Policy paper

Building Safety Regulator disciplinary and sanctions procedure

Published 23 July 2026

Applies to England and Wales

Introduction

The Building Safety Regulator (BSR) is responsible for regulating the building control profession in England under the Building Safety Act 2022.

Pursuant to an agency agreement with Welsh ministers made under section 83 of the Government of Wales Act 2006, BSR also carries out certain functions on behalf of Welsh ministers under the Building Act 1984. These functions include the regulation of professionals and building control approvers registered in Wales.

References to BSR throughout this procedure therefore apply in both capacities, and this procedure applies to registered building inspectors (RBIs) and registered building control approvers (RBCAs) in both England and Wales.

1. Overview

1.1 The disciplinary and sanctions procedure explains how we, BSR, will:

• determine whether a registered building inspector (RBI) is guilty of professional misconduct

• determine whether a registered building control approver (RBCA) has contravened the Professional conduct rules for registered building control approvers

• determine whether sanctions are appropriate and what level they should be

1.2 Where a matter is referred to the disciplinary stage, we will apply this procedure following investigation into allegations relating to any of the following: 

• an RBI whose conduct may have fallen short of the conduct and practice expected

• an RBI who may have acted in a manner likely to bring the building control profession into disrepute

• a RBCA whose conduct may have contravened the professional conduct rules

1.3 Any individual involved in the process may request reasonable adjustments to support their participation. All requests will be given due consideration.

1.4 The burden of proof will be on BSR where the disciplinary officer and disciplinary panel must determine issues of fact.

1.5 Where the disciplinary officer or disciplinary panel are satisfied, on the balance of probabilities, that it is more likely than not, that an allegation is proved, they will decide whether to issue any sanctions, and if so, the type of sanctions. See section 8 on determining the nature of the sanction.

2. Staged approach

We adopt a staged approach to ensure disciplinary decisions are fair, proportionate and transparent. Each stage has a distinct purpose and outcome.

2.1 Purpose of each stage

Disciplinary stage 1: Disciplinary officer review

Stage 1 is not merely triage. The disciplinary officer will review the case on the papers, considering the evidence in the ‘disciplinary bundle’ explained in 4.5 and 4.5a, and decide whether the matter:

• can be determined at stage 1, typically lower-level or straightforward cases
• should be referred to stage 2 for consideration by a disciplinary panel

If the matter is to be determined by a disciplinary panel, the disciplinary officer will decide if the matter will be determined at a meeting or a hearing.

Where the disciplinary officer determines the case, they will make findings of fact, determine whether the allegation or allegations are proved or not proved and impose sanctions or alternatives as appropriate. See section 6.

If the allegations are not found proved at stage 1, the process will end, and no sanction will be applied. For cases that are referred to a disciplinary panel, no findings will be made by the disciplinary officer.

Where appropriate, the disciplinary officer may also make recommendations to the RBI or RBCA to improve their practice, as stated in 6.3.

Disciplinary stage 2: Disciplinary panel

Stage 2 will be convened only where one or more of the following circumstances apply:

• the disciplinary officer considers the seriousness or complexity of the case requires a disciplinary panel decision
• the disciplinary officer considers that fairness or public interest demands a hearing

The disciplinary panel will make findings of fact, determine whether the allegation or allegations are proved or not and impose sanctions as appropriate. See section 7. If the allegation or allegations are not found proved at stage 2, the process will end, and no sanction will be applied.

Where appropriate, the disciplinary panel may also make recommendations to the RBI or RBCA to improve their practice, as stated in 7.31.

2.2 Relationship between stages

Stage 1 acts as the gateway to stage 2. There is no duplication of determination. If stage 1 resolves the case, the process ends. If stage 1 refers the case, the disciplinary panel makes the first and only determination on the facts and sanctions at stage 2.

2.3 We will refer to the following policies and procedures to guide our decision making:

• Building Safety Regulator enforcement policy statement
• Code of conduct for registered building inspectors
• Professional conduct rules for registered building control approvers

2.4 Timescales for these stages 

Both stages will be concluded within the shortest practicable timescales considering complexity and fairness. See section 12, Timescales for disciplinary cases.

3. Our approach to sanctions

3.1 A decision to issue a disciplinary order will not be considered unless an allegation against an RBI or RBCA is proven. In such circumstances, the disciplinary officer or disciplinary panel may choose to issue one or more disciplinary orders.

3.2 Prior to issuing any disciplinary order, the disciplinary officer or disciplinary panel will carefully consider whether alternative measures are suitable to the circumstances. For example, they may make a recommendation to undertake a course of training or to improve existing systems. Alternative enforcement may also be used in the form of a letter of contravention. This will be determined on a case-by-case basis. See 7.33 on alternatives to sanctions.

3.3 Decisions regarding sanctions will be made in the public interest. Sanctions imposed will be fair, reasonable and proportionate. They will take into account the seriousness of the misconduct or contravention and other relevant factors, including aggravating and mitigating factors.

