Mandatory Occurrence Reporting System: A Guide to Reporting Safety Risks Under the Building Safety Act 2022

In a decisive move to strengthen building safety, the UK government has introduced a new era of vigilance and accountability within the construction industry. Through the implementation of secondary legislation under the Building Safety Act 2022, a mandatory occurrence reporting system has been established, focusing on the safety of higher-risk buildings (HRBs) in England. This system, outlined in the Building (Higher-Risk Buildings Procedures) Regulations 2023, signifies a significant shift towards ensuring that buildings are constructed with the utmost consideration for structural integrity and fire safety. 

• A Closer Look at the Reporting System
• What Occurrences Need to be Reported?
• The Role of Principal Duty Holders
• Overlaps with Other Parts of the Building Safety Act
• How the MOR System Applies to M&E Contractors (and Other Members of the Supply Chain)
• Conclusion

A Closer Look at the Reporting System 

The legislation introduces a comprehensive framework requiring the immediate reporting of any "safety occurrences" that may compromise the structural integrity or fire safety of HRBs, posing a serious risk to human life. These reports must be promptly sent to "principal duty holders" and then ultimately directed to the Building Safety Regulator (BSR) during the crucial construction phase of a building’s lifecycle. 

What occurrence needs to be reported? 

As per the mandatory occurrence reporting system, every safety occurrence needs to be reported to the BSR. 

Broadly, under the Regulations, a safety occurrence is either: 

An aspect of the design (if built) or an incident or situation relating to the structural integrity or fire safety of an HRB that would (when the building is used) be likely to present a risk of a significant number of deaths, or serious injury to a significant number of people. 

Some examples of design aspects that could be safety occurrences include: 

• defective building work, including defective competent person scheme work which is part of the wider building work 
• fire safety issues likely to result in the spread of fire 
• the use of non-compliant products or incompatible compliant products in the construction of the building 
• inappropriate or incorrect installation of construction products 
• product failure against specification and claimed performance 
• faults in the design plans, caused by either design software or human error. 

Some incidents that could count as a safety occurrence include: 

• the spread of fire 
• total or partial collapse of the building 
• defective building work 

• unexpected failure or the degradation of construction materials 
• the discovery of structural defects 
• failure of a critical fire safety measure, such as an automatic opening vent, smoke extraction or fire doors 

A safety occurrence can be identified and reported at any phase of the construction project, such as during construction of an HRB as well as during work on an existing HRB. The aim is to identify and mitigate these risks before they can evolve into more severe threats to the safety of building occupants. 

The Role of Principal Duty Holders 

At the heart of this new reporting system are the principal duty holders, tasked with establishing and maintaining a reporting framework before and during construction. This system must empower all project participants, including designers, contractors, and even periodic site visitors, to report any safety concerns swiftly and efficiently. 

Principal duty holders, identified as either the principal contractor or designer, play a crucial role in this process. They are not only responsible for maintaining the reporting system but also for ensuring that all safety occurrences are promptly reported to the BSR. This level of responsibility underscores the importance of selecting competent individuals or entities that can fulfill these legislative requirements effectively. 

To facilitate compliance, the legislation stipulates that clients appointing principal duty holders must take "all reasonable steps" to verify that their appointees are capable of meeting the demands of the mandatory occurrence reporting system. This includes their ability to report to the BSR as required. Such measures are crucial in setting a high standard of safety and accountability in the construction of HRBs. 

Here is how the Principal Dutyholders should operate the MOR system: 

Step 1: Identifying building safety risks 

• The Principal Dutyholders must ensure that frequent inspections of the design work and construction work must be set up by the principal designer and principal contractor respectively, to help identify any building safety incidents and risks. 
• They also must promptly review any reports submitted on the system and decide what further action is needed. 
• For any designers, contractors, workers or individuals visiting the site, information must be shared regarding how the MOR system works. This includes 

• what they need to report 
• how to make a report 
• how and when the report will be dealt with 
• when they should expect a response about a report they have made 
• how you’ll collect and store information in line with General Data Protection Regulation (GDPR). 
• An example of what people should report on your mandatory occurrence reporting system. 

Step 2: Reporting Building Safety Risks to the BSR 

A principal dutyholder must report a safety occurrence when they become aware of it, notifying the BSR as quickly as possible. They must then provide a written report to the BSR within 10 days of the principal dutyholder becoming aware of the safety occurrence. 

This written report to the BSR should include: 

• The date and time of the safety occurrence 
• The address of the site where the safety occurrence happened. 
• The name and contact details of the principal dutyholder who is making the report. 
• the incident or risk you are reporting and when and how you became aware of it 
• what happened, or has the potential of happening? 
• who is involved and the effect on them. 
• what remedial action taken to keep people safe. In the legislation, this is in the form of a separate application called the change control application. 
• any supporting information, such as documents, videos or photos 

Step 3: Awaiting BSR response. 

The BSR will review the report and determine the severity of the safety occurrence. They will also review any safety measures that are in place, and if they are sufficient to manage the risk. 

They will contact the Principal Dutyholder if they: 

• need further information 
• decide the incident or risk did not need to be reported 
• need to start an investigation 

During an investigation, they review the findings and decide if any action is needed. 

