Making a quality building warrant application: what you need to know

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Who should use it?

This guidance is intended for all applicants and agents submitting a building warrant application.

What does it cover?

Useful information is provided on what makes a good quality application.

An overview of the building standards system is given. This includes the roles and responsibilities of those involved, the building warrant process, and helpful information on what aspects are important when making an application.

Why do we need it?

The purpose of the guidance is to help applicants and agents understand what makes a good quality building warrant application. Providing the right information with your application will help the local authority verifier to check that the proposed building work meets the building regulations and should reduce the time taken for the verifier to approve your application.

When should you use it?

This will be particularly helpful for small domestic projects, however, it is a useful resource for all projects regardless of type of work.

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It is important to know the roles and responsibilities of those involved in the building warrant process and the wider building standards system.

Key roles Design and building warrant application stage

Applicant is the person applying for a building warrant. This may be a property owner, tenant, or developer.

Agent is the applicant’s nominated representative to act on their behalf throughout the building warrant process. It is strongly recommended that this person is a suitably qualified and experienced building professional, such as an architect or building surveyor. Depending on the complexity of the design, other building professionals may also be required, such as a structural engineer.

Approved Certifiers of Design or Construction are suitably qualified and experienced professionals and tradespeople who operate under, and are registered to a Certification Scheme approved by Scottish Ministers. The scheme allows individuals to certify certain work that is subject to a building warrant.

When work at the design or construction stage is certified it is not checked by the local authority building standards verification service. Specific aspects of work that can be certified are structural and energy design and/or electrical, drainage, heating and plumbing installation.

Building Owner is the legal owner of a property/building. The owner is ultimately legally responsible for ensuring that all work complies with the building regulations and the local authority can take enforcement action against the building owner where this is not the case.

Key roles Building standards system

Building Standards Division (BSD) of the Scottish Government is responsible for developing and maintaining the building standards system and supporting its effective application. The division prepares and updates building standards legislation and guidance documents, conducting any necessary research and consulting on changes as the Building (Scotland) Act 2003 requires.

The division carries out functions on behalf of Scottish Ministers. These include giving views to help verifiers make decisions in particular cases, dealing with applications to relax standards for particular matters, and appointing verifiers and scheme providers for Approved Certifiers of Design and Construction. The division also monitors how verifiers and certification scheme providers are operating the system.

Verifier – the 32 local authorities are appointed as verifiers by Scottish Ministers to administer the building standards system for their own geographic area. They are responsible for the interpretation of building regulations.

The role of the verifier is to protect the public interest by providing an independent check of applications for building warrants to construct or demolish buildings, to provide services, fittings or equipment in buildings or to convert buildings. This includes checking during the design phase before granting a building warrant and checking during the construction phase before accepting a completion certificate.

Relevant person – the role of the relevant person is only applicable at the completion stage of the project, however it is important to be aware of the responsibilities associated with this role from the outset. The relevant person is usually the owner, tenant or developer who is doing the work themselves, or who employs a builder to do the work for them and ultimately the building owner.

It is the responsibility of the relevant person to submit the completion certificate to the verifier. The relevant person, by signing the completion certificate, is certifying that the work, or conversion, was carried out in accordance with the building warrant, and the building, as constructed, complies with the building regulations. Refer to section 8 of this guidance for further information about the completion stage of a project.

Responsibilities

The responsibilities associated with the roles established by the system, begin when an application is made for a building warrant, and continue throughout the process until the completion certificate is accepted by the verifier.

Responsibility during the design and building warrant application stage, lies with the applicant, agent, approved certifier and the building owner, to ensure work is designed in accordance with building regulations.

The responsibility that the work being done complies with the building regulations ultimately lies with the building owner. It is therefore important that where a person is representing the building owners interests they understand the building standards system, their role and responsibilities.

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Building standards system

The purpose of the building standards system in Scotland is to protect the public interest.

The system is pre-emptive and is designed to check that a proposed design meets building regulations, through the process of obtaining a building warrant. It is a legal requirement to have a building warrant before any work starts on site.

Building warrant process

Once you have identified that you need a building warrant, and the design has been completed, an application must be made to the local authority verifier.

