Building control bodies: contraventions and criminal offences

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Investigations: registered building control approvers (RBCAs)

The Building Safety Regulator (BSR) can investigate 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

Investigations: local authorities in England

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

Starting 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 tell you that an investigation has started and what it is about

•may tell you to supply information relevant to the investigation

You can read guidance about the investigation of building control professionals, it tells you how BSR plans, conducts and concludes investigations.

During an investigation: interim suspension

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 functions while suspended.

You can appeal an interim suspension. Information about how to appeal will be provided with the decision letter or email.

After an investigation

BSR will tell you 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.

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If the case is referred for a sanction decision, BSR will send you the disciplinary and sanctions procedure they follow to decide:

•if the RBCA has contravened the professional conduct rules

•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

•vary the registration

•suspend the registration

•cancel the registration

BSR can apply one or more sanctions at once. If the RBCA does not comply with a sanction, further enforcement action may be taken.

You can appeal a sanction decision. Information about how to appeal will be provided with the decision letter or email.

Financial penalties

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

•court proceedings to recover any outstanding debt

Variation of 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

Suspension of 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.

Cancellation of registration for professional misconduct

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.

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BSR can take enforcement action against:

•RBCAs in England and Wales when they have contravened the OSRs or failed to comply with monitoring arrangements

•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.

Contravention letter

The letter sets out the actions needed to fix the issues identified. BSR will provide a statement of reasons for the letter.

Improvement notice

The notice:

•sets out the actions needed to fix the issues identified

•can tell the RBCA or local authority to stop doing something, while the notice is in effect

BSR will provide a statement of reasons for the improvement notice.

The improvement notice is in effect until:

•BSR decides it has been complied with

•it is revoked by BSR

•the period of time specified in the notice has ended

Serious contravention notice

BSR can issue a serious contravention notice if the RBCA or local authority has:

•contravened the OSRs which may have risked the safety of people in or about the building

•already been issued with an improvement notice and it has not been complied with

BSR will provide a statement of reasons for the serious contravention notice.

The serious contravention notice is in effect until:

•BSR decides it has been complied with

•it is revoked by BSR

•the period of time specified in the notice has ended

Cancellation of registration for contravening the OSRs

An RBCA can have its registration cancelled when BSR has done all of the following:

•issued one or more serious contravention notices to the RBCA

•concluded the RBCA is likely to continue to fail to meet the required standards

•concluded the RBCA is likely to continue to risk the safety of people in and about the building

•given notice, with written reasons, that cancellation of registration is being considered

•invited the RBCA to respond

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.

Transferring local authority building control functions

For local authorities in England, BSR can recommend to the Secretary of State to transfer building control functions from one local authority to another. BSR can do this when they have done all of the following:

•issued one or more serious contravention notices to the local authority

•concluded that the local authority is likely to continue to fail to meet the required standards

•concluded that the local authority is likely to continue to risk the safety of people in and about the building

•given notice, with written reasons, that BSR is considering asking the Secretary of State to transfer building control functions

•invited the local authority to respond

If BSR makes the recommendation to the Secretary of State, BSR will notify the local authority and provide reasons for the decision.

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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.

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.

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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

You can find out more about the charges in the:

•BSR charging scheme for England

•BSR charging scheme for Wales (on GOV.WALES)