LABSS) and the BSD.

As part of the Compliance Plan Approach, this will be formalised within regulations as a Compliance Plan and will include notification of key actions to support verification of works on site. This would include start of works.

The current system provides a statutory obligation for the ‘Applicant’ to notify the verifier of their intention to commence work on site. Model Form J - Notice Regarding Start of Work’, is sent to the ‘Applicant’ with the approved building warrant. However, this notification does not currently set out a further requirement to put in place a specific monitoring and reporting regime that would provide evidence of compliance with matters within scope of this review. This would benefit from being formalised so that ‘start as you mean to go on’ is again reinforced and actioned.

Setting this expectation will result in information being produced which will support verifiers in their duty to make ‘reasonable inquiry’. It will also reinforce the opportunity for contractors to fully interrogate design proposals and seek any clarification needed to support the effective delivery of proposals on site as well as confirm, to the extent practicable, scheduling of project work, phasing, opportunities for inspection/testing prior to covering up works and the schedule of testing and programme for completion.

If identifying individual contacts responsible for management of work, it can also usefully reinforce the need to continue effective communication across the project team and to ensure that there is continuity of responsibility to deliver a compliant building. For example, effective handover of design information where the responsible party changes during the project.

Regulatory relevance

Development and formalisation of the issue of a CCNP as a Compliance Plan will be introduced by amendment to regulations. We will determine whether the form of changes proposed and the timing of review will also address the need to commence reporting on how compliance processes for construction are recorded. If there is a need for initial amendment to regulations in advance of the Compliance Plan timetable or a further specific requirement to address the scope of action proposed by this review, this will be developed and implemented. Formal initiation of such processes will support effective monitoring of progress and the level of assurance present on completion of works.

Consultation Question 18

Do you currently apply a particular approach to the recording of project information during construction that can demonstrate, to a third party, that work complies with energy-related aspects of building regulations?

Yes

No

If you answered ‘Yes’, please provide information summarising your approach and the key benefits you derive from its application in practice.

4.2.6. Completion of project

Collating of relevant documentation by the developer which summarises the construction process applied will improve the robustness of the declaration of compliance made on completion.

Evidence of compliance from the developer, over and above that gathered independently by the verifier during their process of ‘reasonable inquiry’ will provide more detailed reassurance that compliance with the standards has indeed been achieved. Such information would require to be scheduled in the proposed guide and would require a suitable regulatory trigger for its provision.

The process on completion can be further reinforced by the addition of a compliance summary as part of written information provided to the building occupant under current standard 6.8. There is the potential to explore the inclusion of other key data from this process in other documentation to enable monitoring and reporting on both the delivered building and the process applied. Applying a ‘digital first’ approach to record keeping where practicable.

Regulatory relevance

Regulation 41 of the Building (Scotland) Procedure Regulations 2004 sets out information which must be provided in support of a completion certificate.

To deliver improved assurance of compliance, there will be a need for more comprehensive evidence of robust process from the developer team. This would include evidence that the construction of the building has followed the intended design and has been correctly managed. At this stage, additional prescription on information to be provided under regulation 41 may present the most useful route to drive improved practice, recognising that any referenced information would likely rely upon the (up-front) definition of the process of gathering information set at the start of the construction phase.

Consultation Question 19

Do you currently compile and report summary information on the completed building as part of a handover record of project information that goes beyond what is currently required by building regulations?

Yes

No

If you answered ‘Yes’, please provide information summarising your approach and the key benefits you derive from its application in practice.

4.2.7. Risk management

At the core of a compliant design is risk management and informed decision making. Identifying core and specific risks. Designing out risk at the start of the project and proofing proposed works within the design team and, later, with the contractor will make delivery of the building a simpler and more effective process.

Example: Avoidance of declaring design values without demonstrating an understanding of how these will be achieved in practice.

Generic performance specifications may be a consideration at an early design stage to help shape the overall solution for a particular building. But specification has to be confirmed to the extent that individual components can be identified, sourced and incorporated with assurance that in combination, the intended outcome will still be achieved. On that basis, any performance specification must be both detailed and drawn from knowledge that the individual components are readily available and compatible with other elements of specification. A clear and detailed specification will also reduce the performance and compatibility risks which can arise from product substitution.

Example: Delivering continuity of insulation layer and effective infiltration control.

Identify the approach that will be taken to achieve both goals. Gain assurance that proposed details and construction build-ups are deliverable on site. Clearly define the components of the building air and vapour control layer (AVCL). Assess and confirm suitability of materials and their application. Show tan effective strategy for sealing, well described. Address the risk of unwanted air pathways to the cold side of the AVCL which will reduce the effectiveness of insulation. Take advantage of the opportunity to test continuity of the AVCL once complete, prior to covering up, to offer an early indication of performance against the declared design infiltration rate. Once confirmed and any investigation or remedial action needed is complete, care should be taken in the final fix of finishes prior to any final test.