The disciplinary officer or disciplinary panel will consider the purpose of sanctions, which may include, but are not limited to the following:

• the protection of the public
• to maintain public confidence in the building control profession
• to secure and maintain compliance with legal and regulatory requirements
• to hold individuals or organisations to account
• to remove any financial or other benefit arising from the professional misconduct or contravention
• to deter any repeat of the professional misconduct or contravention and deter others from misconduct or contraventions

3.4 The disciplinary officer or disciplinary panel may issue one or more disciplinary orders:

• a financial penalty of a specified sum
• a variation of the registration
• a suspension of the registration for a specified period
• cancellation of the registration from a specified date

4. Referral into the disciplinary process

4.1 On the conclusion of an investigation case, a matter may be referred into the disciplinary process. A referral is likely to be made when either ‘a)’ or ‘b)’ apply and ‘c)’ also applies:

a) evidence indicates an RBI may be guilty of professional misconduct

b) evidence indicates an RBCA may have contravened the professional conduct rules

c) there is a likelihood that a sanction may be required to address the alleged misconduct or contravention

4.2 The RBI or RBCA will be informed of referral into the disciplinary process at the conclusion of the investigation.

4.3 Once referred into the disciplinary process, the RBI or RBCA will be provided with:

• the nature of the allegation or allegations
• a copy of the disciplinary procedure
• a copy of the evidence
• an opportunity to indicate admission or denial of the allegation or allegations
• an opportunity to provide written submissions, including submissions on whether the matter should be dealt with at stage 1 by a disciplinary officer or stage 2 by a disciplinary panel, at a meeting or a hearing
• financial assessment information request

4.4 The RBI or RBCA will, upon receipt of the information listed above, be given 28 days to submit any further evidence and written submissions. This will include submissions on whether the matter should be dealt with at stage 1, a disciplinary officer, or stage 2, a disciplinary panel at a meeting or a hearing.

Provision of a disciplinary bundle

4.5 Following the period for submissions outlined in 4.4, a ‘disciplinary bundle’ will be sent to the RBI or RBCA and the disciplinary officer. The bundle will comprise:             

a) the identity of the RBI or RBCA the allegation or allegations relate to

b) the nature of the allegation or allegation or allegations

c) copies of all evidence

d) copies of any written submissions received from the RBI or RBCA, including submissions on whether the matter should be dealt with at stage 1 by a disciplinary officer or stage 2 by a disciplinary panel at a meeting or a hearing

e) the RBI or RBCA’s response to whether they admit or deny the allegation or allegations, in part or in entirety

f) financial assessment information

4.5a The disciplinary bundle will also include confirmation that the RBI or RBCA has been:

• notified of the conclusion of the investigation
• informed of the disciplinary procedure
• notified of the allegation or allegations
• provided with copies of the evidence
• provided opportunity to indicate admission or denial of the allegation or allegations
• provided opportunity to provide written submissions and any documents they intend to rely upon to support their case

Admissibility of evidence

4.6 The disciplinary officer or disciplinary panel may consider any evidence it considers fair and relevant to the case before it, whether or not such evidence would be admissible in a court of law.

4.7 Any questions relating to the admissibility of evidence will be determined by the disciplinary officer or disciplinary panel.

Receiving evidence

4.8 The disciplinary officer or disciplinary panel may receive documentary evidence and, at hearings, oral evidence. Evidence will not be taken on oath.

5. Stage 1: Disciplinary officer case review 

5.1 The disciplinary officer will consider the case on the papers in private and decide, having taken into account any submissions made by the RBI or RBCA, whether the matter should be determined by a disciplinary officer or a disciplinary panel at either a meeting or a hearing.

5.2 Where serious or complex factors are present, the disciplinary officer may refer the case to a disciplinary panel. If referred, no findings will be made by the disciplinary officer.

A referral is likely to be made where any of the following circumstances are present:

• where harm has occurred attributable to the alleged misconduct or contravention
• where the alleged misconduct or contravention is so serious that it may lead to a cancellation of the RBI or RBCA’s registration
• where the allegations relate to repeated misconduct or contravention
• where there is evidence to indicate a careless disregard of the code of conduct or professional conduct rules
• where there has been a failure to comply with an information notice under section 58G and section 58S of the Building Act 1984, as amended (the act)
• where there has been intentional obstruction by the RBI or RBCA to the investigation
• where the alleged misconduct or contravention relates to a criminal offence including cases where there is evidence of a potential criminal offence arising from the investigation
• any other serious matter that, in the opinion of the disciplinary officer, requires consideration by a disciplinary panel

5.3 Matters referred to a disciplinary panel will, by default, be determined at a meeting. However, when deciding whether to convene a hearing, the disciplinary officer may consider factors including, but not limited to:

• whether a hearing is necessary to test the reliability, credibility and or integrity of evidence
• whether a hearing is necessary due to a dispute of facts which are material to the alleged misconduct or contravention
• if the disciplinary officer determines that it is appropriate in the interests of justice to convene a hearing

5.4 At any stage prior to reaching a decision, the disciplinary officer may request such clarification or additional information as is reasonably necessary to understand the matters before them. Any such request will be proportionate and will not generally require a party to obtain new evidence beyond that already available to them.

5.5 Where the disciplinary officer refers a case to a disciplinary panel, they will provide the disciplinary panel and the RBI or RBCA with a short report explaining the reasons for the case to be determined by a disciplinary panel at either a meeting or hearing.

5.6 The disciplinary panel will be provided with the disciplinary bundle, as described in 4.5 and 4.5a.

6. Stage 1: Cases determined by the disciplinary officer

6.1 Where the disciplinary officer has decided that a case can be determined by a disciplinary officer, they will review the information in the disciplinary bundle. They will assess it, including against any applicable standards set out in the code of conduct or professional conduct rules and any relevant legislation.

