Chapter 12

The management of buildings safety duties for occupied higher-risk buildings: The Higher-Risk Buildings (Management of Safety Risks etc) (England) Regulations 2023

The Government introduced The Higher-Risk Buildings (Management of Safety Risks etc) (England) Regulations 2023 (SI 2023/907) (Safety Risks Regulations) on 17 August 2023. These regulations apply to England only. They will come into force with section 83 of the BSA, which deals with the assessment of building safety risks and is ‘currently planned to commence in October 2023’ (.gov.uk).

This chapter – at a glance

The purpose of the Safety Risk Regulations is to prescribe certain administrative requirements which the APs, PAP and the BSR must follow in relation to the management of building safety risks (as set out in Part 4 of the BSA).

The Safety Risks Regulations cover the following:

  1. Regulation 3 sets out the procedure for applying for a building assessment certificate (section 79 of the BSA) and the information to be contained within the application (section 80 of the BSA);
  2. Regulation 4 covers the principles which must be adopted by the AP when managing building safety risks (section 84 of the BSA);
  3. Regulation 5 sets out the contents of the safety case report prepared by the PAP (section 85 of the BSA);
  4. Regulation 6 details the occurrences that must be reported to the BSR (section 87 of the BSA);
  5. Regulations 7 to 9 set out the provisions relation to the keeping and providing of information under sections 88 to 90 of the BSA;
  6. Regulation 10 sets out the circumstances in which a residents’ engagement strategy must be reviewed (section 91 of the BSA);
  7. Regulation 12 details the complaint procedures to be put in place by PAP (section 93 of the BSA);
  8. Regulation 13 prescribes the contents of a contravention notice (section 96 of the BSA); and
  9. Regulation 14 prescribes the contents of a compliance notice (section 99 of the BSA).

Regulation 3 – Building assessment certificates

The BSA makes it clear that the safety of a building must be regularly and proactively managed by duty holders. Under section 79 of the BSA, the PAP must apply to the BSR for a building assessment certificate upon the direction of the BSR. A person who fails to submit the application within 28 days of the direction being given commits an offence.

Under section 80 of the BSA, an application must be accompanied with:

(a) A copy of the most recent safety case report;

(b) Prescribed information about the mandatory occurrence reporting system. Regulation 3(1) sets out that ‘prescribed information’ is information which demonstrates compliance with section 87(5) of the BSA. The PAP must establish and operate an effective mandatory occurrence reporting system which complies with prescribed requirements;

(c) Prescribed information demonstrating compliance by each AP for the building with their duties under section 89. Regulation 3(2) sets out that ‘prescribed information’ which is a statement by the PAP confirming that each AP has complied with its section 89 duties, including:

a. the obligation to notify the BSR of any change to information provided within 28 days of the PAP becoming aware of the change in accordance with Regulation 21 of the Higher Risk Buildings (Key Building Information etc) (England) Regulations 2023.

(d) A copy of any residents’ engagement strategy.

To obtain a building assessment certificate the PAP will need to demonstrate to the satisfaction of the BSR that they are meeting key Part 4 duties as set out within section 81 of the BSA.

The BSR must publish a direction as to how the application is to be made i.e., via a website, on its website.

Regulation 3(5) sets out the information to be included in the application:

  1. The address, postcode and name of the building;
  2. The name of the PAP;
  3. The registration number given to the building on the register;
  4. A description of any changes to the information relating to the building and the date those changes occurred;
  5. Details of any compliance notice given under section 99 of the BSA and in force.

Regulation 3(6) sets out the information which must be contained in the building assessment certificate:

  1. The address, postcode and name of the building;
  2. The name of the PAP;
  3. The names of any other AP;
  4. The date of issue of the certificate;
  5. The registration number given to the building on the register;
  6. The signature of a person authorised by the BSR to sign the certificate;
  7. A statement that the BSR was satisfied that all duties were being complied with at the time of issue of the certificate.

Under section 82(1)(a), the PAP must ensure that a notice in the prescribed form containing prescribed information about the APs is displayed in a conspicuous position in the building. The ‘prescribed information’ is the address, telephone number and email address of the PAP and any other APs (Reg. 3(8)). The ‘prescribed form’ of the notice is in writing and legible (Reg. 3(9)).

