Inspection of building control bodies: inspection selection criteria

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This page sets out the Building Safety Regulator’s (BSR) selection criteria for the prioritisation of inspections of building control bodies (BCBs). BCBs collectively refers to:

•local authorities (LAs) (England only), including those with shared services or partnership agreements

•registered building control approvers (RBCAs) (England and Wales)

It should be read in conjunction with BSR’s building control bodies: professional codes and standards. This includes the:

•operational standards rules (OSRs) and monitoring arrangements

•professional conduct rules for RBCAs

•strategic context for the regulatory framework

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Section 58Z8 of the Building Act 1984 allows for BSR to carry out an inspection of an LA or an RBCA in relation to their exercise of building control functions.

Inspections undertaken by BSR will be based upon perceived risk, in line with the principles of the Regulators’ Code and the strategic context for the regulatory framework. BSR will apply the following principles to all regulatory activities, including inspection:

•proportionality in how the law is applied to secure compliance

•accountability for actions

•consistency of approach

•transparency of approach and what BCBs can expect

•targeting of inspections based on intelligence

BSR will take a risk-based approach to both targeted and routine periodic inspections to verify BCBs are delivering their building control functions and following mandatory codes.

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Intelligence

BSR’s analysis of data provided by BCBs will indicate the extent to which:

•BCBs are managing risks to ensure the safety of people in and around buildings and the standard of buildings

•BCBs are operating efficiently and effectively

•resources are being appropriately targeted

•BCBs are delivering their purpose to ensure duty holders comply with the Building Regulations 2010

BSR will conduct inspections of BCBs. The purpose for which an inspection will be carried out include:

•ascertaining the efficiency and effectiveness of the BCB in exercising their building control functions and compliance with the Building Act 1984 and associated regulations

•verifying information provided by BCBs to BSR in connection to their building control functions

For the purposes of assessing risk, BSR will consider information available to it from the following sources:

•quarterly and annual data returns as required by the monitoring arrangements for the OSRs for BCBs

•assessment of applications for the registration of RBCAs

In addition to routine inspections, prioritisation for inspection could include one or more of the following criteria below.

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Prioritisation for inspection may arise due to:

•failure by BCBs to submit all the mandatory data, as set out in the OSR monitoring arrangements, within the set timescales

•where some but not all of the OSR monitoring arrangements data is submitted and gaps in data are identified

•where BSR considers that the data provided indicates a potential breach of the OSRs

Considerations when prioritising BCBs for inspection include:

Building control functions

•lack of consultation with enforcing authority/fire and rescue authority in relation to buildings or parts of buildings to which the Regulatory Reform (Fire Safety) Order 2005 applies

•lack of consultation with the sewerage undertaker where H4 of Schedule 1 of the Building Regulations 2010 imposes the requirement in relation to the building work

•competency and resource capacity – insufficient number of registered building inspectors (RBIs) in comparison to the volume of building control work

•portfolio of work includes in-flight higher-risk building (HRB) projects

Enforcement and interventions

•lack of evidence of any LA enforcement action or RBCA intervention taken by the BCB in relation to non-compliance or contravention found during inspection

•LA - lack of appropriate action taken following receipt of cancelled initial notices

•LA - unresolved contraventions of the Building Regulations 2010 have not resulted in a Section 36 notice being served

•RBCA - on comparison of the overall projects undertaken, there is a disproportionate number of reversions of initial notices issued to LAs

Risk management

•number of projects overseen by class 3 RBIs

•ratio of class 2, 3 and 4 supervising building inspectors to supervised building inspectors at class 1

•evidence of builds identified as non-standard, and the risk management process taken by the relevant class of RBI identified additional critical inspection points

•number of bespoke inspection plans put in place is significant and/or different from the number of non-standard projects being undertaken

•high proportion of overall builds identified as non-standard and require use of recognised standards outside of the Approved Documents

Competence (knowledge and expertise)

•not having the necessary competent RBIs delivering building control functions

•number of RBIs defined by class in proportion to the portfolio of works

Systems and controls

•not met the minimum standard to conform with a quality management scheme (QMS) and have not passed an annual review by an accredited QMS

•lack of a formal suitable QMS or equivalent in place

•lack of evidence of a review of the QMS or equivalent by means of internal and third-party external assurance or auditing activities

•not conforming with the standards and processes set out in internal policies and procedures

Complaints handling and appeals

•high ratio of complaints related to non-compliance received as a proportion of ongoing building control activities and not resolved in line with the BCBs own set timescales

•due to complaints relating to non-compliance with the Building Regulations 2010 escalated to BSR (for RBCAs) or the local government ombudsman (for LAs)

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All RBCAs will have an inspection at least once during the period of their registration.

RBCAs will be prioritised on the basis of any risks identified during their registration assessment.

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•LA BCBs that operate as part of a shared service or partnership arrangement

•LAs outsourcing their building control functions to a trading company

•resourcing arrangements where there is a risk that RBIs, not directly employed by an RBCA, are carrying out restricted functions in an RBCA’s name

•data from Construction Industry Councils Approved Inspectors Register (CICAIR), spanning 6 years prior to BSR commencement, may be used to prioritise RBCAs for inspection