In a case involving an RBI they will decide whether, on the balance of probabilities, the RBI is guilty of professional misconduct because one of the following applies:

a) their conduct has fallen short of the standards set out in the code of conduct

b) they have acted in a manner likely to bring the building control profession into disrepute

In a case involving an RBCA, they will decide whether, on the balance of probabilities, an RBCA’s conduct has contravened the professional conduct rules.

Allegations not proved

6.2 If the disciplinary officer finds the allegation or allegations are not proved, the RBI or RBCA will be informed of the outcome, and the disciplinary process will come to an end.

6.3 The disciplinary officer may choose to make recommendations to the RBI or RBCA to improve their practice.

Allegations proved

6.4 Allegations will be found proved where the disciplinary officer finds, on the balance of probabilities, that an RBI is guilty of professional misconduct because one of the following applies:

a) their conduct has fallen short of the standards set out in the code of conduct

b) they have acted in a manner likely to bring the building control profession into disrepute

In a case involving an RBCA, allegations will be found proved where the disciplinary officer finds, on the balance of probabilities, an RBCA has contravened the professional conduct rules.

Alternative to sanctions

6.5 Before deciding to impose any sanctions, the disciplinary officer will consider whether an alternative measure is suitable to the circumstances. See 7.33 on alternatives to sanctions.

Issuing sanctions

6.6 In the event that the disciplinary officer determines that an alternative to sanctions is not appropriate to the case, they will proceed to decide the appropriate sanctions. See section 8 on determining the nature of the sanction.

7. Stage 2: Referral to a disciplinary panel

Disciplinary panel composition

7.1 The disciplinary panel will be composed of a legally qualified chairperson, a building control expert who is an RBI at class 2 or above and a third person who is not an RBI. All members of the disciplinary panel will be independent of the investigation. No members can hold any interest in or relationship to the RBI or RBCA under consideration.

All disciplinary panel members must declare any actual or potential conflicts of interest prior to participation. Both actual and perceived conflicts will be identified and managed in accordance with the established disciplinary and sanctions panel conflict of interest policy ^{[footnote 1]}. Any member found to have a conflict, whether actual or perceived, will not participate in the consideration or determination of the case.

Disciplinary panel meetings

7.2 Disciplinary panel meetings are heard in private on the papers, without the attendance of the RBI or RBCA.

7.3 The RBI or RBCA will be notified of the date and time of the disciplinary panel meeting at least 28 days^{[footnote 2]} before the date of the meeting. They will be given the opportunity to make any further representations relating to sanction.

7.4 An updated copy of the disciplinary bundle will be provided 14 days before the panel meeting or hearing.

Disciplinary panel hearings

7.5 By default, disciplinary panel hearings are conducted using video conferencing facilities and the RBI or RBCA is entitled to attend. By exception, a hearing may take place in person. Hearings will be conducted in line with any relevant policy or arrangements in place at the time.

7.6 A case management form will be sent to the RBI or RBCA to identify the issues in dispute and witness requirements. The RBI or RBCA will have 28 days to respond, including providing any further evidence or submissions.

7.7 The RBI or RBCA will be notified of the date, time and place of the disciplinary panel hearing at least 56 days^{[footnote 2]} before the date of the hearing.

7.8 An updated copy of the disciplinary bundle will be provided 14 days before the panel meeting or hearing.

Representation at hearings

7.9 In matters where a hearing is convened, the RBI or RBCA has the right to appear at the hearing. The RBI or RBCA will be provided the opportunity to make representations to the disciplinary panel and, with the leave of the chairperson, ask questions of witnesses. See 7.25.

7.10 The RBI or RBCA may choose to bring representation to support them during a hearing. This can be one of the following people:

• a legal representative
• a representative from a trade union or professional body of which the RBI or RBCA is a member
• any individual of their choice not in the first 2 categories, at the discretion of the chairperson

7.11 A legal representative must be authorised to practise as a solicitor, barrister, or Chartered Institute of Legal Executives (CLIEx) practitioner in England and Wales. They must hold a current practising certificate.

7.12 A representative of the RBI or RBCA should be able to:

• present the case to the disciplinary panel with independence, honesty, and integrity
• understand the disciplinary procedure and carry out their role fairly and effectively

7.13 Representatives of the RBI or RBCA may not give evidence at the hearing, other than with permission from the chairperson.

7.14 Where the RBI or RBCA does not have a legal representative, the chairperson will assist them in relation to:

a) any question of law or procedure

b) legal interpretation of the code of conduct and professional conduct rules

Non-attendance at hearing  

7.15 In the absence of the RBI or RBCA, or their representatives, at a hearing, the disciplinary panel may proceed, providing it:

• is satisfied that relevant notification has been provided
• is appropriate to do so
• has regard to the public interest and the rights of the RBI or RBCA

7.16 If any member of the disciplinary panel, other than the chairperson, is unable to continue during a hearing or attend an adjourned hearing date, the matter may either:

a) continue to be heard by the remaining disciplinary panel members at their discretion, but only with the consent of the RBI or RBCA or their representatives and relevant parties

b) continue to be heard by the remaining disciplinary panel members and a newly appointed member, but only with the consent of the RBI or RBCA, their representatives and relevant parties

c) be reheard by a newly appointed panel

Postponement of hearings

7.17 The RBI or RBCA, or any relevant party, may apply to the chairperson for a postponement of any stage. This application must be made by 4:00pm on the last working day before the first day of the hearing.

