The Building Regulations etc. (Amendment) (England) Regulations 2023

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 1984³.

PART 1 — Introduction

Citation, commencement, extent and interpretation

1

• (1) These Regulations may be cited as the Building Regulations etc. (Amendment) (England) Regulations 2023.

• (2) These Regulations come into force on 1st October 2023.

• (3) These Regulations extend to England and Wales.

• (4) In these Regulations “the 2010 Regulations” means the Building Regulations 2010⁴.

PART 2 — Amendment of the Building Regulations 2010

Amendment of the 2010 Regulations

2

The 2010 Regulations are amended in accordance with regulations 3 to 17.

Amendments to regulation 2

3

In regulation 2(1) (interpretation) of the 2010 Regulations—

• (a) in the appropriate places insert—

• “application for building control approval with full plans” means an application for building control approval⁵ in accordance with regulations 12(2)(b) and 14;

• “application for a completion certificate” in relation to a higher-risk building work, has the same meaning as “completion certificate application” in regulation 2 of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;

• “business” means a trade, business or other undertaking (whether for profit or not);

• “client” means any person for whom a project is carried out;

• “construction phase” means the period beginning when any building work on a project starts and ending when that project is completed;

• “contractor” means any person (including a client, but not a domestic client) who, in the course of a business, carries out, manages or controls any building work;

• “design work” means design of any building work;

• “designer” means any person (including a client, contractor or other person referred to in Part 2A of these Regulations) who in the course of a business— carries out any design work, or arranges for, or instructs, any person under their control to do so;

• “domestic client” means a client for whom a project is being carried out which is not in the course or furtherance of a business of that client;

• “principal contractor” means the contractor appointed under regulation 11D (principal designer and principal contractor) to perform the duties of a principal contractor under these Regulations;

• “principal designer” means the designer appointed under regulation 11D (principal designer and principal contractor) to perform the duties of a principal designer under these Regulations;

• “project” means a project which includes or is intended to include any building work and includes all planning work, design work, management or other work involved in a project until the end of the construction phase;

• “recipient”, in relation to a compliance notice or a stop notice, means the person to whom the notice will be or has been given;

• “relevant authority” means— in cases where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), the regulator⁶; in any other case, the local authority for the area in which the building is situated or the proposed building is to be situated;

• “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;

• “sole contractor” means a person fulfilling the duties of the principal contractor by virtue of regulation 11D(6);

• “sole or lead designer” means a person fulfilling the duties of the principal designer by virtue of regulation 11D(7);

• (b) for definition of “building” substitute—

• “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 2023⁷; in any other case, means any permanent or temporary building but not any other kind of structure or erection, and a reference to a building includes a reference to part of a building;

• (c) omit the definition of “full plans”.

Amendments after regulation 2

4

After regulation 2 (interpretation) of the 2010 Regulations insert—

(2A) Subject to regulation 2B, these Regulations apply to all buildings in England including higher-risk buildings. (2B) The following regulations do not apply to higher-risk building work— (a) regulation 12 (giving of a building notice or an application for building control approval); (b) regulation 13 (particulars and plans where a building notice is given); (c) regulation 14 (applications for building control approval with full plans); (d) regulations 14A (determination of applications for building control approval with full plans); (e) regulation 14B (appeal against a local authority’s rejection of an application for building control approval); (f) regulation 14C (appeal against the regulator’s rejection of an application for building control approval for work that is not higher-risk building work); (g) regulation 15 (consultation with sewerage undertaker); (h) regulation 15A (consultation in relation to fire safety); (i) regulation 16 (notices in relation to building work); (j) regulation 17 (completion certificates); (k) regulation 17A (certificate for building occupied before work is completed); (l) regulation 18 (unauthorised building work); (m) regulation 18A (appeal against local authority’s refusal to grant certain certificates); (n) regulation 18B (appeal to regulator in relation to certain decisions); (o) regulation 19 (supervision of building work otherwise than by local authorities); (p) regulation 38 (fire safety information); (q) regulation 39 (information about ventilation); (r) regulation 40 (information about use of fuel and power); (s) regulation 40A (information about systems for on-site generation of electricity); (t) regulation 40B (information about overheating).

Amendment to regulation 10 and transitional provision

5

• (1) In regulation 10 (exemption of Mayor’s Office for Policing and Crime from procedural requirements) of the 2010 Regulations, for paragraph (2) substitute—

(2) The Mayor’s Office for Policing and Crime is exempt from compliance with these Regulations in so far as the requirements in these Regulations are not substantive requirements in relation to building work that is not higher-risk building work.

• (2) In relation to any building work to a higher-risk building of the Mayor’s Office for Policing and Crime, the amendments made by these Regulations do not apply to that building work where it started before 1st October 2023.

• (3) In paragraph (2) “building work” has the same meaning as in the 2010 Regulations.