The verifier will check the information submitted with the building warrant application and grant a warrant if they are satisfied that the design meets the building regulations. If it does not, the verifier will ask you for more information.

Types of work that require a building warrant and the main stages of the building warrant process, from application through to construction and completion, are explained in the Customer Journey.

Refer to annex A for a list of building standards guidance.

Difference between planning permission and building warrant

The building warrant gives permission to build. It confirms that the design has been shown to meet the building regulations. Planning permission mainly relates to the siting, appearance and use of the building and the effect this will have on the amenity and environment of the surrounding area.

The planning and building standards systems are entirely separate and operate under different legislation. Clarification should be sought from the relevant local authority planning department if you are unsure if planning permission is required for the work you are carrying out.

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Who should prepare and submit a building warrant application?

The building owner, tenant, or developer can apply for a building warrant.

It is important that those responsible for submitting a building warrant application have a clear understanding of the building standards system, roles and responsibilities, and the building regulations. This will help ensure that the information submitted with an application shows compliance with the building regulations.

Appointing someone to act as an agent on your behalf

If you are unsure about your responsibilities, or the building standards procedures and technical requirements, you should consider appointing someone to act as an agent on your behalf.

This should be a suitably qualified and experienced building professional, for example an architect, building surveyor or structural engineer.

They will be able to advise you about the design of your proposed work and generally look after your interests from design through to completion.

Why use an agent?

They should be able to prepare and submit a better quality building warrant application on your behalf, as they have the relevant knowledge and experience of the building standards system and building regulations.

As the building owner is legally responsible for making sure the building work meets the building regulations, appointing an agent will help to assure that the information submitted with the application will show that the design meets building regulations. To satisfy yourself that you are choosing the appropriate agent, you may ask them for proof of their competence and experience of carrying out similar work.

Note: A qualified professional is normally subject to a code of conduct and is typically covered by professional indemnity insurance which the client can ask to see for reassurance.

Using an Approved Certifier of Design or Construction

There are aspects of design and construction work that can be certified by Approved Certifiers of Design or Construction confirming the work meets building regulations.

A certifier must be registered with a Certification Scheme that is approved by Scottish Ministers. Scheme Providers have the responsibility to ensure the people approved as certifiers have the competence to certify that their work meets the building regulations.

Why use an Approved Certifier?

The benefit of using an Approved Certifier of Design is that it takes less time for a verifier to process the initial building warrant application. By using an Approved Certifier of Construction, it removes the need for the verifier to check the certified work before accepting a completion certificate. By using an Approved Certifier of Design or Construction, you are entitled to a discount on the building warrant fee.

Before declaring on the building warrant application form that you are using an Approved Certifier of Design or Construction, you must be sure that the person you intend on using is registered. If you are unsure about this, you should confirm with them prior to stating it on your application. You can find an Approved Certifier of Design or Construction to certify building work on the Scottish Government’s certification register, which you can access through the building standards website.

Note: An installation certificate is not the same as a certificate of construction. For example, an electrical test/installation certificate is not the same as a ‘Certificate of Construction’ for electrical work. If you state on the building warrant application that you intend to use an Approved Certifier of Construction, and do not use one, you will be required to repay the discount you received at submission stage to the verifier.

The Customer Journey provides more useful information on the certification process.

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Understanding the principles

•The principle of a pre-emptive system is that proposed building work will comply with building regulations.

•The building regulations are expressed in terms of mandatory ‘functional standards’. The functional standards are presented within the Technical Handbooks and are supported by guidance on possible ways of complying with each standard. In most cases, designing in accordance with the guidance will show that the standards will be met. Example below: ‘Standard 2.13 – Every building must be provided with a water supply for use by the fire and rescue service.’ The verifier or certifier is checking a design against the mandatory functional standard and will decide whether or not other solutions fulfil the requirement.

•The information submitted with a building warrant application must show compliance with the building regulations. Guidance on how to meet the building regulations is given in the current version of the Technical Handbooks.

•The verifier carries out an independent check of the information to confirm that the design meets building regulations, it is not their responsibility to tell you how to meet the standards.

