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72 provisions
38 Handover of information on completion etc
(1) The client for HRB work, a stage of HRB work or work to existing HRB must give—
(a) the BFLO information; and
(b) the specified golden thread information,
to the relevant person no later than the date the work is completed, or where regulation 45 (partial completion certificates) applies no later than the date the part of the building is to be occupied.
(2) The golden thread information given under paragraph (1) must be provided in such a way as to retain the filing structure in which it was kept, including each index, key or other information logically associated with it and in a format which enables the relevant person to read, keep and update the information.
(3) The relevant person must give the client a notice acknowledging receipt of the specified golden thread information which confirms—
(a) they are able to access the information, and
(b) the information provided is sufficient to enable them to understand, operate and maintain the building (and the fire safety systems in it) after the building work.
(4) The requirements of paragraph (1) do not apply to work to existing HRB which consists only of—
(a) scheme work;
(b) exempt work, or
(c) work to which regulation 10 (notification of emergency repairs to existing HRB) applies.
(5) In this regulation—
“BFLO information” means—
where Part B of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, the fire safety information;
where paragraph F1(1) of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, sufficient information about the building’s ventilation system and its maintenance requirements so that the ventilation system can be operated in such a manner as to provide adequate means of ventilation;
where paragraph L1 of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, sufficient information about the building, the fixed building services and their maintenance requirements so that the building can be operated in such a manner as to use no more fuel and power than is reasonable in the circumstances;
where paragraph L2 of Schedule 1 to the 2010 Regulations applies in relation to the work, sufficient information about the system for on-site electricity generation in respect of its operation and maintenance requirements so that the system may be operated and maintained in such a manner as to produce the maximum electricity that is reasonable in the circumstances and delivers this electricity to the optimal place for use; and
where Part O of Schedule 1 to the 2010 Regulations applies in relation to the work, sufficient information about the provision made in accordance with Part O so that the systems in place further to Part O can be operated in such a manner as to protect against overheating;
“relevant person” means—
where, after building work is completed, a building is not a higher-risk building for the purposes of Part 4 of the 2022 Act, the responsible person for the building;
in any other case, the accountable person for the part of the building to which the work relates and the responsible person (if any) for the building;
“responsible person” has the meaning given in article 3 of the Regulatory Reform (Fire Safety) Order 2005;
“specified golden thread information” means—
in relation to cases where regulation 45 applies, a copy of —
the partial completion certificate application in relation to the HRB work, the stage of HRB work or, as the case may be, work to existing HRB which the client proposes to make, and
each document which under regulation 45 (partial completion certificate applications) is required to accompany the application;
in relation to any other case, a copy of—
the completion certificate application in relation to the HRB work, the stage of HRB work or, as the case may be, work to existing HRB which the client proposes to make; and
each document which under regulation 40 (completion certificate applications) is required to accompany the application.
39 Information to be provided where work is scheme work
(1) Where work to existing HRB consists only of scheme work and Part B of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, the certifier must give the fire safety information to the client and the responsible person no later than—
(a) where the building to which the building work relates is not occupied during the work, the date of completion of the work or the date of occupation of the building, whichever is the earlier;
(b) in any other case, the date of completion of the work.
(2) The responsible person must give the certifier a notice acknowledging receipt of the fire safety information and confirming the information provided is sufficient to enable them to understand, operate and maintain the building (and the fire safety systems in it) after the building work in question and give a copy of that notice at the same time to the client.
(3) The certifier must notify the client—
(a) confirming that they have given fire safety information to the responsible person, and
(b) stating that they have received a notice from the responsible person pursuant to paragraph (2) or where they have not received the notice, stating the steps taken to obtain the notice from the responsible person and the dates they were taken.
(4) The notification under paragraph (3) must be given no later than 7 days after the date referred to in paragraph (1).
(5) Within 30 days of receiving the notification under paragraph (4) the client must notify the regulator confirming receipt of the notification from the certifier.
(6) Where work to existing HRB consists only of scheme work and paragraph F1(1) of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, the certifier must, not later than five days after the work has been completed, give sufficient information to the client and the responsible person about the building’s ventilation system and its maintenance requirements so that the ventilation system can be operated in such a manner as to provide adequate means of ventilation.
(7) Where work to existing HRB consists only of scheme work and paragraph L1 of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, the certifier must, not later than five days after the work has been completed, provide to the client and the responsible person sufficient information about the building, the fixed building services and their maintenance requirements so that the building can be operated in such a manner as to use no more fuel and power than is reasonable in the circumstances.
(8) Where work to existing HRB consists only of scheme work and paragraph L2 of Schedule 1 to the 2010 Regulations applies in relation to the work, the certifier must, not later than five days after the work has been completed, provide to the client and the responsible person sufficient information about the system for on-site electricity generation in respect of its operation and maintenance requirements so that the system may be operated and maintained in such a manner as to produce the maximum electricity that is reasonable in the circumstances and delivers this electricity to the optimal place for use.
(9) In this regulation—
“certifier” means—
where the work is described in column 1 of the Table in Schedule 3 to the 2010 Regulations and the work is to be carried out by a person described in the corresponding entry in column 2 of that Table, the person carrying out the work;
where the work is described in column 1 of the Table in Schedule 3A to the 2010 Regulations and the work is to be inspected by a person described in the corresponding entry in column 2 of that Table who has been appointed by the person intending to carry out the work, the person inspecting the work;
“fire safety information” means information relating to—
the design and construction of the building and the services, fittings and equipment provided in or in connection with the building;
the design of the material change of use and building work to implement it;
the composition of materials used,
which will assist the responsible person to operate and maintain the building with reasonable safety;
“responsible person” has the meaning given in article 3 of the Regulatory Reform (Fire Safety) Order 2005.
(1) An application for a completion certificate in relation to HRB work, a stage of HRB work or work to existing HRB (“a completion certificate application”) must be made in writing to the regulator, signed by the client (in this Part “the applicant”), and must include—
(a) the name, address, telephone number and (if available) email address of the client;
(b) the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer);
(c) a statement that the application is made under this regulation;
(d) a description of the work, as built, including—
(i) the location of the higher-risk building;
(ii) details of the use or intended use of the higher-risk building, including the use or intended use of each storey;
(iii) the height of the higher-risk building as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(iv) the number of storeys in the higher-risk building as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(v) the number of flats, the number of residential rooms and the number of commercial units contained in the higher-risk building;
(vi) the provision made for the drainage of the higher-risk building;
(vii) where paragraph H4 of Schedule 1 to the 2010 Regulations imposes a requirement, the precautions taken in building over a drain, sewer or disposal main to comply with the requirements of that paragraph;
(viii) the steps taken to comply with any local enactment that applies;
(e) a statement, signed by the client, confirming that to the best of the client’s knowledge—
(i) in the case of HRB work, the higher-risk building, as built, complies with all applicable requirements of the building regulations;
(ii) in the case of a stage of HRB work, the stage, as built, complies with all applicable requirements of the building regulations;
(iii) in the case of work to existing HRB, the work, as built, complies with all applicable requirements of the building regulations;
(f) a statement, signed by both the client and the relevant person, confirming that the information to be provided to the relevant person in accordance with regulation 38 (handover of information on completion etc) has been given and the relevant person has received the information ;
(g) if, in accordance with regulation 4(1)(f), 12(1)(f) or 21(2)(g), building safety levy information was required to be provided with a building control application or an updated application in relation to that building control application, a levy liability statement under paragraph (3A).
(2) A completion certificate application must be accompanied by—
(a) a notice stating the date on which the building work was completed,
(b) a plan to a scale of not less than 1:1250 showing—
(i) the size and position of the higher-risk building and its relationship to adjoining boundaries;
(ii) the boundaries of the curtilage of the building, and the size, position and use of every other building within the curtilage;
(iii) the width and position of any street on or within the boundaries of the curtilage of the building;
(c) such other plans that are necessary to show that the HRB work, a stage of HRB work or work to existing HRB complied with all applicable requirements of the building regulations;
(d) the following agreed documents—
(i) the construction control plan;
(ii) the change control plan;
(iii) the mandatory occurrence reporting plan;
(iv) the Building Regulations compliance statement;
(v) a fire and emergency file,
or, where regulation 12(3) (building control approval applications for work to existing HRB) applies, such of the documents referred to in paragraphs (i) to (v) as were approved under regulation 15 (building control approval applications for work to existing HRB: decisions);
(e) a copy of the change control log updated to show all the changes for the project required by these Regulations to be included in the log,
(f) subject to paragraph (3), a compliance declaration signed by—
(i) each principal contractor (or sole contractor) for the HRB work, the stage of HRB work or work to existing HRB, and
(ii) each principal designer (or sole or lead designer) for the HRB work, the stage of HRB work or work to existing HRB,
if such a statement was not already provided to the regulator, in relation to that part of the work, under regulation 29 (new principal contractor or principal designer etc: notification);
(g) where the application is made by someone on behalf of the client, a statement signed by the client confirming they agree to the application being made and that the information contained in the application is correct.
(3) Where a client is unable to ensure the person mentioned in paragraph (2)(f) provides a compliance declaration, the completion certificate application must be accompanied by a statement by the client giving the reasons why the declaration has not been provided.
(3A) Subject to paragraph (3B), a “levy liability statement” is a statement, signed by the named client, that—
(a) a notice of no charge has been given in relation to the application referred to in paragraph (1)(g), or an updated application relating to it, and has not been cancelled under regulation 43 or 53 of the BSL Regulations, or
(b) the levy liability amount in relation to the application referred to in paragraph (1)(g), or an updated application relating to it, has been paid in full.
(3B) Where there is more than one collecting authority in relation to the building control application, the named client may only give a statement under paragraph (3A)(a) if each of the collecting authorities in relation to the application have given a notice of no charge and none of those notices have been cancelled.
(3C) In this regulation, “building control application”, “levy liability amount” and “notice of no charge” have the same meaning as in the BSL Regulations.
(4) The requirements of this regulation do not apply to work to existing HRB which consists only of—
(a) scheme work;
(b) exempt work, or
(c) work to which regulation 10 (notification of emergency repairs to existing HRB) applies.
(5) In this regulation, “compliance declaration” means a document, signed by the principal contractor (or sole contractor) or the principal designer (or sole or lead designer) to which the declaration relates, that includes—
(a) the name, address, telephone number and (if available) email address of that person;
(b) the dates of their appointment, and
(c) a statement confirming—
(i) in the case of a principal contractor (or sole contractor), that they fulfilled their duties as a principal contractor under Part 2A (dutyholders and competence) of the 2010 Regulations;
(ii) in the case of a principal designer (or sole or lead designer), that they fulfilled their duties as a principal designer under Part 2A (dutyholders and competence) of the 2010 Regulations.
41 Completion certificate applications: validity and time limit
(1) Where the regulator receives a completion certificate application in relation to HRB work, a stage of HRB work or work to existing HRB which is valid the regulator must—
(a) notify the applicant to that effect, and
(b) determine it within 8 weeks beginning with the date the application is received by the regulator or within such longer period as at any time the regulator and the applicant agree in writing.
(2) Where the regulator receives a completion certificate application which is not valid the regulator must notify the applicant to that effect giving reasons (and where the applicant is not the client, also give a copy of the notification to the client).
(3) A completion certificate application is valid if it complies with regulation 40 (completion certificate applications).
