2016 Local Authority Building Standards Scotland [LABSS] Procedural... · a Certificate of...

2016 LocalAuthorityBuildingStandardsScotland[LABSS]

LABSSProceduralGuidanceonverificationofcertifiedandnon-certifiedroutesforcompliancewiththebuildingregulations:February2016

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LABSSProceduralguidanceonverificationofcertifiedandnon-certifiedroutesforcompliancewiththebuildingregulationsFebruary2016 FOREWORDbyLABSSCHAIRNICKMcLARENThebuildingstandardssysteminScotlandisoneofthemostrobustintheworld;itsetshighstandardsinconstruction,sustainabilityandenergyefficiencyrequirements,andlocalauthoritiesprovideanenviablerecordofmonitoringcompliance.BuildingStandardsCertificationisnowanestablishedalthoughoptionalpartofthesystem,butwhathappenswhenworkisnotcoveredbyaCertificateofDesignoraCertificateofConstruction?PromptedbytheScottishMinisters,aCertificationWorkshopinSeptember2014,attendedbyallinterestedparties,ledtotherecommendationthatwherenotcoveredbyaCertificateofDesignoraCertificateofConstruction“guidancebedevelopedtoencourageaconsistentapproachtotheverificationofcertifiablework”.Inacceptingthischallenge,theLABSSpositionhasalwaysbeenclear;localauthoritiesandtheschemeprovidersdonotprovideanequivalentservice.LABSSmembersundertakereasonableinquirywhilecertifiersassurecomplianceandaredirectlyresponsiblefortheworktheycertify.Thereisnoexpectationthatindividualbuildingstandardssurveyorsbecomeasexpertaspractitionersincertifiabletopics.Whatthisguidancedoesisprovideanapproachtoriskassessingcertifiableworkbasedongoodpractice,ittakestheopportunitytomakethisgoodpracticemorewidelyknown,anditprovidestheopportunityforamoreconsistentapproachtoriskassessingnationwide.TheresultisthissuiteofLABSSguidancenotesdraftedwithcontributionsfromtheScottishGovernment’sBuildingStandardsDivision,thevariouscertificationschemeprovidersand,ofcourse,theLABSSmembership.Inendorsingthiswork,theLABSSExecutivewishestorecognisethecontributionsfromTomAird,DaveAitken,RichardCairns,JohnDelamar,FrankFairgrieve,GordonLindsay,DonaldMacNeil,NeilMitchell,IainPatience,IainRockeandAndrewTurriff,allwhomhavediligentlyrepresentedLABSSthroughoutthisprocess,andtheassistanceofthosememberswhoparticipatedintheconsultationprocess.Thankyouall.



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CONTENT

Ref: Title Scope Page Foreword 1 Content 2 Introduction,aimsandbackground 3 LABSSPGNEQ001/2016

Riskmanagementintheverificationofbuildingwarrantsubmissions

Riskmanagement 4-10

LABSSPGNEQ002/2016

TheverificationofStructuresSection1.0oftheTechnicalHandbooks

Design 11-21

LABSSPGNEQ003/2016

TheverificationofEnergyUseSection6.0oftheTechnicalHandbooks

Design 22-32

LABSSPGNEQ004/2016

TheverificationofElectricalInstallationsSection4.5oftheTechnicalHandbooks

Construction 33-38

LABSSPGNEQ005/2016

TheverificationofPlumbingDrainageandHeatingInstallationsSection3.0oftheTechnicalHandbooks

Construction 39-44



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INTRODUCTIONInframingtheseguidancenotesitisimportanttoacknowledgeandrecognise,aspartofthe‘equivalence’process,thatverifiershavewellestablishedriskprotocolsinplacecoveringallaspectsofthebuildingwarrantprocessfromapplicationthroughtocompletion,allofwhichareimplementedbystaffwhoareprofessionallyqualifiedand/orsuitablyexperienced.AIMS Thesedocumentsprovideamethodologywhichseeksto:• promoteaconsistentapproachtotheverificationofcertifiablework,• examinewhatconstitutesproportionateauditing,and• offerguidanceonwhat,intermsofequivalence,mayconstitutereasonableinquiryfordesign

andconstructionworksthatarenotcoveredbyaCertificateofDesignoraCertificateofConstruction.

Thesedocumentsarenotdesignedorintendedtoprovidedesignerswithachoiceonhowtocomplywiththebuildingregulations.Asastartingpoint,itwasconsideredthattheguidanceshould:• bebasedonariskassessmentapproach,• considertechnicalandproceduralaspects,• considerthecompetenciesofverificationstafforotherresources,and• showthatauditingmeasuresarebasedonariskassessmentapproach.BACKGROUNDTheimportanceofcertificationwithinthebuildingstandardssysteminScotlandwashighlightedattheScottishGovernment’seventatEdinburghCastleinMarch2014andsubsequentlyattheBuildingStandardsCertificationWorkshop,heldinEdinburghon24thSeptember2014.TheworkshopresultedinthepublicationinMay2015ofadraftreportoncertifiedandnon-certifiedroutesforcompliancewiththebuildingregulations.TheissueofcertificationwasfurtherdiscussedatthemeetingbetweenLABSSandtheScottishGovernmentMinisterforLocalGovernment,earlyin2015.WorkingwithpartnersincludingtheBuildingStandardsDivisionandthevariouscertificationschemeproviders,LABSSacceptedthechallengetodevelopandpublishguidancetoencourageaconsistentapproachtotheverificationofcertifiablework.TheresultingsuiteoffiveindividualLABSSguidancenotes,coveringriskmanagementandverificationofstructures,energy,electricalinstallationsandplumbingdrainageandheatinginstallations,arecollatedandpresentedinthisdocument.



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LABSSPGNEQ001/2016Riskmanagementintheverification

ofbuildingwarrantsubmissions1.1PREAMBLEThisguidancenoteconsidershowtoprovideaconsistentapproachtoriskmanagementfortheverificationofbuildingwarrantsubmissions.Inparticular,thefocusisonriskmanagementassociatedwithSection1StructuresandSection6Energycomponentsofsubmissions,whicharosefromtheprojectonequivalencebetweencertified(underApprovedSchemes)andnon-certifiedsubmissions(seeBuildingStandardsCertificationWorkshopatBSD,Livingston,on24September2014).Ofnote,itisconsideredthattheproposedriskmanagementprocesscouldbereadilyappliedtotheother5sections(Fire,Environment,Safety,NoiseandSustainability)detailedintheTechnicalHandbooks.1.2AIMSAnyriskmatrixdevelopedasaresultofthe“Equivalenceinverification”projecthasthepotentialtoberolledoutacrossall32localauthoritiesinScotland.Duetodifferingmanagementandinformationsystemsused,itisproposedthatasimpleriskmodelbeutilised,thoughthegenericmodelcouldbefurtherextendedtomeetmoreadvancedlocalrequirements.Anauditingprocess,aimedatensuringenhancedtransparencyforevidencingconsistencyofriskapproachesappliedtobuildingwarrantsubmissionsthroughoutScotland,isalsopresented.2.APPROACHESTORISKTherearemanydifferentapproachestoriskmanagement,andthemostsuitableapproachisdependentonthefieldofapplication.Generally,riskisdefinedasthecombinationoftheprobabilityofahazardresultinginanadverseevent,timestheseverityoftheevent.Thisdefinitionformsthebasisofriskconsiderationsusedfortheassessmentofriskinrelationtobuildingwarrantapplications,fromtheperspectiveoftheverifier.2.1Selectinganapproachtorisk2.1.1RiskbasedonexistingDOM/NDOMcategoriesAttheoutset,anumberofapproachesbasedonexistingriskprocedureswereconsidered.Inparticular,useoftheexistingDOM/NDOMriskcategories,developedaspartofthePerformanceFrameworkandtheVerificationduringConstructionprocess,wereconsideredforeaseofimplementationacrossall32localauthorities.ThedomesticandnondomesticriskgroupingsarepresentedintheBSD/LABSSpublications:• VERIFICATIONDURINGCONSTRUCTION-GuidancetoSupporttheApplicationofReasonable

Inquiry• VERIFICATIONDURINGCONSTRUCTIONNON-DOMESTICBUILDINGS-GuidancetoSupportthe

ApplicationofReasonableInquiry



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Ingeneralterms,thedriversforincreasingriskarefireandstructuralorbuildingcomplexity.However,thereisawiderangeofbuildingtypesincertaincategories(forexample,NDOM7rangesfromcafesandsmallshopstolarge(notdefined)officebuildingsandshoppingcentres).Thiscangiverisetoconflictintheplacementwithintheoverallhierarchy.Accordingly,whilstthebenefitsofutilisingthecurrentDOMandNDOMriskcategoriesareconsideredtobeveryattractiveintermsofeaseofimplementationacrossall32localauthorities,itisevidentthatthisDOM/NDOMhierarchyistoodivergentforuseinagenericriskmatrix.2.1.2RiskbasedonSERapproachtostructuresAsanalternative,mirroringtheSER(StructuralEngineersRegistrationLtd.)approachtoriskforCertificationofStructureswasconsidered.TheSERapproachtoriskhasbeenguidedbytheclassificationwithinBSEN1990:2002Eurocode-Basisofstructuraldesign.InSERTechnicalBulletin2,thefourriskclassesusedforstructuraldesignaredetailedalongwithacheckingregime.Thefourriskclassificationshavebeenderivedfroma:• riskfactorwhichcomprisesaloadparameterandastructuralparameter,and• consequencefactor(takesaccountofthenumbersofpeopleatrisk,thelocationandasocietal

criteria)Ingeneralterms,thedriverforincreasingriskisstructuralcomplexity.However,therearedifficultiesindirectlymirroringtheSERriskprocesstobuildingwarrantapplications.Ofnote,80%ofbuildingwarrantapplicationsaredomesticinnaturewithavalueoflessthan£50,000.Inthiscontext,themajorityofbuildingwarrantapplicationswouldberiskedinthelowestSERRC1riskcategory.AstheSERriskhierarchydoesnotdifferentiateacrossthislargepercentageofbuildingwarrants,itisconsideredthattheSERriskmatrixaloneshouldnotformthebasisoftheriskassessmentmatrixusedtoaddressequivalence.2.1.3RiskbasedonapproachestypicallyusedbyverifiersAspartoflocalmanagementprocedures,overanumberofyears,verifiershavedevelopedindividualprocessestoensurethatriskisaddressedinrelationtobuildingwarrantsubmissions.Thelocalprocedurescurrentlyinplacehavetypicallybeendevelopedtolinkinwiththemanagementsystemsandconstraintswithinwhichtheverifiersmustoperate.3.RISKMANAGEMENTFORBUILDINGWARRANTAPPLICATIONS3.1Perceivedriskfromaverifier’sperspectiveFromaverifier’sperspective(andindeedfromthedesigner’s/architect’sperspective),riskisnotthesameforverifyingthe7individualtopicsdetailedintheTechnicalHandbooks.Eachparticulartopicwillhaveapotentialrangeofriskwhichdependsonthecomplexityoftheproposedworks.Fromtheverifiers’pointofviewofperceivedriskwhenassessingbuildingwarrantapplications,acomparativeexampleoftheperceivedrangeofrisksassociatedwiththe7topicspresentedintheTechnicalHandbooksispresentedinTable1.Eachofthe3maincategories(severity,verifyingandcomplaints)havebeendividedinto3sub-categories(high,mediumandlow)topermitdifferencesbetweenperceivedDOMandNDOMriskstobebetterhighlighted.



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Table1.Perceivedriskwhenassessingbuildingwarrantapplications

STRUCTURE FIRE ENVIRONMENT SAFETY NOISE ENERGY SUSTAINABILITY

DOM

NDO

M

DOM

NDO

M

DOM

NDO

M

DOM

NDO

M

DOM

NDO

M

DOM

NDO

M

DOM

NDO

M

Perceivedoverallriskfromverifierperspective

High High High High Med Med Med Med Med Low Med Low Low Low

Relativeseverityofanindividualadverseevent

High

Med

Low

RiskofnotverifyingfullcompliancewithBuildingRegulations

High

Med

Low

Relativelikelihoodofreceivingcomplaintspostcompletion

High

Med

Low

WhilstTable1issolelyintendedtobeindicative,thereasonsfortheindividualrisksdetailedarebasedongeneralriskapproachestypicallyusedbyverifiers:• Structures–Consequenceofstructuralfailure• Fire–Lifesafety• Environment–Impactonhealth(particularlycontamination,radon,drainageandventilation)• Safety–Riskofaccidentsandeaseofuse• Noise–Impactonwellbeing• Energy–Encouragingenergyefficiency• Sustainability–EncouragingsustainabilityTheperceivedoverallriskistheproductofthe‘Relativeseverityofanindividualadverseevent’multipliedby‘RiskofnotverifyingfullcompliancewithBuildingRegulations’multipliedby‘Relativelikelihoodofreceivingcomplaintspostcompletion’.Assuch,inthecontextofabuildingwarrantapplication,theperceivedoverallriskforsayEnergywillbeconsiderablylowerthanperceivedoverallriskforStructuresandFire.



