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CONSULTATION ON REGULATIONS IN SUPPORT OF THE BUILDING (SCOTLAND) ACT

5 Completion

5.1 Why a Completion Certificate is needed.

5.1.1 A Completion Certificate is needed to confirm that a building has been constructed or converted in accordance with the relevant building warrant and to comply with the building regulations. It is the responsibility of the relevant person (see paragraph 5.2.1 below) to build correctly, or to ensure building is done correctly, as verifiers cannot regularly or sufficiently monitor all construction work to check that the regulation requirements are being met. Consequently, the relevant person must try to ensure that adequate procedures are in place to allow the Completion Certificate to be properly submitted. This should include reminding any approved certifier of construction involved of the obligation of the relevant person to certify, when submitting a Completion Certificate, that the work has been both completed in accordance with the warrant and, more generally, in accordance with the building regulations. It is an offence to submit a Completion Certificate that is known to be false.

5.1.2 Further, it is an offence to occupy a new building, a conversion, or an extension unless the relevant Completion Certificate has been accepted. It is however possible to obtain permission for temporary occupation or use, under section 21 of the Act, from the verifier. Note that the prevention of occupation does not apply to buildings subject to alterations, but it is still a requirement of the regulations that a Completion Certificate for the alterations is submitted before expiry of the warrant.

5.2 How to submit a Completion Certificate

5.2.1 On completion of either work or conversion for which a warrant is required, the ‘relevant person’ must submit a Completion Certificate. The ‘relevant person’ is defined in the Act at section 17(10), but can be summarised as:

• the person carrying out the work/conversion, provided they are not doing it on behalf of someone else;
• the person on whose behalf work/conversion is being done by someone else;
• or lastly, where neither of the above has submitted the certificate when they should do so, the owner.

Note that the owner may be either of the first two categories as well as the third. The third category is a last resort, to protect the public interest, when others have failed to fulfil their responsibilities.

5.2.2 The submission must be made to the verifier, on a form provided by the verifier, either on paper or by electronic means (where the verifier has this facility). The accompanying information can be on paper, in an electronic format, or in a combination as agreed with the verifier, and for dwellings must include a SAP* based energy rating. The form will include space for approved certifiers of construction to sign for work which they are certifying and for the counter-signature of approved bodies. (*the Government Standard Assessment Procedure).

5.2.3 It should be noted that where a certifier of construction intends to deviate from the approved warrant drawings, an amendment of warrant is required. This should be obtained before the work is done. This is necessary to allow the relevant person, when submitting the Completion Certificate, to state that the work has been done in accordance with both the building regulations and the building warrant.

5.2.4 Electrical installations no longer require a certificate to be submitted with the Completion Certificate under the Act, however if the installation is not covered by an Approved Certifier of Construction the submitted Completion Certificate will still require proof that the installation is properly done. This evidence could, for instance, be a copy of the certificate required by the terms of British Standard BS7671:2001 (including amendment no.1 2002), as quoted in the Technical Handbooks, completed and signed by a Registered Electrician following appropriate safety tests.

5.2.5 Where there are several buildings covered by a warrant, the regulations permit the submission of a Completion Certificate related to either each building or to all buildings covered by the warrant. For dwellings however, a completion certificate is required for each individual dwelling. On an estate of houses, a Completion Certificate must be submitted and accepted for each dwelling, provided the common services required by the building regulations for that dwelling have been completed. In other words, a Completion Certificate should not be accepted for a dwelling until it is connected to a suitable drainage system, or until access to a suitable road is complete. (Note that matters not covered by a warrant, such as street lighting, are however outside the scope of the certificate).

5.2.6 It should be noted that the final Completion Certificate for the last dwelling cannot be accepted until all the common items are complete.

5.2.7 In blocks of flats, the first Completion Certificate for a flat cannot be accepted until the common areas in the block are complete.

5.2.8 It is essential in all cases where submissions and/or acceptance cover only part of the warrant application, and in particular in relation to dwellings, that the buildings or dwellings involved are consistently and accurately designated on the completion certificate, the acceptance, and the Building Standards Register.

5.3 Late submission without a warrant

5.3.1 Where work has been carried out, or a conversion made, without a warrant when there should have been a warrant applied for, a Completion Certificate must still be submitted. However in this case the certificate may only be accepted if it confirms that the work or conversion has been carried out in accordance with, and now complies with, the building regulations as they apply at the time of the submission of the Completion Certificate.

5.3.2 A submission where a warrant was not sought when it should have been must also provide plans and specification details equivalent to those for a warrant application so that the verifier can adequately assess whether to accept the certificate.

5.3.3 There is no limit as to how long after the completion of the work a late Completion Certificate may be submitted, but it is always the regulations at the time of submission that must be met. It becomes increasingly less likely as time passes that compliance will be possible without further work, in which case a new warrant application is needed.