Consultation Question 20

Do you have experience of implementing methods to effectively de-risk the very low energy building aspects of design and construction and provide assurance that the compliant solutions are properly considered and delivered as intended?

Yes

No

If you answered ‘Yes’, please provide information summarising your experience.

4.3 Intent to develop guidance/application in practice

4.3.1. Illustration - elements of a potential guide to compliance and assurance

There is a recognition of the need to provide greater assurance that the energy and environmental requirements sought by building regulations are properly considered at design stage and, on construction, are delivered in practice.

Complimenting the Compliance Plan Approach, the Scottish Government propose the introduction of a “Guide to Compliance and Assurance for Very Low Energy Buildings”. This should enhance the actions, processes and mitigate risks in the assurance and compliance of standards related to very low energy buildings. This guide will apply to all new buildings and where work to existing buildings requires a Building Warrant.

To illustrate how development of proposals is progressing to date, the following sections set out an example of a proposed approach to such a guide, developed in partnership with the Scottish Futures Trust.

The proposal identifies processes of compliance and assurance in the context of best practice for very low energy buildings with the intent of change to the format and/or requirements of processes that form the building standard system. At this stage, it is summarised in five sections – discussing the ‘Why, When, What, How and Who’ of change.

It is the intention to continue development of proposals during and following the consultation period and further information on this work and of any consultation events will be published on the review webpage and the consultation webpage.

Note: in this section, reference to ‘very low energy buildings’ is intended to address both energy performance and occupant comfort.

4.3.2. Guidance on compliance - ‘Why’

Why is the guide required?

The challenges and complexity of delivering very low energy buildings requires an informed approach to both design and construction to enable risks that can lead to poor performance and longer-term issues affecting both building and occupants to be managed effectively.

Recognition that greater assurance on the effective delivery of projects which can be shown, through robust process and evidence, to meet building regulations will reduce the gap between designed and as-built performance.

Clarity on the base level of expectation from those involved in the delivery of buildings. The purpose of the guide should be to enhance relevant actions and processes to mitigate risks affecting assurance of compliance with the building regulations.

Why a guide over and above best practice?

Not ‘over and above’. Any guide should present current good and best practice. Actions taken need to be both achievable and useful in improving the final outcome achieved for the building. It should not, initially, seek to impose actions that are not already recognised as beneficial in supporting a quality approach to construction. Given the nature of the topics addressed, it may go into some detail on certain matters, where the understanding and management of risk is more complex.

‘Why’ - Recommendations

1. The purpose of the guide is to support an enhanced assurance process for very low energy buildings, it should recognise but is not intended to define the level of challenge of future requirements set by relevant standards.

In that respect, it is reasonable to look at the current implementation of the building standards system and the scope of relevant regulations and functional standards as a template for an improved compliance response. This reinforces the intent to learn from current good and best practice already in use.

2. The guide should consider and identify a wide range of industry best practice, including Passivhaus certification, and execution need not be any more complex than the current engagement on building warrant process.

However, it is to be expected that detail (prescription) on how that process is best served at any given project stage will be integral to an effective outcome. An example would be to clearly define the action expected prior to a building warrant application and information to be provided with that application.

3. Development of a guide should assess and report on similarities and differences to the Passivhaus approach to design and construction through its certification process. This will enable any variant or additional elements used to support assurance to be considered.

4. Similarly any guide should be developed in the context of broader work to deliver the Compliance Plan Approach to offer assurance that its implementation is compatible with that approach and associated legislative changes which are planned.

5. It is essential that development of the guide identifies how its use will align with and enhance the existing building warrant process as planned future review of legislation beyond the Compliance Plan approach. This would include the ongoing improvement programme for delivery verification by both Local Authority delivery partners and BSD and review of the role of Certification (Certifiers of Design and Construction).

6. The guide should identify industry best practice but should, where practicable, remain agnostic of a defined methodology for compliance and assurance. Offering principles and a framework which can be demonstrated by differing approaches to the same issues.

Consultation Question 21

Do you consider the proposals set out present a reasonable summary of why there is a need for improvement in compliance processes to deliver very low energy buildings?

Yes

No

Please provide information on why you agree or disagree and on any drivers for improvement you consider particularly important.

4.3.3. Guidance on compliance – ‘What’

What sections of the technical standards relate to very low energy buildings and should be applied within the guide?

