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Martin Matheson Building Standards Manager User Forum 25 th April 2012 Financial Position Performance Customer Satisfaction The Future Local Issues 2009/10 Budget target:- 854,000 2009/10 Revenue received:- 795,200 (-58,800) 2010/11

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Martin Matheson Building Standards Manager User Forum 25th April 2012

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Financial Position Performance Customer Satisfaction The Future Local Issues

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2009/10 Budget target:- £854,000 2009/10 Revenue received:- £795,200 (-£58,800) 2010/11 Budget target:- £854,000 2010/11 Revenue received:- £791,000 (+£63,000) 2011/12 Budget target:- £804,000 2011/12 Revenue received:- £584,000 (-£220,000) BW’s received 09/10: 1190 BW’s received 10/11: 1354 BW’s received 11/12: 1380 09/10 Value of works:- £80M 10/11 Value of works:- £88M 11/12 Value of works:- £56M

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£0 £200,000 £400,000 £600,000 £800,000 £1,000,000 £1,200,000 2007/08 2008/09 2009/10 2010/11 2011/12

Financial Year

Building Standards Fee Revenue

Budget Target Revenue Received

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Deletion of 2 Vacant Posts within Building Standards as result of Service Review (requirement of 20% savings) Reduction in spending on all budgets called for Moratorium on spending Weekly monitoring of application numbers Budgetary position reported to DMT monthly Area Professional Staff Re-structuring Area Administration Staff Re-structured/Re-structuring

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77.8 72.1 76.7 79.2 78.0 75.7 79.2 83.8 85.8 87.9 93.6 88.8 94.2 90.2 88.7 85.8 91.2 92.8 87.6 89.9 60.0 70.0 80.0 90.0 100.0 07/08 FQ1 07/08 FQ2 07/08 FQ3 07/08 FQ4 08/09 FQ1 08/09 FQ2 08/09 FQ3 08/09 FQ4 09/10 FQ1 09/10 FQ2 09/10 FQ3 09/10 FQ4 10/11 FQ1 10/11 FQ2 10/11 FQ3 10/11 FQ4 11/12 FQ1 11/12 FQ2 11/12 FQ3 11/12 FQ4 %

Percentage of Building Warrant applications responded to within 20 days

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2.4 2.2 2.0 2.8 1.9 1.8 3.0 5.4 2.3 3.5 2.6 2.2 2.6 2.6 2.0 2.4 2.6 2.5 2.5 2.2

0.0 1.0 2.0 3.0 4.0 5.0 6.0 07/08 FQ1 07/08 FQ2 07/08 FQ3 07/08 FQ4 08/09 FQ1 08/09 FQ2 08/09 FQ3 08/09 FQ4 09/10 FQ1 09/10 FQ2 09/10 FQ3 09/10 FQ4 10/11 FQ1 10/11 FQ2 10/11 FQ3 10/11 FQ4 11/12 FQ1 11/12 FQ2 11/12 FQ3 11/12 FQ4

Average no of days to respond to a request for a Completion Certificate

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71.3 82.9 77.4 73.2 77.5 83.8 91.4 83.5 88.0 90.3 93.4 87.4 89.2 88.2 85.3 86.9 88.1 89.1 78.5 83.2

60.0 70.0 80.0 90.0 100.0 07/08 FQ1 07/08 FQ2 07/08 FQ3 07/08 FQ4 08/09 FQ1 08/09 FQ2 08/09 FQ3 08/09 FQ4 09/10 FQ1 09/10 FQ2 09/10 FQ3 09/10 FQ4 10/11 FQ1 10/11 FQ2 10/11 FQ3 10/11 FQ4 11/12 FQ1 11/12 FQ2 11/12 FQ3 11/12 FQ4

% Percentage of Building Warrants issued within 6 days

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78.0 85.0 95.3 86.6 87.6 86.0 86.8 89.1 91.6 91.4 97.1 96.6 96.9 82.5 97.2 95.3 92.8 95.4 91.1 93.9