Amendments relating to dutyholders and competence

6

• (1) After regulation 11 (power to dispense with or relax requirements) of the 2010 Regulations insert the following new Part—

(11A) (1) A client must make suitable arrangements for planning, managing and monitoring a project (including allocation of sufficient time and other resources) so as to ensure compliance with all relevant requirements. (2) Arrangements under paragraph (1) are suitable if— (a) they ensure that the design work is carried out so that the building work to which the design relates, if built, would be in compliance with all relevant requirements; (b) they ensure the building work is carried out in accordance with all relevant requirements; (c) they enable the designers and contractors to cooperate with each other to ensure compliance with all relevant requirements; and (d) they provide for periodic review of the building work (and the design work) included or to be included in the project so as to identify whether it is higher-risk building work⁸. (3) A client must ensure that the arrangements under paragraph (1) are maintained and reviewed throughout the project. (4) A client must provide building information as soon as is practicable to every designer and contractor on the project. (5) A client must cooperate with any other person working on or in relation to a project to the extent necessary to enable any person with a duty or function under these Regulations to fulfil that duty or function. (6) Where there is more than one client in relation to a project— (a) the clients may agree in writing which of them is to be treated for the purposes of these Regulations as the client; (b) except for the duties specified in sub-paragraph (c), only the person who agreed to be treated as the client under sub-paragraph (a) is subject to the duties owed by a client under these Regulations; (c) the duties in the following provisions are owed by all clients— (i) paragraph (4) to the extent that those duties relate to information in the possession of the client or which is reasonably obtainable by or on behalf of the client; (ii) paragraph (5); and (iii) regulation 11B (arrangements as to information: higher-risk building work). (11B) (1) A client must make suitable arrangements to ensure information is provided to the designers and contractors working on a project which includes any higher-risk building work to make them aware that the project includes higher-risk building work and the nature of the higher-risk building work. (2) Paragraph (1) includes a duty to periodically review the building work (and the design work) included or to be included in the project so as to identify whether it is higher-risk building work and to ensure information is provided under paragraph (1) where the work becomes higher-risk building work. (11C) (1) Where the client is a domestic client the duties in regulations 11A(1) to (3) and 11E(2) to (5) must be carried out by— (a) where there is only one contractor for a project, the contractor; (b) where there is more than one contractor for a project— (i) the principal contractor; or (ii) the principal designer where the client and the principal designer agree in writing the principal designer is to fulfil those duties. (2) If a domestic client fails to make the appointments required by regulation 11D (principal designer and principal contractor)— (a) the designer in control of the design phase of the project is the principal designer; (b) the contractor in control of the construction phase of the project is the principal contractor. (3) Regulation 11D(5) does not apply to a domestic client. (11D) (1) Where there is more than one contractor, or it is reasonably foreseeable that more than one contractor will be working on a project, the client must appoint in writing— (a) a designer with control over the design work as the principal designer for the purposes of these Regulations, and (b) a contractor with control over the building work as the principal contractor for the purposes of these Regulations. (2) A client is treated as complying with the requirement in paragraph (1) if, instead of appointing a person for the purposes of these Regulations, they certify, in writing, that the person who is the CDM principal designer, or, as the case may be, the CDM principal contractor, is treated as appointed as the principal designer or, as the case may be, the principal contractor, for the purposes of these Regulations. (3) The appointments under this regulation must be made— (a) in relation to a project which includes higher-risk building work for which an application for building control approval must be submitted to the regulator, before that application is submitted; (b) in relation to any other project, before the construction phase begins. (4) Where the appointment of a principal designer or the principal contractor ends before the end of the project, as soon as reasonably practicable the client must appoint a new principal designer or new principal contractor, as the case may be, under this regulation. (5) Where the client fails to appoint a principal designer (or a replacement principal designer) or, as the case may be, a principal contractor (or a replacement principal contractor), the client must fulfil the duties of the principal designer or the principal contractor, as the case may be, under these Regulations until they appoint another person to that role. (6) Where there is only one contractor working on a project that contractor is to be treated as appointed as the principal contractor and must fulfil the duties of the principal contractor set out in these Regulations. (7) Where paragraph (6) applies and— (a) there is only one designer, or it is reasonably foreseeable that there will be only one designer working on a project, that designer must fulfil the duties of the principal designer set out in these Regulations; or (b) there is more than one designer or it is reasonably foreseeable that there will be more than one designer working on a project at any time— (i) the designers must agree in writing which designer is to fulfil the duties of the principal designer set out in these Regulations (“the lead designer”); (ii) the lead designer must give a copy of the agreement to the client. (8) In relation to higher-risk building work, on appointing a principal designer, for each appointment the client must keep a record, in writing, of the steps it took under paragraph (2) to (4) of regulation 11E (considerations before a person carries out work). (9) In relation to higher-risk building work, on appointing a principal contractor, for each appointment the client must keep a record, in writing, of the steps it took under paragraphs (2), (3) and (5) of regulation 11E (considerations before a person carries out work). (10) In relation to higher-risk building work, on appointing any other person, the person making the appointment must give to the client (and the client must keep) a record, in writing, of the steps the person making the appointment took under regulation 11E(2) (considerations before a person carries out work). (11E) (1) This regulation applies