Operational Standard Rules & Professional Conduct Rules for Registered Building Control Approvers

The below statements outline how Sweco Building Control will meet the new Rules which have now replaced the previous Performance Standards.

The principles

RBCAs must:

  1. Act with honesty
  2. Act with integrity
  3. Maintain professional competence
  4. Deliver services with professional skill and care
  5. Uphold public trust and confidence in the provision of services and the profession
  6. Treat everyone fairly and act in compliance with your legal obligations

The standards

1. Complying with your legal, regulatory, and professional obligations

1.1 Sweco Building Control will comply with all relevant legal and regulatory requirements:

a) in the conduct of work

b) relating to the enforcement of compliance linked to restricted functions and

c) which apply to the conduct of your business activities, for example anti-money laundering, anti-bribery and corruption, data protection and Equalities Act 2010 (as amended)

1.2 Sweco Building Control will comply with our obligations to the regulatory authority under the professional conduct rules, including those as set out in the annexes and any obligations to other regulators, local authorities or professional bodies.

1.3 Sweco Building Control will comply with building regulations and statutory guidance published by the regulatory authority and the Department for Levelling up Housing and Communities and consider good practice where appropriate.

1.4 Sweco Building Control will maintain professional independence and impartiality in the conduct of work activities.

1.5 Sweco Building Control will not act in a manner that is likely to bring the building control profession into disrepute.

1.6 Sweco Building Control will take appropriate steps to ensure that activities undertaken by all individuals working for you or undertaking work on our behalf comply with relevant legal and regulatory requirements.

1.7 Where Sweco Building Control becomes aware of a breach of the Building Act 1984 (as amended) or associated legislation, such as the Building Safety Act 2022, Building Regulations 2010 (as amended) we will use the regulatory powers available to us to secure compliance. If Sweco Building Control are unable to secure compliance within a reasonable timescale, we will report non-compliant work to the relevant local authority.

1.8 Sweco Building Control will make sure that the terms ‘registered building control approver’, ‘RBCA’, ‘registered building inspector’ and ‘RBI’ are used accurately.

1.9 Sweco Building Control will make sure that terms ‘registered building control approver’, ‘RBCA’, conform to the terms of our registration.

2. Business requirements


Covering professional liabilities  

2.1 Sweco Building Control will only undertake work for which we, and any persons undertaking work on our behalf, are suitably insured.

2.2 Sweco Building Control will fully comply with our insurance requirements.

Financial propriety   

2.3 Sweco Building Control will ensure that professional finances are managed responsibly.

2.4 Sweco Building Control will ensure that we have appropriate accounting controls.

2.5 Sweco Building Control will have appropriate procedures in place to ensure that accounting controls are adhered to.

2.6 Sweco Building Control will not facilitate financial crime, including money laundering, terrorist financing, bribery and corruption or tax evasion.

2.7 Sweco Building Control will ensure that we have appropriate processes in place to prevent the facilitation of financial crime.

2.8 Sweco Building Control will not price fix or engage in anti-competitive practices.

2.9 Sweco Building Control will ensure that our professional costs are fair and proportionate.

Written policies and procedures  

2.10 Sweco Building Control will have clear and accessible written policies and procedures in relation to:

  • conflicts of interest
  • health, safety, and wellbeing
  • anti-money laundering, terrorist financing, anti-bribery and corruption
  • data protection
  • whistleblowing
  • complaints handling
  • learning and development
  • staff conduct
  • equality/equity, diversity, and inclusion

2.11 Sweco Building Control will ensure that all policies and procedures are up to date, reflecting current legislative requirements and guidance.

2.12 Sweco Building Control will ensure that relevant policies and procedures are provided to persons undertaking work on our behalf.

2.13 Sweco Building Control will have clear and accessible processes that enable persons to raise concerns under such policies as referred to in 2.10.

2.14 Sweco Building Control will ensure that we have processes and procedures in place to appropriately manage such concerns as referred to in 2.10 and resolve them in a timely manner.

Conflicts of interest   

2.15 Sweco Building Control will have processes in place to identify and record actual and potential conflicts of interest, both prior to the commencement of and during work activity.

2.16 Sweco Building Control will not agree to undertake work, or continue to undertake work, where a conflict of interest is identified and unresolved.

2.17 Where a conflict of interest is identified, Sweco Building Control will notify the applicant or agent and resolve or remove the conflict, if the conflict is unresolvable we will cease to act.

2.18 Sweco Building Control will publish our conflicts of interest policy and ensure that it is publicly accessible.

Use of technology and managing data  

2.19 Sweco Building Control will take steps to identify and mitigate any risks in relation to using relevant technology to support the delivery of our work.