% Percentage of Completion Certificates issued within 3 days

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Task Resource

People Budget Time Priority 1 Participate in Planning Services’ Service Review Whole Team Officer Time Sept 11 High 2 Review and update Balanced Scorecard and submit to Building Standards Division Balanced Scorecard working group Officer Time May 11 High 3 Review existing protocols for allocation of workload on building warrants and completion certificates BSM/TLs Officer Time Dec 11 Low 4 Review process for re-allocation of BW applications to alternative area offices with greater capacity BSM/TLs Officer Time Dec 11 Medium 5 Review the formal recording system of Team Leader checking of 5% of all applications including those handled and processed by experienced surveyors BSM/TLs Officer Time Dec 11 Low 6 Continue to participate in partnership peer review and benchmarking meetings with external partners BSM Officer Time Dec 11 Medium 7 Review risk assessment protocol for completion and other inspections BSM/TLs Officer Time Dec 11 High 8 Monitor current system for fast tracking of building warrant applications TLs Officer Time Dec 11 Medium 9 Monitor pre-warrant submission enquiry protocol and procedure. Implementation of formal electronic recording of process TLs SysTech Officer Time Dec 11 Jun 11 Low High 10 Update and implement electronic recording of alternative solution(s) protocol and procedure BSM/TLs/SysTech Officer Time Jun 11 High 11 Issue annual customer satisfaction survey BSM Officer Time Dec 11 Low 12 Introduce risk assessment protocol for Property Inspection Service (‘Letter of Comfort’) BSM/TLs Officer Time Aug 11 Medium 13 Review existing and continue to develop and update user guidance notes BSM Officer Time Nov 11 Low 14 Further Improve access to web-based and other service information BSM/SysTech Officer Time May 11 High 15 Continue to develop and refine existing e-Building Standards Initiatives, e.g. electronic correspondence and web based register BSM/SysTech Officer Time Dec 11 High 16 Continue to hold regular technical meetings, bi-annual in-house whole team meetings and Balanced Scorecard team meetings to ensure a common approach throughout the 4 area offices and 2 satellite

ffices

Whole Team Officer Time Dec 11 High 17 Continue to develop CPD and training seminars in conjunction with our Benchmarking partners, making them available to our regular users Whole Team Officer Time Dec 11 High 18 Further utilise and develop Building Standards network drive for dissemination of information to all staff Whole Team Officer Time Dec 11 Low 19 Monitor performance of area admin resources in light of further centralised admin function BSM/TLs Officer Time Dec 11 High 20 Review and further develop formalised training regime for trainees and assistants BSM/TLs Officer Time Jun 11 High 21 Continue with successful courier service of internal document transfer between main area office and island based satellite office and investigate provision of courier service of internal document transfer between all area offices and satellite offices BSM/TLs Officer Time Jun 11 High 22 Investigate possibility of outsourcing of scanning historic Building Warrant files for inclusion in Electronic Document Management System BSM Officer Time Jun 11 High 23 Continue to investigate feasibility and technology/equipment required in the introduction of e- applications of Building Warrants BSM/SysTech Officer Time Dec 11 Low 24 Undertake feedback survey of Building Standards and area office Admin staff BSM Officer Time Dec11 Medium 25 Refine method for collective recording of individuals timesheets of verifier/non-verifier function BSM/Admin Officer Time Aug 11 High 26 Continue to monitor and review financial and budgetary position BSM Officer Time Dec 11 High 27 Review procedure for verification of estimated costs & appropriate fee on all applications BSM/TLs Officer Time May 11 High 28 Introduce formal application system and appropriate fee for confirmation of exemptions to Building Warrant process BSM Officer Time Apr 11 High 29 Review existing non Verifier fees in line with inflation and identify possible additional revenue streams BSM Officer Time Apr 11 High 30 Develop Air pressure testing Protocols BSM Officer Time May 11 High

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Work Plan 2012 (Draft)

Task

Resource

People Budget Time Priority 1

Review and update Balanced Scorecard and submit to Building Standards Division

Balanced Scorecard working group Officer Time

Sept 12

Review existing protocols for allocation of workload on building warrants and completion certificates

BSM/TLs Officer Time

Dec 12

Review process for re-allocation of BW applications to alternative area offices with greater capacity