(1) Before determining a completion certificate application the regulator must consult—
(a) where the work to which the application relates is—
(i) HRB work or a stage of HRB work,
(ii) category A work, or
(iii) category B work and Part B of Schedule 1 to the 2010 Regulations imposes requirements in relation to the work,
the enforcing authority (within the meaning of article 25 of the Regulatory Reform (Fire Safety) Order 2005) for the building, and
(b) the sewerage undertaker for the building where paragraph H4 of Schedule 1 to 2010 Regulations imposes requirements in relation to the work to which the application relates.
(2) Where the regulator is required to consult a person under this regulation the regulator—
(a) must give the person sufficient plans to show whether the work, as built, complies with—
(i) in the case of the enforcing authority, the applicable requirements of Part B (fire safety) of Schedule 1 to the 2010 Regulations;
(ii) in the case of the sewerage undertaker, the requirements of paragraph H4 of Schedule 1 to the 2010 Regulations;
(b) must not determine the application until the expiry of a period of 15 working days beginning with the date the consultation starts or such longer period as the regulator and the person consulted agree in writing.
(3) In relation to the consultation under paragraph (1)(a) the plans given must include the fire and emergency file or, where the work to which the application relates is category B work, the fire safety compliance information.
(4) If all persons consulted express their views before the end of the period referred to in paragraph (2)(b) then the prohibition against determining the application ceases to apply on the day after the date on which their views are received by the regulator.
(5) The regulator is not required to consult under this regulation where it is satisfied following consideration of the application there are sufficient grounds to reject the application.
(6) In this regulation, “category A work” and “category B work” have the meanings given in regulation 12 (building control approval applications for work to existing HRB).
Before determining a completion certificate application the regulator must arrange an inspection of the completed HRB work, stage of HRB work or work to existing HRB for the purpose of assessing whether the work complies with all applicable requirements of the building regulations.
(1) The regulator must approve a completion certificate application and issue a completion certificate, if it is satisfied, after taking all reasonable steps, that—
(a) HRB work, stage of HRB work or work to existing HRB is completed and complies with all applicable requirements of the building regulations;
(b) the documents and information listed in regulation 40(2)(a) to (d) (completion certificate applications) and submitted as part of the completion certificate application are complete and accurate;
(c) the information required to be provided to the relevant person in accordance with regulation 38 (handover of information on completion etc) is complete and has been provided.
(2) If the regulator is not satisfied in accordance with paragraph (1) it must reject the completion certificate application.
(2A) Where the completion certificate application was required by regulation 40(1)(g) to include a levy liability statement, the regulator must reject the application unless a notice under regulation 63(4) of the BSL Regulations which states that the collecting authority agrees with the levy liability statement has been received from the collecting authority or, where there is more than one authority, such a notice has been received from each collecting authority.
(3) The regulator must notify the applicant of the outcome of the application (and where the applicant is not the client, also give a copy of the notification to the client) within the period referred to in regulation 41 (completion certificate applications: validity and time limit).
(4) A notice that the application has been rejected must give the reasons for rejection.
(5) If the application is approved the regulator must issue a completion certificate for the higher-risk building at the same time as giving the notice of its decision under paragraph (3).
(6) If requested by the applicant or the relevant person, the regulator must provide a paper copy of the completion certificate.
(7) A certificate issued under this regulation is evidence (but not conclusive evidence) that all applicable requirements of the building regulations have been complied with in relation to the HRB work, the stage of HRB work or, as the case may be, the work to existing HRB.
(8) The certificate must include a statement describing its evidentiary effect, in terms substantially the same as paragraph (7).
(9) When the completion certificate application is approved the client must ensure the relevant person (as defined in regulation 38 (handover of information on completion etc)) is sent—
(a) a copy of the completion certificate application and each of the other documents which accompanied the application, and
(b) a copy of the completion certificate.
(1) This regulation applies where—
(a) HRB work or a stage of HRB work is being carried out in relation to a building and the building (or any part of it) is to be occupied before completion of the work;
(b) work to existing HRB is being carried out in relation to a building and before completion of the work—
(i) any part of the building which ceased to be occupied in order for the work to be carried out is to be re-occupied, or
(ii) any new unit created by the work is to be occupied before completion of the work.
(2) Where this regulation applies, before the occupation referred to in paragraph (1) the client must make an application for a completion certificate in relation to part of the work for the building (“partial completion certificate application”) in writing to the regulator, signed by the client (in this regulation “the applicant”), the application must include—
(a) the name, address, telephone number and (if available) email address of the client;
(b) the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer);
(c) a statement that the application is made under this regulation;
(d) a plan showing the part of the building to which the application relates indicating the intended use of that part and the location of the flats (if any) to be occupied or residential rooms (if any) to be occupied;
(e) a description of the part of the HRB work, the stage of HRB work or work to existing HRB that remains to be completed after the date on which the application is made;
(f) a description of the part of the HRB work, the stage of HRB work or work to existing HRB to which the application relates, including—
(i) the location of the higher-risk building;
(ii) details of the use or intended use of the higher-risk building, including the use or intended use of each storey;
(iii) the height of the higher-risk building as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(iv) the number of storeys in the higher-risk building as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(v) the number of flats, the number of residential rooms and the number of commercial units contained in the higher-risk building;
(vi) the provision made for the drainage of the higher-risk building;
(vii) where paragraph H4 of Schedule 1 to the 2010 Regulations imposes a requirement, the precautions taken in building over a drain, sewer or disposal main to comply with the requirements of that paragraph;
(viii) the steps taken to comply with any local enactment that applies;
(g) a statement, signed by the client, confirming that to the best of the client’s knowledge the part of the HRB work, the stage of HRB work or work to existing HRB to which the application relates complies with all applicable requirements of the building regulations;
(h) a statement, signed by both the client and the relevant person, confirming that the information, as at the date on which the application is made, to be provided in accordance with regulation 38 (handover of information on completion etc) has been given and the relevant person has received the information;
(i) a statement (“partial occupation statement”) setting out a detailed description of the proposed stages of the work (including an estimate of the time when each stage of the work will start) ;
(j) if, in accordance with regulation 4(1)(f), 12(1)(f) or 21(2)(g), building safety levy information was required to be provided with a building control application or an updated application in relation to that building control application, a levy liability statement under paragraph (4A).
(3) A partial completion certificate application must be accompanied by—
(a) a plan to a scale of not less than 1:1250 showing—
(i) the size and position of the higher-risk building, together with the part of the HRB work, the stage of HRB work or work to existing HRB to which the application relates, and the building’s relationship to adjoining boundaries;
(ii) the boundaries of the curtilage of the building, and the size, position and use of every other building within the curtilage;
(iii) the width and position of any street on or within the boundaries of the curtilage of the building;
(b) such other plans that are necessary to show that the part of the HRB work, the stage of HRB work or work to existing HRB to which the application relates complied with all applicable requirements of the building regulations;
(c) the following agreed documents—
(i) the construction control plan;
(ii) the change control plan;
(iii) a mandatory occurrence reporting plan;
(iv) the Building Regulations compliance statement;
(v) a fire and emergency file;
or, where regulation 12(3) (building control approval applications for work to existing HRB) applies, such of the documents referred to in paragraphs (i) to (v) as were approved under regulation 15 (building control approval applications for work to existing HRB: decisions);
(d) a copy of the change control log updated, up to the date on which the application is made, to show all the changes for the project required by these Regulations to be included in the log;
(e) subject to paragraph (4), a compliance declaration signed by—
(i) each principal contractor (or sole contractor) for the HRB work, the stage of HRB work or work to existing HRB, and
(ii) each principal designer (or sole or lead designer) for the HRB work, the stage of HRB work or work to existing HRB,
if such a statement was not already provided to the regulator, in relation to that part of the work, under regulation 29 (new principal contractor or principal designer etc: notification);
(f) a partial completion strategy;
(g) where the application is made by someone on behalf of the client, a statement signed by the client confirming they agree to the application being made and that the information contained in the application is correct.
(4) Where a client is unable to ensure the person mentioned in paragraph (3)(e) provides a compliance declaration, the partial completion certificate application must be accompanied by a statement by the client giving the reasons why the declaration has not been provided.
(4A) Subject to paragraph (4B), a “levy liability statement” is a statement, signed by the named client, that—
(a) a notice of no charge has been given in relation to the application referred to in paragraph (2)(j), or an updated application relating to it, and has not been cancelled under regulation 43 or 53 of the BSL Regulations, or
(b) the levy liability amount in relation to the application referred to in paragraph (2)(j), or an updated application relating to it, has been paid in full.
(4B) Where there is more than one collecting authority in relation to the building control application, the named client may only give a statement under paragraph (4A)(a) if each of the collecting authorities in relation to the application have given a notice of no charge and none of those notices have been cancelled.
(4C) In this regulation “building control application”, “levy liability amount” and “notice of no charge” have the same meaning as in the BSL Regulations.
(5) Where the regulator receives a partial completion certificate application which is valid the regulator must—
(a) notify the applicant to that effect, and
(b) determine it within 8 weeks beginning with the date the application is received by the regulator or within such longer period as at any time the regulator and the applicant agree in writing.
(6) Where the regulator receives a partial completion certificate application which is not valid the regulator must notify the applicant to that effect giving reasons (and where the applicant is not the client, also give a copy of the notification to the client).
(7) A partial completion certificate application is valid if it complies with paragraphs (2) to (4).
(8) Before determining a partial completion certificate application the regulator must—
(a) comply with regulation 42(1) to (3) (completion certificates applications: consultation), as modified by paragraph (9);
(b) comply with regulation 43(1) (completion certificates applications: inspection) as modified by paragraph (9).
(9) Regulations 42 (completion certificates applications: consultation) and 44 (completion certificates applications: inspection) and Schedule 1 have effect with the following modifications—
(a) any reference to as built is to be treated as a reference to as completed at the date on which the application is made;
(b) any reference to HRB work is to be treated as a reference to the part of the HRB work to which the application relates;
(c) any reference to work to existing HRB is to be treated as a reference to the part of work to existing HRB to which the application relates;
(d) any reference to a higher-risk building is to be treated as a reference to the building to which HRB work, the stage to HRB work or work to existing HRB is being carried out.
(10) The regulator must approve the partial completion certificate application and issue a partial completion certificate, if it is satisfied, after taking all reasonable steps, that—
(a) the part of the HRB work or work to existing HRB which the application relates complies with all applicable requirements of the building regulations and the part of the building to be occupied before completion of the HRB work or work to existing HRB complies with all applicable requirements of the building regulations;
(b) the documents and information listed in paragraphs (2) and (3) and submitted as part of the application are complete and accurate;
(c) the information, as at the date on which the application is made, to be provided to the relevant person in accordance with regulation 38 (handover of information on completion etc) has been given.
(11) If the regulator is not satisfied in accordance with paragraph (10) it must reject the partial completion certificate application.
(11A) Where the partial completion certificate application was required by paragraph (2)(j) to include a levy liability statement, the regulator must reject the application unless a notice under regulation 63(4) of the BSL Regulations which states that the collecting authority agrees with the levy liability statement has been received from the collecting authority or, where there is more than one authority, such a notice has been received from each collecting authority.
(12) The regulator must notify the applicant of the outcome of the application (and where the applicant is not the client, also give a copy of the notification to the client) within the period referred to in paragraph (5).
(13) A notice that the application has been rejected must give the reasons for rejection.
(14) If the application is approved the regulator must issue a partial completion certificate for the building at the same time as giving the notice of its decision under paragraph (12).