where a person (P) is proposing to use any person (A) to carry out any building work or design work. (2) Before permitting A to carry out any work— (a) P must take all reasonable steps to satisfy themself that A— (i) fulfils the requirements in regulation 11F(1) and (2) (competence: general requirement), or (ii) is an individual who is in training to fulfil the requirements in regulation 11F(1) and (2) and arrangements have been put in place to supervise A, and (b) where the work relates to a higher-risk building, P must— (i) ask A whether a serious sanction has occurred, in relation to them, within the 5 years ending on the date of the appointment; and (ii) consider any information available to P relating to any misconduct of A (including any serious sanction). (3) Before permitting A to undertake any work, P must additionally take all reasonable steps to satisfy themselves that A is able to fulfil the duties of regulation 11J (general duty to plan, manage and monitor). (4) Where A is to be appointed as the principal designer, the client must take all reasonable steps to satisfy themselves that A fulfils the requirements in regulations 11F(1) and (2) (competence: general requirement) and 11G(1) (competence: principal designer) in relation to the design work. (5) Where A is to be appointed as the principal contractor, the client must take all reasonable steps to satisfy themselves that A fulfils the requirements in regulations 11F(1) and (2) (competence: general requirement) and 11H(1) (competence: principal contractor) in relation to the building work. (6) Any request to undertake any building work or any design work must not be accepted by A if A does not satisfy the requirements in regulation 11F(1) and (2) (competence: general requirement) at the time of the appointment (except where those requirements do not apply to A by virtue of regulation 11F(3)). (7) A must not act— (a) as the principal designer in relation to any design work if A does not satisfy the requirements in regulations 11F(1) and (2) (competence: general requirement) and 11G(1) (competence: principal designer) at the time of the appointment as the principal designer; (b) as the principal contractor in relation to any building work if A does not satisfy the requirements in regulations 11F(1) and (2) (competence: general requirement) and 11H(1) (competence: principal contractor) at the time of the appointment as the principal contractor. (8) In this regulation “serious sanction” means— (a) the issue to A of a compliance notice which referred to contravention or likely contravention of a requirement of Part A (structure) or Part B (fire safety) of Schedule 1; (b) the issue to A of a stop notice; (c) the conviction of A for any offence under— (i) the Act; (ii) the Health and Safety at Work etc. Act 1974; (iii) the Building Safety Act 2022; (iv) the Regulatory Reform (Fire Safety) Order 2005; (d) a report published by an inquiry under the Inquiries Act 2005 finds that A’s action or inaction resulted in one or more deaths or was likely to have been a contravention of any requirement of— (i) the Act; (ii) Part A (structure) or Part B (fire safety) of Schedule 1; (iii) the Health and Safety at Work etc. Act 1974; (iv) the Building Safety Act 2022; (v) the Regulatory Reform (Fire Safety) Order 2005. (11F) (1) Any person carrying out any building work or any design work must have— (a) where the person is an individual, the skills, knowledge, experience and behaviours necessary, (b) where the person is not an individual, the organisational capability, to carry out— (i) the building work in accordance with all relevant requirements; (ii) the design work so that the building work to which the design relates, if built, would be in accordance with all relevant requirements. (2) Any person carrying out any building work as a contractor or any design work as a designer must have— (a) where the person is an individual, the skills, knowledge, experience and behaviours necessary, (b) where the person is not an individual, the organisational capability, to fulfil the duties of a contractor or designer, as the case may be, under these Regulations in relation to the work. (3) The requirements in paragraphs (1) and (2) do not apply to an individual (T) who is in training to fulfil those requirements. (4) The person who asked T to carry out any building work or, as the case may be, any design work must ensure T is adequately supervised when carrying out the work. (5) A person who is in training to fulfil the requirements of a principal contractor or a principal designer may not be appointed as a principal contractor or a principal designer. (11G) (1) A principal designer must have— (a) where the person is an individual, the skills, knowledge, experience and behaviours necessary, (b) where the person is not an individual, the organisational capability, to fulfil the duties of a principal designer under these Regulations in relation to the design work included in the project. (2) Where the principal designer (D) is not an individual, D must designate an individual who has the task of managing its functions as the principal designer. (3) Before making the designation under paragraph (2), D must take all reasonable steps to satisfy themself that the individual to be designated has the skills, knowledge, experience and behaviours necessary to manage the function of principal designer on behalf of D in such a wayas to ensure D fulfils the duties of the principal designer under these Regulations in relation to the design work included in the project. (11H) (1) A principal contractor must have— (a) where the person is an individual, the skills, knowledge, experience and behaviours necessary, (b) where the person is not an individual, the organisational capability, to fulfil the duties of a principal contractor under these Regulations in relation to the building work included in the project. (2) Where the principal contractor (C) is not an individual, C must designate an individual under C’s control who has the task of managing its functions as the principal contractor. (3) Before making the designation under paragraph (2), C must take all reasonable steps to satisfy themself that the individual to be designated has the skills, knowledge, experience and behaviours necessary to manage the function of principal contractor on behalf of C in such a wayas to ensure C fulfils the duties of the principal contractor under these Regulations in relation to the building work included in the project. (11I) (1) Where at any time a person (A) ceases to satisfy the requirements in regulation 11F(1), 11F(2), 11G(1) or, as the case may be, 11H(1) in relation to any building work or any design work, A must— (a) in a case where A is the principal designer or the principal contractor, notify the client; (b) in a case where there is more than one contractor and A is a designer, notify the person who asked them to carry out the design work and the principal designer; (c) in a case where there is more than one contractor and A is a contractor, notify the person who asked them to carry out the building work and the principal