BSM/TLs Officer Time

Dec 12

Review the formal recording system of Team Leader checking of 5% of all applications including those handled and processed by experienced surveyors

BSM/TLs Officer Time

Dec 12

Continue to participate in partnership peer review and benchmarking meetings with external partners

BSM Officer Time

Dec 12

Review risk assessment protocol for completion and other inspections inline with Reasonable Enquiry BSM/TLs

Officer Time

Oct12

Monitor current system for fast tracking of building warrant applications

TLs Officer Time Dec 12 8

Review pre-warrant submission enquiry protocol and procedure

TLs Officer Time

Dec 12

Update and implement electronic recording of alternative solution(s) protocol and procedure

BSM/TLs/SysTech Officer Time

Jun 12

High 10

Issue annual customer satisfaction survey

BSM Officer Time

Dec 12

Low 11

Introduce risk assessment protocol for Property Inspection Service (‘Letter of Comfort’)

BSM/TLs Officer Time

Aug 12

High 12

Review existing and continue to develop and update user guidance notes

BSM Officer Time

Nov 12

Further Improve access to web-based and other service information

BSM/SysTech Officer Time May 12 14

Continue to develop and refine existing e-Building Standards Initiatives, e.g. electronic correspondence and web based register

BSM/SysTech Officer Time Dec 12 15

Continue to hold regular technical meetings, bi-annual in-house whole team meetings and Balanced Scorecard team meetings to ensure a common approach throughout the 4 area offices and 2 satellite

ffices

Whole Team Officer Time Apr/Dec 12 16

Continue to develop CPD and training seminars in conjunction with our Benchmarking partners, making them available to our regular users

Whole Team Officer Time Dec 12 17

Further utilise and develop Building Standards network drive for dissemination of information to all staff

Whole Team Officer Time Dec 12 18

Monitor performance of area admin resources in light of further centralised admin function

BSM/TLs Officer Time Dec 12 19

Review and further develop formalised training regime for trainees and assistants

BSM/TLs Officer Time Jun 12 20

Investigate provision of courier service of internal document transfer between all area offices and satellite offices

BSM/TLs Officer Time Jun 12 21

Annually undertake feedback survey of Building Standards staff

BSM Officer Time Dec12 22

Refine method for collective recording of individuals timesheets of verifier/non-verifier function

BSM/Admin Officer Time

Aug 12

High 23

Continue to monitor and review financial and budgetary position

BSM Officer Time

Dec 12

High 24

Review existing non Verifier fees in line with inflation and identify possible additional revenue streams BSM

Officer Time

Feb 12

High 25

Review procedure for verification of estimated costs & appropriate fee on all applications

BSM/TLs Officer Time

Jan 12

Develop Air pressure testing Protocols

BSM Officer Time

Jan 12

High 27

Investigate gaining Customer Service Excellence award

BSM Officer Time

Dec 12

Low 28

Develop protocols for Reasonable Enquiry and KPOs

Whole Team Officer Time

Sept 12

High

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Verification role secure until 2017
Post 2017 subject to BSD and Ministerial approval
Consultation for limited Private Sector involvement in

Verification (NHBC) has been completed and the decision for the foreseeable future is that no private sector involvement will be sanctioned

Local Authority Building Standards must continue to

demonstrate: independence, impartiality, competence, transparency, accountability to the public and qualifications of staff.

Working with SABSM/BSD on an improvement journey

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9 KPO’s and Reasonable Enquiry being introduced from October 2012

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KPO 1 – Time to get a building warrant
The purpose of this outcome is to minimise delays that prevent

development starting.

The intention of this outcome is to decrease the turnaround time taken for

customers to obtain their building warrant, whilst ensuring the quality of the verification process. This will be achieved by considering all aspects of the warrant process.

KPO 2 – Compliance during construction
The purpose of this outcome is to improve the safety and performance of

completed buildings to protect the public interest.

The intention of this outcome is to identify and minimise the occurrence
f non-compliances with building regulations during construction. This

will be achieved by applying a national risk-based methodology to inspection regimes.