Submission essentials

Complete and co-ordinated design – It is important that a building is fully designed* before submitting a building warrant application to ensure the verifier can assess the proposal in its entirety. Ensure that the design is fully coordinated, for example, architectural and structural drawings must be coordinated. Making design changes throughout the building warrant process will lead to longer assessment times.

*This doesn’t apply if you are submitting a staged application. See section 7 of this guidance.

Full submission – All information required to show compliance with the building regulations should be submitted at the same time. This will avoid the verifier asking for further information as this will increase assessment times.

Submission content – The checklists in annex B and annex C provide guidance on what should be considered when submitting a building warrant application. It is essential to provide the right amount of correct information to the verifier to allow them to undertake a thorough assessment.

Timescale – When planning a project, it is important to allow enough time for the building warrant process. Consider the following:

•Note that assessment times will be longer for incomplete applications.

•Allow enough time for the building (or stage) to be fully designed and specified before submitting an application.

•Verifiers will carry out an initial assessment of the submission and issue a first report where further clarification is necessary.

•Allow time for revising and resubmitting updated information to the verifier in response to their report.

•Consider whether you require specialist design input, such as a structural and/or fire engineer.

•In some cases where a structural and/or fire engineered design solution is used, the verifier may have to seek an external assessment of the design and assessment times may be longer. It is important to discuss with your verifier who can advise you of timescales.

•If there is doubt about the design proposal and a Ministerial View has to be sought, this will increase the assessment time.

•If the proposed building is of a complex nature or is high risk, allow enough time before submission to hold a pre-warrant meeting with the verifier.

eBuilding Standards

eDevelopment is the Scottish service that enables users to apply online for planning permission and building warrant to their local authority. eBuilding Standards, part of the eDevelopment Service, is the fastest and most efficient way to submit a building warrant application. You can easily complete the form and upload supporting documents online through the portal.

When uploading documents and drawings to the portal, you should consider the following:

•Ensure the correct description and drawing number is used for each document/drawing.

•Drawings/documents should be uploaded individually, e.g. do not combine multiple drawings into one large file for upload.

•When submitting revised documents/drawings via the portal ensure that the title and reference/number is the same as the original submission, with only the revision reference changing.

Response to verifier’s first report

Once the verifier has reviewed your application, where further clarification is necessary, they will issue a first report. This will list the standards and clauses where the verifier considers that the design does not demonstrate compliance and where further information is required. The report will be broken down into procedural and technical aspects; noting the relevant standards and clauses of the technical handbooks.

When responding to a first report, there is specific information that will make the verifier’s second assessment more efficient.

•Submit a covering letter which responds to each point raised in the report. Clarifying what has been changed and where the verifier will find the change. This response letter will not form part of the approved warrant. See example response below.

Point raised in verifiers report

Point 1 4.2 Access within buildings Please provide dimensions of clear opening widths to doors

Response: Dimensions added to floor plan. Refer to drawing L(0)001.

Point 2 6.2 Building insulation envelope Please provide u-value calculations for all insulated elements of the proposed.

Response: Refer to enclosed u-value calculations.

•Highlight revisions to drawings, perhaps with a revision bubble around the part that has been revised, and note a clear description of the change on each drawing.

•Where the same note is used on more than one drawing, ensure that all drawings are updated.

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General

For the majority of projects, the information contained within the building standards guidance (see annex A) provides comprehensive advice on what is required throughout the building warrant process.

Where the project is high risk or the design is particularly complex in nature, it may be beneficial to have a pre-warrant application discussion between the applicant/agent and verifier. There is more information about this in the Procedural Handbook.

Conversions

The building regulations make provision for changes in occupation or use of buildings, that should be considered as ‘conversions’. This is defined in the Building (Scotland) Act 2003 and in the Technical Handbooks as –

Convert in relation to a building, means to make such change in the occupation or use of the building as specified in schedule 2 to regulation 4, and “conversion” and related expressions are to be construed accordingly.

The types of conversion where the regulations apply are given in Section 0, Regulation 4 of the Technical Handbooks.

There will be cases where no building work is being undertaken, however the change of occupation or use will attract the application of building regulations. In such cases a building warrant is required to demonstrate that the building, as converted, will meet the relevant building standards.