7.18 The chairperson will consider representations and may grant a postponement where they are satisfied that it is in the interests of ensuring a fair hearing.

Adjournment of hearings

7.19 The RBI or RBCA, any relevant parties to the matter, or any combination of these, may apply to the chairperson for an adjournment at any stage before the conclusion of the hearing.

7.20 The chairperson will consider representations and may grant an adjournment, where they are satisfied that it is necessary and in the interests of justice to do so.

7.21 The RBI or RBCA and relevant parties to the matter will be provided with reasonable notice of the date of the resumed hearing.

7.22 The disciplinary panel may adjourn a hearing of its own motion, provided it is satisfied that it is in the interests of justice to do so in all the circumstances of the case.

Panel proceedings

7.23 At any stage prior to reaching a decision, the disciplinary panel may request such clarification or additional information as is reasonably necessary to understand the matters before them. Any such request will be proportionate and will not generally require a party to obtain new evidence beyond that already available to them.

7.24 All disciplinary panel meetings and hearings will proceed as follows.

a) The chairperson will read out the particulars of the case, including the allegation or allegations and the identity of the RBI or RBCA the allegations relate to.

b) For matters heard on the papers, the chairperson will state whether the RBI or RBCA admit or deny the allegations, in part or entirely.

c) For hearings, the chairperson will ask the RBI or RBCA whether they admit or deny the allegations, in part or entirely. If the RBI or RBCA is not present, the chairperson will state whether the RBI or RBCA admit or deny the allegations, in part or entirely.

d) The disciplinary panel may adopt any method of procedure it considers fair, and which provides BSR and RBI or RBCA each an opportunity to present their case.

e) Decisions will be made unanimously, with each disciplinary panel member allowed a single vote. In exceptional circumstances, the chairperson can allow for a simple majority decision where the disciplinary panel cannot reach unanimous decision.

f) BSR may make an audio recording of the proceedings of a hearing. Upon written request and receipt of any costs associated with creating a copy of the recording or transcript, a copy or transcript of such recording shall be provided to the RBI or RBCA as soon as reasonably practicable. No other parties may make recordings of the hearing.

Witnesses at hearings  

7.25 The RBI or RBCA or BSR may call witnesses to provide oral evidence.

7.26 Other than with permission of the disciplinary panel, witnesses shall not be called where a witness statement has not been provided in advance and included in the disciplinary bundle.

7.27 Any witnesses called will be first examined by the party requesting their presence. The witnesses may then, with the leave of the chairperson, be cross-examined by the other party, before being re-examined.

7.28 Any witnesses called may be asked questions by the disciplinary panel.

Determining whether allegations are proved or not

7.29 The disciplinary panel will review the information in the disciplinary bundle and assess it to decide whether, on the balance of probabilities, the RBI is guilty of professional misconduct. This assessment will take into account any applicable standards set out in the code of conduct or professional conduct rules and any relevant legislation. 

The panel will decide whether the RBI is guilty of professional misconduct by assessing whether one of the following applies:

a) their conduct has fallen short of the standards set out in the code of conduct

b) they have acted in a manner likely to bring the building control profession into disrepute

In a case involving an RBCA, they will assess whether, on the balance of probabilities, an RBCA’s conduct has contravened the professional conduct rules.

Finding: allegations not proved

7.30 If the disciplinary panel determines the allegations are not proved, the RBI or RBCA will be informed of the outcome, and the disciplinary process will end.

7.31 The disciplinary panel may choose to make recommendations to the RBI or RBCA to improve their practice.

Finding: allegations proved

7.32a If the disciplinary panel determines on the balance of probabilities that an RBI is guilty of professional misconduct, the allegation or allegations will be proved.

7.32b If the disciplinary panel determines on the balance of probabilities that an RBCA has contravened the professional conduct rules, then the allegations will be proved.

Alternatives to sanctions

7.33 Before deciding to impose any sanctions, the disciplinary officer or disciplinary panel will consider whether an alternative measure is suitable to the circumstances.

Alternatives to sanctions may be considered where public protection can be achieved without the imposition of a formal sanction.

7.34 The disciplinary officer or disciplinary panel will consider several factors in deciding whether an informal resolution or non-statutory enforcement should be applied instead of sanctions. Factors that may be considered include, but are not limited to:

a) seriousness of the misconduct or contravention

b) level of harm or potential harm that occurred due to the misconduct or contravention

c) relevant previous conduct of the RBI or RBCA

d) level of cooperation offered by the RBI or RBCA during investigation

e) steps taken to implement suitable measures to prevent reoccurrence

f) early admission to misconduct or contravention

g) representations from the RBI or RBCA relating to sanctions

7.35 The disciplinary officer or disciplinary panel will apply the BSR enforcement policy statement to guide their decision making.

7.36 If the disciplinary officer or disciplinary panel decides not to impose any sanctions, they may recommend an alternative action to the RBI or RBCA. This could include, but is not limited to, measures outlined in 3.2. The RBI or RBCA will then be informed of the outcome, and the disciplinary process will end.

Sanctions

7.37 Where the disciplinary officer or disciplinary panel finds that an alternative to sanctions is not appropriate to the case, they will proceed to decide an appropriate sanction or sanctions.