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KPO 3 – Meeting customer expectations
The purpose of this outcome is to improve the commitment to meet

customer expectations and predictability of performance.

The intention of this outcome is to set achievable targets for the first full

technical plan check and provide an “escape route” for customers who are dissatisfied when targets are not met. This will be achieved by meeting national 1st report targets and providing an alternative recourse when the targets are not met.

This provides the customer with a realistic indication of how long it will

take for them to get the 1st report, and at what point they have the right to request the “escape route”. It is expected that customer satisfaction of how well the verifier has delivered will be measured.

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KPO 4 – Adherence to service commitments of a National

Customer Charter

The National Customer Charter to be developed by BSD for May 2012.

Verifiers need to incorporate local information and publish the charter on their website by 1 October 2012.

KPO 5 – Improvement of the customer experience
The National Customer Survey to be funded and undertaken by BSD. The

first survey will be done before the end of 2012 and annually thereafter.

KPO 6 - Financial Governance
This outcome monitors verification fee income against the verification

service running costs. To provide national comparisons to be made, a simple approach will be taken to non-staff costs by applying a standard factor (say 30%).

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KPO 7 – Partnership working underpinned by

engagement with National Forum

The National Forum to meet twice a year through a systematic, flexible

agenda in response to issues raised by forum members. BSD to arrange the first National Forum meeting which will be held before the end of 2012.

KPO 8 – Development of and adherence to objectives
utlined in Business Plan
The 2012-13 balanced scorecard template to be adopted by verifiers and

submitted to BSD by end September 2012.

KPO 9 – Increased commitment to continuous

improvement

Verifiers are to develop their continuous improvement plans based on

their current readiness and the necessary improvements needed to meet the key performance outcomes. The plans are to be incorporated into their balanced scorecards.

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Implementation and reporting

KPO 1 applies to all BW applications made on or after 1 October 2012
Data must be recorded for all BW applications made on or after 1

October

Quarterly and annual reporting will start from 1 October 2012
1st quarterly report covering Oct 2012 - Dec 2012 due by end Jan 2013
Returns will cover all BWs granted within the relevant reporting

period

Returns will be segmented (as below) and indicate:

Number of BWs granted Average time (in working days) from the receipt of a valid BW application to the date the BW is granted Main reasons for delays in granting BWs (prioritised)

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SEGMENTATION (DOMESTIC) – From 1 October 2012 NEW BUILDING 1 Housing (flat) development NEW BUILDING 2 Single house, building EXISTING BUILDINGS 1 Extension EXISTING BUILDINGS 2 Alteration Work value → 0 - £10k £10k - £50k £50k - £250k > £250k SEGMENTATION (NON-DOMESTIC) – From 1 October 2012 ALL WORK Work value → 0 - £250k £250k - £1m > £1m

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Implementation and reporting

KPO 2 applies to all BW applications made on or after 1 October 2012
Data must be recorded for all BW applications made on or after 1 October
Construction Compliance Plans (CCPs) required for all BW applications

(domestic and non-domestic) made from 1 October 2012

Quarterly and annual reporting will start from 1 October 2012
1st quarterly report covering Oct 2012 - Dec 2012 due by end Jan 2013
Returns will cover all completion certificates accepted within the relevant

reporting period

Returns will be segmented (as KPO 1) and indicate:

Number of completion certificates accepted % of CCPs delivered successfully (success being that all notifications and inspections have been made) Main reasons why CCPs not successfully delivered (prioritised) Main aspects of non-compliance (prioritised)

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Implementation and reporting

KPO 3 applies to all BW applications made on or after 1 October 2012
Data must be recorded for all BW applications made on or after 1 October
Quarterly and annual reporting will start from 1 October 2012
1st quarterly report covering Oct 2012 - Dec 2012 due by end Jan 2013
Returns will cover all 1st reports issued within the relevant reporting period
Returns will be segmented (as KPO 1) and indicate:

Number of 1st reports issued % of 1st reports issued within target % of 1st reports issued between target and escape route trigger % of 1st reports issued after escape route trigger (and of those missing the trigger, % of 1st reports issued using escape route) Main reasons why 1st report (and escape route trigger) targets not met (prioritised)

