How Adkins Consultants Limited Can Support Your Project
The Building Safety Act 2022 introduced a more rigorous building control regime for higher-risk buildings in England.
At the centre of this regime are three regulatory gateways. These place building and fire safety considerations at critical points during planning, design, construction and completion.
The gateways are intended to prevent a project from progressing until the necessary safety information has been prepared, coordinated and properly considered. Gateway 2 and Gateway 3 are regulatory hold points:
Higher-risk building work must not begin without the necessary Gateway 2 building control approval.
A completed building must not be occupied until the Gateway 3 requirements have been satisfied and the necessary completion certification has been obtained.
Successfully navigating this process requires much more than submitting documents at the end of each project stage. It requires early planning, competent appointments, coordinated design information, effective change control and a reliable golden thread of information.
Adkins Consultants Limited can provide practical and technical support throughout this process, helping clients and project teams understand their responsibilities and prepare for each gateway.
What Is A Higher-Risk Building?
For the design and construction regime, a higher-risk building will generally be a building in England that:
Is at least 18 metres high or has at least seven storeys; and
Contains at least two residential units, or is used as a hospital or care home.
The statutory definition should always be considered carefully at the beginning of a project.
Mixed-use buildings, connected structures, extensions, conversions and work to existing buildings may require more detailed assessment. The definition used during design and construction is also not identical in every respect to the definition applying during occupation.
Where a project is subject to the higher-risk building regime, the Building Safety Regulator, or BSR, becomes the relevant building control authority.
Gateway 1 – Planning And Fire Safety
Gateway 1 occurs during the planning application process.
It is principally concerned with fire safety matters that affect land-use planning and whether the proposed development can be safely accommodated on the site.
For relevant developments, the BSR acts as a statutory consultee to the local planning authority. The planning application will normally need to be accompanied by a fire statement.
This should address matters such as:
The principles of the proposed fire strategy;
Access for fire and rescue services;
Water supplies for firefighting;
The relationship between the building and adjoining land;
Evacuation principles;
The location of escape routes;
Fire service access points; and
The intended approach to managing fire safety.
Gateway 1 is not a detailed Building Regulations approval. Its purpose is to ensure that fundamental fire-safety considerations are addressed before planning decisions are made.
Poor decisions at this stage can create substantial difficulties later. For example, the building’s position, site access, massing or escape strategy may restrict the development of a compliant fire strategy.
How Adkins Consultants Can Help At Gateway 1
Early technical advice can identify potential problems before the planning design becomes fixed.
Adkins Consultants can assist by:
Reviewing the proposed building and identifying potential regulatory risks;
Advising whether the higher-risk building regime is likely to apply;
Coordinating structural, fire-safety and Building Regulations considerations;
Reviewing the developing design for significant compliance issues;
Supporting the preparation of appropriate planning-stage information;
Advising on fire-service access and the relationship between the building and its surroundings; and
Helping the design team prepare for the more detailed requirements of Gateway 2.
Early involvement can reduce the risk of planning decisions creating technical or regulatory constraints that are expensive to resolve later.
Gateway 2 – Building Control Approval Before Construction
Gateway 2 is the building control approval stage and represents a major regulatory hold point.
The client must ensure that approval has been obtained from the BSR before higher-risk building work begins. Starting controlled work without the necessary approval may result in enforcement action and could constitute a criminal offence.
The Gateway 2 submission must demonstrate that the proposed design complies with the applicable requirements of the Building Regulations.
It must also demonstrate how the project will be managed, how competence will be assessed, how changes will be controlled and how compliance will be monitored during construction.
A Gateway 2 application will normally include:
Detailed drawings and plans;
Design specifications and supporting calculations;
A competence declaration;
A construction control plan;
A change control plan;
A mandatory occurrence reporting plan;
A Building Regulations compliance statement;
A fire and emergency file;
A staged work statement, where relevant;
A subsequent work statement, where relevant;
A partial completion strategy, where phased occupation is proposed; and
A client authorisation statement, where applicable.
The BSR will first consider whether the application is valid. Missing, inconsistent or insufficient information may result in the application being invalidated.
Once validated, the submission proceeds to technical determination. The BSR may establish a multidisciplinary team and consult organisations such as the relevant fire and rescue authority and sewerage undertaker.
The application may then be:
Approved;
Approved subject to requirements; or
Rejected.
Where approval is granted subject to requirements, specified design information may need to be provided later. Work relating to those outstanding elements must not begin until the requirements have been satisfied and any necessary approval has been obtained.
How developed Must The Design Be?
Gateway 2 should not be treated as approval of a concept design that will be resolved after construction starts.
The submitted design must be sufficiently developed and coordinated to demonstrate compliance with the functional requirements of the Building Regulations.
Incomplete designs, contradictory drawings or unresolved fire and structural matters can cause:
Invalidation of the application;
Requests for further information;
Extended determination periods;
Approval subject to additional requirements; or
Rejection of the application.
The Gateway 2 programme should therefore allow sufficient time for design development, coordination, checking and regulatory review before the proposed construction date.
