Legalize / United Kingdom / Statutory-Instrument

The Building (Higher-Risk Buildings Procedures) (England) Regulations 2023

Type Statutory-Instrument

Publication 2023-08-09

Last updated 2024-04-06

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

PDF Download

articles Not indexed

Reform history JSON API

Made: 9th August 2023

Laid before Parliament: 17th August 2023

Coming into force - -: 1st October 2023

The Secretary of State has consulted the Building Regulations Advisory Committee for England and such other bodies as appear to be representative of the interests concerned in accordance with section 14(3) of the Building Act 1984[^f00003] and has consulted the regulator and such other persons as the Secretary of State considers appropriate in accordance with section 7 of the Building Safety Act 2022.

PART 1 — Preliminary

Citation, commencement, extent and application

1

(1) These Regulations may be cited as the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 and come into force on 1st October 2023.

(2) These Regulations extend to England and Wales.

(3) These Regulations apply in relation to England only.

Interpretation

2

(1) In these Regulations—

“the 1984 Act” means the Building Act 1984;

“the 2022 Act” means the Building Safety Act 2022;

“the 2010 Regulations” means the Building Regulations 2010[^f00004];

“active fire safety measures” includes sprinkler systems (including isolating valves and control equipment for that system), smoke control systems (including heating or ventilation and air conditioning systems with a smoke control function), fire or smoke dampers, fire alarm systems, lifts and lift shafts (including evacuation or fire-fighting lifts), and fire main and hydrants;

“agreed document” means— a description, plan or document in relation to HRB work, stage of HRB work or work to existing HRB that was approved by virtue of regulation 7(8) or (10) (building control approval applications for HRB work or stage of HRB work: decisions) or regulation 15(8) or (10) (building control approval applications for work to existing HRB: decisions), or where such a description, plan or document is revised— in relation to a major change, the plan or document that was approved in accordance with regulation 24(8) or (10) (change control applications: decisions); in relation to a notifiable change, the version of the plan or document that accompanied the notice to the regulator[^f00005] given under regulation 20(1) (change control: notification requirements); in relation to a recordable change, the version of the plan or document that was revised in accordance with regulation 18(2)(b) (change control) and in respect of which a record was made in accordance with regulation 18(2)(a);

“building”— in the application of any provision of these Regulations to the construction of a higher-risk building, has the meaning given in regulation 4 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023[^f00006]; in any other case, has the same meaning as under the 2010 Regulations;

“building control approval application for HRB work” has the meaning given in regulation 3 (building control approval for HRB work or stage of HRB work);

“building control approval application for a stage of HRB work” has the meaning given in regulation 3 (building control approval for HRB work or stage of HRB work);

“building control approval application for work to existing HRB” has the meaning given in regulation 11 (building control approval for work to existing HRB);

“Building Regulations compliance statement” means a document in accordance with paragraph 4 of Schedule 1;

“change control application” has the meaning given in regulation 18(5) (change control);

“change control log” has the meaning given in regulation 19(1) (change control: record-keeping);

“change control plan” means a document in accordance with paragraph 3 of Schedule 1;

“commercial unit” means a part of a building in separate occupation which does not contain a flat or a residential room;

“completion certificate application” has the meaning given in regulation 40 (completion certificate applications);

“competence declaration” means a statement in accordance with paragraph 1 of Schedule 1;

“compliance declaration” means— where any appointment of a principal contractor (or sole contractor) or principal designer (or sole or lead designer) ends before a completion certificate application is submitted to the regulator, a statement provided in accordance with regulation 29(3) (new principal contractor or principal designer etc: notification); in any other case, has the meaning given in regulation 40 (completion certificate applications);

“compliance explanation” has the meaning given in regulation 19(2)(g) (change control: record-keeping);

“construction control plan” means a document in accordance with paragraph 2 of Schedule 1;

“controlled change” has the meaning given in regulation 18 (change control);

“exempt work” has the meaning in regulation 57 (exempt work);

“fire and emergency file” means a document in accordance with paragraph 5 of Schedule 1;

“fire safety compliance information” has the meaning given in regulation 12(3) (building control approval applications for work to existing HRB);

“fire safety information” has the meaning in regulation 39 (information to be provided where work is scheme work);

“golden thread information” has the meaning given in regulation 31 (golden thread);

“HRB work” means— the construction of a higher-risk building[^f00007]; work to an existing building that causes it to become a higher-risk building together with any work to the building carried out at the same time as that work; such work, if any, which is necessary to ensure a building that undergoes a material change of use to become a higher-risk building complies with the applicable requirements listed in regulation 6 of the 2010 Regulations (requirements relating to material change of use) together with any work to the building carried out at the same time as that work;

“major change” has the meaning given in regulation 26 (change control: major changes and notifiable changes);

“mandatory occurrence reporting plan” is a plan describing the mandatory occurrence reporting system;

“mandatory occurrence reporting system” means a system required under regulation 32 (mandatory occurrence reporting system);

“notifiable change” has the meaning given in regulation 26 (change control: major changes and notifiable changes);

“passive fire safety measures” includes the cavity barriers, fire door sets, duct dampers, fire shutters and other fire separating elements;

“partial completion certificate application” has the meaning given in regulation 45 (partial completion certificates);

“partial completion strategy” means a document in accordance with paragraph 6 of Schedule 1;

“recordable change” means a controlled change which is neither a major change nor a notifiable change;

“regularisation certificate application” has the meaning given in regulation 47 (regularisation of unauthorised building work);

“relevant day” means any day excluding Christmas Day, Good Friday or a day which is a bank holiday in England and Wales under section 1 of the Banking and Financial Dealings Act 1971[^f00008];

“relevant person” has the meaning given in regulation 38 (handover of information on completion etc);

“residential room” means a room, or a suite of rooms, which is not a flat and which is used solely by one or more persons to live and sleep and includes a room in a hall of residence or a residential home, but does not include a room in a hospital, or similar establishment, which is used for patient accommodation;

“scheme work” means work to which— regulation 20 (provisions applicable to self-certification schemes) of the 2010 Regulations applies, or regulation 20A (provisions applicable to third party certification schemes) of the 2010 Regulations applies.

“work to existing HRB” means any higher-risk building work[^f00009] which is not HRB work;

“working day” means any day excluding Saturday, Sunday, Christmas Day, Good Friday or a day which is a bank holiday in England and Wales under section 1 of the Banking and Financial Dealings Act 1971.

(2) In these Regulations—

(a) “building work”, “client”, “contractor”, “designer”, “domestic client”, “flat”, “material change of use”, “principal contractor”, “principal designer”, “project”, “sole contractor” and “sole or lead designer” have the meanings given in 2010 Regulations[^f00010];

(b) a reference to appointment as a principal contractor or principal designer is to appointment under regulation 11D (principal designer and principal contractor) of the 2010 Regulations, and that reference includes an appointment which is certified under regulation 11D(2) of those Regulations.

