Cladding Remediation Programme: Single Building Assessment specification

2 Purpose of Document

2.1 Overview

2.1.1 This Specification Document sets out the methodology for the proper carrying out of an SBA, which forms part of the standards as specified by Scottish Ministers pursuant to Section 25(1)(c) of the Bill and for the carrying out of an AWA as specified by Scottish Ministers pursuant to Section 26A of the Bill.

2.1.2 This Specification Document provides information and clarity on the process and requirements for the undertaking of an SBA and/or an AWA consistent with existing industry approaches to external wall assessment to ensure that those in the supply chain for Assessors, who are already using similar guidance (i.e. PAS 9980), can apply their existing knowledge and practices to SBA projects in Scotland.

2.1.3 Improved consistency of reporting will allow the Scottish Ministers and any other relevant parties, such as developers, to have a clearer, concise report of the issues causing a Risk to Human Life and what work (if any) is needed to eliminate or mitigate any such risk.

2.2 Regulatory/Legislative Context

2.2.1 Following on from the Grenfell tragedy in 2017 the legislative landscape for new and existing residential buildings changed in regard to what was permitted for EWS construction.

2.2.2 Guidance documents for assessment of buildings with existing EWS have been issued which take account of the changes in legislation and building regulations over time. These focus on a risk-based approach to assessment of existing EWS. Most notably PAS 9980:2022 provides a code of practice on how to undertake FRAEWs. This SBA Specification Document aligns with the PAS 9980: 2022 guidance. Where BSI have proposed a revision to the PAS 9980 guidance document the FRAEW section of this SBA Specification Document should be amended and/or interpreted to take account of any updates to the PAS 9980 document.

2.2.3 The legislative framework in Scotland, through the SBA process, will now require assessment of fire risk for in-scope Buildings. The SBA will direct FRA of the internal areas and external walls to determine if intolerable Risk to Human Life is present and set recommendations for them to be remediated.

2.2.4 Any premises within an in-scope Building used as a commercial or non-domestic entity will already have requirements for an FRA to be undertaken and legislation is currently in place, requiring that the responsible party for these areas have to act on any findings (‘relevant premises’ under the Fire (Scotland) Act 2005). It is noted that an FRA undertaken as part of the SBA to a relevant premises forming part of an in-scope Building, does not replace any existing recommendations or requirements set out under the Fire (Scotland) Act 2005.

2.3 Housing (Cladding Remediation) (Scotland) Bill

2.3.1 The Housing (Cladding Remediation) (Scotland) Bill was agreed unanimously by the Scottish Parliament on 14 May 2024. The Bill is expected to receive Royal Assent end June/early July 2024 and will give Scottish Ministers specific powers to facilitate delivery of the Cladding Remediation Programme in Scotland. The Bill includes:

• The definition of Single Building Assessment (SBA) and provision for Scottish Ministers to specify the Standards to be met for an SBA to be properly undertaken.
• Power for Scottish Ministers to arrange for SBAs to be undertaken to assess in-scope Buildings, where owner consent to the arrangement of the SBA cannot be obtained.
• Powers for Scottish Ministers to arrange for remediation work which is identified through a Single Building Assessment, where owner consent cannot be obtained for that work, including in urgent cases and with a power to evacuate a building if required.
• A requirement for Ministers to establish a Cladding Assurance Register (CAR) containing information on buildings which have been through an SBA and recording any required remediation (that is the works required to eliminate or mitigate any risk to human life (directly or indirectly) created or exacerbated by the buildings external wall cladding system) and when that remediation has been completed to the satisfaction of the Scottish Ministers.
• Power to establish a Responsible Developers Scheme via regulations, to support collaborative engagement with developers and ensure that they address, or contribute towards addressing, the costs of remediating the buildings they have developed which are within scope of the Programme.

2.4 Statutory Approvals (Scotland)

2.4.1 The Bill does not make any changes to the relevant legislation on building standards, or indeed planning permission. There is therefore still a need to obtain a building warrant, or planning permission, when appropriate.

