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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

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(9) PA must ensure the notice under paragraph (8)(d) is accompanied by a copy of a certificate provided to them under paragraph (8)(a) or a statement provided to them under paragraph (8)(b).

(10) Where PA has not received the information required to be provided under paragraph (8)(c) by the time the notice under paragraph (8)(d) is to be given, the statement given by PA under paragraph (8)(d)(iv) must also include an explanation to that effect.

(11) A notice required under paragraph (8)(d) must be given to the regulator within the period of 14 days beginning with the date of the appointment.

(12) PA 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.

Variation of a requirement imposed on a building control approval

30

(1) In relation to HRB work, a stage of HRB work or work to existing HRB, a client may request, by notice in writing, that the regulator vary a requirement imposed on a building control approval.

(2) A notice under paragraph (1) must be made in writing, signed by the client, and must include—

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

(b) a statement that the notice is given under this regulation,

(d) an explanation of the reasons why the variation is proposed,

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

(3) Where the notice under paragraph (1) is given by someone on behalf of the client, it must include a statement signed by the client confirming they agree to the notice being given and that the information contained in the application is correct.

(4) Where the regulator receives a notice under paragraph (1) the regulator must determine whether to grant the variation within 28 days of receipt of the notice or within such longer period as at any time the regulator and the person giving the notice agree in writing.

(5) Where the regulator has not determined whether to grant the variation before the expiry of the period provided for in paragraph (4) then the variation is treated as refused by the regulator.

(6) Where a requirement is varied the regulator must give the client a notice setting out the requirement as varied.

(7) If requested by the client, the regulator must provide a paper copy of the notice.

(8) Where the regulator does not agree to the variation the regulator must notify the client giving reasons.

PART 4 — Golden thread, mandatory occurrence reporting, information handover etc

Golden thread

31

(1) The arrangements made by a client under regulation 11A (suitable arrangements to ensure compliance with requirements etc) of the 2010 Regulations must include—

(a) where the work is HRB work or a stage of HRB work—

(i) arrangements for an electronic facility to be created and maintained by the client (or someone on their behalf) for the purpose of holding the golden thread information;

(ii) procedures for persons involved with designing or carrying out the work to have access to the facility for the purpose of maintaining the golden thread information in the facility;

(b) where the work is work to existing HRB—

(i) arrangements for an electronic facility which holds the golden thread information to be maintained by the client (or someone on their behalf) for the purpose of updating the golden thread information in relation to the work;

(ii) procedures for persons involved with designing or carrying out the work to have access to the facility for the purpose of maintaining the golden thread information in the facility.

(2) The client must ensure the golden thread information—

(a) is kept in an electronic format,

(b) is capable of being transferred electronically to other persons without the data, information or document in it being lost or corrupted,

(d) is available in a readable format which is intelligible to the intended readers of the data, and any key needed to understand the data is provided with the data,

(e) is made available as soon as reasonably practicable following a request from a principal designer (or sole or lead designer) or principal contractor (or sole contractor) to enable them to comply with their requirements under the building regulations,

(f) is secure from unauthorised access,

(g) is only changed in accordance with procedures which record the person who made the change and the date of that change, and

(h) as far as is reasonably practicable uses language, terminology and definitions which are consistent.

(3) The principal designer (or sole or lead designer) must ensure designs for the building work produced before a building control approval application for HRB work, a stage of HRB work or work to existing HRB is submitted are provided to the client and the client must ensure, before the construction phase begins (or, in the case of a stage of HRB work, that stage begins), the facility referred to in paragraph (1) is updated to include the design.

(4) Where building control approval for HRB work, a stage of HRB work or work to existing HRB is granted the client must ensure, before the construction phase begins (or, in the case of a stage of HRB work, that stage begins), the facility referred to in paragraph (1) includes—

(a) a copy of the fire statement in relation to the higher-risk building or proposed higher-risk building,

(b) where the work is HRB work or a stage of HRB work, a copy of the plans and each of the other documents for the proposed higher-risk building which are approved under regulation 7(8)(b) (building control approval applications for HRB work or stage of HRB work: decisions) together with all the evidence recorded to show compliance with the applicable requirements of the building regulations, and

(c) where the work is work to existing HRB, a copy of the plans and each of the other documents for the work which are approved under regulation 15(8)(b) (building control approval applications for work to existing HRB: decisions) together with all the evidence recorded to show compliance with the applicable requirements of the building regulations.

(5) Where regulation 10 (notification of emergency repairs to existing HRB) applies in relation the work, the client must ensure a copy of the notice required under regulation 10(1)(a) is included in the facility referred to in paragraph (1).