8. Determining the nature of the sanction

8.1 In accordance with sections 58I and 58U of the act, the disciplinary officer or disciplinary panel can issue one or more disciplinary orders that:

a) require an RBI or RBCA to pay a financial penalty of an amount specified in the order

b) vary an RBI or RBCA’s registration in a way specified in the order

c) suspend an RBI or RBCA’s registration for a period specified in the order

d) cancel an RBI or RBCA’s registration from a date specified in the order

8.2 Where the disciplinary officer or disciplinary panel finds more than one allegation of misconduct or contravention proved against an RBI or RBCA, the disciplinary officer or disciplinary panel will consider imposing one or more disciplinary orders to address the totality of the misconduct or contravention.

8.3 The disciplinary officer or disciplinary panel will firstly need to make a preliminary decision on the nature of the sanction or sanctions to be imposed. When deciding this, the disciplinary officer or disciplinary panel will determine the seriousness of the misconduct or contraventions and consider the purpose of the sanction.

8.4 Seriousness will be determined by considering:

• the culpability of the RBI or RBCA
• the impact or potential impact of the misconduct
• any aggravating or mitigating factors arising in connection with the proven allegations, such as evidence of dishonesty or deception

Factors for considering seriousness

Factor one for considering seriousness: Culpability

8.5 Culpability will be assessed as either low, medium, or high. In assessing the level of culpability, the disciplinary officer or disciplinary panel will consider factors including, but not limited to, the following.

8.5a Low culpability: the RBI or RBCA did not fall far short of the requirements. Significant efforts had been made to comply with the relevant requirements.

8.5b Medium culpability: the RBI or RBCA fell short of the requirements. Some efforts had been made to comply with the relevant requirements, but these were insufficient. The misconduct or contravention arose due to the RBI or RBCA’s negligence.

8.5c High culpability: the RBI or RBCA fell far short of the requirements. Limited or no efforts had been made to comply with the relevant requirements. The misconduct or contravention was intentional or arose as a result of gross negligence.

Factor 2 for considering seriousness: Impact

8.6 Impact will be assessed as either low, medium, or high, considering the impact or potential impact that the misconduct or contravention has on relevant parties and on the reputation of the building control profession.  

Factor 3 for considering seriousness: Relevant aggravating and mitigating factors

8.7 The disciplinary officer or disciplinary panel will consider any relevant aggravating or mitigating factors that arise specifically in connection with the proven allegations.

These are distinct from wider aggravating or mitigating factors relevant to the RBI or RBCA which are considered after the preliminary decision on which type of sanction will be imposed. These wider factors include their response to the misconduct or contraventions and cooperation with BSR during an investigation.

Examples of factors which may be considered are listed in 8.8 and 8.9. These lists are not exhaustive.

8.8 Potentially aggravating factors related to the proven allegations may include where the misconduct or contraventions:

a) existed over a significant period

b) involved dishonesty

c) involved taking advantage of vulnerable parties

d) involved an abuse of professional position

8.9 Potentially mitigating factors related to the proven allegations may include where the misconduct or contraventions :

a) arose as a result of the actions or otherwise of a third party

b) existed over a short period

Determining the level of seriousness

8.10 Having determined the level of culpability and impact, and identified any relevant aggravating or mitigating factors, the disciplinary officer or disciplinary panel will determine a final seriousness category to the misconduct or contravention of low, medium or high.

Considering the purpose of sanctions 

8.11 In addition to determining the level of seriousness, the disciplinary officer or disciplinary panel will consider the purpose of the sanction, for example, to:

a) protect members of the public

b) maintain public confidence in the building control profession

c) secure compliance with legal and regulatory requirements

d) hold individuals or organisations to account

e) remove any financial or other benefit from the professional misconduct or contraventions

f) deter any repeat of the professional misconduct or contravention and deter others from misconduct or contraventions

8.12 Taking into account the level of seriousness and the purpose of the sanction, the disciplinary officer or disciplinary panel will make a preliminary decision on what type of sanction or sanctions should be imposed.

8.13 Where more than one disciplinary order is being considered in respect of a proven allegation, the disciplinary officer or disciplinary panel will consider the proportionality of the proposed sanctions, in addition to considering their seriousness and purpose.

9. Issuing a disciplinary order for payment of financial penalty

9.1 A financial penalty may be an appropriate sanction to impose in relation to misconduct or contravention that is determined to be of low, medium or high seriousness.

9.2 A financial penalty may be applied in, but is not limited to, any of the following circumstances:

• where there is evidence of defects in carrying out or managing building control work
• BSR investigation findings indicate safety-related issues are found
• where there is evidence of financial benefit from the misconduct or contravention
• in any other circumstance where it is justifiably decided that a financial penalty is required to support building safety or compliance with the code of conduct or professional conduct rules

9.3 When the disciplinary officer or disciplinary panel decides that a financial penalty should be imposed, a 4-step procedure will be followed to calculate the level of the financial penalty. This procedure requires the disciplinary officer or disciplinary panel to:

1) Determine a starting point and range of financial penalty based on assessment of seriousness.

2) Consider other relevant aggravating and mitigating factors relating to the RBI or RBCA (not those relating to the proven misconduct or contravention).

3) Assess evidence of the RBI or RBCA’s financial position.

