What happens when the Building Safety Regulator investigates a registered building control approver

[edit] Introducing the government guidance.

This article is based ob the UK government Guidance "Building control bodies: contraventions and criminal offences" and sets out What happens when the Building Safety Regulator investigates a registered building control approver in England or Wales, or a local authority in England. The guidance was published on 21 October 2024, follow link for any updates.

[edit] Investigations

[edit] Types of investigations

The Building Safety Regulator (BSR) can investigate Registered Building Control Approvers (RBCAs) in:

• England, if it appears they have contravened the professional conduct rules or operational standards rules or failed to comply with monitoring arrangements
• Wales, if it appears they have contravened the professional conduct rules (on GOV.WALES) or operational standards rules (on GOV.WALES) or failed to comply with monitoring arrangements (on GOV.WALES)
• England or Wales if it appears they have committed a criminal offence under the Building Act 1984 or the Building Safety Act 2022

BSR can investigate local authorities in England if it appears they have:

• contravened the operational standards rules (OSRs)
• committed a criminal offence under the Building Act 1984

[edit] The process of an investigation

Investigations can be started following concerns raised by: BSR, local authorities, registered building inspectors, RBCAs, industry, members of the public, other regulators or bodies

If BSR decides to start an investigation, they:

• will inform the person or body that an investigation has started and what it is about
• will request the person or body to supply information relevant to the investigation

The guidance investigation of building control professionals, explains how BSR plans, conducts and concludes investigations.

During an investigation, BSR can suspend an RBCA for up to 3 months if they decide the concerns raised about its professional conduct:

• may be true
• could lead to the cancellation of its registration if proven to be true

The RBCA must not carry out restricted activities while suspended. The interim suspension can be appealed. Information about how to appeal will be provided with the decision letter or email.

[edit] Decisions

After the investigation BSR will inform the person or body of the outcome of the investigation, which can be that:

• no further action is needed
• advice is given
• actions are given to fix issues
• the case is referred for a sanction decision if the RBCA has contravened the professional conduct rules
• the case is referred for an enforcement decision if the RBCA in England or Wales, or local authority in England has contravened the OSRs
• the case is referred to decide if the RBCA or local authority should be prosecuted

Information about how to respond to the findings of an investigation will be provided with the outcome letter or email.

[edit] Sanction decision

If the case is referred for a sanction decision, BSR will send the disciplinary and sanctions procedure they follow to decide: if the RBCA has contravened the professional conduct rules ands which sanctions to apply

If BSR decides that an RBCA has contravened the professional conduct rules, they can:

• Decide not to apply any sanctions
• Issue a financial penalty - BSR can decide to issue a financial penalty of between 0.1% to 5% of the RBCA’s gross annual turnover. In some serious cases, the financial penalty may be more than 5%. Failure to pay a financial penalty may result in: further enforcement action or court proceedings to recover any outstanding debt
• Vary the registration - BSR can put limits or conditions on the work an RBCA is allowed to do. This is called a variation of registration and BSR will: record it on the RBCA register, notify each local authority of the country the RBCA is registered to work in of the variation.
• Suspend the registration - BSR can suspend an RBCA registration for up to 2 years. BSR will: record it on the RBCA register, notify each local authority of the country the RBCA is registered to work in of the suspension The RBCA must not carry out any building control functions while suspended.
• Cancel the registration - BSR can cancel the registration of an RBCA and remove it from the RBCA register. After the RBCA’s registration is cancelled, BSR will notify each local authority of the country the RBCA was registered to work in. The RBCA must not carry out any building control functions when their registration is cancelled.

BSR can apply one or more sanctions at once. If the RBCA does not comply with a sanction, further enforcement action may be taken. A sanction decision can be appealed, Information on this is provided with the decision letter or email.

[edit] Enforcement decision

Enforcement of OSRs; BSR can take enforcement action against: RBCAs in England and Wales when they have contravened the OSRs or failed to comply with monitoring arrangements or local authorities in England when they have contravened the OSRs.

Enforcement action that BSR can take includes:

• issuing a contravention letter
• issuing an improvement notice
• issuing a serious contravention notice
• cancelling the RBCA’s registration

for England, making a recommendation to the Secretary of State to transfer a local authority’s building control functions

All enforcement action, apart from contravention letters, can be appealed. Information about how to appeal will be provided with the decision letter or email.

[edit] Criminal offences

[edit] RBCA criminal offences

Criminal offences that apply to RBCAs in England and Wales include:

• the RBCA acting outside scope of registration
• an organisation acting as, or implying they are an RBCA, without being registered
• failure to provide specified OSRs reporting information when directed
• contravening a serious contravention notice issued for a breach of the OSRs
• obstructing, deceiving or impersonating an authorised BSR officer
• giving false or misleading information to BSR
• failing to provide information as requested by an authorised officer
• If an RBCA is suspended it is a criminal offence to:
• carry out building control functions
• deliberately do anything to imply the registration is not suspended

If there is evidence the RBCA has committed a criminal offence, it may be prosecuted.

[edit] Local authority criminal offences

Criminal offences that apply to local authorities in England include:

• contravening a serious contravention notice issued for a breach of the OSRs
• obstructing, deceiving or impersonating an authorised BSR officer
• giving false or misleading information to BSR

If there is evidence a local authority in England has committed a criminal offence, it may be prosecuted.

[edit] Costs of investigations and enforcement

There are charges that RBCAs in England or Wales, or local authorities in England need to pay if BSR:

• investigates them or takes enforcement action against them
• investigates, or takes enforcement action against a registered building inspector for their actions while they were employed by the RBCA or local authority

For more about the charges go to BSR charging scheme for England (on hse.gov.uk) or BSR charging scheme for Wales (on GOV.WALES)

This article is based on the Guidance 'Building control bodies: contraventions and criminal offences' dated 21 October 2024.

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• Grenfell Tower fire
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