(15) If requested by the applicant or the relevant person, the regulator must provide a paper copy of the partial completion certificate.
(16) A certificate issued under this regulation is evidence (but not conclusive evidence) that all applicable requirements have been complied with in relation to the part of the HRB work or work to existing HRB to which the certificate relates.
(17) The certificate must include a statement describing its evidentiary effect, in terms substantially the same as paragraph (16).
(18) When the partial completion certificate application is approved the client must ensure the relevant person (as defined in regulation 38 (handover of information on completion etc) is sent—
(a) a copy of the partial completion certificate application and each of the other documents which accompanied the application, and
(b) a copy of the partial completion certificate.
(19) The requirements of this regulation do not apply to work to existing HRB which consists only of—
(a) scheme work;
(b) exempt work, or
(c) work to which regulation 10 (notification of emergency repairs to existing HRB) applies.
In relation to any building or proposed building for which the regulator is the building control authority, the regulator may take such steps as it considers appropriate to check compliance with all applicable requirements of the building regulations, including—
(a) requiring information;
(b) requiring the laying open of building work for inspection by the regulator;
(c) requiring an inspection to be undertaken and the record of the inspection provided.
(1) This regulation applies where it appears to the regulator that unauthorised building work has been carried out on or after 11th November 1985.
(2) Where this regulation applies, the owner (in this regulation referred to as “the applicant”) may make an application in writing to the regulator in relation to the unauthorised building work (“regularisation certificate application”).
(3) No regularisation certificate application may be made where unauthorised building work is a major change.
(4) The regularisation certificate application must be accompanied by—
(a) a statement that the application is made in accordance with this regulation,
(b) a description of the unauthorised building work,
(c) a plan of the unauthorised building work,
(d) where the application is made by someone on behalf of the owner, a statement signed by the owner confirming they agree to the application being made and that the information contained in the application is correct.
(5) Where the regulator receives a regularisation certificate application, it may require the applicant to take such steps as the regulator thinks appropriate for the regulator to ascertain whether additional building work may be required in order for the unauthorised building work to secure compliance with all applicable requirements of the building regulations.
(6) Where the regulator is satisfied that additional building work is required to secure that the unauthorised building work satisfies the applicable requirements (taking account of any dispensation or relaxation given in accordance with sections 8 and 9 of, and Schedule 2 to, the 1984 Act) then the regulator must reject the application and accordingly an application for building control approval must be made in relation to the additional building work.
(7) Where the regulator is satisfied, after taking all reasonable steps for that purpose that—
(a) the applicable requirements of the building regulations have been satisfied (taking account of any work carried out and any dispensation or relaxation given in accordance with sections 8 and 9 of, and Schedule 2 to, the 1984 Act), and
(b) no additional building work is required to secure that the unauthorised building work satisfies the applicable requirements (taking account of any such dispensation or relaxation),
the regulator may give a certificate to that effect (in this regulation referred to as “a regularisation certificate”).
(8) A regularisation certificate is evidence (but not conclusive evidence) that the applicable requirements of the building regulations specified in the certificate have been complied with in relation to the work specified in the certificate.
(9) Where a regularisation certificate is granted in relation to building work, Parts 2 to 5 of these Regulations cease to apply to that work.
(10) Subject to paragraph (12), where a regularisation certificate is granted the applicant must, no later than five days after the certificate has been received, give the building work information and a copy of the certificate to—
(a) the accountable person who is responsible for the part of the building in relation to which the work described in the certificate relates, and
(b) the responsible person, if any, for the part of the building in relation to which the work described in the certificate relates.
(11) For the purposes of paragraph (10) the “building work information” is—
(a) where Part B of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the unauthorised building work, information relating to—
(i) the design and construction of the building and the services, fittings and equipment provided in or in connection with the building;
(ii) the design of the change of use and building work to implement it;
(iii) the composition of materials used,
which will assist the responsible person to operate and maintain the building with reasonable safety;
(b) where paragraph F1(1) of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the unauthorised building work, sufficient information about the building’s ventilation system and its maintenance requirements so that the ventilation system can be operated in such a manner as to provide adequate means of ventilation;
(c) where paragraph L1 of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the unauthorised building work, sufficient information about the building, the fixed building services and their maintenance requirements so that the building can be operated in such a manner as to use no more fuel and power than is reasonable in the circumstances;
(d) where paragraph L2 of Schedule 1 to the 2010 Regulations applies in relation to the unauthorised building work, sufficient information about the system for on-site electricity generation in respect of its operation and maintenance requirements so that the system may be operated and maintained in such a manner as to produce the maximum electricity that is reasonable in the circumstances and delivers this electricity to the optimal place for use;
(e) where Part O of Schedule 1 to the 2010 Regulations applies in relation to the unauthorised building work, sufficient information about the provision made in accordance with Part O so that the systems in place further to Part O can be operated in such a manner as to protect against overheating.
(12) Paragraph (10) does not apply where the applicant is a domestic client.
(13) In this regulation—
“responsible person” has the meaning given in article 3 of the Regulatory Reform (Fire Safety) Order 2005;
“unauthorised building work” means any building work in relation to a higher-risk building which is carried out without—
a building control approval under regulation 7 (building control approval applications for HRB work or stage of HRB work: decisions) or 15 (building control approval applications for work to existing HRB: decisions) being granted by the regulator;
where the building work is a major change, a building control approval under regulation 24 (change control applications: decisions);
where the building work is a notifiable change, a notification under regulation 18(3) (change control),
but work is not unauthorised building work to the extent that it consists only of scheme work or exempt work.
(1) The following decisions of the regulator are prescribed for the purposes of section 25(1) of the 2022 Act—
(a) a decision to reject—
(i) a building control approval application for HRB work;
(ii) a building control approval application for a stage of HRB work;
(iii) a building control approval application for work to existing HRB;
(iv) a change control application;
(v) a completion certificate application;
(vi) a partial completion certificate application;
(vii) a regularisation certificate application;
(b) a decision to specify a controlled change as being a major change or a notifiable change under regulation 25 (change control: regulator power to specify notifiable changes and major changes);
(c) a decision to refuse a request to vary a requirement under regulation 30 (a variation of a requirement imposed on a building control approval).
(2) The persons prescribed for the purposes of section 25(2) of the 2022 Act in relation to the decisions referred to in paragraph (1) are—
(a) in relation to a decision referred to in paragraph (1)(a), the person who made the application or the person on whose behalf the application was made;
(b) in relation to a decision referred to in paragraph (1)(b), any person to whom the regulator gives notice under regulation 25 (change control: regulator power to specify notifiable changes and major changes);
(c) in relation to a decision referred to in paragraph (1)(c), the client who made the request.
(3) For the purposes of section 25 of the 2022 Act, a person requiring the regulator to carry out a review, or a person on their behalf, must give a notice under section 25(2) of the 2022 Act to the regulator in writing within 21 relevant days beginning with the day after the day on which the decision referred to in paragraph (1) is notified to the person.
(4) A notice under section 25(2) of the 2022 Act must contain the following information—
(a) the name, address, telephone number and (if available) email address for the person giving the notice;
(b) if the person giving the notice is doing so on behalf of a person who falls within the description in paragraph (2), the name and address of that person and a statement that the person giving the notice is authorised to give the notice on behalf of that person;
(c) the address and, if applicable, the name of the building to which the decision referred to in paragraph (1) relates;
(d) a statement of the review being sought which—
(i) identifies the decision to be reviewed (including the date of the decision and any reference number included on the decision), and
(ii) sets out the reasons the person considers the decision should be reviewed;
(e) any information that is available to the person giving the notice, that may have been relevant to the regulator’s original decision but was not available at the time the original decision was made.
(5) The regulator must notify the person who required a review of the outcome of the review within 13 weeks beginning with the day after the day on which the person gives a notice under section 25(2) of the 2022 Act.
(6) A notice that the review has upheld the decision must give the reasons for that decision.
(7) If the review varies the decision the regulator must issue a new decision.
(8) If requested by the person requiring the review, the regulator must provide a paper copy of the decision of the review.
(1) A person may appeal to the First-tier Tribunal against the decision of the regulator of a kind referred to in regulation 48(1) (review of regulator’s decisions) provided that the appeal is made within 21 relevant days beginning with the day after the day on which the regulator notifies the person of its decision under regulation 48(5).
(2) The First-tier Tribunal may allow an appeal under paragraph (1) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) that the decision was unreasonable;
(d) that the decision was made without following the procedures set out in the 1984 Act or regulations made under that Act.
(3) If the First-tier Tribunal allows an appeal it may quash or vary the decision.
(1) The following applications are prescribed for the purposes of section 30A(1) of the 1984 Act, and are accordingly applications that may be determined by the Secretary of State in the circumstances described in that section—
(a) a building control approval application for HRB work;
(b) a building control approval application for a stage of HRB work;
(c) a building control approval application for work to existing HRB;
(d) a change control application;
(e) a completion certificate application;
(f) a partial completion certificate application.
(2) An application may not be made to the Secretary of State under section 30A of the 1984 Act where, in relation to the original application, the regulator has notified the person who made the original application that the original application is not valid.
(1) An application under section 30A of the 1984 Act (“section 30A application”) must be made in writing to the Secretary of State by the client for the work to which the original application relates (in this Part “the applicant”) on a form published by the Secretary of State, together with the documents specified in paragraph (3).
(2) A section 30A application must be made no later than 6 weeks after the day the relevant period in relation to the application or request ends.
(3) The documents mentioned in paragraph (1) are—
(a) a copy of the original application given to the regulator (including all documentation that accompanied the application);
(b) all information provided to the regulator in relation to the original application by the applicant;
(c) all correspondence between the applicant and the regulator in relation to that application;
(d) a copy of the notice sent to the regulator under paragraph (4);
(e) where the application is made by someone on behalf of the client, a statement signed by the client confirming they agree to the application being made and that the information contained in the application is correct.
(4) At least two working days before submitting the application under paragraph (1) the applicant must give notice to the regulator of their intention to do so.
(1) Where an applicant submits a section 30A application through electronic facilities provided by the Secretary of State for that purpose, they are taken to have consented to the use of electronic communications for all purposes relating to the section 30A application that are capable of being carried out electronically.
(2) The deemed consent in paragraph (1) may be revoked by the applicant giving the Secretary of State two weeks’ notice in writing specifying that the notice is given under this regulation.
(1) A section 30A application is to be determined by written representations.
(2) The Secretary of State must give the regulator the opportunity to make written representations in relation to a section 30A application.
(3) The Secretary of State may give any other person an opportunity to make written representations in relation to a section 30A application.
(4) The Secretary of State may, by notice in writing, require the regulator to provide specified information, or provide copies of specified documents, by the date specified in the notice (that date must be no fewer than 14 relevant days after the date the notice is given).
(5) Before determining a section 30A application, the Secretary of State may hold such meetings with the applicant, the regulator or any other person, and undertake such visits, testing or inspections, as the Secretary of State considers appropriate.
(6) The Secretary of State’s decision must be given in writing to the applicant (and where the applicant is not the client, also give a copy of the decision to the client).
(7) A copy of the Secretary of State’s decision must be sent to the regulator.
(1) The Secretary of State may appoint a person to determine a section 30A application instead of the Secretary of State.
(2) At any time before a person appointed under this regulation has determined the application the Secretary of State may—
(a) revoke that person’s appointment;
(b) appoint another person to determine the application instead.