For conversions, it is the intention that the standards achieved in converted buildings should be broadly similar to those achieved by entirely new build. Schedule 6 to regulation 12 guides the verifier as to where discretion is expected to be necessary. It identifies those standards where it is not expected to be reasonably practicable to have existing buildings fully comply.

Refer to 0.4 and 0.12 in Section 0 of the technical handbooks for detailed information on what is classed as a conversion and what standards must be met.

Note: The reference to changes of use in planning applications is different to ‘conversions’ given in building regulations and should not be confused. If you are unsure, seek advice from the relevant planning authority.

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There are various types of application that can be made through the building warrant process. The Which Form? function on the eBuilding Standards portal will confirm the application type you require based on the circumstances of the project. Form help guides are available on eBuilding Standards.

Further details on each application type process and associated fees can be found in Procedural Handbook and the Fee Calculator.

An explanation of the most common types of application is given below.

Building Warrant

Form – Application for Building Warrant

A building warrant is the legal permission to erect, convert, alter, extend or demolish a building and must be obtained from the local authority verifier before work can start on site.

Amendment of Building Warrant

Form – Application for Amendment of Building Warrant

Any changes from the approved building warrant will require an application for amendment of building warrant to be submitted to the local authority verifier, the application must be approved before work can continue on site.

Building Warrant – Late application

Form – Application for Building Warrant

Where a warrant is required, but work has started without one in place, an offence has been committed. In order to regularise situations like this, building standards legislation allows a late application for warrant to be submitted at any time before the works on site are complete.

The standards that apply to a late application are those at the time of application, not when the building work started. So changes may be required even to parts of the project that have been completed if it does not meet the relevant standards.

As for a normal building warrant application, a full drawing package is required. The same level of detail and information must be submitted. If the construction is well advanced the verifier may request parts to be exposed so that adequate checks can be made and a higher fee is charged to cover such difficulties.

Note: If the works are complete, a ‘completion certificate where no building warrant obtained’ must be submitted (see below).

Staged Warrant

Form – Initial submission – Application for Building Warrant

Subsequent stages – Application for Amendment of Building Warrant

In some projects, a building cannot be fully designed at the outset, for example, a large project, therefore a building warrant can be applied for in stages.

The applicant should agree with the verifier which later stages of work cannot start until details of those stages are provided. The warrant for the whole project is then granted with a condition that work on the identified stages does not start until the necessary information has been submitted and an amendment of warrant for the next stage(s) granted. So for example, work on foundations can start before the rest of the design is finalised.

It is the responsibility of the applicant or their agent to apply for the amendment of warrant in good time to allow checking and approval so that site work can continue smoothly.

The fee for a staged warrant is payable in full at the time of the initial application, based on the estimated total value of the project. For each subsequent stage, an amendment of warrant fee will be payable. More information on fees for staged warrants is available in the Procedural Handbook.

Completion Certificate where no Building Warrant obtained

Form – Completion Certificate where no Building Warrant Obtained

Where work has been carried out, and is complete, without a building warrant when there should have been one in place, a completion certificate must still be submitted.

The certificate may only be accepted if it confirms that the work has been carried out in accordance with, and now complies with, the building regulations applicable at the time of the submission of the completion certificate.

A late completion certificate submission must provide plans and specification details equivalent to those for a warrant application, so that the verifier can adequately assess whether to accept the certificate. The submission attracts a higher fee.

Note: The process for applying for a ‘late’ completion certificate was introduced by the Building (Scotland) Act 2003, applicable from 1 May 2005. Where work was carried out before this time, you should contact the relevant local authority verifier.

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Once the building warrant is granted you should be aware of the following.

Making changes

If you want to make any changes to your designs once they have been approved, you must apply for an amendment of building warrant. As with a building warrant application, the work covered in an amendment of warrant application, must not start until the application is approved. Where a Certificate of Design has been used, this may also need to be amended as part of the amendment of warrant.

During construction

You should make sure that your building work is supervised by someone with an appropriate level of expertise. It is ultimately the responsibility of the building owner to ensure that the construction work is completed in accordance with the approved building warrant plans and is compliant with the building regulations. It is the owner’s responsibility to put in place a system of checks to ensure compliance is achieved during construction.