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Ofnote,theoverallperceivedriskassociatedwithabuildingwarrantapplicationwillbethehighesttopicrisk,oncetheindividualtopicrisksarenormalisedasinTable1.3.2ProposedbuildingwarrantapplicationriskprocessItisconsideredthatthemosteffectiveapproachisforagenericriskdependingonbuildingtype/usetobeappliedtoeachbuildingwarrantapplication.Thisriskcouldthenbemodifieddependingonadditionalrisks,suchas:• Buildingcomplexity• Trainingandcompetenceofchecker• QualityofsubmissionTheriskmanagementprocessforbuildingwarrantsoutlinedinthefollowingsectionisbasedongoodpractisecurrentlyused.Itisnotedthatthedetailspresentedareintendedtoformabase-linetoenableaconsistentapproachofriskmanagementinrelationtobuildingwarrantsthroughoutScotland.Theproposedriskmatrixbasedonbuildingtype/useispresentedinFigure1andTable2.Ingeneralterms,thedriversforincreasingriskarefiresafetyandstructuralcomplexity.InTable2,fornondomesticbuildings,CategoriesA,BandCfocusonpropertyprotection,lifesafety,andlifesafetycoupledwithhighoccupancyandlimitedfamiliarityissuesrespectively.Fromtheoutset,itwasdeemedthatmulti-storeybuildingswouldattractahigherriskthantheequivalentsinglestorybuildings.3.3PeercheckingandauditThepurposeofpeercheckingistoensurethatallverificationissueswithinthesampleofbuildingwarrantapplicationsaresuitablyaddressed.Assuch,itistheresponsibilityoftheverifiertoensurethatstaffundertakingpeercheckingaresuitablytrained,experienced,andunderstandatwhatpointtheirknowledgeandexpertiseisinsufficienttofullycheckthecontentofanapplication.ThepeercheckingregimepresentedinTable3isbasedontheratesspecifiedbyeachverifier.Theserateswillreflectlocalresourcesavailableforpeerchecking.Thepeercheckingcanbeusedtomaintainalevelofqualityofoutput,andtoidentifyanyissuesthatmayrequireremedialactions,suchasadditionaltrainingforcasesurveyors.Wheretheriskrequirestobeincreasedtotakeintoaccountcasespecificissues,peercheckingshouldbeappliedtotheapplicationbydefault.



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Figure1.Proposedriskmanagementflowchartforbuildingwarrantapplications

Buildingwarrantapplicationreceived

Management:Applicationgivenbuildingriskcategory(Table2):

DOM:DL1toDH5NDOM:NL2toNH6

Management:Applicationallocatedto

casesurveyorandallocatedpeercheckingrequirement

(Table3)

Anychangestoprojectresultinreappraisalofrisk

Management:Whereriskismodifiedtotakeaccountofcase

specificissues,defaulttopeercheckingforthecase.

Management:Applicationreviewedtoflagifsufficientinternal(in-

house)expertiseavailableforpeercheckingorifexternalpeercheckingisrequired.

Applicationassessed

Applicationapprovedorrejected

Applicationpassedtosuitablycomptentcasesurveyor

Whererequired,applicationinternallypeerchecked

Whererequired,applicationexternallypeerchecked


LABSSProceduralGuidanceonverificationofcertifiedandnon-certifiedroutesforcompliancewiththebuildingregulations:February2016 9

Table2.RiskmatrixforbuildingwarrantapplicationsRisk Domestic(PrefixD;Risk:L=Low,M=Medium,H=High;finalnumberisrelativeranking) Non-domestic(PrefixN;Risk:L=Low,M=Medium,H=High;finalnumberisrelativeranking) Checking

High

DH6

NH6 • Assessmentofproposedbuilding(s)requiringexternalfireengineeringexpertisetoresolve.• Complexdevelopment,alterationsandextensions(includingnon-standardconstruction).

High

DH5• Assessmentofproposedbuilding(s)requiringexternalfireengineeringexpertisetoresolve.• Complexdevelopment,alterationsandextensions(includingnon-standardconstruction). NH5

• Development,alterations,extensionsinvolvingmulti-storeyCatBorCbuildings.• Conversionsfromanondomesticbuildingtypetoadomestictype,forexamplehouse-office,house-shop,etc.;involvingmulti-storeyCatA,BorCbuildings.

Med

ium

DM4

• Multi-plotdevelopmentencompassingflats(allorinpart).• Conversionsfromanondomesticbuildingtypetoadomestictype,forexampleoffice-house,shop-house,etc.

• Multi-plotdevelopmentsencompassinghouseswithmorethan2storeys.

NM4

• Development,alterations,extensionsinvolvingmulti-storeyCatAbuildings.• Development,alterationsandextensionsinvolvingsingle-storeyCatBorCbuildings.• Conversionsfromanondomesticbuildingtypeadomestictype,forexamplehouse-office,house-shop,etc.;involvingsingle-storeyCatA,BorCbuildings.

Interm

ediate

DM3

• Multi-plotdevelopmentsencompassinghousesupto2storeysonly.• Developmentencompassingasinglehouse.• Alterationsandextensionsinvolvingorcreatingmorethan2storeys.• Roomintheroofconversionscreatingmorethan2storeys.• Demolition/removals(adjpublicaccessinvolved).

NM3

• Development,alterations,extensionsinvolvingsingle-storeyCatAbuildings.• Demolition/removals(adjpublicaccessinvolved).

Low

DL2

• Alterationsandextensionsinvolvingorcreating2storeys.• Roomintheroofconversionscreating2storeys.• Conversionofintegral,attachedanddetacheddomesticgaragestoformapartment(s).• Interioralterationstoflats.• Anylowrisk(DL1)workinvolvingseparatingwallsrelatingtonoise.• Demolitions/removals(noadjpublicaccessinvolved).• Single-storeyextensionsandalterations(conservatories,sunrooms,garages,etc.)withboundaryfireissues.

• Interioralterationsto2storeydwellings.• Neworreplacementfuelstoragetank(s).

NL2

• Minorinternalandexternalalterations,whichdonotaffectmeansofescape.• Demolitions/removals(noadjpublicaccessinvolved).

Low

DL1

• Single-storeyextensionsandalterations(conservatories,sunrooms,garages,etc.)withoutboundaryfireissues.

• Interioralterationstosinglestoreydwellings.• Erectingoralteringretainingwalls.• Alterexistingexternalopenings(windows,doors,patiodoors,Frenchdoors,etc.).• Infillstoexternalwallsandroofs.• Formopeningstoexternalwallsandroofs.• Erectingoralteringwalls,fencinganddecking.

NL1

CategoryA–focusonpropertyprotection

CategoryB–focusonlifesafety;relativelyhighoccupancy,publicaccess,etc. CategoryC–focusonlifesafety;relativelyveryhighoccupancy,publicaccess,etc.ANDlimitedmobilityofoccupants,limitedfamiliaritywithbuilding,non-compliance,etc.

a) Storagebuildingsb) Factorybuildingsc) Industrialunitsd) Agriculturalbuildings

a) Entertainment,includinglicensedbettingoffices,clubs,publichouses,restaurants,cafes,etc.

b) Residentialbuildingsc) Offices

d) Shopse) Assembly,includingswimmingpoolbuildings,

churches/placesofworship,educationalestablishments,librariesopentothepublic,daycentres,healthcentresandsurgeries,etc.

a) Entertainment,includinghalls,conference,exhibitionandleisurecentres,etc.

b) Shops(multi-storeyorseparationissues)c) Residentialcare/hospicesd) Hospitals

e) Shoppingmallsf) Anynondomesticworkinvolvingnon

compliancewithguidance.


LABSSProceduralGuidanceonverificationofcertifiedandnon-certifiedroutesforcompliancewiththebuilding

regulations:February201610

Table3.Templateforinternalpeercheckingrates(tobecompletedbyeachverifierbasedonresourcesavailable)

Competencyofchecker Totalprojectrisk Minimuminternalpeerchecking*

Seniorsurveyor Low

Competency:Tobecompletedbyverifier.Forexample,holdsmembershipofprofessionalbody,orcompletedrelevantin-housetraining,andexperiencedatassessingcomplexapplications.

Med

High

Surveyor Low

Competency:Tobecompletedbyverifier.Forexample,holdsmembershipofprofessionalbody,orcompletedrelevantin-housetraining.

Med

High

AssistantorTraineesurveyor Low

Competency:Tobecompletedbyverifier.Forexample,completedrelevantin-housetraining.

Med

High

*Forexample,insertratiosof1:1,1:2,1:5,1:10,1:25,1:50or1:100.

4.ProposedauditingofbuildingwarrantapplicationriskmanagementprocessTopermittransparencyofthebuildingwarrantapplicationriskprocessacrossall32verifiers,itissuggestedthattheresultsbecollatedbyeachverifierintheformatdetailedinTable4.Whereaverifierwishestomakeuseofamoreadvancedriskmanagementprocess,thisoptionwouldbepursuableanditwouldbetheresponsibilityoftheverifiertoevidencesuitableauditingoftheirriskmanagementprocess.Table4.Internalauditreportforriskmanagement

Completedby SystemAdmin SystemAdmin Management Casesurveyor Casesurveyor Management BWreference Riskcategory Riskassessed

followingLABSSPGNEQ001/2016

StructurescheckedfollowingLABSSPGNEQ002/2016

EnergycheckedfollowingLABSSPGNEQ003/2016

Peerchecked(internalorexternal)

15/00001 DL1 ü ü ü ü

15/00002 DL2 ü ü - -

15/00003 DM3 ü ü ü -

15/00004 DM4 ü ü ü ü

15/00005 NL2 ü ü - -

15/00006 NM4 ü ü ü -

15/00007 DH5 ü ü ü ü

15/00008 NH5 ü ü ü ü

15/00009 DL2 ü ü ü ü

15/00010 DL1 ü ü - -

Totals 10 10 100% 100% 70% 50%




LABSSPGNEQ002/2016TheverificationofStructures-Design

Section1.0oftheTechnicalHandbooks1.1PREAMBLEThisguidancenoteisintendedtohighlightthebestpracticeoflocalauthoritiesandtoprovideaframeworkonwhichauthoritiescanaddressequivalenceintheverificationofbuildingstructuredesigns.1.2AIMSTooutlineaconsistentapproachtotheverificationofbuildingstructuredesigns,andtoprovideguidanceforverifiersontheassessmentofnon-certifiedbuildingstructuredesigns.1.3BACKGROUNDItisconsideredthatguidanceonequivalenceinthecheckingofstructuraldesignshouldbebasedonthefindingscontainedintheBREresearchreport“Astudyintothelevelofcheckingofstructuraldesign”,covering:• Theriskclassificationsforprojectsandhowtoassessrisk• Thecompetencerequiredforindividualsassessingcomplianceatdifferentrisklevels• Projectchecklistsforcompliancecheckingofstructuraldesign• Technicalguidancetobereferredtobythoseundertakingcompliancechecking• Flowchartandproceduralguidanceinordertomeettheneedsoftheservicelevelagreements

offeredtothepublicbyBuildingStandards• Proportionatecheckingofnon-certifiedworkonanannualbasis• Examplesoftheuseoftheprocedureincompliancecheckingfordifferentcomplexitiesof

buildingAttheBSD/LABSS/SERstructuralliaisongroupmeetingon19thJuly2013(andalsoatanumberofpreviousmeetingsofthatgroup),SERrepresentativesraisedanissueregardingcommentsfromsomeoftheirCertifiersthata“twotier”systemhasdevelopedforcheckingthestructuraldesignofbuildingwarrantapplicationsinScotland.LABSSrepresentativesatthemeetingwereoftheviewthatasthecertificationprocessisnotmandatory,analternativeassessmentprocessisrequired,andthatthisdoesnotcreatea“twotier”systembutinsteadindicatedanecessaryalternative.Subsequently,theBSDcommissionedresearchfromtheBuildingResearchEstablishment(BRE),askingthemtoinvestigatethelevelofcheckingofstructuraldesign.Aftercirculatingaquestionnairetoall32ScottishVerifiers,andconductinginterviewswith6selectedverifiers,BREissuedtheirreportinApril2014.BREincludedcommentsintheirreportthat:

• “there was a lack of consistency and indeed transparency amongst verifiers to structural

checking”• “there is no evidence that the end products of certified and non-certified approaches were

different”




• “thereisscopetoimprovetheconsistencyofthenon-certifiedapproach”2.SERCERTIFICATION

StructuralEngineersRegistrationLtd(SERLtd.)wasappointedbytheBSDtoadministeraschemeforCertificationofDesign(BuildingStructure).TheSchemewasestablishedasaresultofajointinitiativebytheInstitutionofStructuralEngineersandtheInstitutionofCivilEngineers,andwasdrivenbynewlegislationintroducedinScotland,namelytheBuilding(Scotland)Act2003.

