Guidance

The strategic context for the regulatory framework

Published 7 July 2024

Applies to England

1. Introduction

1.1 This sets out the strategic context for the regulation of the building control framework as set out in part 2A of the Building Act 1984 (the act). It demonstrates the connection between the competence of the regulated building control profession and the performance of building control.

1.2 It also reinforces that it is the responsibility of those commissioning and carrying out building works to comply with the act and building regulations. Building regulations are provided by part I of the act, as amended.

1.3 This strategic context guides building control bodies (local authorities and registered building control approvers) in their prioritisation of regulatory activities. This will help ensure the effective delivery of building control functions using the principles of good regulation.

1.4 It sets out sensible, risk-based and proportionate steps to ensure:

i) risk ownership by those responsible for compliance with the act and building regulations

ii) the safety of people in and around buildings

iii) the improvement of building standards

iv) intervention and enforcement activities are carried out consistently

v) effective use of resource

1.5 This guidance adopts the definitions within the act, including:

i) building control functions in section 58Z(3)

ii) code of conduct in section 58F

iii) regulatory authority in section 58A

iv) local authority in section 126

v) operational standards rules in sections 58Z-58Z10

vi) professional conduct rules in section 58R

vii) registered building control approver in section 58N

2. Scope

2.1 This guidance focuses on four objectives:

Objective 1: clarifying the roles and responsibilities of:

i) duty holders

ii) building control (Building Safety Regulator, registered building control approvers and local authorities)

Objective 2: outlining a risk-based approach using the principles of good regulation that building control should adopt. This includes the need to target relevant and effective interventions focused on:

i) influencing duty holder behaviours

ii) checking for compliance with building regulations and taking appropriate action where necessary

iii) an informed and intelligence-led understanding of emerging risks to building standards

Objective 3: integrating building control competence requirements

Objective 4: monitoring and assessing the performance of building control

3. Roles and responsibilities

Building control

3.1 There are 3 types of building control body (BCB) in the regulatory framework. They are:

1) the Building Safety Regulator (BSR) 2) registered building control approvers (RBCAs) 3) local authorities

BSR:

• regulates higher-risk buildings, see section 120D of the act
• regulates buildings covered by a regulator’s notice, see section 91ZB of the act
• is the regulatory authority for the building control profession including RBCAs and local authorities in England (see part 2A of the act)

RBCAs:

• are private sector building control
• will be required to meet their registration conditions (see section 58P of the act), professional conduct rules and comply with the operational standard rules (OSRs)

Local authorities:

• are public sector building control
• will be required to comply with the OSRs

3.2 Building control should direct their resources to best effect to ensure compliance with the act and building regulations.

3.3 Building control will use their findings and professional judgements to support, encourage and, where appropriate, hold duty holders to account.

3.4. Building control should consider the overlaps in enforcement responsibilities with other regulatory bodies and cooperate appropriately.

Duty holders

3.5 Duty holders are those that commission and carry out building works. They are responsible for complying with the act and building regulations made under it.

3.6 Duty holders are responsible for preventing, managing, and controlling their building risks from design to demolition on any building project.

3.7 Building control should expect duty holders to proactively demonstrate how their project will comply with building regulations. This should include an explanation of how their project meets the functional requirements of the building regulations from design into occupation. This should include:

• identified risks and their management arrangements
• evidence on which guidance informed design and construction
• evidence on how duty holders have assessed the appropriateness of the guidance used to demonstrate specific elements of compliance

3.8 Duty holders should engage with occupiers, for example for refurbishment works. This will help them check, improve and maintain the standard of their buildings in compliance with the law.

Self-certification

3.9 Competent person scheme operators enable the delivery of building work through their building control self-certification schemes. Such building work is specified in schedule 3 of the building regulations.

4. A risk-based approach

4.1 Building control will apply a risk-based approach to their regulatory methods. Regulatory methods include:

i) providing published information and guidance

ii) inspecting buildings and building works (remotely and on-site)

iii) reverting projects to the local authority for enforcement

iv) stopping certain activities

v) recommending and bringing prosecutions

4.2 A risk-based approach is based on the principles of good regulation. The principles are:

i) targeting

ii) proportionality

iii) transparency

iv) consistency

v) accountability

4.3 All breaches of the act and building regulations are deemed to be risks. This includes any actual or potential risk arising from any breach, the gravity and extent of the breach, its likelihood, and the impact of action taken.

Targeting

4.4 Building control interventions and enforcement should target those duty holders or situations:

i) that cause the most serious risks of contravention of building regulations

ii) where risks of contravention of the building regulations are least well controlled

4.5 Building control should use intelligence to develop inspection and intervention plans. This includes, for example:

i) emerging issues

ii) past performance of duty holders

iii) analysis of higher-risk activities

4.6 Building control should work in partnership with fellow regulators, such as the fire and rescue services, to help target building control resource appropriately.

Proportionality

4.7 Building control should expect duty holders to ensure building work complies with building regulations.

4.8 Interventions and enforcement should be proportionate to the gravity and extent of any contravention of the act and building regulations.

4.9 Building control’s regulatory intervention and enforcement arrangements, such as policies and procedures, should be guided by their risk-based approach.

4.10 Building control activities should align with relevant regulatory and enforcement arrangements.

4.11 Building control’s regulatory and enforcement actions will inform their assessment of how far below an expected standard a duty holder has fallen.

Consistency

4.12 Building control can achieve consistency by, for example:

i) applying published guidance from BSR, as appropriate

ii) adopting a consistent approach to regulatory competence

iii) setting clear expectations for the delivery of their building control functions

iv) allowing appropriate comparison via peer review

4.13 Maintaining a consistent approach to all building control functions ensures best use of resources.

Transparency

4.14 Transparency ensures duty holders know what they can expect from building control.

4.15 Building control records should be kept digitally and updated regularly. This will help with business continuity and transparent decision-making.

4.16. Building control should be open about their activities and processes by:

i) publishing their enforcement policies, procedures, principles and standards

ii) sharing relevant and permissible information

iii) using benchmarking

iv) peer reviewing

v) employing good practice

Accountability

4.17 Building control should provide duty holders with information on what to expect when inspectors visit and how to raise a complaint.

4.18 Building control are accountable to all who are impacted by their actions (or inaction), as well as BSR.

5. Competence

5.1 Persons delivering building control functions must be competent in applying a risk- based approach (see section 4). Achieving and maintaining such competence may include, for example:

i) availability of appropriate policies, procedures and enforcement guidance tools

ii) training relevant to risk-based decision making

iii) professional development

iv) supervision

v) review of risk-based decisions

5.2 Building control should plan for relevant training and professional development of all persons involved in the delivery of their building control functions.

5.3 Building control should ensure their registered building inspectors meet their registration conditions and code of conduct.

5.4 Building control should ensure persons delivering their building control functions are competent and up to date. This includes:

i) technological advances

ii) modern methods of construction

iii) changes in duty holder obligations

iv) changes in legislative requirements (and their practical application)

5.5 Building control should implement advice and guidance provided by BSR and its committees.

6. Monitoring

6.1 Building control should identify and implement improvements in performance within clear timescales.

6.2 BSR will assess the performance of local authorities and RBCAs.

6.3 Building control may appeal against specific decisions taken by BSR if they consider it unreasonable or disproportionate. Appeals are explained by section 25 of the act.

6.4 BSR will publish its findings on the performance of building control.