Regulation 4 – Management of building safety risks: prescribed principles

Under section 84(1) of the BSA, an AP must take all reasonable steps to:

a) prevent a building safety risk materialising as regards the part of the building for which they are responsible;

b) reduce the severity of any incident resulting from such a risk materialising.

The duty to manage building safety risks is focused on life safety and directly linked to the duty to make a suitable and sufficient assessment of building safety risks under section 83 of the BSA. The guidance states that steps required to ensure effective management of building safety risks include: “physical barriers built into the fabric or skeleton of the building, engineering controls, administrative measures such as signage, management policies and processes, alarm systems, evacuation strategies and emergency response planning, as well as information provided to residents.”

When taking the steps, the AP must act in accordance with prescribed principles. Those prescribed principles are set out in Regulation 4 and are as follows:

a) Avoid building safety risks;

b) Evaluate building safety risks that cannot be avoided including identifying proportionate measures to address, reduce, mitigate and control risks;

c) Combat building safety risks at source by introducing proportionate measures to address, reduce, mitigate and control the risk at the earliest opportunity;

d) ensure suitable and proportionate systems are in place for the effective inspection, testing and maintenance of the efficacy of measures taken;

e) give collective protective measures priority over individual protective measures;

f) adapt to technical progress;

g) where reasonable to do so, replace the dangerous with the non-dangerous or less dangerous;

h) consider the impacts on residents and carry out engagement with residents;

i) give appropriate instructions and information to employees and persons working on or in the building;

j) ensure that any person responsible for or assisting with compliance with a duty in or under Part 4 of the 2022 Act has the relevant competence.

Competence is the key element of effectively managing risks. Regulation 4(2) states that a person will be deemed competent if that person has the skills, knowledge, experience and behaviours necessary to perform the functions for which they are responsible for in a satisfactory manner. Where the person is not an individual, the corporation will be deemed competent if it has the organisational capability to ensure that the function for which it is responsible are for are performed in a satisfactory manner.

Regulation 5 – Safety Case Reports

Under section 85(1) of the BSA, the PAP is required to prepare a safety case report containing any assessment of the building safety risks by an AP and a brief description of any steps taken whilst managing the building safety risks.

Regulation 5 sets out the information to be contained within the safety case report:

(a) the registration number given to the building on the register;

(b) a brief description of the building and its wider environment;

(c) a description of the possible scenarios of building safety risks that have been identified by each AP through the risk assessment process (under section 83 of the BSA), the likelihood of those risks materialising and the assessment of the likely consequences if they do materialise;

(d) a description of how the steps taken by each AP demonstrate compliance with the obligations under section 84 of the 2022 Act (management of building safety risks);

(e) a description summarising the system for managing safety for the building including but not limited to details of:

i. how safety measures are tested and maintained;

ii. the policies and procedures in place for managing works to the building, including for assuring the competence of designers and contractors appointed, quality of materials used and assessment and management of building safety risks whilst works are in progress;

(f) a description of emergency plans in place for the building including but not limited to:

i. a description of equipment in place to allow emergency services to respond to an emergency;

ii. details of the information provided to emergency services to support their emergency response planning; and

iii. a description of the expectation with regard to residents and how they are to respond to emergency situations.

The safety case report must be kept in electronic form.

The PAP is required to notify the BSR as soon as practicable after preparing or revising a safety case report. Such notification must include an overview of view of the main revisions of the safety case report and an explanation as to why the revision has been made (Regulation 5(4)).

The BSR must publish a direction on its website as to the way in which the safety case report or notification is given i.e., via a specified website.

Regulation 6 – Mandatory Reporting Requirements

Under section 87(1), an AP, in prescribed circumstances, must give prescribed information to the BSR by the prescribed time and in the specified way. Regulation 6 sets out the ‘prescribed circumstances’ and the ‘prescribed information’.

Prescribed circumstances

Under Regulation 6(1) the circumstances prescribed for the purposes of section 87(1) of the BSA is a safety occurrence which has taken place in part of the building for which the AP is responsible.