TheActencouragesaholisticoverviewfromdesigntocompletionofanybuildingproject,byenablinganengineerwhoisamemberoftheSchemeasanApprovedCertifierofDesign(BuildingStructures)tocertifythestructuraldesignofbuildingsinScotlandandtoincludeacertificatewiththeapplicationtolocalauthoritiesforbuildingwarrant.

ThecertifyingengineerisresponsibleforensuringthatallaspectsofdesignofthestructureofaprojectsatisfytherequirementsoftheBuilding(Scotland)Regulations2004.Thelegislationalsomakesengineerswhoareresponsibleforbuildingstructuresspecificallyawareoftheirresponsibilitiesanddutiesinthedesign,thusimprovingassuranceofstructuralsafety.

SERhasissuedaSchemeGuideandnumberofGuidanceNotesandTechnicalBulletins.Theseareavailableattheirwebsiteatwww.ser-ltd.com.Ofparticularrelevancetothismatterare:

• SERGuidanceNote2-CertificationofCompliancewiththeBuildingRegulations• SERGuidanceNote4-UseofCertificatesofDesign(BuildingStructures)• SERTechnicalBulletin1-Certificationofcontractordesignedelements• SERTechnicalBulletin2-Guidelinesforcheckingthestructuraldesignofbuildings

TheBSDdocumentProceduralGuidanceonCertificationincludinginformationtobesubmittedwithabuildingwarrantapplicationgivesadviceonthepracticalapplicationofthebuildingstandardssystemwhenanApprovedCertifierisusedonaprojecttopromoteaconsistentapproach.GuidanceonthelevelofinformationonthestructuraldesigntobeprovidedtotheverifierwhentheseaspectsarecoveredbyaCertificateofDesignisincluded.

Section1.9.2oftheBSDpublicationProceduralHandbook(ThirdEdition,Version1.1)statesthatApprovedCertifiersofDesignareresponsibleforspecifiedaspectsofthedesignofbuildingssuchasthestructure.Ifsatisfiedthattheproposeddesignmeetstherequirementsofthebuildingregulations,anApprovedCertifierofDesignmayissueacertificateforsubmissionwiththeapplicationforbuildingwarrant.Certifiersmusthavedueregardforcompliancewiththefullrangeofrelevantbuildingstandardsrequirements,notjustthoseofimmediaterelevancetotheparticularaspect.AstheCertificateofDesignistakenasproofofwhatitpurportstocover,theverifierdoesnotcheckthosematters,althoughsufficientstructuraldetailsandspecificationmustbeprovidedtomeettherequirementsoftheaboveproceduralguidancedocument.Averifiermust,however,checkthatthepersonsigning(theApprovedCertifier)issuitablyqualifiedtoissuetheCertificateofDesigninrelationtothematterscertifiedandthatthecounter-signingfirm(theApprovedBody)isapprovedtoco-ordinatethecertificationoftheseaspects.Thesechecksaremadeusingtheon-linecertificationregisterontheBSDwebsiteatwww.scotland.gov.uk/Topics/Built-Environment/Building/Building-standards.




Theverifierchecksthevalidityofacertificateandmayonlyacceptitif:• thepersonisregisteredasanApprovedCertifieronthedateofsignature;and• thefirmisregisteredasanApprovedBodyonthedateofsignaturebythecertification

coordinator;and• bothareregisteredunderthesameschemewhichisrelevanttotheworkbeingcertified.

Theverifieralsochecksthatthecertificaterelatestothewarrantapplicationorcompletioncertificatesubmissionforexample,buildingaddress,descriptionofworksanddescriptionofstagesareconsistent.Acertificatemayalsobelimitedbythescopeoftheschemeandparticulardesignations.

ACertificateofDesignmustcertifyalltheworkcoveredbythewarrantapplicationoramendmenttowarrantapplication.

ThischeckingalsoappliestotheFormQ(Noticeoffinalisationofdesigndetails)onthefinalisationofstructuraldesign.

3.CHECKINGOFSTRUCTURALDESIGNBYVERIFIERS

Alternatively,structuraldesigncalculationsmaybesubmittedinsupportofabuildingwarrantapplication.Theverifiermustthenreviewthestructuralcalculationsanddesigndrawingssubmitted,andsatisfythemselvesthattheworkforwhichthebuildingwarrantistobegrantedwillcomplywiththeBuildingRegulations(inparticularSchedule5,Regulation9,Sections1.1and1.2),alongwiththerelevantBritishStandardsandStructuralEurocodes.Thiswouldnormallyinvolvecheckingtheinputtocalculations,runningchecksonthedesign(althoughitisacknowledgedthatitmaynotbepractical,intimeorfinancialterms,forverifierstoruntheirowndesignchecks),andacheckofthesubmitteddrawings,toensurethatsufficientstructuralinformationhasbeenprovidedandthattheengineeringdrawingsmatchupwiththe(oftenearlier)architect’sdrawings.AsuggestedsetofguidancenotesforverifiersisattachedasAppendix1.AlistofcriteriafortheassessmentofprojectsisgiveninAppendix2.Thequestionofanonymoussetsofcalculationisworthyoffurtherconsideration.TheProceduralHandbookdoesnotinsistthatdrawingsaresignedbytheirproducer,thereforeitisdifficulttoarguethattheauthorofasetofstructuralcalculationswouldhavetosignhisorherwork.Iftheproducerisnotknown,orifthedesignissubmittedanonymously,thentheverifiershouldgivethesecalculationsmoredetailedscrutiny.Asthecertificationprocessisnotmandatory,certificationcannotbeinsisteduponandtheoptionofacceptingeitheravalidCertificateofStructuralDesignorstructuralcalculationsshouldalwaysbeofferedbyverifiers.Ineithercase,sufficientdetailforreasonableinquirypurposesisrequired,assetoutintheBSDCertificationdocument.The32localauthoritiesinScotlandactasverifiers,butitisunderstoodthatverifiersutilisearangeofstaffinthecheckingstructuralcalculations,forexampletheuseof:• lessexperiencedBuildingStandardsSurveyors(withnoformalcivil/structuralqualifications)• experiencedBuildingStandardsSurveyors(withnoformalcivil/structuralqualifications)• Civil/StructuralEngineersdirectlyemployedbythatCouncil’sBuildingStandardsservice• Civil/StructuralEngineersfromothertechnicalserviceswithinthesameCouncil




• Civil/StructuralEngineersfromaBuildingStandardsserviceatanotherCouncil(withtheprovisothattheyshouldhaveadequateknowledgeandexperienceintherelevantbuildingstructure,notjustdrainageortransportation,forexample)

• Civil/StructuralEngineersfromanexternalfirm(outsourcing)

Thecompetenceofanystaffusedshouldbechecked,forexamplewhetherexperiencedinthetypeofwork,whethermembersofarelevantprofessionalInstitutionandtheirlevelofmembership,includingwhetherCharteredetc.VerifiersmaywishtoconsidertheuseofApprovedBodiesorApprovedCertifiersforexternalchecking.

Ifstructuralcheckingisbeingoutsourcedbywhatevermeans,clearguidanceshouldbegivenastowhatlevelofcheckingisrequired,forexamplecheckingofinputs,calculations,andcompliancewithSections1.1&1.2oftheTechnicalStandardsetc.(seeAppendices1&2).GuidanceisalreadygivenintheSmallBuildingsStructuralGuidance(SBSG).Thisisnolongerbeingupdated,butcontainsusefulinformationofspantablesforfloorjoist,rackingresistanceetc.Inasimilarvein,thevariouspartsofBS8103StructuralDesignofLowRiseBuildingsalsocontainsusefulguidance.BS8103isEurocodecompatible,butdoesnotcovertimberkitconstruction.Itisimportanttonotethatverifiersshouldnot“cherrypick”betweenthevariouspiecesofguidance.TheSBSGwaswrittenforthosewithexpertiseinbuildingdesignandconstruction,butnotnecessarilystructuralengineeringdesign.WheretheconditionsorparametersfalloutsidethescopeoftheSBSG,thenspecialistadviceshouldbesoughtfromapprovedCertifiersofDesign,CharteredEngineersorotherappropriatelyqualifiedpersons.Whenworkingwithcontractordesignedelementswhicharestilltobedesignedatbuildingwarrantstage,itshouldbenotedthatverifiersshouldnotrelyonthirdpartydesigncertificates,forexampleManufacturer’sCertificatesfortrussedrafters,unlesstheyhavesatisfiedthemselvesastothecompetenceofthedesignerandchecker,andtheadequacyofthecheck.Eventhen,theverifierwillhavetosatisfythemselvesthatthedesigncalculationsanddrawingsarecomplete,thatthedesignassumptionsandloadingsareappropriate,andthattheresultsappearreasonable.OnmorecomplexprojectswithContractordesignedelements,stagingmaybeconsidered.4.RISK-BASEDAPPROACHItissuggestedthatarisk-basedapproachwouldbethebestwayforwardforprovidingconsistencyforverifierscheckingstructuralcalculations.Thisassessmentwouldnotnecessarilybebestmirroredbyvalue,butcouldbemetbyconsideringthecomplexityofthewholeof,orpartof,theproject.Examplesofriskinclude:• Buildingtype/complexity/value• Consequencesoffailure(forexamplepublicsafety,financiallossetc.)• Likelihoodoffailure• Roleandcompetencyofdesigner/installer-experiencedinthetypeofwork?Companyknown

toverifier?Goodtrackrecord?• Qualityofdesigndetails/installation• Verificationcheckingactivities• Verificationcheckingcompetency(inhouse/external)• Verificationqualityassurance




SERTechnicalBulletinNo.2Guidelinesforcheckingthestructuraldesignofbuildingsputsforwardguidanceforstructuralchecking.Someofitscontentsmaybeusefulincompilingguidanceforverifiers.SERintroducedtheconceptofaRiskClass,basedontheconsequencesoffailure(RC1=low;RC2=medium;RC3=high).BuildingsarethenallocatedtotheseRiskclasses,forexampleRC1=houses,smallbuildings,minoralterationstofactories&officesetc.,RC2AandRC2BthroughtoRC3=multi-storeybuildings,placesofspecialfirerisk,grandstandsetc.AmodifiedversionoftheSERguidanceispresentedinTable1.ItisconsideredthatRC1shouldbebrokenintotwosubsets(RC1AandRC1B),wherethelowestlevel(RC1A)wouldnotrequireCharteredEngineerinputandcouldthereforebecheckedbyasuitablyqualifiedBuildingStandardsSurveyor,whoisexperiencedinthistypeofwork.Ifrequired,specialistadviceshouldbesoughtfromApprovedCertifiersofDesign,CharteredEngineersorotherappropriatelyqualifiedpersons.Normally,warrantsareallocatedtoSurveyorsbyManagersorTeamLeadersorequivalentseniorstaff.Asectioncouldbeaddedtotheallocationsheettoallowseniorstafftostatethelevelofstructuralcheckingthatisconsideredtoberequired.Theimportanceofhavingtoconsidertheexistingbuildingwhendealingwithextensionsandalterationsshouldbenoted.RiskClassDescription(seeNote1toTable1)RC1 Lowconsequenceforlossofhumanlifeandeconomic,socialorenvironmental

consequences smallornegligibleRC2 Mediumconsequenceforlossofhumanlife,economic,socialorenvironmental

consequences considerableRC3 Highconsequenceforlossofhumanlifeoreconomic,socialorenvironmental

consequences verygreatSimplifiedsummaryforcheckingRC1A BuildingStandardsSurveyor,suitablyqualifiedandexperiencedRC1B EngineerRC2A EngineerRC2B EngineerRC3 Engineer




Table1.Riskclassificationbybuildingtypeandoccupancy

RiskClassification

BuildingTypeandOccupancy

RC1A Houseswithmasonryortimber-framewallsnotmorethantwostoreyswithoutbasementstoreys.Extensions,withmasonryortimber-framewalls,notmorethantwostoreys,tohousesincludinggaragesandoutbuildings.Singlestorey,singleleafbuildingsformingagarageoroutbuildingwithinthecurtilageofadwelling.Houses(seenote2)includingalterationsandextensionstohouses.SmallbuildingsofTypes5to8and13to20describedinSchedule1toRegulation3oftheBuilding(Scotland)Regulations2004(seenote3).Minoralterationstofactories,storagebuildingsorofficeswhichfallswithinthedescriptionoftheRC1riskclassification(seenotes4and5).