contractor; (d) in any other case, notify the person who asked them to carry out the work. (2) If at the time of the notification under paragraph (1)(b) there is no principal designer appointed, that paragraph has effect as if the reference to the principal designer were a reference to the client. (3) If at the time of the notification under paragraph (1)(c) there is no principal contractor appointed, that paragraph has effect as if the reference to the principal contractor were a reference to the client. (11J) (1) Any person carrying out any building work must ensure the work carried out by them (and by any workers under their control) is planned, managed and monitored so as to be in compliance with all relevant requirements. (2) Any person carrying out any design work must take all reasonable steps to ensure the design work carried out by them (and by any workers under their control) is planned, managed and monitored so that the design is such that if the building work to which the design relates were built in accordance with that design the building work would be in compliance with all relevant requirements. (3) Any person carrying out any building work must cooperate with the client, designers and contractors (including the principal designer and principal contractor, if any) to the extent necessary to ensure that the work is in compliance with all relevant requirements. (4) Any person carrying out any design work must cooperate with the client, designers and contractors (including the principal designer and principal contractor, if any) to the extent necessary to ensure that the design is such that if the building work to which the design relates were built in accordance with that design the building work would be in compliance with all relevant requirements. (11K) (1) A designer must not start design work unless satisfied that the client is aware of the duties owed by the client for the building work to which the design relates under all relevant requirements. (2) When carrying out design work the designer must take all reasonable steps to ensure that the design is such that if the building work to which the design relates were built in accordance with that design the building work would be in compliance with all relevant requirements. (3) In providing a design, a designer must take all reasonable steps to provide sufficient information about the design, construction and maintenance of the building to assist the client, other designers and contractors to comply with all relevant requirements. (4) Where a designer is carrying out only part of the design of the building work which comprises a project, the designer must consider other design work which directly relates to that building work and report any concerns as to compliance with all relevant requirements to the principal designer. (5) If requested to do so, a designer must provide advice to the principal designer or the client on whether any work, to which a design they are preparing or modifying relates, is higher-risk building work. (11L) (1) A contractor must not start any building work unless satisfied that the client is aware of the duties owed by the client under all relevant requirements. (2) A contractor must— (a) ensure the building work they carry out is in compliance with all relevant requirements; and (b) provide each worker under their control with appropriate supervision, instructions and information so as to ensure that the building work is in compliance with all relevant requirements. (3) In relation to building work, a contractor must take all reasonable steps to provide sufficient information about the work to assist the client, other contractors and designers to comply with all relevant requirements. (4) Where a contractor is carrying out only part of the building work which comprises a project, the contractor must consider other work which directly relates to that building work and report any concerns as to compliance with all relevant requirements to the principal contractor. (5) If requested to do so, a contractor must provide advice to the principal contractor or the client on whether any work is higher-risk building work. (11M) (1) The principal designer must— (a) plan, manageand monitor the design work during the design phase; and (b) coordinate matters relating to the design work comprised in the project so that all reasonable steps are taken to ensure that the design is such that if the building work to which the design relates were built in accordance with that design the building work would be in compliance with all relevant requirements. (2) The principal designer must take all reasonable steps to ensure that— (a) designers, and any other person involved in relation to design work, cooperate with the client, the principal designer, the principal contractor and each other; (b) the design work of all designers is coordinated so that the design is such that if the building work to which the design relates were built in accordance with that design the building work would be in compliance with all relevant requirements; and (c) designers, and any other person involved in relation to design work, comply with the duties under these Regulations. (3) The principal designer must liaise with the principal contractor and share with the principal contractor any information relevant to— (a) the planning, management and monitoring of the building work, and (b) the coordination of building work and design work for the purpose of ensuring compliance with all relevant requirements. (4) Where the principal contractor provides comments to the principal designer in relation to compliance with the relevant requirements, the principal designer must have regard to those comments. (5) The principal designer must— (a) if requested, assist the client in providing information to other designers and contractors; (b) when the principal designer’s appointment ends, no later than 28 days after the end of the appointment, give to the client a document explaining the arrangements it put in place to fulfil the duties under paragraphs (1) to (3). (6) Where a replacement principal designer is appointed, they must review the arrangements the previous principal designer put in place for fulfilling the duties under paragraphs (1) to (3) so that all reasonable steps are taken to ensure that the design is such that if the building work to which the design relates were built in accordance with that design the building work would be in compliance with all relevant requirements. (11N) (1) The principal contractor must— (a) plan, manageand monitor the building work during the construction phase, and (b) coordinate matters relating to the building work comprised in the project to ensure the building work is in compliance with all relevant requirements. (2) The principal contractor must take all reasonable steps to ensure— (a) contractors and any other person involved in relation to the building work cooperate with the client, the principal designer, the principal contractor and each other (including any successor in a role); (b) the building work of all contractors is coordinated so that the work is