Guidance

Criteria for independent competence assessment schemes

Published 28 March 2024

Applies to England and Wales

1. Criteria of approval - introduction

The Regulatory Authority sets out the criteria of approval (criteria) for independent schemes that verify the competence of building control professionals (schemes) and the provider for each scheme. The Regulatory Authority may revise the criteria and publish those revisions at any time.

The criteria adopt the definitions within the Building Act 1984 (as amended), including:

• Regulatory Authority in section 58A
• Registered Building Inspector (RBI) in section 58B

Providers are organisations applying for the approval of their scheme against these criteria. They agree that the Regulatory Authority may:

• amend its approach to competence assessments at any time, and
• revoke, cancel, suspend or partially withdraw any scheme at any time, in accordance with the published scheme review procedure (to be announced)

Candidates are individuals aiming to register as an RBI. This includes, for example:

• new entrants to the profession
• existing RBIs verifying their competence to remain on the register, or
• existing RBIs demonstrating competence changes for an update to their registration

Criteria are set out within these categories:

• Criterion 1 – Provider commitment
• Criterion 2 – Building Inspector Competence Framework
• Criterion 3 – Expert assurance
• Criterion 4 – Management
• Criterion 5 – Independence and impartiality

2. Criteria of approval - in detail

2.1 Criterion 1 – Provider commitment

1.1 Provider agrees to comply with:

• these criteria of approval for their scheme, and
• the terms and conditions for their scheme’s operation following approval (the terms)

1.2 Evidence must include a written agreement to comply with criterion 1 and the terms. The agreement must:

• be on the provider’s letterhead
• be signed by an appropriately authorised person (decision maker)
• name of the provider’s scheme
• include an appropriately signed copy of the terms

2.2 Criterion 2 – Building Inspector Competence Framework

2.1 The scheme must:

• assess candidate competence against requirements of the current Building Inspector Competence Framework (BICoF) as published by the Regulatory Authority from time to time, including the necessary skills, knowledge, experience, and behaviours required of RBIs
• have clear, formal and independent competence assessment arrangements
• show how individuals assessing competence (assessors) keep up to date with BICoF and relevant assessment developments
• have an appraisal of each candidate’s BICoF appropriate work-based evidence (portfolio) and relevant available qualifications
• test each candidate’s competence against the general BICoF requirements and the class they wish to register as an RBI for. Tests include written examinations and/or interviews
• use at least 2 independent and technically competent assessors to review portfolios and examinations. They may act together or as part of a sequential oversight process
• ensure interviews are conducted and evaluated by at least 2 independent and technically competent assessors. They may act together or as part of a sequential oversight process
• ensure assessors agree on the competence of a candidate against the BICoF. They must be independent of any advice or support given to candidates in making an application
• certify candidates for a period of 4 years following a successful outcome of the candidate’s application (subject to disciplinary procedures, the need for candidates to undertake continuous professional development to keep their competence up to date, and/or the candidate being assessed at a different class)
• have arrangements in place to assess continued professional development of candidates during their certification period

2.2 Evidence supporting the scheme’s compliance with criterion 2 must include:

• a mapped analysis demonstrating how the scheme assesses candidates against the BICoF
• a competence assessment methodology and criteria for portfolios, qualifications, written examinations and interviews. This includes a candidate’s initial certification, during their certification period, validation for their next certification and candidates transferring from other schemes

2.3 Criterion 3 – Expert assurance

3.1 The scheme must be approved by an independent approval body (‘body’) or be in the process of obtaining approval by such a body. These bodies are:

• UKAS (or equivalent) for ISO 17024:2012
• Engineering Council for its current UK Standard of Professionals Engineering Competence (UK-SPEC), for example the fourth edition
• Ofqual recognised awarding body

3.2 The approval by such a body must focus on assessing the provider and their schemes’ conformity with the body’s standards or requirements for the certification of persons, or reasonable suitable alternatives.