(3) Where a new appointment is made the consideration of the application in question must be started afresh.
(4) Nothing in paragraph (3) requires any person to be given an opportunity to make fresh representations or modify or withdraw representations previously made.
(5) A person appointed under this regulation has the same powers and duties in relation to determination of a section 30A application as the Secretary of State and, in particular, regulation 53 (section 30A applications: determinations) applies as if references to the Secretary of State in that regulation were references to that person.
(6) Where an application is determined by a person appointed under this regulation their decision is to be treated as the decision of the Secretary of State.
Where, in relation to an application that is prescribed in regulation 50 (section 30A prescribed applications)—
(a) the period under regulation 51 (section 30A applications: procedures) for a person to make a section 30A application has expired without the person making a section 30A application in accordance with that regulation, and
(b) the regulator did not determine the original application before the expiry of that period,
then the original application is treated as rejected by the regulator.
(1) An appeal to the First-tier Tribunal under section 30A(8) of the 1984 Act must be made within 21 relevant days beginning with the day after the day on which the Secretary of State gives the decision to the applicant under regulation 53(6) (section 30A applications: determinations).
(2) The First-tier Tribunal may allow an appeal under paragraph (1) only to if it is satisfied that the decision appealed against was wrong on one or more of the following grounds—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) that the decision was unreasonable;
(d) that the decision was made without following the procedures set out in the 1984 Act or regulations made under that Act.
(3) If the First-tier Tribunal allows an appeal it may quash or vary the decision.
58 Requirement for completion certificate before occupation and transitional cases
(1) Each of the following is prescribed as a completion certificate for the purposes of section 76(5) of the 2022 Act—
(a) a completion certificate issued under regulation 44 (completion certificate applications: decisions);
(b) a partial completion certificate issued under regulation 45 (partial completion certificates).
(2) For type A transitional work each of the following is also prescribed as a completion certificate for the purposes of section 76(5) of the 2022 Act—
(a) a completion certificate issued under regulation 17 of the 2010 Regulations;
(b) a partial completion certificate issued under regulation 17A of the 2010 Regulations;
(c) a final certificate given by an approved inspector to a local authority in accordance with the Building (Approved Inspectors etc.) Regulations 2010 and not rejected by the authority.
(3) For type B transitional work each of the following is also prescribed as a completion certificate for the purposes of section 76(5) of the 2022 Act—
(a) a transfer and completion certificate provided for by the modifications in paragraph 5(9), 10(4), or, as the case may be, 11(4) of Schedule 3;
(b) a transfer and partial completion certificate provided for by the modifications in the paragraph 5(9), 10(4), or, as the case may be, 11(4) of Schedule 3;
(c) a final certificate given by an approved inspector to a local authority in accordance with the Building (Approved Inspectors etc.) Regulations 2010 and not rejected by the authority.
(4) In this regulation—
“type A transitional work” means work of a kind referred to in section 76(1) of the 2022 Act which is—
completed before 1st October 2023 but occupied on or after that date,
completed before 6th April 2024 and paragraph 1 of Schedule 3 (transitional provisions) applied to the work but paragraphs 3 and 4 of that Schedule did not apply, or
completed on or after 6th April 2024 and paragraph 7 of Schedule 3 applied to the work;
“type B transitional work” means work of a kind referred to in section 76(1) of the 2022 Act which is completed on or after 6th April 2024 and paragraph 5, 10 or 11 of Schedule 3 (transitional provisions) applies.
(1) The regulator may make a direction as to the way in which any of the following documents are given (which may include specifying cases where it must be given electronically via a website address provided for that purpose by the regulator)—
(a) a building control approval application for HRB work;
(b) a building control approval application for a stage of HRB work;
(c) a building control approval application for work to existing HRB;
(d) a notice under regulation 9(2), 9(3), 17(2) or 17(3) (notices before starting work and when work is “commenced”);
(e) a request for approval under regulation 7(12) or 15(12);
(f) a notification under regulation 8 (regulator’s power to require notifications etc for HRB work or stage of HRB work) or regulation 16 (regulator’s power to require notifications etc for work to existing HRB);
(g) a notice under regulation 10(1)(a) (emergency repair work);
(h) a notification under regulation 18(3) (change control);
(i) a change control application;
(j) a notice under regulation 27 (new client or change of circumstances for the client);
(k) a notice under regulation 28 (change of circumstances for the client: disclaimer of property);
(l) a notice under regulation 29 (new principal contractor or principal designer etc: notification);
(m) a notice or report under regulation 33 (mandatory occurrence reporting: reporting to the regulator);
(n) a notice under regulation 39(5) (information be provided where work is scheme work);
(o) a completion certificate application;
(p) a partial completion certificate application;
(q) a regularisation certificate application;
(r) a notice under regulation 25A(2), 27(2) or (3), 27A(2) or (3), 27C(2) or (3), 37(1), 41(4), 42(2), 43(2), 44(3) and 44ZA(2) of the 2010 Regulations;
(s) a copy of results under regulation 41(2) of the 2010 Regulations;
(t) a notice of review under section 25 of the 2022 Act;
(u) any documents that are required to accompany any application referred to in sub-paragraph (a) to (c), (i), (o), (p) or (q).
(2) A direction must specify the date on which it comes into effect, which must not be earlier than five working days after the date on which the regulator publishes it.
(3) Where the regulator has made a direction in accordance with this regulation, an application (or any document that accompanied the application), notice or request of the type mentioned in the direction must, from the date specified in the direction, be given in accordance with the direction.
(4) The regulator may, by a further direction, amend or revoke a direction made under this regulation.
60 Contraventions by the regulator not to be subject to enforcement
The following provisions of these Regulations are prescribed for the purposes of sections 35(2) and 35B(7)(a) of the 1984 Act—
(a) regulation 5 (building control approval applications for HRB work or stage of HRB work: validity and time limit);
(b) regulation 6(1) and (2) (building control approval applications for HRB work or stage of HRB work: consultation);
(c) regulation 7(1), (4) to (7), (13) and (14) (building control approval applications for HRB work or stage of HRB work: decisions);
(d) regulation 9(4) (notice before starting work and further notice when work is “commenced”);
(e) regulation 13 (building control approval applications for work to existing HRB: validity and time limit);
(f) regulation 14(1) and (2) (building control approval applications for work to existing HRB: consultation);
(g) regulation 15(1), (4) to (7), (13) and (14) (building control approval applications for work to existing HRB: decisions);
(h) regulation 17(4) (notice before starting work and further notice when work is “commenced”);
(i) regulation 22 (change control applications: validity and time limit);
(j) regulation 23(1) and (2) (change control applications: consultation);
(k) regulation 24(1), (4) to (7) and (11)(b) and (d) (change control applications: decisions);
(l) regulation 30(4) and (6) to (8) (variation of a requirement imposed on a building control approval);
(m) regulation 41(1) and (2) (completion certificate applications: validity and time limit);
(n) regulation 42(1) (completion certificate applications: consultation);
(o) regulation 43 (completion certificate applications: inspection);
(p) regulation 44(1) to (6) and (8) (completion certificate applications: decisions);
(q) regulation 45(5), (6), (8), (10) to (15) and (17) (partial completion certificates) except that regulation 45(8) is not prescribed in relation to the regulator consulting a sewerage undertaker;
(r) regulation 47(6) (regularisation of unauthorised building work);
(s) regulation 48(5) to (8) (review of regulator’s decisions);
(t) regulation 53 (section 30A applications: determinations);
(u) regulation 54 (section 30A applications: appointed persons);
(v) regulation 59(2) and (4) (electronic submission and directions).
61 Provisions in relation to which a stop notice may be given
The following provisions are prescribed for the purposes of section 35C(1)(a) of the 1984 Act (stop notices)—
(a) regulation 3 (HRB work not to be started before approval);
(b) regulation 7(12)(b) (HRB work not to proceed until approval under a requirement is received);
(c) regulation 11 (specified work to an existing HRB not to be started before approval);
(d) regulation 15(12)(b) (work to existing HRB not to proceed until approval under a requirement is received);
(e) regulation 18(6) (major change not to be carried out before approval);
(f) regulation 24(11)(a) (major change not to proceed until approval under a requirement is received) but only in relation to a major change (as defined in regulation 26 of those Regulations).
The functions of local authorities under the Local Land Charges Act 1975, as they relate to higher-risk buildings, are prescribed for the purposes of paragraph (b) of the definition of “relevant function” in paragraph 2(5) of Schedule 3 to the Building Safety Act 2022.
63 Consequential amendment to the Regulatory Reform (Fire Safety) Order 2005
In article 22A(3) of the Regulatory Reform (Fire Safety) Order 2005 (provision of information to new responsible person), after sub-paragraph (e) insert—
(ea) any information given under regulation 38 or 39 of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 (fire safety information);
.
64 Consequential amendments to the Community Infrastructure Levy Regulations 2010
(1) The Community Infrastructure Levy Regulations 2010 are amended as follows.
(2) In regulation 2(1) (interpretation) in the definition of “compliance certificate”—
(a) omit “either”;
(b) omit “or” at the end of paragraph (a) and insert—
(aa) regulation 44 (completion certificate applications: decisions) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023, or
.
65 Consequential amendments to the Building Safety (Responsible Actors Scheme and Prohibitions) Regulations 2023
(1) The Building Safety (Responsible Actors Scheme and Prohibitions) Regulations 2023 are amended as follows.
(2) In regulation 33 (building control prohibitions)—
(a) in paragraph (2) after “34,” insert “34A,”;
(b) in paragraph (4)—
(i) after sub-paragraph (e) insert—
(ea) an application for a certificate under regulation 40 (completion certificate applications) or regulation 45 (partial completion certificates) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
;
(ii) after sub-paragraph (f) insert—
(fa) an application for a certificate under regulation 47 (regularisation of unauthorised building work) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
;
(c) in paragraph (6)—
(i) after sub-paragraph (b) insert—
(ba) a certificate under regulation 44 (completion certificate applications: decisions) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
;
(ii) after sub-paragraph (c) insert—
(ca) a certificate under regulation 45 (partial completion certificates) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
;
(iii) after sub-paragraph (f) insert—
(g) a certificate under regulation 47 (regularisation of unauthorised building work) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
;
(d) in paragraph (8)—
(i) after sub-paragraph (f) insert—
(fa) an application for a certificate under regulation 40 (completion certificate applications) or regulation 45 (partial completion certificates) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
;
(ii) after sub-paragraph (g) insert—
(h) an application for a certificate under regulation 47 (regularisation of unauthorised building work) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
.
(3) After regulation 34 insert—
Exception to building control prohibition: emergency repair work to existing HRB
34A. (1) Where an applicable person proposes to carry out work to existing HRB which consists of emergency repairs then—
(a) the provision by them of a notice under regulation 10(1)(a) (notification of emergency repairs to existing HRB) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023, and
(b) an application for a certificate in relation to that work under regulation 47 (regularisation of unauthorised building work) of those Regulations,
are not to be treated as a breach of the building control prohibition.
(2) Where paragraph (1) applies, the regulator is not prohibited from giving the applicable person a certificate under regulation 47 (regularisation of unauthorised building work) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023.
(3) In this regulation—
“emergency repairs” has the meaning given in regulation 10(2) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
“the regulator” has the meaning in section 126 of the Building Act 1984;
“work to existing HRB” has the meaning given in regulation 2 of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023.