Construction Compliance and Notification Plan (CCNP)

The CCNP will be issued with the building warrant. It outlines what inspections the verifier plans to undertake at scheduled stages of the work. The verifier may also accept other alternative methods to check compliance, such as photographs. When appropriate, remote verification inspections may also be considered as a way to check compliance. The applicant/agent must notify the verifier when work starts and again at the different stages set out in the CCNP.

Inspections carried out by the verifier form part of their duty of ‘reasonable inquiry’ but do not provide a system to control work on site; that is a matter for the contracts and arrangements put in place between the client and builder.

Completion stage

Once building work is complete, a completion certificate must be submitted to the verifier by the ‘relevant person’. It is an offence to occupy a new building or converted building before the completion certificate is accepted.

Relevant person (usually the building owner, tenant or developer) is ultimately responsible for compliance with the building regulations. Where the tenant or developer do not carry out their duties, the owner is responsible. Sections 2 and 4 of this guidance provide further information on roles and responsibilities, and the importance of using suitably qualified professionals to give you assurance that the work is compliant.

Completion certificate process

The relevant person signs and submits a completion certificate to the verifier to confirm that the work has been constructed in accordance with the building warrant and building regulations.

Along with the completion certificate, the verifier may require additional supporting information dependent on the nature and complexity of the building. The Procedural Handbook provides detail on information that may need to accompany a completion certificate submission.

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The building standards website contains all relevant building standards legislation and guidance.

Building Approval

Click here to access the guidance listed below:

Customer Journey – explains the building standards system to anyone making home improvements or starting building work. It provides a breakdown of the building warrant process, the certification process and detailed information about the roles and responsibilities of those involved. The Customer Journey includes a useful glossary of terms.

Procedural Handbook – explains the processes for submitting and dealing with building warrant applications and provides detailed information on how the processes work and apply. This is a useful resource for both verifiers and applicants/agents.

Certification – the Certification Handbook explains how the certification process works, the Procedural Guidance on Certification provides helpful information on what to consider when submitting a building warrant application, including the information that should be submitted with a building warrant application, and the Certification Register lists all Approved Certifiers and Bodies.

Making an application – links to eBuildingStandards to submit online applications and contact details for local authority building standards departments.

Building Regulations

Technical Handbooks – The building standards technical handbooks provide guidance on achieving the standards set in the Building (Scotland) Regulations 2004. Building regulations set out technical requirements applicable to building work. There are technical handbooks for both domestic and non-domestic work.

The Technical Handbooks are split into eight sections; sections 0-7. Section 0 General, is the same in both the domestic and non-domestic handbooks and covers aspects such as, types of work not requiring a building warrant and what is considered a conversion. Sections 1-7 cover the technical requirements for Structure, Fire, Environment, Safety, Noise, Energy and Sustainability.

The handbooks contain a list of definitions and explanation of terms used in building standards legislation and guidance.

Local Authority Building Standards Scotland (LABSS)

The LABSS website is a useful resource providing building standards advice and guidance for both applicants and verifiers. LABSS is a not-for-profit membership organisation representing all local authority building standards verifiers in Scotland and also provide the following functions.

Scottish Type Approval Scheme (STAS)

Anyone wishing to have a standard design approved for use on several sites can apply to LABSS. The aim of the scheme is to avoid applicants having to undergo a full building warrant assessment of their design each time the same building is to be constructed in a different authority area.

Once a STAS Certificate has been obtained, a building warrant application must still be made to the relevant local authority verifier, as it will still be subject to checks on site-specific matters.

Dispute Resolution Process

If you disagree with an interpretation of the building standards that the verifier is adopting in the consideration of a building warrant application that you have submitted or will require to submit you may request an interpretation through LABSS dispute resolution process.

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The following procedural items should be considered when making a building warrant application. This list is not exhaustive.

Application form

•Correct form Use Which Form? on eBuilding Standards portal to ensure you submit the correct form

•Complete form Ensure all sections of the form are completed

•Sign form

•Contact details for applicant/owner

•Clear and concise description of the project

Fee

•Correct fee Use Fee Calculator on eBuilding Standards portal to ensure you submit the correct fee. For further information on fees and the fee scale tables refer to the Procedural Handbook.

