Chapter 8

Gateways – HRBs: Changes made before and during construction

This chapter – at a glance

  • Part 2 (Changes before or during construction) of The Building (Higher-Risk Buildings Procedures) (England) Regulations 2023, referred to in this chapter as the Regulations.
  • Key element of the HRB regime that relates to building control and the design and construction/refurbishment of the HRB is the proper recording of changes, particularly ‘major changes’
  • Construction Control Plan (CCP)
  • Change control applications and processes
  • Major changes
  • Notifiable changes
  • Change control applications
  • Assessment and decisions
  • Other change situations requiring notification

For HRB projects that are subject to the new ‘gateway regime’, a central precept is the recording of key design and construction information/documents, exemplified by the Golden Thread principle (as to which see Chapter 9).

However, a key element of this is the proper recording of changes – particularly ‘major changes’ – to the proposed work, some of which may require approval. Such changes are recorded in the ‘Change Control Plan’.

Part 3 of the Regulations (Regulations 18 to 30) deals with changes before and during construction. The BSR will be looking for evidence of a clear change control process during construction and assurance that there is an accurate record of changes. The impact of changes will be carefully considered with appropriate regulatory oversight as part of the multi-disciplinary team’s role.

The Change Control Plan

While the Construction Control Plan (CCP) will describe the strategies for how building work will be managed to maintain Building Regulations compliance, changes to those strategies are almost certainly inevitable.

The purpose of the Change Control Plan is to show:

  • a clear change control process during construction to ensure there is an accurate record of changes; 
  • that the impact of changes is carefully considered and discussed with other parties, as required; and
  • that the BSR has oversight as necessary. 

The dutyholders (as to which See Chapter 5) must carefully consider the implications of changes from an original building control approval application before they are made, and all controlled changes and processes (see Change Control Applications and Processes, below) must be recorded, to ensure that plans and accompanying documents are updated to reflect the building work ‘as built’ rather than ‘as designed’. Maintaining accurate records during construction is vital to ensuring that the Golden Thread is maintained, and that up-to-date and accurate information is handed over and available to the PAP and/or the RP on completion of building work.

Clients have a number of responsibilities in terms of the Change Control Plan:

  • To set out the strategies, policies and procedures adopted to ensure that any controlled change takes place in accordance with change control requirements, and to log each controlled change in accordance with record-keeping requirements;
  • To explain:
  • how and when proposed changes will be identified, and their impacts identified and considered;
  • by whom and to whom they must be reported;
  • the decision-making procedures in respect of such changes, including whose advice is to be sought; and
  • how and when changes will be recorded;
  • Regulation 18 sets out the procedure to determine whether changes are recorded, notifiable, or major, and to identify which changes require notification to the BSR and which changes require a change control application to the BSR before the change can occur;
  • To ensure that all of the above is understood and followed; and
  • That the effectiveness of the change control strategy will be reviewed by the dutyholders.

The Change Control Plan should include a ‘Change Control Log’ (CCL), which must include the following information (set out in Regulation 19):

  • the name of the individual recording the controlled change;
  • a description of the proposed change;
  • an explanation of the reason why the change has been proposed;
  • whether the change is simply recorded (in the CCL), notifiable or major;
  • a list of the name and occupation of each person, if any, whose advice was sought in relation to the proposed change, and a brief summary of any advice provided;
  • an assessment of which agreed document is affected by the proposed change, and confirmation that a revised version has been produced;
  • an explanation, in relation to the proposed change, of how the HRB work will, after the proposed change is carried out, meet all applicable Building Regulations; and
  • the strategies, policies and procedures in relation to the HRB work (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, meet relevant requirements.

The BSR will be looking for evidence of a clear change control process during construction and assurance that there is an accurate record of changes. The impact of changes will be carefully considered with appropriate regulatory oversight as part of the multi-disciplinary team’s role.

Change Control Applications and Processes

Change control applies when one or more of the following controlled changes is proposed:

  • carrying out work otherwise than in accordance with the current plans; or
  • departing from the strategies, policies and procedures described in any other current agreed document.

Before any controlled change can be carried out, Regulation 18(2) requires that the client must ensure that a record (the CCL) is made of the controlled change.

A major change (defined in Regulation 26 and discussed below) is one that would undermine the basis upon which building control approval was granted. If the controlled change is a major change, the client must make a change control application to the BSR. A major change must not be commenced until the change control application is granted.

A notifiable change is one that potentially has an impact on compliance. If the change is notifiable, Regulations 18(2)-(4) require the client to notify the BSR. A notifiable change can be started once the BSR has been notified.

It will be the responsibility of the client, along with the Principal Designer and Principal Contractor, to decide if a controlled change is major, notifiable, or simply requires recording (in the CCL).