A safety occurrence is defined as an incident or situation relating to:

a) the structural integrity of a higher-risk building; or

b) spread of fire in, a higher-risk building; and

c) that meets the risk condition.

The risk condition is met in relation to a part of a building if the use of that part of the building without the incident or situation being remedied would be likely to present a risk of a significant number of deaths, or serious injury to a significant number of people.

Prescribed information

In the event that a safety occurrence takes place, the AP must provide the following information to the BSR (Regulation 6(2)):

a) a notice that the safety occurrence has taken place, containing a brief description of the nature of the safety occurrence and the address of the building in which it took place;

b) a report containing;

i. the date and time of the safety occurrence;

ii. the date and time the safety occurrence was first notified to the BSR;

iii. the date of submission of the report to the BSR;

iv. the address of the building at which the safety occurrence took place;

v. the name, address, telephone number and email address of the AP making the report;

vi. the details of the safety occurrence, including -

i. whether any persons were injured or killed as a result of the safety occurrence;

ii. details of any recent building work;

iii. details of how the safety occurrence was discovered;

vii. a description of the measures taken to mitigate or remedy the safety occurrence;

viii. details of any wider impact or other considerations.

At a prescribed time

In the event that a safety occurrence takes place, the AP must provide the BSR with a notice that the safety occurrence has taken place (containing a brief description of the nature of the safety occurrence and the address of the building in which it took place) as soon as reasonably practicable after the occurrence took place (Regulation 6(3)(a)).

The AP must provide the above prescribed information to the BSR within 10 days of the safety occurrence having come the AP’s attention (Regulation 6(3)(b)).

The specified way

Under section 87(5) of the BSA, the PAP must establish and operate an effective mandatory occurrence reporting system which complies with prescribed requirements. Those prescribed requirements are set out at Regulation 6(4):

a) there must be a single reporting system for the building;

b) that system must enable;

i. the reporting and recording of incidents and situations by individuals to the AP;

ii. the recording of incidents and situations identified by the AP;

iii. the timely assessment of reports or records of incidents and situations to determine whether they constitute a safety occurrence;

iv. the notification and reporting of safety occurrences to the regulator within the required periods;

(c) the system must be accessible to all residents and other users of the building;

(d) the system must be reviewed regularly to ensure that it remains effective.

Regulations 7 to 9 – the keeping and providing of information under sections 88 to 90 of the BSA

Section 88(1) of the BSA requires an AP to;

a) keep prescribed information in accordance with prescribed standards; and

b) so far as possible keep such information up to date.

Regulation 7 – standards prescribed for the keeping of information

The Hackitt report recommended the introduction of a ‘Golden Thread of information’ for all HRB, to ensure that accurate information is secure and accessible throughout a building’s life cycle. These Safety Risks Regulations specify how the Golden Thread is kept.

The AP must ensure the prescribed information:

a) is kept in an electronic format which ensures it is capable of being transferred electronically to other persons without the data in it being lost or corrupted;

b) is accurate;

c) is intelligible to the intended readers of the data, and any key needed to understand the data is provided with the data;

d) is kept in such a manner as to be accessible as soon as reasonably practicable in response to a request from any person specified section 89(1) of the BSA or prescribed by regulations made under that subsection;

e) is secure from unauthorised access; and

f) is only changed in accordance with procedures which record the person who made the change and the date of that change.

The standards prescribed for the keeping of copies of documents under section 88(2) of the BSA (An AP for a higher-risk building must keep copies of prescribed documents in accordance with prescribed standards) are that the documents;

a) are kept in an electronic format capable of being transferred to other persons without the data in them being lost or corrupted;

b) are kept in such a manner as to be accessible promptly in response to a request from any specified person or prescribed by regulations;

c) are secure from unauthorised access; and

d) are only changed in accordance with procedures which record the person who made the change and the date of that change.

Regulation 8 – provision of information to the BSR and residents

An AP must give information and copies of documents prescribed under section 89(1) of the BSA to the BSR or another AP for the building. The information and documents that must be provided will be stipulated in the draft Higher-Risk Buildings (Keeping and Provision of Information etc.) (England) Regulations 2023. These are due to be debated and laid in ‘Autumn’ 2023 - we do not currently have any more information.

