APS Chair Sam Allwinkle attended the official launch of the Scottish Government Building Standards Division’s Compliance Plan Approach (CPA) industry guidance at BE-ST on 8 October. The guidance will initially operate on a voluntary basis ahead of its planned introduction into legislation in Scotland.

The CPA forms part of Scotland’s wider response to the Grenfell tragedy, aiming to strengthen building standards compliance, clarify responsibilities and improve accountability across the built environment. APS continues to contribute to industry groups supporting the development of the approach and raising awareness across the sector.

Background to the Compliance Plan Approach

The development of the CPA follows work undertaken by the Ministerial Working Group on Building and Fire Safety, established in 2017 following concerns about the construction of Edinburgh school buildings and the fire at Grenfell Tower in London.

The group published its report on Building Standards Compliance and Enforcement in 2018. Subsequently, the Review Panel on Compliance and Enforcement in Scotland concluded that the Scottish building standards system was not broken, but that there was a clear need to strengthen compliance with statutory procedural requirements and address non-compliant work on site.

The review also found that existing enforcement practices were not always effective and that local authorities needed to take a stronger approach to enforcement where non-compliance was identified.

Despite the recognised benefits of Scotland’s existing system, the findings highlighted the need to improve how building standards requirements are implemented in practice.

What is the Compliance Plan Approach?

The CPA was developed, piloted and tested with early adopters to strengthen the process for demonstrating compliance with building standards. It is intended to form part of future building procedures regulations, with the Compliance Plan Manager (CPM) playing a key role in the process.

The Compliance Plan will provide a record of planned and actual compliance, documenting the decision-making process and the parties involved. It will be a live document throughout the project, from the pre-warrant stage through to completion, and will be available for public scrutiny.

How will the voluntary approach operate?

The voluntary approach will begin at the pre-warrant stage and is intended to include the following steps:

• Project information is gathered to create a Compliance Plan.

• The verifier issues the Compliance Plan.

• The project team notifies the verifier when inspections are required and provides evidence of compliance during construction.

• The verifier updates the Compliance Plan throughout construction.

• The completed Compliance Plan is held on public record.

This approach is intended to encourage compliance to be considered, evidenced and recorded throughout the construction process, rather than being addressed only at specific stages.

What will change when the approach becomes mandatory?

When the CPA becomes mandatory, new procedures will apply to specified buildings. These will need to be completed before the first building warrant application is submitted, identifying the proposed approach to compliance and the relevant duty holders.

The planned legislative changes include:

• A mandatory pre-warrant stage, introduced as a new application requirement.

• A legislative requirement for a Compliance Plan Manager.

• Defined duties and offences relating to the Compliance Plan Manager.

• Enhanced enforcement measures and sanctions.

• New forms and fees.

• A requirement for the completed Compliance Plan to be held on public record.

These changes are intended to establish clearer processes and responsibilities for demonstrating compliance with building standards.

Expected outcomes and benefits

The Compliance Plan Approach aims to strengthen building standards compliance and improve accountability across the construction process. Its intended outcomes include:

• Clearer responsibilities and identification of duty holders.

• Greater awareness of responsibilities among those involved in a project.

• Planned and recorded evidence of compliance.

• More robust enforcement, providing an effective deterrent against non-compliance.

• New building work that meets or exceeds minimum standards.

The introduction of the CPA represents an important development in Scotland’s approach to building standards compliance. The initial voluntary period provides an opportunity for industry to familiarise itself with the guidance ahead of the planned legislative changes.