PART 2 — Building control approval

CHAPTER 1 — New HRBs

Building control approval for HRB work or stage of HRB work

3

Before any person starts HRB work or starts a stage of HRB work, the client in relation to that work (in this Chapter “the applicant”) must—

(a) submit an application for building control approval in relation to the work to the regulator (a “building control approval application for HRB work” or, where the work is done in stages, a “building control approval application for a stage of HRB work”) in accordance with regulation 4 (building control approval applications for HRB work or stage of HRB work),

(b) be granted building control approval for the work,

(c) fulfil those requirements, if any, which in accordance with the building control approval must be fulfilled before the work or, as the case maybe, the stage of the work is started, and

(d) notify the regulator of the date on which the work or the stage of the work is to start in accordance with regulation 9(2) (notice before starting on site and further notice when work is “commenced”).

Building control approval applications for HRB work or stage of HRB work

4

(1) A building control approval application for HRB work must be made in writing, signed by 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);

(d) where HRB work consists of work to an existing building, a description of the existing building including—

(i) details of its current use, including the current use of each storey;

(ii) its height as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023[^f00011];

(iii) the number of storeys it has as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;

(e) a description of the proposed HRB work, including—

(i) details of the intended use of the higher-risk building, including the intended use of each storey;

(ii) 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;

(iii) 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;

(iv) the number of flats, the number of residential rooms and the number of commercial units it is proposed the higher-risk building will contain;

(v) the provision to be made for the drainage of the higher-risk building;

(vi) 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;

(vii) the steps to be taken to comply with any local enactment that applies;

(viii) a statement as to when it is proposed the work is to be regarded as commenced in accordance with regulation 46A (lapse of building control approval: commencement of work) of the 2010 Regulations[^f00012].

(2) A building control approval application for HRB work must be accompanied by—

(a) a plan to a scale of not less than 1:1250 showing—

(i) the size and position of the 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;

(i) such other plans as necessary to show that the HRB work would comply with all applicable requirements of the building regulations[^f00013];

(ii) a competence declaration;

(iii) a construction control plan;

(iv) a change control plan;

(v) a mandatory occurrence reporting plan;

(vi) a Building Regulations compliance statement;

(vii) a fire and emergency file;

(viii) where the applicant proposes occupation of part of the building before completion of the HRB work, a partial completion strategy;

(c) 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) A building control approval application for a stage of HRB work must be made in writing, signed by the applicant, and must—

(a) include the information required by paragraph (1);

(b) where the application relates to the first stage of the work—

(i) be accompanied by a statement (“staged work statement”) setting out a detailed description of the first stage and of the subsequent stages of the project (including an estimate of the time when each stage will start);

(ii) be accompanied by the documents referred to in paragraph (2) with the following modifications—

(aa) the plans referred to in paragraph (2)(b)(i) are such plans as necessary to show that the work for the first stage would comply with all applicable requirements of the building regulations and a summary of plans for the work beyond that stage;

(bb) the Building Regulations compliance statement referred to in paragraph (2)(b)(vi) must set out the design principles and building standards to be applied to the work for the first stage and a summary of the design principles and building standards to be applied beyond that stage;

(i) be accompanied by a statement (“subsequent stages statement”) setting out a detailed description of the stage to which the application relates and of the other stages of the project (including an estimate of the time when each remaining stage will start);

(ii) be accompanied by the documents referred to in paragraph (2) with the following modifications—

(aa) the plans referred to in paragraph (2)(b)(i) are such plans as necessary to show that the work comprised in the stage to which the application relates would comply with all applicable requirements of the building regulations and a summary of plans for work beyond that stage;

(bb) the Building Regulations compliance statement referred to in paragraph (2)(b)(vi) must set out the design principles and building standards to be applied to the work comprised in the stage to which the application relates and a summary of the design principles and building standards to be applied beyond that stage.

Building control approval applications for HRB work or stage of HRB work: validity and time limit

5

(1) Where the regulator receives a building control approval application for HRB work or a building control approval application for a stage of HRB work which is valid the regulator must—

(a) notify the applicant to that effect, and

(b) determine it within 12 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 building control approval application for HRB work or a building control approval application for a stage of HRB work 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 building control approval application for HRB work or a building control approval application for a stage of HRB work is valid if it complies with regulation 4 (building control approval applications for HRB work or stage of HRB work).

Building control approval applications for HRB work or stage of HRB work: consultation

6

(1) Subject to paragraph (5), before determining a building control approval application for HRB work or a building control approval application for a stage of HRB work the regulator must consult—

(a) the enforcing authority (within the meaning of article 25 of the Regulatory Reform (Fire Safety) Order 2005[^f00014]) for the proposed higher-risk building, and

(b) where paragraph H4 of Schedule 1 to the 2010 Regulations imposes requirements in relation to the work, the sewerage undertaker for the proposed higher-risk building.

(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 HRB work or the stage of HRB work would, if carried out in accordance with those plans, comply with—

(i) in the case of the enforcing authority, the applicable requirements of Part B (fire safety) of Schedule 1 to the 2010 Regulations, and

(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.

(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.

Building control approval applications for HRB work or stage of HRB work: decisions

7

(1) The regulator must grant the building control approval sought in a building control approval application for HRB work or a building control approval application for a stage of HRB work unless the application or any document that accompanied the application—

(a) does not comply with the requirements of regulation 4 (building control approval applications for HRB work or stage of HRB work) or any direction relating to the application or the document given by the regulator under regulation 59 (electronic submission and directions);

(b) is not sufficiently detailed in any respect to allow the regulator to determine whether the HRB work or the stage of HRB work would contravene any applicable requirement of the building regulations;

(d) shows the strategies, policies or procedures in relation to the HRB work or the stage of HRB work (including in relation to controlled changes, mandatory occurrence reporting, competence of persons or sharing of information and co-operation) would contravene, or would be likely to contravene, the requirements of—

(i) regulations 18 to 21 and 26 to 29 (changes to documents or persons);

(ii) regulations 31, 38 and 39 (golden thread etc);

(iii) regulations 32 to 37 (mandatory occurrence reporting);

(iv) Part 2A (dutyholders and competence) of the 2010 Regulations.

(2) If one or more of the reasons in paragraph (1) applies, the regulator may—

(a) reject the building control approval application for HRB work or the building control approval application for a stage of HRB work, or

(b) with the written consent of the applicant, grant the building control approval sought in the application subject to one or more requirements.

(3) The types of requirement that may be imposed under paragraph (2)(b) include—

(a) a requirement to provide a specified plan or document, or a revised version of a specified plan or document, within a specified period;

(b) a requirement that work does not proceed beyond a specified point until a specified plan or other document, or a revised version of a specified plan or other document, has been given to, and approved by, the regulator.

(4) 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 5 (building control approval applications for HRB work or stage of HRB work: validity and time limit).

(5) A notice that the application has been rejected must give the reasons for rejection.

(6) A notice that the building control approval sought in the application has been granted subject to a requirement must specify the requirement imposed.

(7) If requested by the applicant, the regulator must provide a paper copy of the notice of building control approval.

(8) Where a building control approval application for HRB work or a building control approval application for a stage of HRB work is successful the effect is that from the date of the notice under paragraph (4)—

(a) building control approval for the HRB work or, as the case may be, building control approval for the stage of HRB work is granted;

(b) subject to paragraphs (9) and (10)—

(i) the description of the proposed HRB work or, as the case may be, the description of the proposed stage of HRB work,

(ii) the plans of the HRB work or, as the case may be, the plans of the stage of HRB work that accompanied the application, and

(iii) each of the other documents that accompanied the application,

are approved.

