4. Risk assessment and control measures

Identify and assess risks

Describe the process used for identifying and assessing building safety risks for the building. Include details of how the assessments have been used to:

  • identify the control measures already in place
  • how any further actions identified have been (or will be) taken forward

If your building has more than one accountable person (AP), your report should describe the findings of each AP's risk assessment, and the approaches taken.

Visit Identifying building safety risks for more information.

Describe how building safety risks can happen in this building

List and describe the specific building safety risks identified by the risk assessment. The process needs to identify:

  • how things might go wrong in your building
  • other things that might make these worse
  • potential consequences
  • relevant control measures or other mitigation

Fire safety

Provide details of the type and frequency of fire risk assessments, and state the reasons for choosing that approach. Summarise the significant findings of any fire risk assessment in terms of building safety risks. Where relevant, make reference to:

  • the fire strategy
  • the regulation 38 (Building Regulations) handover information for recently constructed buildings

Provide a summary of the prevention and protective measures in place in the building, describing:

  • how the measures link to the findings of the building safety risk assessment
  • the systems in place to ensure the measures will operate as intended if required
  • how the measures are inspected and tested

Structural integrity

Your safety case report should provide an overview of:

  • what you are doing to identify the structural condition of the building
  • how you are maintaining its structural integrity

For recently constructed buildings, you will find initial design and construction information in the health and safety file provided under the Construction, Design and Management Regulations 2015.

Information useful in demonstrating structural integrity may include:

  • the building's Approved Document A consequence class and the measures taken based on that class
  • the building's key structural elements such as the primary load bearing system
  • the building's stability system(s)
  • materials used in the building's construction
  • description of the building's foundations
  • findings from the building safety risk assessment and any structural surveys or inspections

Where surveys or investigations have been carried out, provide a description in the safety case report. This might have been done because information about a building's construction or current condition is not known. Relevant information will include:

  • details of the type and level of intrusion of the survey
  • an explanation of why the chosen approach was taken
  • a summary of the findings of the report
  • any plans for future monitoring or surveys

If problems were identified with the building's structure, their importance should have been assessed. The safety case report should describe any remedial action being taken, timescales for completion, and any interim measures required.

As with fire safety, make a link between the measures taken and findings of the building safety risk assessment.

Maintenance

Include a description of the measures in place to ensure the ongoing integrity of the prevention and protective measures and building condition. This should include:

  • how you manage maintenance and inspection activities
  • how you monitor these to ensure they take place
  • how you track any resulting remedial actions to completion

You can also include examples of effective systems for maintenance:

There is a risk of fire from faulty electrical systems. This could lead to a building safety risk happening. Electrical systems need to be inspected and maintained.

The report could say:

"Inspections of fixed electrical installations in common parts of the building are scheduled every 5 years in accordance with current guidance. Inspections are undertaken by Example Contractor Limited who is registered with Professional Body X. Checks were made on their competence before appointing them including their history of undertaking work in high-rise residential buildings and confirming their registration.

Reports are reviewed by A N Other (Maintenance Manager). Recommendations are either actioned (if within allocated budgets) or discussed at management meetings if capital expenditure approval is required. This can be fast-tracked if urgent work is identified. Interim measures are considered to ensure safety in the meantime. If any recommendations are not implemented, a note explaining why is added to the records for the inspection.

The reports are also used to review the effectiveness of the maintenance arrangements and whether the frequency of inspection is right.

Any works that might affect compartmentation or other measures to control building safety risks are managed via our management of change process. This ensures any necessary temporary controls are put in place and existing controls reinstated once the work is complete.

If any areas or systems could not be inspected – for example because access was not possible – these are noted. They are then followed up as soon as possible by the Maintenance Manager.

Progress with planned maintenance is discussed at senior management meetings.

Inspection reports and details of works carried out are kept electronically within the company's document management system."

Updated 2022-06-22