.
(4) In regulation 35 (exception to building control prohibition: work to occupied buildings)—
(a) in paragraph (4)(a)—
(i) after paragraph (i) insert—
(ia) an application for a certificate under regulation 40 (completion certificate applications) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 in relation to the work;
;
(ii) after paragraph (ii) insert—
(iia) an application for a certificate under regulation 45 (partial completion certificates) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 in relation to the work;
;
(b) after paragraph (5) insert—
(5A) Where paragraph (4) applies, the regulator is not prohibited from giving the applicable person a certificate under regulation 47 (regularisation of unauthorised building work) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023.
.
(5) In regulation 36(1) (exception to building control prohibitions: purchasers) after sub-paragraph (a) insert—
(aa) to permit the issuing by the regulator of a certificate in relation to that work under regulation 44 (completion certificate applications: decisions) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
.
(6) In regulation 37 (exception to building control prohibitions and modification of the Building Regulations 2010: regularisation)—
(a) after paragraph (1) insert—
(1A) Where the building is a higher-risk building, a relevant purchaser is not prohibited from giving the regulator an application for a certificate under regulation 47 (regularisation of unauthorised building work) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 and the regulator is not prohibited from granting such a certificate.
;
(b) after paragraph (3) insert—
(4) For the purposes of paragraph (1A), regulation 47 (regularisation of unauthorised building work) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 is to have effect in relation to an application under that regulation by a relevant purchaser as if any work carried out by an applicable person which was not unauthorised building work (within the meaning set out in that regulation) were treated as if it were unauthorised building work.
.
Regulation 2
Competence declaration
1 (1) A competence declaration is a statement, in relation to work, that contains a declaration in relation to—
(a) a principal designer (or sole or lead designer) for HRB work, a stage of HRB work or work to existing HRB,
(b) a principal contractor (or sole contractor) for HRB work, a stage of HRB work or work to existing HRB, and
(c) any other person appointed (A), in relation to the work, as at the date of the building control approval application for HRB work, a building control approval application for a stage of HRB work or the building control approval application for work to existing HRB.
(2) In relation to a principal designer for HRB work, a stage of HRB work or work to existing HRB, the competence declaration must—
(a) state that the client—
(i) has complied with regulation 11E(2)(b) (consideration of past misconduct) of the 2010 Regulations, and
(ii) having taken all reasonable steps, is satisfied that the principal designer fulfils the requirements in regulations 11F(1) and (2) and 11G(1) of the 2010 Regulations, and
(b) include a declaration as to the truth of that statement.
(3) In relation to a principal contractor for HRB work, a stage of HRB work or work to existing HRB, the competence declaration must—
(a) state that the client—
(i) has complied with regulation 11E(2)(b) (consideration of past misconduct) of the 2010 Regulations, and
(ii) having taken all reasonable steps, is satisfied that the principal contractor fulfils the requirements in regulations 11F(1) and (2) and 11H(1) of the 2010 Regulations, and
(b) include a declaration as to the truth of that statement.
(4) In relation to a sole contractor, or sole or lead designer, the competence declaration must—
(a) state that the client—
(i) has complied with regulation 11E(2)(b) (consideration of past misconduct) of the 2010 Regulations, and
(ii) having taken all reasonable steps, is satisfied that the person fulfils the requirements in regulations 11F(1) and (2) of the 2010 Regulations, and
(b) include a declaration as to the truth of that statement.
(5) In relation to any A, the competence declaration must—
(a) state that the client has been informed by the person appointing A that they have complied with regulation 11E(2)(b) (consideration of past misconduct) of the 2010 Regulations, and
(b) include a declaration as to the truth of that statement.
(6) Any competence declaration must—
(a) be signed by the client, and
(b) where there is more than one contractor for the HRB work, a stage of HRB work or work to existing HRB, include a copy of each record that the client created under regulation 11D(8) or, as the case may be, 11D(9) (principal designer and principal contractor) of the 2010 Regulations.
Construction control plan
2 A construction control plan must set out—
(a) the strategies, policies and procedures the client has adopted for planning, managing and monitoring the HRB work, a stage of HRB work or work to existing HRB so as to ensure compliance with—
(i) the applicable requirements of the building regulations and to record evidence of that compliance including describing the arrangements the client has adopted to maintain the golden thread information;
(ii) the duties in Chapter 4 (duties of dutyholders) of Part 2A of the 2010 Regulations;
(b) the strategies, policies and procedures the client has adopted to identify, assess and keep under review the competence of the persons carrying out the HRB work, a stage of HRB work or work to existing HRB or involved in the design of the higher-risk building or design of the building work to the higher-risk building, including the procedures to be followed—
(i) to determine whether a serious sanction (as defined in regulation 11E of the 2010 Regulations) has occurred in relation to a person to be appointed;
(ii) to consider any past behaviour in relation to any serious sanction which might call into question the suitability of a person to be appointed;
(iii) if a person in relation to which a serious sanction has occurred is appointed, to prevent a repeat of the behaviour;
(c) the strategies, policies and procedures the client has adopted to support co-operation between designers, contractors and any other persons involved in the HRB work, a stage of HRB work or work to existing HRB, including the sharing of all necessary information;
(d) a schedule of each appointment which has been made as at the date of the application, giving the name of—
(i) the person who the client has appointed as the principal contractor (or sole contractor);
(ii) the person who the client has appointed as the principal designer (or sole or lead designer);
(iii) any other person (excluding individuals except where they are a sole trader) the client has appointed to work on the project;
(iv) any person (excluding individuals except where they are a sole trader) the principal contractor (or sole contractor) has appointed to work on the project, and
(v) any person (excluding individuals except where they are a sole trader) the principal designer (or sole or lead designer) has appointed to work on the project,
and a summary of their responsibilities;
(e) the policies the client has adopted to review the construction control plan.
Change control plan
3 (1) A change control plan must set out the strategies, policies and procedures the client has adopted to ensure any controlled change takes place in accordance with regulation 18 (change control), and to log each controlled change in accordance with regulation 19 (change control: record-keeping) including explaining—
(a) how proposed changes will be identified and to whom they must be reported;
(b) how the impacts of proposed changes are identified and considered;
(c) in relation to proposed changes, the decision-making procedures adopted for agreeing a change including whose advice is to be sought;
(d) how changes are recorded and by when;
(e) the procedure to identify which changes require notification to the regulator and which changes require a change control application;
(f) how the effectiveness of the change control plan will be reviewed by dutyholders periodically.
(2) In this paragraph “dutyholders” means the client, the principal contractor (or sole contractor) and the principal designer (or sole or lead designer).
Building Regulations compliance statement
4 A Building Regulations compliance statement must set out the approach taken in designing the proposed higher-risk building or in designing the work to be carried out on the higher-risk building and the building standards applied, in particular—
(a) the approach taken in relation to each element of the building and the work to ensure compliance with all applicable requirements of the building regulations, and
(b) the reasons for adopting the approach together with an explanation of why the approach is appropriate and ensures compliance with all applicable requirements of the building regulations.
Fire and emergency file
5 (1) A fire and emergency file must set out—
(a) the matters that were considered when assessing how the building safety risks identified could impact the higher-risk building or the proposed higher-risk building;
(b) the proposals adopted and the approaches taken in relation to designing the proposed higher-risk building or the building work to the higher-risk building to ensure compliance with the applicable requirements of the building regulations relating to the building safety risks;
(c) the measures, strategies and policies it is proposed the owner of the higher-risk building should adopt in order to manage and maintain the higher-risk building or the proposed higher-risk building to ensure anyone in it can be safely evacuated in an emergency, including any assumptions made as to the intended occupiers of the building and their likely characteristics and behaviours.
(2) The measures, strategies and policies referred to in sub-paragraph (1) must include—
(a) a plan which sets out the requirements of the fire and rescue service for the area in relation to access to the higher-risk building and water supply for fire-fighting;
(b) a report which—
(i) where the HRB work, a stage of HRB work or work to existing HRB has not started, demonstrates how compliance with the applicable requirements of the building regulations relating to the building safety risks is to be achieved;
(ii) where the HRB work, a stage of HRB work or work to existing HRB is completed, demonstrates how compliance with the applicable requirements of the building regulations relating to the building safety risks was achieved.
Partial completion strategy
6 A partial completion strategy must explain—
(a) the proposals adopted in designing for occupation of each part of the building or the proposed building to be completed to ensure compliance with the applicable requirements of the building regulations;
(b) the measures, strategies and policies it is proposed the owner of the building should adopt in order to manage and maintain each such part of the building or the proposed building;
(c) any assumptions made in those measures, strategies and proposals as to the intended occupiers of each such part of the building or the proposed building and their likely characteristics and behaviours, and the intended management or maintenance of each such part of the building or the proposed building.
Regulation 57
1 Work consisting of—
(a) in relation to an existing fixed building service, which is not a fixed internal or external lighting system—
(i) replacing any part which is not a combustion appliance,
(ii) adding an output device, or
(iii) adding a control device,
where testing and adjustment of the work is not possible or would not affect the use by the fixed building service of no more fuel and power than is reasonable in the circumstances;
(b) providing a self-contained fixed building service, which is not a fixed internal or external lighting system, where—
(i) it is not a combustion appliance (other than a fixed flueless gas cooker),
(ii) any electrical work associated with its provision does not consist of—
(aa) the installation of a new circuit;
(bb) the replacement of a consumer unit;
(cc) any addition or alteration to existing circuits in a special location;
(iii) testing and adjustment is not possible or would not affect its energy efficiency, and
(iv) in the case of a mechanical ventilation appliance, the appliance is not installed in a room containing an open-flued combustion appliance whose combustion products are discharged through a natural draught flue;
(c) replacing an external door (where the door together with its frame has not more than 50% of its internal face area glazed);
(d) in existing buildings other than dwellings, providing fixed internal lighting where no more than 100m² of the floor area of the building is to be served by the lighting;
(e) replacing—
(i) a sanitary convenience with one that uses no more water than the one it replaces,
(ii) a washbasin, sink or bidet,
(iii) a fixed bath,
(iv) a shower,
(v) a rainwater gutter, or
(vi) a rainwater downpipe,
where the work does not include any work to underground drainage, and includes no work to the hot or cold water system or above ground drainage, which may prejudice the health or safety of any person on completion of the work;
(f) in relation to an existing cold water supply—
(i) replacing any part,
(ii) adding an output device, or
(iii) adding a control device;
(g) providing a hot water storage system that has a storage vessel with a capacity not exceeding 15 litres, where any electrical work associated with its provision does not consist of—
(i) the installation of a new circuit;
(ii) the replacement of a consumer unit;
(iii) any addition or alteration to existing circuits in a special location;
(h) installation of thermal insulation in a roof space or loft space where—
(i) the work consists solely of the installation of such insulation, and
(ii) the work is not carried out in order to comply with any requirement of the 2010 Regulations.
2 Installation of thermal insulation to suspended timber floors where the work—
(a) consists of the installation of such insulation only, and
(b) the work is not carried out in order to comply with any requirements of the 2010 Regulations.