(9) Where building control approval has been granted subject to a requirement that a plan or document must be revised, the unrevised plan or document is not approved by paragraph (8)(b).

(10) Where—

(a) building control approval has been granted subject to a requirement that any plan or document must be revised, and

(b) the plan or document is subsequently revised in accordance with the requirement,

then that revised plan or document is approved from the date specified in the approval given by the regulator for the revision.

(11) Where building control approval has been granted subject to a requirement of a type described in paragraph (3)(a), the client must ensure that work does not start before the plan or document is provided.

(12) Where building control approval has been granted subject to a requirement of a type described in paragraph (3)(b)—

(a) the requirement must set out the points specified in relation to the work and the plans or documents which must be approved for each point;

(b) the client must ensure work to which the requirement relates does not proceed beyond the point specified in the requirement until the approval by the regulator in relation to that plan or document has been received.

(13) If requested by the client, the regulator must provide a paper copy of the approval referred to in paragraph (12)(b).

(14) Where the regulator decides not to approve a plan or document under paragraph (12) if requested the regulator must give the reasons for the decision.

Regulator’s power to require notifications etc for HRB work or stage of HRB work

8

(1) The regulator may, by notice in writing, require a client—

(a) to notify the regulator, within a specified period, when a specified point of the HRB work or a specified point of the stage of HRB work has been reached;

(b) not to cover up specified work for a specified period.

(2) In this regulation “specified” means specified by the regulator in the notice referred to in paragraph (1).

Notice before starting on site and further notice when work is “commenced”

9

(1) This regulation applies where building control approval for HRB work or building control approval for a stage of HRB work is granted under regulation 7 (building control approval applications for HRB work or stage of HRB work: decisions).

(2) At least five working days before the day on which the HRB work or the stage of HRB work starts, the client must give a notice to the regulator setting out their intention to start the work and the date that work is to start.

(3) Not more than five working days after the day on which the HRB work is to be regarded as commenced the client must give a notice to that effect to the regulator.

(4) If the regulator is not satisfied the work is to be regarded as commenced it must give the client a notice to that effect (“rejection notice”) within four weeks of the date the notice under paragraph (3) is given, and the rejection notice must give the reasons for rejection.

(5) Where a notice is given under paragraph (3) and the period referred to in paragraph (4) expires without a rejection notice being given, then the work is to be regarded as commenced.

(6) If the client accepts the rejection notice they may not give a further notice under paragraph (3) unless, having regard to the reasons given by the regulator, they are satisfied the work is to be regarded as commenced.

(7) The client may appeal to the First-tier Tribunal against the decision of the regulator to reject the notice provided the appeal is made within 21 relevant days beginning with the day after the day on which the regulator gives the rejection notice.

(8) The First-tier Tribunal may allow an appeal under paragraph (7) 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;

(d) that the decision was made without following the procedures set out in the 1984 Act or regulations made under that Act.

(9) Where a notice under paragraph (2) or (3) is given by someone on behalf of the client, the notice must include a statement signed by the client confirming they agree to the notice being given and that the information contained in it is correct.

(10) The regulator may take such steps, including—

(a) requiring information;

(b) laying open of work for inspection,

as it thinks appropriate to check whether the work is to be regarded as commenced.

(11) For the purposes of paragraphs (3) to (10) the provisions of regulation 46A (lapse of building control approval: commencement of work) of the 2010 Regulations apply to determine whether work is to be regarded as commenced.

CHAPTER 2 — Existing HRBs

Notification of emergency repairs to existing HRB

10

(1) Where work to existing HRB consists only of emergency repairs and it is not practicable to comply with regulation 11(1) (building control approval for work to existing HRB) before starting the work, the client must—

(a) give a notice to that effect to the regulator, describing the work and the reasons for the urgency as soon as reasonably practicable after the work has started,

(b) send a copy of that notice to the responsible person as soon as reasonably practicable after the work has started, and

(c) submit a regularisation certificate application to the regulator in relation to the work as soon as reasonably practicable after the work is carried out.

(2) In this regulation—

“emergency repairs” means repairs to a building which are necessary to be carried out as a matter of urgency due to the risk to health, safety or welfare of persons in or about the building;

“responsible person” has the meaning given in article 3 of the Regulatory Reform (Fire Safety) Order 2005.

Building control approval for work to existing HRB

11

(1) Subject to paragraph (2), before any person starts any work to existing HRB the client in relation to that work (in this Chapter “the applicant”) must—

(a) submit an application for building control approval in relation to the work to the regulator (a “building control approval application for work to existing HRB”) in accordance with regulation 12 (building control approval applications for work to existing HRB);

(b) be granted building control approval for the work;

(c) fulfil those requirements, if any, which in accordance with the building control approval must be fulfilled before the work is started, and

(d) notify the regulator of the date on which the work is to start in accordance with regulation 17(2) (notice before starting on site and further notice when work is “commenced”).

(2) The requirements of this regulation do not apply to work to existing HRB which consists only of—

(a) scheme work;

(b) exempt work, or

Building control approval applications for work to existing HRB

12

(1) Subject to paragraphs (3) and (4), where a building control approval application for work to existing HRB is required by regulation 11 (building control approval for work to existing HRB), it must be made in writing, signed by 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);

(d) a description of the existing higher-risk building including—

(i) details of its current use, including the current use of each storey;

(ii) its height as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023[^f00015];

(iii) the number of storeys it has as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;

(iv) the number of flats, the number of residential rooms and the number of commercial units contained in the higher-risk building;

(e) a description of the proposed work, including—

(i) where the use of any part of the higher-risk building is changing, details of the intended use of each storey;

(ii) where the height of any part of the higher-risk building is changing, the height of the building after the proposed work as determined in accordance with regulation 5 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;

(iii) where the number of storeys in the higher-risk building is changing, the number of storeys as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023;

(iv) where the number of flats or residential rooms in the higher-risk building is changing, the number of flats or residential rooms to be contained in the higher-risk building;

(v) the provision to be made for the drainage of the building or extension;

(vi) 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;

(vii) the steps to be taken to comply with any local enactment that applies;

(viii) a statement setting out—

(aa) the date when it is proposed the work will reach the point when it is to be regarded as commenced in accordance with regulation 46A (lapse of building control approval: commencement of work) of the 2010 Regulations; and

(bb) except in cases where paragraph (2) or (3) of regulation 46A of the 2010 Regulations applies, details of the work which the client considers amounts to 15% of the proposed work.

(2) A building control approval application for work to existing HRB must be accompanied by—

(a) a plan to a scale of not less than 1:1250 showing—

(i) the size and position of the building and its relationship to adjoining boundaries;

(ii) the boundaries of the curtilage of the building, or the building as extended, 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 or the building as extended;

(b) such other plans as necessary to show that the work would comply with all applicable requirements of the building regulations;

(i) a competence declaration;

(ii) a construction control plan;

(iii) a change control plan;

(iv) a mandatory occurrence reporting plan;

(v) a Building Regulations compliance statement;

(vi) a fire and emergency file;

(vii) where the applicant proposes occupation of part of the building before completion of the work, a partial completion strategy;

(d) 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) For a building control approval application for work to existing HRB where the work consists of category B work, the application must—

(a) be made in writing, signed by the applicant,

(b) subject to paragraph (4), include the matters mentioned in paragraph (1)(a) to (e),

(d) where Part B of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, include information 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 (“fire safety compliance information”), and

(e) such of the documents listed in paragraph (2)(c) as the applicant considers appropriate.