in compliance with all relevant requirements; and (c) contractors and any other person involved in relation to building work comply with the duties under these Regulations. (3) The principal contractor must liaise with the principal designer and share with the principal designer any information relevant to— (a) the planning, management and monitoring of the design work, and (b) the coordination of building work and design work for the purpose of ensuring compliance with all relevant requirements. (4) Where the principal designer provides comments to the principal contractor in relation to compliance with the relevant requirements the principal contractor must have regard to those comments. (5) The principal contractor must— (a) if requested, assist the client in providing information to other designers and contractors; (b) when the principal contractor’s appointment ends, no later than 28 days after the end of the appointment, give to the client a document explaining the arrangements it put in place to fulfil the duties under paragraphs (1) to (3). (6) Where a replacement principal contractor is appointed it must review the arrangements the previous principal contractor put in place for fulfilling the duties under paragraphs (1) to (3) to ensure that the building work is in compliance with all relevant requirements. (11O) (1) This paragraph applies where, in relation to any building work, at any time after an application for building control approval is made or a building notice is given the client for a project changes. (2) Where paragraph (1) applies the new client must give a notice to the relevant authority which includes— (a) the location of the building work; (b) the name, address, telephone number and (if available) email address of the new client and the date of they became the client; (c) the name, address, telephone number and (if available) email address of the previous client and the date they ceased to be the client; (d) where the notice is given by someone on behalf of the new client, a statement signed by the new client confirming they agree to the notice being made and that the information contained in the notice is correct. (3) This paragraph applies where, in relation to any building work, at any time after an application for building control approval is made or a building notice is given the client appoints a principal contractor (or sole contractor) or a principal designer (or sole or lead designer). (4) Subject to paragraph (5), where paragraph (3) applies the client must give a notice to the relevant authority which includes— (a) the location of the building work; (b) the name, address, telephone number and (if available) email address of the person appointed (PA) and the date of appointment; (c) except where PA is the first person appointed to the role, the name, address, telephone number and (if available) email address of the person who held the role before PA (“outgoing dutyholder”) and the date their appointment ended; (d) where the notice is given by someone on behalf of the client, a statement signed by the client confirming they agree to the notice being given and that the information contained in the notice is correct. (5) Where the client is a domestic client (DC), the following applies instead of paragraph (4)— (a) an outgoing dutyholder must provide the information referred to in paragraph (4)(c) to the DC within 5 calendar days of the date their appointment ends; (b) DC must provide the information referred to under paragraph (4)(c) to PA on the date of appointment of PA or as soon as practicable after that date; (c) subject to paragraph (6), PA must give a notice to the relevant authority 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. (6) Where PA has not received the information required to be provided under paragraph (5)(b) by the time the notice under paragraph (5)(c) is to be given, the statement given by PA under paragraph (5)(c)(iv) must also include an explanation to that effect. (7) A notice required under paragraph (2), (4) or (5)(c) must be given to the relevant authority within the period of 14 calendar days beginning with the date of the appointment or, as the case may be, the date when the person became the client. (8) This regulation does not apply to higher-risk building work. (11P) A client is not required to comply with this Part where the building work or design work consists only of work described in Schedule 4. (11Q) (1) In this Part— - “the CDM Regulations” means the Construction (Design and Management) Regulations 2015⁹; - “building information” means information in the client’s possession or which is reasonably obtainable by or on behalf of the client, which is relevant to the building work or the design work, including information about— the work; planning and management of the project; issues relating to compliance with any relevant requirement and how they were addressed; - “CDM principal contractor” means a contractor appointed as principal contractor under the CDM Regulations; - “CDM principal designer” means a designer appointed as principal designer under the CDM Regulations; - “design” includes drawings, design details, specifications and bills of quantities (including specification of articles or substances) relating to a building, and calculations prepared for the purpose of a design; - “design phase” means any period during which design work is carried out for a project and may continue during the construction phase; - “relevant requirements” means, to the extent relevant to the building work or design work in question, the requirements of regulations 4, 6, 7, 8, 22, 23, 25B, 26, 26A, 28, 36, 41(2)(a), 42(2)(a), 43(2)(a), 44A, 44ZA, 44ZC and 44D to 44I and Schedule 1. (2) References in this Part to an appointment under regulation 11D (principal designer and principal contractor) includes an appointment which is certified under regulation 11D(2). (3) For the purposes of this Part, “organisational capability” means appropriate management policies, procedures, systems and resources to ensure— (a) individuals under the control of the organisation who are carrying out any building work or any design work comply with— (i) regulation 11F(1) and (2) (competence: general requirement), (ii) in case of the principal designer, regulations 11F(1) and (2) and 11G(1); (iii) in case of the principal contractor, regulations 11F(1) and (2) and 11H(1); (b) individuals under the control of the organisation who are in training to develop the necessary skills, knowledge, experience and behaviours are appropriately supervised. (4) For the purposes of this Part the necessary behaviours include— (a) compliance with relevant requirements, including refusing to carry out— (i) any building work which is not in compliance with any relevant requirement; (ii) any design work if the building work to which the design relates cannot be carried out in compliance with all relevant requirements; (b) cooperation with other persons in relation to the work; (c) refusing to carry out work which is beyond their skills, knowledge or experience, and asking for the assistance of other persons where necessary.