RC1B Houses,includingalterationsandextensions.HouseswhicharenotincludedinRC1(seetheTechnicalStandards).

RC2A Hotelsnotexceeding4storeys.Flats,apartmentsandotherresidentialbuildingsnotexceeding4storeys.Officesnotexceeding4storeys.Factories(Class2)notexceeding3storeys.Shopsandenclosedshoppingcentresnotexceeding3storeysoflessthan2000sq.m.floorareaineachstorey.Singlestoreyeducationalbuildings.Assemblybuildings(otherthaneducationalbuildings),entertainmentbuildingsandotherbuildingsaccessibletothegeneralpublicallnotmorethan2storeysandwitheachstoreyareaofnotmorethan2000sq.m.

RC2B Hotels,flats,apartmentsandotherresidentialbuildingsgreaterthan4storeysbutnotexceeding15storeys.Educationalbuildingsgreaterthan1storeybutnotexceeding15storeys.Shopsandenclosedshoppingcentresgreaterthan3storeysbutnotexceeding15storeys.Hospitalsnotexceeding3storeys.Officesgreaterthan4storeysbutnotexceeding15storeys.Assemblybuildings(otherthaneducationalbuildings),entertainmentbuildingsandotherbuildingsaccessibletothegeneralpublicandwitheachstoreyareaofmorethan2000sq.m.butnotmorethan5000sq.m.Opensidedcarparksandstoragebuildings(Class1)morethan6storeys.Grandstandsaccommodatingupto5000spectators.

RC3 Highoccupancymulti-storeybuildings>15storeys.Buildingshavingunconventionalconstructionorinnovativedesignandbuildingconstructionspronetodynamicinstability.AllbuildingsdefinedaboveasRC2AandRC2Bthatexceedthelimitsonareaand/ornumberofstoreys.Grandstandsandsportsarenasaccommodatingmorethan5000spectators.Storagebuildings(Class1),Factories(Class1)andplacesofspecialfirerisk.

Note1:ForbuildingsintendedformorethanonetypeofusetheClassshouldbethatpertainingtothemostoneroustype.

Note2:AhouseisdefinedbyRegulation2oftheBuilding(Scotland)Regulations2004(whicharereproducedinthelistofdefinedtermswhichformAppendixAtotheTechnicalHandbook)asadwellingononeormorestories,eitherdetachedorformingpartofabuildingfromallotherpartsofwhichitisdividedonlyvertically.

Note3:Schedule1listsanumberofbuildingtypeswhichareexemptedfromtherequirementsoftheregulationsotherthanexceptionsalsolistedintheschedule.TheRC1classificationthereforeappliestocertificatesissuedinsupportofbuildingwarrantapplicationsforworksthatfallwithintheexceptioncategory.

Note4:DefinitionsofbuildingtypesandoccupancyaregivenwithintherelevantpartsoftheBuilding(Scotland)Regulations2004.

Note5:RC1Aexcludeshouseswhichareconstructedofskeletalframesoftimber,steeletc.(i.e.“non-traditional”houses),andthosewhosestabilityisachievedbysystemsotherthantimberrackingormasonryshearwalls.Itshouldalsoexcludeunusualorinnovativebuildingsthatfitintothiscategorybutrequirespecialistengineeringinput,forexamplelarge2storeyglazedwalls,largeopenplanlayoutswithstructuralbeams/columnsetc.




5.PROPORTIONATEAUDITINGItisconsideredthatproportionatecheckingshouldbeatooltoaidconsistentreasonableinquiry.Peerreviewwithinconsortiumgroupsmaywellbeperfectlyadequate,similartotheinterconsortiaauditingcarriedoutforlocalauthoritywarrantapplications.EachlocalauthorityshouldconsiderhavingQAproceduresinplacetoensurethatthecheckingdescribedinthisguidanceisbeingundertakenandprocessesfollowed.




APPENDIX1XXXXXXXXXXXBuildingStandardsServiceBuilding(Scotland)Act2003Guidelinesonminimumrequirementswhensubmittingstructuralcalculationsforbuildingwarrantapplications.Structuralcalculations,whicharebeingsubmittedforthepurposeofobtainingabuildingwarrant,shouldbeinaformofareportandbepreparedbyaCivilorStructuralEngineerexperiencedinthetypeofdesignproposed.Thismaybesubmittedintypedorhandwrittenformandmust:- beclear,legibleandaccurate;- haveallpagestitledandnumbered;- providein-textclausestotherelevantBritishStandards/StructuralEurocodesandortext

references;and- containsketchesanddrawings,asrelevant.• Thecalculationsshouldcontainadetaileddescriptionofthebuilding.Thisshouldhighlightthe

followingaspects:(a) Existingstructuralcondition(b) Functionalrequirements(c) Siterequirements(d) Architecturalrequirements

• Thecalculationsshouldprovidealistofcomponentsandshouldhighlightanyspecificdesign

requirementsofthevariousstructuralelements.• AdetailedMethodologyastohowthebuildings/structuralelementshavebeenanalysedand

designedshouldbeprovided.Anaccountofhowthebuildingwillfunctionstructurallytowithstandverticalandhorizontalloadsshouldalsobeprovided.

• ThedesignshouldconformtocurrentandrelevantBritishStandards/StructuralEurocodesand

showcompliancewithTechnicalStandards1.1(DesignLoadings)and1.2(PreventionofDisproportionateCollapse).Referencetospecificstandardsmustbeincludedwithinthetextwheneverrelevant.Thespecificationofmaterialsmustbedetailedinthedocumentandindrawings.

• Abreakdownofallpermanentandimposedhorizontalandlateralloadingmustbeprovided.

ReferencestotherelevantBritishStandards/StructuralEurocodesandotherrelevantdocumentswherecharacteristicloadswereobtainedmustbelistedandreferredtowhereused.Thesitewindloadcalculationsmustbeprovidedwhereapplicable.

• Thestructuralanalysismaybedonemanuallyorbytheuseofcomputersoftware.Analysisby

softwaremustbecheckedandvalidatedbythedesigner.• DesigncalculationsshouldbedoneinaccordancewiththerelevantBritishStandards/

StructuralEurocodes.Thelocationofeachstructuralcomponentsbeingdesignedmustbeshowninadrawingandsketchesoftherelevantdetailsmustbeprovided.Thedesignmusttakeintoaccountthepracticalissuesrelatingtoconstructionandhealthandsafetyissues.




• Detaileddrawingsofthedesignedstructuralcomponentsmustbeprovidedillustratingall

relevantdesigncomponents.Alldrawingsmustbesuitablytitledandallrelevantsupportinginformationandmustbesigned.

• Thedocumentmustcontainallinformationusedinthestructuraldesign.Thiscouldincludea

GeotechnicalInvestigationreport,sitesurveyinformationetc.(EnvironmentalorGeotechnicalSiteInvestigationReportsshouldbesubmittedasahardpapercopyandelectronicformati.e.MicrosoftWordor.PDF).




APPENDIX2CriteriafortheAssessmentofProjects1.WarrantSubmissionScopeofsubmission2.GeneralDesignOverviewandParametersLoadingassessmentOverallstabilityDisproportionatecollapseConversionsStructuralmovementjoints3.ReportsandInvestigationsGroundInvestigationreportsExistingbuildingconditionassessment4Design(PrincipalStructure)MineralconsolidationSub-structure(excludingpiling)PilingEarthretainingstructuresGroundimprovementSuperstructureTies,fixingsandconnections5.Design(BuildingEnvelope)Claddingsystem(includingglazing)Cladding,fixingsandsupports(includingpurlins,sheetingrailsetc.)Claddingmovementjoints6.Design(SecondaryStructure)InternalpartitionsProtectivebarriers7.SpecificationStructuralmaterials/components/fixings8StructuralFireProtectionElementsofstructure(asdefinedbyRegulation2)




LABSSPGNEQ003/2016TheverificationofEnergy-Design

Section6.0oftheTechnicalHandbooks1.1PREAMBLEIntermsofenergy,limitingunnecessaryenergyuseandassociatedcarbondioxideemissionsisahighpriority,andisakeycomponentofgovernmentpolicyonclimatechange,andislikelytocontinuetobesofortheforeseeablefuture.1.2AIMSThisguidancenoteconsidershowbesttoprovideaconsistentapproachtotheverificationofSection6energysubmissions.1.3BACKGROUNDIngeneralterms,foralterations,extensionsorconversionsofbuildings,itisconsideredreasonabletoproposethattheriskassociatedwithabuildingwarrantenergysubmissionisproportionaltothecurrentandtheproposedenergyuseandcarbondioxideemissionsofthebuildingorbuildingsinquestion.Likewise,fornewbuilds,theriskisproportionaltotheproposedenergyuseandcarbondioxideemissionsofthebuildingorbuildings.Additionalconsiderations,suchastheimpactoftheproposeddesignonthehealthandwellbeingofthosewhouseandinteractwithabuildingwillalsorequireconsideration.Assuch,anyriskbasedapproachforverifierscheckingenergysubmissionsrequirestobeunderpinnedmainlybythecategoryofbuildinginvolved,andotherrelevantmodifiersmaythencomeintoplay.2.VERIFICATIONOFENERGYSUBMISSIONS2.1Goodpracticeforcheckingofbuildingwarrantapplications–energyApplicationsforbuildingwarrantscovernewbuild,alterations,extensionsandconversions.IntermsofEnergysubmissions,thereistheoptionofthecertifiedroute(submittingaCertificateofDesignforEnergyundertheApprovedSchemeprocess),orthenon-certifiedroute(submittingsuitableenergy-relatedinformationinsupportoftheapplication).Ofnote,certificationisnotmandatoryandthecurrentsituationislikelytoremainfortheforeseeablefuture.IntermsofSection6Energy,thefollowingapproachesareusedtoshowcompliance:1) Newbuild–DomesticandNon-domestic

InaccordancewithStandard6.1,everybuildingmustbedesignedandconstructedinsuchawaythat:




a) theenergyperformanceisestimatedinaccordancewithamethodologyofcalculationapprovedunderregulation7(a)oftheEnergyPerformanceofBuildings(Scotland)Regulations2008and

b) theenergyperformanceofthebuildingiscapableofreducingcarbondioxideemissions.

Forthemajorityofnewbuildings,Standard6.1hasthegreatestinfluenceondesignforenergyperformance.However,Standards6.2to6.6alsorecommendbenchmarkandbackstoplevelstobeachievedforindividualelementsorsystems.Standard6.6impactsonthecompliancecalculationinStandard6.1byincludinganelementofdesignassessmentinrespectofsolargain/overheating.

DomesticTheStandardAssessmentProcedureforEnergyRatingofDwellings(SAP)isthecalculationtoolused.Theobjectiveisthatthecalculatedcarbondioxideemissions(measuredinkg/m2/year)fortheproposeddwelling(thedwellingemissionsrate,DER),shouldbelessthanorequaltothetargetcarbondioxideemissionsfora‘notionaldwelling’(thetargetemissionsrate,TER).AnalternativewayofmeetingStandard6.1whichavoidstheuseofthecalculationmethodologyistodesigntothesetofvaluesusedforthe‘notionaldwelling’.