(4) Where the work consists only of category B work within a flat, the application does not need to include the matters mentioned in paragraph (1)(d).

(5) In relation to an application for work to existing HRB where the work consists of category B work, the regulator may at any time before determining the application, by notice in writing, additionally require the applicant to provide any of the following documents—

(a) a competence declaration;

(b) a construction control plan;

(d) a mandatory occurrence reporting plan;

(e) a Building Regulations compliance statement;

(f) a fire and emergency file;

(g) a partial completion strategy.

(6) In this regulation—

“category A work” means work falling within any one or more of the following descriptions— work which increases or decreases the external height or width of the higher-risk building; work which changes the number of storeys the higher-risk building has (including adding or removing a mezzanine or gallery floor); work which changes the number of flats or residential rooms contained in the higher-risk building; work which changes the number of, or width of, the staircases in a higher-risk building or which changes the number of, or width of, any other escape route within the building; work to the external wall of a higher-risk building excluding work or materials of a description specified in regulation 7(3) of the 2010 Regulations; work which changes the internal layout of a higher-risk building; work which affects the passive fire safety measures in the higher-risk building; work which affects the active fire safety measures in a higher-risk building; work which affects the common parts of a higher-risk building (including the external wall) not otherwise falling within category A;

“category B work” means work which does not fall within category A.

(7) The requirements of this regulation do not apply to work to existing HRB which consists only of—

(a) scheme work;

(b) exempt work, or

Building control approval applications for work to existing HRB: validity and time limit

13

(1) Where the regulator receives a building control approval application for 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 building control approval application for work to existing HRB 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 building control approval application for work to existing HRB is valid if it complies with regulation 12 (building control approval applications for work to existing HRB).

Building control approval applications for work to existing HRB: consultation

14

(1) Before determining a building control approval application for work to existing HRB the regulator must consult—

(a) where the work is—

(i) category A work, or

(ii) 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[^f00016]) for the building, and

(b) where paragraph H4 of Schedule 1 to the 2010 Regulations imposes requirements in relation to the work, the sewerage undertaker for the building.

(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 to existing HRB would, if carried out in accordance with those plans, comply with—

(i) in the case of the enforcing authority, the applicable requirements of Part B (fire safety) of Schedule 1 to the 2010 Regulations, and

(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—

(a) for category A work, the fire and emergency file;

(b) for 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).

Building control approval applications for work to existing HRB: decisions

15

(1) The regulator must grant the building control approval sought in a building control approval application for work to existing HRB unless—

(a) the application or any document that accompanied the application (or is provided under regulation 12(5) (building control approval applications for work to existing HRB))—

(i) does not comply with the requirements of regulation 12 (building control approval applications for work to existing HRB) or any direction relating to the application or the document given by the regulator under regulation 59 (electronic submission and directions);

(ii) is not sufficiently detailed in any respect to allow the regulator to determine whether the work would contravene any applicable requirement of the building regulations;

(iii) shows that—

(aa) the proposed work would contravene any applicable requirement of the building regulations;

(bb) in a case where details are provided under regulation 12(1)(e)(viii)(bb), the work set out in the details would not in the regulator’s opinion amount to 15% of the work;

(iv) shows the strategies, policies or procedures in relation to the work (including in relation to controlled changes, mandatory occurrence reporting, competence of persons or sharing of information and co-operation) would contravene, or would be likely to contravene, the requirements of—

(aa) regulations 18 to 21 and 26 to 29 (changes to documents or persons);

(bb) regulations 31, 38 and 39 (golden thread etc);

(cc) regulations 32 to 37 (mandatory occurrence reporting);

(dd) Part 2A (dutyholders and competence) of the 2010 Regulations;

(b) when requested pursuant to regulation 12(5) (building control approval applications for work to existing HRB), the applicant failed to provide the document requested.

(2) If one or more of the reasons in paragraph (1) applies, the regulator may—

(a) reject the building control approval application for work to existing HRB, or

(b) with the written consent of the applicant, grant the building control approval sought in the application subject to one or more requirements.

(3) The types of requirement that may be imposed under paragraph (2)(b) include—

(a) a requirement to provide a specified plan or document, or a revised version of a specified plan or document, within a specified period;

(b) a requirement that work does not proceed beyond a specified point until a specified plan or other document, or a revised version of a specified plan or other document, has been given to, and approved by, the regulator.

(4) 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 13 (building control approval applications for work to existing HRB: validity and time limit).

(5) A notice that the application has been rejected must give the reasons for rejection.

(6) A notice that the building control approval sought in the application has been granted subject to a requirement must specify the requirement imposed.

(7) If requested by the applicant, the regulator must provide a paper copy of the notice of building control approval.

(8) Where a building control approval application for work to existing HRB is successful the effect is that from the date of the notice under paragraph (4)—

(a) building control approval for the work to existing HRB is granted;

(b) subject to paragraphs (9) and (10)—

(i) the description of the proposed work under regulation 12(1)(e) (building control approval applications for work to existing HRB);

(ii) the plans of the work that accompanied the application, and

(iii) each of the other documents that accompanied the application and, in accordance with regulation 12(5) (building control approval applications for work to existing HRB), the regulator required to be provided,

are approved.

(9) Where building control approval has been granted subject to a requirement that a plan or document must be revised, the unrevised plan or document is not approved by paragraph (8)(b).

(10) Where—

(a) building control approval has been granted subject to a requirement that any plan or document must be revised, and

(b) the plan or document is revised in accordance with the requirement,

paragraph (8)(b) applies in relation to the revised plan or document.

(11) Where building control approval has been granted subject to a requirement of a type described in paragraph (3)(a), the client must ensure that work does not start before the plan or document is provided.

(12) Where building control approval has been granted subject to a requirement of a type described in paragraph (3)(b)—

(a) the requirement must set out the points specified in relation to the work and the plans or documents which must be approved for each point;

(b) the client must ensure work does not proceed beyond the point specified in a requirement until the approval by the regulator in relation to that plan or document has been received.

(13) If requested by the client, the regulator must provide a paper copy of the approval referred to in paragraph (12)(b).

(14) Where the regulator decides not to approve a plan or document under paragraph (12) if requested the regulator must give the reasons for the decision.

Regulator’s power to require notifications etc for work to existing HRB

16

(1) The regulator may, by notice in writing, require a client—

(a) to notify the regulator, within a specified period, when a specified point of the work to existing HRB has been reached;

(b) not to cover up specified work for a specified period.

(2) In this regulation “specified” means specified by the regulator in the notice referred to in paragraph (1).

Notice before starting on site and further notice when work is “commenced”

17

(1) This regulation applies where building control approval for work to existing HRB is granted under regulation 15 (building control approval applications for work to existing HRB: decisions).