2.20 In addition to complying with data protection requirements, we will take steps to ensure that commercial data is stored appropriately.

Whistleblowing

2.21 Sweco Building Control will publish a ‘speak up’ or whistleblowing policy that:

  • enables workers to raise concerns in confidence
  • is accessible
  • is visibly supported at the top of the organisation
  • is actively promoted within our organisation

2.22 Sweco Building Control will not act in a way which prevents or discourages whistleblowing.

2.23 Sweco Building Control will ensure that we implement effective processes and procedures to manage and resolve concerns raised under the whistleblowing policy.

2.24 Sweco Building Control will consider whistleblowing concerns that we receive fairly and keep records for at least 15 years from the date of report.

Complaints handling

2.25 Sweco Building Control will publish our complaints handling policy and ensure that it is accessible to any persons who have a valid need to access such policies.

2.26 Sweco Building Control will ensure that we implement effective processes and procedures to manage and resolve complaints in a timely manner.

2.27 Sweco Building Control will implement measures to monitor the effectiveness of our complaints handling procedures.

Culture, staff conduct and the conduct of persons undertaking work on your behalf 

2.28 Sweco Building Control will implement appropriate disciplinary processes and procedures to effectively address concerns in relation to staff conduct.

2.29 Sweco Building Control will implement appropriate processes and procedures to effectively address concerns raised in relation to the conduct of persons undertaking work on our behalf.

2.30 Sweco Building Control will provide appropriate information on how to report any concerns regarding modern slavery, labour abuse or abusive labour practices to persons undertaking work on our behalf.

2.31 Sweco Building Control will take steps to support an inclusive culture.

Learning and development  

2.32 In addition to the provisions contained in standard 3, Sweco Building Control will ensure that all employees are provided with regular and up-to-date continuing professional development (CPD) activities on:

  • data protection requirements
  • anti-money laundering and terrorist financing and anti-bribery, and corruption
  • equality, diversity, and inclusion
  • the BICoF
3. Professional competence and continuing professional development

3.1 Subject to standard 3.5 below, Sweco Building Control will only undertake work for which we (and relevant employees) are registered and have the necessary competence, unless under supervision.

3.2 Subject to standard 3.5 below, Sweco Building Control will ensure that any person undertaking work on our behalf is registered and has the necessary competence.

3.3 Sweco Building Control will ensure that any persons undertaking work on our behalf in a technical management role, or supervising the technical work of others, have the necessary competence and registration to do so.

3.4 Sweco Building Control will ensure that any persons undertaking work on our behalf who are developing their building control competence, are under the supervision of a registered and suitably competent RBI.

3.5 Sweco Building Control will take steps to ensure that employees undertaking work (including those under a programme of supervision) maintain their competence and comply with any CPD guidance issued by the regulatory authority.

3.6 Pursuant to standard 3.5, Sweco Building Control will ensure that employees undertaking work, and persons undertaking work on our behalf, are provided with:

  • relevant and up-to-date training and guidance
  • supervision and advice
  • a structured programme of learning and development including CPD guidance issued by the regulatory authority
  • sufficient time to reflect on their development needs formally and sufficient time to record the findings and planned actions to meet these needs in accordance with the CPD guidance

3.7 Sweco Building Control will monitor the effectiveness of processes and procedures in respect of learning and development, competence and CPD, including rates of participation.

3.8 Sweco Building Control will have processes in place that ensure that records of learning and development, competence and CPD activities undertaken are retained for 15 years. We will ensure such records are used to support former employees in demonstrating competence.

3.9 Sweco Building Control will take steps to ensure that persons undertaking work on our behalf maintain their competence and comply with CPD guidance issued by the regulatory authority.

3.10 Sweco Building Control will ensure systems are in place to enable employees (and persons undertaking work on our behalf, where relevant) to refresh their knowledge of the following policies at appropriate intervals:

  • conflicts of interest
  • insurance/professional liability arrangements
  • complaints handling
  • health, safety, and wellbeing
  • anti-money laundering, terrorist financing, anti-bribery, and corruption
  • data protection
  • whistleblowing
  • staff conduct
  • equality/equity, diversity, and inclusion
4. Standard of service

4.1 In the conduct of our work, Sweco Building Control will act:

  • fairly and objectively
  • diligently
  • conscientiously
  • in the best interests of the public when dealing with individuals, other professions, or the building control profession

4.2 In the conduct of our work, Sweco Building Control will:

  • apply effective governance arrangements
  • be accountable for our decisions
  • be accountable for the duties and tasks delegated to persons in our organisation or persons contracted by our organisation included within governance arrangements
  • be accountable for work undertaken on our behalf

4.3 Sweco Building Control will ensure that there are appropriate measures in place to actively manage, quality assure and supervise work activities.