How Adkins Consultants Can Help At Gateway 2
Adkins Consultants can support clients and design teams with the technical and management information required for a coordinated Gateway 2 submission.
Our support can include:
Acting as or advising the Principal Designer under the Building Regulations;
Reviewing whether designers have the appropriate skills, knowledge, experience and organisational capability;
Coordinating the work of architects, engineers and specialist designers;
Reviewing designs against relevant Building Regulations requirements;
Preparing structural designs, calculations and supporting technical information;
Identifying gaps, inconsistencies and unresolved interfaces within the design;
Assisting with the Building Regulations compliance statement;
Supporting the preparation of construction and change control plans;
Assisting with golden-thread information management;
Reviewing staged application proposals;
Liaising with the BSR and other building control bodies; and
Helping the project team respond to technical queries raised during determination.
Our multidisciplinary experience in building surveying, structural engineering, project management and regulatory compliance enables us to consider the project as a coordinated whole rather than as a collection of separate design packages.
Construction Following Gateway 2
After Gateway 2 approval, the approved submission documents become the agreed documents for the project.
These establish the basis against which construction and subsequent design changes will be assessed.
The BSR must be notified before work starts. For a new higher-risk building, notice will generally need to be served at least five working days before work commences.
A further notice must be provided within the required period after the higher-risk building work has started.
During construction, the BSR and its multidisciplinary team may undertake scheduled or unscheduled inspections.
These inspections do not remove responsibility from the client, Principal Designer, Principal Contractor or other dutyholders. The project team remains responsible for ensuring that the work complies with the Building Regulations and the approved design.
Change Control During Construction
Changes are common on construction projects, but changes to a higher-risk building must be carefully assessed, classified, recorded and controlled.
A change should not be treated as a simple drawing revision or site instruction without first considering its effect on regulatory compliance.
Depending upon its nature, a change may need to be:
Recorded within the project’s change control log;
Notified to the BSR; or
Submitted to the BSR for approval before the affected work is undertaken.
Major changes require approval before the relevant work proceeds.
The change control record should clearly explain:
What has changed;
Why the change is required;
Who proposed and assessed the change;
Who authorised it;
Its effect on Building Regulations compliance;
Its effect on fire and structural safety;
Whether other parts of the design are affected;
Whether consultation was required; and
Whether BSR notification or approval was obtained.
Uncontrolled substitutions or undocumented design development can undermine the basis of the Gateway 2 approval and create serious problems when the completion certificate application is made.
How Adkins Consultants Can Help During Construction
Adkins Consultants can assist with maintaining compliance throughout construction by:
Reviewing proposed design changes;
Assessing the effect of changes on structural and regulatory compliance;
Coordinating designers affected by a proposed change;
Supporting the classification and documentation of changes;
Maintaining or reviewing design records;
Monitoring whether construction information remains consistent with the approved design;
Advising the client and Principal Contractor where concerns arise;
Supporting responses to BSR inspections and requests for information; and
Helping ensure that the golden thread remains accurate and current.
Early review is particularly important. A change should be assessed before materials are ordered or work is carried out, rather than retrospectively after installation.
Mandatory Occurrence Reporting
Higher-risk building projects must operate an effective mandatory occurrence reporting system.
This system should allow structural and fire-safety occurrences to be identified, escalated and reported appropriately.
The reporting arrangements should be understood by those working on the project and should provide clear procedures for:
Identifying a potential safety occurrence;
Informing the relevant dutyholders;
Investigating the matter;
Taking immediate protective action where necessary;
Reporting qualifying occurrences to the BSR; and
Recording the resolution and any resulting design changes.
Adkins Consultants can help project teams establish reporting procedures and assess the technical significance of structural, design and Building Regulations concerns.
Gateway 3 – Completion And Occupation
Gateway 3 takes place when the relevant building work has been completed.
It is the final regulatory hold point before occupation.
The client or applicant must submit a completion certificate application to the BSR. The application must demonstrate that the completed work complies with the Building Regulations and reflects the approved design, including all properly controlled changes.
The Gateway 3 submission will normally include:
A notice confirming the completion date;
As-built plans and drawings;
The current construction control plan;
The current change control plan;
The completed change control log;
The mandatory occurrence reporting plan;
The Building Regulations compliance statement;
The fire and emergency file;
The required compliance declarations;
A client authorisation statement, where applicable; and
Evidence that the required fire-safety and as-built information has been provided to the relevant person.
Compliance declarations will normally be required from the relevant Principal Designer or sole or lead designer and from the Principal Contractor or sole contractor.
Where a required declaration has not been provided, the client will need to explain why.
The BSR will:
Validate the application;
Consider the submitted information;
Inspect the completed higher-risk building;
Determine whether the work complies; and
Decide whether to issue a completion certificate.
The statutory determination period is generally eight weeks, although a longer period may be agreed.
Physical completion does not, by itself, permit occupation. The necessary completion certification and, for a residential higher-risk building, registration requirements must be satisfied before residents occupy the building.
Where phased occupation is proposed, an appropriate partial completion strategy will normally need to have been approved. The part proposed for occupation must be safe and capable of operating without relying upon incomplete work elsewhere.
