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

1. Certification

1.1 Introduction

1.1.1 The Building (Scotland) Act 2003 introduces the possibility that the design or construction of building work may be certified as complying with the Building Regulations. The certification system would not allow self-certification, but would specify a framework of third-party accreditation of certifiers and the bodies that employ them.

1.1.2 The certification system would be grounded in the principle that qualified, experienced, and reputable building professionals and tradesmen can be made responsible for ensuring compliance with building regulations, without the need for detailed scrutiny of designs or inspections by local authorities.

1.1.3 The framework for the certification system is established in four sections of the Building (Scotland) Act, which are reproduced in Appendix A.

1.1.4 This guidance, which is additional to the Procedural Handbook, explains proposals for the implementation of the certification System and includes examples of certificates.

1.1.5 Draft application forms for certification scheme providers and for schemes are reproduced in Appendices B and C.

1.2 Principles of Certification

1.2.1 Certification is an optional procedure for the implementation of building regulations in Scotland and is only relevant to work that requires a building warrant.

1.2.2 Certification is the statement by people who are approved as having suitable qualifications, experience, and training to certify that specified aspects of a design proposal, or a completed construction, comply with the Building (Scotland) Regulations.

1.2.3 Certificates would only be issued by certifiers who are employed by a body (a business or other body) that has been approved as adopting suitably professional practice to provide a certification service, including quality assurance procedures to check compliance with building regulations.

1.2.4 Certification may only be undertaken by an approved certifier of design or construction who is registered in an appropriate approved certification scheme and, where relevant, holds the appropriate designation(s), and who is employed by a body that is registered in an appropriate approved certification scheme.

1.2.5 Certifiers are directly responsible for the work that is certified but may certify work by others if they take appropriate steps to ensure that the work conforms to regulations.

1.2.6 The Scottish Building Standards Agency (SBSA), on behalf of the Scottish Ministers, will run the on-line certification register of approved certifiers of design, approved certifiers of construction, approved bodies, certification scheme providers, and certification schemes. The on-line register is the only authoritative source of information about certification and is updated weekly.

1.2.7 An applicant for a building warrant may choose to submit certificates by approved certifiers of design as part of the application. At the completion of the project, certificates by approved certifiers of construction may be submitted as part of the completion certificate.

1.2.8 Certifiers of design may certify work submitted in applications for amendment of warrant.

1.2.9 Certificates of design and certificates of construction provide evidence to satisfy verifiers of compliance with building regulations. Verifiers must accept a certificate as conclusive of the facts to which it relates, provided that the person signing the certificate is currently authorised to do so.

1.2.10 Verifiers do not check certified designs or inspect construction that is to be certified, but must check the registration of individuals and bodies against the SBSA certification register.

1.2.11 Approval of individual certifiers and bodies is normally by dint of membership of an approved certification scheme run by an approved certification scheme provider.

1.2.12 There is no limit to the number of memberships of certification schemes or designations that any individual may hold, provided that they meet the relevant criteria. There is also no limit to the number of memberships of certification schemes that any business or other body may hold. A self-employed, sole practitioner could hold memberships as both an individual certifier and as the certification co-ordinator of an approved body.

1.2.13 The SBSA may in future decide to undertake direct approvals of individuals and businesses or other bodies.

1.2.14 Local authorities, their subsidiary organisations, or employees may seek approval under certification schemes, but it should be noted that the Act does not allow a local authority which acts as a verifier to act as a certifier on the same project.

1.2.15 The register will be operated on-line. In order to avoid nuisance to individuals, only contact details for approved bodies are freely available, but the approval number and name of certifiers will be shown.

1.3 Certification schemes

1.3.1 A certification scheme is a programme to approve and audit approved certifiers of design or construction, within the terms of the Building (Scotland) Act 2003, that is operated by an approved certification scheme provider, and is specific to certain aspects of design or construction.

1.3.2 Each certification scheme is specific to a particular discipline or type of project, but may encompass a family of designations. A scheme may be extended by the addition of designations, without repeated checking of the basic features of the scheme.

1.3.3 The criteria for approval under certification schemes vary between schemes and are set by the SBSA with advice from certification scheme providers and independent advisors.

1.3.4 Once a scheme has been approved, any similar scheme must meet or exceed the criteria used for approval under the original scheme.

1.3.5 Individual approval indicates that the person has been approved as having the appropriate qualifications, experience, and understanding of the role to act as a certifier, subject to limitations identified by any designations.

1.3.6 Approval of a business or other body indicates that it has been approved as adopting appropriate professional practices to operate a certification service by employing approved certifiers of design or approved certifiers of construction who are individual Members of the same certification scheme.

1.3.7 Each approved body must designate a certification Co-ordinator who may or may not themselves be an approved certifier.

1.3.8 Each scheme will require that an Approved Body employs at least one approved certifier, but may additionally subcontract certification work to other approved certifier(s), provided that this is covered by appropriate insurance.

1.3.9 If an approved body ceases to employ any approved certifier under a particular scheme, they must inform the certification scheme provider and must not offer certification services under that scheme until at least one approved certifier is employed.

1.3.10 An approved certifier may satisfy themselves of compliance with Building Regulations for matters within the scope of their registration by taking advice on specialist issues from other designers or consultants who are suitably qualified and experienced.

