AUDITS 29 th November 2011 Marriott Hotel, Leeds Presentation by Robert Jopling BEng, CEng, MICE Member of Scottish Registration Board.

AUDITS

29th November 2011

Marriott Hotel, Leeds

Presentation by Robert Jopling BEng, CEng, MICE

Member of Scottish Registration Board

Content

Why audit?

The Audit Process

The Audit Rules – some tips

How the new rules differ

Things to remember

What is an audit?

The process of verifying conformance to defined criteria through a review of objective evidence

For an organisation to benefit from the process, auditing should not only report non-conformances and corrective actions but also highlight areas of good practice.

Why audit?

• To fulfill an undertaking to Scottish Government

It is through auditing that there can be confidence that the statutory requirements are being met.

An alternative to certifier audits would be to have every warrant application independently scrutinised !

• The Verifiers, SER and other scheme providers are all audited

Why audit?

• To see that standards are upheld• To monitor that performance is uniform• To see that certifiers understand the Regulations• To provide feedback to certifiers• To receive comments from certifiers• To identify procedures which are difficult to apply• To identify where training/guidance is required

The audit procedures

The audit process

• SER assign a team consisting of two auditors• Lead auditor agrees date for audit• Lead auditor selects projects for audit• SER advises which projects are to audited• Audit is conducted• Audit findings discussed at closing meeting

It is important that the auditors/auditee agree that the findings are accurate at the closing meeting

The audit process

• Lead auditor uploads audit findings• 2nd auditor reviews audit findings• Auditee is invited to respond to the findings• The findings are then reviewed by SRB

Auditee responses, extenuating circumstances, etc are taken into account. Auditors findings may be challenged by SRB

• SRB decision is considered by SER Board • SER notifies auditee of final outcome

What does the audit cover?

• Did the certifier identify all of the building elements covered by the warrant application?

• Had the elements above been designed and detailed and appropriately checked?

• Were any items on Schedule 1 specified in sufficient detail?

• Was the level of information submitted for warrant adequate?

• Was the design completed before the certificate was signed ?

What the audit does not cover

• An examination of commercial arrangements and appointments (other than in the context of body audit criteria relating to Management of Risk and Protection of Certifiers)

• A detailed engineering check of the drawings and calculationsAlbeit on some occasions deficiencies in the design may become apparent during review of the project documentation

Information to be made available

• Certification plan• Drawings submitted with the warrant application

(architect’s and engineer’s)• Calculations (engineer’s and supplier’s)• Specifications, SI reports, survey reports, etc• Preferably paper copies• Calculations/SI reports can be electronic

but the onus is on certifier to find the relevant information

How the audit is scored

• Audit score is based on sum of weighted scores:

Major non-conformance Weighted score = 3

Improvement issue Weighted score = 1

The same issue repeated across a number of projects will only score once

How the audit is scored

• In an audit where there are

2 major non-conformances

3 improvement issues

Audit score = (2 x 3) + (3 x 1) = 9

Audit rating

Audit rating

• Audits are carried out in accordance with the guidelines and scored accordingly

• Auditors may recommend an alternative rating outcome to SRB, but this must be fully justified

The audit rules

The audit rules

• Remember, an audit is

The process of verifying conformance to defined criteria through a review of objective evidence

• Auditors will need evidence• Auditees need to keep records

Common issues

• The tips about to be given are my own• They are not necessarily a requirement of SER• The requirements are given in the Audit Rules• However, following these will assist you at audit

Scope of certification

Has the certifier correctly identified all of the structural elements covered by the design certificate?

For all but the most minor of projects a scoping document should be used and retained on project file

Scope of certification

Remember what the certificate says:

I certify that … the structural design complies with the Building (Scotland) Regulations 2004 with respect to Standards 1.1 and 1.2 …

Scope of certification

And that the standards refer to the building:

Certification plan

Has the certifier gone about the certification activities in an organised manner?

Use a suitable plan/checklist to record information about the project and decisions made during certification

Certification plan

• Building risk classification / Design check level• Who are the designer and checker• Certification options being utilised• Information being used for certification• Is warrant to be staged• Are there any contractor designed elements to go on

Schedule 1• Decisions made eg overall stability, disproportionate

collapse, mineral stability, fire requirements

Certification options

There is confusion regarding option 3 and 4

Guidance note 3A clarifies this

• Generally Option 3 will be used where certifier acts as a reviewer

• Option 4 is to be used where the element is outwith the certifier’s competence

Project records

Has the certifier maintained a proper set of records?

Keep copies of all documents used for certification, in particular the engineers and architects warrant drawings.

Programming of work

Was the design complete when the certificate was signed?

It is important that documents are dated so that the above can be verified.

Contractor designed items

Is there an adequate performance specification?

Technical Bulletin 1 gives guidance on this.

Schedule 1 should be not be used where the design intent for the element is still to be determined.