Non-domesticTheSimplifiedBuildingEnergyModel(SBEM)isacalculationtoolwhichmaybeused.Theobjectiveisthatthecalculatedcarbondioxideemissions(measuredinkg/m2/year)fortheproposedbuilding(thebuildingemissionrate,BER)shouldnotexceedthosewhicharecalculatedfora‘notionalbuilding’(thetargetemissionsrate,TER),whichhasthesamesizeandshape.Alternativecalculationtoolsmaybeused(suchasdynamicsimulationmodelling,DSM),particularlywherethebuildingisconsideredtobeacomplexdesign.

2) Alterations,extensionsandconversions

Alterations,extensionsorconversionsofbuildingsdonotattractStandard6.1(carbondioxideemissions),insteadfollowingtheelementalroutesetoutinStandards6.2to6.6and6.10,fortheperformanceofthebuildinginsulationenvelopeandfixedbuildingservices.However,useofthecarboncompliancemethodologymaybeanoptioninsomesuchprojectswheregreaterflexibilityisneededandthereissufficientinformationontheexistingbuilding.Forconversions,Standards6.2to6.6canbemetasfarasisreasonablypracticable.

2.1.1CertifiedEnergydesignTheBSDdocument‘ProceduralGuidanceonCertificationincludinginformationtobesubmittedwithaBuildingWarrantApplication’providesguidancetothosemakingapplicationstolocalauthoritiesforabuildingwarrantundereithertheBREorRIAS-EnergyDesignCertificationSchemes.Inparticular,AnnexB(producedjointlybyBREandRIAS)aimstoencourageacommonapproachtothesupplyofinformationacrossallofthe32verifiers,andissummarisedasfollows:1) Ofnote,aCertificateofDesignforEnergymustaddressallpartsofSection6relevanttothe

applicationitaccompanies.Thiswillincludeanycalculationsundertakentodemonstratetheperformanceofthebuildinginsulationenvelopeandfixedbuildingservices.Inallrespects,theinformationthatshouldbeprovidedaspartofthebuildingwarrantapplicationwillbeidenticalwhetheraSection6(Energy)Certificateisbeingusedornot.




2) Anyapplicationmustcontainsufficientinformationtoallowtheverifiertoundertakemeaningfulsiteinspections.Allapplicationsshouldbeaccompaniedbygeneralarrangementdrawings,including:• aplanofthefoundation,eachfloorandanyroof• sectionsthroughthebuilding• anelevationofeachfaceofthebuilding

Togetherwithsuchinformationasmayberequiredtoidentifyandconfirmtheinputstoenergycalculationssuchas:• theconstructionandthermalperformanceofthebuildingenvelope;• thespecificationandperformanceofallfixedbuildingservicesinstallations(heating/cooling,

hotwater,lightingandventilation),includingequipmentefficienciesandsystemcontrols;• detailsofanylowcarbonequipment,suchasrenewableenergyandmicro-generation

systems;and• detailsofanymethodsemployedtocontrolorbenefitfromsolargain.

3) Notalloftheinformationaccompanyinganapplicationneedbesubmittedintheformofplans.

Theproceduralregulationsallowforinformationalsotobeprovidedintheformofreportsorschedules.

4) WhenaSection6(Energy)Certificateissupplied,theverifierisnotrequiredtoreviewtheenergycalculations,reportsandothersupportinginformationsuppliedinsupportofthebuildingwarrantapplication.Theverifierwill,however,checktoensurethatsufficientinformationisprovidedtoallowverificationofworkduringtheconstructionphaseandonsubmissionofaCompletionCertificate.Accordingly,aswithanyotherapplication,theverifierretainstheopportunitytoaskforfurther,relevantinformationinthisrespect.

WherecontradictionsareidentifiedwithinasubmissioncoveredbyaSection6(Energy)Certificate,theverifierwillreferthesubmissiontotheSchemeProviderforinvestigation.

2.1.2Non-certifieddesignFornon-certifiedEnergysubmissions,ratherthanhaveastandalonechecklist,verifierstendtorelyonthegeneralguidanceapplicabletobuildingwarrantapplications,asdetailedintheProceduralandTechnicalHandbooks.Forconsistencyandastandardisingofrequirements,itissuggestedthattheInformationChecklistusedbyCertifiersofDesignforEnergybeadoptedbyverifiersfornon-certifieddesign.Theinformationrequiredispresentedin‘ProceduralGuidanceonCertificationincludinginformationtobesubmittedwithaBuildingWarrantApplication’intheformofachecklistandisreproducedinTable1.ThechecklisthasbeenadaptedtoclarifythesuggestedcheckingfordifferentEnergysubmissions.TherecommendedcompetencyofBuildingStandardsSurveyors,andsamplingrates,forcheckingnon-certifiedSection6Energysubmissions,encompassingnew-buildSAPandSBEM,andexistingsituations(alterations,extensionsandconversions),ispresentedinSection2.2.



Table1.ChecklistforverifyingSection6Energysubmissions

Element InformationtobecheckedNewbuild Existing

LABSSSAPChecklist

LABSSSBEMChecklist Extensions Alterations Conversions

Constructionincludingexternalenvelope

• Adescriptionofthebuildupoftheconstruction. ü ü ü ü ü• Repeatingthermalbridgingcalculationsforallareasofdifferingconstruction:U-values(W/m²K) ü ü ü ü ü• Non-repeatingthermalbridgingatjunctions:ψ-values(psi)(W/mK)ordefaulty-values(W/m2K) ü ü - - -• Thermalcapacityoftheconstructionelements:κmvalues(kappa-m)(kJ/m²K) ü ü - - -• Formanufacturedelements,suchasdoors,windowsandglazing,confirmationofU-values,framefactorsandanyotherrelevantperformanceinformation. ü ü ü ü ü

• Whereapplicable,acompensatoryheatlosscalculation. - - * - *• Intendedinfiltrationrateforenvelope,asusedintheenergycalculations. ü ü - - -

Heatingandhotwater

• Generaldescriptionofheatingsystem,includingdistributionsystem,heatemittingdevicesandcontroldevicesandancillarycomponents(suchaspumps,valvesandinsulation).Specificationofcomponentsandperformance.Requirementsforlabelling,commissioningandoperation.Providemanufacturersinformationwhereproductsspecified.

ü ü * * *

Ventilation • Generaldescriptionofventilationsystem,includingdetailsoffanunits,distributionductwork,controlsandancillarycomponents(suchasterminalsandinsulation).Specificationofcomponentsandperformance.Requirementsforlabelling,commissioningandoperation.Providemanufacturersinformationwhereproductsspecified.

ü ü * * *

Cooling • Generaldescriptionofcoolingsystemincludingdetailsofchillerunits,pipe/ductwork,controlsandancillarycomponents(suchasterminals,valves,pumpsandinsulation).Specificationofcomponentsandperformance.Requirementsforlabelling,commissioningandoperation.Providemanufacturersinformationwhereproductsspecified.

ü ü * * *

Fueltype • Confirmationoffuel(s)used,togetherwithmeteringprovisions,whereapplicable. ü ü * * *Renewableandmicrogeneration

• Beforeconstructionstarts,thetechnical,environmentalandeconomicfeasibilityofhigh-efficiencyalternativesystems,ifavailable,isconsideredandtakenintoaccount(seeGuidanceleafletConsiderationofhigh-efficiencyalternativesystemsinnewbuildings).

ü ü - - -

• Detailsofanylowcarbonequipment,suchasrenewableenergyandmicro-generationsystems.Generaldescriptionofsystem,specificationofcomponentsandperformance,requirementsforlabelling,commissioningandoperation.Wherespecificsystemsspecified,providemanufacturer’sinformationtoconfirmperformancetogetherwithanyreportsnecessarytosubstantiateassertedperformance(forexample,groundconditions/boreholereportswhereagroundsourceheatpumphasbeenspecified).

ü ü * * *

Lighting • Detailoflightingsystem–luminaires,lampsandcontrolsystems,includingtype,dispositionandefficacyoflamps/luminaires. ü ü * * *

Shading • Detailsoforientationandanyobstructions(whereknown)andanymethodsemployedtocontrolorbenefitfromsolargain,usedwithinassessmentofbuildingenergyperformance. ü ü * * *

Performancetesting

• Noteanypost-completionperformancetestingexpected(e.g.airtightness)tosubstantiateassertionsmadewithintheEnergyCalculations.Provideabriefmethodstatementforsuchtests(informationandsourcesareprovidedinguidancewithinHandbooks).

ü ü - - -

Finalising/handover

• Detailsofanyrelevantcommissioningofbuildingservices(asper6.7ofHandbooks),writtenInformation(asper6.8),Energyperformancecertificates(asper6.9)andmetering(asper6.10). ü ü * * *

*=ifapplicable.LABSSSAPandSBEMChecklistsareavailablefordownloadfromtheLABSSwebsiteathttp://www.labss.org/



26

2.2Checkingnon-certifiedSection6Energysubmissions

2.2.1Competency

Inthefollowingdiscussionregardingcompetency,thetitleBuildingStandardsSurveyorisusedgenericallytorefertothefirstprofessionalgradeforBuildingStandardsstaff.However,dependingonthegradingsystemsusedbyindividualverifiers,itmaybeappropriatetoencompassAssistantorTraineeBuildingStandardsSurveyorswithinthiscategory.Ingeneralterms,thecheckingSection6Energysubmissionsmaybesummarisedas:• SAP-giventherelativelystraight-forwardSAPcalculation,andthefamiliaritygainedbyBuilding

StandardsSurveyorsfrequentlydealingwithdomesticnewbuilds,thecheckingofSAPcalculationsisnotconsideredtobetooonerous.

• SBEM-forrelativelystraight-forwardnondomesticbuildings,withrelativelysimplezoning,

heatingandventilationsystems,andlightingsystems,thecheckingofnewbuildSBEMsubmissionscanbereadilyachievedbyBuildingStandardsSurveyorsachievingLevel1competencydetailedinTable2.Issuesmayarisewhenthecomplexityofthenondomesticbuildingincreases,suchascomplexzoning,oramultitudeofheating,ventilationandlightingsystemsandassociatedcontrols(see2.2.3).

• Alterations,extensionsandconversionsofexistingbuildings-giventheextensiveexperienceof

processingbuildingwarrantsrelatingtoalterations,extensionsandconversions,thecheckingtheSection6Energy-relatedelementsofthesesubmissionsbyBuildingStandardsSurveyorsisnotconsideredtobetooonerous.

However,toensureaconsistentapproachnationwide,itisrecommendedthatBuildingStandardsSurveyorscheckingSection6EnergysubmissionsmeettheminimumLevel1competencyinTable2.

Table2.SuggestedcompetencyforEnergysubmissions

Competency

Domestic-Newbuild

SAP

NonDomestic-NewbuildSBEM/DSM

DomesticandNonDomestic-Alterations,extensionsand

conversions

Increasingcomplexityè

1) BuildingStandardsSurveyor/Energycheckerforverifier

1) SAPtraining2) Familiaritywithand

useofLABSSSAPDataVerificationandCompletionChecklist

1) SBEMtraining2) Familiaritywithanduseof

LABSSSBEMDataVerificationandCompletionChecklist

1) TrainingonTechnicalHandbook–Energy

2) Forextensions,familiaritywithanduseofCompensatoryHeatLosscalculations

2) BuildingStandardsSurveyor/Energymentorforverifierorconsortium

1) SAPtraining2) Familiaritywithand

useofLABSSSAPDataVerificationandCompletionChecklist

3) Advancedtraining

1) SBEMtraining2) Familiaritywithanduseof

LABSSSBEMDataVerificationandCompletionChecklist

3) Advancedtraining

1) TrainingonTechnicalHandbook–Energy

2) Forextensions,familiaritywithanduseofCompensatoryHeatLosscalculations

3) Expert–externalpeerreview

1) AccreditedCertifierofDesignforEnergy


2) Expertiseatdynamicsimulationmodelling(DSM)whenapplicabletobuildingwarrantapplication




27

2.2.2Checkingprocess

TherecommendedcheckingprocessforSection6EnergysubmissionsispresentedinTables3and4.

Table3.Checkingprocessfornon-certifiedSection6Energysubmissions

Section6Energysubmissions

Checkingprocess Recommendedcheckingrateswithinanindividualbuildingwarrantapplication

NewbuildSAP AsperTable1andtheLABSSSAPDataVerificationandCompletionChecklist,whichcanbedownloadedfromtheLABSSwebsite.