•Correct discount applied If you are using an approved certifier of design or construction you are entitled to a discount on the building warrant fee where certificates are submitted with the building warrant application or you intend to use a certifier. Before declaring on the application you must be certain that you are using an approved certifier – if you are unsure, check with the relevant designer or contractor.

•Pay fee in full at time of submission

Other considerations

•Certification Schemes Using a certifier of design or construction can be beneficial to your project – refer to Why use an approved certifier? section of this guidance for further information.

•Conversions Check that the design meets the regulations relevant to conversions – refer to Conversion section of this guidance for further information.

•Other permissions Consider whether permissions from other authorities are required, e.g. Planning, Scottish Water/SEPA.

•Alternative approach Confirm to verifier, perhaps in a covering letter, if any ‘alternative to guidance’ solutions have been sought or if compliance is demonstrated by meeting the guidance.

•Scottish Type Approval Scheme (STAS) Include any relevant STAS reference in your application.

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The following technical items should be considered when making a building warrant application.

The Procedure (Scotland) Regulations 2004, schedule 2, sets out the which information should accompany an application. The Procedural Handbook provides further information.

Drawings

•Location/Block plan It is essential that a plan identifying the location of the site/building is submitted.

•Site Plan Include site levels, pathway gradients and identify the site boundary.

•Foundation plan

•Floor plans

•Roof plan

•Elevations

•Building sections

•Detail sections and plans Provide details to illustrate the proposed construction of each element of the building.

•Services layout For example, electrical layouts.

•Drainage design and layout For example, surface water and foul drainage. Include, where relevant, design calculations and system details.

•Existing and proposed (if relevant) If work relates to an existing building include drawings of both the existing building and proposed.

Drawing convention and annotation

•Each drawing should have a unique reference number

•Title each drawing Drawn to a suitable scale Consider including a scale bar on drawings and refer to the Procedural Handbook for the suggested scale of different drawing types

•North point on plans

•Clearly identify new work Label/stamp drawing as ‘Building Warrant’

•Clear, concise and relevant notes on drawings

•Refer to relevant specification references or documents Indicate spaces/dimensions related to compliance with building regulations For example, activity spaces, travel distances, clear opening dimensions etc.

•Provide key/legend

Note: Avoid repetition on drawings and specifications. Repeating the same notes or details across numerous drawings/documents can lead to issues with consistency, especially when revising information for resubmission.

Specification

•Project specific Avoid a generic specification, ensure it is specific to the project. If submitting National Building Specification (NBS) – avoid submitting the full document, only include/reference the NBS section/clause that is relevant to demonstrating compliance.

•Focused specification The specification should be relevant to building warrant with a focus on demonstrating compliance.

•Supporting certification/documents For example, BBA certificates or similar.

•Product/system technical approval and/or test data information Provide product technical information if relevant to demonstrating compliance with the building regulations.

Site

•Site investigation report

•Ground conditions

•Existing drainage layout / Scottish Water consent

Structural

Technical Handbooks – Section 1

Note: The structural design should be clearly illustrated. Avoid over marked drawings to show this.

Fire

Technical Handbooks – Section 2

•Fire engineered solution

•Fire strategy Demonstrate how the proposed fire strategy for the proposed building will demonstrate compliance with the building regulations.

•Fire related performance information

Energy

Technical Handbooks – Section 6

•Certificate of Design If a certifier of design has been used

•Standard Assessment Procedure (SAP) Required for new dwellings and some other defined construction work.

•Simplified Building Energy Model (SBEM) Required for new non-domestic buildings and some other defined construction work.

•Supporting calculations/evidence Include calculations, or other documentation, that demonstrates the thermal performance being achieved by the various aspects of the fabric of the building, for example, wall U-value calculations.

Note: This list is not exhaustive. An example of technical handbook sections are given in the checklist, as these highlight the most common areas where information is often missing from a submission. The information submitted with a building warrant application must demonstrate compliance with all sections of the technical handbooks.