3 For the purposes of this Schedule—
“fixed building service” has the meaning given in regulation 2(1) of the 2010 Regulations;
“self-contained” in relation to a fixed building service means consisting of a single appliance and any associated controls which is neither connected to, nor forms part of, any other fixed building service;
“special location” means—
within a room containing a bath or shower, the space surrounding a bath tap or shower head, where the space extends—
vertically from the finished floor level to—
a height of 2.25 metres, or
the position of the shower head where it is attached to a wall or ceiling at a point higher than 2.25 metres from that level, and
horizontally—
where there is a bath tub or shower tray, from the edge of the bath tub or shower tray to a distance of 0.6 metres, or
where there is no bath tub or shower tray, from the centre point of the shower head where it is attached to the wall or ceiling to a distance of 1.2 metres, or
a room containing a swimming pool or sauna heater.
SCHEDULE 3 Transitional, supplementary and saving provisions
Regulation 66
PART 1 Transitional etc provisions
October 2023: HRB work and work to existing HRB
1 (1) Subject to sub-paragraph (5) and the requirements of paragraphs 2 and 4 to 11, this paragraph applies where before 1st October 2023—
(a) an initial notice, in relation to HRB work or work to existing HRB for a particular building, has been given to a local authority and before that date is accepted or deemed to be accepted under section 47 of the 1984 Act, or
(b) full plans, in relation to HRB work or work to existing HRB to a particular building, were deposited with a local authority.
(2) Where this paragraph applies, notwithstanding the commencement of section 32 of the Building Safety Act 2022, on 1st October 2023 the local authority for the area continues to be the building control authority in relation to the higher-risk building and accordingly the duties and functions of local authorities under section 91 of the 1984 Act continue to apply in relation to that work as if it were not higher-risk building work.
(3) Where this paragraph applies—
(a) in a case where full plans have been deposited—
(i) Parts 2 to 6 of these Regulations do not apply to that work, and
(ii) the 2010 Regulations continue to apply to that work, including the amendments made to the 2010 Regulations by the Building Regulations etc. (Amendment) (England) Regulations 2023, but subject to Part 4 (transitional, supplementary and saving provisions) of the Building Regulations etc. (Amendment) (England) Regulations 2023;
(b) in a case where an initial notice has been given—
(i) Parts 2 to 6 of these Regulations do not apply to that work, and
(ii) the 2010 Regulations and the Building (Approved Inspectors etc.) Regulations 2010 continue to apply to the work, including the amendments made to those Regulations by the Building Regulations etc. (Amendment) (England) Regulations 2023 and the Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 but subject to Part 4 (transitional, supplementary and saving provisions) of the Building Regulations etc. (Amendment) (England) Regulations 2023 and Part 4 (transitional, supplementary and saving provisions) of the Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023.
(4) In addition to the continuing application of the provisions referred to in sub-paragraph (3), not more than five working days after the day on which the work is to be regarded as sufficiently progressed the person carrying out the work must give a notice to that effect to the local authority and where sub-paragraph (1)(a) applies in relation to the work, give a copy of the notice to the approved inspector.
(5) Sub-paragraphs (1) to (4) cease to apply in relation to the work where before 6th April 2024—
(a) the approval for the work lapses by virtue of section 32 of the 1984 Act (as that provision had effect immediately before 1st October 2023), or
(b) the initial notice for the work, or the part of that notice which relates to the higher-risk building, is cancelled under section 52(5) of the 1984 Act (as that provision had effect immediately before 1st October 2023),
and paragraph 3 applies instead to the work.
(6) For the purposes of this paragraph work is to be regarded as sufficiently progressed—
(a) where the building work consists of the construction of a higher-risk building, when the pouring of concrete for—
(i) the permanent placement of the trench, pad or raft foundations, or
(ii) the permanent placement of piling,
for that building has started;
(b) where the building work consists of work to an existing building, when that work has started;
(c) where the building work consists of a material change of use of a building, when work to effect that change of use has started.
(7) Where the work consists of work in relation to more than one higher-risk building then sub-paragraph (4) applies to each building separately.
From October 2023: cases where full plans are rejected
2 (1) This paragraph applies where, in relation to work to a particular building, full plans were deposited with a local authority before 1st October 2023 and in accordance with any provision of Part 1 of the 1984 Act or a local enactment the local authority has rejected those plans on or after that date (“the rejection date”).
(2) Where this paragraph applies then with effect from the rejection date the regulator, and not the local authority for the area, is the building control authority in relation to the higher-risk building and accordingly—
(a) the duties and functions of the regulator under section 91 of the 1984 Act apply in relation to the higher-risk building or any proposed higher-risk building;
(b) Parts 2 to 6 of these Regulations apply to any HRB work or work to existing HRB from the rejection date with the modifications provided in this paragraph except that regulation 47 (regularisation) does not apply in relation to any work carried out before the rejection date and accordingly any reference to a regularisation certificate in Parts 2 to 6 of these Regulations is to be ignored, and
(c) the 2010 Regulations, to the extent they apply to higher-risk buildings, apply to any of the work from the rejection date.
(3) Within 10 working days of the rejection date the person intending to carry out the work must give a notice to the regulator setting out—
(a) the name, address, telephone number and (if available) email address of the person intending to carry out the work;
(b) details of the work to be carried out;
(c) details of any existing building on the site, including the height of any existing building, the number of storeys contained in it and the use of each storey (regulations 5 and 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023 have effect in determining the height and the number of storeys in a building);
(d) details of the intended use of the higher-risk building, including the intended use of each storey;
(e) the height of the higher-risk building as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(f) the number of storeys in the higher-risk building as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(g) where the work is HRB work or is work to existing HRB which changes the number of residential or commercial units in the building, the proposed number of flats, number of residential rooms and number of commercial units to be contained in the higher-risk building;
(h) details of the work which has been carried out together with a summary of the inspections undertaken by the local authority in relation to the work.
(4) Where any work was carried out before the rejection date the person who carried out the work or the owner must comply with any notice from the regulator requiring them within a reasonable time to cut into, lay open or pull down so much of the work as prevents the regulator from ascertaining whether the work contravenes any requirement of the building regulations.
(5) Where any work was carried out before the rejection date (“the HRB project”) and on or after that date a building control approval application for HRB work or a building control approval application for work to existing HRB is submitted to the regulator in respect of the HRB project, then in addition to the requirements of regulation 4 the person who carried out the work must provide the regulator with such plans as are necessary to show the work already carried out complies with all applicable requirements of the building regulations.
October 2023 to April 2024: cases where building control approval lapses before 6th April 2024
3 (1) This paragraph applies where, by virtue of paragraph 1(5)(a) or (b), paragraph 1(1) to (4) ceases to apply in relation to work.
(2) Where this paragraph applies then with effect from the date paragraph 1(1) to (4) ceases to apply in relation to the work (“the cessation date”) the regulator, and not the local authority for the area, is the building control authority in relation to the higher-risk building and accordingly—
(a) the duties and functions of the regulator under section 91 of the 1984 Act apply in relation to the higher-risk building or any proposed higher-risk building;
(b) these Regulations apply to any of the work from the cessation date, and
(c) the 2010 Regulations, to the extent they apply to higher-risk buildings, apply to any of the work from the cessation date.
October 2023 to April 2024: cases of not sufficiently progressed work where an initial notice is cancelled before 6th April 2024
4 (1) This paragraph applies where—
(a) the initial notice for the work, or the part of that notice which relates to the higher-risk building, ceases to be in force by virtue of any provision of Part 2 of the 1984 Act (except section 52(5)) on a date before 6th April 2024 (“the cancellation date”), and
(b) a notice under paragraph 1(4) (notice that work had sufficiently progressed) in relation to that work was not received by a local authority before the cancellation date.
(2) Where this paragraph applies—
(a) if a plans certificate or final certificate relating to the work (or any part of the work) has been accepted before the cancellation date then with effect from that date the certificate ceases to have effect;
(b) accordingly Parts 2 to 6 of these Regulations apply to the work from the cancellation date with the modifications provided for in paragraph (8);
(c) subject to paragraph (d), the 2010 Regulations, to the extent they apply to higher-risk buildings, apply to any of the work from the cancellation date;
(d) regulation 11(3) of the 2010 Regulations does not apply and accordingly the regulator may exercise the power in section 8(3A) of the 1984 Act to dispense with or relax any requirement of the 2010 Regulations.
(3) Where this paragraph applies then with effect from the cancellation date the regulator, and not the local authority for the area, is the building control authority in relation to the higher-risk building and accordingly the duties and functions of the regulator under section 91 of the 1984 Act apply in relation to the work to the higher-risk building (but not in relation to any other work specified in the initial notice).
(4) Where this paragraph applies, not more than five working days after the cancellation date the person which was shown on the initial notice as the approved inspector must—
(a) give a notice to the person intending to carry out the work explaining the initial notice, or such part of the initial notice which applies to the higher-risk building, is no longer in force and the effect of sub-paragraphs (2), (3) and (5), and
(b) give a copy of the notice to the local authority.
(5) Within 10 working days of the cancellation date the person intending to carry out the work must give a notice to the regulator setting out—
(a) their name, address, telephone number and (if available) email address;
(b) the location of the building;
(c) details of the work to be carried out;
(d) the height of the higher-risk building as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(e) the number of storeys in the higher-risk building as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023, and
(f) a description of any work which was carried out before the cancellation date (including details of the work in relation to which a final certificate was given and not rejected) and details of any inspections undertaken by the approved inspector in relation to that work.
(6) With effect from the cancellation date no further building work in relation to the work described in the initial notice (“HRB project”) may be carried out until the date when the person intending to carry out building work has received confirmation in writing from the regulator that an application for building control approval made to the regulator in relation to that work is valid (“validation date”).
(7) Where any building work was carried out before the cancellation date then—
(a) the person who carried out the work or the owner must comply with any notice from the regulator requiring them within a reasonable time to cut into, lay open or pull down so much of the work as prevents the regulator from ascertaining whether the work contravenes any requirement of the building regulations;
(b) in addition to the other documents which are required to accompany the application for building control approval, the person must provide the regulator with such plans as are necessary to show the work already carried out complies with all applicable requirements of the building regulations.
(8) Where the application for building control approval in relation to the HRB project is rejected by the regulator then with effect from the date the rejection is notified to the applicant (“rejection date”) no further building work in relation to the HRB project may be carried out until a building control approval is granted in relation to the building.
(9) Parts 2 to 6 of these Regulations have effect in relation to the HRB project—
(a) from the cancellation date as if—
(i) regulation 5(1)(b) (building control applications: for HRB work or stage of HRB work: validity and time limit) and regulation 13(1)(b) (building control applications: for work to existing HRB: validity and time limit) were omitted;
(ii) in relation to any change control which is proposed or occurs between the cancellation date and the date application for building control approval is determined by the regulator, Part 3 (change control) required the change to be recordable in the change control log;
(iii) regulation 47 (regularisation) does not apply in relation to any work carried out before the cancellation date and accordingly any reference to a regularisation certificate in Parts 2 to 6 of these Regulations in relation to such work is to be ignored;
(iv) regulations 50 to 56 (section 30A applications) did not apply in relation to the application for building control approval for the HRB project, and
(b) additionally, from the validation date until the rejection date, as if regulation 3 did not prevent work in the HRB project to be started before an application for building control approval for the work is submitted.
October 2023 to April 2024: cases of sufficiently progressed work where an initial notice is cancelled before 6th April 2024
5 (1) This paragraph applies where—
(a) a notice under paragraph 1(4) (notice that work had sufficiently progressed) in relation to that work was received by a local authority before 6th April 2024, and
(b) the initial notice for the work, or the part of that notice which relates to the higher-risk building, ceases to be in force by virtue of any provision of Part 2 of the 1984 Act on a date before 6th April 2024 (“the cancellation date”).