The Passivhaus Equivalent Working Group has already carried out a series of workshops on the importance and relevance of aspects of the building that will contribute to very low energy buildings. A summary of the workshops can be found online. To deliver very low energy buildings, it is recognised that this will require assurance through a ‘phase-gate’ approach with staged checking across a range of elements including energy systems, building fabric and other building components.

An initial assessment of relevant standards has identified the following candidates:

• Standard 3.13 (Heating)
• Standard 3.14 (Ventilation)
• Standard 3.28 (Overheating risk)
• Standard 6.1 (Energy demand)
• Standard 6.2 (Building insulation envelope)
• Standard 6.3 (Heating system)
• Standard 6.4 (Insulation of pipes, ducts and vessels)
• Standard 6.5 (Artificial and display lighting)
• Standard 6.6 (Mechanical ventilation and air conditioning)
• Standard 6.7 (Commissioning building services)
• Standard 6.8 (Written information)

Further contributory standards may be checked for outcomes, such as standard 3.15 (Condensation) and 3.16 (Natural lighting)

What (additional) information & evidence is needed?

The guide should provide indicative templates that could be used to document the evidence and information requirements per stage (e.g. Design, Construction, Completion). Commonly referred to as an ‘information delivery plan’, the template would provide users with an indicative list of (minimum) evidence/information deliverables to support the Applicant and the Verifier through the assurance process.

In developing a proposed format, reference should be made to the Compliance Plan Approach and other existing initiatives within the sector including the Standard Information Management Plan.

Also to recognise that the range of risks to be managed will have a common base but will also vary subject to the design approach taken and the elements and level of specification and complexity of solution proposed.

‘What’ – recommendations

1. Analysis and review of findings from the workshops held with the working group and development of these and further themes through further engagement with practitioners.

2. The guide should clearly define the relevant buildings standards that contribute to the performance of very low energy buildings and occupant comfort.

3. Assess current industry best practice for areas of validation, certification and verification and consolidate as part of the guide.

4. Develop template information delivery plan for the reporting of the assurance process.

5. Develop an indicative list of evidence/certification, relative to building type and complexity, required at key stages of the design and construction process, linking this to stages of the building warrant and completion process, including pre- and post-warrant activities.

6. Develop an indicative list of testing / certification activities required or recommended to further manage risk, by reporting on intermediate outcomes at key stages of construction.

Consultation Question 22

Do you consider the proposed scope of application and recommended actions are appropriate to address the effective delivery of very low energy buildings?

Yes

No

Please provide information on why you agree, or disagree and on what other actions may be useful in driving compliance.

4.3.4. Guidance on compliance – ‘When’

At what stages and situations should the guide be adopted and applied?

The intent that this guide should cover the process from design inception to completion and handover. The key gateway points being submission of information with a building warrant application and submission of information with a completion certificate. Each should be informed by the action by the developer and their team up to that point and the construction phase activity should be informed by an agreed Construction Compliance Notification Plan, as this is developed under the Compliance Plan approach.

A guide would be developed with use by the applicant/relevant person in mind, as the party responsible for compliance. A companion document on how this process is supported and interrogated by the verifier would also be developed in partnership with verifiers.

The stages of the building standard process are described in the Building Standards Customer Journey.

This describes the steps:

• Leading up to submission of a building warrant application – stages 1 & 2
• Assessment and issue of building warrant by verifier – stages 3 & 4
• Start of work on site through to completion. Includes any changes to the design which require notified and formally recorded – stages 5 & 6
• Building work complete, completion certificate submitted and accepted or rejected – stages 7 to 9

Within in these, a Construction Compliance Notification Plan would be discussed and agreed at the end of stage 4. Stage 3 & 4 may require to be repeated where an amendment to warrant is needed. Testing of elements of the building occurs during stage 5 & 6, prior to stage 7.

It may be useful to also consider the potential to set out actions against recognised industry workplans – e.g. the RIBA Passivhaus overlay.

‘When’ - Recommendations

1. The guide should confirm that this approach is applicable to all stages of the building warrant process. This is necessary to provide continuity of response across the delivery team as the actions needed to continue to address compliance will change as work progresses.

2. The guide should focus on existing building warrant stages and remain agnostic to industry recognised plans of work / delivery routes. But should, through clear information on action in response to situation, assist those delivering work in understanding how provisions relate to a given project workplan.

3. For consistency, the guide could reasonably adopt the category headings, language and framework promoted as part of the proposed Compliance Plan approach.

4. In developing the guide, we must assess industry recognised plans of work and delivery routes that have adopted and implemented enhanced compliance for very low energy buildings. This is where deliverable current outcomes will be demonstrated.