• AllsingleplotSAPorSBEMsubmissionsreceivefullchecksandasamplingregimebeusedformulti-plotsites.

• SuggestedsamplecheckingratesarepresentedinTable4.

• Intermsofmulti-plotsites,astheexperienceandcompetencyoftheSection6Energyassessorincreases,therateofcheckingbytheverifierdecreases.

NewbuildSBEM AsperTable1andtheLABSSSBEMDataVerificationandCompletionChecklist,whichcanbedownloadedfromtheLABSSwebsite.

Existingalterations,extensionsandconversions

AsperTable1.

Table4.SuggestedsamplingcheckingratesforEnergysubmissions

Competencyofsubmitter

Domestic–Newbuild

SAP

NonDomestic–NewbuildSBEM

DomesticandNonDomestic-Alterations,extensionsand

conversionsSingleplot Multi-plot Singleplot Multi-plot Singleplot Multi-plot

1) Firsttime/notrackrecord Fullcheck

Eachhousetypeandminimum1in5

Fullcheck

Eachuniquebuildingandminimum1in5

Fullcheck


2) Experienced/acceptabletrackrecord

Fullcheck


Fullcheck


Fullcheck


3) Highlyexperienced/noissueseveridentified

Fullcheck


Fullcheck


Fullcheck


2.2.3Peerreviewing

Section6Energysubmissionswillrequiretobepeerreviewedifapeerreviewisallocatedtothebuildingwarrantapplicationviariskmanagementprocess.WhereabuildingwarrantapplicationwithaSection6Energysubmissionhasbeenallocatedapeerreviewaspartoftheriskmanagementprocess,itisrecommendedthattheBuildingStandardsSurveyorundertakingthepeerreviewofthesubmissionalsomeetstheminimumLevel1competencysetoutinTable2.



28

Verifiersareencouragedtoidentifyatleastonein-housesurveyortoactasanEnergymentor,toguideandadviseothersurveyorsonthemorecomplexSection6Energyissues.TherecommendedLevel2competencyofanEnergymentorisdetailedinTable2.Whereaverifierisunabletoidentifyasuitablein-houseEnergymentor,arrangingaccesstoEnergymentorswithinthelocalconsortiumcouldformasuitablealternative.TherecommendedapproachtoexternalpeerreviewingofSection6EnergysubmissionsisdetailedinTable5.

Table5.Externalpeerreviewing

Section6Energysubmissions

Externalpeerreviewingcomments

NewbuildSAP ItisconsideredunlikelythataSAPsubmissionwouldrequiretobesubmittedforexternalpeerreview,though,ifrequired,therecommendedcompetencyforanexternalpeerreviewisdetailedinTable3.Asamatterofcourse,itisrecommendedthattechnicalissuesarisingfrommorecomplexSAPsubmissionsaresharedatlocalconsortiumandLABSSlevels,toensureconsistencyofapproachatanationallevel.

NewbuildSBEM Issueswithverifierexpertisemayarisewhenthecomplexityofthenondomesticbuildingincreases,suchascomplexzoning,oramultitudeofheating,ventilationandlightingsystemsandassociatedcontrols.ItisconsideredgoodpractiseforeachverifiertoidentifythelevelofSBEMsubmissionwhichisbeyondtheleveloflocalexpertise.Insuchinstances,theverifierwouldensureaccesstosuitableexternalSBEMexpertise,forexamplewithintheirlocalconsortiumorviaanexternalaccreditedexpert.

Alterations,extensionsandconversionsofexistingbuildings

ItisconsideredunlikelythataSection6Energysubmissionforalterations,extensionsandconversionswouldrequiretobesubmittedforexternalpeerreview,though,ifrequired,therecommendedcompetencyforanexternalpeerreviewisdetailedinTable3.Asamatterofcourse,itisrecommendedthattechnicalissuesarisingfrommorecomplexEnergysubmissionforalterations,extensionsandconversionssubmissionsaresharedatlocalconsortiumandLABSSlevels,toensureconsistencyofapproachatanationallevel.

2.2.4Recommendationsforfutureimprovements

Whilstthecheckingprocessfornon-certifiedSection6EnergysubmissionsintermsofSAPandexistingalterations,extensionsandconversionsisrelativelystraightforward,forSBEMsubmissions,thecheckingprocesscanbeproblematicduetoalackoftransparencywithinasubmissionandalackofconsistencyofdatapresentationbetweenthedifferentSBEMpackages.AsanadditionaloutcomefromtheEnergyEquivalenceGroup,itisrecommendedthatdiscussionbeheldwithprovidersofSBEMpackages,toencouragestandardisationoftheformatoftheSBEMoutputsandtobetterhighlightfeaturesthatrequiretobeinspectedbytheverifiers.2.3SummaryfortheverificationofSection6energysubmissions

AnoverviewsummarisingtherecommendedequivalenceprocessforSection6energysubmissionsispresentedintheflowchartinFigure1.



29

Figure1.FlowchartforverificationofSection6Energysubmissions

Section6Energysubmission

Non-certified

Buildingwarrantapplicationriskassessedwhenreceived–peercheckingallocated,ifrequired.

Section6EnergyCertificate

CheckcertificateonBSDwebsite,applydiscountandrecord

inUNI-form

Checksubmissioncontainssufficientinformationtoallowreasonableinquirysiteinspections.

Reportanycontradictionsinsubmissionto

schemeprovider.

Buildingwarrantapplication

approvedorrejected.

Whererequiredbyriskmanagement,applicationispeerchecked(see2.2.3).

SAP–Newbuild

SBEM-Newbuild

Alterations,extensionsandconversions

1)SubmissionassessedasperTable1andtheLABSSSAPDataVerificationandCompletionChecklist.

2)SamplingratesasperTable4.

3)Checksubmissioncontainssufficientinformationtoallowsiteinspections.

1)SubmissionassessedasperTable1andtheLABSSSBEMDataVerificationandCompletionChecklist.



1)SubmissionassessedasperTable1.



Ifanyerrorsoromissionsareidentified,raiseinreporttoapplicantoragent.

Uponreceipt,checkrevisions.Repeatprocessuntilsubmissioncomplies.

Noerrorsoromissionsidentified.



30

2.4Casestudies

ExamplesofapplyingtheriskmanagementandenergyequivalenceprocesstoDomesticandNonDomesticbuildingwarrantsubmissionsarepresentedinAppendixA.

2.5PromotingCertificationforEnergy

Onthebasisoftheinformationpresentedinthisdocument,theopportunitiesforandfocusonpromoting/encouragingcertificationofdesignforenergycanbesummarisedaspresentedinTable6.

Table6.Encouragingcertificationofdesign–Energy

Submission Domestic Non-domestic

NewbuildSAP

Comments:Consideredtoberelativelystraightforward,withahighlevelofSAPexpertiseavailablewithinLAs.Externalexpertise:Considerednoneedtouseexternalcheckingexpertise.Focus:

PromoteEnergyCertificationforfirsttime

SAPsubmissions,toreducefaultsandspeed

upprocessing.

Na

NewbuildSBEM Na

Comments:Consideredberelativelydifficulttocheckforcomplexbuildings(e.g.Nondomestichighrisk,NH1toNH4inTable3),duetowidevarietyofbuildingservicesandnon-standardpresentationsofcalculation.Externalexpertise:LevelofSBEMexpertisevariablewithinLAs,assurveyorsnotexposedtoSBEMcalculationsasfrequentlyasSAP.WhereexpertiseisnotavailableinternallytoaLA,certificationistypicallysought.Focus:

PromoteEnergyCertificationforcomplex

buildings(complexbuildingdesign,and

complexheatingandventilationsystems).

Alterations,extensionsandconversions

Comments:Consideredtoberelativelystraightforward,duetoahighlevelofexperienceandexpertiseavailablewithinLAs.Focus:

Nochangefromcurrent

Comments:Checkingismoreonerousthanthatfordomestic,butisfullyachievable,duetoahighlevelofexperienceandexpertiseavailablewithinLAs.Focus:

Nochangefromcurrent



31

APPENDIXA–CASESTUDYEXAMPLES

Example1-Newbuilddomestic

Proposal Erecta5apartmentsinglestoreyhouse.Building/userisk DM3(DomesticMedium3,Developmentencompassingasinglehouseupto2

storeys(seeLABSSPGNEQ001/2016-Riskmanagementintheverificationofbuildingwarrantsubmissions).

Additionalrisk(s)verifyingdesign

None.

Casesurveyor Juniorsurveyor-Level1Energycompetency(seeTable2)PeercheckingrateforDomesticMediumRisksetat1:2byverifier(seeLABSSPGNEQ001/2016-Riskmanagementintheverificationofbuildingwarrantsubmissions).

Experienceofenergyassessor/submitter

Experienced/acceptabletrackrecord(seeTable4).

Riskmodifier None.Energysubmissioncheckbycasesurveyor

AsperTable1andLABSSSAPDataVerificationandCompletionChecklist(seeTable3).Fullcheck,assingleplot(seeTable4).

Peercheck No–unlesspeercheckallocatedbyverifierforthecasesurveyor(inorderforcasesurveyortoachieveapeercheckrateof1:2forDomesticMediumRisk).

Example2-Newbuilddomestic

Proposal 100plotdevelopmentof5housetypesand3flattypesBuilding/userisk DM4(DomesticMedium4,Multi-plotdevelopmentencompassingflatsmore

than2storeys(allorinpart)(seeLABSSPGNEQ001/2016-Riskmanagementintheverificationofbuildingwarrantsubmissions).


None.

Casesurveyor Experiencedsurveyor–Level1Energycompetency(seeTable2)PeercheckingrateforDomesticMediumRisksetat1:5byverifier(seeLABSSPGNEQ001/2016-Riskmanagementintheverificationofbuildingwarrantsubmissions).


Nopreviousexperience/trackrecord(seeTable4)


AsperTable1andLABSSSAPDataVerificationandCompletionChecklist(seeTable3).Multi-plotsamplingcheckingrateduetoexperienceofassessor/submitter–checkeachhousetypeandminimumof1in5(seeTable4).

Peercheck No–unlesspeercheckallocatedbyverifierforthecasesurveyor(inorderforcasesurveyortoachieveapeercheckrateof1:5forDomesticMediumRisk).



32

APPENDIXA–CASESTUDYEXAMPLES(continued)

Example3–Existingsituation-extension

Proposal Erectasinglestoryextensiontoahousetoformasunroom.Building/userisk DL2(DomesticLow2,Single-storeyextensionsandalterations(conservatories,

sunrooms,garages,etc.)withboundaryfireissues(seeLABSSPGNEQ001/2016-Riskmanagementintheverificationofbuildingwarrantsubmissions).


None.

Casesurveyor Experiencedsurveyor–Level1Energycompetency(seeTable2)PeercheckingrateforDomesticHighRisksetat1:25byverifier(seeLABSSPGNEQ001/2016-Riskmanagementintheverificationofbuildingwarrantsubmissions).


Experienced/acceptabletrackrecord(seeTable4).


AsperTable1(seeTable3).Fullcheck,assingleplot(seeTable4).

Peercheck No–unlesspeercheckallocatedbyverifierforthecasesurveyor(inorderforcasesurveyortoachieveapeercheckrateof1:25forDomesticLowRisk).

Example4-Newbuildnondomestic

Proposal Erect2storeyresidentialcarehome.Building/userisk NH5(NonDomesticHigh5,Development,alterations,extensionsinvolving

multi-storeyCatBorCbuildings(seeLABSSPGNEQ001/2016-Riskmanagementintheverificationofbuildingwarrantsubmissions).


Complexheatingsystemsandcontrols.

Casesurveyor Experiencedsurveyor–Level1Energycompetency(seeTable2)PeercheckingrateforDomesticHighRisksetat1:1byverifier(seeLABSSPGNEQ001/2016-Riskmanagementintheverificationofbuildingwarrantsubmissions).


Highlyexperienced(AccreditedCertifierofDesignforEnergy)(seeTable4).

Riskmodifier Yes-duetocomplexheatingsystemsandcontrols.Energysubmissioncheckbycasesurveyor

AsperTable1andLABSSSBEMDataVerificationandCompletionChecklist(seeTable3).Fullcheck,assingleplot(seeTable4).