(6) Where an agreed document is provided or approved under the terms of a requirement imposed on the grant of a building control approval under—

(a) regulation 7 (building control approval applications for HRB work or stage of HRB work: decisions);

(b) regulation 15 (building control approval applications for work to existing HRB: decisions);

the client must ensure the facility referred to in paragraph (1) is updated to include a copy of that agreed document as soon as practicable after the document is provided or approved.

(7) Where a controlled change is proposed the client must ensure a copy of the record required to be made under regulation 18(2)(a) (change control) is included in the facility referred to in paragraph (1) as soon as practicable after the change is recorded and where the proposed change is not carried out the facility referred to in paragraph (1) must be updated with a note to that effect.

(8) Where a controlled change is proposed and an agreed document is affected by the change, the client must ensure a copy of the revised version of the document required to be produced under regulation 18(2)(b) (change control) is included in the facility referred to in paragraph (1) as soon as practicable after the revised version is produced and where the proposed change is not carried out the facility referred to in paragraph (1) must be updated with a note to that effect.

(9) Where a notice is given under regulation 29 (new principal contractor or principal designer etc: notification), the client must ensure the facility referred to in paragraph (1) is updated to include a copy of the notice and any statement which accompanied that notice as soon as practicable after the notice is given.

(10) Where a written report is provided to the regulator under regulation 33 (mandatory occurrence reporting: reporting to the regulator), the client must ensure the facility referred to in paragraph (1) is updated to include a copy of that report as soon as practicable after the report is provided.

(11) Where the client proposes to make a completion certificate application or a partial completion certificate application they must ensure the facility referred to in paragraph (1) is updated to include a copy of the proposed application and a copy of each document which it is proposed will accompany the application.

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

(a) scheme work, or

(b) exempt work.

(13) In this regulation—

“fire statement” means any statement in relation to the higher-risk building or proposed higher-risk building submitted in accordance with article 9A of the Town and Country Planning (Development Management Procedure) (England) Order 2015[^f00021];

“golden thread information” means the information required by this regulation to be included in the facility referred to in paragraph (1), including previous versions of any document which has been updated.

Mandatory occurrence reporting system

32

(1) The principal dutyholders[^f00022] must—

(a) before the construction phase begins, establish a system which enables as far as is reasonably practicable the prompt reporting of every safety occurrence to the principal dutyholders by reporting persons, and

(b) maintain the system throughout the construction phase.

(2) The principal dutyholders must take reasonable steps to ensure each reporting person is provided with adequate instruction and information on the system established by virtue of paragraph (1) and the incidents or situations that should be reported by the reporting person through the system—

(a) in the case of a designer or contractor, before beginning any work;

(b) in the case of any other person, as soon as reasonably practicable after first entering the site of the work.

(3) The principal contractor (or sole contractor) must ensure an appropriate frequency of inspections of the work for safety occurrences throughout the construction phase.

(4) The principal designer (or sole or lead designer) must ensure an appropriate frequency of inspections of HRB design work for safety occurrences throughout the construction phase.

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

(a) exempt work, or

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

Mandatory occurrence reporting: reporting to the regulator

33

(1) Where there is a safety occurrence during the construction phase, a principal dutyholder must follow the reporting procedure on becoming aware of the occurrence.

(2) For the purposes of this regulation, “the reporting procedure” means—

(a) notifying the regulator of the safety occurrence by the quickest practicable means without undue delay, and

(b) providing a written report of the occurrence containing the required information (as set out in paragraph (3)) to the regulator within the period of 10 days beginning with the date the principal dutyholder becomes aware of the safety occurrence.

(3) The required information referred to in paragraph (2) is—

(a) the date and time of the safety occurrence;

(b) the address of the site at which the occurrence happened;

(c) the name, address, telephone number and (if available) an email address of the principal dutyholder making the report;

(d) the type and details of the occurrence (including the nature of the risk);

(e) details of remedial measures or mitigation carried out.

(4) Information provided by a person under the reporting procedure is not admissible in evidence against that person in criminal proceedings except—

(a) in proceedings for an offence under section 35 of the 1984 Act (offence of contravening building regulations etc) relating to breach of the duty in paragraph (1),

(b) in proceedings for an offence under section 24 of the 2022 Act (provision of false or misleading information to regulator),

(d) if in the proceedings—

(i) in giving evidence the person makes a statement inconsistent with the information, and

(ii) evidence as to the information that was provided is adduced, or a question relating to it is asked, by or on behalf of the person.

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

(a) exempt work, or

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

Mandatory occurrence reporting: defences

34

Where a principal dutyholder has committed an offence under section 35 of the 1984 Act of contravening these Regulations by failing to follow the reporting procedure in relation to a safety occurrence as required by regulation 33 (mandatory occurrence reporting: reporting to the regulator), it is a defence for the principal dutyholder if it reasonably believed that the other principal dutyholder had—

(a) already notified the regulator of the safety occurrence under regulation 33, and

(b) already provided the regulator with a written report of the safety occurrence under regulation 33.