(2) Where this paragraph applies—
(a) if a final certificate relating to the work (or any part of the work which relates to the higher-risk building) has been accepted before the cancellation date then with effect from that date the function of enforcing building regulations that is conferred on the regulator by section 91(3) of the 1984 Act is not exercisable in relation to that work;
(b) if a plans certificate relating to the work (or any part of the work which relates to the higher-risk building) has been accepted before the cancellation date then with effect from the notice date the certificate ceases to have effect;
(c) accordingly Parts 2 to 6 of these Regulations apply to the work from the cancellation date with the modifications provided for in paragraph (9);
(d) subject to paragraph (e), the 2010 Regulations, to the extent they apply to higher-risk buildings, apply to any of the work from the cancellation date;
(e) regulation 11(3) of the 2010 Regulations does not apply and accordingly the regulator may exercise the power in section 8(3A) of the 1984 Act to dispense with or relax any requirement of the 2010 Regulations.
(3) Where this paragraph applies then with effect from the cancellation date the regulator, and not the local authority for the area, is the building control authority in relation to the higher-risk building and accordingly the duties and functions of the regulator under section 91 of the 1984 Act apply in relation to the work to the higher-risk building (but not in relation to any other work specified in the initial notice).
(4) Where this paragraph applies, not more than five working days after the cancellation date the person which was shown on the initial notice as the approved inspector must—
(a) give a notice to the person intending to carry out the work explaining the initial notice, or such part of the initial notice which applies to the higher-risk building, is no longer in force and the effect of sub-paragraphs (2), (3) and (5), and
(b) give a copy of the notice to the local authority.
(5) Within 10 working days of the cancellation date the person intending to carry out the work must give a notice to the regulator setting out—
(a) the information referred to in paragraph 4(5), and
(b) in relation to any work for which a final certificate was given and not rejected, a description of the work covered by the final certificate.
(6) With effect from the cancellation date no further building work in relation to the work described in the initial notice (“HRB project”) may be carried out until the date when the person intending to carry out building work has submitted an application for building control approval for HRB work or an application for building control approval for work to existing HRB in relation to the work and received confirmation in writing from the regulator that an application for building control approval made to the regulator in relation to that work is valid (“validation date”).
(7) In relation to building work carried out before the cancellation date then—
(a) the person who carried out the work or the owner must comply with any notice from the regulator requiring them within a reasonable time to cut into, lay open or pull down so much of the work as prevents the regulator from ascertaining whether the work contravenes any requirement of the building regulations;
(b) in addition to the other documents which are required to accompany the application for building control approval, the person must provide the regulator with such plans as are necessary to show the work already carried out complies with all applicable requirements of the building regulations.
(8) Where the application for building control approval in relation to the HRB project is rejected by the regulator then with effect from the date the rejection is notified to the applicant (“rejection date”) no further building work in relation to the HRB project may be carried out until a building control approval is granted in relation to the building.
(9) Parts 2 to 6 of these Regulations have effect in relation to the work as if—
(a) in Part 2—
(i) in relation to any work for which a final certificate was previously given before the cancellation date and not rejected—
(aa) paragraphs (1)(e)(viii), (2)(b) and (3) of regulation 4 (building control approval applications for HRB work or stage of HRB work) and paragraphs (1)(e)(viii), (2)(c) and (5) of regulation 12 (building control approval applications for work to existing HRB) were omitted,
(bb) in addition to the requirements of regulation 4 and, as the case may be, regulation 12, the person which carried out the work must provide the regulator with such plans as are necessary to show the work already carried out complies with all applicable requirements of the building regulations, together with a copy of the final certificate;
(cc) regulation 5(1)(b) (building control applications: for HRB work or stage of HRB work: validity and time limit) and regulation 13(1)(b) (building control applications: for work to existing HRB: validity and time limit) were omitted;
(ii) in relation to any other work in the HRB project—
(aa) paragraphs (iii) to (viii) of regulation 4(2)(b) (building control approval applications for HRB work or stage of HRB work) and paragraphs (ii) to (vi) of regulation 12(2)(c) and (5) (building control approval applications for work to existing HRB) were omitted;
(bb) regulation 5(1)(b) (building control applications: for HRB work or stage of HRB work: validity and time limit) and regulation 13(1)(b) (building control applications: for work to existing HRB: validity and time limit) were omitted;
(b) regulations 18 to 26 (change control) were omitted;
(c) paragraphs (2)(b), (6)(b) and (8)(c) of regulation 27 (new client etc) were omitted;
(d) any references to golden thread information in regulation 27 were references to fire safety information;
(e) paragraph (7) of regulation 29 (new principal contractor or principal designer) were omitted;
(f) regulation 31 (golden thread) were omitted;
(g) regulations 32 to 37 (mandatory occurrence reporting) were omitted;
(h) any references to golden thread information in regulation 38 were references to fire safety information;
(i) in Part 5 (completion certificates), in relation to any work (including any work carried out before the cancellation date which is included in a completion certificate application)—
(i) any references to “completion certificate” were references to “transfer and completion certificate”;
(ii) any references to “partial completion certificate” were references to “transfer and partial completion certificate”;
(iii) paragraph (2)(d) of regulation 40 (completion certificate applications) were omitted;
(iv) paragraph (3)(c) of regulation 45 (partial completion certificates) were omitted;
(j) any reference in regulations 40(1)(f) (completion certificate applications), 44(1)(c) (completion certificate applications: decisions) and 45(2)(h) and (10)(c) (partial completion certificates) to providing information to the relevant person in accordance with regulation 38 (handover of information on completion etc) were a reference to providing fire safety information to the relevant person;
(k) any reference in regulations 4, 6, 12 and 42 to a “fire and emergency file” were a reference to a document setting out the fire safety design principles, concepts and standards applied to the development including sufficient plans to show how the work would comply with Part B (fire safety) of Schedule 1 to the 2010 Regulations in relation to the higher-risk building or proposed higher-risk building;
(l) regulation 46 (inspections etc) were omitted in relation to any work described in a final certificate;
(m) regulation 47 (regularisation) were omitted in relation to any work carried out before the cancellation date and accordingly any reference to a regularisation certificate in Parts 2 to 6 of these Regulations is to be ignored in relation to that work;
(n) in regulations 48 (review of regulator’s decisions), 50 (section 30A prescribed applications) and 51 (section 30A applications: procedure)—
(i) any reference to completion certificate application were a reference to an application for a transfer and completion certificate, and
(ii) any reference to partial completion certificate application were a reference to an application for a transfer and partial completion certificate;
(o) regulations 50 to 56 (section 30A applications) were omitted in relation to the application for building control approval for the HRB project.
From April 2024: local authority to notify regulator where work has not sufficiently progressed
6 (1) No later than 6th March 2024, each local authority must give the regulator a notice stating in respect of each relevant building for which it has not by that date received a notice under paragraph 1(4)—
(a) the name and address of the building;
(b) the name, address, telephone number and (if available) email address of the person carrying out the work;
(c) details of the intended use of the higher-risk building, including the intended use of each storey;
(d) the proposed height of the higher-risk building as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(e) the proposed number of storeys in the higher-risk building as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(f) the proposed number of flats, number of residential rooms and number of commercial units proposed to be contained in the higher-risk building;
(g) the provision to be made for the drainage of the building;
(h) where paragraph H4 of Schedule 1 to the 2010 Regulations imposes a requirement, the precautions to be taken in the building over a drain, sewer or disposal main to comply with the requirements of that paragraph;
(i) the steps to be taken to comply with any local enactment that applies;
(j) details of the work which has been carried out together with a summary of the inspections undertaken by the local authority in relation to the work.
(2) In this paragraph a “relevant building” is a building in relation to which paragraph 1(1)(b) applies.
From April 2024: cases where work is to be regarded as sufficiently progressed
7 (1) This paragraph applies where—
(a) a notice under paragraph 1(4) (notice that work had sufficiently progressed) in relation to work to that building was received by a local authority before 6th April 2024, and
(b) in any case where an initial notice was given in relation to the work, the approved inspector which gave the initial notice has become a registered building control approver before 6th April 2024.
(2) Where this paragraph applies, with effect from 6th April 2024—
(a) in a case where full plans have been deposited—
(i) Parts 2 to 6 of these Regulations continue not to apply to that work, and
(ii) the 2010 Regulations continue to apply to the work but subject to Part 4 (transitional, supplementary and saving provisions) of the Building Regulations etc. (Amendment) (England) Regulations 2023;
(b) in a case where an initial notice was given in relation to the work by an approved inspector then for so long as the initial notice continues in force—
(i) the initial notice given by the approved inspector is treated as if it were given instead by that person in their capacity as a registered building control approver,
(ii) Parts 2 to 6 of these Regulations continue not to apply to that work, and
(iii) the 2010 Regulations and the Building (Approved Inspectors etc.) Regulations 2010 continue to apply to the work, but subject to Part 4 (transitional, supplementary and saving provisions) of the Building Regulations etc. (Amendment) (England) Regulations 2023 and Part 4 (transitional, supplementary and saving provisions) of the Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023.
(3) Where this paragraph applies then with effect from 6th April 2024 the local authority for the area, and not the regulator, continues to be the building control authority in relation to the higher-risk building and accordingly the duties and functions of local authorities under section 91 of the 1984 Act continue to apply in relation to the work.
From April 2024: cases of work not sufficiently progressed with an initial notice
8 (1) This paragraph applies where, in relation to work to a particular building, paragraph 1 applies in respect of work for which an initial notice was in force, but a notice under paragraph 1(4) (notice that work had sufficiently progressed) was not received by a local authority in relation to the building before 6th April 2024.
(2) Where this paragraph applies—
(a) for the purposes of section 47(4)(b)(ii) of the 1984 Act the initial notice, or such part of the initial notice which applies to the higher-risk building, ceases to be in force with effect from 6th April 2024;
(b) if a plans certificate or final certificate relating to the work (or any part of the work) has been accepted before 6th April 2024 then with effect from that date the certificate ceases to have effect;
(c) subject to paragraph (d), the 2010 Regulations, to the extent they apply to higher-risk buildings, apply to any of the work from that date;
(d) regulation 11(3) of the 2010 Regulations does not apply and accordingly the regulator may exercise the power in section 8(3A) of the 1984 Act to dispense with or relax any requirement of the 2010 Regulations.
(3) Where this paragraph applies, with effect from 6th April 2024 the regulator, and not the local authority for the area, is the building control authority in relation to the higher-risk building and accordingly the duties and functions of the regulator under section 91 of the 1984 Act apply in relation to the work to the higher-risk building (but not in relation to any other work specified in the initial notice).
(4) The provisions of paragraph 4(4) to (9) also apply but as if any reference to the cancellation date were a reference to 6th April 2024.
From April 2024: cases of work not sufficiently progressed with full plans
9 (1) This paragraph applies where in relation to work to a particular building paragraph 1 applies in respect of work for which full plans were deposited but a notice under paragraph 1(4) (notice that work had sufficiently progressed) was not received by a local authority in relation to the building before 6th April 2024.
(2) Where this paragraph applies, with effect from 6th April 2024 the regulator, and not the local authority for the area, is the building control authority in relation to the higher-risk building and accordingly the duties and functions of the regulator under section 91 of the 1984 Act apply in relation to the work to the higher-risk building (but not in relation to any other work specified in the full plans).
