2025 No. 1321 (W. 216)

Building And Buildings, Wales

The Building (Higher-Risk Buildings Procedures) (Wales) Regulations 2025

Made12 December 2025

Laid before Senedd Cymru17 December 2025

Coming into force1 July 2026

The Welsh Ministers, in exercise of the powers conferred by sections 1(1), 3(1), 30A(1), (3), (5), (6), and (9), 34, 35(2), 35B(7)(a), 35C(1)(a), 47(4)(b)(ii) and 91B(7) of, and paragraphs 1A to 1I , 5B, 5C and 10 of Schedule 1 to, the Building Act 19841, make the following Regulations.

In accordance with section 14(7)2 of the Building Act 1984, the Welsh Ministers have consulted the Building Regulations Advisory Committee for Wales and any other person that the Welsh Ministers consider appropriate.

PART 1Preliminary

Title, application and coming into force1.

(1)

The title of these Regulations is the Building (Higher-Risk Buildings Procedures) (Wales) Regulations 2025.

(2)

These Regulations apply in relation to Wales.

(3)

These Regulations come into force on 1 July 2026.

Interpretation2.

(1)

In these Regulations—

“the 1984 Act” (“Deddf 1984”) means the Building Act 1984;

“the 2010 Regulations” (“Rheoliadau 2010”) means the Building Regulations 20103;

“the 2023 Regulations” (“Rheoliadau 2023”) means the Building Safety (Description of Higher-Risk Building) (Design and Construction Phase) (Wales) Regulations 20234;

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

“agreed document” (“dogfen gytunedig”) means—

(a)

a plan or document in relation to HRB work, stage of HRB work or work to existing HRB that was approved by virtue of regulation 7(7) or (9) or regulation 15(7) or (9), or

(b)

where such a plan or document is revised—

(i)
in relation to a major change, the plan or document that was approved under regulation 24(7) or (9);
(ii)
in relation to a notifiable change, the version of the plan or document that accompanied the notice to the building control authority given under regulation 20(1);
(iii)
in relation to a recordable change, the version of the plan or document that was revised under regulation 18(2)(b) and in respect of which a record was made under regulation 18(2)(a);

“applicant” (“ceisydd”) except where the context otherwise requires means the client or the client together with the person making the application;

“building control approval” (“cymeradwyaeth rheolaeth adeiladu”) has the meaning given in paragraph 1B(2) of Schedule 1 to the 1984 Act;

“building control approval application for HRB work” (“cais am gymeradwyaeth rheolaeth adeiladu ar gyfer gwaith ARU”) has the meaning given in regulation 3(a);

“building control approval application for work to existing HRB” (“cais am gymeradwyaeth rheolaeth adeiladu ar gyfer gwaith i ARU presennol”) has the meaning given in regulation 11(1)(a);

“building control authority” (“awdurdod rheolaeth adeiladu”) has the meaning given in section 121A of the 1984 Act5;

“building regulations” (“rheoliadau adeiladu”) has the meaning given in section 122 of the 1984 Act;

“Building Regulations compliance statement” (“datganiad cydymffurfedd â’r Rheoliadau Adeiladu”) means a document in accordance with paragraph 4 of Schedule 1;

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

“change control log” (“lòg rheolaeth newid”) has the meaning given in regulation 19(1);

“change control plan” (“cynllun rheolaeth newid”) means a document in accordance with paragraph 3 of Schedule 1;

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

“competence declaration” (“declarasiwn cymhwysedd”) means a statement in accordance with paragraph 1 of Schedule 1;

“completion certificate” (“tystysgrif gwblhau”) means a certificate issued under regulation 43;

“completion certificate application” (“cais am dystysgrif gwblhau”) has the meaning given in regulation 39(1);

“compliance declaration” (“declarasiwn cydymffurfedd”)—

(a)

where any appointment of a principal contractor (or sole contractor) or principal designer (or sole or lead designer) ends before a completion certificate application is submitted to the building control authority, means a statement provided under regulation 29(3) (new principal contractor or principal designer etc: notification);

(b)

where any appointment of a principal contractor (or sole contractor) or principal designer (or sole or lead designer) has not ended before a completion certificate application has been submitted to the building control authority, has the meaning given in regulation 39(5);

“compliance explanation” (“eglurhad cydymffurfedd”) has the meaning given in regulation 19(2)(g);

“construction control plan” (“cynllun rheolaeth adeiladu”) means a document in accordance with paragraph 2 of Schedule 1;

“controlled change” (“newid a reolaethir”) has the meaning given in regulation 18(1);

“enforcing authority” (“awdurdod gorfodi”) has the meaning given by article 25 of the Regulatory Reform (Fire Safety) Order 20056;

“exempt work” (“gwaith esempt”) has the meaning given in regulation 56;

“fire and emergency file” (“ffeil tân ac argyfwng”) means a document in accordance with paragraph 5 of Schedule 1;

“fire safety compliance information” (“gwybodaeth am gydymffurfedd o ran diogelwch tân”) has the meaning given in regulation 12(3)(d);

“fire safety information” (“gwybodaeth am ddiogelwch tân”) has the meaning given in regulation 38(9);

“HRB work” (“gwaith ARU”) means—

(a)

the construction of a higher-risk building;

(b)

work to an existing building that causes it to become a higher-risk building together with any work to the building carried out at the same time as that work;

(c)

such work, if any, which is necessary to ensure a building that undergoes a material change of use to become a higher-risk building complies with the applicable requirements listed in regulation 6 of the 2010 Regulations (requirements relating to material change of use) together with any work to the building carried out at the same time as that work;

“higher-risk building” (“adeilad risg uwch”) has the meaning given in regulation 3 of the 2023 Regulations;

“local authority” (“awdurdod lleol”) has the meaning given by section 126 of the 1984 Act;

“magistrates’ court” (“llys ynadon”) means a magistrates’ court, within the meaning given by section 148 of the Magistrates’ Courts Act 19807, in England and Wales;

“major change” (“newid mawr”) has the meaning given in regulation 26(1);

“mandatory occurrence reporting plan” (“cynllun adrodd mandadol am achlysuron”) is a plan describing the mandatory occurrence reporting system;

“mandatory occurrence reporting system” (“system adrodd mandadol am achlysuron”) means a system required under regulation 32;

“notifiable change” (“newid hysbysadwy”) has the meaning given in regulation 26(1);

“owner” (“perchennog”) has the meaning given in section 126 of the 1984 Act;

“partial completion certificate” (“tystysgrif cwblhau rhannol”) means a certificate issued under regulation 44(14);

“partial completion certificate application” (“cais am dystysgrif cwblhau rhannol”) has the meaning given in regulation 44(2);

“partial completion strategy” (“strategaeth cwblhau rhannol”) means a document under paragraph 6 of Schedule 1;

“passive fire safety measures” (“mesurau diogelwch tân goddefol”) includes the cavity barriers, fire door sets, duct dampers, fire shutters and other fire separating elements;

“recordable change” (“newid cofnodadwy”) means a controlled change which is neither a major change nor a notifiable change;

“regularisation certificate” (“tystysgrif unioni”) has the meaning given in regulation 46(7);

“regularisation certificate application” (“cais am dystysgrif unioni”) has the meaning given in regulation 46(2);

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

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

“scheme work” (“gwaith cynllun”) means work to which regulation 20 (provisions applicable to self-certification schemes) of the 2010 Regulations applies;

“sewerage undertaker” (“ymgymerwr carthffosiaeth”) means a person appointed under section 6 of the Water Industry Act 19918 for the area in which the building is, or is to be, situated;

“work to existing HRB” (“gwaith i ARU presennol”) means any work relating to a higher-risk building which is not HRB work;

“working day” (“diwrnod gwaith”) means any day which is not Saturday, Sunday, Christmas Day, Good Friday or a day which is a bank holiday in England and Wales under the Banking and Financial Dealings Act 19719.

(2)

In these Regulations—

(a)

“building work”, “client”, “contractor”, “designer”, “domestic client”, “flat”, “material change of use”, “principal contractor”, “principal designer”, “project”, “sole contractor” and “sole or lead designer” have the meanings given in regulation 2 of the 2010 Regulations;

(b)

a reference to appointment as a principal contractor or principal designer is to appointment under regulation 11U (principal designer and principal contractor) of the 2010 Regulations10, or assignment of duties under regulation 11T, and that reference includes an appointment which is certified under regulation 11U(2) of those Regulations11.

PART 2Building Control Approval

CHAPTER 1New HRBs

Building control approval for HRB work or stage of HRB work3.

Before any person starts HRB work or starts a stage of HRB work, the client in relation to that work must—

(a)

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

(b)

be granted building control approval for the work,

(c)

fulfil those requirements, if any, which under the building control approval must be fulfilled before the work or, the stage of the work is started, and

(d)

notify the building control authority of the date on which the work or the stage of the work is to start under regulation 9(2) (notice before starting on site and further notice when work is “commenced”).

Building control approval applications for HRB work or stage of HRB work4.

(1)

A building control approval application for HRB work must be made in writing, signed by the applicant, and must include—

(a)

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

(b)

the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer);

(c)

a statement that the application is made under this regulation;

(d)

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

(i)

details of its current use, including the current use of each storey;

(ii)

its height as determined by regulation 4 of the 2023 Regulations;

(iii)

the number of storeys it has as determined by regulation 5 of the 2023 Regulations;

(iv)

the number of flats, the number of residential rooms and the number of commercial units;

(e)

a description of the proposed HRB work, including—

(i)

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

(ii)

the height of the higher-risk building as determined by regulation 4 of the 2023 Regulations;

(iii)

the number of storeys it has as determined by regulation 5 of the 2023 Regulations;

(iv)

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

(v)

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

(vi)

where paragraph H4 of Schedule 1 to the 2010 Regulations imposes a requirement, the precautions to be taken in the building over a drain, sewer or disposal main to comply with the requirements of that paragraph;

(vii)

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

(viii)

a statement as to when it is proposed the work is to be regarded as commenced under regulation 46B of the 2010 Regulations12.