Mandatory occurrence reporting: definitions

35

In regulations 32 to 34—

“construction phase” means the period of time beginning when the HRB work, a stage of HRB work or work to existing HRB starts and ending when the work is completed;

“HRB design work” means design of any HRB work, stage of HRB work or work to existing HRB;

“principal dutyholders” means the principal contractor (or sole contractor) and the principal designer (or sole or lead designer);

“reporting person” means— any designer (including the principal designer), any contractor (including the principal contractor), and any other person who is a periodic visitor on the site of work;

“safety occurrence” means— in relation to a design, an aspect of the design relating to the structural integrity or fire safety of a higher-risk building that would, if built, meet the risk condition; otherwise, an incident or situation relating to the structural integrity or fire safety of a higher-risk building that meets the risk condition.

(2) In the definition of “safety occurrence”, the “risk condition” is that use of the building in question without the incident or situation being remedied would be likely to present a risk of a significant number of deaths, or serious injury to a significant number of people.

Mandatory occurrence reporting: regulator’s annual report

36

Regulation 33(1) (mandatory occurrence reporting: reporting to the regulator) is prescribed for the purposes of section 19(2)(b) of the 2022 Act.

Mandatory occurrence reporting: client duty on appointment of principal contractor or principal designer

37

Where, in relation to HRB work, a stage of HRB work or work to existing HRB, the client appoints a principal contractor (or sole contractor) or principal designer (or sole or lead designer), then the client must take all reasonable steps to satisfy itself that the person appointed is able to fulfil the requirements in regulations 32 (mandatory occurrence reporting system) and 33 (mandatory occurrence reporting: reporting to the regulator).

Handover of information on completion etc

38

(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

(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[^f00023] 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[^f00024];

“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.

Information to be provided where work is scheme work

39

(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.

PART 5 — Completion certificates

Completion certificate applications

40

(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);

(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[^f00025];

(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.

(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.

(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

(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

(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.

Completion certificate applications: validity and time limit

41

(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).

Completion certificate applications: consultation

42

(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).

Completion certificate applications: inspection

43

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.

Completion certificate applications: decisions

44

(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.

(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.

Partial completion certificates

45

(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);

(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[^f00026];

(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).

(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;

(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;

(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.

(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.

(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

PART 6 — Inspections etc, regularisation, review of decisions, appeals and section 30A procedures etc

Inspections etc

46

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;

Regularisation of unauthorised building work

47

(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,

(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.

Review of regulator’s decisions

48

(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);

(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;

(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.

Appeal in relation to reviewed decisions

49

(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)[^f00027].

(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;

(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.

Section 30A prescribed applications

50

(1) The following applications are prescribed[^f00028] 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;

(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[^f00029], the regulator has notified the person who made the original application that the original application is not valid.

Section 30A applications: procedure

51

(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[^f00030] 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;

(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.

Section 30A applications: electronic submissions

52

(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.

Section 30A applications: determinations

53

(1) A section 30A application is to be determined[^f00031] 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.

Section 30A applications: appointed persons

54

(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.

Deemed rejection of the original application

55

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[^f00032] before the expiry of that period,

then the original application is treated as rejected by the regulator.

Section 30A applications: appeals

56

(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;

(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.

PART 7 — Miscellaneous

Exempt work

57

For the purposes of these Regulations, building work which consists only of work of a kind described in Schedule 2 (exempt work) is exempt work.

Requirement for completion certificate before occupation and transitional cases

58

(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[^f00033] 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.

Electronic submission and directions

59

(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;

(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.

Contraventions by the regulator not to be subject to enforcement

60

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).

Provisions in relation to which a stop notice may be given

61

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);

(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).

Local land charges

62

The functions of local authorities under the Local Land Charges Act 1975[^f00034], 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.

Consequential amendment to the Regulatory Reform (Fire Safety) Order 2005

63

In article 22A(3) of the Regulatory Reform (Fire Safety) Order 2005[^f00035] (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);

Consequential amendments to the Community Infrastructure Levy Regulations 2010

64

(1) The Community Infrastructure Levy Regulations 2010[^f00036] 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

Consequential amendments to the Building Safety (Responsible Actors Scheme and Prohibitions) Regulations 2023

65

(1) The Building Safety (Responsible Actors Scheme and Prohibitions) Regulations 2023[^f00037] 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;

(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—

(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.

Transitional, supplementary and saving provisions

66

The transitional, supplementary and saving provisions set out in Schedule 3 have effect.

SCHEDULE 1 — Documents

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—

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