(2) At least five working days before the day on which the work to existing HRB starts, the client must give a notice to the regulator setting out their intention to start the work and the date that work is to start.

(3) Not more than five working days after the day on which the work to existing HRB is to be regarded as commenced the client must give a notice to that effect to the regulator.

(4) If the regulator is not satisfied the work is to be regarded as commenced it must give the client a notice to that effect (“rejection notice”) within four weeks of the date the notice under paragraph (3) is given, and the rejection notice must give the reasons for rejection.

(5) Where a notice is given under paragraph (3) and the period referred to in paragraph (4) expires without a rejection notice being given, then the work is to be regarded as commenced.

(6) If the client accepts the rejection notice they may not give a further notice under paragraph (3) unless, having regard to the reasons given by the regulator, they are satisfied the work is to be regarded as commenced.

(7) The client may appeal to the First-tier Tribunal against the decision of the regulator to reject the notice provided the appeal is made within 21 relevant days beginning with the day after the day on which the regulator gives the rejection notice.

(8) The First-tier Tribunal may allow an appeal under paragraph (7) 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;

(d) that the decision was made without following the procedures set out in the 1984 Act or regulations made under that Act.

(9) Where a notice under paragraph (2) or (3) is given by someone on behalf of the client, the notice must include a statement signed by the client confirming they agree to the notice being given and that the information contained in it is correct.

(10) The regulator may take such steps, including—

(a) requiring information;

(b) laying open of work for inspection,

as it thinks appropriate to check whether the work is to be regarded as commenced.

(11) For the purposes of paragraphs (3) to (10) the provisions of regulation 46A (lapse of building control approval: commencement of work) of the 2010 Regulations apply to determine whether work is to be regarded as commenced.

PART 3 — Changes before or during construction

Change control

18

(1) This regulation applies where one or more of the following changes (“controlled change”) is proposed—

(a) a change to any current plans of any work or proposed work or the carrying out of work otherwise than in accordance with the current plans;

(b) a change to any stage of HRB work, including adding or removing a stage;

(2) Before any controlled change can be carried out, the client must ensure—

(a) a record is made of the controlled change in accordance with regulation 19 (change control: record-keeping), and

(b) a revised version of any agreed document affected by the controlled change is produced.

(3) Where the controlled change is a notifiable change, the client must notify the regulator in accordance with regulation 20 (change control: notification requirements).

(4) A notifiable change must not be carried out, and the work to which it relates must not start, until the notification referred to in paragraph (3) has occurred.

(5) Where the controlled change is a major change, the client must make an application for building control approval in respect of the change (a “change control application”) to the regulator in accordance with regulation 21 (change control applications).

(6) A major change must not be carried out, and the work to which it relates must not start, until the change control application is granted.

(7) Paragraph (8) applies where two or more controlled changes are related to the same change to the building work (“related changes”) and at least one of those controlled changes is a major change and at least one is a notifiable change.

(8) Where this paragraph applies—

(a) all the major changes which are related changes may be included in the same change control application,

(b) any notifiable changes which are related changes may also be included in that change control application, and

(c) in relation to any change which is a notifiable change, the requirements of regulation 20 (change control: notification requirements) are satisfied by providing details of the change as part of that application.

(9) Where two or more controlled changes are not related to the same change to the building work they must not be included in the same change control application.

(10) Paragraph (11) applies where a change control application has been submitted in relation to a proposed change (“the main change”) and it is proposed another controlled change (excluding a change which is only a recordable change) is to be carried out which is consequential on the main change (“a consequential change”) but was not included in an application of the type referred to in paragraph (8).

(11) Where this paragraph applies—

(a) a consequential change which is a notifiable change must not be notified in accordance with regulation 20 (change control: notification requirements);

(b) a change control application in relation to a consequential change which is a major change must not be made in accordance with regulation 21 (change control applications),

until the regulator has notified the client of the outcome of the change control application in relation to the main change.

(12) In this regulation—

“current agreed document” means the document that is an agreed document at the time the controlled change is proposed;

“current plans” means the plans that are an agreed document at the time the controlled change is proposed.

Change control: record-keeping

19

(1) The principal contractor (or sole contractor) must create and maintain a document for the purposes of recording information in respect of changes to the project (“change control log”).

(2) A controlled change must be recorded by entering the following information in the change control log—

(a) the name of the individual recording the change,

(b) a description of the proposed change,

(d) whether the change is a recordable change, a notifiable change or a major change,

(e) a list of the name and occupation of each person, if any, whose advice was sought in relation to the proposed change and a summary of any advice provided,

(f) an assessment of which agreed document is affected by the proposed change and confirmation that a revised version has been produced in accordance with regulation 18(2)(b) (change control), and

(g) an explanation, in relation to the proposed change, of how—

(i) the HRB work, the stage of HRB work or work to existing HRB will, after the proposed change is carried out, comply with all applicable building regulations, and

(ii) the strategies, policies and procedures in any agreed document (including in relation to controlled changes, mandatory occurrence reporting, competence of persons or sharing of information and co-operation) will, after the proposed change is carried out, comply with the requirements of—

(aa) this regulation and regulations 18, 20, 21 and 26 to 29 (changes to documents or persons);

(bb) regulations 31, 38 and 39 (golden thread etc);

(cc) regulations 32 to 37 (mandatory occurrence reporting);

(dd) Part 2A (dutyholders and competence) of the 2010 Regulations,

(a “compliance explanation”).

Change control: notification requirements

20

(1) A notice under regulation 18(3) (change control) must be in writing, signed by the client, and must include—

(a) a description of the proposed controlled change,

(b) an explanation of the reasons why the change has been proposed,

(c) a list of the name and occupation of each person, if any, whose advice was sought in relation to the proposed change and a summary of any advice provided,

(d) an assessment of the agreed documents affected by the proposed change,

(e) a compliance explanation in relation to the proposed change, and

(f) where the notification is made by someone on behalf of the client, a statement signed by the client confirming they agree to the notification being given and that the information contained in the application is correct,

and the notice must be accompanied by the revised version of the agreed document produced in accordance with regulation 18(2)(b) (change control).

(2) The regulator may, by notice in writing, require the person giving the notification to provide further information in relation to the proposed controlled change.

(3) Where a notice under paragraph (2) is given to the person giving the notification, the person must provide the information within 10 working days of receipt of the notice.

Change control applications

21

(1) A change control application must be made by the client (“the applicant”) in writing, signed by 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),

(d) a description of the proposed controlled change.

(2) The application must be accompanied by—

(a) an explanation of the reasons why the change has been proposed,

(b) a list of the name and occupation of each person, if any, whose advice was sought in relation to the proposed change and a summary of any advice provided,

(c) where the change is to the number of flats or residential rooms, plans showing the number of flats or residential rooms it is proposed the higher-risk building will contain,

(d) an assessment of the agreed documents affected by the proposed change,

(e) a compliance explanation in relation to the proposed change, and

(f) 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,

and the application must be accompanied by the revised version of the agreed document produced in accordance with regulation 18(2)(b) (change control).