5. Scalability of response. Assess and determine the scope for applicable to a wider range of building types and situations (conversion, refurb, extension, etc in addition to new buildings). There may be a need to consider an extension in scope to the types of works requiring a building warrant?

6. The guide would not mandate operational performance monitoring or post project evaluation for the purposes of building standards compliance, but it could promote these activities as best practice. The guide will focus on design and construction and effective action to the point the buildings delivered.

Consultation Question 23

Do you support the application of provisions from an early (pre-warrant) design stage through to completion and handover of the building?

Yes

No

Please provide information on points in the process you consider there may be a need for particular emphasis on action to manage the risk of failures in compliance.

4.3.5. Guidance on compliance – ‘How’

The approach to enhanced assurance through the level of enquiry and resources applied to achieve this.

How do you deliver enhanced verification?

Enhanced verification could incorporate provision for:

• More comprehensive and complete information on design proposals.
• How risk is identified and managed in the design process.
• A summary of the process applied to deliver assurance.
• Application of resources that are already part of a risk-based approach to the verification of building warrants to assist the activities above.

How does the level of enquiry change?

Whilst the onus for the collation and presentation of evidence rests with the applicant and their team, verifiers will benefit from revised protocols, training and resource to provide a response to an increased level of relevant information. Review of proposals should ideally become more of an informed conversation between applicant and verifier, reducing the need to interrogate applications due to a lack of information on energy-relevant topics.

This is already noted in the context of ongoing Compliance Plan work:

“The purpose of the Compliance Plan is to demonstrate that the duty imposed on the “relevant person” (usually the building owner or developer) is being managed robustly at the design and construction stages of a project, when certifying compliance with building regulations and when signing and submitting a completion certificate to deliver a compliant building.”

Enhancements to current verification practice will primarily be a response to the level of expectation defined within the guide on the applicant and their delivery team. It is anticipated that a process which delivers more comprehensive and useful flow of information the verifier will enable a targeted and efficient application of verifier resources.

‘How’ – recommendations

In relation to how enhanced verification will be achieved within a future guide, initial recommendations, to be developed with verifiers, include:-

1. Consider and review the relationship between level of project risk versus verification process applied for very low energy buildings.

2. The guide should promote an enhanced base level of reporting and enquiry, determined as that which is needed to deliver very low energy buildings.

3. The guide should review how current section 6 certification and a reasonable level of enquiry by the Local Authority Verifier can be combined to support improved compliance and assurance.

4. Identify what reasonable level of enquiry is needed over and above the currently accepted process (if any).

5. Consider and review the role of actors who contribute to the verification process for this topic - local authority verifiers, Certifiers of Design or Construction and the role of the new Scottish Building Standards Hub in enhancing verification.

Consultation Question 24

Do you have any views on the key areas where the verification process should focus, to be effective in responding to an enhanced compliance reporting regime?

Yes

No

If you answered ‘Yes’, please provide your views.

4.3.6. Guidance on compliance – ‘Who’

Who are the key people in terms of the compliance and assurance very low energy buildings?

• The applicant/relevant person
• The design team, including any appointed agent
• The contracting team
• The verifier
• Certifiers of design and construction (by function, part of the verification process)

‘Who’ – recommendations

In relation to the defined roles and competencies within a future guide, initial recommendations include:-

1. The guide should use defined terms of roles currently recognised within the building standards process and reinforce expectation on who does what, and when, to deliver effective compliance and assurance for very low energy buildings.

2. The guide should be Applicant/Building Owner/Relevant Person focussed and emphasise the importance of competence and application of good practice processes for them, the Project Team and the Contractor.

3. The guide should identify any changes (if any) in the responsibility of the Applicant/Building Owner/Relevant Person. This may be affected by ongoing work on the Compliance Plan approach and following recent consultation and ongoing work on enforcement and sanctions under building regulations.

4. Consider and assess the role of key actors in terms of key relationships, communications and behavioural change needed, including the scope for a coordination function similar to the ‘Compliance Plan Manager’ proposed as part of the Compliance Plan Approach.

5. Work with current scheme providers to assess the capacity, capability and competency of the existing Section 6 Certifiers in the context of delivering a good practice approach for very low energy buildings.

6. Consider review and any recommendations arising from current work around the capacity, capability and competency of the existing Local Authority Verifier resource in this context.

7. Consider review and any recommendations made on the need for upskilling across all key roles (Applicants, Designers, Main Contractors, Verifiers), for example as part of Continued Professional Development.

Consultation Question 25

Do the recommendations presented adequately describe action to affect the key roles and responsibilities of those who contribute to building compliance?

Yes

No

Please provide information on anything else you consider to be relevant to the actions of such parties.