(2)

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

(a)

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

(i)

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

(ii)

the boundaries of the curtilage of the building, and the size, position and use of every other building or proposed building within the curtilage;

(iii)

the width and position of any street on or within the boundaries of the curtilage of the building;

(b)

any other plans as necessary to show that the HRB work would comply with all applicable requirements of the building regulations;

(c)

a competence declaration;

(d)

a construction control plan;

(e)

a change control plan;

(f)

a mandatory occurrence reporting plan;

(g)

a Building Regulations compliance statement;

(h)

a fire and emergency file;

(i)

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

(j)

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

(3)

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

(a)

include the information required by paragraph (1);

(b)

where the application relates to the first stage of the work—

(i)

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

(ii)

be accompanied by the documents referred to in paragraph (2) but—

(aa)

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

(bb)

the Building Regulations compliance statement must set out the design principles and building standards to be applied to the work for the first stage and a summary of the design principles and building standards to be applied beyond that stage;

(c)

where the application relates to a stage after the first stage—

(i)

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

(ii)

be accompanied by the documents referred to in paragraph (2) but—

(aa)

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

(bb)

the Building Regulations compliance statement must set out the design principles and building standards to be applied to the work comprised in the stage to which the application relates and a summary of the design principles and building standards to be applied beyond that stage.

Building control approval applications for HRB work or stage of HRB work: time limit5.

(1)

Where the building control authority receives a building control approval application for HRB work or a building control approval application for a stage of HRB work which is valid, the building control authority must determine it—

(a)

within 12 weeks beginning with the day the application is received by the building control authority, or

(b)

within such longer period as at any time the building control authority and the applicant agree in writing.

(2)

A building control approval application for HRB work or a building control application for a stage of HRB work is valid if it complies with the requirements of regulation 4.

Building control approval applications for HRB work or stage of HRB work: consultation6.

(1)

Before determining a building control approval application for HRB work or a building control approval application for a stage of HRB work, the building control authority must consult—

(a)

the enforcing authority for the proposed higher-risk building, and

(b)

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

(2)

Where the building control authority is required to consult a person under this regulation it—

(a)

must give the person sufficient plans to show the HRB work or the stage of the HRB work would, if carried out under those plans, comply with—

(i)

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

(ii)

in the case of the sewerage undertaker, the requirements of paragraph H4 of Schedule 1 to the 2010 Regulations;

(b)

must not determine the application before the end of 15 working days beginning with the date the consultation starts or such longer period as the building control authority and the person consulted agree in writing.

(3)

In relation to the consultation under paragraph (1)(a), the plans required to be given under paragraph (2)(a) must include the fire and emergency file.

(4)

If all persons consulted express their views before the end of the period referred to in paragraph (2)(b), the prohibition against determining the application ceases to apply on the day after the date on which the last view is received by the building control authority.

(5)

The building control authority is not required to consult under this regulation where it is satisfied following consideration of the application there are sufficient grounds to reject the application.

Building control approval applications for HRB work or stage of HRB work: decisions7.

(1)

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

(a)

does not comply with the requirements of regulation 4;

(b)

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

(c)

shows the HRB work or the stage of HRB work would contravene any applicable requirement of the building regulations;

(d)

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

(i)

regulations 18 to 21 and 27 to 29 (changes to documents or persons);

(ii)

regulations 31, 37 and 38 (golden thread etc.);

(iii)

regulations 32 to 36 (mandatory occurrence reporting);

(iv)

Part 2B (dutyholders and competence) of the 2010 Regulations13.

(2)

If one or more of the reasons in paragraph (1) applies, the building control authority may—

(a)

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

(b)

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

(3)

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

(a)

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

(b)

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

(4)

The building control authority must notify the applicant of the outcome of the application (and where the applicant is not the client, also give a copy of the notification to the client) within the period referred to in regulation 5 (building control approval applications for HRB work or stage of HRB work: time limit).

(5)

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

(6)

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

(7)

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

(a)

building control approval for the HRB work or, building control approval for the stage of HRB work is granted;

(b)

subject to paragraphs (8) and (9)—

(i)

the description of the proposed HRB work or, the description of the proposed stage of HRB work,

(ii)

the plans of the HRB work or the plans of the stage of HRB work that accompanied the application, and

(iii)

each of the other documents that accompanied the application,

are approved.

(8)

Where building control approval has been granted subject to a requirement that a plan or document must be revised, the unrevised plan or document is not approved by paragraph (7)(b).

(9)

Where—

(a)

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

(b)

the plan or document is subsequently revised under the requirement,

that revised plan or document is approved from the date specified in the approval given by the building control authority for the revision.

(10)

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

(11)

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

(a)

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

(b)

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

(12)

Where the building control authority decides not to approve a plan or document under paragraph (11) if requested it must give reasons for the decision.

(13)

In this regulation, “specified” means specified by the building control authority.

Building control authority’s power to require notifications etc. for HRB work or stage of HRB work8.

(1)

The building control authority may, by notice in writing, require a client—

(a)

to notify the building control authority, within a specified period, when a specified point of the HRB work or a specified point of the stage of HRB work has been reached;

(b)

not to cover up specified work for a specified period.

(2)

In this regulation, “specified” means specified by the building control authority in the notice referred to in paragraph (1).

Notice before starting on site and further notice when work is “commenced”9.

(1)

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

(2)

At least 5 working days before the day on which the HRB work or the stage of HRB work starts, the client, or somebody acting on their behalf, must give a notice to the building control authority setting out their intention to start the work and the date the work is to start.

(3)

Within 5 days after the day on which the HRB work is to be regarded as commenced, the client, or someone acting on their behalf, must give a notice to that effect to the building control authority.

(4)

If the building control authority is not satisfied the work is to be regarded as commenced it must give the client a notice to that effect (“rejection notice”) within 4 weeks of the date the notice under paragraph (3) is given, and the rejection notice must give the reason for rejection and what needs to be completed for the work to be regarded as commenced.

(5)

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

(6)

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

(7)

The client may appeal to the magistrates’ court against the decision of the building control authority to reject the notice.

(8)

An appeal must be made within 15 working days beginning with the day after the day on which the building control authority gives the rejection notice.

(9)

The magistrates’ court may allow an appeal under paragraph (7) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds—

(a)

that the decision was based on an error of fact;

(b)

that the decision was wrong in law;

(c)

that the decision was unreasonable;

(d)

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

(10)

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

(11)

The building control authority may take such steps as it thinks appropriate to check whether the work is to be regarded as commenced, including—

(a)

requiring information;

(b)

laying open of work for inspection.

(12)

For the purposes of paragraphs (3) to (11), regulation 46B of the 2010 Regulations applies to determine whether work is to be regarded as commenced.

CHAPTER 2Existing HRBs

Notification of emergency repairs to existing HRB10.

(1)

Where work to existing HRB consists only of emergency repairs and it is not practicable to comply with regulation 11 before starting the work, the client must—

(a)

give a notice to that effect to the building control authority, describing the work and the reasons for the urgency as soon as reasonably practicable after the work has started,

(b)

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

(c)

submit a regularisation certificate application to the building control authority in relation to the work as soon as reasonably practicable after the work is carried out.

(2)

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

Building control approval for work to existing HRB11.

(1)

Before any person starts any work to existing HRB, the client in relation to that work must—

(a)

submit an application for building control approval in relation to the work to the building control authority (a “building control approval application for work to existing HRB”) under regulation 12 (building control approval applications for work to existing HRB),

(b)

be granted building control approval for the work,

(c)

fulfil those requirements, if any, which under the building control approval must be fulfilled before the work is started, and

(d)

notify the building control authority of the date on which the work is to start under regulation 17(2) (notice before starting on site and further notice when work is “commenced”).

(2)

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

(a)

scheme work,

(b)

exempt work, or

(c)

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

Building control approval applications for work to existing HRB12.

(1)

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

(a)

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

(b)

the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer);

(c)

a statement that the application is made under this regulation;

(d)

a description of the existing higher-risk building including—

(i)

details of its current use, including the current use of each storey;

(ii)

its height as determined by regulation 4 of the 2023 Regulations;

(iii)

the number of storeys it has as determined by regulation 5 of the 2023 Regulations;

(iv)

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

(e)

a description of the proposed work, including—

(i)

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

(ii)

where the height of any part of the higher-risk building is changing, the height of the building after the proposed work as determined by regulation 4 of the 2023 Regulations;

(iii)

where the number of storeys in the higher-risk building is changing, the number of storeys as determined by regulation 5 of the 2023 Regulations;

(iv)

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

(v)

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

(vi)

(vii)

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

(viii)

a statement setting out either—

(aa)

the date when it is proposed the work will reach the point when it is regarded as commenced under regulation 46B (lapse of building control approval: commencement of work) of the 2010 Regulations, or

(bb)

the date when the client assesses building control supervision will be required if the work does not fall within the provisions of regulation 46B of the 2010 Regulations.

(2)

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

(a)

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

(i)

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

(ii)

the boundaries of the curtilage of the building, or the building as extended, and the size, position and use of every other building or proposed building within the curtilage;

(iii)

the width and position of any street on or within the boundaries of the curtilage of the building or the building as extended;

(b)

any other plans, as necessary to show that the work would comply with all applicable requirements of the building regulations;

(c)

additionally, where work to existing HRB work is category A work—

(i)

a competence declaration;

(ii)

a construction control plan;

(iii)

a change control plan;

(iv)

a mandatory occurrence reporting plan;

(v)

a Building Regulations compliance statement;

(vi)

a fire and emergency file;

(vii)

reports or calculations, as necessary to show that the work would comply with all applicable requirements of the building regulations when the work will affect the structural loading of the building;

(viii)

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

(d)

(3)

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

(a)

be made in writing, signed by the applicant,

(b)

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

(c)

be accompanied by the plans referred to in paragraphs (2)(a) and (2)(b),

(d)

where Part B of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, include information setting out the fire safety design principles, concepts and standards applied to the development including sufficient plans to show how the work would comply with Part B (fire safety) of Schedule 1 to the 2010 Regulations (“fire safety compliance information”), and

(e)

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

(4)

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

(5)

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

(a)

a competence declaration;

(b)

a construction control plan;

(c)

a change control plan;

(d)

a mandatory occurrence reporting plan;

(e)

a Building Regulations compliance statement;

(f)

a fire and emergency file;

(g)

a partial completion strategy.