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SEGMENTATION (DOMESTIC) – From 1 October 2012 First report* target (working days) NEW BUILDING 1 Housing (flat) development 15 days 20 days 25 days As CA** NEW BUILDING 2 Single house, building 15 days 20 days 20 days 20 days EXISTING BUILDINGS 1 Extension 15 days 20 days 20 days 20 days EXISTING BUILDINGS 2 Alteration 10 days 20 days 20 days 20 days Work value → 0 - £10k £10k - £50k £50k - £250k > £250k

SEGMENTATION (NON- DOMESTIC) – From 1 October 2012 First report* target (working days) ALL WORK 20 days 25 days As CA** Work value → 0 - £250k £250k - £1m > £1m

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EXAMPLE 1. Project type (normal) – 20 DAYS NATIONAL TARGET

1st report to be issued within (buffer period) Period after which applicant can request escape route Target Period 20 days 30 days Reporting % issued within 1st report target % issued between target and escape route triggers % issued outside escape route trigger, and of these: % that applicant requested escape route Reporting Days (0 - 20 days) (21 - 30 days) (31 days and over)

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EXAMPLE 2. Project type (complex)– CUSTOMER AGREEMENT (CA)

1st report to be issued within (Note: buffer period not applicable as days in CA are warrant specific) Period after which applicant can request escape route Target Period ‘x’ days (in customer agreement) After ‘x’ days Reporting (1) % issued within customer agreement target ‘x’ (2) % issued outside escape route trigger (3) % of these (2) that applicant requested escape route Reporting Days (0 – ‘x’ days) (over ‘x’ days)

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COMPLIANCE CONSULTATION

 The Consultation Report – Sept 2010  The consultation paper sought views on 9 questions

about compliance in relation to the national building standards system. These questions were set against the background of the ‘Sullivan Report’ recommendations

n compliance in relation to low carbon buildings and

improved energy standards in Scotland, and the Government’s manifesto commitment to improve enforcement of national building regulations.

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The aim of the methodology is to support verifiers in carrying out their independent checking of construction in a targeted and consistent way, based on risk assessment. Compliance of completed buildings will be improved by identifying non-compliance and feeding back common

themes. The methodology sets a minimum level of risk

based on building type and value, which should be enhanced by project specific complexities as appropriate. The intention is that verifiers should provide a minimum level of inspection in a flexible way. It should not prevent verifiers continuing with a strong focus on inspection.

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Risk Matrix

DOMESTIC BASE RISK → LEVEL C (Low*) LEVEL C (Medium*) LEVEL C (High*) LEVEL B (Low*) LEVEL B (Medium*) LEVEL B (High*) LEVEL A (Low*) LEVEL A (Medium*) LEVEL A (High*) *PROJECT SPECIFIC COMPLEXITY → *Low → *Medium → → *High

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Inspection stages

LEVEL A LEVEL B LEVEL C Early/Intermediate (as appropriate) Early Intermediate Late Late Late

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REASONABLE INQUIRY RISK MATRIX FOR DOMESTIC BUILDINGS (SABSM DRAFT) NEW BUILD – Housing developments – Flatted developments (including conversions to form dwellings) LEVEL B LEVEL C LEVEL C

Flatted development Housing development Conversion to flats

LEVEL D

Flatted development Housing development Conversion to flats

NEW BUILD – Single house – Detached ancillary buildings (eg garages) LEVEL B

Detached garage Detached ancillary building

LEVEL C

Detached garage Detached ancillary building

LEVEL C

Single storey house Two storey house Three storey house Four storey house

LEVEL C

Single storey house Two storey house Three storey house Four storey house

EXISTING BUILDINGS – Extension LEVEL B

Porch Conservatory Single storey extension

LEVEL B / LEVEL C

Conservatory Single storey extension Two storey extension

LEVEL C

Single storey extension Two storey extension Three storey extension

LEVEL C

Single storey extension Two storey extension Three storey extension

EXISTING BUILDINGS – Alterations – Loft conversions – Garage conversions LEVEL A

Patio doors New window/dormer Internal alterations Fuel tanks

LEVEL B

Loft conversion Garage conversion New kitchen in tenement Retaining walls

LEVEL C

Loft conversion Garage conversion

LEVEL C

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Early (at or shortly after commencement) – foundations, open drains, and other site

works available for inspection

Intermediate(at the most appropriate stages) – the superstructure would be part

complete, but would still allow issues such as fire protection, structural elements and insulation to be viewed