In such a case a staged warrant should be considered

Overall stability

Has the certifier checked that the designer has considered the measures needed to ensure stability?

It is not always obvious from the calculations how stability is achieved. A statement in this respect should be included with the calculations, except on minor projects where the certifier could record his review on the certification plan

Disproportionate Collapse

Has the certifier checked that the measures taken satisfy standard 1.2?

Determine the risk classification.

Record what measures have been taken, even for RC1 buildings

Conversions

Has there been an assessment of the need for strengthening?

Remember

A conversion certificate is required if the change of use is defined as a conversion eg attic, garage

If no alterations are to be carried out there needs to be evidence of an assessment

An alteration certificate is only needed if there are alteration works to be carried out

Ground investigation reports

Has an adequate ground investigation been carried out and has the certifier reviewed the scope and the results?

Remember

Record whether or not the site is in an area where there might be a risk from mine-workings or other activities

Ensure that there is evidence that the report has been reviewed

Existing building assessment

Has an adequate assessment of the existing building been carried out?

Remember

Ensure that the assessment is documented and that it concludes whether or not the building is suitable for alteration

Structure, generally

Has the design and detailing of all of the structural elements been carried out?

Remember

Ensure that calculations are complete and that there is evidence of them having been checked prior to certification. A contents page would be helpful

If appropriate, on minor projects reference can be made to the Small Buildings Structural Guidance

Are drawings sufficiently detailed?

Refer to the ‘Blue Book’

Checking

Auditor guidance is that:

• An absence of suitably checked calculations will be treated the same as an absence of calculations

• There is no need for every page to be signed and dated but there must be evidence of a check having taken place

• The use of a cover sheet to record checking is acceptable, but must identify checker and date of check

• Computer calculations – check on input, review of output

Ties, fixings and connections

Have these been adequately detailed on the warrant plans?

Remember

These are often inadequately detailed. In particular auditors will be looking at interface details especially where there are contractor designed elements

Cladding/glazing etc

Has the cladding/glazing, its supports and the fixings been adequately designed and detailed?

Remember

If selected from manufacturers literature include copies of tables in your calculations

If included on schedule 1 make sure the performance specification is adequate

See Technical Bulletin 6 for advice on glazing

Cladding movement joints

Has the certifier reviewed the provision for movement joints?

Remember

Frequently movement joints in masonry cladding are specified by a note giving a max spacing. This could lead to joints being positioned inappropriately

Internal partitions

Has the certifier reviewed whether or not the partitions are robust and can carry any differential internal wind pressures or accidental loading?

Remember

Consider if partitions need wind posts or head restraints

Check whether any of the partitions act as barriers

Protective barriers

Has the certifier reviewed the design of any protective barriers ?

Remember

If included on schedule 1 the design intent must be known before a performance specification can be prepared.

The connections are equally important

Specifications

Has the certifier examined the drawings and specification to ensure that the materials will deliver the performance assumed in the calculations ?

Remember

If a separate specification eg NBS is used it must be referred to on the warrant drawings submitted along with the warrant application

Make sure there is evidence of a review

Fire protection

Has the certifier considered the need for fire protection ?

Remember

The certifier is NOT certifying compliance with the structural fire standard.

BUT he needs to demonstrate that there has been consideration of how this will be achieved

Record on certification plan

Boundary conditions

Has the certifier considered the measures needed with respect to portal-framed buildings ?

Remember

Whether or not there is a boundary condition is to be assessed and recorded

Don’t forget to consider the measures needed to fire protect the portal columns!

Warrant information

Revised audit rules

• Are the result of 3+ years experience of auditing• Formalise practice implemented during audits• Very few material changes in the requirements• Further clarification and guidance.

Revised timescales

• Audits must be undertaken within 8 weeks of notification

• Projects to be audited will be confirmed 10 working days prior to audit

• Auditors to upload reports within 5 days of audit• Auditee to respond within 10 working days.• Warning issued then if no response within a

further 20 working days automatic temporary suspension.

Principal changes - Body audit

• Grade of body to reflect performance of certifiers (large bodies expected to support certifiers and promote common practices and standards)

• The obligation on the body to provide training and the CPD outcomes of certifiers are now reflected in body scores

• The requirement for bodies to protect certifiers from financial loss has been emphasised and is reflected in the body scores

Principal Changes – Project Audit

• Some revisions to categorisation of non conformances

• Evidence standards clarified – and harmonised with BSD “Blue Book” and other recently issued or revised documents (TB1 & 6, GN 3 and 9).

• Creation of new category P9A to check certifiers acting within limits of competence.

Principal changes-classification

What have I talked about

Why audit?

The Audit Process

The Audit Rules – some tips

How the new rules differ

Things to remember

• You are the Certifier not the Engineerthe roles are different

• Record decisions made during certificationContemporaneous notes are the best

• Keep good records – signed and datedThis is the evidence the auditors want to see

• Read the audit procedures and other guidanceYou will find all you need to know