But note, in the case of a client whose project is carried out, the obligation to give information arises as soon as reasonably practicable after the client gives written notice to the AP that a project is taking place in the building and which provides a name, address and email address for the supply of prescribed information and documents.

A “project" for these purposes includes or is intended to include any building work including all planning work, design work, management or other work involved in a project until the end of the construction phase.

The definition of "building work" has the same meaning as in Regulation 3 of the Building Regulations 2010;

a) the erection or extension of a building;

b) the provision or extension of a controlled service or fitting in or in connection with a building;

c) the material alteration of a building, or a controlled service or fitting, as mentioned in paragraph (2);

d) work required by regulation 6 (requirements relating to material change of use);

e) the insertion of insulating material into the cavity wall of a building;

f) work involving the underpinning of a building;

g) work required by regulation 22 (requirements relating to a change of energy status);

h) work required by regulation 23 (requirements relating to thermal elements);

i) work required by regulation 28 (consequential improvements to energy performance).

The definition of "construction phase" is the period beginning when any building work on a project starts and ending when that project is completed.

An AP must give information and copies of documents prescribed under section 89 (1) of the BSA electronically and in a format that the recipient can have access to (Regulation 8(5)) to;

(a) other APs for the building; and

(b) any persons prescribed by regulations made under section 89 (1) (e) of the BSA (‘any other prescribed person’).

Regulation 8(6) confirms that this does not apply when an AP must provide a copy of the contravention notice to the landlord of a resident (if the landlord is the flat owner).

This means that when an AP provides a copy of the contravention notice to the landlord of a resident (if the landlord is the flat owner) they do not have to provide the information and documents electronically. They should instead follow the requirements for service of documents as set out in section 29 of the BSA.

An AP must give information and documents to any resident of the building;

a) where a higher-risk building becomes occupied, as soon as reasonably practicable after the building becomes occupied, or if later, the time when the person became an AP for the building;

b) where a new resident moves into a higher-risk building, as soon as reasonably practicable after the AP becomes aware that the resident has moved in;

c) where prescribed information previously given to a resident has become out of date, as soon as reasonably practicable after the AP has become aware that the information has become out of date.

There is currently NO guidance as to what ‘as soon as reasonably practicable’ is.

Regulation 8(8) states an AP must give information and documents prescribed to any non-resident owner of residential units. As above, the information and documents that must be provided will be stipulated in the draft Higher-Risk Buildings (Keeping and Provision of Information etc.) (England) Regulations 2023;

This information needs to be given;

a) as soon as reasonably practicable after the AP becomes aware that the person has taken ownership of a residential unit in the building;

b) where the prescribed information is a copy of a contravention notice given to any person residing in the residential unit owned by the person, as soon as reasonably practicable after that notice has been given;

c) where prescribed information previously given to an owner of a residential unit has become out of date, as soon as reasonably practicable after the AP has become aware that the information is out of date.

The explanatory notes confirm that the draft Higher-Risk Buildings (Keeping and Provision of Information etc.) (England) Regulations 2023 will stipulate that when an AP gives a contravention notice to a resident, they must provide a copy of the contravention notice to the landlord of the resident (if the landlord is the flat owner). Regulation 8(8)(b) above stipulates that this must be done as soon as reasonably practicable after the contravention notice has been given to the resident.

Regulation 8 (9) states that information and documents given to residents and non-resident owners of residential units must be;

a) in writing;

b) in a form which allows the recipients to understand the content and aims of the information or document given, including explanations of technical language used, or with plain English summaries of complex or technical provisions; Again, there is no further guidance here.

c) displayed in common parts of the building where the prescribed information consists of;

i. the process for reporting a building safety risk as regards the building,

ii. how to make a relevant complaint,

iii. the identity of and the address, telephone number and email address of the PAP, any other AP for the building and any person who is a responsible person within the meaning of article 3 of the Regulatory Reform (Fire Safety) Order 2005 in relation to the building i.e.;

The definition of “responsible person” is:

a) in relation to a workplace, the employer, if the workplace is to any extent under his control;

b) in relation to any premises not falling within paragraph (a);

i. the person who has control of the premises (as occupier or otherwise) in connection with the carrying on by him of a trade, business or other undertaking (for profit or not); or

ii. the owner, where the person in control of the premises does not have control in connection with the carrying on by that person of a trade, business or other undertaking.

iv. any person the PAP has appointed for administrative purposes as a single point of contact in regard to resident communication to contact to request further building safety information;

v. the list of types of further information that a resident can request and the process for making such a request.