(6)

In this regulation—

“category A work” (“gwaith categori A”) means work falling within any one or more of the following descriptions—

(a)

work which increases or decreases the external height or width of the higher-risk building;

(b)

work which changes the number of storeys the higher-risk building has (including adding or removing a mezzanine or gallery floor);

(c)

work which changes the number of flats or residential rooms contained in the higher-risk building;

(d)

work which changes the number of, or width of, the staircases in a higher-risk building or number of or width of, any other escape route within the building;

(e)

work to the external wall of a higher-risk building excluding work involving materials of a description specified in regulation 7(3) of the 2010 Regulations;

(f)

work which changes the internal layout of a higher-risk building;

(g)

work which affects the passive fire safety measures in common parts of the higher-risk building or which can affect compartmentation of a residential room;

(h)

work which affects the active fire safety measures that are providing protection to more than one residential room or to common parts in a higher-risk building;

(i)

work which affects the common parts of a higher-risk building (including the external wall) not otherwise falling within category A;

“category B work” (“gwaith categori B”) means work which does not fall within category A.

(7)

The requirements of this regulation do not apply to work to existing HRB which consists of—

(a)

scheme work,

(b)

exempt work, or

(c)

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

Building control approval applications for work to existing HRB: time limit13.

(1)

Where the building control authority receives a building control approval application for work to existing HRB which is valid, it must determine it—

(a)

within 8 weeks beginning with the date the application is received by the building control authority, or

(b)

within such longer period as at any time the building control authority and the applicant agree in writing.

(2)

A building control approval application for work to existing HRB is valid if it complies with regulation 12.

Building control approval applications for work to existing HRB: consultation14.

(1)

Before determining a building control application for work to existing HRB, the building control authority must consult—

(a)

the enforcing authority where the work is—

(i)

category A work, or

(ii)

category B work and Part B of Schedule 1 to the 2010 Regulations imposes requirements in relation to the work, and

(b)

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

(2)

Where the building control authority is required to consult a person under this regulation, it—

(a)

must give the person sufficient plans to show whether the work to existing HRB would, if carried out under those plans, comply with—

(i)

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

(ii)

in the case of the sewerage undertaker, the requirements of paragraph H4 of Schedule 1 to the 2010 Regulations;

(b)

must not determine the application until—

(i)

the end of 15 working days beginning with the date the consultation starts, or

(ii)

the end of such longer period as the building control authority and the person consulted agree in writing.

(3)

In relation to the consultation under paragraph (1)(a), the plans required by paragraph (2)(a) must include—

(a)

for category A work, the fire and emergency file;

(b)

for category B work and where Part B of Schedule 1 to the 2010 Regulations imposes requirements, the fire and emergency file, if provided by the applicant under regulation 4(2) or regulation 12(5), and the fire safety compliance information.

(4)

(5)

(6)

In this regulation “category A work” and “category B work” have the meaning given in regulation 12 (building control approval application for work to existing HRB).

Building control approval applications for work to existing HRB: decisions15.

(1)

The building control authority must grant the building control approval sought in a building control approval application for work to existing HRB unless—

(a)

the building control authority does not agree with the client’s assessment in regulation 12(1)(d)(viii)(bb);

(b)

the building control authority is of the opinion that oversight will be required at a different point, be that earlier or later than the point described in the application;

(c)

the application or any document that accompanied the application (or is provided under regulation 12(5))—

(i)

does not comply with the requirements of regulation 12;

(ii)

is not sufficiently detailed in any respect to allow the building control authority to determine whether the work would contravene any applicable requirement of the building regulations;

(iii)

shows that the proposed work would contravene any applicable requirements of the building regulations;

(iv)

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

(aa)

regulations 18 to 21 and 27 to 29 (changes to documents or persons);

(bb)

regulations 31, 37 and 38 (golden thread etc.);

(cc)

regulations 32 to 36 (mandatory occurrence reporting);

(dd)

Part 2B (dutyholders and competence) of the 2010 Regulations14;

(d)

when requested pursuant to regulation 12(5), the applicant failed to provide the document requested.

(2)

If one or more of the reasons in paragraph (1) applies, the building control authority may—

(a)

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

(b)

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

(3)

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

(a)

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

(b)

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

(4)

(5)

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

(6)

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

(7)

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

(a)

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

(b)

subject to paragraphs (8) and (9)—

(i)

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

(ii)

the plans of the work that accompanied the application, and

(iii)

each of the other documents that accompanied the application and, under regulation 12(5), the building control authority required to be provided,

are approved.

(8)

Where building control approval has been granted subject to a requirement that a plan or document must be revised, the unrevised plan or document is not approved by paragraph (7)(b).

(9)

Where—

(a)

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

(b)

the plan or document is revised under the requirement,

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

(10)

(11)

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

(a)

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

(b)

the client must ensure work does not proceed beyond the point specified in a requirement until approval by the building control authority in relation to that plan or document has been received.

(12)

Where the building control authority decides not to approve a plan or document under paragraph (11), if requested the building control authority must give the reasons for the decision.

Building control authority’s power to require notifications for work to existing HRB16.

(1)

The building control authority may, by notice in writing, require a client—

(a)

to notify the building control authority, within a specified period, when a specified point of the work to existing HRB has been reached;

(b)

not to cover up specified work for a specified period.

(2)

In this regulation, “specified” means specified by the building control authority in the notice referred to in paragraph (1).

Notice before starting on site and further notice when work is “commenced”17.

(1)

This regulation applies where building control approval for work to existing HRB is granted under regulation 15.

(2)

At least 5 working days before the day on which the work to existing HRB starts, the client, or somebody acting on their behalf must give a notice to the building control authority setting out their intention to start the work and the date that work is to start.

(3)

Within 5 days after the day on which the work to existing HRB is to be regarded as commenced, the client, or somebody acting on their behalf must give a notice to that effect to the building control authority.

(4)

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

(5)

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

(6)

(7)

The client may appeal to the magistrates’ court against the decision of the building control authority to reject the notice provided the appeal is made within 15 working days beginning with the day after the day on which the building control authority gives the rejection notice.

(8)

The magistrates’ court may allow an appeal under paragraph (7) only if it is satisfied that the decision appealed was wrong on one or more of the following grounds—

(a)

that the decision was based on an error of fact;

(b)

that the decision was wrong in law;

(c)

that the decision was unreasonable;

(d)

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

(9)

(10)

The building control authority may take such steps as it thinks appropriate to check whether the work is to be regarded as commenced, including—

(a)

requiring information;

(b)

laying open of work for inspection.

(11)

For the purposes of paragraphs (3) to (10) regulation 46B of the 2010 Regulations applies to determine whether work is to be regarded as commenced.

PART 3Changes before or during construction

Change control18.

(1)

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

(a)

a change to any current plans of any work or proposed work or the carrying out of work except under the current plans;

(b)

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

(c)

a change to any strategies, policies or procedures described in any current agreed document.

(2)

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

(a)

a record is made of the controlled change under regulation 19, and

(b)

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

(3)

Where the controlled change is a notifiable change, the client or someone acting on behalf of the client must notify the building control authority under regulation 20.

(4)

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

(5)

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

(6)

A major change must not be carried out, and the work to which it relates must not start, until the building control approval sought in the change control application is granted.

(7)

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

(8)

Where this paragraph applies—

(a)

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

(b)

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

(c)

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

(9)

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

(10)

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

(11)

Where this paragraph applies—

(a)

a consequential change which is a notifiable change must not be notified under regulation 20;

(b)

a change control application in relation to a consequential change which is a major change must not be made under regulation 21,

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

(12)

In this regulation—

“current agreed document” (“dogfen gytunedig gyfredol”) means the document that is an agreed document at the time the controlled change is proposed;

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

Change control: record-keeping19.

(1)

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

(2)

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

(a)

the name of the individual recording the change,

(b)

a description of the proposed change,

(c)

an explanation of the reasons why the change has been proposed,

(d)

whether the change is a recordable change, a notifiable change or a major change,

(e)

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

(f)

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

(g)

an explanation (a “compliance explanation”), in relation to the proposed change, of how—

(i)

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

(ii)

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

(aa)

this regulation and regulations 18, 20, 21 and 27 to 29 (changes to documents or persons);

(bb)

regulations 31, 37 and 38 (golden thread etc.);

(cc)

regulations 32 to 36 (mandatory occurrence reporting);

(dd)

Part 2B (dutyholders and competence) of the 2010 Regulations15.

Change control: notification requirements20.

(1)

A notice under regulation 18(3) must be in writing, signed by the client or someone acting on their behalf, and must include—

(a)

a description of the proposed controlled change,

(b)

an explanation of the reasons why the change has been proposed,

(c)

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

(d)

an assessment of the agreed documents affected by the proposed change,

(e)

a compliance explanation in relation to the proposed change, and

(f)

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

(2)

A notice under regulation 18(3) must be accompanied by the revised version of the agreed document produced under regulation 18(2)(b).

(3)

The building control authority may, by notice in writing, require the person giving the notification to provide further information in relation to the proposed controlled change.

(4)

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

Change control applications21.

(1)

A change control application must be made by the client in writing, signed by the applicant, and must include—

(a)

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

(b)

the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer),

(c)

a statement that the application is made under this regulation, and

(d)

a description of the proposed controlled change.

(2)

The application must be accompanied by—

(a)

an explanation of the reasons why the change has been proposed,

(b)

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

(c)

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

(d)

an assessment of the agreed documents affected by the proposed change,

(e)

a compliance explanation in relation to the proposed change, and

(f)

(3)

A change control application must be accompanied by the revised version of the agreed document produced under regulation 18(2)(b).

Change control applications: time limit22.

(1)

Where the building control authority receives a change control application which is valid, the building control authority must determine it—

(a)

within 6 weeks beginning with the date the application is received by the building control authority, or

(b)

within such longer period as at any time the building control authority and the applicant agree in writing.

(2)

A change control application is valid if it complies with the requirements of regulation 21.

Change control applications: consultation23.

(1)

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

(a)

the enforcing authority for the building or proposed building where Part B of Schedule 1 to the 2010 Regulations imposes requirements in relation to the work to which the controlled change relates, and

(b)

the sewerage undertaker for the building or proposed building where paragraph H4 of Schedule 1 to the 2010 Regulations imposes requirements in relation to the work to which the controlled change relates.

(2)

Where the building control authority is required to consult a person under this regulation it—

(a)

must give the person sufficient plans to show whether the work would, if carried out under those plans, comply with—

(i)

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

(ii)

in the case of the sewerage undertaker, the requirements of paragraph H4 of Schedule 1 to the 2010 Regulations;

(b)

must not determine the application until the end of 15 working days beginning with the date the consultation starts or such longer period as the building control authority 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)

(5)

(6)

In this regulation, “category B work” has the meaning given in regulation 12(6).