Change control applications: validity and time limit

22

(1) Where the regulator receives a change control application which is valid the regulator must—

(a) notify the applicant to that effect, and

(b) determine it within 6 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 change control 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 change control application is valid if it complies with regulation 21 (change control applications).

Change control applications: consultation

23

(1) Before determining a change control application relating to a controlled change of a kind described in regulation 18(1)(a) (change control), the regulator must consult—

(a) the enforcing authority (within the meaning of article 25 of the Regulatory Reform (Fire Safety) Order 2005[^f00017]) for the building or proposed building where Part B of Schedule 1 to the 2010 Regulations imposes requirements in relation to the work to which the controlled change relates, and

(b) the sewerage undertaker for the building or proposed building where paragraph H4 of Schedule 1 to the 2010 Regulations imposes requirements in relation to the work to which the controlled change 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 would, if carried out in accordance with those plans, comply with—

(i) in the case of the enforcing authority, the applicable requirements of Part B (fire safety) of Schedule 1 to the 2010 Regulations, and

(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 10 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 B work” has the meaning given in regulation 12 (building control approval applications for work to existing HRB).

Change control applications: decisions

24

(1) The regulator must grant the building control approval sought in a change control application unless the application or any document that accompanied the application—

(a) does not comply with the requirements of regulation 21 (change control applications) or any direction relating to the application or the document given by the regulator under regulation 59 (electronic submission and directions);

(b) is not sufficiently detailed in any respect to allow the regulator to determine whether the HRB work, the stage of HRB work or work to existing HRB would contravene any applicable requirement of the building regulations;

(c) shows the HRB work, the stage of HRB work or work to existing HRB would contravene any applicable requirement of the building regulations;

(d) shows the strategies, policies or procedures in any agreed document (including in relation to controlled changes, mandatory occurrence reporting, competence of persons or sharing of information and co-operation) would contravene, or would be likely to contravene, the requirements of—

(i) regulations 18 to 21 and 26 to 29 (changes to documents or persons);

(ii) regulations 31, 38 and 39 (golden thread etc);

(iii) regulations 32 to 37 (mandatory occurrence reporting);

(iv) Part 2A (dutyholders and competence) of the 2010 Regulations.

(2) If one or more of the reasons in paragraph (1) applies, the regulator may—

(a) reject the change control application, or

(b) with the written consent of the applicant, grant the building control approval sought in the application subject to one or more requirements.

(3) The types of requirement that may be imposed under paragraph (2)(b) include—

(a) a requirement to provide a specified plan or document, or a revised version of a specified plan or document, within a specified period;

(b) a requirement that work does not proceed beyond a specified point until a specified plan or other document, or a revised version of a specified plan or other document, has been given to, and approved by, the regulator.

(4) The regulator must notify the applicant of the outcome of the change control 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 22 (change control applications: validity and time limit).

(5) A notice that the application has been rejected must give the reasons for rejection.

(6) A notice that the building control approval sought in the change control application has been granted subject to a requirement must specify the requirement imposed.

(7) If requested by the applicant, the regulator must provide a paper copy of the notice of building control approval.

(8) Where a change control application is successful the effect is that from the date of the notice under paragraph (4)—

(a) building control approval for the HRB work, the stage of HRB work or work to existing HRB is granted;

(b) subject to paragraphs (9) and (10)—

(i) the description of the proposed controlled change, and

(ii) the revised version of the agreed document that accompanied the application,

are approved.

(9) Where building control approval has been granted subject to a requirement that a plan or document must be revised, the unrevised plan or document is not approved by paragraph (8)(b).

(10) Where—

(a) building control approval has been granted subject to a requirement that a plan or document must be revised, and

(b) the plan or document is revised in accordance with the requirement,

paragraph (8)(b) applies in relation to the revised plan or document.

(11) Where building control approval has been granted subject to a requirement of a type described in paragraph (3)(b)—

(a) the client must ensure the work does not proceed beyond the point specified in the requirement until approval by the regulator to the plan or document has been received;

(b) where a request for approval has been received by the regulator it must notify the client of the outcome of the request within 6 weeks beginning with the date the request is received by the regulator or within such longer period as at any time the regulator and the client agree in writing;

(d) if requested by the client, the regulator must provide a paper copy of the approval.

Change control: regulator power to specify notifiable changes and major changes

25

The regulator may specify that a particular type of controlled change is a notifiable change or a major change, in relation to specified work, by giving notice in writing to that effect to the client, principal contractor (or sole contractor) and the principal designer (or sole or lead designer) for that work.

Change control: major changes and notifiable changes

26

(1) In regulations 18 to 25—

“major change” means— in relation to HRB work or a stage of HRB work— a change which is a material change of use to any part of a proposed higher-risk building; a change of the proposed use of any part of a proposed higher-risk building so that after the change the part of the building is to have a use as a car park or cease to have a use as a car park (whether the car park is for the occupiers of the building or otherwise); a change which increases or decreases the external height or width of a proposed higher-risk building; a change to the number of storeys in a proposed higher-risk building (including adding or removing a mezzanine or gallery floor); a change to the structural design or structural loading of the building; a change to the number or width of the staircases in a proposed higher-risk building or a change to the length of any other escape route or the number or width of any escape route (including evacuation lift) within the proposed building; a change to the external wall of a proposed higher-risk building including a wall tie, wall restraint fixing or support system in the wall; a change to any part of the active fire safety measures or passive fire safety measures in a proposed higher-risk building referred to in the fire and emergency file; a change to the layout or dimensions of the common parts within a proposed higher-risk building; subject to paragraph (2), a change of any construction product or building element to be used in or on a proposed higher-risk building such that its replacement is of a lower classification under the reaction to fire classification (within the meaning in regulation 2(6) of the 2010 Regulations[^f00018]); a change to any assumptions made in the design of a proposed higher-risk building as set out in the Building Regulations compliance statement; a change proposing occupation of any part of the proposed higher-risk building before all the work is completed; a change to the number of flats, residential rooms or commercial units contained in a proposed higher-risk building; in relation to work to existing HRB— a change which is a material change of use to any part of a higher-risk building; a change of the use of any part of a higher-risk building so that after the change the part of the building is to have a use as a car park or cease to have a use as a car park (whether the car park is for the occupiers of the building or otherwise); a change which increases or decreases the external height or width of a higher-risk building; a change to the number of storeys in a higher-risk building (including adding or removing a mezzanine or gallery floor); a change to the structural design or structural loading of the building; a change to the number or width of the staircases in a higher-risk building or a change to the length of any other escape route or the number or width of any escape route (including evacuation lift) within the building; a change to the external wall of a higher-risk building including a wall tie, wall restraint fixing or support system in the wall; a change to any part of the active fire safety measures or passive fire safety measures in a higher-risk building referred to in the fire and emergency file; a change to the layout or dimensions of the common parts within a higher-risk building; subject to paragraph (2), a change of any construction product or building element to be used in or on a higher-risk building (or to be used as part of works to a higher-risk building) such that its replacement is of a lower classification under the reaction to fire classification (within the meaning in regulation 2(6) of the 2010 Regulations); a change to any assumptions made in the design of a higher-risk building or works to a higher-risk building as set out in the Building Regulations compliance statement; where the building or part of a building is not occupied during the work, a change proposing occupation before all the work is completed; a change to the number of flats, residential rooms or commercial units contained in a higher-risk building; a change specified by the regulator as a major change by notice given in accordance with regulation 25 (change control: regulator power to specify notifiable changes and major changes);