Peercheck Yes–dueto1:1checkingratiosetbyverifier.Alsopeercheckingrequiredasriskmodified.Ifinsufficientpeercheckingexpertiseavailableinternallytoverifier,accesstoexternalSBEMexpertisetobearranged,forexamplewithinlocalconsortiumorviaanexternalaccreditedexpert(seeTable5).



33

LABSSPGNEQ004/2016

TheverificationofElectricalInstallationsSection4.5oftheTechnicalHandbooks

1.1PREAMBLE

Inrelationtoelectricalsafety,itsimportanceinthebuildingstandardssystemisrecognisedthroughtheBuilding(Scotland)Act2003.Insodoing,theaimisthattheowner(relevantperson)shouldappointanApprovedCertifierofConstruction(ACC)toundertakeallelectricalinstallationstoBS7671andissueaCertificateofConstructionconfirmingcompliancewithbuildingregulations.However,giventhenon-mandatorystatusofthecertificationschemes,inpractice,notallelectricalinstallationsareundertakenorsupervisedbyanACC.1.2AIMS

ThisguidanceseekstoensuretheaimsoftheBuilding(Scotland)Act2003andtheaimsoftheCertifierofConstructionprocessarebeingfulfilled.1.3BACKGROUND

AtBSD/LABSS/CertificationSchemeProvidersliaisonmeetings,concernswereraisedregardingaperceivedlackofconsistencyintheapproachofverifiers,bothintermsofwhatconstitutes‘reasonableinquiry’andwhatconstitutes‘equivalency’inrelationtothelevelofcheckbeingundertakenwithregardstoelectricalinstallations.

2.RECOMMENDEDOPTIONSFORACHIEVINGEQUIVALENCE

Thisguidancenoterecommendsadoptingariskbasedapproachtodeterminingtheextentofreasonableinquirybyaverifier,basedonwhoisundertakingtheinstallation.Thedocumentsuggeststherearefourrisklevelsasoutlinedbelow.Risklevel1-installationsundertakenbyanACCwhoiscertifyingtheelectricalinstallation.AsexplainedinSection1.3,itisrecommendedthatverifiersshouldbeactivelypromotingthisoptiononthebasisoftheaddedvaluethisbringstothecomplianceagenda.ItisrecognisedthatanACCwillconsidertheimpactthattheconstructionoftheelectricalinstallationhasonallrelatedfunctionalbuildingstandards.SuggestedreasonableinquiryinsuchcaseswillbelimitedtocheckingthevalidityoftheCertificateofConstruction.Risklevel2-installationsundertakenbyanelectricianwhoisregisteredwithNICEIC,amemberofSELECToranequivalentorganisationaccreditedbyUKAStoconductinspectionsorprovidecertificationservices(ISO/IEC17065orISO/IEC17020:2012).Suggestedreasonableinquiryinsuchcasesmayinvolvesomelevelofinspection,primarilyinrelationtotheimpactoftheelectricalinstallationonrelatedstandardsandassessingtheBS7671information.Risklevel3-installationsundertakenbyotherelectricianwhofallsoutwith1and2above,whodemonstratecompetencethroughsubmissionofacompletedchecklist(seeAppendixA).SuggestedreasonableinquiryinsuchcasesmayinvolvesomelevelofinspectionoftheelectricalinstallationandassessingtheBS7671information,inadditiontothesatisfactorycompletionofthechecklist.



34

Risklevel4-installationsundertakenbysomeoneotherthanasdescribedin1,2or3above.SuggestedreasonableinquiryinsuchcasesshouldinvolvesomelevelofinspectionoftheelectricalinstallationandrequirestheinstallationtobeinspectedandsignedoffbyanACCoranelectricalcontractorcertifiedbyaUKASISO/IEC17065accreditedcertificationbody.ThefourrisklevelsoutlinedabovearefurtherclarifiedintabularforminAppendixBandbytheprovisionofaflowchartinAppendixC.Indetermining‘reasonableinquiry’ingeneral,itisemphasisedthatitisnottheverifiers’roletoinspectallmaterialsandworkoneverybuildingsite.Tothisend,owners/clientsshouldbereminded/advisedthattheyultimatelycarryresponsibilityforcompliancewiththemandatoryfunctionalstandards.Notes:a) Whereaverifieristoinspectanelectricalinstallation,theinspectionmustbeundertakenby

suitablyqualifiedandexperiencedstaff.TrainingistobeasprovidedonanongoingbasisbySELECT/NICEIC.

b) Forauditingpurposes,theverifiershouldhaveinplaceariskprotocollinkedtotraining/competencies.

3.IDENTIFIEDNONCOMPLIANCE

RiskLevel1-asinthecaseofallworkcoveredbyanyofthecertificationschemes,theverifierhasnoremittoquestiontheinstallationwiththeACC.Where,however,faultsarefound,reportedorevensuspected,theverifiershouldreportthesetotheSchemeProvider.RiskLevel2-fordefectsintheelectricalinstallationfoundorsuspectedpre-completion,acceptanceshouldberaisedwiththeagent/client,asisthecasewithotherdefects.Fordefectsintheelectricalinstallationreportedfollowingacceptanceofacompletioncertificate,theverifiermaysuggesttotheagent/applicantthattheyreportthemattertotherelevantcertificationortradebody,astheyhaveinvestigativeandremedialpowersundertheirschemes.RiskLevel3&4-fordefectsintheelectricalinstallationfoundorsuspectedpre-completion,acceptanceshouldberaisedwiththeagent/client,asisthecasewithotherdefects.Fordefectswithanelectricalinstallationreportedfollowingacceptanceofacompletioncertificate,thereisnorecoursetoacertification/tradebodytoaddresstheconcerns.



35

APPENDIXA

Assessmentofcompetenciesfornon-certifiedbuildingwarrantelectricalwork

TheaimofthisformistodemonstratethecompetencyofthepersonwhocarriedouttheinstallationasrequiredinStandard4.5-ElectricalSafetyintheDomesticHandbook.Notes:• ThisformneednotbecompletediftheelectricianisregisteredwithNICEIC,amemberofSELECT

oranequivalentorganisationaccreditedbyUKAStoconductinspectionsorprovidecertificationservices(ISO/IEC17065orISO/IEC17020:2012)

• Tobecompletedbythepersonwhocarriedouttheelectricalinstallation

InstallationAddress:

Pleaseentertheaddressofthepropertywheretheinstallationhastakenplace.

InstallersName:

Pleaseprovideyournameandaddress.

InstallersBusiness:

Ifyouareabusiness,pleaseprovideyourbusinessname.

Insurance:Ihaveemployers’liabilityinsurance(£2millionminimumisrecommended),unlessthebusinesshasnoemployees.

Ticktoconfirm

Ifyouareamemberofatradebody,pleaseprovidenameoforganisation.

Yearofcompletionofapprenticeship:

Differentcriteriamaybeapplieddependinguponwhenyourapprenticeshipwascompleted.

Pre1995 Post

1995

DoyouholdacurrentSJIB/JIBGradeCard? Yes No IfyoudonotholdacurrentSJIBGradeCard-pleaseindicateifyouhaveeverheldsuchacardandwhenitexpired.

Haveheld Neverheld Dateexpired

DoyouholdacurrentECSHealth&Safety

Certificate?

PleaseprovideevidenceofsuccessfulcompletionoftheECSHealthandSafetyassessmentwithinthepast3years.

Yes No

Dateexpired

IfyoudonothaveacurrentESCCertificate,pleaseindicatehereifyouhaveeverheldsuchacertificateandwhenitexpired.

Haveheld Neverheld

Dateexpired



36

Apprenticeship

Haveyousatisfactorilycompletedaregisteredapprenticeshipandhadapracticaltraininginelectricalinstallationwork?

Yes No

Experience Yes No

Haveyouhadatleasttwoyears’journeymanexperience?

QualificationsDoyouholdanyofthefollowingqualifications?

Yes No

SVQLevelIIIinElectricalInstallation

SuccessfullypassedtheACA(AdvancedCompetenceAssessment)(1995apprenticetrainingscheme),ANDsuccessfulcompletionoftheDistanceLearningCourse,theEnhancedCollegeWeekwheretheapprenticeshipwascompletedafterSeptember1995;or

Successfulcompletionofanapproved,assessedElectricalInstallationDesignandVerificationorInspectionandTestingTrainingCoursewithinthepreviousfiveyears,wheretheapprenticeshipwascompletedbefore1995,or

GainedtheSQACertificateinElectricalInstallationParts1and2orapprovedequivalent,ANDgainedanassessedcertificateforBS7671(asamended)Inspection&Testingofelectricalinstallationswithinthelast5years,or

Ifnoneofthese,confirmwhatqualificationsyouholdandwhenyougainedthem*

*useaseparatesheettoconfirmyourqualifications.

TestingEquipment

Pleaseconfirmthatyoupossessandhaveacurrentcalibrationcertificateforthefollowingtestingequipmentinordertocarryoutbasicelectricaltestandinspectionofaninstallation,either:

Amultifunctioninstallationtestmeter(whichwillcancarryoutalltestprocedures),or

Oneeachof:• Alow/highInsulationResistancetestmeter,and • AnEarthFaultLoopImpedanceTester(EFLI)/ProspectiveFaultCurrent(PFC)

Tester,and

• AResidualCurrentDevice(RCD)Tester.

Declaration

Pleasesignthisformtoconfirmthatthestatementscontainedthereinareatrueaccountofyourcurrentqualifications,experienceandcompetencies.

Signed:

Dated:

Whenarequestismadeinthisformforconfirmationofdocumentsheld,includingqualifications,SJIBCardyoushouldprovidecopieswhereverpossible.



APPENDIXB

Risk Installer ImpactonorBenefittoverifier/serviceuser SuggestedReasonableInquiryby(dependentonsizeandscaleofproject)ElectricalInstallation RelatedStandards

RiskLevel1 ApprovedCertifierofConstruction(ACC)–declaredonwarrantapplicationform

CoveredbyCoCscheme

Recoursetoschemeprovider

CoveredbyCoCscheme

Recoursetoschemeprovider

CheckvalidityofCertificateofConstruction.

RiskLevel2 AnelectricianregisteredwithNICEIC,memberofSELECToranequivalentorganisationaccreditedbyUKAStoconductinspectionsorprovidecertificationservices(ISO/IEC17065orISO/IEC17020:2012)

Coveredbyscheme/registration/tradebody

Recoursetotradebody

Notcoveredbyscheme/registration/tradebody

SubjecttoRIbyverifier

CCNP Intermediatestage-whereappropriatecheck notching/firestoppingetc. Completionstage-carryoutcursorycheckof theelectricalinstallation.CheckmembershipofTradeBody.CheckdetailsinBS7671certificate.

RiskLevel3 Electricianwhodemonstratescompetency(AppendixA)





CCNP Intermediatestage-whereappropriatecheck notching/firestoppingetc. Completionstage-carryoutcursorycheckof theelectricalinstallation.Receivecompletedself-certificationform(AppendixA).CheckdetailsinBS7671certificate.

RiskLevel4 ANOther Notcoveredbyschemeorcertification/tradebody


Notcoveredbyscheme


CCNP Intermediatestage–whereappropriatecheck notching/firestoppingetc. Completionstage-carryoutcursorycheckof theelectricalinstallation.RequestasatisfactoryEICReportfromanelectricianwhoisregisteredwithNICEIC,amemberofSELECToranequivalentorganisationaccreditedbyUKAStoconductinspectionsorprovidecertificationservices(ISO/IEC17065orISO/IEC17020:2012).CheckdetailsinBS7671certificate.



APPENDIXC

ACCtobeused?

Yes

CertofConstructionreceived?

Yes

RICheckvalidityofCert

No Paymentofdiscountgivenatapplication

stagetoberequested.