How Adkins Consultants Can Help At Gateway 3
Preparation for Gateway 3 should begin during design and continue throughout construction. It should not be left until practical completion.
Adkins Consultants can assist by:
Reviewing the project’s readiness for the completion certificate application;
Coordinating as-built design information;
Reviewing whether the completed work is consistent with the approved design;
Checking that design changes have been properly recorded;
Supporting the preparation of compliance declarations;
Reviewing the Building Regulations compliance statement;
Assisting with the fire and emergency file;
Reviewing structural completion and certification information;
Identifying gaps in the golden thread;
Supporting the transfer of required information to the relevant person; and
Assisting with responses to queries raised during the BSR’s determination.
Maintaining records throughout construction can substantially reduce the risk of delay at Gateway 3.
The Golden Thread Of Information
The golden thread runs through all three gateways and continues into the occupation of the building.
It is more than an electronic filing system. It is an accurate, accessible and controlled record of the information needed to understand the building, demonstrate compliance and manage building safety.
The golden thread should clearly show:
What was designed;
The standards and assumptions used;
Why important design decisions were made;
What was submitted and approved;
What was constructed;
What changed during construction;
Who assessed and authorised each change;
What testing and inspection evidence was obtained; and
What information is required for the building’s safe occupation, maintenance and alteration.
Trying to reconstruct this information shortly before Gateway 3 can result in gaps, conflicting records and substantial delay.
Adkins Consultants can help establish practical golden-thread procedures at the beginning of a project and support their continued use throughout design and construction.
The Importance Of Competent Appointments
Clients must appoint people and organisations that are competent to undertake their roles.
Competence is not limited to professional qualifications. It includes the appropriate:
Skills;
Knowledge;
Experience;
Behaviours; and
Organisational capability.
The client must also provide sufficient time and resources for the work to be properly planned, managed and monitored.
Adkins Consultants can assist clients in understanding these responsibilities, defining appointments and identifying the technical resources needed for the project.
Practical Steps For A Successful Gateway Strategy
Clients and project teams should:
Confirm at the outset whether the project falls within the higher-risk building regime.
Appoint competent designers and contractors as early as possible.
Clearly distinguish the CDM Principal Designer role from the Building Regulations Principal Designer role.
Establish the golden-thread information system at the start of the project.
Integrate fire, structural and Building Regulations considerations into the planning design.
Develop and coordinate the design before submitting the Gateway 2 application.
Prepare the management plans alongside the technical design.
Allow realistic time for validation, technical assessment and responses to BSR queries.
Assess proposed changes before the affected work is carried out.
Maintain accurate as-built records throughout construction.
Collect testing, inspection and compliance evidence as work proceeds.
Plan the Gateway 3 submission well before practical completion.
Prevent occupation until all applicable certification and registration requirements have been satisfied.
Why Appoint Adkins Consultants Limited?
Higher-risk building projects require effective coordination between planning, architecture, engineering, fire safety, construction and building control.
Adkins Consultants provides multidisciplinary support across these areas, including:
Principal Designer services under the Building Regulations;
Principal Designer services under the CDM Regulations 2015;
Building Regulations compliance advice;
Structural engineering and technical design;
Building surveying;
Design-risk management;
Golden-thread and project information support;
Change-control advice;
Project management;
Technical reviews;
Building control liaison; and
Training and continuing professional development.
Our role is to help clients and project teams identify problems early, coordinate the required information and maintain a clear route to compliance throughout the project.
The BSR remains responsible for determining Gateway 2 and Gateway 3 applications. However, an experienced and coordinated professional team can significantly improve the quality of the submission and reduce the risk of avoidable delays.
Speak To Adkins Consultants
Whether you are considering a new higher-risk building, planning alterations to an existing building or preparing a Gateway 2 or Gateway 3 submission, early professional advice is essential.
Adkins Consultants Limited can review your project, identify the likely regulatory requirements and provide a tailored scope of support.
Contact our team to discuss:
Higher-risk building status;
Building Regulations Principal Designer appointments;
Gateway strategies;
Structural and technical design;
Golden-thread information;
Change-control procedures; and
Preparation for Building Safety Regulator applications.
Conclusion
The three-gateway process changes building safety from a final inspection exercise into a continuous system of design assurance, regulatory approval, construction control and documented accountability.
Gateway 1 introduces fire safety into the planning process. Gateway 2 requires the proposed design and management arrangements to be demonstrated before construction begins. Gateway 3 requires evidence that the completed building complies before it moves into occupation.
Projects that treat the gateways as isolated submission deadlines are likely to encounter difficulties.
Projects that integrate competence, design coordination, structural and fire-safety considerations, change control and golden-thread information from the outset will be much better placed to progress successfully.
Adkins Consultants Limited can provide the technical knowledge, regulatory support and project coordination needed to help clients and project teams navigate this demanding process.
This article provides general information only and does not constitute legal or project-specific advice. The applicable legislation, statutory definitions, transitional provisions and current Building Safety Regulator guidance should be considered for each individual project.