Late (shortly before or at completion) – near to completion inspection would consider a

range of issues on fire management, services and building performance NOTE: THESE ARE MINIMUM LEVELS – ACTUAL INSPECTION LEVELS TO TAKE ACCOUNT OF PROJECT SPECIFIC COMPLEXITY

LEVEL A LEVEL B LEVEL C LEVEL D Early/Intermediate (as appropriate) Early May include a bespoke processing agreement and elements of sampling. Intermediate Late Late Late

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Construction Compliance Plan

The success of the methodology is dependent upon good communication and commitment by the main partners, that is the developer/owner; builder; and verifier. The Construction Compliance Plan is central and sets out when the owner/developer must notify the verifier, to allow them to inspect the identified stages.

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CONSTRUCTION COMPLIANCE PLAN – TEMPLATE (BSD)

PROJECT DETAILS BUILDING STANDARDS SURVEYOR Type of work: Name: Application reference: Address: Project Address: Tel: Applicant details: Email: Agent details: Fax:

Stage(s) when owner or developer to notify the verifier (*verifier to identify necessary intermediate stages) Notes by verifier (verifier to note in more detail when or what needs notifying) Purpose of notification and checking (verifier to confirm the purpose of notification and their checking)

LATE ← INTERMEDIATE ← EARLY Commencement (statutory notification) Statutory requirement – to inform verifier that work is starting. Commencement Foundation* Drainage* Substructure* Superstructure* Other* Pre-completion Completion (statutory notification) Statutory requirement – to inform verifier that work is

complete. (Verifier will accept
r reject completion

certificate.)

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Reference No. 12/00101/EREC Title: Erection of Dwelling Address: Land at Glen Clova, Angus Contact Details of Inspecting Officer Name: Tel: Mob: E-mail:

CONSTRUCTION COMPLIANCE PLAN - EXAMPLE (SABSM)

Action/Site Visit STATUS VERIFIER NOTE APPROPRIATE ALTERNATIVE EVIDENCE

FULFLLED Y/N

Commencement M Send commencement card to verifier at least 7days prior to starting on site. Foundation N Notify verifier when foundation tracks dug and ready for

inspection. No concrete to be

poured until tracks have passed inspection. Superstructure (Timber frame) N Notify verifier when timber frame erected, services first fix, insulation in place, before plasterboarding. Drainage N Notify verifier when under- ground drainage ready for inspection or first air drain test available for witnessing. Certifier of Construction carrying out work. No site visit required. Drainage N Notify verifier when drainage system completed and air test ready to be witnessed. Completion M Submit Completion Certificate and all relevant paperwork indicated in Document C to the

verifier. No occupation of

building before completion verified. Construction Compliance Plan fulfilled Y/N Reason Construction Compliance Plan not fulfilled Owner Verifier M Mandatory N Notify

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Local Issues

Issues

 Location of Fire Hydrants/Need for Water Storage –

standard 2.13

 Radon Map updated and increased areas identified –

standard 3.2

 Random Post Completion Testing for Noise

 Robust Details Certification Scheme – STAS (use of them

avoids pre-completion testing)

 SAP 2009 Calculation

 Difficulties complying without micro-renewalables  National Grid green electricity not recognised by SAP

calculator

 Use of current application forms

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Financial Position Performance Customer Satisfaction The Future Local Issues

Customer Satisfaction Survey

Customer Satisfaction Survey

Customer Satisfaction Survey

Customer Satisfaction Survey

Customer Satisfaction Survey

Customer Satisfaction Survey

Work Plan 2011

Work Plan 2012 (Draft)

9 KPO’s and Reasonable Enquiry being introduced from October 2012

COMPLIANCE CONSULTATION

Construction Compliance Plan

Local Issues

Thank you Questions?