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1. Introduction

The reportable data and key performance indicators (KPIs) for building control bodies (BCBs) support the draft Operational Standards Rules (OSRs).

The reportable data and KPIs are intended to identify whether BCBs are operating efficiently and effectively, that resources are appropriately targeted and that BCBs are delivering their purpose to ensure dutyholders 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.

2. Key performance indicators (KPIs)

KPI 1 building control functions

Building control bodies (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

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 ensure dutyholders are being treated in a consistent manner to achieve compliance with the law.

Purpose

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

Local authority building control and Registered Building Control Approver: Statutory consultees

1.1       Duty to consult with the Fire and Rescue Authority/Service (FRA/FRS) under the Regulatory Reform (Fire Safety) Order 2005 in relation to buildings or parts of buildings to which the Fire Safety Order applies:

  • Local authority: number of plans notified to FRA/FRS as the enforcing authority where a decision was reached to approve the full building control approval application in less than 15 working days and without having received the advice of the FRA/FRS
  • Registered Building Control Approver: number of plans certificates issued less than 15 days from the date on which the Registered Building Control Approver requested consultation from the FRA/FRS where no response was received

1.2       Duty to consult with the sewerage undertaker under the Building Regulations 2010 regulation 15, where full building control approval applications are deposited with the local authority; or under Regulation 13 of the Building (Approved Inspectors) Regulations 2010 in respect of work in relation to H4 of Schedule 1 that imposes the requirement to consult:

  • Local authority: number of plans where a decision was reached to approve the full building control approval application in less than 15 working days and without having received the advice of the sewerage undertaker
  • Registered Building Control Approver: number of plans certificates issued less than 15 days from the date on which the Registered Building Control Approver consulted the sewerage undertaker where no response was received

Local authority building control (building control approval application process):

1.3       Number of full building control approval applications received. Include number of residential/commercial units in each application.

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

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

1.6       Number of full plans assessed and approved with conditions.

1.7       Number of rejections due to non-compliance with the Building Regulations 2010 identified at the full plan assessment stage.

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

1.9       Number of regularisation certificates applied for.

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

  • number of full completion certificates issued for completed build
  • number of partial completion certificates issued and reason for the issue of a partial completion certificate
  • number of builds for which a completion certificate is not issued following a final inspection

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

1.12     Number of higher-risk buildings in-flight (deposit of full plans by the day the new regime comes into force and work has commenced) within 6 months of the new regime coming into force.

Registered Building Control Approver:

1.13     Number of initial notices submitted to the local authority.

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

1.15     Number of initial notices cancelled/withdrawn by Registered Building Control Approvers because of unresolved contravention(s) and provide details.

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

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

  • number of full final certificates issued for completed builds
  • number of partial final certificates issued and provide the reason for the issue of partial final certificate
  • number of builds for which a final certificate is not issued following a final inspection

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

1.19     Number of higher-risk buildings in-flight (initial notice submitted by the day the new regime comes into force and work has commenced) within 6 months of the new regime coming into force.

KPI 2 enforcement and interventions

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

Requirement

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

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

Local authority building control:

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 dutyholders 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.

2.3       Number of notices served where work contravened Building Regulations 2010, and a notice was served under Section 36 of the Building Act 1984 requiring dutyholders to alter or remove offending work.

Registered Building Control Approver:

2.4       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.

2.5       Number of initial notice reversions to the local authority due to the Registered Building Control Approver being unable to carry out their function.

Annual reportable data

Local authority building control and Registered Building Control Approver (annual snapshot of interventions covering a pre-agreed 4-week period):

2.6       Number of contraventions found during inspections and details of action taken.

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

2.8       Number of preventative or corrective interventions taken that enabled the dutyholder 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

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

Purpose

To monitor the effectiveness of BCB risk management processes.

Quarterly reportable data

Local authority building control and Registered Building Control Approver:

3.1       Number of builds identified as non-standard (as opposed to common builds) following the assessment of full plans building control approval applications 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 (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 the guidance set out in the Approved Documents as a means of complying with the Building Regulations 2010 and requires the use of other recognised standards.

KPI 4 competence (knowledge and expertise)

100% of restricted activities are carried out by appropriately Registered Building Inspectors (RBIs).

95% of building control professionals (includes both RBIs and non-RBIs) delivering the BCBs activities have evidenced their competence and experience within a 12-month review cycle.

Requirement

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

To assess building control bodies 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

Local authority building control and Registered Building Control Approver

4.1       Competence:

  • total number of Registered Building Inspectors (RBIs)
  • provide the total number of RBIs identified by class:
    • number of class 1 building inspectors
    • number of class 2 building inspectors
    • number of class 3 building inspectors
    • number of 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 continuous professional development/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

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

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

Annual reportable data

Local authority building control and Registered Building Control Approver:

5.1       Process management system:

  • BCBs have in place a quality management system accredited by an external body (yes/no). Provide the name and reference of the quality management system

5.2       Auditing activities:

  • number of planned internal audits against the quality management 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

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

Purpose

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

Annual reportable data

Local authority building control and Registered Building Control Approver:

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 Registered Building Control Approvers) or the Public Services Ombudsman for Wales (for local authorities), provide details of the outcome

3. Reporting method

The development of a digital solution is in progress. The regulatory authority will provide information on the digital solution and if required any transitional arrangements for data reporting.

4. Explanatory note

This explanatory note is advisory and should provide assistance to building control bodies in both collating and reporting the data requirements set out in the monitoring arrangements that support the Operational Standards Rules (OSRs).

Have regard for views expressed by a statutory consultee

Building (Approved Inspectors etc.) Regulations 2010 and Building Regulations 2010. The statutory requirement in the legislation is for building control bodies (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.

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 functions

In relation to building control authorities, section 46A of Part 3 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 a registered building inspector.

Section 54B of the Building Act 1984 makes the same provision in relation to Registered Building Control Approvers. The purpose of these provisions is to ensure that local authorities and Registered Building Control Approvers take advice from individuals who have demonstrated relevant expertise before important building control decisions are taken. These restricted functions will be set out in secondary legislation.

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 the regulatory authority, BCBs and registered building inspectors (RBIs) to identify the size and scale of the building and its relationship to other buildings, roads, drains, sewers etc.

Standard and non-standard building(s)

As part of the risk assessment/risk management approach the building control professional should identify if a building or project is standard or non-standard.

The following examples are not exhaustive and are possible indicators of standard and non-standard (for guidance only and to assist BCBs). A standard building could cover common construction methods such as cavity masonry, timber frame, or solid masonry. Non-standard builds could include those buildings not fitting the notional set of common and long-established building methods, for example, modular construction, panel systems, or cross-laminated timber.

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.