2.4.2 It is generally anticipated that for the majority of cladding remediation, that will occur as part of this SBA process, a building warrant will be required under Section 8(1) of The Building (Scotland) Act SBA for any work for the construction (which in terms of Section 56(1) includes alteration) of, or the provision of services, fittings and equipment in, a building to which the Building Regulations apply. The exemptions to the need to obtain a building warrant are set out under regulation 5 and schedule 3 of The Building (Scotland) Regulations 2004 and detailed within Section 0 of the Building Standards Technical Handbook.

2.4.3 As such, while it is not the aim of the SBA programme to assess a building’s compliance with the Building (Scotland) Act 2003, assessors should advise appropriately, where any recommendations of their assessment will require a Building Warrant and/or comply with The Building (Scotland) Regulations 2004. If queries arise during design, discussions should be held with a Building Standards Verifier, of the relevant Local Authority, and relevant parties.

2.5 Scope

2.5.1 The scope of the SBA is to assess any Risk to Human Life on in-scope Buildings. As detailed in this SBA specification, an SBA will comprise of two elements of assessment; a) an FRAEW and b) an FRA.

2.5.2 The purpose of the FRAEW element is to assess the risk to human life from a fire spreading over or within the EWS of an in-scope Building, and to determine whether, in the specific circumstances of the building, remediation or other mitigating measures to address the risk to human life are considered necessary. The FRAEW will be undertaken using PAS 9980 Methodology.

2.5.3 The purpose of the FRA is to assess the risk-proportionate fire safety measures required to protect occupants of flats in in-scope Buildings. This will be via an assessment of what is provided currently and recommendations on what is required to adequately mitigate the risks identified.

2.5.4 The aims of these elements are to inform the SBA only and are not to replace any existing legislation i.e. The Fire (Scotland) Act 2005.

2.5.5 The two elements of the SBA do not have to be undertaken by the same company. The company that is commissioned to undertake the SBA may sub-contract out each ‘section’ of the SBA to be undertaken by another party. The company undertaking the SBA has a responsibility to ensure that any individuals they sub-contract work to meet the competency requirements set out in Section 2.8 of this specification. The SBA must be presented as a single combined report to ensure that both assessments are brought together to give a holistic building assessment. It should be ensured that the parties undertaking these assessments have the required insurance to undertake these works before proceeding.

2.5.6 An entry for the building will be created on the ‘Cladding Assurance Register’ once an SBA has been carried out in relation to it.

2.6 What is a Single Building Assessment (SBA)?

2.6.1 An SBA is holistic risk-based approach in determining the Risk to Human Life for in-scope Buildings. The SBA looks at both the Risk to Human Life from the EWS and the condition of the internal common areas of the building relating to those items that would exacerbate risk associated with the EWS.

2.6.2 This document sets the methodology for appropriately competent risk assessors to evaluate the risk to human life from both the EWS of a building and the internal common areas of a building. It defines the competency requirements for Assessors, with the aim of ensuring higher standards of assessment and reporting across Scotland to achieve a decreased Risk to Human Life for in-scope Buildings.

2.7 SBA and SBA Specification Objectives

2.7.1 The objectives of an SBA, and this SBA specification, are as follows:

• To assess and report on any issues that contribute to a Risk to Human Life, and what work (if any) is needed to eliminate or mitigate any risk of that kind which is identified;
• To provide Assessors with a brief and consistent methodology for assessing the Risk to Human Life of in-scope Buildings;
• To assist assessors in detailing how risk should be determined from their assessments;
• To promote consistency in SBAs to achieve a greater standard of assessments and reporting across the board;
• To establish a satisfactory benchmark for documentation and reporting of SBAs;
• To detail what is required following an SBA, including any remediation works and possible Urgent Interim Measures (UIM).

2.8 Competency

2.8.1 The SBA specification is intended for use by competent professionals. To ensure all SBAs are undertaken to a satisfactory level, it is necessary to identify those persons who are suitably trained and qualified to use this specification.