Change control applications: decisions24.

(1)

The building control authority must grant the building control approval sought in a change control application unless the application or any document that accompanied the application—

(a)

does not comply with the requirements of regulation 21;

(b)

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

(c)

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

(d)

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

(i)

regulation 18 to 21 and 27 to 29 (changes to documents or persons);

(ii)

regulations 31, 37 and 38 (golden thread etc.);

(iii)

regulations 32 to 36 (mandatory occurrence reporting);

(iv)

Part 2B (dutyholders and competence) of the 2010 Regulations16.

(2)

If one or more of the reasons in paragraph (1) applies, the building control authority may—

(a)

reject the change control application, or

(b)

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

(3)

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

(a)

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

(b)

(4)

The building control authority must notify the applicant of the outcome of the change control application (and where the applicant is not the client, also give a copy of the notification to the client) within the period referred to in regulation 22.

(5)

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

(6)

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

(7)

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

(a)

building control approval for the change sought in the change control application is granted;

(b)

subject to paragraphs (8) and (9)—

(i)

the description of the proposed controlled change, and

(ii)

the revised version of the agreed document that accompanied the application,

are approved.

(8)

Where building control approval has been granted subject to a requirement that a plan or document must be revised, the unrevised plan or document is not approved by paragraph (7)(b).

(9)

Where—

(a)

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

(b)

the plan or document is revised under the requirement,

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

(10)

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

(a)

the client must ensure the work does not proceed beyond the point specified in the requirement until approval by the building control authority to the plan or document has been received;

(b)

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

(c)

a notice that the request has been rejected must give the reasons for rejection.

(11)

In this regulation, “specified” means specified by the building control authority.

Change control: the building control authority’s power to specify notifiable changes and major changes25.

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

Change control: major changes and notifiable changes26.

(1)

In these Regulations—

“major change” (“newid mawr”) means—

(a)

in relation to HRB work or a stage of HRB work—

(i)
a change which is a material change of use to any part of a proposed higher-risk building;
(ii)
a change of the proposed use of any part of a proposed higher-risk building so that after the change the part of the building is to have a use as a car park or cease to have a use as a car park (whether the car park is for the occupiers of the building or otherwise);
(iii)
a change which increases or decreases the external height or width of a proposed higher-risk building;
(iv)
a change to the number of storeys in a proposed higher-risk building (including adding or removing a mezzanine or gallery floor);
(v)
a change to the structural design or structural loading of the building;
(vi)
a change to the number or width of the staircases in a proposed higher-risk building or a change to the length of any other escape route or the number or width of any escape route (including evacuation lift) within the proposed building;
(vii)
a change to the external wall of a proposed higher-risk building including a wall tie, wall restraint fixing or support system in the wall;
(viii)
a change to any part of the active fire safety measures or passive fire safety measures in a proposed higher-risk building referred to in the fire and emergency file;
(ix)
a change to the layout or dimensions of the common parts within a proposed higher-risk building;
(x)
a change proposing occupation of any part of the proposed higher-risk building before all work is completed;
(xi)
subject to paragraph (2), a change of any construction product or building element to be used in or on a higher-risk building (or to be used as part of works to a higher-risk building) such that its replacement is of a lower classification under the reaction to fire classification;
(xii)
a change to any assumptions made in the design of a proposed higher-risk building as set out in the Building Regulations compliance statement;
(xiii)
a change to the number of flats, residential rooms or commercial units contained in a proposed higher-risk building;

(b)

in relation to work to existing HRB—

(i)
a change which is a material change of use to any part of a higher-risk building;
(ii)
a change of the use of any part of a higher-risk building so that after the change the part of the building is to have use as a car park or cease to have a use as a car park (whether the car park is for the occupiers of the building or otherwise);
(iii)
a change which increases or decreases the external height or width of a higher-risk building;
(iv)
a change to the number of storeys in a higher-risk building (including adding or removing a mezzanine or gallery floor);
(v)
a change to the structural design or structural loading of the building;
(vi)
a change to the number or width of the staircases in a higher-risk building or a change to the length of any other escape route or the number or width of any escape route (including evacuation lift) within the building;
(vii)
a change to the external wall of a higher-risk building including a wall tie, wall restraint fixing or support system in the wall;
(viii)
a change to any part of the active fire safety measures or passive fire safety measures in a higher-risk building referred to in the fire and emergency file;
(ix)
a change to the layout or dimensions of the common parts within a higher-risk building;
(x)
subject to paragraph (2), a change of any construction product or building element to be used in or on a higher-risk building (or to be used as part of works to a higher-risk building) such that its replacement is of a lower classification under the reaction to fire classification;
(xi)
a change to any assumptions made in the design of a higher-risk building or works to a higher-risk building as set out in the Building Regulations compliance statement;
(xii)
where the building or part of a building is not occupied during the work, a change proposing occupation before all the work is completed;
(xiii)
a change to the number of flats, residential rooms or commercial units contained in a higher-risk building;

(c)

a change specified by the building control authority as a major change by notice given under regulation 25;

“notifiable change” (“newid hysbysadwy”) means—

(a)

a change to the construction control plan other than a change to the schedule of appointments contained within it;

(b)

a change to the change control plan;

(c)

a change to the layout of a flat or residential room in a proposed higher-risk building or in a higher-risk building;

(d)

a change to the number or dimensions of any openings in any wall, ceiling or other building element for any pipe, duct or cable;

(e)

a change to the wall tie, wall restraint fixing or support system in any wall or proposed wall (excluding an external wall);

(f)

subject to paragraph (2), a change of any construction product or building element to be used in or on a proposed higher-risk building (or to be used as part of works to a higher-risk building) where its replacement is of the same or higher classification under the reaction to fire classification;

(g)

any other change to the fire and emergency file or fire safety compliance information;

(h)

a change specified by the building control authority as a notifiable change by notice given under regulation 25;

(i)

a change to the partial completion strategy;

(j)

a change to a staged work statement or a subsequent stages statement.

(2)

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

(3)

In this regulation—

“reaction to fire classification” (“dosbarthiad adwaith i dân”) means BS EN 13501-1:2018 entitled “Fire classification of construction products and building elements. Classification using data from reaction to fire tests” (ISBN 978 0 580 95726 0) published by the British Standards Institute on 14 January 2019;

“staged work statement” (“datganiad gwaith fesul cam”) has the meaning given in regulation 4(3)(b)(i);

“subsequent stages statement” (“datganiad camau dilynol”) has the meaning given in regulation 4(3)(c)(i).

New client etc.27.

(1)

Subject to paragraphs (4) and (5), if, at any time after building control approval for HRB work, a stage of HRB work or work to existing HRB is granted, a person (in this regulation “C”) ceases to be the client in relation to the work, they must, within 14 days after the date they cease to be the client, provide the client (in this regulation “N”) with—

(a)

a copy of the golden thread information;

(b)

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

(c)

a document explaining the arrangements made under regulation 11R (suitable arrangements to ensure compliance with requirements etc.) of the 2010 Regulations17;

(d)

a statement, signed by C, which—

(i)

provides the date C ceased to be the client, and

(ii)

confirms that—

(aa)

C has fulfilled their duties as the client under Part 2B (dutyholders and competence) of the 2010 Regulations18,

(bb)

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

(cc)

as far as C is aware, on the day they cease to be client, the design work, and the building work (if any has been carried out by that date), complies with all applicable requirements of the 2010 Regulations.

(2)

Subject to paragraph (3), N must—

(a)

within 28 days of the date when N becomes the client, give a notice to the building control authority which—

(i)

states the date N became the client;

(ii)

states the date when C ceased to be the client;

(iii)

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

(iv)

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

(v)

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

(b)

ensure—

(i)

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

(ii)

the construction control plan is revised under regulation 18 (change control) to reflect the change.

(3)

Where N is not able—

(a)

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

(b)

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

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

(4)

Where—

(a)

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

(b)

C’s property (or any part of it that includes the HRB project) vests in a liquidator under section 145 of the Insolvency Act 198619,

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

(i)

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

(ii)

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

(5)

Where—

(a)

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

(b)

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

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

(6)

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

(a)

give a notice to the building control authority which—

(i)

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

(ii)

confirms they have—

(aa)

a copy of the golden thread information;

(bb)

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

(cc)

a document explaining the arrangements made under regulation 11R (suitable arrangements to ensure compliance with requirements etc.) of the 2010 Regulations20;

(iii)

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

(iv)

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

(b)

ensure—

(i)

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

(ii)

the construction control plan is revised, under regulation 18 (change control), to reflect the change.

(7)

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

(8)

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

(a)

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

(b)

states the date when C died,

(c)

confirms PR has—

(i)

a copy of the golden thread information;

(ii)

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

(iii)

a document explaining the arrangements made under regulation 11R (suitable arrangements to ensure compliance with requirements etc.) of the 2010 Regulations21, and

(d)

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

(9)

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

(10)

Where PR intends to act as the client in relation to the project, PR must—

(a)

comply with paragraph (2) (except paragraphs (iii), (iv) and (v) of sub-paragraph (a)), and

(b)

in the notice to be provided under paragraph (2) additionally confirm they have—

(i)

a copy of the golden thread information,

(ii)

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

(iii)

a document explaining the arrangements made under regulation 11R (suitable arrangements to ensure compliance with requirements etc.) of the 2010 Regulations22.

(11)

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

(12)

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

(13)

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

(14)

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

(15)

The requirements of this regulation do not apply—

(a)

to a domestic client except where, under regulation 11T(1) of the 2010 Regulations a domestic client has assigned duties to themselves, or

(b)

to work to existing HRB which consists only of—

(i)

scheme work,

(ii)

exempt work, or

(iii)

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

(16)

In this regulation—

“HRB project” (“prosiect ARU”) means the work described in the initial notice given under section 47 of the 1984 Act.

Insolvency etc. of the client: notifications28.

(1)

Where the client becomes aware that any of the circumstances referred to in paragraph (2) apply in relation to them, the client must, within 14 days of that day, give a notice to the building control authority which—

(a)

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

(b)

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

(c)

gives details which are sufficient to identify every project of the client which relates to a higher-risk building;

(d)

provides so much of the information referred to in the table in rule 1.6 of the 2016 Rules as is known to them.