(3) Where this paragraph applies the person intending to carry out the work must, within 4 weeks beginning with 6th April 2024, give to the regulator a notice setting out—
(a) the name and address of the building;
(b) the name, address, telephone number and (if available) email address of the client, the principal contractor (or sole contractor) and the principal designer (or sole or lead designer);
(c) details of the work to be carried out;
(d) details of the intended use of the higher-risk building, including the intended use of each storey;
(e) the proposed height of the higher-risk building as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(f) the proposed number of storeys in the higher-risk building as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;
(g) the proposed number of flats, number of residential rooms and number of commercial units to be contained in the higher-risk building;
(h) the provision to be made for the drainage of the building;
(i) where paragraph H4 of Schedule 1 to the 2010 Regulations imposes a requirement, the precautions to be taken in the building over a drain, sewer or disposal main to comply with the requirements of that paragraph;
(j) the steps to be taken to comply with any local enactment that applies;
(k) details of the work which has been carried out together with a summary of the inspections undertaken by the local authority in relation to the work.
(4) The notice under sub-paragraph (3) must be accompanied by—
(a) a plan to a scale of not less than 1:1250 showing—
(i) the size and position of the proposed building and its relationship to adjoining boundaries;
(ii) the boundaries of the curtilage of the building, and the size, position and use of every other building or proposed building within the curtilage;
(iii) the width and position of any street on or within the boundaries of the curtilage of the building;
(b) where work has started, a copy of the notice given to the local authority under regulation 16(1) (commencement notice) of the 2010 Regulations;
(c) such other documents or plans which were provided to the local authority by the person intending to carry out the work for the purpose of demonstrating the compliance of the work or the proposed work with applicable requirements of the building regulations;
(d) a statement setting out—
(i) any conditions imposed on the full plans;
(ii) any changes (including any conditions related to the changes), agreed with the local authority, to the full plans;
(iii) any work carried out otherwise than in accordance with the full plans (including otherwise than in accordance with any condition impose on the plans);
(e) copy of any report produced by the local authority in relation to each inspection of the work together with a copy of any notes and photographs relating to the inspections;
(f) a statement setting out details of any enforcement action taken by the local authority in relation to the work.
(5) The person intending to carry out the work must give a copy of the notice to the local authority.
(6) Where this paragraph applies, with effect from 6th April 2024—
(a) the 2010 Regulations continue to apply to the work, but subject to—
(i) Part 4 (transitional, supplementary and saving provisions) of the Building Regulations etc. (Amendment) (England) Regulations 2023;
(ii) the modifications set out in paragraph (7);
(b) subject to the modifications in paragraph (c), additionally the following provisions of these Regulations apply in relation to the work—
(i) regulation 8 (regulator’s power to require notifications etc for HRB work or stage of HRB work);
(ii) where work has not started, regulation 9(2) (notice before work);
(iii) regulation 9(3) (notice when work has commenced);
(iv) regulation 16 (regulator’s power to require notifications etc for work to existing HRB);
(v) where work has not started, regulation 17(2) (notice before work);
(vi) regulation 17(3) (notice when work has commenced);
(vii) regulations 18 (except paragraphs (3) and (4)), and 19 to 29 (change control etc) but as if—
(aa) any reference to an agreed document were a reference to the full plans;
(bb) sub-paragraphs (xi) and (xii) in paragraph (a), and sub-paragraphs (xi) and (xii) in paragraph (b), of the definition of “major change” in regulation 26 were omitted;
(cc) paragraphs (a) and (b) of the definition of “notifiable change” in regulation 26 were omitted;
(viii) regulation 31 (golden thread), but as if regulation 31(1) required the client to establish the electronic facility—
(aa) within 45 days beginning with 6th April 2024, or
(bb) before a completion certificate application or a partial completion certificate application is submitted,
whichever occurs first;
(ix) regulation 32 (mandatory occurrence reporting system), but as if the reference to establishing the system before the construction phase begins were a reference to establishing it within 10 days beginning with 6th April 2024;
(x) regulations 33 to 37 (mandatory occurrence reporting) but as if any reference to an agreed document is to be treated as a reference to the full plans;
(xi) regulations 38 and 39 (handover of information on completion etc);
(xii) regulation 40 (completion certificate applications) but as if paragraphs (i), (ii) and (iii) of paragraph (2)(d) were omitted;
(xiii) regulations 41 to 44 (completion certificates etc);
(xiv) regulation 45 (partial completion certificate applications) but as if paragraphs (i), (ii) and (iii) of paragraph (3)(c) were omitted;
(xv) regulation 46 (inspections etc);
(xvi) regulations 48 to 56 (reviews and appeals etc) but only to the extent those provisions apply in relation to a change control application or completion certificate application or a partial completion certificate application;
(xvii) regulation 58 (requirement for completion certificate before occupation);
(xviii) regulation 59 (electronic submission and directions);
(c) any reference in regulations 23, 26, 40, 42 and 45 to a “fire and emergency file” were a reference to a document setting out the fire safety design principles, concepts and standards applied to the development including sufficient plans to show how the work would comply with Part B (fire safety) of Schedule 1 to the 2010 Regulations in relation to the higher-risk building or proposed higher-risk building.
(7) The 2010 Regulations have effect with the following modifications—
(a) as if any reference in any provision to a local authority, however so expressed, were a reference to the regulator;
(b) as if regulations 16(3) to (5), 17, 17A, 18, 18A, 18B, 38, 39, 40, 40A and 40B of the 2010 Regulations were omitted.
(8) Where the regulator receives any document under sub-paragraph (6) it may, by notice in writing, require the client—
(a) to provide further information specified in the notice by the time specified in the notice;
(b) to take such steps (including tests) as are specified in the notice by the time specified in the notice to demonstrate the work will comply with all applicable requirements of the building regulations.
(9) Where a notice is given to the client under sub-paragraph (8), that person must not start or, as the case may be, continue the work to which the notice relates for a period of 10 days beginning on the day after the day on which the notice is received.
From April 2024: cases where work has sufficiently progressed but approved inspector is not a registered building control approver
10 (1) This paragraph applies where—
(a) paragraph 1 applies in relation to a particular building in respect of work for which an initial notice was in force on 6th April 2024 but the approved inspector which gave the notice was not a registered building control approver on that date, and
(b) a notice under paragraph 1(4) (notice that work had sufficiently progressed) in relation to that work was received by a local authority before 6th April 2024.
(2) Where this paragraph applies—
(a) for the purposes of section 47(4)(b)(ii) of the 1984 Act the initial notice or, such part of the notice which relates to the higher-risk building, ceases to be in force with effect from 6th April 2024;
(b) if a final certificate relating to the work (or any part of the work which relates to the higher-risk building) has been accepted before 6th April 2024 then with effect from the notice date the function of enforcing building regulations that is conferred on the regulator by section 91(3) of the 1984 Act is not exercisable in relation to that work;
(c) if a plans certificate relating to the work (or any part of the work which relates to the higher-risk building) has been accepted before 6th April 2024 then with effect from the notice date the certificate ceases to have effect;
(d) accordingly Parts 2 to 6 of these Regulations apply to the work from 6th April 2024 with the modifications provided for in paragraph 5(9) (as applied by paragraph (4));
(e) subject to paragraph (f), the 2010 Regulations, to the extent they apply to higher-risk buildings, apply to any of the work from that date;
(f) regulation 11(3) of the 2010 Regulations does not apply and accordingly the regulator may exercise the power in section 8(3A) of the 1984 Act to dispense with or relax any requirement of the 2010 Regulations.
(3) Where this paragraph applies, with effect from 6th April 2024 the regulator, and not the local authority for the area, is the building control authority in relation to the higher-risk building and accordingly the duties and functions of the regulator under section 91 of the 1984 Act apply in relation to the work to the higher-risk building (but not in relation to any other work specified in the initial notice).
(4) The provisions of paragraph 5(4) to (9) also apply but as if any reference to the cancellation date were a reference to 6th April 2024.
From April 2024: cases where work has sufficiently progressed and then initial notice ceases
11 (1) This paragraph applies where—
(a) paragraph 1 applies in relation to a particular building in respect of work for which an initial notice was in force on 6th April 2024;
(b) a notice under paragraph 1(4) (notice that work had sufficiently progressed) in relation to that work was received by a local authority before 6th April 2024;
(c) the initial notice for the work, or such part of the notice which relates to the higher-risk building, ceases to be in force by virtue of any provision of Part 2 of the 1984 Act on a date after 6th April 2024 (“the cancellation date”).
(2) Where this paragraph applies—
(a) if a final certificate relating to the work (or any part of the work which relates to the higher-risk building) has been accepted before the cancellation date then with effect from the notice date the function of enforcing building regulations that is conferred on the regulator by section 91(3) of the 1984 Act is not exercisable in relation to that work;
(b) if a plans certificate relating to the work (or any part of the work which relates to the higher-risk building) has been accepted before the cancellation date then with effect from the notice date the certificate ceases to have effect;
(c) accordingly Parts 2 to 6 of these Regulations apply to the work from the cancellation date with the modifications provided for in paragraph 5(9) (as applied by paragraph (4));
(d) subject to paragraph (e), the 2010 Regulations, to the extent they apply to higher-risk buildings, apply to any of the work from that date;
(e) regulation 11(3) of the 2010 Regulations does not apply and accordingly the regulator may exercise the power in section 8(3A) of the 1984 Act to dispense with or relax any requirement of the 2010 Regulations.
(3) Where this paragraph applies, with effect from the cancellation date the regulator, and not the local authority for the area, is the building control authority in relation to the higher-risk building and accordingly the duties and functions of the regulator under section 91 of the 1984 Act apply in relation to the work to the higher-risk building (but not in relation to any other work specified in the initial notice).
(4) The provisions of paragraph 5(4) to (9) also apply.
PART 2 Enforcement and interpretation
Contravention of certain provisions not to be an offence etc
12 (1) The following provisions of this Schedule are prescribed for the purposes of section 35(2) of the 1984 Act as provisions in relation to which section 35(1) does not apply—
(a) paragraphs 4(4) and 5(4) (including as applied by paragraphs 15(4) and 16(4)) (duties of approved inspectors);
(b) paragraph 6 (from April 2024: local authority to notify regulator where work has not sufficiently progressed).
(2) The following provisions of this Schedule are prescribed for the purposes of section 35B(7)(a) of the 1984 Act as provisions in relation to which a compliance notice may not be given—
(a) paragraphs 4(4) and 5(4) (including as applied by paragraphs 15(4) and 16(4)) (duties of approved inspectors);
(b) paragraph 6 (from April 2024: local authority to notify regulator where work has not sufficiently progressed).
Interpretation
13 (1) For the purposes of this Schedule—
“initial notice” is a notice given under section 47 of the 1984 Act;
“full plans” means plans deposited with a local authority for the purposes of section 16 of the 1984 Act in accordance with regulations 12(2)(b) and 14 of the 2010 Regulations (as those provisions had effect immediately before 1st October 2023).
(2) Subject to sub-paragraph (3), any reference to work to which an initial notice relates is to be construed as a reference to that work as varied by an amendment notice given under section 51A of the 1984 Act which has been accepted.
(3) Sub-paragraph (2) does not apply where the amendment notice under section 51A of the 1984 Act is given on or after 1st October 2023 and is such that the work as varied becomes higher-risk building work.