Guidance

Investigation procedure statement

Published 26 September 2024

Applies to England and Wales

1. Introduction

1.1 This procedure sets out how the regulatory authority will conduct investigations into the building control profession. The regulatory authority  for:

• England, is the Building Safety Regulator (BSR)
• Wales, are the Welsh Ministers, who have delegated this function to BSR in respect to registered building inspectors and registered building control approvers only

1.2 It guides the planning, conduct and concluding of investigations into potential professional misconduct or contraventions by the building control profession.

1.3 The building control profession includes individuals and organisations. We refer to them as ‘professionals’ or ‘the profession’.

1.4 The regulatory authority investigates to:

• collect evidence that is sufficient to effectively inform enforcement decision- making on contraventions or professional misconduct and is admissible at court or tribunal
• determine whether a contravention or professional misconduct occurred
• hold the responsible professional to account, appropriately and proportionately

1.5 The regulatory authority  will enable those under investigation to make representations before concluding our investigation.

1.6 Investigations may lead to the resolution of the concerns raised, recommend improvements, result in sanctions or bring about formal enforcement action.

2. Scope

2.1 This procedure applies to potential contraventions and professional misconduct by the building control profession. This procedure adopts the definitions contained in the Building Act 1984 (‘the act’).

2.2 The building control profession includes:

• registered building inspectors (RBIs) in England and Wales
• registered building control approvers (RBCAs) in England and Wales
• local authorities (LAs) in England

2.3 The regulatory authority may investigate any suspected offences, contraventions or misconduct, including but not limited to:

• professional misconduct for RBIs
• contravention of the professional conduct rules for RBCAs
• contravention of the operational standards rules for RBCAs and LAs (except LAs in Wales)
• offences under the act or the Building Safety Act 2022

2.4 Investigations into individual RBIs will also consider the culpability of their employer, RBCA and LA.

2.5 Not all cases may proceed to investigation with the regulatory authority. There may be various reasons including, for example:

• an alternative enforcing authority may be more appropriate or responsible to investigate
• the case falls outside the remit of the regulatory authority
• the case is not selected for investigation using a risk-based approach

3. Approach

3.1 The regulatory authority’s  approach to investigation is proportionate to the:

• gravity, extent and complexity of any potential professional misconduct or contravention
• adequacy of the building control professional’s arrangements for compliance with the relevant requirements
• culpability of any individual or organisation

3.2 Investigation methods typically include a combination of:

• examination and analysis of data, information and records available to the regulatory authority
• gathering evidence of work activities, practices and conditions
• interviews and voluntary statements from relevant parties including, directors, managers, workers and other duty holders’ examination of management arrangements and relevant documents

3.3 The enforcement action we can apply as a result of an investigation will be determined by the scope of our statutory powers and guided by the regulatory authority’s enforcement policy statements.

4. Roles and responsibilities

4.1 Investigators and investigation managers are ‘authorised officers’ as per section 22 and schedule 2 of the Building Safety Act 2022.

4.2 An investigation manager is responsible for:

• deciding whether to investigate
• supervising investigators and conducting investigation management reviews
• deciding when to conclude or continue investigations
• deciding whether to refer investigation findings for enforcement decisions

4.3 An investigator is responsible for:

• planning, including determining primacy in joint investigations
• conducting the investigation and pursuing all relevant lines of enquiry
• identifying potential professional misconduct, contraventions and/or offences

5. Procedure

5.1 Investigations will be managed, conducted and completed in a timely manner.

5.2 To avoid unnecessary delays, the investigation process emphasises prompt and positive decision making during initial planning and subsequent reviews.

5.3 The general stages of an investigation are set out below. Sequencing flexibility applies as, in practice, investigation pathways may vary according to circumstances.

Decision whether to investigate

5.4 The process may include:

• identifying cases mandatory and/or appropriate for investigation
• clarifying whether the case relates to a potential criminal offence and/or professional misconduct or contraventions
• arranging initial enquiries where necessary
• redirecting cases that are not within scope of this procedure
• explaining the reasoning for any decisions not to investigate
• managing resources and workloads

Planning

5.5 Investigations contain elements requiring consideration and planning. These include:

• establishing the facts and identifying reasonable lines of enquiry
• pursuing reasonable lines of enquiry
• obtaining and analysing the evidence to draw conclusions as to potential professional misconduct or contraventions
• evaluating the extent of culpability of individuals and/or organisations that may lead to recommendations for further action

5.6 The planning process results in a fit-for-purpose investigation plan. The process includes:

• gathering relevant information and assessing the case
• resourcing the investigation, including a prior involvement exercise
• settling initial objectives and identifying any priority actions
• considering support requirements from specialist at the outset
• involving and communicating with other enforcement agencies where appropriate
• identifying any foreseeable issues and conditions that may affect the investigators

Conduct and management

5.7 Conducting and managing investigations includes suitable arrangements to:

• start the investigation within reasonable timescales
• ensure the health and safety of visiting staff
• ensure investigators properly enter relevant premises, with appropriate authorisation and identification, for example, a warrant is obtained
• identify and contact victims or the bereaved (where relevant) as early as possible agree with other enforcement agencies how joint investigations will be managed and kept under review
• take enforcement action in cases of potentially serious professional misconduct or contraventions
• establish the facts and the causes of the alleged misconduct or contraventions and adapt the investigation plan as necessary
• invite the individual and/or organisation under investigation to make oral and/or written representations, as appropriate
• explain the regulatory authority’s policy on cost recovery (where relevant)
• review progress at regular intervals and determine whether to conclude or continue, including defining next priority actions
• secure compliance and ensure any ongoing concerns are adequately addressed evaluate and manage evidence against the appropriate standard when considering formal enforcement action

Conclusion

5.8 Concluding an investigation considers the following activities:

• complete the investigation as soon as practicable (relative to scope, gravity and extent, complexity and target timescales)
• use the information and evidence collected to determine the investigation outcome including recommendations for enforcement and/or sanctions and/or prosecution
• inform those investigated of the investigation outcome, including any follow-up action and rights of appeal
• inform victims and the bereaved (where relevant) and other interest parties of the investigation outcome, as appropriate
• close the investigation without delay once the decision to discontinue or actions that qualify it for closure have been taken
• draw a clear line between the investigation and potential follow-on activity arising from it