The obligation for what to display in common parts is without prejudice to the obligation to give prescribed information specified in that sub-paragraph to residents of the building in accordance section 29 of the BSA (relating to service of documents).

Regulation 9 – Provision of information on changes in AP

For the purposes of giving of documents and information on a change of AP, they must be given as soon as reasonably practicable after the relevant time that the "outgoing person" (defined as “an accountable person for a higher-risk building”) ceases to be responsible for all or any part of the building.

As a reminder, the BSA (Section 90 (2)) states that the outgoing person must give prescribed information and a copy of any prescribed document to any person who, immediately after the relevant time;

a) is an AP for the building, and

b) is responsible for a part of the building for which the outgoing person ceased to be responsible at the relevant time.

This information and the copies of documents must be:

a) given electronically without the data in it being lost or corrupted;

b) intelligible to the recipient, with any key needed to understand the data being provided.

The following information must be given by the outgoing AP to the BSR;

a) the outgoing person’s name;

b) the building or part of the building for which the outgoing person was responsible;

c) the registration number given to the building on the register;

d) the date that the outgoing person ceased to be responsible for the building or part of the building;

e) the name, address, telephone number and email address of any person who has become responsible for the building or part of the building for which the outgoing person has ceased to be responsible and a description of the part of the building for which any such person is responsible.

The BSR may make a direction as to the way in information must be given to it, which may include a requirement to give the information or copy documents via a website address provided for that purpose by the BSR. The BSR must publish a direction on its website and make it available for inspection at its principal offices during normal office hours.

Regulation 10 – Residents’ Engagement Strategy

The PAP must review the residents' engagement strategy;

a) at least every two years, and in any event within a reasonable period following the conclusion of a consultation under section 91 (1)(c) of the BSA (in prescribed circumstances, consult relevant persons and prescribed persons on the strategy and take any representations made on the consultation into account when next reviewing the strategy);

b) within a reasonable period after a mandatory occurrence report in relation to the building is submitted to the BSR pursuant to section 87 of the BSA; and

c) within a reasonable period after the completion of significant material alterations to the building unless the impact of the significant material alterations has been considered as part of a review that has been carried out pursuant to sub-paragraph (a) or (b) within the previous two years.

For the purposes of paragraph (2)(c), "significant material alterations" include;

a) work which increases or decreases the external height or width of the building;

b) work which changes the number of storeys the building has (including adding or removing a mezzanine or gallery floor);

c) work which changes the number of residential units contained in the building;

d) work which changes the number of, or width of, the staircases in the building or which changes the number of, or width of, any other escape routes within the building;

e) work to the external wall of the building excluding work which consists only of materials of a description specified in regulation 7 (3) of the Building Regulations 2010 becoming part of the wall;

f) work which changes the internal layout of the building.

The PAP must in certain circumstances consult relevant persons and prescribed persons on the strategy and take any representations made on the consultation into account when next reviewing the strategy. These circumstances are;

a) where a residents' engagement strategy has first been prepared (pursuant to section 91 (1) (a) of the BSA . This is where the principal accountable person for an occupied higher-risk building must;

'as soon as reasonably practicable after the relevant time prepare a strategy (a "residents' engagement strategy") for promoting the participation of relevant persons in the making of building safety decisions’

OR

b) there has been a revision to the residents' engagement strategy, except where that revision was made in consequence of responses to a consultation under section 91(1) (c) of the BSA.

For the purposes of preparing the strategy, where a building becomes occupied in stages, the requirement to consult in prescribed circumstances is met if the PAP carries out consultation in stages corresponding to the occupation of the building, or if the PAP considers it appropriate, at a point where a majority of relevant persons are able to participate.

Any APs for the building other than the PAP can consult relevant persons and prescribed persons on the strategy and take any representations made on the consultation into account when next reviewing the strategy.