3.3 Evidence supporting the scheme’s compliance with criterion 3 must include:

• accreditation or approval by a body detailed under 3.1, or
• UKAS (or equivalent) pre-assessment with approval, and
• details on how the scheme’s conformity with the body’s standards or requirements for the certification of persons will be assured

3.4 Evidence supporting the scheme’s compliance with criterion 3 may include:

• details of how the scheme incorporates building safety competence as set out in BSI Flex 8670

2.4 Criterion 4 – Management

4.1 The scheme must:

• ensure that assessors have the appropriate expertise and technical ability
• publish accessible scheme rules for candidates including, for example, application, assessment, certification, and monitoring
• publish a full and accessible fee structure for candidates
• be dealt with in accordance with  the principles set out in Section 26(4) of the United Kingdom Internal Market Act 2020 (UKIMA)
• maintain publications that are up to date, available, and easily accessible on the scheme’s website
• demonstrate how it will address scheme and candidate non-conformances and other scheme issues
• be robust and non-discriminatory
• be financially viable
• have arrangements in place to retain candidate records for 15 years
• validate candidate ID for their portfolio appraisal and test of competence
• demonstrate how it will manage complaints and the appeals options available

4.2 Evidence supporting the scheme’s compliance with criterion 4 must include:

• details of how it ensures assessors will have the appropriate knowledge and skills to assess candidates’ varied experience, knowledge, skills and behaviour against the BICoF
• details of how assessments will be conducted consistently and effectively
• details of how the scheme ensures that applicants are dealt with in compliance with the principles of section 26(4) of UKIMA
• details on how the scheme will publish information on how it deals with in accordance with the principles in section 26(4) of UKIMA
• monitoring arrangements of the scheme and its candidates including, for example, quality assurance checks, file reviews, auditing, peer review and checks of ongoing competence
• details of how a candidate’s identity will be confirmed for the portfolio assessment and test of competence - this must include checks of photographic ID
• fee structure for candidates
• the provider’s annual accounts for the previous three years (flexibility applies for newly established organisations)
• complaints and appeal management arrangements including their publication
• clear arrangements for reasonable adjustments in accordance with the Equality Act 2010 (as amended). These arrangements must be published and include, for example, how a candidate would request reasonable adjustments, and how the scheme will consider the request
• record retention arrangements including privacy notice for candidates

4.3 Evidence supporting the scheme’s compliance with criterion 4 may include:

• job details and recruitment processes relevant to assuring assessor competence
• ongoing training requirements for assessors
• details of how assessors are assigned to ensure each BICoF class and specialist experience is assessed by an appropriately skilled assessor

2.5 Criterion 5 – Independence and impartiality

5.1 The scheme and its provider must:

• be independent from any group, parent, sister company or subsidiary where their business interests present, or may present, a conflict of interest
• have clear management arrangements that set out the promotion, encouragement, and resolution of conflicts of interest by its staff including contractors and employees
• have clear management arrangements of the candidate assessment process and how they assure assessment impartiality

5.2 Evidence supporting the scheme’s compliance with criterion 5 must include:

• management arrangements for potential and actual conflicts of interest - this includes record keeping and information on independence of provider, scheme, and its assessors
• details of how assessors will maintain their independence
• provider declaration of any dutyholder activity as defined by the Building Regulations
• provider declaration of any group, parent or sister company or subsidiary and relevant conflicts of interest

3. Terms and conditions for building control competence assessment schemes 

These terms and conditions (terms) apply to each independent competence assessment scheme – including its provider - (scheme) approved for building control by the Regulatory Authority. 

3.1 Statement of intent

Any scheme, and its provider(s), accept that:

• a scheme may be suspended, revoked, cancelled, or partially withdrawn for failing to fulfil these terms (and any updates to them) following a reasonable notice period
• they will inform their candidates, and publish a statement, of their scheme’s suspension, revocation, cancellation and/or partial withdrawal
• the Regulatory Authority will not accept competence certificates issued by any scheme during its suspension or following revocation or cancellation
• the Regulatory Authority reserves the right to amend or revoke its approach to competence assessment for building control at any time

To help the relevant Regulatory Authority assess the competency of your scheme, please provide the following details:

• Scheme name:         

• Scheme provider name:

• Terms and conditions version date:

• Signature date:

• Signatory name:

• Signatory role:

• Signature:

3.2 Terms and conditions

1. The scheme will comply with any scheme-specific condition issued on their scheme approval letter from the Regulatory Authority
2. The scheme will remain in good standing in accordance with the evaluation and monitoring policy as published from time to time
3. The scheme will not be run or administered in a way that is likely to bring the building control profession or competence assessments for building control into disrepute
4. The scheme will continue to incorporate its approach to the principles set out in Section 26(4) of the United Kingdom Internal Market Act 2020 (UKIMA)
5. The scheme will publish and maintain accurate, uptodate and relevant information in an easily accessible format on its public website. This includes:

