Guidance

Operational standards rules monitoring arrangements

Published 7 July 2024

Applies to England

Introduction

The reportable data and key performance indicators (KPIs) for building control bodies (BCBs) support the operational standards rules (OSRs). BCBs include local authorities and registered building control approvers (RBCAs).

BCBs must submit data as set out in section 2 and 3 of this document to the regulatory authority.

The reportable data and KPIs are intended to identify if BCBs:

• are operating efficiently and effectively
• resources are appropriately targeted
• are delivering their purpose to ensure duty holders comply with the Building Regulations 2010

It is expected that BCB data will provide sufficient detail to enable the regulatory authority to analyse the data and monitor the delivery of BCBs functions and outputs.

KPI 1: building control functions

BCBs ensure best use of resources and operate efficiently and effectively to deliver their purpose to assure the safety and standard of buildings, protecting the safety of people from risks in and around buildings.

Requirement: KPI 1

Those undertaking building control work should ensure compliance with the requirements of the Building Regulations 2010 and maintain a consistent approach to all building control functions to assure duty holders are being treated in a consistent manner to achieve compliance with the law.

Purpose: KPI 1

To monitor the effectiveness of the BCBs’ application management and consultation process and measure the impact BCBs have on the built environment.

Quarterly reportable data: KPI 1

Local authority (LA) building control and RBCA (where noted). Statutory consultations:

1.1 Duty to consult with the enforcing authority/fire and rescue authority in relation to buildings or parts of buildings to which the Regulatory Reform (Fire Safety) Order 2005 applies:

LA: the Building Regulations 2010 (as amended), regulation 15A: number of determinations of applications for building control approval made:

• without consultation undertaken with the enforcing authority
• with consultation undertaken with the enforcing authority, and no response received

RBCA: the Building (Registered Building Control Approvers etc.) (England) Regulations 2024, regulation 9: the number of plans certificates issued:

• without consultation undertaken with the fire and rescue authority
• with consultation undertaken with the fire and rescue authority, and no response received within the statutory period

1.2 Duty to consult with the sewerage undertaker where H4 of schedule 1 imposes the requirement in relation to the building work:

LA: the Building Regulations 2010 (as amended), regulation 15: number of determinations of applications for building control approval made:

• without consultation undertaken with the sewerage undertaker
• with consultation undertaken with the sewerage undertaker, and no response received within the statutory period

LA: the Building Regulations 2010 (as amended), regulation 15: number of completion certificates issued:

• without consultation undertaken with the sewerage undertaker
• with consultation undertaken with the sewerage undertaker, and no response received within the statutory period

RBCA: the Building (Registered Building Control Approvers etc.) (England) Regulations 2024, regulation 10: number of plans certificates issued:

• without consultation undertaken with the sewerage undertaker
• with consultation undertaken with the sewerage undertaker, and no response received within the statutory period

RBCA: the Building (Registered Building Control Approvers etc.) (England) Regulations 2024, regulation 10: number of final certificates issued:

• without consultation undertaken with the sewerage undertaker
• with consultation undertaken with the sewerage undertaker, and no response received within the statutory period

LA (building control approval application process):

1.3 Number of full plans applications for building control approval received.

1.4 Number of full plans applications for building control approval, both residential and commercial, received for formal relaxation of the Building Regulations 2010.

1.5 Number of full plans applications for building control approval assessed within 5 weeks (or longer with the building control applicant’s agreement).

1.6 Number of full plans applications for building control approval assessed and granted with requirements.

1.7 Number of rejections due to non-compliance with the Building Regulations 2010 identified at the application for building control approval assessment stage.

1.8 Number of repeat applications for building control applications (applications for building control approval rejected and resubmitted within 12 weeks of rejection).

1.9 Number of building notice applications received.

1.10 Number of regularisation certificates applied for.

1.11 Number of final inspections split by remote and onsite. Following a final inspection:

• number of completion certificates issued for completed build
• number of builds for which a completion certificate is not issued within 3 months following a final inspection

1.12 Number of requests by applicant (building owner/builder) for copies of inspection reports for their build and number of reports issued.

1.13 Number of in-flight higher-risk buildings (HRBs) (full plans deposited with the local authority before the new HRB regime came into force and work has commenced within 6 months of the new regime coming into force).

RBCA:

1.14 Number of initial notices submitted to the local authority.

1.15 Number of initial notices rejected; provide reason or list of the additional information required by the local authority.