4) Make a final determination of the financial penalty.

Steps to calculate the level of financial penalty

Step 1: Starting point and range

9.4 The disciplinary officer or disciplinary panel will proceed to determine a starting point of the financial penalty and its range by referring to table 1 for RBIs or table 2 for RBCAs.

9.5 To determine the starting point and range of financial penalty for RBIs, the disciplinary officer or disciplinary panel will refer to table 1. The level of penalty will be determined by the disciplinary officer or disciplinary panel’s determination of the level of seriousness of the professional misconduct, as detailed in section 5.

9.6 The disciplinary officer or disciplinary panel may impose a financial penalty up to a maximum value of £10,000^{[footnote 3]}.

Table 1: Financial penalty range for RBIs

Seriousness	Starting point	Financial penalty
Low	£1,500	£0 - £3,000
Medium	£5,000	£3,001 - £7,000
High	£8,500	£7,001 - £10,000[footnote 3]

9.7 To determine the starting point and range of financial penalty for RBCAs, the disciplinary officer or disciplinary panel will refer to table 2. The starting point for the penalty will be determined as a percentage of annual turnover, based on the last 3 years’ accounts. The level of financial penalty will be linked to the level of seriousness of the contravention.

9.8 The disciplinary officer or disciplinary panel may impose a financial penalty up to a maximum value of 5% of the RBCA’s annual turnover.^{[footnote 3]}

9.9 If the RBCA fails to provide information to allow for an assessment of income, the disciplinary officer or disciplinary panel may infer their income.

Table 2: Financial penalty starting point and range for RBCAs

Seriousness	Starting point	Penalty range
Low	0.7% of gross annual turnover	0.1% to 1.5%
Medium	2.5% of gross annual turnover	1.6% to 3.4%
High	4.2% of gross annual turnover	3.5% to 5%[footnote 3]

Step 2: Other relevant aggravating and mitigating factors

9.10 The disciplinary officer or disciplinary panel will consider the presence of any aggravating and mitigating factors which relate to the RBI or RBCA, as opposed to those that relate to the proven misconduct or contravention that was considered when determining seriousness. They may then adjust within the penalty range to reflect those factors. Adjustments can be made up or down within the range and will depend on the seriousness and number of factors present.

9.11 The level of adjustment within the penalty range will be considered on a case-by-case basis. For example, an RBI or RBCA who admits to misconduct or contravention at the earliest opportunity can expect a greater discount than one making an admission later into an investigation.

9.12 The disciplinary officer or disciplinary panel has discretion to depart from the minimum or maximum value within a range in exceptional circumstances. For example, they may impose a financial penalty greater than the levels set out in this procedure where:

• the misconduct or contravention is very serious
• public confidence requires it
• a significant financial benefit has been gained by the misconduct, and a greater penalty would negate that benefit

9.13 The following lists are examples of potential aggravating and mitigating factors. These are non-exhaustive and indicative only.

9.13a A mitigating factor can be:

• that immediate steps were taken to remedy the misconduct or contravention
• there was a high level of cooperation provided during the investigation
• a prompt admittance to the misconduct or contravention, at the earliest opportunity
• generally high standards of compliance with legislative requirements
• that there were no previous relevant findings of misconduct or contravention

9.13b An aggravating factor can be:

• a failure to take prompt steps to remedy the misconduct or contravention
• intentional obstruction during the investigation
• evidence of repeated misconduct or contravention
• previous relevant findings of misconduct or contravention
• false or misleading information or representations provided during investigation

Step 3: Assess financial position

9.14 The disciplinary officer or disciplinary panel will take into consideration the financial circumstances of the RBI or RBCA in order to ensure that the proposed financial penalty is fair and proportionate. This will include consideration of any evidence provided by the RBI or RBCA regarding their ability to pay a financial penalty.

9.15 In the absence of any evidence or representation from the RBI or RBCA regarding their financial position or ability to pay, the disciplinary officer or disciplinary panel may infer the RBI or RBCA can pay the financial penalty.

9.16 In exceptional cases, where significant hardship would be caused by a financial penalty, the disciplinary officer or the disciplinary panel may consider the basis of payment. For example, a longer period to pay the penalty or, more unusually, the officer or panel may consider reducing the level of fine.

Step 4: Make final determination of financial penalty

9.17 The final stage is to consider whether the proposed financial penalty is fair, reasonable, and proportionate. The disciplinary officer or disciplinary panel will consider whether the penalty achieves all of the following: 

a) addresses the seriousness of the misconduct or contravention

b) upholds public confidence in the building control profession

c) eliminates any financial gain or benefit that may have been obtained due to the misconduct or contravention

9.18 Where required, the disciplinary officer or disciplinary panel will adjust the financial penalty to ensure the above factors are properly reflected in the amount to be paid by the RBI or RBCA.

10. Issuing a disciplinary order which varies, suspends or cancels registration

10.1 When considering a disciplinary order which varies, suspends or cancels registration, the disciplinary officer or disciplinary panel must consider any relevant aggravating or mitigating factors relating to the RBI or RBCA when making a final determination on the nature of the order to be imposed, and, where relevant, the length of the sanction. Potential aggravating factors are set out in paragraph 9.13a and potential mitigating factors in paragraph 9.13b.

