Policy in relation to compliance with Regulation 3 of the Building (Registered Building Control Approvers etc.) (England) Regulations 2024

 

Introduction

Harwood Building Control Ltd (HBC) will always look to deliver its services to its clients whilst maintaining the highest standards of independence, professional ethics and professional standards.  This is in accordance with The Health and Safety Executive, as the Building Safety Regulatory (BSR) Authority, Code of Conducts for Registered Building Control Approvers (RBCA) and Registered Building Inspectors (RBI), associated legislation and the requirements of Regulation 3 of The Building (Registered Building Control Approvers etc.) (England) Regulations 2024. HBC shall ensure independence of its building control functions and have no professional or financial interest in the work it supervises.

 

Aim of Policy

The aim of this policy is to define HBC policy for compliance with Regulation 3 and the process for checking that its staff and Professional Consultants have no professional or financial interest in projects, on which it is undertaking the Building Control function.

 

The Policy

 HBC aims to ensure independence of its Building Control functions and will have no professional or financial interest in works as defined within Regulation 3 of The Building (Registered Building Control Approvers etc.) (England) Regulations 2024.

Following appointment of HBC staff and Professional Consultants a formal contract/service agreement will be issued, at which time full consideration will be given to the requirements of Regulation 3, prior to any works being undertaken on behalf of HBC as appropriate.

Any deviation from the Contract of Employment, withholding of any relevant information by a member of staff or the Professional Consultant, either before or after the contract comes into force, will be considered to be a breach of the contact and will be subject to HBC’s disciplinary procedures.

HBC will cease to act immediately in the capacity of the RBCA for the works, if it is found that a professional or financial interest exists. If HBC is already carrying out the Building Control function, then it will not undertake any other design or support service for the project.

HBC staff and Professional Consultants are required to operate under HBC’s Quality Management System, it’s Quality Policies and Operating Procedures (Work Instruction Sheets) detailing compliance with the appropriate regulations.

HBC staff will be provided with Staff Appraisal Performance Reviews and compliance with the requirements of the regulations will be reviewed as part of this process.

HBC’s Professional Consultants will be provided with service performance reviews and compliance with the requirements of the regulations will be reviewed as part of this process. In addition, Professional Consultants are provided with a copy WIS 019 Regulation 3 for their review and understanding.

HBC will operate a policy of full disclosure and co-operation with the BSR in the event of any investigations in relation to the policy and it’s procedures.

HBC’s Management review processes, it’s monthly office meetings, monthly management meetings and Quarterly Board Meetings all form a fundamental part of it’s Quality Management Review process, as part of its Quality Management System. The Management Review Process will be the formal process for reviewing and auditing HBC’s policy, current status and legal position regarding compliance with the Regulation(s).

 

Process for checking HBC staff and Professional Consultants have no professional or financial interest in projects that HBC are undertaking the Building Control function.

 

HBC Staff

All members of HBC’s staff will be directly appointed by it’s Senior Management Team. At this time the roles and responsibilities of individual members of staff will be discussed and agreed in relation to compliance with the requirements.

Employment contracts should reflect the requirements of Regulation 3, requiring that staff will have no professional or financial interest in projects on which HBC are undertaking the Building Control function. Any deviation from this will constitute a breach of contract and staff will be subject to HBC’s disciplinary procedures.

Should it be established that a member of staff is found to have a professional or financial interest in the works on which HBC is undertaking the Building Control function, then HBC will cease to operate in the capacity of the RBCA for the works. If HBC is already carrying out the Building Control function, then it will not undertake any other design or support service for the project.

HBC’s Policy, Operating Procedures and a Work Instruction Sheet (WIS 019 – Regulation 3) will reference the requirements of Regulation 3 regarding staff having no professional or financial interest in works on which HBC are undertaking the Building Control function.

HBC’s staff appraisal system will be an opportunity for staff to discuss any issues in relation to compliance with the regulations and indeed for senior management to seek any necessary assurances regarding this issue. The staff appraisal will include a review of the above Operating Procedures.

HBC’s management structures within its offices and it’s ‘flat management structures’, lends itself to its senior managers having a close working relationship with its staff and a fundamental awareness of the projects on which they are allocated. Whilst this may not always be the case as the organisation expands and develops, this will always be kept under constant review.

HBC staff will be bound by the full requirements of ‘The Policy’ above.

 

Professional Consultants

All Professional Consultants will be directly appointed by it’s Senior Management Team. At that time the roles and responsibilities of the Professional Consultant will be discussed and agreed in relation to compliance with the requirements. This will be clearly established prior to any formal appointment and any work being undertaken on behalf of HBC.

Agreements will include reference to the requirements of Regulation 3 requiring that Professional Consultants have no professional or financial interest in projects on which HBC is undertaking the Building Control function. Any deviation from this will constitute a breach of contract and Professional Consultants will be subject to HBC’s disciplinary procedures.

Should it be established that a Professional Consultant is found to have a professional or financial interest in the works on which HBC are undertaking the Building Control function, then HBC will cease to operate in the capacity of the RBCA for the works. If HBC is already carrying out the Building Control function, then it will not undertake any other design or support service for the project.

HBC’s Policy, Operating Procedures and Work Instruction Sheet (WIS 019 – Regulation 3) will make reference to the requirements of Regulation 3 regarding Professional Consultants having no professional or financial interest in works on which HBC are undertaking the Building Control function.

The Professional Consultants service review will be an opportunity for the consultant to discuss any issues, in relation to compliance with the regulations and indeed for senior management to seek any necessary assurances regarding this issue. The Professional Consultants appraisal will include a review of the above procedures.

The selection, control, review and auditing of HBC’s Professional Consultants and the centralised controls it maintains, in respect of all aspects of it’s procedures and service delivery to it’s clients, lends itself to its senior managers having a close working relationship with it’s consultants and a fundamental awareness of the projects on which they are allocated. Whilst this may not always be the case as the organisation expands and develops this will always be kept under constant review.

Professional Consultants will be bound by the full requirements of ‘The Policy’ above.

 

Conflict of Interest Register

HBC operates a Conflict of Interest Register (Guidance Note 1/25) whereby Staff and Professional Consultants are encouraged to express any potential company Conflicts of Interest, no matter how minor or trivial they seem, for review by the Senior Management Team.

 

Revision 05 – 29/05/2025