• (2) In regulation 16 of the 2010 Regulations—

• (a) in paragraph (4) for “notice to that effect” substitute “a notice which complies with paragraph (4A)”;

• (b) after paragraph (4) insert—

(4A) The notice under paragraph (4) must include— (a) the name, address, telephone number and (if available) email address of the client; (b) the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer); (c) a statement that the building work is complete; (d) a statement, signed by the client, confirming that to the best of the client’s knowledge the work complies with all applicable requirements of the building regulations; (e) a statement given by each principal contractor (or sole contractor) for the work and each principal designer (or sole or lead designer) for the work, signed by the person to which the declaration relates, which includes— (i) the name, address, telephone number and (if available) email address of that person; (ii) the dates of their appointment, and (iii) confirmation— (aa) 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 these Regulations; (bb) 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 these Regulations.

• (c) in paragraph (5) for “at least 5 days notice” substitute after “a notice which complies with paragraph (5A) at least 5 days”;

• (d) after paragraph (5) insert—

(5A) The notice under paragraph (5) must include— (a) the name, address, telephone number and (if available) email address of the client; (b) the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer); (c) the date when the building or any part of it is to be occupied; (d) a statement, signed by the client, confirming that to the best of the client’s knowledge, regardless of the completion of the current building work, regulation 38 and Part B of Schedule 1 are currently complied with in relation to those parts of the building which are to be occupied before completion of the work; (e) a statement given by each principal contractor (or sole contractor) for the work and each principal designer (or sole or lead designer) for the work, signed by the person to which the declaration relates, which includes— (i) the name, address, telephone number and (if available) email address of that person; (ii) the dates of their appointment, and (iii) confirmation— (aa) 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 these Regulations; (bb) 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 these Regulations.

• (3) For regulation 17(2) (completion certificates) of the 2010 Regulations substitute—

(2) The specified period referred to in paragraph (1) is eight weeks starting from the date that notice is received by the relevant authority in accordance with regulation 16(4).

Amendments: deposit of plans and building control authorities etc

7

• (1) In regulation 11 (power to dispense with or relax regulations) of the 2010 Regulations, in paragraph (2), for “local authority” substitute “building control authority”.

• (2) In regulation 12 (giving a building notice etc) of the 2010 Regulations—

• (a) in the heading for “deposit of plans” substitute “an application for building control approval”;

• (b) in paragraph (2)—

• (i) in sub-paragraph (a), for “local authority” substitute “relevant authority”;

• (ii) in sub-paragraph (b), for “deposit full plans with the local authority” substitute “give an application for building control approval with full plans to the relevant authority”;

• (c) in paragraphs (3), (4) and (5) for “deposit full plans” substitute “give an application for building control approval with full plans”;

• (d) in paragraphs (6) and (6A) for “deposit full plans” substitute “an application for building control approval with full plans”;

• (e) in paragraph (8) for “local authority” substitute “relevant authority”.

• (3) In regulation 13 (particulars and plans where a building notice is given) of the 2010 Regulations—

• (a) in paragraphs (1A), (3) and (5) for “local authority” substitute “relevant authority”;

• (b) in paragraph (4) for “for the purposes of section 16 of the Act as having been deposited” substitute “as an application for building control approval with full plans”.

• (4) In regulation 15 (consultation with sewerage undertaker) of the 2010 Regulations—

• (a) in paragraph (1) for “full plans have been deposited with the local authority” substitute “an application for building control approval with full plans has been given to the relevant authority”;

• (b) in paragraph (2)—

• (i) for “local authority” substitute “relevant authority”;

• (ii) for “the plans have been deposited” substitute “the application for building control approval with full plans has been given”;

• (c) in paragraph (3)—

• (i) for “local authority” substitute “relevant authority”;

• (ii) for “the deposit of full plans” substitute “the giving of an application for building control approval with full plans”;

• (iii) for “pass plans” substitute “grant the application for building control approval”.

• (5) In regulation 16 (notices) of the 2010 Regulations—

• (a) in paragraphs (1), (2), (3), (3A), (3B), (4), (5), (6) and (7) for “local authority”, in each place it occurs, substitute “relevant authority”;

• (b) in paragraph (8) for “deposit full plans” substitute “an application for building control approval with full plans”.

• (6) In regulation 17 (completion certificates) of the 2010 Regulations—

• (a) in paragraphs (1) and (2) for “local authority” substitute “relevant authority”;

• (b) after paragraph (5) insert—

(6) Where the relevant authority is the regulator, it must send a copy of each certificate it gives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (7) In regulation 17A (certificate for building occupied before work is completed) of the 2010 Regulations¹⁰—

• (a) in paragraphs (1) and (2), for “local authority” substitute “relevant authority”;

• (b) after paragraph (4) insert—

(5) Where the relevant authority is the regulator, it must send a copy of each certificate it gives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (8) In regulation 18 (unauthorised building work) of the 2010 Regulations—

• (a) in paragraphs (1), (2), (3), (4) and (5) for “local authority”, in each place it occurs, substitute “relevant authority”;

• (b) after paragraph (6) insert—

(6A) Where the relevant authority is the regulator, it must send a copy of each certificate it gives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (c) in paragraph (7) for “for the purposes of section 16 of the Act as the deposit of plans” substitute “as an application for building control approval with full plans”;

• (d) for paragraph (8) substitute—

(8) In this regulation “unauthorised building work”— (a) where the relevant authority is the local authority, means building work, other than work in relation to which an initial notice, an amendment notice, a public body’s notice or a regulator’s notice has effect, which is done without— (i) a building notice being given to the local authority; (ii) an application for building control approval with full plans of the work being given to the local authority; or (iii) a notice of intention to start work being given to the local authority, in accordance with regulation 16(1), where a building notice has been given or an application for building control approval with full plans of the work has been given; (b) where the relevant authority is the regulator, means building work which is work in relation to which a regulator’s notice has effect but which is done without— (i) a building notice being given to the regulator; (ii) an application for building control approval with full plans of the work being given to the regulator; or (iii) a notice of intention to start work being given to the regulator, in accordance with regulation 16(1), where a building notice has been given or an application for building control approval with full plans of the work has been given.