1.3.11 An approved certifier must keep a record of the means used to check compliance with Building Regulations for each warrant application. This information will be used in audits by the certification scheme provider.

1.3.12 If certification is shared by two or more specialists, each approved certifier should sign the certificate.

1.3.13 A certification scheme must be clearly identified as a scheme that is specific to the certification of the Scottish Building Standards, and must not be confused with, or rely on the membership of professional or trade associations.

1.3.14 Members must apply for renewal of membership at intervals agreed between the certification scheme provider and the SBSA. Renewal is subject to audit by the certification scheme provider.

1.3.15 If applicants for initial approval or renewal are rejected, the certification scheme provider must notify the applicant of the reasons for rejection.

1.3.16 The frequency of renewals is to be determined by a risk assessment prior to Approval of the certification scheme, based on the aspects of construction or nature of the projects that are to be certified.

1.3.17 Audits may also be made in the event of complaints of misrepresentation, certification outwith designation, or reckless certification.

1.3.18 Approval of memberships may be terminated in the event of unsatisfactory performance.

1.3.19 The consequences of a non-renewal or termination of membership of an approved certifier or an approved body are contractual matters outwith the scope of this guidance.

1.3.20 The renewal of approval of a certification scheme is subject to annual audit by the SBSA based on both the current criteria for membership and performance of approved certifiers and approved bodies in practice. Applications for renewal of a certification scheme may be rejected in the event of unsatisfactory audit.

1.3.21 The renewal of Membership of certification schemes is subject to audit at appropriate intervals by the certification scheme provider on the basis of both the current criteria for membership and performance in practice in terms of compliance with building regulations of designs or construction. Applications for renewal may be rejected in the event of unsatisfactory audit. Audits should normally take place at three year intervals, but different frequencies may be agreed between the SBSA and the certification scheme provider on the basis of a risk assessment.

1.4 Certification scheme providers

1.4.1 The SBSA may approve an organisation as a certification scheme provider, either by itself or as part of a consortium with other organisations.

1.4.2 Organisations must offer evidence of their status, good practice, financial arrangements, and capacity to operate certification schemes.

1.4.3 There is no limit on the number of schemes that may be operated by an approved certification scheme provider, provided that the organisation supports the scheme with appropriate expertise and administrative resources, and meets the other criteria.

1.4.4 Members of the governing body and officers of the organisation must have suitable, relevant qualifications and experience in construction professions or trades that equip them to operate certification schemes.

1.4.5 Certification scheme providers may delegate the scrutiny of individuals and bodies to agents, but must retain control of Approvals, Audits, and disciplinary procedures.

1.4.6 The financing of certification schemes is a matter for certification scheme providers to decide.

1.4.7 Certification scheme providers are required to make provision to assist building owners to resolve problems arising from an approved body that ceases to trade.

1.4.8 The renewal of approval of certification scheme providers is subject to audit by the SBSA based on both the current criteria for approval and performance in practice. Applications for renewal may be rejected in the event of unsatisfactory audit.

1.4.9 Certification scheme providers may determine the frequency of reporting to the SBSA register, subject to the following limitations:

• approvals and renewals of membership: maximum monthly;
• rejection of applications for membership: maximum monthly (with grounds for rejection; not to be published but available to applicant under Freedom of Information Act);
• suspensions following rejection of an application for renewal or unsatisfactory emergency audit: within 24 hours, (with an explanation of the grounds for suspension; not to be published but available to applicant under Freedom of Information Act);
• terminations of membership: within 24 hours of determination of case and any appeal, with an explanation of the decision.

1.4.10 The SBSA will record any complaints and forward them for action to the certification scheme provider. If the certification scheme provider receives a complaint, they must record it and forward the information to the SBSA.

1.4.11 Certification scheme providers must report any change in staffing to the SBSA within a week of the change.

1.5 Examples of potential certification schemes

1.5.1 Certification is a voluntary option and it is up to the professional bodies and the construction industry to propose certification schemes for approval. The following tables give examples of possible schemes, but there is no guarantee that such schemes would be approved.

1.5.2 Each certification scheme may comprise a family of designations. certifiers might be limited, by dint of their experience (and qualifications in some instances), to certain designations. Others may be eligible for one or more designations but choose only to certify under some of them. For instance:

1.5.3 Certification scheme providers may devise reporting schemes which will allow auditing of the methods used to check compliance with Building Regulations. For instance, a certifier of design for Structure might be required to record whether:

• they were the designer and the design was checked by another;
• they were the checker and design was carried out by another;
• they used their own competence to satisfy themselves of the adequacy of design and checking by others; or
• they referred to a third party to gain the knowledge used to satisfy themselves of the adequacy of design and checking by others.

Such recording could be compared by the scheme provider with declarations of expertise and experience made at the time of application(s) for approval.

1.5.4 Certification schemes need not be tied to a single existing organisation. Joint certification schemes may be proposed by two or more organisations acting together. For instance, a trade association and a professional body might form a company which applies to become a certification scheme provider and proposes two certification schemes, for Design and Construction of a particular type of building or construction method. The SBSA would wish to ascertain the advantages of such an arrangement, in terms of promoting compliance with building regulations.

1.5.5 The certification system could complement existing procedures to accelerate responses to applications for building warrants. For instance, type-approved structures might be used in combination with certification of site-specific design, such as site preparation, drainage, and foundations.

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