The Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 – Statutory Instrument Overview
The Building (Higher-Risk Buildings Procedures) (England) Regulations 2023, also known as S.I. 2023 No. 909, is a statutory instrument issued by the Secretary of State for Levelling Up, Housing and Communities. These regulations extend to England and Wales but apply specifically to buildings in England. The document implements key procedural aspects of the Building Safety Act 2022 and the Building Act 1984, establishing the Building Safety Regulator as the exclusive building control authority for higher-risk structures. The regulations came into force on 1st October 2023.
The scope of the document covers the building control process for the construction of new higher-risk buildings, work to existing higher-risk buildings, and material changes of use that result in a building becoming higher-risk. It details the requirements for building control approval applications, the management of the golden thread of information, mandatory reporting of safety occurrences, and the procedures for obtaining completion certificates. The regulations define critical terms including active fire safety measures, major change, notifiable change, and recordable change.
This reference document provides the technical and legal requirements for developers, principal contractors, and principal designers operating under the new building safety regime in England. It replaces several standard procedures from the Building Regulations 2010 with more stringent requirements tailored to high-density residential and other regulated structures.
Building Control Approval for Higher-Risk Buildings
Under Part 2, a client must obtain building control approval from the regulator before starting HRB work. The application process is split between Chapter 1 for new buildings and Chapter 2 for existing structures. All applications must be in writing and signed by the applicant.
- Application Documents: Requirements include a construction control plan, a change control plan, a mandatory occurrence reporting plan, and a Building Regulations compliance statement (Reg 4).
- Fire Safety Information: A fire and emergency file must be submitted, containing details on fire safety design and management (Reg 4).
- Determination Periods: The regulator must determine a valid application for a new HRB within 12 weeks, or within 8 weeks for work to an existing HRB, unless an extension is agreed in writing (Reg 5, Reg 13).
- Staged Work: Applications may be made for specific stages of work, provided they include a staged work statement and a summary of plans for the work beyond that stage (Reg 4).
Change Control and the Change Control Log
Part 3 mandates a strict change control process for any deviation from the approved plans or strategies. Changes are categorized by their impact on the building's safety and compliance.
- Major Change: Defined in Reg 26, these include material changes of use, changes to the external wall, structural design changes, or modifications to active/passive fire safety measures. These require a change control application and regulator approval before the work is carried out.
- Notifiable Change: Changes that do not meet the major change threshold but must be notified to the regulator before implementation (Reg 20).
- Recordable Change: Minor changes that do not require prior notification but must be recorded in the change control log (Reg 18).
- Change Control Log: The principal contractor must maintain a log recording the description, reason, and assessment of every controlled change (Reg 19).
The Golden Thread and Information Handover
Part 4 establishes requirements for the golden thread, ensuring that accurate information regarding the building's design and construction is preserved and accessible.
- Electronic Format: All golden thread information must be kept in an electronic format that is accurate, up-to-date, and intelligible to the intended readers (Reg 31).
- Transferability: The system must allow for the information to be transferred electronically without data loss or corruption.
- Handover on Completion: No later than the date of completion, the client must provide the specified golden thread information and BFLO information (fire safety information) to the relevant person (Reg 38).
- Acknowledgement: The relevant person must provide a notice acknowledging receipt of the information and confirming they can access and understand it (Reg 38).
Mandatory Occurrence Reporting
Principal dutyholders are required to establish a system for reporting safety occurrences to the regulator during the construction phase (Reg 32).
- Safety Occurrence: An incident or situation relating to structural integrity or fire safety that would likely present a risk of a significant number of deaths or serious injury (Reg 35).
- Reporting Timeline: The principal dutyholder must notify the regulator of a safety occurrence by the quickest practicable means and provide a written report within 10 days (Reg 33).
- Reporting System: A system must be in place before construction begins to allow all persons on site to report safety occurrences to the principal dutyholders.
Completion Certificates and Occupation
Part 5 prohibits the occupation of a higher-risk building until the regulator has issued a completion certificate. This confirms the building complies with all applicable building regulations.
- Application Requirements: The application must include a compliance declaration signed by the principal contractor and principal designer confirming they have fulfilled their duties under Part 2A of the 2010 Regulations (Reg 40).
- Partial Completion: If a client intends to occupy part of a building before the whole project is finished, they must apply for a partial completion certificate and submit a partial completion strategy (Reg 45).
- Inspections: The regulator must arrange an inspection of the completed work before determining whether to issue a certificate (Reg 43).
- Evidentiary Effect: A certificate is evidence, but not conclusive evidence, that the building regulations have been complied with (Reg 44).
Frequently Asked Questions
What is considered a higher-risk building under these regulations?
A higher-risk building has the meaning given in regulation 4 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023, typically involving buildings at least 18 metres in height or having at least 7 storeys.
Who must maintain the change control log during construction?
The principal contractor (or sole contractor) is responsible for creating and maintaining the change control log to record all information regarding controlled changes to the project.
How quickly must a safety occurrence be reported to the regulator?
The regulator must be notified by the quickest practicable means immediately, followed by a detailed written report within 10 working days of the principal dutyholder becoming aware of the occurrence.
Can a higher-risk building be occupied without a completion certificate?
No. Under Regulation 58 and the Building Safety Act 2022, a completion certificate (or partial completion certificate) is required before any part of a higher-risk building can be occupied.
What happens if a client changes during the HRB project?
The outgoing client must provide the new client with the golden thread information and a statement confirming duties were fulfilled. The new client must notify the regulator within 28 days of the change.
What is the mandatory period for the regulator to decide on a completion certificate application?
The regulator must determine the application within 8 weeks of receipt, or a longer period if agreed in writing with the applicant.
What are the requirements for the 'golden thread' format?
Information must be kept in an electronic format, be accurate, up-to-date, intelligible, secure from unauthorized access, and capable of being transferred without data corruption.
Are emergency repairs to existing HRBs exempt from prior approval?
Regulation 10 allows for emergency repairs without prior approval if it is not practicable to comply, but the client must notify the regulator and the responsible person as soon as possible after work starts.