• scheme name
• scheme provider
• current approval status with the Regulatory Authority including start and end dates for approval, suspension and termination (as appropriate)
• current approval status with their chosen awarding body
• scheme rules and requirements for candidates including detailed information about applications, assessments, certification, continuous professional development, fraud and dishonesty, monitoring and disciplinary arrangements
• scheme rules and requirements for candidates re-certifying within the same scheme and candidates transferring between schemes
• appeal and complaint management arrangements including sanctions that can be applied to individual candidates
• candidate arrangements for compliance with, and reasonable adjustments in accordance with the Equality Act 2010, as amended. These arrangements must include how a candidate would request reasonable adjustments, how the scheme will consider the request and how these would be implemented
• how the scheme ensures that candidates are considered in compliance with the principles set out in Section 26(4) of UKIMA
• information required to demonstrate the scheme is dealt with in accordance with the principles in Section 26(4) of UKIMA
• management arrangements involving conflicts of interest
• full fee structure for candidates
• appropriate privacy notice

6: The scheme will keep up to date with building control competence developments. This includes:

• aligning the scheme and its competence assessment methodology to any updates of the Building Inspector Competence Framework (BICoF) published by the Regulatory Authority and any assessment improvements recommended by the Regulatory Authority. Schemes will do this as soon as practicable and, in any event, no later than 18 months after any update comes into effect
• updating the scheme and its competence assessment methodology
• ensuring and evidencing its staff and assessors have the appropriate knowledge and skills to assess candidates with varied experience, knowledge, skills and behaviour against the current BICoF

7: The scheme will assess the ongoing competence of its certified candidates against their certified BICoF class. This includes:

• assessing candidates every four years before issuing a new certificate
• providing relevant continuous professional development opportunities involving, for example, changes in the law, good practice and the BICoF

8: The scheme will confirm a candidate’s identity for the assessment of their portfolio, and their examination or interview. Identity may be confirmed by: - a current valid passport - a current valid driving licence (photo ID card type) - a photo ID card issued by the UK Border Agency or; - a valid Home Office issued work permit, accompanied by a current international passport - another photo ID issued by any other Governmental agency - birth certificate - travel pass, including a photo - under 21 ID cards issued by a local authority etc.

9: The scheme’s candidate records will be retained for 15 years. This includes:

• evidence assessed including the details of the candidate and the assessor
• complaints and appeals from candidates and how they were resolved, and
• actual and perceived conflicts of interest and how these were resolved (including decisions about staff or assessor impartiality relating to individual evaluations)
• candidate identity confirmation records including a statement that the candidate’s ID was validated, the name of the staff member who checked, the type of evidence presented and its issuing country, the unique number for the type of identification

10: The scheme will issue certificates to candidates containing at least provider and scheme name, candidate first and last name, start and end date of certification, BICoF class or classes certified, certificate number with scheme abbreviation and a total of at least 12 digits (for example ABCD1234567xyz).

11: The scheme will monitor itself to identify, and address, issues that negatively impact: - assessment validity - scheme approval by their chosen awarding body; and - scheme compliance with these terms

12: The scheme will provide the Regulatory Authority immediately with:

• information of any changes that may affect its approval status
• any updated mapping of the scheme against the current version of the BICoF
• details of candidates who have gained certification through the scheme by fraudulent or dishonest means
• details of data breaches which may relate to the information sharing arrangements between the scheme and the Regulatory Authority

13: The scheme will provide data returns to the Regulatory Authority for every certificated candidate, detailing:

• scheme name
• scheme provider name
• certification date (start and end date)
• certification status (certified, suspended, cancelled, expired)
• certification status change date (if applicable)
• certification status reason for suspended and cancelled certifications (if applicable)
• certificate number (unique reference number)
• certification country (England, Wales, both)
• candidate first name and surname
• candidate home address
• candidate national insurance number
• BICoF class, or classes, certified
• confirmation of candidate ID validation

14: The scheme will provide accurate and up-to-date data returns (see above, term 13):

• each Friday by 10am
• detailing new candidates and candidates with changed information, and
• in accessible and searchable format for which the Regulatory Authority may provide a template

15: The scheme will provide the Regulatory Authority with information which is reasonably needed by the Regulatory Authority to:

• monitor and understand the scheme on an ongoing basis
• monitor the building control profession, and/or
• determine whether the scheme and its provider continue to meet these terms

16: The scheme will work with the Regulatory Authority to evolve and improve the methods of information sharing and data returns.

17: The scheme will alert and co-operate with the Regulatory Authority without undue delay, upon becoming aware that it will be ceasing to operate. This co-operation includes the transfer of candidates to the Regulatory Authority, or another named scheme.