Managing building control approval applications for higher-risk buildings
How clients can submit and manage a building control application to the Building Safety Regulator for higher-risk building work or building work to an existing higher-risk building.
Applies to England
Higher-risk buildings
A higher-risk building is a building that has at least:
- 7 storeys or is at least 18 metres high
- 2 residential units or is a hospital or a care home
A higher-risk building with at least 2 residential units must be registered with the Building Safety Regulator (BSR) before people live there.
Read the full guidance on buildings that BSR is the building control authority for.
Who can make a building control application
As the client, you’re responsible for making a building control application to BSR for a higher-risk building. You can authorise someone to make the application for you. In that case, they need to upload a client authorisation as part of the application.
The principal designer and principal contractor must support you in providing information. This may include helping you to manage parts of the building control application.
You cannot begin work on a higher-risk building project until BSR approves your application for building control approval .
Documents you need to prepare
You must prepare certain documents as part of your building control application. You must update these documents throughout construction as they form part of the information you must keep.
You will need to upload copies of the documents as part of your application and keep the original documents yourself.
Drawings and plans
Your drawings and plans should demonstrate that this work will meet building regulations. You must upload copies of all necessary drawings and plans as PDFs.
The drawings and plans form the substance of the building control application. Where relevant, the other documents you prepare should refer to the drawings and plans. Make sure that the other documents guide BSR to the relevant parts of the drawings and plans to show how the building will meet building regulations.
Provide the right plans and clearly label them. Upload a reference file for the drawings.
Competence declaration
In the competence declaration, you must confirm:
- your confidence that the principal designer, principal contractor, and any other designers and contractors are competent to carry out their roles
- the steps you have taken to make sure they’re competent to carry out their roles
If there are any concerns about the principal designer or principal contractor’s competence, you must also confirm:
- any reasons the principal designer or principal contractor’s competence is called into question
- why you appointed them despite their competence being questioned
- the steps taken to reduce the risks from appointing them
You must sign the declaration.
Construction control plan
The construction control plan must set out details for the work and how you are going to control the work to comply with building regulations. It must describe how your strategies, policies and procedures will make sure:
- the building works will meet the building regulations
- that you check the plan is effective and how you will record evidence that the building works continue to meet the building regulations
- you capture ‘as built’ evidence to support the completion certificate application
- those carrying out the work are competent to perform their duties
- sanctions and past conduct of those carrying out the work is considered to decide if they are suitable for the role, or how to prevent a repeat of the behaviour
- designers, contractors and others working on the building co-operate and share information
- those carrying out the work have enough information and training
It must also give the name and a summary of the responsibilities of:
- the principal contractor
- the principal designer
- any other organisation or sole trader who will carry out the work
The construction control plan must describe how and when you’ll review the plan.
Change control plan
A controlled change is a change to:
- current or proposed plans of work
- how the work is carried out
- any stage of work, including adding or removing a stage
- any strategies, policies or procedures described in agreed documents
The change control plan must show that you have considered:
- the implications of changes from the plan that was approved
- how and at what level in your organisation the impact of controlled changes will be assessed
- how you will make sure controlled changes are recorded
It should show:
- how and when changes are recorded
- that the impact of changes is carefully considered and discussed with other parties
- that you have the oversight and control you need to manage the work
- how you will record all advice about each change and who gave the advice – even if the advice is against the change
Building regulations compliance statement
The building regulations compliance statement:
- must show how the planned building work will meet the relevant functional requirements of the building regulations
- should refer to specific guidance, standards, or design codes
- should explain how your solutions meet building regulations
The statement should show your approach to meeting building regulations. It should include clear explanations of which guidance or standards support your approach and why they are appropriate.
You should make sure that the guidance or standards you use are the right ones. For example, the Approved Documents may not be suitable for use in a complex or unusual design.
Fire compliance statement
For minor building work to existing higher-risk buildings, known as category B work, provide a fire compliance statement if the work affects the building’s fire safety. It must include any assumptions that underpin the work and how the building will be used.
You may need to provide sufficient information and plans to show the fire safety design principles, concepts and standards of your work. Show this information if your proposed work affects any of the following:
- means of early warning of fire and appropriate means of escape in case of fire to a place of safety outside
- measures limiting the internal spread of fire within a building and to buildings with common walls
- the ability of external walls and the roof to resist the spread of fire from one building to another, or the facilities or access required to assist fire services
Client authorisation
If you have authorised someone to apply on your behalf, they must upload written proof of your authorisation. This authorisation confirms that you agree to the application being made and that the information in the application is correct.