(2)

The circumstances referred to in paragraph (1) are—

(a)

a moratorium under Part A1 of the Insolvency Act 198623 has commenced;

(b)

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

(c)

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

(3)

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

(a)

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

(b)

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

(c)

states the name, address, telephone number and (if available) email address of P;

(d)

provides as much of the information referred to in the table in rule 1.6 of the 2016 Rules as is known to them.

(4)

The persons referred to in paragraph (3) are—

(a)

an administrator;

(b)

an administrative receiver;

(c)

a receiver appointed by the courts or by a mortgagee;

(d)

a liquidator;

(e)

a trustee in bankruptcy.

(5)

Where under section 178 or 315 of the Insolvency Act 1986 any property in relation to a project is disclaimed, the person disclaiming the property must, within 28 days beginning with the date the disclaimer took effect, give the building control authority a copy of the notice of disclaimer under rule 19.2 of the 2016 Rules.

(6)

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

(7)

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

(8)

The requirements of this regulation do not apply to a domestic client except where, under regulation 11T(1) of the 2010 Regulations, a domestic client has assigned duties to themselves.

(9)

In this regulation “the 2016 Rules” means the Insolvency (England and Wales) Rules 201624.

New principal contractor or principal designer etc: notification29.

(1)

This paragraph applies where, at any time after building control approval for HRB work, a stage of HRB work or work to existing HRB is granted the client appoints a principal contractor (or sole contractor) or principal designer (or sole or lead designer) or where duties are assigned under regulation 11T(4) of the 2010 Regulations.

(2)

Where paragraph (1) applies, the client must give a notice, signed by the client, to the building control authority containing—

(a)

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

(b)

a statement that the client—

(i)

has complied with regulation 11V(2)(b) (consideration of past misconduct) of the 2010 Regulations25,

(ii)

is satisfied in the case of a principal contractor, that the person fulfils the requirements in regulations 11W(1) and (2) and 11Y(1) of the 2010 Regulations26,

(iii)

is satisfied in the case of a principal designer, that the person fulfils the requirements in regulations 11W(1) and (2) and 11X(1) of the 2010 Regulations27, and

(iv)

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

(c)

in relation to each principal contractor or principal designer, a copy of the record, in respect of the person, that the client created under regulation 11U(8) or (9) (principal designer and principal contractor) of the 2010 Regulations28, and

(d)

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

(3)

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

(a)

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

(b)

the dates of their appointment;

(c)

subject to paragraph (d), a certificate—

(i)

in the case of a person who was a principal contractor (or sole contractor), that they have fulfilled their duties as a principal contractor under Part 2B (dutyholders and competence) of the 2010 Regulations29;

(ii)

in the case of a person who was principal designer (or sole or lead designer), that they have fulfilled their duties as a principal designer under Part 2B (dutyholders and competence) of the 2010 Regulations30;

(d)

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

(4)

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

(5)

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

(6)

The client must give the notice under paragraph (2) together with a copy of the statement referred to in paragraph (3) or, if applicable, a statement referred to in paragraph (5), to the building control authority within 10 working days beginning with the date of the appointment.

(7)

The client must ensure—

(a)

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

(b)

the construction control plan is revised, under regulation 18, to reflect the change.

(8)

Where paragraph (1) applies and the client is a domestic client (“DC”), (except where under regulation 11T(1) of the 2010 Regulations a domestic client has assigned duties to themselves), the following applies instead of paragraphs (2) to (7)—

(a)

except where the person appointed (“PA”) is the first person appointed to the role, the person who held the role before PA (“outgoing dutyholder”) must, within 5 working days of the date their appointment ends, give the DC a notice which sets out—

(i)

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

(ii)

the date their appointment ended;

(iii)

subject to paragraph (b), a certificate—

(aa)

in the case of a person who was a principal contractor (or sole contractor), that they fulfilled their duties as a principal contractor under Part 2B (dutyholders and competence) of the 2010 Regulations31;

(bb)

in the case of a person who was principal designer (or sole or lead designer), that they fulfilled their duties as a principal designer under Part 2B (dutyholders and competence) of the 2010 Regulations32;

(b)

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

(c)

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

(d)

subject to paragraph (10), PA must give a notice to the building control 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 DC.

(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)(iii) 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 building control authority within 10 working 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, under regulation 18, to reflect the change.

Variation of a requirement imposed on a building control approval30.

(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 building control authority 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;

(c)

a description of the proposed variation;

(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 building control authority receives a notice under paragraph (1), it must determine whether to grant the variation within—

(a)

20 working days of receipt of the notice, or

(b)

within such longer period as at any time the building control authority and the person giving the notice agree in writing.

(5)

Where the building control authority has not determined whether to grant the variation before the end of the period provided for in paragraph (4) the variation is treated as refused by the building control authority.

(6)

Where a requirement is varied the building control authority must give the client a notice setting out the requirement as varied.

(7)

Where the building control authority does not agree to the variation it must notify the client giving reasons.

PART 4Golden thread, mandatory reporting, information handover etc.

Golden thread31.

(1)

The arrangements made by a client under regulation 11R of the 2010 Regulations33 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 holding the golden thread information;

(ii)

procedures for persons involved with designing or carrying out the work to have access to the electronic facility for 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 electronic 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,

(c)

is accurate and up to date,

(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 duties under the 2010 Regulations,

(f)

is secure from unauthorised access,

(g)

is only changed under 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 electronic facility 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 electronic facility includes—

(a)

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(7)(b) together with all the evidence recorded to show compliance with the applicable requirements of the building regulations, and

(b)

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(7)(b) 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 to 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);

(c)

regulation 24 (change control applications: decisions),

the client must ensure the electronic facility is updated to include a copy of that agreed document as soon as practicable after the document is provided or approved.

(7)

The client must ensure—

(a)

where a controlled change is proposed, a copy of the record required to be made under regulation 18(2)(a) is included in the electronic facility as soon as practicable after the change is recorded, and

(b)

where the proposed change is not carried out, that the electronic facility is updated with a note to that effect.

(8)

The client must ensure—

(a)

where a controlled change is proposed and an agreed document is affected by the change, a copy of the revised version of the document required to be produced under regulation 18(2)(b) is included in the electronic facility as soon as practicable after the revised version is produced, and

(b)

where the proposed change is not carried out that the electronic facility is updated with a note to that effect.

(9)

Where a notice is given under regulation 29, the client must ensure the electronic facility 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 building control authority under regulation 33, the client must ensure the electronic facility 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, a partial completion certificate application, or a regularisation certificate application, they must ensure the electronic facility 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 these Regulations—

“electronic facility” (“cyfleuster electronig”) means the facility referred to in paragraph (1).

“golden thread information” (“gwybodaeth llinyn aur”) means the information required by this regulation to be included in the electronic facility including previous versions of any document which has been updated.

Mandatory occurrence reporting system32.

(1)

The principal dutyholders 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 required by 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 building control authority33.

(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 building control authority 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 building safety authority within 10 working 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 of perverting the course of justice, or

(c)

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: defences34.

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, it is a defence for the principal dutyholder if they reasonably believed that the other principal dutyholder had—

(a)

already notified the building control authority of the safety occurrence under regulation 33, and

(b)

already provided the building control authority with a written report of the safety occurrence under regulation 33.

Mandatory occurrence reporting: definitions35.

(1)

In regulations 32 to 34—

“construction phase” (“cyfnod adeiladu”) 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” (“gwaith dylunio ARU”) means design of any HRB work, stage of HRB work or work to existing HRB;

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

“reporting person” (“person sy’n adrodd”) means—

(a)

any designer (including the principal designer),

(b)

any contractor (including the principal contractor), and

(c)

any other person who is a periodic visitor on the site of work;

“safety occurrence” (“achlysur diogelwch”) means—

(a)

in relation to a design, an aspect of design relating to the structural integrity or fire safety of a higher-risk building that would, if built, meet the risk condition;

(b)

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: client duty on appointment of principal contractor or principal designer36.

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), the client must take all reasonable steps to satisfy themselves that the person appointed is able to fulfil the requirements in regulations 32 and 33.

Handover of information on completion etc.37.

(1)

The client for, or any person working alone carrying out, 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 responsible person no later than the date the work is completed, or where regulation 44 (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 responsible person to read, keep and update the information.

(3)

The responsible person must give the client a notice acknowledging receipt of the specified golden thread information which confirms—

(a)

they are able to access the information, and

(b)

the information provided is sufficient to enable them to understand, operate and maintain the building (and the fire safety systems in it) after the building work.

(4)

The requirements of paragraph (1) do not apply to work to existing HRB which consists only of—

(a)

scheme work,

(b)

exempt work, or

(c)

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

(5)

In this regulation—

“BFLO information” (“gwybodaeth BFLO”) means—

(a)

where Part B of Schedule 1 to the 2010 Regulations imposes a requirement in relation to the work, the fire safety information,

(b)

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 way 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 work, sufficient information about the building, the fixed building services and their maintenance requirements so that the building can be operated in such a way 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 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 way as to produce the maximum electricity that is reasonable in the circumstances and delivers this electricity to the optimal place for use, and

(e)

where Part O of Schedule 1 to the 2010 Regulations applies in relation to the work, sufficient information about the provision made under Part O so that the systems in place further to Part O can be operated in such a way as to protect against overheating.

“specified golden thread information” (“gwybodaeth llinyn aur benodedig”) means—

(a)

in relation to cases where regulation 44 applies, a copy of—

(i)
the partial completion certificate application in relation to the HRB work, the stage of HRB work or work to existing HRB which the client proposes to make, and
(ii)
each document which under regulation 44(3) is required to accompany the application;

(b)

in relation to any other case, a copy of—

(i)
the completion certificate application in relation to the HRB work, the stage of HRB work or work to existing HRB which the client proposes to make, and
(ii)
each document which under regulation 39(2) is required to accompany the application.

Information to be provided where work is scheme work38.

(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—

(a)

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 has been completed, and

(b)

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 under 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 5 working days after the date referred to in paragraph (1).

(5)

Within 30 working days of receiving the notification under paragraph (3) the client must notify the building control authority 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, no later than 5 working 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 way 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, no later than 5 working 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 way 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, no later than 5 working 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 way 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” (“ardystiwr”) 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;

“fire safety information” (“gwybodaeth am ddiogelwch tân”) means information relating to—

(a)

the design and construction of the building and the services, fittings and equipment provided in or in connection with the building;

(b)

the design of the material change of use and building work to implement it;

(c)

the composition of materials used,

which will assist the responsible person to operate and maintain the building with reasonable safety.