10.2 The disciplinary officer or disciplinary panel must also consider whether the proposed sanction is fair, reasonable, and proportionate. In particular, the disciplinary officer or disciplinary panel will consider whether the proposed sanction both:

1) addresses the seriousness of the misconduct or contravention

2) upholds public confidence in the building control profession

Varying a registration

10.3 A variation of registration may be an appropriate sanction where the level of seriousness is determined to be low, medium or high. However, taking into account the misconduct, a variation is necessary to achieve aims such as to protect the public and maintain standards. 

10.4 An RBI or RBCA can have their registration varied in a way specified in the order. The registration may be varied in respect of the work they can do, or by imposing or varying a condition on their registration.

10.5 Variation may be applied in a number of circumstances including, but not limited to the following:

• evidence of defects in carrying out or managing building control work
• repeated professional misconduct or contravention
• BSR investigation findings indicate safety-related issues are found
• working outside of the scope of registration,^{[footnote 4]} or not in compliance with conditions, where no defects are found
• in any circumstance where the disciplinary officer or disciplinary panel justifiably decide that a variation of registration including conditions is required to support building control safety or compliance with the code of conduct or professional conduct rules

10.6 The RBI or RBCA must adhere to any variation of their registration. Failure to do so may result in further disciplinary action including escalation to other appropriate sanctions.

Suspension from the register

10.7 Suspension of registration may be an appropriate sanction where the level of seriousness is determined to be medium or high and at least one of the following apply:

• the seriousness of the misconduct justifies a suspension
• it is necessary to protect the public and maintain standards

10.8 An RBI or RBCA can be suspended from the register by the disciplinary officer or disciplinary panel. Suspension will generally be considered for serious offences, but where the circumstances are not so serious to consider cancelling registration.

10.9 Where an RBI or RBCA is suspended, they cannot carry out regulated activities until the period of suspension has elapsed.

10.10 Suspension will generally apply in circumstances that include, but are not limited to:

• consistent poor enforcement history
• working outside of the scope of the registered work categories, where several defects are found
• evidence of failure to adequately carry out or manage building control work safely in relation to an individual work category
• failure to apply or demonstrate competence in relation to an individual’s work categories
• being convicted of a criminal offence or receiving a caution that BSR considers is relevant to their fitness to practice as an RBI or RBCA, for example to suspend registration until they have completed their sentence

10.11 The period of the suspension is at the discretion of the disciplinary officer or the disciplinary panel up to a maximum of 2 years.  

Cancelling a registration

10.12 Cancellation of registration may be an appropriate sanction where the level of seriousness is determined to be high, and where the seriousness of the misconduct justifies cancellation as necessary to protect the public and maintain standards.

10.13 An RBI or RBCA may have their registration cancelled and be removed from the register. This means the RBI or RBCA can no longer perform any regulated activities.

10.14 Registration remains cancelled unless, and until, the RBI or RBCA successfully reapplies for registration. An RBI or RBCA whose registration has been cancelled is unlikely to meet the criteria for re-registration until they can demonstrate they have taken reasonable steps to rehabilitate their practices and that they pose no risk to the public.

10.15 Cancellation will only generally apply in serious, unacceptable circumstances that include, but are not limited to, the following:

• unsafe building control work or non-compliance with the professional conduct rules or code of conduct where all other available sanctions have been exhausted
• bringing the building control profession into disrepute
• repeatedly working outside of the scope of work categories of registration
• where a suspension or any other sanction would not deliver the required improvements in compliance or standards or uphold public confidence in the building control profession
• failure to comply with the requirement of any sanction applied
• being convicted of a criminal or regulatory offence or being the subject of an order of the court, that BSR considers relevant to their fitness to practise in the building control profession and or or public confidence in the building control profession
• where an RBI or RBCA is convicted of an offence under section 57 of the act

11. Effect of sanctions

11.1 The RBI or RBCA will be required to comply with one or more disciplinary orders as directed. The registration records for the RBI or RBCA will be updated to record the disciplinary order or orders issued.

11.2 Disciplinary orders take effect at different times depending on the sanction.  

11.3 The RBI or RBCA will not be required to pay any registration fees for the period they are suspended. Any fees that were due prior to the date of suspension will remain payable whilst suspended.

Financial penalty

11.4 A financial penalty must be paid by the RBI or RBCA within 28 days of the disciplinary order taking effect.

11.5 A failure to pay any financial penalty may result in further disciplinary action being taken, which may lead to other sanctions, including cancellation of registration.

11.6 Financial penalties will have no effect until the period in which the RBI or RBCA can bring an appeal has passed. Where an appeal has been lodged, the disciplinary order will have no effect until the conclusion of the appeal.

Suspension of registration

11.7 Where the RBI or RBCA is suspended, they cannot perform any regulated activities until the specified suspension period has elapsed. It is a criminal offence for an RBI or RBCA to perform any regulated activities whilst their registration is suspended.

11.8 Where the RBI is involved in any ongoing work, that work must cease until the suspension period has elapsed. It is the RBI’s responsibility to inform their employer and any clients and discuss alternative arrangements if required.

11.9 Where the RBCA is involved in any ongoing work, that work must cease and the RBCA must cancel any initial notices still in force by notice in the prescribed form to the local council and person carrying out or intending to carry out the work. It is the RBCA’s responsibility to follow the relevant legal requirements.