1.16 Number of initial notices cancelled by RBCAs because of unresolved contravention(s).

1.17 Number of plan assessment (plan check) reports completed.

1.18 Number of final inspections by remote and on-site. Following a final inspection:

• number of final certificates issued for completed builds
• number of builds for which a final certificate is not issued within 3 months following a final inspection

1.19 Number of requests by applicant (building owner/builder) for copies of inspection reports for their build and number of reports issued.

1.20 Number of in-flight higher-risk buildings (initial notice submitted before the new HRB regime comes into force and work has commenced within 6 months).

KPI 2: enforcement and interventions

BCBs should target their interventions and enforcement activities at duty holders and activities posing the most serious risks to compliance with any applicable requirements of the Building Regulations 2010.

Requirement: KPI 2

Enforcement and intervention activities should be proportionate to the level of risk including the potential severity of a breach of the Building Regulations 2010. BCBs must consider the potential and actual harm those risks could bring about, and the seriousness of any breach of the law.

Purpose: KPI 2

To monitor the effectiveness of BCBs carrying out their functions and ensure BCBs use all regulatory intervention and enforcement tools at their disposal, as appropriate.

Quarterly reportable data: KPI 2

LA:

2.1 Number of cancellations of initial notices received relating to building work that contravenes any provision of the Building Regulations 2010, and detail of the action taken by local authorities.

2.2 Number of compliance notices given by the building control authority under section 35B of the Building Act 1984.

2.3 Number of stop notices given by a building control authority under section 35C(1)(a), 35C(1)(b) or, as the case may be 35C(1)(c) of the Building Act 1984.

2.4 Number of duty holders prosecuted via a magistrate for a contravention of the Building Regulations 2010 under section 35 of the Building Act 1984. Provide details of the contravention and outcome of the prosecution.

2.5 Number of notices served under section 36 of the Building Act 1984 requiring duty holders to alter or remove offending work.

RBCA:

2.6 Number of initial notice cancellations issued to local authorities as a result of unresolved contraventions, include the name of the local authority the cancellation of the initial notice was sent to.

2.7 Number of initial notice reversions to the local authority due to the RBCA being unable to carry out their function.

Annual reportable data: KPI 2

LA and RBCA (annual snapshot of interventions throughout the month of February, from 2025 onwards):

2.8 Number of contraventions found during inspections.

2.9 Number of written non-compliance correspondence (including electronic notifications) issued, include description of non-compliance.

2.10 Number of preventative or corrective interventions taken that enabled the duty holder to immediately rectify a contravention.

KPI 3: risk management

In accordance with risk management processes, 90%* of projects identified as ‘non- standard’ are subject to the development of a bespoke inspection schedule that identifies additional critical inspection points and is evidenced for internal review.

*Percentage adjusted incrementally year-on-year (Year 1: 90%, Year 2: 92%, Year 3: 95%).

Requirement: KPI 3

Effective risk management of projects involves allocation of building control work to competent persons to ensure risk factors are assessed at the outset and inspection plans match the type, size and scale of a project.

Purpose: KPI 3

To monitor the effectiveness of BCB risk management processes.

Quarterly reportable data: KPI 3

LA and RBCA:

3.1 Number of builds identified as non-standard (as opposed to common builds) following the assessment of applications for building control approval or initial notices.

3.2 Number of non-standard projects where the BCB risk management process identified additional critical inspection points for inclusion in the service schedule / inspection plan.

3.3 Number of inspections of non-standard builds (for example, class 3G projects) (remote and on- site) that identified non-compliance issues – provide details of all non-compliance identified, including those immediately rectified.

3.4 Number and description of non-standard builds where all or part of the build does not follow industry recognised design principles set out in relevant building guidance codes (see definition of non-standard in explanatory note) as a means of complying with the Building Regulations 2010.

KPI 4: competence (knowledge and expertise)

100% of restricted activities are carried out by appropriately registered RBIs.

95% of building control professionals (includes both RBIs and non-RBIs) delivering BCBs activities have evidenced their continuous professional development relevant to their role within a 12-month period.

Requirement: KPI 4

BCBs must resource building control functions appropriately and have the necessary competent people and resources to efficiently and effectively manage the risks relating to compliance with the requirements of the Building Regulations 2010.

Purpose: KPI 4

To assess BCBs have sufficiently experienced, qualified and competent resources to discharge their duties regarding current and future workloads, complexity and location of work and changes to regulations and guidance.