PART 5Completion certificates

Completion certificate applications39.

(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 signed by the applicant and must include—

(a)

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

(b)

the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer);

(c)

a statement that the application is made under this regulation;

(d)

a description of the work, as built, including—

(i)

the location of the higher-risk building;

(ii)

details of the use or intended use of the higher-risk building, including the use or intended use of each storey;

(iii)

the height of the higher-risk building as determined by regulation 4 of the 2023 Regulations;

(iv)

the number of storeys in the higher-risk building as determined by regulation 5 of the 2023 Regulations;

(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 responsible person, confirming that the information to be provided to the responsible person under regulation 37 has been given and the responsible 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)

any other plans that are necessary to show that the HRB work, a stage of HRB work or work to existing HRB complies 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)

a list of all reports entered in the mandatory occurrence reporting system;

(v)

the Building Regulations compliance statement;

(vi)

a fire and emergency file,

or, where regulation 12(3) applies, such of the documents referred to in paragraphs (i) to (v) as were approved under regulation 15;

(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 building control authority, in relation to that part of the work, under regulation 29;

(g)

(3)

Where a client is unable to ensure the person referred to 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

(c)

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

(5)

In this regulation, “compliance declaration” means a document, signed by the principal contractor (or sole contractor) or the principal designer (or sole or lead designer) to which the declaration relates, that includes—

(a)

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

(b)

the dates of their appointment, and

(c)

a statement confirming—

(i)

in the case of a principal contractor (or sole contractor), that they fulfilled their duties as a principal contractor under Part 2B (dutyholders and competence) of the 2010 Regulations34;

(ii)

in the case of a principal designer (or sole or lead designer), that they fulfilled their duties as a principal designer under Part 2B (dutyholders and competence) of the 2010 Regulations35.

Completion certificate applications: time limit40.

(1)

Where the building control authority receives a completion certificate application in relation to HRB work, a stage of HRB work or work to existing HRB which is valid, the building control authority must—

(a)

determine it within 8 weeks beginning with the date the application is received by the building control authority, or

(b)

within such longer period as at any time the building control authority and the applicant agree in writing.

(2)

A completion certificate application is valid if it complies with regulation 39.

Completion certificate applications: consultation41.

(1)

Before determining a completion certificate application, the building control authority must consult—

(a)

the enforcing authority for the building where the work 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, and

(b)

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

(2)

Where the building control authority is required to consult a person under this regulation the building control authority—

(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, and

(ii)

in the case of the sewerage undertaker, the requirements of paragraph H4 of Schedule 1 to the 2010 Regulations;

(b)

(3)

In relation to the consultation under paragraph (1)(a), the plans must include—

(a)

the fire and emergency file, or

(b)

for category B work, the fire safety compliance information.

(4)

(5)

(6)

In this regulation “category A work” and “category B work” have the meaning given in regulation 12(6).

Completion certificate applications: inspection42.

Before determining a completion certificate application the building control authority must inspect the completed HRB work, stage of HRB work or work to existing HRB to assess whether the work complies with all applicable requirements of the building regulations.

Completion certificate applications: decisions43.

(1)

The building control authority 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 39(2)(a) to (f) and submitted as part of the completion certificate application are complete and accurate;

(c)

the information required to be provided to the responsible person under regulation 37 is complete and has been provided.

(2)

If the building control authority is not satisfied under paragraph (1) it must reject the completion certificate application.

(3)

(4)

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

(5)

If the application is approved the building control authority 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)

The building control authority must send a copy of the certificate issued under this regulation to the local authority for the area in which the building is situated.

(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 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 responsible person is sent—

(a)

a copy of the completion certificate application and each of the documents which accompanied the application, and

(b)

a copy of the completion certificate.

Partial completion certificates44.

(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 building control authority, signed by the client.

(3)

A partial completion certificate application must include—

(a)

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

(b)

the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer);

(c)

a statement that the application is made under this regulation;

(d)

a plan showing the part of the building to which the application relates indicating the intended use of that part and the location of the flats (if any) to be occupied or residential rooms (if any) to be occupied;

(e)

a description of the part of the HRB work, the stage of HRB work or work to existing HRB that remains to be completed after the date on which the application is made;

(f)

a description of the part of the HRB work, the stage of HRB work or work to existing HRB to which the application relates, including—

(i)

the location of the higher-risk building;

(ii)

details of the use or intended use of the higher-risk building, including the use or intended use of each storey;

(iii)

the height of the higher-risk building as determined by regulation 4 of the 2023 Regulations;

(iv)

the number of storeys in the higher-risk building as determined by regulation 5 of the 2023 Regulations;

(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)

(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 responsible person, confirming that the information, as at the date on which the application is made, to be provided under regulation 37 has been given and the responsible person has received the information;

(i)

a 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).

(4)

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)

any 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 complies with all applicable requirements of the building regulations;

(c)

the following agreed documents—

(i)

the construction control plan;

(ii)

the change control plan;

(iii)

a mandatory occurrence reporting plan;

(iv)

a list of all reports entered in the mandatory occurrence reporting system;

(v)

the Building Regulations compliance statement;

(vi)

a fire and emergency file;

or, where regulation 12(3) applies, such of the documents referred to in paragraphs (i) to (vi) as were approved under regulation 15;

(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 (5), 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 building control authority, in relation to that part of the work, under regulation 29;

(f)

a partial completion strategy;

(g)

(5)

Where a client is unable to ensure the person referred to in paragraph (4)(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.

(6)

Where the building control authority receives a partial completion certificate application which is valid, the building control authority must determine it—

(a)

within 8 weeks beginning with the date the application is received by the building control authority, or

(b)

within such longer period as at any time the building control authority and the applicant agree in writing.

(7)

A partial completion certificate application is valid if it complies with paragraphs (2) to (5).

(8)

Before determining a partial completion certificate application, the building control authority must—

(a)

comply with regulation 41(1) to (3), as modified by paragraph (9);

(b)

comply with regulation 42, as modified by paragraph (9).

(9)

Regulations 41 and 42 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 the HRB work, the stage to HRB work or work to existing HRB is being carried out.

(10)

The building control authority 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 to the date on which the application is made, to be provided to the responsible person under regulation 37 has been given.

(11)

If the building control authority is not satisfied under paragraph (10) it must reject the partial completion certificate application.

(12)

(13)

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

(14)

If the application is approved the building control authority must issue a partial completion certificate for the building at the same time as giving the notice of its decision under paragraph (12).

(15)

The building control authority must send a copy of the certificate issued under this regulation to the local authority for the area in which the building is situated (if this is a different local authority).

(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 responsible person is sent—

(a)

a copy of the partial completion certificate application and each of the documents which accompanied the application, and

(b)

a copy of the partial completion certificate.

(19)

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

(a)

scheme work,

(b)

exempt work, or

(c)

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

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

Inspections etc.45.

The building control authority for any building or proposed building in relation to that building or proposed building 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 building control authority;

(c)

requiring an inspection to be undertaken and the record of the inspection provided.

Regularisation of unauthorised building work46.

(1)

This regulation applies where it appears to the building control authority that unauthorised building work has been carried out on or after 11 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 building control authority 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 under this regulation;

(b)

a description of the unauthorised building work;

(c)

a plan of the unauthorised building work;

(d)

where the application is made by someone on behalf of the owner, a statement signed by the owner confirming they agree to the application being made and that the information contained in the application is correct.

(5)

Where the building control authority receives a regularisation certificate application, it may require the applicant to take such steps as the building control authority thinks appropriate for the building control authority to ascertain whether additional building work may be required in order for the unauthorised building work to secure compliance with the requirements of the building regulations which were applicable to that work when it was carried out.

(6)

Where the building control authority 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 under sections 8 and 9 of, and Schedule 2 to, the 1984 Act), the building control authority must reject the application and an application for building control approval must be made in relation to the additional building work.

(7)

Where the building control authority 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 under 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 building control authority may give a certificate to that effect.

(8)

(9)

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.

(10)

Where a regularisation certificate is granted in relation to building work, Parts 2 to 5 of these Regulations cease to apply to that work.

(11)

Where a regularisation certificate is granted the applicant must, no later than 5 working days after the certificate has been received, give the building work information and a copy of the certificate to the responsible person, if any, for the part of the building in relation to which the work described in the certificate relates.

(12)

For the purposes of paragraph (11) 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 way 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 way 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 way 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 under Part O so that the systems in place further to Part O can be operated in such a way as to protect against overheating.

(13)

In this regulation—

“unauthorised building work” (“gwaith adeiladu anawdurdodedig”) means any building work in relation to a higher-risk building which is carried out without—

(a)

a building control approval under regulation 7 or regulation 15 being granted by the building control authority;

(b)

where the building work is a major change, a building control approval under regulation 24;

(c)

where the building work is a notifiable change, a notification under regulation 18(3),

but work is not unauthorised building work to the extent that it consists only of scheme work or exempt work.

Appeal of decisions47.

(1)

The following decisions of the building control authority may be appealed to the Welsh Ministers—

(a)

a decision to reject—

(i)

a building control application for HRB work;

(ii)

a building control application for a stage of HRB work;

(iii)

a building control 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;

(c)

a decision to refuse a request to vary a requirement under regulation 30.

(2)

The persons who may appeal the decision 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 who the building control authority gives notice under regulation 25;

(c)

in relation to a decision referred to in paragraph (1)(c), the client who made the request.

(3)

An appeal must be made to the Welsh Ministers within 15 working 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 referred to in paragraph (3) must contain the following information—

(a)

the name, address, telephone number and (if available) email address for the person giving the notice;

(b)

if the person giving the notice is doing so on behalf of a person who falls within the description in paragraph (2), the name and address of that person and a statement that the person giving the notice is authorised to give the notice on behalf of that person;

(c)

the address and, if applicable, the name of the building to which the decision referred to in paragraph (1) relates;

(d)

a statement 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 building control authority’s decision but was not available at the time the decision was made.

(5)

The Welsh Ministers must notify the appellant of the outcome within 13 weeks beginning with the day after the day on which the person gives a notice under paragraph (2).

(6)

A notice that the appeal has upheld the decision must give reasons for that decision.

(7)

If the appeal varies the decision the building control authority must issue a new decision.

Appeal in relation to Welsh Ministers’ decision48.