A major change in relation to proposed or existing HRB work can include:

  • a change which is a material change of use to any part of a proposed HRB;
  • a change of the proposed use of any part of a proposed HRB 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);
  • a change which increases or decreases the external height or width of a proposed HRB;
  • a change to the number of storeys in a proposed HRB (including adding or removing a mezzanine or gallery floor);
  • a change to the structural design or structural loading of the building;
  • a change to the number or width of the staircases in a proposed HRB, 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;
  • a change to the external wall of a proposed HRB including a wall tie, wall restraint fixing or support system in the wall;
  • a change to any part of the active fire safety measures or passive fire safety measures in a proposed HRB referred to in the fire and emergency file;
  • a change to the layout or dimensions of the common parts within a proposed HRB;
  • a change of any construction product or building element to be used in or on a proposed HRB such that its replacement is of a lower classification under the reaction to fire classification (within the meaning in Regulation 2(6) of the Building Regulations);
  • a change to any assumptions made in the design of a proposed HRB or works to an existing HRB as set out in the Building Regulations compliance statement;
  • a change proposing occupation of any part of the proposed HRB before all the work is completed;
  • a change to the number of flats, residential rooms or commercial units contained in a proposed HRB.

Notifiable changes can include:

  • a change to the construction control plan;
  • a change to the change control plan;
  • a change to the layout of a flat or a residential room in a proposed HRB or in an HRB;
  • a change to the number or dimensions of any openings in any wall, ceiling or other building element for any pipe, duct or cable;
  • a change to the wall tie, wall restraint fixing or support system in any wall or proposed wall (excluding an external wall);
  • a change of any construction product or building element to be used in or on a proposed HRB (or to be used as part of works to an HRB) where its replacement is of the same or higher classification under the reaction to fire classification (within the meaning in Regulation 2(6) of the Building Regulations);
  • any other change to the fire and emergency file, or the fire safety compliance information;
  • a change specified by the BSR as a notifiable change by notice given in accordance with Regulation 25 (change control: BSR power to specify notifiable changes and major changes);
  • a change to the partial completion strategy;
  • a change to a staged work statement or a subsequent stages statement (as defined in Regulation 4(3)) contained in it.

Change control applications

A change control application (under Regulations 20 and 21) must be made by the client, or someone on behalf of the client in writing, signed by the person making the application with a description of the proposed controlled change.  The application must be accompanied by:

  • an explanation of the reason why the change has been proposed; 
  • a list of the name and occupation of each person, if any, whose advice was sought in relation to the proposed change and a brief summary of any advice provided; 
  • where the change is to the number of flats, plans showing the number of flats it is proposed the HRB will contain;  an assessment of which is affected by the proposed change; 
  • a compliance explanation in relation to the proposed change, and 
  • 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 to the information contained in it. 

Assessment and decisions

Pursuant to Regulations 22 to 24, the BSR will confirm the validity of an application, then notify the applicant of the outcome of a change control application within 6 weeks, beginning with the date the application is received or will agree a longer period in writing. If a longer timeframe is needed, then the BSR will review this with the applicant.

Before determining a change control application, the BSR will consult others, as appropriate, in relation to fire safety and sewerage.

Where a change control application is approved, the elements of work subject to the change can start. Regulation 25 permits the BSR to change the process of a controlled change from notifiable to major, or vice versa (but not to downgrade it to a recorded change).

If an application is rejected, the BSR will give the reason for the rejection and there will be procedures to review these decisions.

Other change situations requiring notification

In the event of a new client, or change of circumstances for the client (e.g. death, incapacity, insolvency), Regulations 27 and 28 require that within 14 days, the outgoing client has a duty to provide the new client with various information and documents (Golden Thread information, details of the project and an explanation of arrangements to meet the Building Regulations, and a signed statement that the outgoing client took all reasonable steps to meet their duties. The BSR must be notified by the new client within 28 days of the date they become the client, and various information provided, including a record of the change of client in the CCL, together with confirmation in that log that a revised version of the CCP reflecting the change has been produced.

In the event that a client appoints a new Principal Contractor (or sole contractor) or Principal Designer (or sole or lead designer), Regulation 29 requires that the change be noted in the CCL (and CCP is updated) and the client (or someone on behalf of the client) must send to the BSR:

  • a signed statement within 14 days that the client is satisfied that the person took all reasonable steps to fulfil their duties as under the Building Regulations (failing which, details of steps not taken, and reasons); and
  • new contact details.

Regulation 30 prescribes a procedure to enable the dutyholders to request that a requirement imposed on a building control approval is varied. This procedure is separate to change control to reflect that requirements are different to controlled changes and are imposed by the BSR. This regulation provides further flexibility during the construction phase, should the client consider that part of a requirement can be fulfilled, and work could progress while the rest of the requirement remains in place. In instances where this is the case, they can ask the BSR to vary the requirement, with the process set out at Regulations 30(1) and (2). The BSR has 28 days to determine whether the variation is agreed, although a 28-day extension may be agreed (after which a variation shall be treated as refused).

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