4.4 Sweco Building Control will make sure persons undertaking work on our behalf understand:

  • their assigned roles
  • their responsibilities
  • any limitations or conditions that apply to them; and
  • that they must notify us of any changes to the limitations and conditions that might apply to them

4.5 Sweco Building Control will ensure that professional advice or decisions are not inappropriately influenced by self-interests, prejudice, bias, or personal agendas.

4.6 Sweco Building Control will not agree to undertake work that we do not have the organisational competence, time and/or resources to complete.

5.Engaging with applicants or agents

5.1 Sweco Building Control will establish the identity of our applicant or agent and ensure we record the services being requested and explain the services we can provide.

5.2 Sweco Building Control will confirm and state any limitations and conditions that apply to our registration as an RBCA.

5.3 Sweco Building Control will not undertake any work until the applicant or agent has been provided with, and agreed in writing to the provisions of, the terms of engagement letter, as detailed in annex 2.

5.4 Sweco Building Control will inform the applicant or agent if there are any changes to the terms in relation to their work. This includes cost or time estimates where we are made of aware of any changes.

5.5 Sweco Building Control will be clear and transparent in our policies and procedures and in the explanation of those policies and procedures and as to how our work is undertaken. We will record and explain:

  • how our decisions have been made
  • how they can be challenged
  • the process used to resolve issues

5.6 Sweco Building Control will treat information obtained from the applicant or agent as confidential and only disclose if one or more of the following apply:

  • in the prosecution or defence of legal proceedings
  • with express written consent of the applicant
  • when required or authorised to do so by law
  • to report a crime or breach of building control regulations

5.7 Sweco Building Control will make the applicant or agent aware we may be required to disclose information to the regulatory authority, local authorities and other regulators.

5.8 Subject to any right to retain pending payment, Sweco Building Control will provide the applicant with all material information and a copy of their file upon request. This standard does not require the disclosure of any information which cannot be lawfully disclosed.

5.9 Sweco Building Control will record and retain all:

  • evidence
  • instructions
  • advice
  • professional judgements and decisions

Relating to the work activities carried out for 15 years from the date of instruction or in accordance with our insurance policies, whichever is longer.

Annex 1: obligations to the regulatory authority under these professional conduct rules

1.1 Sweco Building Control will co-operate with the regulatory authority. We will provide information when requested by the regulatory authority in accordance with relevant statutory timescales.

1.2 Information provided to the regulatory authority must clearly show:

  • how decisions have been made
  • how opinions have been reached and
  • be suitable for inspection and regulatory purposes

1.3 Sweco Building Control will comply with the scope of our registration and any conditions applied to our registration by the regulatory authority. Failure to comply may result in the regulatory authority taking enforcement action and could affect our registration.

Rules of registration

1.4 Sweco Building Control will appoint and maintain a “main contact” to represent us in our dealings with the regulatory authority.

1.5 The main contact will be an owner, director, partner or employee of Sweco Building Control of sufficient level and authority to be able to represent Sweco Building Control in its dealings with the regulatory authority, for example notification and liaison regarding inspection, investigation and sanctions and maintaining our registration details.

1.6 Sweco Building Control will ensure our registration details are accurately maintained and updated with any relevant changes.

1.7 Sweco Building Control will notify the regulatory authority in writing within 28 days in the event of any changes to information relevant to our registration, including the following, a change:

  • of management structure
  • of director or partner
  • of ownership
  • to the main contact for Sweco Building Control
  • to our business address and details

1.8 Sweco Building Control will submit a request to the regulatory authority to vary our registration, via the change request process, if we:

  • want to change our class of registration and/or categories of work
  • no longer wish to be on the register of RBCAs

1.9 Sweco Building Control will not transfer a “registration” from one legal entity to another (for example, to a different company).

1.10 Sweco Building Control will maintain adequate insurance and provide a copy of our insurance certificate to the regulatory authority whenever requested.