“notifiable change” means— a change to the construction control plan other than a change to the schedule of appointments contained within it; a change to the change control plan; a change to the layout of a flat or a residential room in a proposed higher-risk building or in a higher-risk building; a change to the number or dimensions of any openings in any wall, ceiling or other building element for any pipe, duct or cable; a change to the wall tie, wall restraint fixing or support system in any wall or proposed wall (excluding an external wall); subject to paragraph (2), a change of any construction product or building element to be used in or on a proposed higher-risk building (or to be used as part of works to a higher-risk building) where its replacement is of the same or higher classification under the reaction to fire classification (within the meaning in regulation 2(6) of the 2010 Regulations); any other change to the fire and emergency file or the fire safety compliance information; a change specified by the regulator as a notifiable change by notice given in accordance with regulation 25 (change control: regulator power to specify notifiable changes and major changes); a change to the partial completion strategy; a change to a staged work statement or a subsequent stages statement (as defined in regulation 4(3)).

(2) Where an agreed document specifies use of a construction product or building element falling within a specified class, the change to another product or element falling within the same design specification is a recordable change.

New client etc

27

(1) Subject to paragraphs (4) and (5), if, at any time after building control approval for HRB work, a stage of HRB work or work to existing HRB is granted, a person (in this regulation “C”) ceases to be the client in relation to the work they must, not more than 14 days after the date they cease to be the client, provide the new client (in this regulation “N”) with—

(a) a copy of the golden thread information;

(b) information (including plans, drawings and other documents) which is sufficient to detail the work comprised in the project;

(c) a document explaining the arrangements made under regulation 11A (suitable arrangements to ensure compliance with requirements etc) of the 2010 Regulations;

(d) a statement, signed by C, which—

(i) provides the date C ceased to be the client, and

(ii) confirms that—

(aa) C has fulfilled their duties as the client under Part 2A (dutyholders and competence) of the 2010 Regulations,

(bb) C has provided a copy of the golden thread information to N, and

(cc) as far as C is aware, on the date they cease to be client, the design work, and the building work (if any has been carried out by that date), complies with all applicable requirements of the building regulations.

(2) Subject to paragraph (3), N must—

(a) within 28 days of the date when N becomes the client, give a notice to the regulator which—

(i) states the date N became the client;

(ii) states the date when C ceased to be the client;

(iii) confirms N has received the documents referred to in paragraph (1);

(iv) confirms N is aware of the requirements imposed on a client by the building regulations;

(v) includes a copy of C’s statement under paragraph (1)(d), and

(b) ensure—

(i) a record is made of the change of client in the change control log;

(ii) the construction control plan is revised, in accordance with regulation 18 (change control), to reflect the change.

(3) Where N is not able—

(a) to confirm they have received the documents referred to in paragraph (1), or

(b) to provide a copy of C’s statement under paragraph (1)(d),

then the notice sent under paragraph (2)(a) must explain the reasons for not providing the confirmation or not including a copy of the statement.

(4) Where—

(a) a trustee in bankruptcy has been appointed in relation to a client, or

(b) C’s property (or any part of it that includes the HRB project) vests in a liquidator under section 145 of the Insolvency Act 1986,

that person (IP) is not to be treated as a new client provided no building work has been carried out since their appointment or vesting, and where IP then disposes of C’s property to a new client paragraph (1) applies to IP as if—

(i) sub-paragraphs (c) and (d) (except paragraph (bb)) were omitted, and

(ii) where they are not able to confirm they have the documents referred to in paragraph (1)(a) then the notice sent under paragraph (2) by N must explain the reasons for not providing the confirmation.

(5) Where—

(a) a deputy has been appointed by the Court of Protection in relation to C’s property and financial affairs, or

(b) a person has power of attorney in relation to C’s property and they intend to act in the capacity of the client,

paragraph (6) applies instead of paragraph (1).

(6) Where paragraph (5) applies, a person who has taken over as the client on behalf of C must, within 28 days of taking any step as a client—

(a) give a notice to the regulator which—

(i) states the date they took over as the client on behalf of C;

(ii) confirms they have—

(aa) a copy of the golden thread information;

(bb) information (including plans, drawings and other documents) which is sufficient to detail the work comprised in the project;

(cc) a document explaining the arrangements made under regulation 11A (suitable arrangements to ensure compliance with requirements etc) of the 2010 Regulations;

(iii) confirms they are aware of the requirements imposed on a client by the building regulations;

(iv) includes a statement, signed by them, which confirms that as far as they are aware, on the date of the notice, the design work, and the building work (if any has been carried by that date), complies with all applicable requirements of the building regulations, and

(b) ensure—

(i) a record is made of them taking over as the client on behalf of C in the change control log;

(ii) the construction control plan is revised, in accordance with regulation 18 (change control), to reflect the change.

(7) Where the person who has taken over as the client on behalf of C is not able to confirm they have the documents referred to in paragraph (6)(a)(ii) or make the statement required by paragraph (6)(a)(iv) then the notice sent under paragraph (6)(a) must explain the reasons for not providing the confirmation or not providing the statement.

(8) Subject to paragraph (9), where C dies, C’s personal representative (“PR”) must, within 28 days of issue of grant to administer C’s estate give a notice to the regulator which—

(a) states the date of issue of grant to administer C’s estate,

(b) states the date when C died,

(i) a copy of the golden thread information,

(ii) information (including plans, drawings and other documents) which is sufficient to detail the work comprised in the project,

(iii) a document explaining the arrangements made under regulation 11A (suitable arrangements to ensure compliance with requirements etc) of the 2010 Regulations, and

(d) states whether or not PR intends to act as the client in relation to the project.

(9) Where PR is not able to confirm they have the documents referred to in paragraph (8)(c) then the notice sent under paragraph (8) must explain the reasons for not providing the confirmation.

(10) Where PR intends to act as the client in relation the project, PR must comply with paragraph (2) (except paragraphs (iii), (iv) and (v) of sub-paragraph (a)) and in the notice to be provided under paragraph (2) they must additionally confirm they have—

(a) a copy of the golden thread information,

(b) information (including plans, drawings and other documents) which is sufficient to detail the work comprised in the project; and

(c) a document explaining the arrangements made under regulation 11A (suitable arrangements to ensure compliance with requirements etc) of the 2010 Regulations.

(11) Where PR is not able to confirm they have the documents referred to in paragraph (10) then the notice referred to in paragraph (10) must explain the reasons for not providing the confirmation.

(12) For purposes of this regulation a person is to be treated as a new client where a project is carried out for them instead of C but a person is not to be regarded as a new client by reason solely of their purchase of, or their entering into a contract to purchase, a legal interest in a dwelling created or to be created in the higher-risk building.

(13) For the purposes of section 35(2) of the 1984 Act (provisions for which offence does not apply) paragraphs (6) and (8) are prescribed.

(13A) For the purposes of section 35B(7)(a) of the 1984 Act (provisions for which compliance notice may not be given) paragraphs (6) and (8) are prescribed.