2.8.2 Each assessment within an SBA must be undertaken by an Assessor who is suitably competent for the specific role, and possesses the required training, knowledge and experience to enable the tasks required to be undertaken correctly. Only such Assessors are authorised by the Scottish Ministers to conduct SBAs.

FRAEW Competency

2.8.3 The construction of an external wall is a complex matter, with a number of elements contributing to the fire safety of the overall build up. The arrangement, and fixings, of these elements will contribute to the life safety of the build-up. Therefore, the assessment of EWSs is complex and should not be undertaken by those without experience or knowledge of fire engineering principles and an understanding of the Risk to Human Life from fire spread over external walls.

2.8.4 As described in the PAS 9980, an FRAEW completed in accordance with the methodology therein goes further than simply establishing factual information. An Assessor is required to interpret the information gathered and formulate an opinion on the fire risk posed by the external walls. It is the knowledge required to interpret the information that sets a suitable Assessor apart.

2.8.5 The Assessors’ ability to interpret their findings appropriately requires not only an understanding of the fire behaviour and fire performance of materials, components and systems forming the external walls but also an understanding of fire hazards and the fire safety features applicable to blocks of flats, including the design principles of separating walls/floors, means of escape, smoke control systems, fire detection, fire alarm provisions and other active or passive fire strategy considerations.

2.8.6 An Assessor needs to possess knowledge of the fire strategy considerations and regulatory framework underpinning the fire safety design of the in-scope Buildings.

2.8.7 The knowledge of all the above matters can only be obtained from years of experience within the fire engineering, or similar, field.

2.8.8 The most consistent way of showing an appropriate knowledge of engineering is chartership by the Engineering Council whilst holding membership of their relevant professional body. For fire engineering this is the Institution of Fire Engineers (IFE), the person signing off the assessment should be a Chartered Engineer with full membership of the institution. For any non-IFE members, the assessment sign-off can be achieved by a Chartered individual, from another relevant professional institution, once the competency in terms of fire engineering has been demonstrated.

2.8.9 The above Chartership requirement is only for those undertaking the final sign-off on the report. Other competent members with expertise in the field can undertake the assessment themselves but, as the final signatory, it is the responsibility of the Chartered Engineer to ensure what is provided in the report is accurate and they have provided oversight and direction throughout the whole process.

2.8.10 If remedial actions are to be undertaken following the FRAEW, then the completion of these remedial actions, once completed, should be confirmed by an Assessor with the required competency stated in this section.

2.8.11 The expected skillsets of an Assessor undertaking an assessment using PAS 9980 methodology is outlined in Annex H of PAS 9980:

Figure 2 - Table H.1 of PAS 9980 - Expected skillsets of an external wall assessor.

Task or level of assessment

Information gathering and site survey and inspection (Clause 10)

Typical professional recognition

Surveyor or other building professional such as an architect or façade engineer

Expected skillset

Able to undertake document study and conduct on‑site verification in order to establish what is known about the likely performance of materials and components that have been installed on the building. Has knowledge of materials, components and systems used in external wall construction and cladding and of the construction techniques used.

Able to conduct or direct others in site surveys and inspections, including opening up works. Capable of making judgements on where components of walls need to be removed and samples taken, while avoiding undue damage and enabling the appropriate repairs to be made.

Able to present, evaluate and interpret qualitative and quantitative data, in order to make sound judgements in the context of the scope, extent and findings of the inspection of the relevant external wall construction in the context of performance in fire. Capable of making judgements as to whether walls have small quantities of combustible material present which are inconsequential, and thus concluding that such walls do not need to be considered further in an FRAEW.

Able to communicate the results of their inspection accurately and reliably.

Takes personal responsibility for their work.

Knows the limitations of their skillset and can draw in additional skills as required.

Figure 3 - Table H.1 of PAS 9980 - Expected skillsets of an external wall assessor continued

Task or level of assessment

Basic level assessment (Clause 13)

Typical professional recognition

Fully qualified member of a relevant professional body

Expected skillset

Knowledge of the underlying concepts and principles associated with fire engineering and an ability to evaluate and interpret these within the context of the fire performance of the relevant external wall construction.