RIcarriedoutbasedonoptionsinrisklevel2to

4

No

NICEIC/SELECTregistered/memberorotherUKASaccreditedelectrician

Risklevel2

Check

registration/membershipiscurrent

RIcarriedoutbasedon

RiskLevel2

Electrician(AppendixA)

Risklevel3

Checkcompetencyself-

certificate

RIcarriedoutbasedon

RiskLevel3

ANOther

Risklevel4

ElectricalInstallationConditionreportfromACCorelectricianoronewhoisregisteredwithNICEIC,amemberofSELECToranequivalentorganisationaccreditedbyUKAStoconductinspectionsorprovidecertificationservices(ISO/IEC17065orISO/IEC17020:2012)



39

LABSSPGNEQ005/2016TheverificationofDrainageHeatingandPlumbingInstallations

Section3.0oftheTechnicalHandbooks

1.1PREAMBLE Thepurposeofthisguidancenoteisto:• outlineaconsistentapproachtotheverificationofcertifiablework;• examinewhatconstitutesproportionateauditing;and• provideguidanceforverifiersonwhatisdeemedequivalenceinreasonableinquiryinrelation

todrainage,heatingandplumbinginstallationsnotcoveredbyaCertificateofConstruction.1.2AIMSAsastartingpoint,itisconsideredthatguidanceinthisrespectshould:• bebasedonariskassessmentapproach,• considertechnicalandproceduralaspects,• considerthecompetenciesofverificationstafforotherresources,• introduceauditingmeasurestocoverthescopeofthedesignworkthatcanbecertified,and• showthatauditingmeasuresarebasedonariskassessmentapproach.

1.3BACKGROUNDTheimportanceofdrainage,heatingandplumbinginstallationswithintheBuildingStandardssysteminScotlandisrecognised.Consequently,theaimisthattheowner(relevantperson)shouldappointanApprovedCertifierofConstruction[ACC]toundertakealldrainage,heatingandplumbinginstallationsandissueaCertificateofConstruction,confirmingcompliancewithbuildingregulations.However,giventhenon-mandatorystatusoftheApprovedCertifierofConstructionschemes,practicehasrevealedthatfewdrainage,heatingandplumbinginstallationsareundertakenorsupervisedbyACCs.AtBSD/LABSS/CertificationSchemeProvidersmeetings,concernswereraisedregardinglackofconsistencyinapproachofverifierstoreasonableinquiryandlackofequivalencyinrelationtolevelofcheckbeingundertakeninrelationtodrainage,heatingandplumbinginstallations.Consequently,thisguidance,drawnupinpartnershipwiththeBSDandSNIPEF,isissuedwiththeaimofensuringcompliancewiththeaimsoftheBuilding(Scotland)Act2003andbuildingontheaimsoftheACCprocess.2.OPTIONSFORCOMPLIANCEAsverifiers,theemphasisshouldbeplacedonencouragingtheuptakeoftheApprovedCertifierofConstructionandtheaddedvaluethisbringstothecomplianceagendainthatthecertifierconsidersallrelatedfunctionalbuildingstandardsaspartofthedrainage,heatingandplumbingcertificationprocess.



40

ToachieveequivalenceintermsofreasonableinquirywhenanACCisnotinvolvedintheproject,inspectionoftheworksorsamplingofinstallationsinmulti-plotsiteswillbemaderelativetothelevelofrisk.Thedrainage,heatingandplumbinginstallationisembeddedintheConstructionComplianceandNotificationPlanasreferencedinthepublicationVerificationduringConstruction-GuidancetoSupporttheApplicationofReasonableInquiry.Itisnottheverifier’sroletoinspectallmaterialsandworkoneverybuildingsiteand,tothisend,owners/clientsmustalwaysbemindfulthattheyultimatelycarryresponsibilityforcompliancewiththemandatoryfunctionalstandards.RiskAssessmentThedegreetowhichaninstallationmaybeinspectedortestedwillbedependentonanassessmentofrisk,relatedtoboth‘InstallationRisk’and‘InstallerRisk’.InstallationRiskrelatestothelevelofriskposedbythenatureoftheinstallation.Again,thesehavebeenconsideredtobebrokendownintothreecategories:

LowRisk:Alterationsandextensiontoexistingdrainage/sanitaryfacilities,installationofradiators,convectorheaters,thermostaticcontrolsandinstallationofsolarthermalpanels.MediumRisk:Newdrainage,privatewastewatertreatmentsystems,air/groundsourceheatpumps,thermostatictapsandneworreplacementhearths.HighRisk:Installationofcombustionappliances,chimneysandfluepipes,unventedhotwatersystemsandoilandgasstorage.

Installerriskrelatestotherecognisedcompetencyoftheinstallerandmaybeoneofthreecategories(RiskLevels1-3describedinTables1and2andFigure1below).



41

Table1.InstallerRiskLevelandexpectedaction

Risklevel Installer Expectedactionbyverifier

RiskLevel1 InstallationbyanApprovedCertifierofConstruction(ACC)–declaredonwarrantapplicationform

Theverifierwillatthebuildingwarrantapplicationvettingstagehaveobtainedconfirmationthatinstallationcontractor(s)tobeanACC.

IncludetheneedforsubmissionoftheCertificateofConstruction(CoC)intheCCNP.

TheACCwilloncompletionsubmitaCertificateofConstruction.

CarryoutchecksinordertoensurethevalidityoftheCoCandthatitrelatestotheprojectandbuildingwarrant.RecorddetailsoftheCoCintheBuildingStandardsRegister.

RiskLevel2 InstallationbyaRecognisedCompetentInstaller(seeAppendixA)

Atbuildingwarrantapplications/vettingstagepromotethebenefitsofanACC.

Atthebuildingwarrantapplicationstageensurethespecificationincludesastatementtotheeffectthattheinstallationcontractor(s)tobeanACCoraRecognisedCompetentInstaller.

IncludewhereitisdeemednecessarytheneedforinspectionofrelatedworkintheCCNP.

Thecontractorwilloncompletionsubmitanyrelevanttestcertification.

UndertakereasonableinquiryinspectionasoutlinedinTable2.

RiskLevel3 InstallationbyaninstallernotbeingaRecognisedCompetentInstaller

AtbuildingwarrantapplicationsstagepromotethebenefitsofanACC.

Atthebuildingwarrantapplicationvettingstageconfirmationobtainedthatinstallationcontractor(s)nottobeanACCoraRecognisedCompetentInstaller.

IncludewhereitisdeemednecessarytheneedforinspectionofworkintheCCNP.

UndertakeReasonableInquiryofthedrainage,heatingandplumbinginstallationasoutlinedinTable2.

Theverifierwillreservetherighttorequestthattheapplicantprovide,attheirexpense,thirdpartytestcertificationfromanACCorRecognisedCompetentInstallerwheredeemednecessary(refertoTable2).

Notes:1) Whereaverifieristoinspecttheinstallation,theinspectionmustbeundertakenbysuitablyqualifiedand

experiencedstaff(supplementarytrainingonkeyissuesistobemadeavailablebyarecognisedTradeScheme).

2) Forauditingpurposes,theverifiermusthaveinplaceariskprotocollinkedtotraining/competencies.



42

Figure1.Flowchartforexpectedaction

ACCtobe

used?

NO

YESCertificateofConstructionreceived

NO

YES

RIcarriedoutbasedonInstallerRiskLevel

2inTable2

CheckvalidityofCertificateandrecordinBuildingStandards

Register

NotaRecognisedCompetentInstaller

RecognisedCompetentInstaller

RIcarriedoutbasedonInstallerRiskLevel

2inTable2

Gasinstallation

Notacceptable–Installationtobebya

RecognisedCompetentInstaller

Otherinstallation

RIbasedonInstallerRiskLevel3in

Table2



Table2.ReasonableInquiry

InstallerRiskLevel

Installer ScopeofReasonableInquiry SuggestedReasonableInquirybyverifier(dependentonsizeandscaleofproject)EquipmentInstallation RelatedStandards

RiskLevel1 InstallationbyanApprovedCertifierofConstruction(ACC)

–declaredonwarrantapplicationform

Coveredbyscheme*1 Coveredbyscheme*1 CheckvalidityofCertificateofConstruction.

RiskLevel2 InstallationbyaRecognisedCompetentInstaller(see

AppendixA)

Coveredbycompetenceofinstallerandanyrelevanttest

certification*2preparedbythem*1

Verifierwillneedtoundertakereasonable

inquiry

CheckinstallermeetstherequirementsofaRecognisedCompetentInstaller.

Requestandrecordanyrelevanttestcertificationrelatedtoinstallationrisklevel*2.

CheckcompliancewithTechnicalStandardsandGuidance,aspartofCCNP*3.

RiskLevel3 InstallationbyanInstallernotbeingaRecognisedCompetentInstaller

NotacceptableforGasCombustioninstallations-InstallationtobebyaRecognisedCompetentInstallerOtherwise,verifierwillneedtoundertakereasonableinquiry

Verifierwillneedtoundertakereasonable

inquiry

Undertakeanyrelevanttesting,relatedtoinstallationrisklevel*2.OR

RequestthirdpartycertificationfromACCorRecognisedCompetentInstaller.

CheckcomplianceoffullinstallationwithTechnicalStandardsandGuidance,aspartofCCNP*3.

NotestoTable21) Theverifiermayqueryanyaspectoftheequipmentinstallationwhichisnotedbythemduringanyinspectionasnotbeingincompliancewiththestandards.ForRiskLevel2orfor

RiskLevel3wherethirdpartycertificationfromACCorRecognisedCompetentInstallerissubmitted,anoverviewcheckoftheequipmentinstallationshouldbecarriedoutbytheverifier.

2) Whethertestingorspecialist’sreportsbyaRecognisedCompetentInstallerortheverifierisrequiredinadditiontovisualinspectionisdependentontheInstallationRiskcategory.Thefollowingisageneralindicationofwhatwouldbeexpected: LowRisk:Visualinspectiononly MediumRisk:Visualinspectionandpotentiallytestingorspecialist’sreports. HighRisk:Visualinspectionandtestingorspecialist’sreports.FurtherguidanceonthisiscontainedintheannexestothetwoguidancedocumentsVerificationduringConstruction-GuidancetoSupporttheApplicationofReasonableInquiry-DomesticBuildings,orNonDomesticBuildings.

3) GuidanceoncomplianceiscontainedintheappropriateDomesticandNonDomesticTechnicalHandbooks.ThefollowingrelevantguidanceisalsoavailableontheBSDwebsite:Lowcarbonequipmentandbuildingregulations-Aguidetosafeandsustainableconstructions:BiomassInstallationsLowCarbonEquipmentGuides-AirSourceHeatPumps LowCarbonEquipmentGuides-GroundsourceandwatersourceheatpumpsLowCarbonEquipmentGuides-Solarthermalsystemsorsolarhotwater(SHW)




44

APPENDIXARecognisedCompetentInstallerrequirementsGasInstallations:InstallermustberegisteredwiththeGasSafeRegister

http://www.gassaferegister.co.uk/

BiomassBoilers:InstallermustholdanappropriateregistrationwithHETAS,

http://www.hetas.co.uk/orholdacurrentAdvancedorTechnicianPlumberorHeatingEngineeror

HeatingTechnicianSNIJIBRegistrationcard,andholdacurrentWaterByelaws/Regulations

qualification.InstallermustalsoeitherholdanindustryapprovedSVQLevel3Certificatein

RenewableTechnologyintherelevanttechnologyorholdacompetencebasedqualificationsuchas

aBPECcoursehttp://bpec.org.uk/

SolidFuelcombustionappliancesandorheatingorhotwatersystems:Installersmustholda

currentAdvancedorTechnicianPlumberorHeatingEngineerorHeatingTechnicianSNIJIB

RegistrationcardorbeeligibletoqualifyforsuchacardandholdacurrentWater

Byelaws/Regulationsqualification.Certifiersmustalsoholdthefollowingqualification:HETASWet

systeminstallercourse.HETAS,http://www.hetas.co.uk/

OilFiredInstallations:InstallermustholdacurrentAdvancedorTechnicianPlumberorHeating

EngineerorHeatingTechnicianSNIJIBRegistrationcardorbeeligibletoqualifyforsuchacardand

holdacurrentWaterByelaws/Regulationsqualification.Installermustalsoholdthefollowing

qualifications:OFTEC105E,OFTEC600Aandeither:OFTEC101and/orOFTEC102.OFTEC-(OilFiring

technicalAssociation)http://oftec.org/

Unventedhotwatersystems:InstallermustholdacurrentAdvancedorTechnicianPlumberor

HeatingEngineerorHeatingTechnicianSNIJIBRegistrationcardandholdacurrentWater

Byelaws/Regulationsqualification.Installermustalsoholdanappropriateunventedqualification.

AboveandBelowGroundDrainage:InstallermustholdacurrentAdvancedorTechnicianPlumber

SNIJIBRegistrationcard.

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