(1)

A person may appeal to the magistrates’ court against the decision of the Welsh Ministers in relation to an appeal of a decision of a kind referred to in regulation 47(1), provided that the appeal is made within 15 working days beginning with the day after the day on which the Welsh Ministers notify the person of their decision under regulation 47(5).

(2)

The magistrates’ court may allow an appeal under paragraph (1) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds—

(a)

that the decision was based on an error of fact;

(b)

that the decision was wrong in law;

(c)

that the decision was unreasonable;

(d)

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

(3)

If the magistrates’ court allows an appeal it may quash or vary the decision.

Section 30A prescribed applications49.

(1)

The following applications are prescribed for the purposes of section 30A(1) of the 1984 Act—

(a)

a building control approval application for HRB work;

(b)

a building control approval application for a stage of HRB work;

(c)

a building control approval application for work to existing HRB;

(d)

a change control application;

(e)

a completion certificate application;

(f)

a partial completion certificate application.

(2)

An application may not be made to the Welsh Ministers under section 30A of the 1984 Act where the original application was not valid.

(3)

In this Part—

“prescribed” (“rhagnodedig”) has the meaning given in section 126 of the 1984 Act;

“original application” (“cais gwreiddiol”) has the meaning given in section 30A(1) of the 1984 Act.

Section 30A applications: procedure50.

(1)

An application under section 30A of the 1984 Act (“section 30A application”) must be made in writing to the Welsh Ministers by the client for the work to which the original application relates (in this Part “the applicant”) and accompanied by the documents specified in paragraph (3).

(2)

A section 30A application must be made no later than 6 weeks after the day the relevant period in relation to the application ends.

(3)

The documents to accompany a section 30A application are—

(a)

a copy of the original application given to the building control authority (including all documentation that accompanied the application);

(b)

all information provided to the building control authority in relation to the original application by the applicant;

(c)

all correspondence and further information between the applicant and the building control authority in relation to that application;

(d)

a copy of the notice sent to the building control authority under paragraph (4);

(e)

(4)

At least 2 working days before submitting the application under paragraph (1) the applicant must give notice to the building control authority of their intention to do so.

(5)

In this regulation “relevant period” has the meaning given in section 30A(9) of the 1984 Act.

Section 30A applications: electronic submissions51.

(1)

Where an applicant submits a section 30A application through electronic facilities provided by the Welsh Ministers 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 Welsh Ministers 2 weeks’ notice in writing specifying that the notice is given under this regulation.

Section 30A applications: determinations52.

(1)

A section 30A application is to be determined36 by written representations.

(2)

The Welsh Ministers must give the building control authority the opportunity to make written representations in relation to a section 30A application.

(3)

The Welsh Ministers may give any other person an opportunity to make written representations in relation to a section 30A application.

(4)

The Welsh Ministers may, by notice in writing, require the building control authority to provide specified information, or provide copies of specified documents, by the date specified in the notice.

(5)

The date specified in the notice in paragraph (4) must be at least 10 working days after the day the notice is given.

(6)

Before determining a section 30A application, the Welsh Ministers may hold such meetings with the applicant, the building control authority or any other person, and undertake such visits, testing or inspections, as the Welsh Ministers considers appropriate.

(7)

The Welsh Ministers’ 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).

(8)

The Welsh Ministers must send a copy of the Welsh Ministers’ decision to the building control authority.

Section 30A applications: appointed persons53.

(1)

The Welsh Ministers may appoint a person to determine a section 30A application instead of the Welsh Ministers.

(2)

At any time before a person appointed under this regulation has determined the application the Welsh Ministers 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 Welsh Ministers and, in particular, regulation 52 (section 30A applications: determinations) applies as if references to the Welsh Ministers 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 Welsh Ministers.

Deemed rejection of the original application54.

Where in relation to an application that is prescribed in regulation 49 (section 30A prescribed applications)—

(a)

the period under regulation 50(2) (section 30A applications: procedure) for a person to make a section 30A application has expired without the person making a section 30A application under that regulation, and

(b)

the building control authority did not determine the original application before the end of that period,

the original application is treated as rejected by the building control authority.

Section 30A applications: appeals55.

(1)

An appeal to the magistrates’ court under section 30A(8) of the 1984 Act must be made within 15 working days beginning with the day after the day on which the Welsh Ministers give the decision to the applicant under regulation 52(6) (section 30A applications: determinations).

(2)

The magistrates’ court may allow an appeal under paragraph (1) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds—

(a)

that the decision was based on an error of fact;

(b)

that the decision was wrong in law;

(c)

that the decision was unreasonable;

(d)

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

(3)

If the magistrates’ court allows an appeal it may quash or vary the decision.

PART 7Miscellaneous

Exempt work56.

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

Contraventions by the building control authority not to be subject to enforcement57.

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: 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 (6) and (12) (building control approval applications for HRB work or stage of HRB work: decisions);

(d)

regulation 9(5) (notice before starting on site and further notice when work is “commenced”);

(e)

regulation 13 (building control approval applications for work to existing HRB: time limit);

(f)

regulation 14(1) and (2) (building control approval applications for work to existing HRB: consultation);

(g)

regulation 15(1), (4) to (6) and (12) (building control approval applications for work to existing HRB: decisions);

(h)

regulation 17(4) (notice before starting on site and further notice when work is “commenced”);

(i)

regulation 22 (change control applications: time limit);

(j)

regulation 23(1) and (2) (change control applications: consultation);

(k)

regulation 24(1), (4) to (6) and (9)(b) and (d) (change control applications: decisions);

(l)

regulation 30(4) and (6) to (7) (variation of a requirement imposed on a building control approval);

(m)

regulation 40 (completion certificate applications: time limit);

(n)

regulation 41(1) (completion certificate applications: consultation);

(o)

regulation 42 (completion certificate applications: inspection);

(p)

regulation 43(1) to (5) and (8) (completion certificate applications: decisions);

(q)

regulation 44(5), (7), (9) to (13) and (16) (partial completion certificates);

(r)

regulation 46(6) (regularisation of unauthorised building work);

(s)

regulation 52 (section 30A applications: determinations);

(t)

regulation 53 (section 30A applications: appointed persons).

Provisions in relation to which a stop notice may be given58.

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(11)(b) (HRB work not to proceed until approval under a requirement is received);

(c)

regulation 11 (work to an existing HRB not to be started before approval);

(d)

regulation 15(11)(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(10)(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 these Regulations).

Transitional provisions59.

Schedule 3 contains transitional provisions.

Rebecca Evans

Cabinet Secretary for Economy, Energy and Planning, one of the Welsh Ministers

12 December 2025

SCHEDULE 1Documents

Regulation 2

Competence declaration

1. (1)

A competence declaration is a statement, in relation to work, that contains a declaration in relation to—

(a)

a principal designer (or sole or lead designer) for HRB work, a stage of HRB work or work to existing HRB,

(b)

a principal contractor (or sole contractor) for HRB work, a stage of HRB work or work to existing HRB, and

(c)

any other person appointed (“A”), in relation to the work, as at the date of the building control approval application for HRB work, a building control approval application for a stage of HRB work or the building control approval application for work to existing HRB.

(2)

In relation to a principal designer for HRB work, a stage of HRB work or work to existing HRB, the competence declaration must—

(a)

state that the client—

(i)

has complied with regulation 11V(2)(b) (consideration of past misconduct) of the 2010 Regulations37, and

(ii)

having taken all reasonable steps, is satisfied that the principal designer fulfils the requirements in regulations 11W(1) and (2) and 11X(1) of the 2010 Regulations38, 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 11V(2)(b) (consideration of past misconduct) of the 2010 Regulations39, and

(ii)

having taken all reasonable steps, is satisfied that the principal contractor fulfils the requirements in regulations 11W(1) and (2) and 11Y(1) of the 2010 Regulations40, 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 11V(2)(b) (consideration of past misconduct) of the 2010 Regulations41, and

(ii)

having taken all reasonable steps, is satisfied that the person fulfils the requirements in regulations 11W(1) and (2) of the 2010 Regulations42, 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 11V(2)(b) (consideration of past misconduct) of the 2010 Regulations43, and

(b)

include a declaration as to the truth of that statement.

(6)

Any competence declaration must—

(a)

be signed by the client or by a person on behalf of 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 11U(8) or 11U(9) (principal designer and principal contractor) of the 2010 Regulations44.

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 2B of the 2010 Regulations45;

(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 11V of the 2010 Regulations46) 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 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 under regulation 18 (change control), and to log each controlled change under regulation 19 (change control: record-keeping) including explaining—

(a)

how proposed changes will be identified and to whom they must be reported;

(b)

how the impacts of proposed changes are identified and considered and at what level in the organisation;

(c)

in relation to proposed changes, the decision-making procedures adopted for agreeing a change including whose advice is to be sought;

(d)

how changes are recorded and by when;

(e)

the procedure to identify which changes require notification to the building control authority and which require a change control application;

(f)

how the effectiveness of the change control plan will be reviewed by dutyholders periodically.

(2)

In this paragraph “dutyholders” means the client, the principal contractor (or sole contractor) and the principal designer (or sole or lead designer).

Building Regulations compliance statement

4. (1)

A Building Regulations compliance statement must set out the approach taken in designing the proposed higher-risk building or in designing the work to be carried out on the higher-risk building and the building standards applied, in particular—

(a)

the approach taken in relation to each element of the building and the work to ensure compliance with all applicable requirements of the building regulations,

(b)

the reasons for adopting the approach together with an explanation of why the approach is appropriate and ensures compliance with all applicable requirements of the building regulations, and

(c)

if the approach taken does not follow an approach specified in an approved document, the reason for the alternative approach and how it ensures compliance with all applicable requirements of the building regulations.

(2)

A Building Regulations compliance statement must be accompanied by a statement signed by the principal designer confirming that the information in the Building Regulations compliance statement is correct.

Fire and emergency file

5. (1)

A fire and emergency file must set out—

(a)

the matters that were considered when assessing how the building safety risks identified could impact the higher-risk building or the proposed higher-risk building;

(b)

the proposals adopted and the approaches taken in relation to designing the proposed higher-risk building or the building work to the higher-risk building to ensure compliance with the applicable requirements of the building regulations relating to the building safety risks;

(c)

the measures, strategies and policies it is proposed the owner of the higher-risk building should adopt in order to manage and maintain the higher-risk building or the proposed higher-risk building to ensure anyone in it can be safely evacuated in an emergency, including any assumptions made as to the intended occupiers of the building and their likely characteristics and behaviours;

(d)

the proposed fire strategy demonstrating compliance with the requirements of paragraphs A3 and B1 to B5 of Schedule 1 of the Building Regulations 2010.