11.10 The RBI or RBCA’s registration will be updated to record the suspension.

11.11 Suspension of registration will take effect for the period specified in the disciplinary order.

Variation of registration

11.12 Where the RBI or RBCA has their registration varied, their registration will be updated accordingly.

11.13 The RBI or RBCA must ensure they only work within the scope of their registration and comply with any registration conditions.

11.14  Where a variation of registration no longer permits the RBI to complete any ongoing work, the RBI must cease the work. It is the RBI’s responsibility to inform their employer or clients and discuss alternative arrangements.

11.15  Where a variation of registration conditions no longer permits the RBCA to complete any ongoing work, the RBCA must cease the work. They must also cancel any initial notices still in force by notice given to the local authority and person carrying out or intending to carry out the work. It is the RBCA’s responsibility to follow the relevant legal requirements.

11.16  Variation of registration will have no effect until the time period to bring an appeal has passed. Where an appeal has been brought, the disciplinary order will have no effect until the conclusion of the appeal.

Cancellation of registration

11.17 Where the RBI or RBCA has their registration cancelled, the RBI or RBCA will be removed from the register.

11.18 The RBI or RBCA will no longer be permitted to perform any regulated activities.

11.19 Where the RBI is involved in any ongoing work, the RBI must cease the work. It is the RBI’s responsibility to inform their employer and any clients and discuss alternative arrangements if required.

11.20 Where the RBCA is involved in any ongoing work, that work must cease and the RBCA must cancel any initial notices still in force by notice given to the local council and person carrying out or intending to carry out the work. It is the RBCA’s responsibility to follow the relevant legal requirements.

11.21 Cancellation of registration will take place on the date specified in the disciplinary order.

Publication of disciplinary orders 

11.22 We may publish disciplinary orders that are issued against the RBI or RBCA, together with the reasons for them, in line with the publications policy.

Monitoring and notification

11.23 BSR will monitor compliance with disciplinary orders. Where non-compliance is identified (including failure to pay a financial penalty or to comply with a variation, suspension or other condition), the matter will be referred to the investigation team or to the relevant authorities as appropriate.

12. Timescales for disciplinary cases 

12.1 The time taken to conclude a matter will be dictated by the circumstances of each individual case.

12.2 Indicative timeframes for each stage of the disciplinary process will be communicated to the parties at the outset. Where delays occur, reasons will be promptly communicated to the RBI or RBCA, together with revised expectations. The disciplinary officer or disciplinary panel will actively manage cases to avoid unnecessary delay and ensure that proceedings remain fair, efficient, and proportionate to the complexity and seriousness of the matter.

12.3 The disciplinary officer or disciplinary panel will endeavour to reach a decision and inform the RBI or RBCA of the outcome within a reasonable timeframe.

13. Notice of a decision

13.1 A disciplinary order or orders will contain the details of the sanctions. This will be provided in written form to the RBI or RBCA as soon as possible after a decision is made by the disciplinary officer or disciplinary panel. A written decision will accompany the order along with information on how to appeal the decision. Decisions will be reasoned and will set out the findings of fact and the sanctions imposed. They will also address the key evidence and submissions considered by the disciplinary officer or disciplinary panel.

13.2 For hearings, the chairperson may choose to announce the disciplinary panel’s decision. This would include an explanation of reasons to issue the sanctions.

13.3 Where a disciplinary order is issued to an RBCA, copies of the disciplinary orders will be provided to every local council in England and Wales.^{[footnote 5]} This will be in any one of the following circumstances:

• a variation of a RBCA’s registration
• a suspension of registration for a specified period
• a cancellation of registration from a specified date

14. Payment and time limits

14.1 Where a disciplinary order for a financial penalty is issued, the specified sum must be paid by the RBI or RBCA within 28 days once the time to bring an appeal has passed. Instruction on method of payment will be provided to the RBI or RBCA at the time of issuing a financial penalty.

14.2 If the RBI or RBCA has difficulty in paying a financial penalty, they should contact the regulatory authority at the earliest opportunity to discuss reasonable arrangements.

15. Appeals against a disciplinary order or sanction

15.1 The RBI or RBCA is entitled to appeal against a disciplinary order. When a sanction is applied, information on how to appeal a decision will be provided to the RBI or RBCA with the orders. When the matter has been found proved, and an alternative to sanction is imposed, there is no right of appeal.

15.2 The RBI or RBCA may appeal directly to the property tribunal in England, or a magistrates court in Wales.

15.3 Appeals must be lodged within 21 days of the date on which the order is served by BSR.

1. Due to be published in autumn 2026. ↩

2. A shorter period of notice than that specified may be given where the RBI or RBCA consents, or the chairperson of the disciplinary panel considers it reasonable in the public interest. ↩ ↩²

3. Decision makers may depart from these ranges in exceptional cases. Any decisions exceeding the maximum values will be made in accordance with 9.12 and 9.13. ↩ ↩² ↩³ ↩⁴

4. Work ‘outside the scope’ is where the RBI’s or RBCA’s registration does not have effect in relation to work of that description. ↩

5. Under Section 58U(4) Building Act 1984, BSR is required to notify local authorities of disciplinary orders in prescribed cases as set out in Regulation 32(1) Building (Registered Building Control Approvers etc) (England) Regulations 2024, and Regulation 4 Building (Building Control Profession) (Registration, Sanctions and Appeals) (Wales) Regulations 2023. ↩