1.11 Sweco Building Control will pay due regard to guidance issued by the regulatory authority.

1.12 Sweco Building Control will notify the regulatory authority in writing as soon as reasonably possible and within 14 days of any conduct by our own organisation which we are aware, or become aware of, which is potentially:

  • a contravention of the professional conduct rules
  • professional misconduct under the code of conduct for RBIs
  • likely to bring the building control profession into disrepute
  • a contravention of the operational standards rules

1.13 Sweco Building Control will notify the regulatory authority in writing as soon as reasonably possible and within 14 days if we or relevant persons (business or senior personnel) are:

  • deemed by a court, tribunal or regulatory authority to have acted in breach of, or failed to comply with a relevant legal obligation in the course of conducting your work or business activities
  • convicted of a relevant criminal offence or offence under part 2a of the Building Act 1984
  • subject to a relevant pending criminal prosecution

1.14 Sweco Building Control will notify the regulatory authority in writing as soon as reasonably possible and within 14 days of instances of financial impropriety of which we are aware, or become aware of. For example, the failure to adhere to requirements in relation to:

  • anti-money laundering
  • terrorist financing
  • anti-corruption and bribery
  • tax evasion
  • price fixing
  • anti-competitive practices
  • overcharging

1.15 Sweco Building Control will notify the regulatory authority in writing within 28 days of any findings of modern slavery, labour abuse or abusive labour practices.

1.16 Relevant persons include employees, those undertaking work on behalf of Sweco Building Control, directors or employees of directors.  Sweco Building Control will notify the regulatory authority in writing within 28 days if we or relevant persons (holding financial controls):

  • enter into a company voluntary arrangement or individual voluntary arrangement
  • are placed in administration or wound up
  • become subject to a debt relief or administration order
  • are declared bankrupt
  • are struck off as a director

1.17 Sweco Building Control will notify the regulatory authority in writing as soon as reasonably possible and within 14 days if we or relevant persons are subject to disciplinary findings by another regulator or professional body.

1.18 Sweco Building Control will notify the regulatory authority in writing as soon as reasonably possible and within 14 days of any informal or formal findings of misconduct under our organisation’s staff conduct policies and procedures.

Annex 2: provision of information to applicants or agents

To comply with our obligations under standard 5, we must provide each applicant or agent with a terms of engagement letter which contains the following information:

  • a clear summary of the services you will provide
  • the name of the RBI responsible for supervising or conducting the work (specify if this is subject to change)
  • any conditions on our registration, or the registration of the RBI responsible for supervising or conducting the work
  • a time estimate required for us to complete the work or if staged, the estimate for when work will be undertaken in relation to each stage (we will specify if this is subject to change)
  • a clear and transparent description of our fees and charges
  • details of any relevant referral fees that we pay or receive
  • a total cost estimate for the completion of our work
  • a description of how the applicant’s information will be used and reference to how they can obtain our data protection policy
  • details of our complaints policy and how they can raise a complaint
  • details of the relevant insurance or professional liability cover held by us and/or our employees
  • a clear statement that those delivering the building control function are regulated by the regulatory authority

Annex 3: registration conditions

3.1 The regulatory authority has the power to set conditions on an RBCA’s registration under section 58O of the Building Act 1984 (as amended).

3.2 Conditions may be imposed at registration, when a registration is varied and/or as a result of sanctions and enforcement action by the regulatory authority.

3.3 Conditions may be applied to every business that registers as an RBCA, or to a specific RBCA based on their particular circumstances.

3.4 Conditions may, for example, include restrictions on the geographical area we can work in, requirements to revise policies and procedures, or action to support the good standing of the profession.

3.5 Conditions will be applied and removed solely at the discretion of regulatory authority.

3.6 Sweco Building Control will comply with any conditions set by the regulatory authority on our registration. Failure to comply with a condition may result in the regulatory authority taking enforcement action and could affect our registration.

Annex 4: acting within the scope of your registration

4.1 To comply with annex 1 obligation 1.3, we must act within the “scope of our registration”. The scope of our registration is the building control work we, as a business, are registered to undertake.

4.2 To comply with standards 3.1 and 3.2 of the professional conduct rules, we must ensure that we only use RBIs with the appropriate “scope of registration” for the building control work they will undertake.

4.3 An RBI’s “scope of registration” includes the class, categories of work and restricted activities they are registered to undertake, as defined in annex 4 of the code of conduct for RBIs.

4.4 RBIs cannot undertake work outside the scope of their registration, as set out in standard 3.3 and 3.4 of the code of conduct.

4.5 Restricted activities are defined in the Building (Restricted Activities and Functions) (England) Regulations 2023 and are broadly defined as plans assessment and inspection.

Changes to the ‘Building Control Performance Standards’

The Building Control Performance Standards have now been replaced by the Operational Standard Rules and Professional Conduct Rules for Registered Building Control Approvers, which came into force as part of reforms under the Building Safety Act 2022. These new rules provide clearer regulatory expectations and professional obligations for Registered Building Control Approvers (RBCAs), aligning the profession with modern safety and accountability standards.