Annual reportable data: KPI 4

LA and RBCA

4.1 Competence:

Provide the number of RBIs identified by class:

• class 1 building inspectors
• class 2 building inspectors
• class 3 building inspectors
• class 4 building inspectors

4.2 Number of other (non-RBIs) building control professionals with building control knowledge and experience.

4.3 People and skills:

• number of RBIs by engagement type: full-time; part-time; directly employed by BCB; externally contracted
• number of full-time equivalent RBI resource allocated against number of projects requiring RBIs resource
• number of full-time equivalent building control administrative/support staff

4.4 Staff retention and training:

• number of full-time equivalent RBIs, including those externally contracted; building control professionals (non-RBIs); administrative/support staff who have left, and the number hired
• total number of training days attended by building control professionals
• total number of continuing professional development (CPD)/other development days attended by RBIs

KPI 5: systems and controls

BCBs to 100% conform with a quality management scheme and have passed an annual review of an accredited quality management scheme.

Requirement: KPI 5

BCBs should implement, conform with, and maintain a quality management scheme, and have effective and efficient systems and controls to manage and mitigate risks to building control functions.

Purpose: KPI 5

To assess the extent, depth, and effectiveness of BCBs process management systems.

Annual reportable data: KPI 5

LA and RBCA:

5.1 Process management system:

• BCB has in place an accredited quality management system (QMS) (yes/no)
• BCB has a QMS in place that is not accredited – provide name of QMS
• BCB has neither an accredited nor non-accredited QMS in place

5.2 Auditing activities:

• number of planned internal audits against the QMS system completed
• number of other planned internal audits completed
• number of unplanned internal audits completed and the reason for the audit
• number and type of external reviews completed

KPI 6: complaints handling and appeals

95% of complaints relating to compliance with the Building Regulations 2010 resolved in line with the BCB’s published complaints procedure and timescales.

Requirement: KPI 6

BCBs should maintain appropriate management arrangements for handling complaints to enable continual improvement.

Purpose: KPI 6

To monitor BCB complaint management arrangements to ensure they have clearly defined arrangements for dealing effectively with written and verbal complaints.

Annual reportable data: KPI 6

LA and RBCA:

6.1 Complaints relating to non-compliance with the Building Regulations 2010:

• number of complaints relating to non-compliance received as a proportion of ongoing building projects

6.2 Complaint resolution:

• number of complaints relating to non-compliance with the Building Regulation 2010 not resolved in line with the BCBs own set timescales

6.3 Complaints escalation:

• number of complaints relating to non-compliance with the Building Regulations 2010 escalated to the regulatory authority (for RBCAs) or the local government ombudsman (for local authorities). Provide details of the outcome (for example, complaint upheld, partially upheld, or not upheld)

Reporting method

The mandatory monitoring arrangements data must be submitted to the regulatory authority on a quarterly and annual basis as set out below. Each quarter, the regulatory authority will provide a spreadsheet template to local authorities and RBCAs to submit their data returns. Guidance on how to complete and submit the data return will be provided with the template.

Quarterly data returns

Quarterly data returns are required for the following KPIs and reportable data:

Quarterly data returns for KPI 1: building control functions

• all BCBs to report 1.1 and 1.2
• local authority BCBs to report 1.3 to 1.13
• RBCAs to report 1.14 to 1.20

Quarterly data returns for KPI 2: enforcement and interventions

• local authority BCBs to report 2.1 to 2.5
• RBCAs to report 2.6 and 2.7

Quarterly data returns for KPI 3: risk management

• all BCBs to report 3.1 to 3.4

Quarterly data returns will be required for submission to the regulatory authority as follows:

• 1 April to 30 June by 31 July
• 1 July to 30 September by 31 October
• 1 October to 31 December by 31 January
• 1 January to 31 March by 30 April

Annual data returns

Annual data returns will be required for submission to the regulatory authority by 30 April for the following KPIs and reportable data:

Annual data returns for KPI 2: enforcement and interventions

• all BCBs to report 2.8 to 2.10 (annual 4-week snapshot of activities during February, from 2025 onwards)

Annual data returns for KPI 4: competence (knowledge and expertise)

• all BCBs to report 4.1 to 4.4

Annual data returns for KPI 5: systems and controls

• all BCBs to report 5.1 and 5.2

Annual data returns for KPI 6: complaints handling and appeals

• all BCBs to report 6.1 to 6.3

Explanatory note

This explanatory note is advisory and should provide assistance to BCBs in both collating and reporting the data requirements set out in the monitoring arrangements that support the OSRs.