5.3.4 A certificate from an Approved Certifier of Construction may be part of a Completion Certificate that has been submitted late, but the certifier must assess the work against the regulations applying at the time of the submission of the Completion Certificate. It is an offence to issue a certificate that is false or misleading, so the certifier must be satisfied, if necessary by checks, inspection or tests, that the work is in compliance.

5.4 Acceptance or rejection of Completion Certificate

5.4.1 A verifier must accept a Completion Certificate if, after reasonable enquiry, they are satisfied the work/conversion certified complies with the relevant warrant and building regulations. If the work/conversion does not comply, the certificate must be rejected. The verifier must, in reaching this decision, accept that a certificate issued by an approved certifier of construction is ‘conclusive of the facts to which it relates’. The verifier must however check that the person signing the certificate is registered, on the date on which the certificate of construction was signed, as an Approved Certifier, and that the certificate is counter-signed by a body that is approved at that date to co-ordinate the certification of such matters. There is no requirement for a verifier to check that certifiers are still registered at either the date of submission or the date of acceptance of the completion certificate.

5.4.2 Reasonable enquiry would, in terms of the Act, include consultation with those specified in the procedure regulations in relation to the specified kinds of work. At present, consultation is not specified, but guidance is given in chapter 14 below on when consultation will normally be required. It is also likely to include inspection (see paragraphs at 5.5 below).

5.4.3 The submitted Completion Certificate should be on a model form which includes certificates of construction under any available certification scheme. A small refund on the warrant fee will be due for each area of work certified, provided the verifier has agreed, before it is done, that the work is to be certified.

5.4.4 Any other certificates that a local authority may choose to accept as evidence of compliance, such as those used in the previous system in relation to intumescent products, may continue to be accepted, but have no effect on fees. Such documents should not be confused with certificates from approved certifiers where there is considerable protection given to both clients and verifiers through the approval scheme.

5.4.5 Verifiers, and those submitting Completion Certificates, should note that the Act does not provide for views to be sought on whether completed building work may be accepted as meeting the regulations.

5.4.6 A verifier must provide a response as to whether a submitted Completion Certificate is acceptable within 14 days or such longer period as has been agreed with the person making the submission. If a submission is rejected the verifier must give that person the reasons for refusal. If a decision has not been taken within the 14 day period the application is deemed to have been rejected. Following a rejection, the person making the submission may appeal to the Sheriff against the decision.

Notes:

(1) Relevant person defined in the Act, and at paragraphs at 5.2.1 above.
(2) Reasonable enquiry may include:

• site inspection against the warrant drawings;
• checking validity of certificates from Approved Certifiers of Construction.

(3) Acceptance is recorded in the Building Standards Register.
(4) This applies to new build, extensions or conversions. Other alteration work need not prevent continued occupation.

5.5 Inspection and tests

5.5.1 Following the submission of a Completion Certificate, the verifier usually carries out a non-disruptive inspection of the work. However, as a verifier need only make ‘reasonable enquiry’ before acceptance of the certificate there can be circumstances where a site inspection may not be needed. For example, if the verifier has chosen to make previous inspections, these may have provided sufficient assurance to inform the verifier’s decision.

5.5.2 Also, where the application relates to repetitive work over several buildings, such as the application of external insulation to blocks of flats, random inspections of say 30% of the dwellings may be sufficient if all inspections indicate compliance. If defects are found, more detailed inspections will be required, depending on the frequency and seriousness of the defects.

5.5.3 If they consider it necessary, under section 41(2) of the Act a verifier may require a ‘materials test’ to be completed, or test results to be provided if tests have already been carried out. A ‘materials test’ can include a test of materials in combination, for example a separating wall, or even a whole building, as well as individual materials. The verifier may be prepared to carry out the test, but in all cases the full costs of materials tests are to be borne by the applicant unless the verifier chooses to reduce the cost.

5.5.4 In the case of work covered by a certificate of construction, a verifier may not request a materials test before accepting a completion certificate. However if a local authority wishes to take enforcement action, they may under section 39(4) of the Act carry out reasonable tests to determine the quality and strength of any material.

5.6 Continuing requirements

5.6.1 On occasion, in order to be satisfied that the purposes of the regulations will not be frustrated, for example by some change that is liable to happen unless care is taken to prevent it, a verifier will impose some continuing requirement. For example, if glass cleaning depended on access being maintained to certain areas, a continuing requirement to keep access clear could be imposed, and could be enforced later if any attempt to reduce the access was made. (See also paragraphs at 7.3 and 7.4 for further information on continuing requirements).

5.7 Maintenance of records

5.7.1 A verifier is required to keep a record of the Completion Certificates submitted, including any plans, specifications, certificates of construction, and other relevant documents or information, together with the decisions made as to acceptance or rejection which are to be recorded on the Building Standards Register.

5.7.2 In the event that a verifier refuses to accept a Completion Certificate because certificates of construction are submitted by individuals who do not hold appropriate designations or bodies that are not currently approved the verifier must provide written notification to the Agency.

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