GovWire

Investigations

Investigations: registered building control approvers (RBCAs)

The Building Safety Regulator (BSR) can investigateRBCAsin:

• England, if it appears they have contravened theprofessional conduct rulesoroperational standards rulesorfailed to comply with monitoring arrangements

• Wales, if it appears they have contravened theprofessional conduct rules(on GOV.WALES)oroperational standards rules (on GOV.WALES)or failed to comply withmonitoring arrangements (on GOV.WALES)

• England or Wales if it appears they have committed acriminal offenceunder the Building Act 1984 or the Building Safety Act 2022

Investigations: local authorities in England

BSRcan investigate local authorities in England if it appears they have:

• contravened theoperational standards rules (OSRs)

• committed acriminal offenceunder 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

IfBSRdecides 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 theinvestigation of building control professionals, it tells you howBSRplans, 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 activities 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

BSRwill 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 theRBCAhas contravened the professional conduct rules
• the case is referred for an enforcement decision if theRBCA 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.

Sanctions for professional misconduct

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

• if theRBCAhas contravened the professional conduct rules
• which sanctions to apply

IfBSRdecides that anRBCAhas 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

BSRcan apply one or more sanctions at once. If theRBCAdoes 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

BSRcan decide to issue a financial penalty of between 0.1% to 5% of theRBCAs 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

BSRcan put limits or conditions on the work anRBCAis 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 theRBCAis registered to work in of the variation

Suspension of registration

BSRcan suspend anRBCAregistration for up to 2 years. BSR will:

• record it on the RBCA register
• notify each local authority of the country theRBCAis registered to work in of the suspension

TheRBCAmust not carry out any building control functions while suspended.

Cancellation of registration for professional misconduct

BSRcan cancel the registration of anRBCAand remove it from theRBCAregister.

After theRBCAs registration is cancelled,BSRwill notify each local authority of the country theRBCAwas registered to work in.

TheRBCAmust not carry out any building control functions when their registration is cancelled.

Enforcement of OSRs

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 Englandwhen they have contravened the OSRs

Enforcement action that 