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

3 Potential problems

3.1 Discovery of mistakes, omissions, inaccuracies

3.1.1 If a mistake, omission, or inaccuracy is discovered by, or notified to the Applicant, the Applicant should always:

• inform the approved body responsible;
• inform the certification scheme provider if no redress;
• inform other designers or contractors;
• also inform the verifier if it is discovered…
• when the application for Warrant is being assessed
• during construction
• during assessment of the completion certificate ;

If discovered after issue of Warrant, the Applicant should always:

• apply for an amendment to warrant.

3.1.2 If a mistake, omission, or inaccuracy is discovered by, or notified to an approved body, the approved body should always:

• arrange for the designer to correct the mistake, omission, or inaccuracy, and for the ACD to certify the amendment;
• inform the applicant;
• inform other designers or contractors;
• inform the certification scheme provider if cannot arrange for correction by the original approved certifier.

3.1.3 If a mistake, omission, or inaccuracy is discovered by, or notified to an approved certifier (regarding work that they have certified or are certifying), the Approved certifier should always:

• check that the mistake, omission, or inaccuracy has been corrected;
• inform the applicant;
• inform other designers or contractors;
• tell the applicant to apply for an amendment to warrant if it is discovered after issue of warrant.

If the correction is not made, the Approved certifier should:

• inform the applicant;
• inform the verifier.

3.1.4 If a mistake, omission, or inaccuracy is discovered by, or notified to an approved certifier of construction (regarding design for which a warrant has been issued) the Approved certifier of construction should always:

• ask the approved body they are working for to inform the applicant;
• refuse to complete the work or certify the work until an appropriate amendment has been made by the designer.

3.1.5 If a mistake, omission, or inaccuracy is discovered by, or notified to a certification scheme provider, the certification scheme provider should always:

• query the approved certifier;

If appropriate, the certification scheme provider should also:

• inform the verifier;
• inform the SBSA.

3.1.6

If a mistake, omission, or inaccuracy is discovered by, or notified to the verifier, the verifier should always:

• inform the Applicant;
• inform the SBSA;

If the problem is serious, the verifier should:

• inform the Enforcer.

3.1.7 If a mistake, omission, or inaccuracy is discovered by, or notified to SBSA the SBSA should always:

• query the certification scheme provider;

If appropriate, the SBSA should also:

• inform the verifier;

If the problem is serious, the SBSA should:

• inform the Enforcer.

3.1.8 If a mistake, omission, or inaccuracy is discovered by, or notified to Enforcer, the Enforcer should:

• inform the verifier;
• inform the Applicant.

3.1.9 The following diagram demonstrates typical communication routes in the certification system. Please note that normally, there should not be any need for direct communication between verifiers and approved certifiers, approved bodies, or certification scheme providers.

3.2 Mis-representation

3.2.1 If an approved certifier or approved body makes an inaccurate representation in an application for building warrant, the verifier should:

• return application for building warrant to applicant;
• inform the SBSA

For instance:

• an approved certifier of construction signs as an approved certifier of design;
• the approved certifier of design does not hold the designations appropriate to the project; or

• the approved body is not approved under relevant certification scheme.

3.2.2 If an individual, a business, or another body signs a certificate but is not approved to do so, the verifier should:

• inform the SBSA;
• inform the certification scheme provider.

For instance:

• the individual signing is not registered as an approved certifier;
• the business or other body named on the certificate is not an approved body.

3.3 Complaints and appeals

3.3.1 In case of dissatisfaction with the certification service provided by an approved certifier or an approved body, complaints should be addressed to the certification scheme provider.

3.3.2 If a complaint is sufficiently serious that the certification scheme provider considers that an emergency audit is necessary, the approved certifier and / or approved body will be suspended from the register.

3.3.3 If the issue is not satisfactorily resolved, certification scheme provider must recommend that approval should be terminated. The individual or business may appeal this decision.

3.3.4 If an applicant for approval or renewal is rejected, the certification scheme provider should explain the grounds for the rejection to the applicant, in order that they may improve any subsequent application. If the applicant does not agree with the grounds for rejection, they may make a formal appeal to the certification scheme provider.

3.3.5 During an appeal following an emergency audit or renewal, the applicant will be suspended from the register. If the appeal sustains the rejection, the approval will be terminated with immediate effect.

3.3.6 In case of dissatisfaction with the service provided by a certification scheme provider, complaints should be addressed to the certification scheme provider in the first instance. If not resolved, complaints may be addressed to the SBSA.

3.3.7 In case of dissatisfaction with the service provided by a verifier in relation to certification matters, complaints should be addressed to the SBSA.

3.3.8 Complaints must be recorded on receipt by certification scheme providers and the SBSA.

3.3.9 Complaints to certification scheme providers must be forwarded for information to the SBSA within one working day.

3.3.10 The grounds for rejection of approvals, renewals, and the findings of emergency audits and complaints procedures must be recorded by the certification scheme provider, and forwarded for information to the SBSA.

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