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Mandatory Occurrence Reporting

Mandatory Occurrence Reporting During Construction - An Overview

Incidents and risks to safety may arise at any time during the construction, refurbishment and occupation phases of a building. For Higher Risk Buildings (HRBs), the Building Safety Act 2022 requires that these events, known as ‘Mandatory Occurrences’ are notified and reported to the Building Safety Regulator (BSR).

During the construction works, dutyholders must operate a Mandatory Occurrence Reporting (MOR) system. The dutyholder must submit details of the system to be used to the BSR in the Building Control Application that is issued at Gateway Two. This subsequently becomes one of the Agreed Documents following approval by the BSR.

What Is A Mandatory Occurrence?

Mandatory Occurrence Reporting and the Building Safety ActA Mandatory Occurrence refers to significant building safety incidents or risks during construction works and the occupation phase of a HRB that lead to:

  • the death of a significant number of people
  • serious injury that needs immediate treatment in hospital for a significant number of people
  • structural failure and/or the spread of fire or smoke

Safety incidents or risks may be:

  • an incident that has happened
  • the risk of an incident happening in the future

Some examples of criteria that may need reporting include, but are not exclusive to:

  • discovery of structural defects
  • defective building works
  • fire safety issues likely to result in the spread of fire
  • product issues - use of non-compliant or incompatible products; incorrect installation of compliant products or product failure to meet specified properties.
  • faults in the design plans due to design software or human error

Requirements Of A Mandatory Occurrence Reporting System

Mandatory Occurrence Reporting and the Building Safety ActA MOR system is essential for ensuring compliance and safety and must be operated by both the Principal Designer and the Principal Contractor.

The MOR system must:

  1. Identify responsible individuals for managing the reporting system. Different individuals may be required for Design and Construction Mandatory Occurrences.
  2. Inform all project participants via site inductions and toolbox talks, on the method of reporting building safety incidents and risks.
  3. Establish a process in order to respond to a building safety incident or risk. This must:
    • (a) record the incident or risk
    • (b) determine whether it is a Mandatory Occurrence
    • (c) identify who needs to be notified
    • (d) submit a Mandatory Occurrence Notice to the BSR as soon as possible
    • (e) record the allocated reference number (given by the BSR)
    • (f) submit a Mandatory Occurrence Report to the BSR within 10 days of the incident or risk being identified
    • (g) decide on further action. This must include details of any remedial action, change control application or notification (as necessary), further investigation that may include examining the cause of the incident or risk.
  4. The MOR system must be regularly reviewed.
  5. The Change Control Log should be updated following any change to the MOR system.

It’s important to note that the email address used to submit Notices and Reports to the BSR must be registered and verified with the online service at an early stage in the project works, before any information can be submitted. A dedicated project email address that is to be used specifically for Mandatory Occurrence Reporting (MOR) to the BSR may be set up.

Mandatory Occurrence Notice And Report Files

  • Mandatory Occurrence Reporting and the Building Safety ActA Mandatory Occurrence Notice provides initial details about the Mandatory Occurrence, including a brief description and immediate actions taken.
    • It is issued to the BSR as soon as possible after the Mandatory Occurrence. Brief details are to be given for the building, its location, relevant contact details and a summary of the incident. For more details of what is required to be provided on the Notice, refer to the UKBuild template link.
  • A Mandatory Occurrence Report must be issued to the BSR by the responsible person within 10 days of the Mandatory Occurrence being identified and the Notice being issued. It elaborates on the occurrence described in the Mandatory Occurrence Notice, providing further information including:
    • The reference number allocated by the BSR when the notice was issued
    • A detailed description and cause
    • How the occurrence was identified
    • Affected individuals and safety measures
    • Any supporting evidence (documents or media). Supporting files are limited to a maximum of 500 MB
    • Lessons that can be learned and shared.

Both documents can be issued at the same time if all of the information that is needed to be passed on is available when the Notice would normally be issued.

On receiving the report, the BSR will carry out a review and respond if it determines that the Mandatory Occurrence did not need to be reported OR that further information or actions, such as an investigation, is required.

IMPORTANT - Failure to submit both documents constitutes an offense, even if the issue is rectified promptly. This could lead to enforcement action being taken against the dutyholder, including prosecution.

Changes In Response To The Mandatory Occurrence

Mandatory Occurrence Reporting and the Building Safety ActOn investigation, the Mandatory Occurrence may require a controlled change such as a change to existing plans or the previously agreed building strategy. This must be recorded in the Change Control Log and is classed as follows:

Major change - requires an application to the Building Safety Regulator (BSR) and approval before work commences

Notifiable change - where work can begin once the BSR has been notified

Recordable change – an identified change that is required, but that does not fit in either of the previous 2 change categories above.

Integrating MOR into Construction Processes

MOR systems must align with project workflows:

  • MOR System details must be included in in the Building Control Application at Gateway Two.
  • Record changes in the Change Control Log for accountability and regulatory compliance.
  • Assign project-specific emails for MOR submissions to streamline communication.

Additional Guidance And Resources

Mandatory Occurrence Reporting and the Building Safety ActFor more detailed instructions, refer to the following:

For further assistance or to submit Notices and Reports, contact the Building Safety Regulator at 0300 790 6787 or use their online service.