• (9) In regulation 20 (provisions applicable to self-certification schemes) of the 2010 Regulations—

• (a) in paragraphs (2), (3), (3A) and (3B), for “local authority”, in each place it occurs, substitute “building control authority”;

• (b) after paragraph (6) insert—

(6A) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice or certificate it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (10) In regulation 20A (provisions applicable to third party certification schemes) of the 2010 Regulations¹¹—

• (a) in paragraphs (2), (4) and (5), for “local authority”, in each place it occurs, substitute “building control authority”;

• (b) after paragraph (7) insert—

(7A) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice or certificate it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (11) In regulation 25A (consideration of high-efficiency alternative systems for new buildings) of the 2010 Regulations¹²—

• (a) for paragraph (2) substitute—

(2) The person carrying out the work must— (a) where the new building is a higher-risk building, ensure the application for building control approval in relation to the work is accompanied by a notice which states that the analysis referred to in paragraph (1) has been undertaken, is documented, and the documentation is available to the regulator for verification purposes; (b) in any other case, not later than the beginning of the day before the day on which the work starts, give the building control authority a notice which states that the analysis referred to in paragraph (1) has been undertaken, is documented, and the documentation is available to the authority for verification purposes; and (c) ensure that a copy of the analysis is available for inspection at all reasonable times on request by an officer of the building control authority.

• (b) in paragraph (3), for “local authority” substitute “building control authority”;

• (c) after paragraph (3) insert—

(3A) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (12) In regulation 27 (CO₂ emission rate calculations) of the 2010 Regulations—

• (a) for paragraphs (2) and (3) substitute—

(2) The person carrying out the work must— (a) where the new building is a higher-risk building, ensure the application for building control approval in relation to the work is accompanied by a notice which specifies— (i) the target CO₂emission rate for the building, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, (ii) the CO₂emission rate for the building as designed, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, and (iii) a list of specifications to which the buildingis to be constructed; (b) in any other case, not later than the day before the work starts, give the building control authority a notice which specifies the matters set out in paragraphs (i) to (iii) of sub-paragraph (a). (3) The person carrying out the work must— (a) where the new building is a higher-risk building, ensure the application for a completion certificate in relation to the work is accompanied by— (i) a notice which specifies— (aa) the target CO₂emission rate for the building, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, (bb) the CO₂emission rate for the building as constructed, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, and (cc) whether the building has been constructed in accordance with the list of specifications referred to in paragraph (2), and, if not, a list of any changes to those specifications; or (ii) a certificate of the sort referred to in paragraph (4) accompanied by the information referred to in sub-paragraphs (aa) to (cc) of paragraph (i); (b) in any other case, not later than five days after the work has been completed, give the building control authority a notice which specifies the matters mentioned in sub-paragraphs (aa) to (cc) of sub-paragraph (a)(i) or a certificate of the sort mentioned in sub-paragraph (a)(ii).

• (b) in paragraph (4) for “local authority” substitute “building control authority”;

• (c) after paragraph (4) insert—

(4A) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice or certificate it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (13) In regulation 27A (fabric energy efficiency rate calculations) of the 2010 Regulations¹³—

• (a) for paragraphs (2) and (3) substitute—

(2) The person carrying out the work must— (a) where the dwelling is within a higher-risk building, ensure the application for building control approval in relation to the work is accompanied by a notice which specifies— (i) the target fabric energy efficiency rate for the dwelling, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, (ii) the fabric energy efficiency rate for the dwelling as designed, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, and (iii) a list of specifications to which the dwellingis to be constructed; (b) in any other case, not later than the day before the work starts, give the building control authority a notice which specifies the matters set out in paragraphs (i) to (iii) of sub-paragraph (a). (3) The person carrying out the work must— (a) where the dwelling is within a higher-risk building, ensure the application for a completion certificate in relation to the work is accompanied by— (i) a notice which specifies— (aa) the target fabric energy efficiency rate for the dwelling, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, (bb) the fabric energy efficiency rate for the dwelling as constructed, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, and (cc) whether the dwelling has been constructed in accordance with the list of specifications referred to in paragraph (2), and, if not, a list of any changes to those specifications; or (ii) a certificate of the sort referred to in paragraph (4) accompanied by the information referred to in sub-paragraphs (aa) to (cc) of paragraph (i); (b) in any other case, not later than five days after the work has been completed, give the building control authority a notice which specifies the matters mentioned in sub-paragraphs (aa) to (cc) of sub-paragraph (a)(i) or a certificate of the sort mentioned in sub-paragraph (a)(ii).

