Complaints Handling Policy

Purpose
 

This policy sets out how the business handles complaints relating to its Building Control activities. It is intended to ensure complaints are managed fairly, transparently, promptly, and in a manner consistent with the requirements and expectations of the Building Safety Regulator (BSR) Operational Standard Rules (OSRs) and the Professional Conduct Rules (PCRs) for RBCA’s.
 

The policy supports public confidence in the independence, professionalism, and integrity of the business as a Registered Building Control Approver (RBCA).

Scope
 

This policy applies to:
 

• All employees, directors, and officers of the business

• All contractors and associates engaged in Building Control activities

• Complaints received from clients, dutyholders, members of the public, or other stakeholders

This policy covers complaints about:
 

• The conduct or behaviour of staff or contractors

• Decisions or actions taken as part of Building Control functions

• Delays, communication issues, or service standards

This policy does not replace statutory appeal routes under Building Regulations.

Principles
 

Complaints will be handled in accordance with the following principles:
 

• Fairness and impartiality

• Transparency and openness

• Timeliness and proportionality

• Independence from conflicts of interest

• Continuous improvement

No complainant will be disadvantaged for raising a complaint in good faith.

 

What is a Complaint
 

A complaint is an expression of dissatisfaction, whether justified or not, about:
 

• The service provided by the business

• The actions or decisions of its staff or contractors

Routine queries, requests for information, or statutory appeals are not treated as complaints unless dissatisfaction is explicitly expressed.

How to Make a Complaint
 

Complaints may be submitted:
 

• In writing (email or letter)

• Verbally (by telephone or in person)
  
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All complaints will be recorded in the Complaints Register, regardless of how they are received. The business will make reasonable adjustments to support complainants where required.

Acknowledgement
 

All complaints will be acknowledged within 5 working days of receipt.
 

The acknowledgement will:
 

• Confirm receipt of the complaint

• Explain the complaints process

• Provide an expected timescale for a response

Investigation
 

Complaints will be investigated by a person who:
 

• Was not directly involved in the matter complained about, where reasonably practicable

• Has sufficient seniority and competence to assess the issue

The investigation may include:
 

• Review of records, correspondence, and inspection notes

• Interviews with relevant staff or contractors

• Consideration of applicable legislation, guidance, and internal procedures

 

Response
 

A written response will normally be issued within 20 working days of acknowledgement.
 

If additional time is required, the complainant will be informed of the reason for delay and provided with an updated timescale.
 

The response will:
 

• Address the issues raised

• Explain the findings of the investigation

• Set out any actions taken or proposed

Outcomes and Remedies
 

Where a complaint is upheld, appropriate actions may include:
 

• An apology

• Clarification or correction of information

• Review or amendment of procedures

• Additional training or supervision

• Disciplinary action where appropriate

Complaints outcomes will be proportionate and focused on learning and improvement.

Escalation and External Oversight
 

If a complainant is dissatisfied with the outcome, they may request escalation to a senior officer or Director not previously involved.
 

This policy does not restrict a complainant’s right to raise concerns with external bodies, including the Building Safety Regulator - Contact the Building Safety Regulator - GOV.UK

Records and Confidentiality
 

All complaints and related records will be:
 

• Logged in the Complaints Register

• Retained securely in accordance with data protection requirements

• Made available to the Building Safety Regulator upon request

Information will be handled confidentially and shared only where necessary.

 

Monitoring and Review
 

The business will:
 

• Review complaints periodically to identify trends and learning opportunities

• Use complaints to inform training, supervision, and procedural improvements

This policy will be reviewed at least annually, or sooner if required by regulatory change or operational need.

Responsibility
 

Overall responsibility for this policy rests with the Senior Management Team (SMT).
 

All staff and contractors are required to:
 

• Be aware of this policy

• Cooperate fully with complaint investigations

• Act professionally and transparently at all times