Able to present, evaluate and interpret qualitative and quantitative data, in order to develop lines of argument and make sound judgements in accordance with basic theories and concepts in the context of the fire performance of the relevant external wall construction.

Able to evaluate the appropriateness of different approaches to solving problems related to the fire performance of the relevant external wall construction.

Able to communicate the results of their assessment accurately and reliably, and with structured and coherent arguments.

Takes personal responsibility for their work.

Knows the limitations of their skillset and can draw in additional skills as required.

Task or level of assessment

In-depth technical assessment using fire engineering analysis (Clause 14)

Typical professional recognition

Chartered Engineer

Expected skillset

Possesses a systematic understanding of key aspects of fire engineering, including acquisition of coherent and detailed knowledge, at least some of which is at, or informed by, the forefront of aspects of the fire engineering discipline as it relates to the fire performance of the relevant external wall construction.

Able to deploy accurately established techniques of analysis and enquiry within the fire engineering discipline.

Able to devise and sustain arguments, and/or to solve problems, using ideas and techniques that are at the forefront of the fire engineering discipline and relating to the fire performance of the relevant external wall construction.

Able to describe and comment upon particular aspects of current research in the discipline of fire engineering as it relates to the fire performance of the relevant external wall construction.

Appreciates the uncertainty, ambiguity and limits of knowledge relating to the fire performance of the relevant external wall construction.

Able critically to evaluate arguments, assumptions, abstract concepts and data (that might be incomplete), to make judgements, and to frame appropriate questions to achieve a solution – or identify a range of solutions – to a problem.

Able to communicate information, ideas, problems and solutions to both specialist and non‑specialist audiences.

Able to exercise initiative and accept personal responsibility.

Knows the limitations of their skillset and can draw in additional skills as required.

FRA Competency

2.8.12 An Assessor undertaking the FRA should possess a good understanding of internal fire strategy design for a typical in-scope Building and is able to determine the risk of what is, or is not, provided. They should have an appropriate understanding of fire safety regulation, risk reduction and relevant guidance and can competently apply this to an in-scope Building.

2.8.13 The knowledge required for interpreting Risk to Human Life and proposed recommendations for mitigating these should be the primary objective of the Assessor. An Assessor lacking this knowledge is not able to report to the level of detail required including any issues that need resolved and this therefore can lead to the Risk to Human Life remaining.

2.8.14 The Fire Sector Federation (FSF) released the ‘Approved Code of Practice – A National Framework for Fire Risk Assessor Competency’ in response to the Dame Judith Hackitt report’s finding in relation to lack of industry competency. The report recommends that accredited third party certification was essential, either via the individual Assessor obtaining certification or a company providing FRA under a third-party certification scheme accredited by the UK. This can be achieved via an accreditation service such as United Kingdom Accreditation Service (UKAS); or by registration of the Assessor by a Professional Engineering Institution (PEI) that is licensed by the Engineering Council.

2.8.15 The FSF ‘Approved Code of Practice – A National Framework for Fire Risk Assessor Competency provides the overarching framework for the demonstration of competency for Assessors who are undertaking practical FRAs in the built environment. As noted in the document, assessors who are working on high-risk buildings are required to demonstrate competency at the highest level.

2.8.16 It is expected that any Assessor undertaking the FRA for an SBA will be capable of demonstrating their competency through meeting the requirements outlined in Figure 2 of the FSF ‘Approved Code of Practice – A National Framework for Fire Risk Assessor’. The Assessor must have a verifiable relevant history of FRA that satisfies the competency criteria required and is able to demonstrate knowledge in all areas outlined within the Annexes A to C of the document.

2.8.17 There is a level of responsibility on the client to ensure that any Assessor they appoint, for either the FRAEW or FRA, is competent for the project. The Assessor should also ensure they are only tendering for projects that they have adequate competence.