Site location plan
The site location plan must be to a scale of not less than 1:1250. It must show:
- the building’s size, position and relationship to adjoining boundaries
- the building’s curtilage boundaries, and the size, position and use of every other building or proposed building within the curtilage
- the width and position of any street on or within the boundaries of the curtilage of the building
Mandatory occurrence reporting plan
This mandatory occurrence reporting plan must:
- describe your mandatory occurrence reporting systems and processes
- show that the principal designer and principal contractor have arrangements in place (before building work starts) for designers and subcontractors to raise safety occurrences
You must be satisfied that the principal contractor and principal designer can fulfil the reporting requirements and have a reporting system in place. But the principal contractor and principal designer are responsible for establishing, maintaining and operating those systems, not you.
Location of new drains or private sewers
If you’re constructing a new drain or private sewer, you must prepare a site plan that highlights their location.
You must upload a site location plan with a minimum 1:1250 scale. It must show the approximate location of any proposed connection to a sewer. If there will be no connection, show the proposals for the discharge of the proposed drain or private sewer.
Include the location of any:
- septic tank and associated secondary treatment system
- wastewater treatment system
- cesspool
The plan must also show the approximate location of any proposed surface water discharge.
Drainage precautions
If you’re proposing to build:
- over an existing drain or sewer
- within 3 metres of the centre line of an existing drain or sewer
You must:
- get permission from the sewerage undertaker
- prepare a description of the precautions you’ll take to protect the sewers and make sure the building is safe
You’ll upload the drainage precautions as part of your building control approval application.
You can check the location of the drains and sewers on the sewerage undertaker’s sewer records.
Staged work statement
If you are making a staged application, you must include a staged work statement.
This statement should give:
- details about the proposed building work for the first stage and subsequent stages of the project
- an estimate of when each stage will start
Subsequent stages statement
If we have agreed that you can make a staged application, you must include a subsequent stages statement in each of your subsequent stage applications.
This statement should give:
- details about the proposed building work for this stage and each subsequent stage of the project (after this stage)
- an estimate of when each stage will start
Staged applications
You can apply for building control approval in stages for one higher-risk building.
BSR will only accept staged applications where it is not viable to provide detailed plans for the whole building or development.
First stage application
Apply for the first stage of the application. As part of this application, you must:
- tell us how many stages you want to apply for
- give each stage a name
- upload a staged work statement
If you’re proposing to occupy part of the building while continuing building work, you must also upload a partial completion strategy in the first stage of the application.
Subsequent stage applications
Contact your case officer to submit a subsequent stage application. You will need your building control approval reference.
For each stage of the application, you must:
- tell us the name of the stage you’re applying for
- provide detailed plans and drawings
- provide the other documents that guide us to the relevant parts of the drawings and plans
- provide the partial completion strategy if you have one
- provide a subsequent stages statement
Making your building control application
When your application is ready, apply for building control approval online.
Charges
When your submit your building control approval application, you will need to pay a charge. Charges, hourly rates, and how and when these and other charges apply, are set out in the BSR charging scheme on the Health and Safety Executive website.
Change control and notifiable changes
After we have approved your building control approval application, you can:
- make a change control application for major changes to the proposed work
- tell us about notifiable changes
You’ll need both:
- the building control approval application reference
- access to the email address used for the original building control approval application
To change the email address associated with the application, contact your case officer.
Stopping and continuing building works
When you make a change control application for major changes, you must stop building works related to that change. You must not start the work proposed in the major change application until we’ve assessed and approved it.
Work related to a notifiable change cannot start until after you inform BSR.
You must stop the work if we tell you that you should have applied for a major change instead.
Multiple changes
You must include multiple changes in the same application if the changes are related to each other.
In a staged application, you must complete a separate application or notification for each stage the changes affect.
And you should complete separate change control submissions for changes that are not related to each other. If you include unrelated changes in a single application or notification and we refuse one of the changes, all changes will be refused.
What you need to tell us
For each change, include a brief description of the change and why you consider it to be a major or notifiable change.
You also need to tell us:
- the reason you’re making the change (for example, change of design approach or availability of materials)
- all the advice you sought – even if it disagrees with your proposal
- who gave the advice, their occupation and contact details
- which documents are affected by the change
Upload copies of the updated documents as part of the application or notification.
Upload a compliance explanation. This must explain how the building will comply with all relevant building regulations once the change has been made.
For staged building control applications submit separate applications or notifications for each stage. You must update all affected documents for each of the stages.
We’ll confirm that we have received a change notification or major change application. We’ll do this by sending an email to you and your principal designer and principal contractor.
Charges
When you submit your notification or application, you’ll need to pay a charge. Charges for the notification or change control process are set out in the BSR charging scheme.
