Investigation procedure statement: regulation of the building control profession (local authorities)

1.1 This procedure sets out how the regulatory authority will conduct investigations into the local authorities in Wales. The Welsh Ministers have designated some powers to the Building Safety Regulator (BSR) in order to allow them to regulate Registered Building Control Approvers (RBCAs) and Registered Building Inspectors (RBIs). The BSR may conduct investigations into RBCAs and RBIs on our behalf. For further details on how the BSR intends to conduct investigations, please see their guidance on gov.uk.

1.2 This procedure guides the planning, conduct and concluding of investigations into contraventions of the Operational Standards Rules (“OSRs”) by local authorities. In the event that we update the OSRs, any investigation would consider whether incidents under investigation would constitute a contravention of the OSRs as they were at the time of the incident.

1.3 We investigate to: 
•    collect evidence that is sufficient to effectively inform enforcement decision making on contraventions 
•    determine whether a contravention occurred 
•    hold the responsible local authority to account, appropriately and proportionately 

1.4 We will enable those under investigation to make representations before concluding our investigation.  

1.5 Investigations may lead to the resolution of the concerns raised, recommend improvements or result in sanctions.

2.1 This procedure applies to potential contraventions of OSRs by local authorities.

2.2 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 have more responsibility to investigate 
•    the case falls outside the remit of the regulatory authority.

3.1 Ideally a complaint or concern should be made in writing, by letter or by email.

3.2 Some people may prefer to present their information by telephone. If this is the case, it is important that the same level of information is obtained as that being sought via written methods. It may be necessary to send the reporter a copy of the call notes so that they can let us know if we have interpreted their issue correctly or not.

3.3 Information regarding complaints or concerns in regard to local authorities and potential breaches of the OSRs may be directed to:

Building Regulations Team
2nd Floor
Welsh Government
Cathays Park
Cardiff CF10 3NQ

Emails can be sent to enquiries.brconstruction@gov.wales
Telephone: 0300 060 4400

3.4 Information regarding complaints or concerns in regards to RBCAs or RBIs should be directed to the BSR. 

4.1 Our approach to investigation is proportionate to the: 
•    gravity, extent and complexity of any potential contravention 
•    adequacy of the local authority’s arrangements for compliance with the relevant requirements 
•    culpability of any local authority
 
4.2 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 

4.3 The enforcement action we can apply as a result of an investigation will be determined by the scope of our statutory powers    under Part 2A of the Building Act 1984. 

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

4.5 The general stages of an investigation are set out below. 

Screening

4.6 When information about a suspected breach of the OSR is received, we will log it for investigation. We will need to first ascertain if the information relates to matters in scope, and – if the information is a complaint – whether the reporter has already raised the issue with the local authority in question and has been through their complaint procedure.

4.7 If the matter is a complaint and the complainant has not been through the appropriate complaint procedure with the local authority in question, then we may refer them to raise the issue with that local authority first.  

4.8 If a concern is raised directly about a breach of the OSRs, the complainant has already been through the local authority complaint process, or chooses not to, we will:
•    Ask the person raising the issue to provide us with information about the nature of their complaint or concern, any evidence they may have, and – if their complaint has already been raised with the local authority – their reason for disagreeing with the local authority’s decision.
•    We may also ask the local authority in question for any investigation notes and responses.

4.9 From there we are able to make a decision whether to investigate the issue.

Decision whether to investigate

4.10 The process may include:  
•    clarifying whether the case relates to a potential contravention of the OSRs 
•    arranging initial enquiries where necessary 
•    redirecting cases that are not within scope of this procedure to the relevant authority 
•    explaining the reasoning for any decisions not to investigate

Planning

4.11 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 contraventions 
•    evaluating the extent of culpability of local authorities that may lead to recommendations for further action 

Conduct and management

4.12 Conducting and managing investigations includes suitable arrangements to:  
•    start the investigation within reasonable timescales 
•    ensure the health and safety of visiting staff 
•    identify and contact relevant parties such as complainants
•    take action in cases of contraventions 
•    establish the facts and the causes of the alleged contraventions
•    invite the local authority under investigation to make oral and/or written representations, as appropriate 
•    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   of proof     (the balance of probability) when considering formal action such as the removal or reduction of a local authority’s functions, or other actions as may be permitted under the scope of our statutory powers described in  Part 2A of the Building Act 1984.

Conclusion

4.13 Concluding an investigation considers the following activities: 
•    complete the investigation as soon as practicable
•    use the information and evidence collected to determine the investigation outcome including recommendations and/or sanctions
•    inform those investigated of the investigation outcome, including any follow-up action and rights of appeal 
•    inform other interested parties of the investigation outcome, as appropriate.