(2)

The measures, strategies and policies referred to in sub-paragraph (1) must include—

(a)

a plan which sets out the requirements of the fire and rescue service for the area in relation to access to the higher-risk building and water supply for fire-fighting;

(b)

a report which—

(i)

where the HRB work, a stage of HRB work or work to existing HRB has not started, demonstrates how compliance with the applicable requirements of the building regulations relating to the building safety risks is to be achieved;

(ii)

where the HRB work, a stage of HRB work or work to existing HRB is completed, demonstrates how compliance with the applicable requirements of the building regulations relating to the building safety risks was achieved.

(3)

In this paragraph “building safety risk” means a risk to the safety of people in or about the building arising from any of the following occurring as regards the building—

(a)

the spread of fire;

(b)

structural failure.

Partial completion strategy

6.

A partial completion strategy must explain—

(a)

the proposals adopted in designing for occupation of each part of the building or the proposed building to be completed to ensure compliance with the applicable requirements of the building regulations;

(b)

the measures, strategies and policies it is proposed the owner of the building should adopt in order to manage and maintain each such part of the building or the proposed building;

(c)

any assumptions made in those measures, strategies and proposals as to the intended occupiers of each such part of the building or the proposed building and their likely characteristics and behaviours, and the intended management or maintenance of each such part of the building or the proposed building.

SCHEDULE 2Exempt work

Regulation 56

1.

Work consisting of—

(a)

in relation to an existing fixed building service, which is not a fixed internal or external lighting system—

(i)

replacing any part which is not a combustion appliance,

(ii)

adding an output device, or

(iii)

adding a control device,

where testing and adjustment of the work is not possible or would not affect the use by the fixed building service of no more fuel and power than is reasonable in the circumstances;

(b)

providing a self-contained fixed building service, which is not a fixed internal or external lighting system, where—

(i)

it is not a combustion appliance (other than a fixed flueless gas cooker),

(ii)

any electrical work associated with its provision does not consist of—

(aa)

the installation of a new circuit;

(bb)

the replacement of a consumer unit;

(cc)

any addition or alteration to existing circuits in a special location,

(iii)

testing and adjustment is not possible or would not affect its energy efficiency, and

(iv)

in the case of a mechanical ventilation appliance, the appliance is not installed in a room containing an open-flued combustion appliance whose combustion products are discharged through a natural draught flue;

(c)

replacing an external door (where the door together with its frame has not more than 50% of its internal face area glazed);

(d)

in existing buildings other than dwellings, providing fixed internal lighting where no more than 100m² of the floor area of the building is to be served by the lighting;

(e)

replacing—

(i)

a sanitary convenience with one that uses no more water than the one it replaces,

(ii)

a washbasin, sink or bidet,

(iii)

a fixed bath,

(iv)

a shower,

(v)

a rainwater gutter, or

(vi)

a rainwater downpipe,

where the work does not include any work to underground drainage, and includes no work to the hot or cold water system or above ground drainage, which may prejudice the health or safety of any person on completion of the work;

(f)

in relation to any existing cold water supply—

(i)

replacing any part,

(ii)

adding any output device, or

(iii)

adding a control device;

(g)

providing a hot water storage system that has a storage vessel with a capacity not exceeding 15 litres, where any electrical work associated with its provision does not consist of—

(i)

the installation of a new circuit;

(ii)

the replacement of a consumer unit;

(iii)

any addition or alteration to existing circuits in a special location;

(h)

installation of thermal insulation in a roof space or loft space where—

(i)

the work consists solely of the installation of such insulation, and

(ii)

the work is not carried out in order to comply with any requirements of the 2010 Regulations.

2.

Installation of thermal insulation to suspended timber floors where—

(a)

the work consists solely of the installation of such insulation, and

(b)

the work is not carried out in order to comply with any requirements of the 2010 Regulations.

3.

For the purposes of this Schedule—

“fixed building service” (“gwasanaeth sefydlog adeilad”) has the meaning given in regulation 2(1) of the 2010 Regulations;

“self-contained” (“hunangynhwysol”) in relation to a fixed building service means consisting of a single appliance and any associated controls which is neither connected to, nor forms part of, any other fixed building service;

“special location” (“lleoliad arbennig”) means—

(a)

within a room containing a bath or shower, the space surrounding a bath tap or shower head, where the space extends—

(i)
vertically from the finished floor level to—
1. (aa)
  a height of 2.25 metres, or
2. (bb)
  the position of the shower head where it is attached to a wall or ceiling at a point higher than 2.25 metres from that level, and
(ii)
horizontally—
1. (aa)
  where there is a bath tub or shower tray, from the edge of the bath tub or shower tray to a distance of 0.6 metres, or
2. (bb)
  where there is no bath tub or shower tray, from the centre point of the shower head where it is attached to the wall or ceiling to a distance of 1.2 metres, or

(b)

a room containing a swimming pool or sauna heater.

SCHEDULE 3Transitional provisions

Regulation 59

Transitional provisions in relation to plans deposited or initial notices given before 1 July 2026

1. (1)

This paragraph applies where before 1 July 2026—

(a)

an initial notice, in relation to HRB work or work to existing HRB for a particular building, has been given to a local authority and before that date is accepted or conclusively presumed to be accepted under section 47 of the 1984 Act, or

(b)

full plans, in relation to HRB work or work to existing HRB for a particular building, were deposited with a local authority.

(2)

Where this paragraph applies—

(a)

in a case where full plans have been deposited—

(i)

Parts 2 to 6 of these Regulations do not apply to that work, and

(ii)

the 2010 Regulations continue to apply to that work, including the amendments made to the 2010 Regulations by the Building Regulations etc. (Amendment) (No.2) (Wales) Regulations 202547, but subject to Part 4 (transitional, supplementary and saving provisions) of those Regulations;

(b)

in a case where an initial notice has been given—

(i)

Parts 2 to 6 of these Regulations do not apply to that work, and

(ii)

the 2010 Regulations and the Building (Registered Building Control Approvers etc.) (Wales) Regulations 202448 continue to apply to that work, including the amendments made to those Regulations by the Building Regulations etc. (Amendment) (No. 2) (Wales) Regulations 2025 but subject to Part 4 (transitional, supplementary and saving provisions) of those Regulations.

(3)

Sub-paragraph (2) ceases to apply where—

(a)

full plans are rejected by the local authority with whom they were deposited in accordance with any provision of Part 1 of the 1984 Act,

(b)

the approval for the work lapses by virtue of section 32 of the 1984 Act (as that provision had effect immediately before 1 July 2026), or

(c)

the initial notice or the part of that notice which relates to the HRB work or work to existing HRB is cancelled under section 52(5) of the 1984 Act (as that provision had effect immediately before 1 July 2026),

and Parts 2 to 6 of these Regulations apply instead to the work.

Interpretation

2.

For the purposes of this Schedule—

“initial notice” (“hysbysiad cychwynnol”) is a notice given under section 47 of the 1984 Act;

“full plans” (“planiau llawn”) means plans deposited with a local authority for the purposes of section 16 of the 1984 Act under regulations 12(2)(b) and 14 of the 2010 Regulations (as those provisions had effect immediately before 1 July 2026).

EXPLANATORY NOTE

(This note is not part of the Regulations)

This instrument is part of a number of Regulations which implement the Building Safety Act 2022 in respect of higher-risk buildings in Wales.

Under section 121A of the Building Act 1984 (“the 1984 Act”), the building control authority is generally the local authority for the area in which the building or proposed building concerned is situated. However, where a local authority proposes to carry out higher-risk building work (as defined in section 120I of the 1984 Act), regulations can be made under section 91ZD of the 1984 Act designating another local authority as building control authority for that work. Regulations under section 91ZD are to be made elsewhere.

The requirements in the Building Regulations 2010 currently apply to higher-risk buildings. Amendments (to be made elsewhere) to those Regulations disapply most of the procedural requirements in them in relation to higher-risk buildings (as to the definition of which see the Building Safety (Description of Higher-Risk Building) (Design and Construction Phase) (Wales) Regulations 2023). Consequently, procedures contained in these Regulations will apply in relation to higher-risk buildings instead of those in the Building Regulations 2010.

Part 2 of these Regulations sets out the procedures for applying for building control approval in relation to higher-risk buildings. Applications must be submitted to the building control authority giving the information required and be accompanied by the plans, documents and information required. Building control approval may, with the applicant’s consent, be subject to a requirement, for example, to not progress beyond a specific point without agreement of the building control authority or that more detailed plans or documents could be approved by the building control authority at a later date.

Part 3 of these Regulations sets out the change control process where any document relating to the work which was approved by the building control authority at the application stage (or subsequently under a requirement or a controlled change) is to be changed. Provision is also made in this Part for change to the client, principal contractor or principal designer, insolvency etc. of a client and variation of a requirement imposed on a building control approval.

Part 4 of these Regulations sets out provisions in relation to the golden thread information, mandatory occurrence reporting and the handover of information on completion of the work.

Part 5 of these Regulations sets out the procedures for applying for completion certificates and partial completion certificates in relation to higher-risk buildings. Applications must be submitted to the building control authority giving the information required and accompanied by the plans and documents required.

Part 6 of these Regulations sets out provision relating to inspections, testing and sampling, regularisation of unauthorised work and the procedure under section 30A of the 1984 Act (which provides that a request can be made to the Welsh Ministers for determination of an application where the building control authority has not made a decision within the time limit prescribed).

Part 7 of these Regulations defines exempt work, gives the building control authority the power by direction to require an application via a specified method, and also sets out those provisions in relation to which a stop notice under section 35C of the 1984 Act may be given. Part 7 also includes consequential amendments to the Regulatory Reform (Fire Safety) Order 2005 and the Community Infrastructure Levy Regulations 2010.

Schedule 3 to these Regulations sets out transitional provisions.

The Welsh Ministers’ Code of Practice on the carrying out of Regulatory Impact Assessments was considered in relation to these Regulations. As a result, a regulatory impact assessment has been prepared as to the likely costs and benefits of complying with these Regulations. A copy can be obtained from Welsh Government, Cathays Park, Cardiff, CF10 3NQ and is published on www.gov.wales.