Any APs for the building other than the PAP can, as soon as reasonably practicable after the strategy is prepared or revised, give copies of the strategy to any prescribed person.

A residents' engagement strategy must contain the following;

a) a requirement that the PAP must inform residents when works resulting from a building safety decisions will be carried out, and the purpose of the works;

b) unless works are required to commence on an emergency basis and it would be impracticable to consult relevant persons, where works taking place for a period of more than one day arising from a building safety decision will limit access to any part of a building, or otherwise cause a nuisance to residents, a requirement that the PAP must consult relevant persons about; the days and times when works are to take place, and how to mitigate disruption to relevant persons from the works;

c) a requirement that the PAP must give due consideration to the responses to any consultation;

d) provision for the keeping of records of reviews carried out by the PAP;

e) provision for setting out in writing to residents how consultations are to be carried out on the residents' engagement strategy and on building safety decisions.

Consultations under section 91 of the BSA must:

a) include appropriate and reasonable methodologies which may include digital, postal or in-person events;

b) involve the taking of reasonable steps to ensure that any relevant person likely to be affected by the matter to which the consultation relates is aware of the consultation;

c) be for a reasonable period, and in the case of a consultation on the residents' engagement strategy, for a period of no less than 3 weeks.

Regulation 12 - Complaints Procedures

The complaints system established by a PAP under section 93 of the BSA must publish a complaints policy which explains;

a) what amounts to a relevant complaint;

b) how a relevant complaint may be made;

c) how a relevant complaint will be dealt with;

d) how a complainant can make representations and comments on any findings during an investigation;

e) the expected timeframes for investigation and determination of a relevant complaint;

f) the address, telephone number and email address of the BSR and details of the right and manner in which to take a relevant complaint to the BSR where an agreed outcome cannot be reached between the PAP and complainant;

g) details of how compliance with the Equality Act 2010 is secured, such as by giving examples of the types of reasonable adjustment which may be made;

h) details of how personal data is processed.

Key points:

  • Any complaint which is a relevant complaint, made to any AP for the building, is dealt with under the system.
  • There is an effective process for the prioritisation of relevant complaints taking account of the level of risk involved.
  • All complaints are dealt with in an impartial and fair manner under the system.
  • Any question as to whether a complaint is a relevant complaint is determined under the system or if necessary, referred to the BSR for final determination of that question.
  • Any person is able to make a relevant complaint.
  • A complaint may be made via any reasonable method, including in particular any method agreed between the PAP and relevant persons.
  • A complainant may be assisted by another person in the making of a complaint and in responding to the investigation of a complaint.
  • A complaint which is a relevant complaint is dealt with under the system, irrespective of whether the complaint identifies that it is a relevant complaint or specifies that it is a matter to be dealt with under the system.
  • Any complaint is acknowledged as soon as reasonably practicable.
  • If a complaint is accepted by the PAP as a relevant complaint, that the complainant is informed of that fact.
  • If a complaint is not accepted by the PAP as a relevant complaint, that the complainant is given reasons for that decision and informed of the right to take the issue to the BSR for final determination.
  • A relevant complaint may be rejected for consideration under the system if it consists of a complaint which has already been determined or which is under consideration following a complaint by the same complainant.
  • All complaints are dealt with in a timely manner and the complainant is given information about the timeframe for responding to and taking action in response to the complaint, including details of any changes to the timeframe communicated, with reasons for any such changes.
  • A procedure exists for reconsidering the first substantive response to a relevant complaint where the complainant requests reconsideration.

All responses to a complaint include details of how that response may be challenged including:

a) in the case of a first substantive response to a relevant complaint, details of how the complainant may ask the PAP to reconsider that response; and

b) in the case of any subsequent substantive response to a relevant complaint, details of the right to refer the complaint to the BSR, and how the complainant can do so.

A procedure exists for referral of a complaint to the BSR where:

a) there is an absence of agreement between the PAP and any APs for the building as to the appropriate response to the complaint; and

b) the complainant consents to the referral.

All responses to the complainant are in writing and in a form which allows the recipient to understand the content of the information given, including explanations of technical language used, or with plain English summaries of complex or technical provisions.