(14) The requirements of this regulation do not apply—

(a) to a domestic client; or

(b) to work to existing HRB which consists only of—

(i) scheme work;

(ii) exempt work, or

(iii) work to which regulation 10 (notification of emergency repairs to existing HRB) applies.

Insolvency etc of the client: notifications

28

(1) Where the client becomes aware that any of the circumstances referred to in paragraph (2) apply in relation to them, the client must, not more than 14 days after that date, give a notice to the regulator which—

(a) states that they are the client in relation to a project;

(b) states the name and address of the client, and where the person is a company, also the company registration number;

(d) provides so much of the information referred to in the table in rule 1.6 of the Insolvency (England and Wales) Rules 2016 as is known to them [^f00019].

(2) The circumstances mentioned in paragraph (1) are—

(a) a moratorium under Part A1 of the Insolvency Act 1986[^f00020] has commenced;

(b) a voluntary arrangement for the purposes of Part 1 of the Insolvency Act 1986 has been proposed under that Part of the Act;

(c) a voluntary arrangement for the purposes of Part 8 of the Insolvency Act 1986 has been proposed and has taken effect under that Part of the Act.

(3) Subject to paragraph (5), where a person (“P”) described in paragraph (4) is appointed in relation to the client then not more than 14 days after the date P is appointed P must give a notice to the regulator which—

(a) states the name and address of the client in relation to which the appointment relates and gives details which are sufficient to identify every project of the client which relates to a higher-risk building;

(b) identifies the nature of the appointment held by P in relation to the client;

(d) provides so much of the information referred to in the table in rule 1.6 of the Insolvency (England and Wales) Rules 2016 as is known to them.

(4) The persons referred to in paragraph (3) are—

(a) an administrator;

(b) an administrative receiver;

(d) a liquidator;

(e) a trustee in bankruptcy.

(5) Where under section 178 or 315 of the Insolvency Act 1986 any property in relation to a project is disclaimed, the person disclaiming the property must, within the period of 28 days beginning with the date the disclaimer took effect, give the regulator a copy of the notice of disclaimer under rule 19.2 of the Insolvency (England and Wales) Rules 2016.

(6) For the purposes of section 35(2) of the 1984 Act (provisions for which offence does not apply) paragraph (3) is prescribed.

(6A) For the purposes of section 35B(7)(a) of the 1984 Act (provisions for which compliance notice may not be given) paragraph (3) is prescribed.

(7) The requirements of this regulation do not apply to a domestic client.

New principal contractor or principal designer etc: notification

29

(1) This paragraph applies where, at any time after building control approval for HRB work, a stage of HRB work or work to existing HRB is granted the client appoints a principal contractor (or sole contractor) or principal designer (or sole or lead designer).

(2) Where paragraph (1) applies, the client must give a notice, signed by the client, to the regulator containing—

(a) the name, address, telephone number and (if available) email address of the person appointed,

(b) a statement that the client—

(i) has complied with regulation 11E(2)(b) (consideration of past misconduct) of the 2010 Regulations,

(ii) is satisfied in the case of a principal contractor, that the person fulfils the requirements in regulations 11F(1) and (2) and 11H(1) of the 2010 Regulations,

(iii) is satisfied in the case of a principal designer, that the person fulfils the requirements in regulations 11F(1) and (2) and 11G(1) of the 2010 Regulations,

(iv) is satisfied in the case of a sole contractor, or sole or lead designer, that the person fulfils the requirements in regulations 11F(1) and (2) of the 2010 Regulations,

(c) in relation to each principal contractor or principal designer, a copy of the record, in respect of the person, that the client created under regulation 11D(8) or (9) (principal designer and principial contractor) of the 2010 Regulations, and

(d) a declaration as to the truth of the statement referred to in sub-paragraph (b) and of the record (if any) referred to in sub-paragraph (c).

(3) On request from the client, the person who was the principal contractor (or sole contractor) or principal designer (or sole or lead designer), as the case may be, before the appointment referred to in paragraph (1) must give the client a statement in writing, signed and dated by them, which sets out—

(a) their name, address, telephone number and (if available) email address,

(b) the dates of their appointment,

(i) in the case of a person who was a principal contractor (or sole contractor), that they have fulfilled their duties as a principal contractor under Part 2A (dutyholders and competence) of the 2010 Regulations,

(ii) in the case of a person who was principal designer (or sole or lead designer), that they have fulfilled their duties as a principal designer under Part 2A (dutyholders and competence) of the 2010 Regulations,

(d) where a person is unable to certify that they have fulfilled their duties, a statement explaining what duties they were unable to fulfil and the reasons for not being able to do so.

(4) The client must ensure the notice under paragraph (2) is accompanied by a copy of a statement provided to them under paragraph (3).

(5) Where, at the date a client gives the notice under paragraph (2), the client is unable to obtain the statement under paragraph (3), the notice under paragraph (2) must be accompanied by a statement by the client explaining the steps the client has taken to obtain the statement together with any reasons the person referred to in paragraph (3) has given for not providing the statement.

(6) The client must give the notice under paragraph (2) together with a copy of the statement referred to in paragraph (3) or, if applicable, a statement referred to in paragraph (5), to the regulator within the period of 14 days beginning with the date of the appointment.

(7) The client must ensure—

(a) a record is made of the change of principal contractor (or sole contractor) or principal designer (or sole or lead designer) in the change control log, and

(b) the construction control plan is revised, in accordance with regulation 18 (change control), to reflect the change.

(8) Where the client is a domestic client (DC), the following applies instead of paragraphs (2) to (7)—

(a) except where the person appointed (PA) is the first person appointed to the role, the person who held the role before PA (“outgoing dutyholder”) must, within five days of the date their appointment ends, give the DC a notice which sets out—

(i) their name, address, telephone number and (if available) email address;

(ii) the date their appointment ended;

(iii) subject to paragraph (b), a certificate that—

(aa) in the case of a person who was 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;

(bb) in the case of a person who was 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;

(b) where the outgoing dutyholder is unable to certify that they fulfilled their duties, a statement explaining what duties they were unable to fulfil and the reasons for not being able to do so;

(c) DC must provide the information referred to under sub-paragraph (a) and, as the case may be, (b) to PA on the date of appointment of PA or as soon as practicable after that date;

(d) subject to paragraph (10), PA must give a notice to the regulator which includes—

(i) the location of the building work;

(ii) the name, address, telephone number and (if available) email address of PA and the date of appointment;

(iii) except where PA is the first person appointed to the role, the name, address, telephone number and (if available) email address of the outgoing dutyholder and the date their appointment ended;

(iv) a statement explaining the notice is given on behalf of a domestic client.

Reading this document does not replace reading the official text published on legislation.gov.uk. Contains public sector information licensed under the Open Government Licence v3.0. We assume no responsibility for any inaccuracies arising from the conversion of the original CLML XML to this format.

This text is published under legislation.gov.uk's own terms of reuse, not a Legalize or public-domain licence. legislation.gov.uk
Open Government Licence v3.0 (attribution required)
© Crown and database right. Derived from content available under the Open Government Licence v3.0 from legislation.gov.uk.