Insights from Scotland CPD Webinar on Audits

Sep 25, 2024

Notes from Scotland Regional Group CPD Webinar on Common SR Audit Findings

Introduction

  • Welcome to participants of the webinar.
  • Upcoming events:
    • In-person seminar on Structural Fire Engineering in Edinburgh on October 2nd.
    • Presentation on University of Glasgow campus redevelopment with President Tanya the Hook on November 5th in Glasgow.
    • Structural Awards main event on November 14th in Glasgow.
  • Follow on LinkedIn for updates and feedback.

Speaker Introduction

  • Mark Lawler: Chair of the Scotland Registration Board.
  • Experienced Chartered Engineer with over 40 years in consultancy.
  • Involved in board and audit since 2006.

Webinar Structure

  • Overview of certification process and why audits are important.
  • Discussion of certification performance criteria.
  • Common findings from approved certifier audits.
  • Common findings in approved body audits.
  • Q&A session at the end.

Certification Basics

  • Certification involves confirming compliance with building standards.
  • Statement of certification: "I certify that the design proposal complies with standards 1.1 and 1.2."
  • Legal requirement for certifiers to maintain records proving compliance.

Certification Process Stages

  1. Scoping: Identifying all elements needing certification.
  2. Planning: Careful planning of design process and warrant submission.
  3. Reviewing: Reviewing design information before certifying.
  4. Documenting: Maintaining records to show compliance.

Purpose of Auditing

  • Scottish government mandates audits for approved certifiers.
  • Audits check certification processes, not design itself.

Performance Criteria

  • Appendix A: 14 criteria for approved bodies.
  • Appendix B: 27 criteria for approved certifiers.
  • Focus on evidence of certifier review.

Common Findings in Approved Certifier Audits

  • Evidence of Compliance: Often lacks sufficient proof of review; records must be thorough.
  • Certification for Third Parties: Certifiers may lower standards for third-party projects, leading to issues.
  • Certification Strategy: Poor scoping and planning lead to weak certification processes.
  • Distinction Between Records: Clear distinction required between certification records and project records.
  • Use of Schedule One: Should be used appropriately with adequate preliminary design.

Specific Audit Findings

  • Disproportionate Collapse: Inadequate risk assessment and implications.
  • Ground Investigation Reports: Often lack sufficient interpretation and review by certifiers.
  • Existing Building Assessment: Scoping often inadequate; must consider alterations' impacts.
  • Stability Elements: Commonly overlooked; must be clearly shown on designs.
  • Connection Details: Often inadequately specified; critical for building integrity.

Common Findings in Approved Body Audits

  • Support for Certifiers: Lack of adequate support, certification plans, and resources.
  • Management of Risk: Inadequate management of risks associated with certification.
  • Post-Certification Changes: Insufficient communication about design changes post-certification.
  • Record Maintenance: Ensure comprehensive records are maintained and accessible for audits.

CPD (Continued Professional Development)

  • Importance of documenting CPD activities and outcomes for compliance.
  • Utilize SE Notepad for easy recording.
  • Submit CPD well in advance of deadlines.

Key Takeaways

  • Certification is not merely about passing audits; it is about ensuring compliance.
  • Plan and document the certification process thoroughly.
  • Maintain clear communication with design team members.
  • Keep a comprehensive and organized record of all certification documentation.
  • Engage constructively with auditors for a learning opportunity.

Q&A Highlights

  • Certifier Responsibility: Certifiers should not delegate their review responsibilities.
  • Blue Book Access: Essential resource for certification process guidance.
  • Building Control Issues: Reporting and addressing local authority inconsistencies.
  • Manufacturer Data Reliability: Certifiers must take a cautious approach to manufacturers' claims.
  • Schedule One Implications: Clear communication with clients about certification and design risks.

Conclusion

  • Encouragement to engage in future discussions and sessions on certification and audits.