Have regard for views expressed by a statutory consultee

Building (Registered Building Control Approvers etc.) (England) Regulations 2024 and Building Regulations 2010. The statutory requirement in the legislation is for BCBs to have regard of the views expressed by the statutory consultee; BCBs must consider the views expressed.

If the view of the statutory consultee is disregarded where the circumstances of a case suggest that other considerations outweigh the views expressed, there should be a clear and case-specific reason to go against the views and this should be recorded.

In-flight HRB regime transitional arrangements

For transitional arrangements to apply to HRB work an initial notice must have been given to a local authority (and not rejected) or full plans deposited (and not rejected) with a local authority before the new HRB regime came into force (1 October 2023). Also, the HRB work must be ‘sufficiently progressed’ within six months of the new regime (6 April 2024). If HRB projects do meet these 2 criteria, they would continue to completion under the local authority or private sector building control. If projects do not meet either of these criteria, then they would pass to the Building Safety Regulator (BSR).

If the in-flight building work is subject to an initial notice, the approved inspector overseeing the project must have registered as a building control approver by 6 April 2024 to enable them to continue supervising the ongoing HRB work.

For the purposes of the HRB regime, the building work is ‘sufficiently progressed’ when the pouring of concrete for the permanent placement of the trench, pad or raft foundations, or permanent piling for the building has started. For building work to an existing HRB this means when that work has started; or where the building work consists of a material change of use of a building, when work to that effect has started.

Inspection reports

In providing the reportable data, the applicant is the person who makes a request to the BCB for a copy of an inspection report.

Remote inspections

Remote inspections are inspections, reviews or other related activities carried out at a place other than the inspection site. They can be completed live, after the fact or a combination of both.

They can include live virtual tours using digital solutions such as Microsoft Teams or drones, capturing stills and other recordings during the process for evidence purposes. This includes the evaluation of evidence, for example, technical information and completed documentation with supporting photographic images.

Remote inspections can include planned activity as set out in a project’s inspection plan, or activity prompted by non-compliance or new information.

Restricted activities and functions

In relation to building control authorities, section 46A of the Building Act 1984 provides that prescribed building control functions will be specified as functions which building control authorities will only be able to carry out having first obtained and considered the advice of an RBI.

Section 54B of the Building Act 1984 makes the same provision in relation to RBCAs.

These regulations provide that certain functions of the regulatory authority, local authorities and RBCAs may only be exercised after receiving advise from a registered building inspector whose registration covers the type of building and building work to which the function relates. It also provides that certain activities of local authorities and RBCAs must be exercised by using an RBI whose registration covers the type of the building and the building work to which the activity relates.

Site, plot and building

Site: the area of land to be developed that is enclosed within the boundaries of the development. The boundary might be defined by security fencing, hoarding or similar.

Plot: an individual building or several buildings within the site, or several units of accommodation within a building.

Builds: the building and the individual number of units within that building. The units contained within a building could be a mix of residential/non-residential/commercial or all residential, all commercial, or all non-residential.

Details of the building and/or plots is that which is recorded in the plans and should include sufficient detail to enable BSR, BCBs and RBIs to identify the size and scale of the building and its relationship to other buildings, roads, drains, sewers etc.

Non-standard

A standard build is designed and constructed from common industry recognised standards and codes. Approved Documents will be relevant to many standard buildings. Anyone using Approved Documents should have sufficient knowledge and skills to understand the guidance and correctly apply it to the building work. This is important because simply following the guidance does not guarantee that building work will comply with the substantive requirements of the building regulations.

Non-standard builds are buildings that include anything outside of common construction techniques in England or Wales, and do not follow industry recognised design principles set out in relevant building guidance codes (see below). They could include those buildings not fitting the notional set of common and long-established building methods.

‘Building Codes’ include (not exhaustive): Approved Documents, British Standards and Technical Documents.

For the purposes of class 3G BICoF and regulation of the profession only, non-standard work may include any of the following (list not exhaustive):

• buildings designed from first principles and not from standard building guidance codes or guides
• buildings with unusual occupancies or high levels of complexity (for example, some large mixed-use retail, conference centres and hospitals)
• very large or very tall buildings
• large timber buildings
• some buildings that incorporate modern construction methods

Use of other recognised standards outside of the scope of the Approved Documents

A building where the design or method of construction is recorded as not following the Approved Documents (in part or in full) and/or supporting standard(s) or code(s) that are directly referenced as part of the guidance in an Approved Document, during the building control approval process or during an inspection.