Building completion certificates
After your contractors have completed the building work, you can apply for a completion certificate.
You must not allow residents to occupy a high-rise residential building until it has been registered. You need a completion certificate to register a high-rise residential building.
You’ll need both:
- the building control approval application reference
- access to the email address used for the original building control approval application
Documents you must upload
You’ll need to upload a copy of the latest version of these documents when you apply for a completion certificate:
- drawings and plans
- construction control plan
- change control plan
- mandatory occurrence reporting plan
- building regulations compliance statement
- fire and emergency file
If you are applying for a completion certificate for more than one stage of work, upload these documents for each of the stages.
You must also upload copies of:
- your notice of completion with the date the work was completed
- your change control log – showing all changes made to the original documents, cross-reference the changes to the related notifiable change requests or major change applications
- your partial completion strategy, if applying for a partial completion certificate
- your partial occupation plan, if applying for a partial completion certificate
- plans showing locations of any new drains and sewers
- information about drainage precautions if you’ve built over, or within 3 metres of, the centreline of an existing drain, public or private sewer or disposal main
- compliance declarations – signed by each principal designer and principal contractor on the project confirming they have fulfilled their duties
- a client confirmation statement – you must sign this, confirming that to the best of your knowledge the building works meet the relevant building regulations
- a statement confirming that the information about the building has been handed over to the responsible person or principal accountable person, signed by you and that person
For Category B work to an existing higher-risk building, upload updated versions of the documents that were required as part of your initial building control application, and any subsequently requested by BSR.
We will compare the updated documents to the original versions, your change log, and any changes you submitted throughout the build. Your application and documents will be assessed against the relevant building regulations requirements.
Partial completion certificates
You can only apply for a partial completion certificate if you included a partial completion strategy in:
- your original building control application
- an application for a major change
If BSR have not approved your partial completion strategy, you must not allow people to occupy any part of the building while work continues.
If you included a partial completion strategy in your original building control application, you:
- must apply for a completion certificate for each part of the building you have completed
- must not allow people to occupy part of the building until you have a partial completion certificate for that part
Prepare a plan showing the parts of the building that people will occupy while work continues. Upload a copy of that plan as part of your application.
Charges
When you submit your application, you’ll need to pay a charge. Charges for determining completion certificate or partial completion certificate applications are set out in the BSR charging scheme.
BSR will not issue your completion certificate if there are overdue charges related to your application.
Buildings in progress
The following guides will help you understand the building control process for buildings in progress:
- transitional building control approval for work on existing higher-risk buildings
- transitional building control approval for new higher-risk buildings
Keeping us informed (notices and notifications)
After we have approved your building control approval application, you can submit notices and notifications to us.
You’ll need both:
- the building control approval application reference
- access to the email address used for the original building control approval application
To change the email address associated with the application, contact your case officer.
Notices
You must submit these notices at different times during the building works:
- notice of intention to start work
- notice of commencement
- notification of building work reaching a point specified in your inspection schedule
- notification of inspection
For staged applications, the notices and inspection notifications relate to the stage of work. Submit separate notices and notifications to us for each stage.
When your principal contractor gives you one of these notices or notifications, submit them to us through the manage a building control approval application service online.
Notifications
You’ll need to tell us if the client, principal designer or principal contractor changes. You’ll be able to submit a notification through the manage a building control approval application service online. You’ll need to upload the compliance declaration from each outgoing dutyholder.
If the changes affect more than one building control approval application, you’ll need to submit a notification for each application the change affects.
Contact your case officer, to tell us about changes to:
- the contact details for the principal designer or principal contractor
- your contact details – including if you need to change the email address you use to access the online service
Last updated 24 April 2024 + show all updates
-
New fire compliance statement published. Moved partial completion strategy information to new 'Building completion certificates' guide. Moved change control information to new guide, 'Change control and notifiable changes: manage building control approval'.
-
Change added to the 'Buildings in progress section'. Links to new guidance about the building control process for buildings in progress.
-
Update to higher-risk buildings section - link to 'criteria for being a higher-risk building' added. Updates added to 'Staged work statement' section to include what details you should provide in your statement. Updates to 'Subsequent stages statement' section to include what details you should provide for proposed building work. Updated 'Subsequent stage applications' section - new bullet point added 'provide the partial completion strategy...'. Updates to 'Change control and notifiable changes' section new bullet added under 'what you need to tell us' and updated paragraph to include what you must do for staged building control applications. Updated guidance to 'Building completion certificates section' to include what documents you must upload. And a new paragraph added for Category B work to an existing higher-risk building. Update to 'Charges' section of the guidance to include a new paragraph about overdue charges relating to your application.
-
First published.