• (b) in paragraph (4), for “local authority” substitute “building control authority”;

• (c) after paragraph (4) insert—

(4A) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice or certificate it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (14) In regulation 27C (target primary energy rate calculations for new buildings) of the 2010 Regulations—

• (a) for paragraphs (2) and (3) substitute—

(2) The person carrying out the work must— (a) where the new building is a higher-risk building, ensure the application for building control approval in relation to the work is accompanied by a notice which specifies— (i) the target primary energy rate for the building, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, (ii) the calculated target primary energy rate for the building as designed, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, and (iii) a list of specifications to which the buildingis to be constructed; (b) in any other case, not later than the day before the work starts, give the building control authority a notice which specifies the matters set out in paragraphs (i) to (iii) of sub-paragraph (a). (3) The person carrying out the work must— (a) where the new building is a higher-risk building, ensure the application for a completion certificate in relation to the work is accompanied by— (i) a notice which specifies— (aa) the target primary energy rate for the building, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, (bb) the calculated target primary energy rate for the building as constructed, calculated and expressed in accordance with the methodology approved pursuant to regulation 24, and (cc) whether the building has been constructed in accordance with the list of specifications referred to in paragraph (2), and, if not, a list of any changes to those specifications; or (ii) a certificate of the sort referred to in paragraph (4) accompanied by the information referred to in sub-paragraphs (aa) to (cc) of paragraph (i); (b) in any other case, not later than five days after the work has been completed, give the building control authority a notice which specifies the matters mentioned in sub-paragraphs (aa) to (cc) of sub-paragraph (a)(i) or a certificate of the sort mentioned in sub-paragraph (a)(ii).

• (b) in paragraph (4), for “local authority” substitute “building control authority”;

• (c) after paragraph (4) insert—

(4A) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice or certificate it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (15) In regulation 37 (wholesome water consumption calculation) of the 2010 Regulations—

• (a) in paragraph (1) for “local authority” substitute “building control authority”;

• (b) for paragraph (2) substitute—

(2) The person carrying out the work must— (a) where the dwelling is within a higher-risk building, ensure the notice accompanies the application for a completion certificate in relation to the work; (b) in any other case, give the notice to the building control authority not later than five days after the work has been completed. (3) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (16) In regulation 41 (sound insulation testing) of the 2010 Regulations—

• (a) in paragraph (2)(b) for “local authority” substitute “building control authority”;

• (b) for paragraph (3)(b) substitute—

(b) given— (i) in the case where the building work is higher-risk building work, to the regulator with the application for a completion certificate in relation to the work; (ii) in any other case, to the building control authority not later than the date on which the notice required by regulation 16(4) is given.

• (c) after paragraph (3) insert—

(3A) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each results of testing it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (d) in paragraph (4), for the opening words substitute—

Where building work consists of the erection of a dwelling-house or a building containing flats, this regulation does not apply to any part of the building in relation to which the person carrying out the building work notifies the building control authority— (i) in the case of building work which is higher-risk building work, not later than the date on which the application for building control approval for the work is submitted, (ii) in any other case, not later than the date on which notice of intention to start work is given under regulation 16(1), that, for the purposes of achieving compliance of the work with paragraph E1 of Schedule 1, the person is using one or more design details approved by Robust Details Limited¹⁴, provided that—

• (17) In regulation 42 (mechanical ventilation air flow rate testing) of the 2010 Regulations—

• (a) in paragraphs (2) and (3), for “local authority” substitute “building control authority”;

• (b) after paragraph (3) insert—

(4) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (18) In regulation 43 (pressure testing) of the 2010 Regulations—

• (a) in paragraphs (2), (3) and (4), for “local authority” substitute “building control authority”;

• (b) after paragraph (5) insert—

(6) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice or certificate it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (19) In regulation 44 (commissioning) of the 2010 Regulations—

• (a) in paragraph (3) for “local authority” substitute “building control authority”;

• (b) for paragraph (4) substitute—

(4) The notice must be given— (a) in the case where the building work is higher-risk building work for which an application for a completion certificate is required, to the regulator with the application; (b) in any other case, to the building control authority— (i) not later than the date on which the notice required by regulation 16(4) is required to be given; or (ii) where that regulation does not apply, not more than 30 days after completion of the work. (5) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (20) In regulation 44ZA (commissioning in respect of a system for on-site electricity generation) of the 2010 Regulations—

• (a) in paragraph (2), for “local authority” substitute “building control authority”;

• (b) for paragraph (3) substitute—

(3) The notice must be given— (a) in the case where the building work is higher-risk building work for which an application for a completion certificate is required, to the regulator with the application; (b) in any other case, to the building control authority— (i) not later than the date on which the notice required by regulation 16(4) is required to be given; or (ii) where that regulation does not apply, not more than 30 days after completion of the work. (4) Where the regulator is the building control authority by virtue of section 91ZB of the Act (the regulator: building control authority for other work), it must send a copy of each notice it receives under this regulation in relation to a building to the local authority for the area in which the building is situated.

• (21) In Schedule 1 to the 2010 Regulations, in paragraph RA1(3) for “full plans relating to building work to which this paragraph applies are deposited” substitute “an application for building control approval with full plans relating to building work to which this paragraph applies is given”.

• (22) In the headings of Schedules 3 and 3A to the 2010 Regulations for “deposit full plans” substitute “an application for building control approval with full plans”.

• (23) In Schedule 4 to the 2010 Regulations—

• (a) in the heading for “deposit full plans” substitute “an application for building control approval with full plans”;

• (b) in paragraph 1(g)(ii) for “to deposit full plans” substitute “an application for building control approval with full plans”;

• (c) in paragraph 1(l) for “to deposit full plans” substitute “an application for building control approval with full plans”.

Amendments: applications for building control

8

For regulation 14 of the 2010 Regulations substitute—