Overlaps with Other Parts of the BSA 

The new mandatory occurrence reporting system introduced under the Building Safety Act 2022 is a critical component of a broader framework designed to enhance the safety of higher-risk buildings (HRBs) in England. However, it's essential to understand that this system does not function in isolation. Instead, it intersects with several other key elements of the new building safety regime, ensuring a cohesive and comprehensive approach to building safety. These interactions include the following areas: 

Gateways 

The concept of "Gateways" serves as a crucial checkpoint system in the construction and occupation phases of HRBs. Each Gateway acts as a stage where specific requirements must be met before progressing to the next phase of the building process. 

• Gateway 2 (Building Control Approval Application):At this stage, a "mandatory occurrence reporting plan" must be submitted to the BSR, or in some cases, it may be requested by the BSR. This plan outlines how safety occurrences will be reported and managed throughout the construction phase, ensuring that there's a proactive approach to identifying and mitigating potential safety risks. 
• Gateway 3 (Completion Certificate Application): The mandatory occurrence reporting plan also forms a part of the application for the Gateway 3 completion certificate. This ensures that the approach to managing and reporting safety occurrences has been consistently applied and that the building is safe for occupation. 

Change Control 

The new building safety regime introduces a change control process specifically designed for HRBs. This process requires that any proposed variations to the original design or construction plan be meticulously logged and assessed for their impact on building safety. 

If these variations have the potential to affect the mandatory occurrence reporting system, the change control log must document these impacts. This could involve modifications to how safety occurrences are reported or changes to the types of occurrences that must be reported. The BSR will then consider these impacts when reviewing and deciding whether to approve a change control application, ensuring that any changes do not compromise safety. 

Golden Thread 

The "golden thread" concept is integral to the new regime, representing a living record of building information that ensures the safety and integrity of HRBs throughout their lifecycle. This documentation is vital for maintaining a clear and accessible record of all aspects of the building's safety features and management practices. 

As part of the golden thread, copies of any mandatory occurrence reports submitted to the BSR must be included as soon as practicable after they are provided. This ensures that the building's safety record is up-to-date and comprehensive, allowing for ongoing assessment and management of safety risks. 

By intertwining with these other aspects of the building safety regime, the mandatory occurrence reporting system ensures a multi-faceted approach to building safety. This interconnectedness enhances the ability to proactively manage and mitigate risks throughout the lifecycle of HRBs, from planning and construction to occupation and maintenance, fostering a safer built environment for all. 

How the MOR System Applies to M&E Contractors and Other Members of the Supply Chain

M&E contractors play a crucial role within the Mandatory Occurrence Reporting (MOR) system, especially in the context of the construction and maintenance of Higher Risk Buildings (HRBs). Their responsibilities are integral to ensuring the structural integrity and fire safety of these buildings. Here are some key responsibilities that M&E contractors hold within the MOR system: 

1. Identification and Reporting of Safety Occurrences

 Detection: M&E contractors must be vigilant in identifying any safety occurrences related to mechanical and electrical systems that could potentially compromise the building's structural integrity or fire safety. This includes issues with HVAC systems, electrical wiring, plumbing, fire suppression systems, and any other installations they manage. 

Reporting: Once a safety occurrence is identified, M&E contractors are responsible for promptly reporting it to the principal dutyholders (the principal contractor or designer), who will then ensure that these reports are escalated to the Building Safety Regulator (BSR) as required by the MOR system. 

2. Compliance with Mandatory Occurrence Reporting Plan

M&E contractors need to be familiar with and operate in accordance with the mandatory occurrence reporting plan established by the principal dutyholders for the project. This involves understanding the specific protocols for reporting safety occurrences and ensuring that their teams are trained and equipped to comply with these procedures. 

3. Collaboration and Communication

With Principal Dutyholders: Effective communication with principal dutyholders is crucial. M&E contractors must ensure that any identified risks are clearly and promptly communicated, allowing for swift action to mitigate potential safety issues. 

With Other Contractors: Since M&E systems often interact with other aspects of a building's construction, M&E contractors must also collaborate with other contractors to ensure that their work does not introduce new risks or interfere with the mitigation of identified safety occurrences. 

4. Record Keeping and Documentation

M&E contractors should maintain detailed records of all identified safety occurrences, the measures taken to address them, and any communications regarding these issues. These records could be crucial for the golden thread documentation, ensuring that a comprehensive history of safety-related incidents and actions is maintained for the building. 

5. Compliance with Change Control Processes

In the event that changes are required to the M&E design or installation that could affect the building's safety, M&E contractors must engage with the change control process. This involves assessing the impact of proposed changes on safety, documenting these impacts, and submitting them for approval as part of the broader safety management system. 

6. Participation in Safety Reviews and Inspections

M&E contractors may also be required to participate in safety reviews and inspections as part of the ongoing compliance with the MOR system. This could involve providing expertise and insights into the mechanical and electrical systems' safety aspects and addressing any concerns raised during inspections. 

By fulfilling these responsibilities, M&E contractors contribute significantly to the overarching goal of the MOR system: to ensure the safety and integrity of HRBs through proactive identification, reporting, and mitigation of safety risks. 

Conclusion 

The introduction of the mandatory occurrence reporting system represents a significant advancement in building safety regulation. By mandating the reporting of safety occurrences and ensuring that principal duty holders are adequately equipped to manage these responsibilities, the system aims to minimize risks associated with structural integrity and fire safety. As this new framework takes root, it promises to foster a culture of transparency and vigilance in the construction industry, ultimately leading to safer buildings and a reduction in incidents that could endanger lives. This initiative not only reflects the government's commitment to building safety but also sets a precedent for other nations to follow, potentially influencing global standards in construction safety and oversight.