A substantive response to a complaint:

a) addresses all material points relating to the relevant complaint;

b) gives reasons for decisions;

c) gives details of any action undertaken;

d) gives details of any action planned, including a timeframe for that action to begin and be completed.

Regulation 13 – Contravention notices

A contravention notice may be given if it appears to the appropriate AP that a relevant person has contravened or is contravening a duty under section 95(2) of the BSA, (duties on residents and owners).

A contravention notice can be given by an appropriate AP given under section 96(2) of the BSA and it must contain:

a) details of any statutory provision which it is alleged the relevant person has contravened;

b) details of any previous communication between the appropriate AP and the relevant person relating to the alleged contravention;

c) details of any guidance issued by the BSR which is relevant to the alleged contravention;

d) where any steps are specified that the appropriate AP considers the relevant person should take in order to remedy the contravention, an explanation why the appropriate AP considers that the steps should be taken;

e) where a sum is specified where it appears to the appropriate AP that the relevant person has contravened the contravention notice may require the relevant person to pay to the appropriate accountable person a sum specified in the notice, there must be an explanation why the sum is required, and evidence of the amount specified;

f) details of the complaints procedure operated by the PAP under section 93 of the BSA available to the relevant person to dispute all or part of the contravention notice;

g) the name and contact details of the AP giving the contravention notice.

A contravention notice must be;

a) in writing; and

b) in a form which allows the relevant person to understand the content and aims of the notice, including explanations of technical language used, or with plain English summaries of complex or technical provisions.

Regulation 14 – Compliance notices

The BSR may give a compliance notice to an AP for a higher risk building who appears to the BSR to have contravened, be contravening or be likely to contravene a relevant requirement.

A compliance notice given under section 99 of the BSA must be in writing and state;

a) that it is a compliance notice given under section 99 of the BSA;

b) the date on which the compliance notice is given;

c) the name and address of the AP to whom the compliance notice is given;

d) details of the relevant requirement which it is alleged the AP has contravened;

e) details of the nature of the contravention;

f) the building or part of the building in which the contravention of the relevant requirement is alleged to have occurred;

g) if specified that the compliance notice is an urgent action notice, the reasons why the BSR considers it appropriate to so specify;

h) the consequences of contravention of the compliance notice;

i) that the compliance notice may be withdrawn by the BSR at any time;

j) details of the right to appeal to the tribunal under section 103 (1) of the BSA including the following details;

i. the period within which any appeal must be made,

ii. the right to apply to the tribunal for a direction where it is specified in the notice that it is an urgent action notice,

iii. the right to apply to the tribunal for an extension of the period for the doing of anything specified to be done in the compliance notice.

Key points:

  • A compliance notice may not relate to the contravention of more than one relevant requirement.
  • Where the compliance notice relates to the contravention of a relevant requirement that is a requirement on the PAP, the BSR must give the compliance notice to the PAP and give a copy of the compliance notice to all other APs for the building.
  • Where the compliance notice relates to the contravention of a relevant requirement that is a requirement on an AP pertaining to the part of a building for which that AP is responsible, the BSR must give the compliance notice to that AP, and give a copy of the compliance notice to all other APs for the building, including the PAP.
  • The BSR may withdraw a compliance notice at any time.
  • Where the BSR withdraws a compliance notice, it must as soon as reasonably practicable, give the recipient of the compliance notice a notice in writing to that effect.

Managing Safety Risks – Guidance

The following guides have been published:

Building safety guides for accountable persons

Read more

Assessing safety risks in high-rise residential buildings: a detailed guide

Read more

Managing safety risks in high-rise residential buildings: a detailed guide

Read more

Safety management systems for high-rise residential buildings

Read more

Preparing a safety case report

Read more

Safety case for a high-rise residential building

Read more

Preparing a resident engagement strategy

Read more
Return to Contents
View Glossary

Tel: 020 7628 7576

www.devonshires.com

To receive insights, briefings and invitations from Devonshires, click here to join our mailing list.

@Devonshires 2023

Copyright in this publication belongs to Devonshires Solicitors LLP. The content of this publication is current as at the time of publication. It is intended as guide to the subject matter and not as legal advice, and it should not be construed as the giving of legal advice. For further information, please email one of the contacts named at the end of this publication.