Part 3: Building Act 1984 Building control authorities and building regulations Section 33: Building regulations Proposed use of powers
New paragraph 1A provides that building regulations may make provision about requirements for applications to building control authorities; the giving of notices and certificates; consultation arrangements; for building control authorities to be notified of specified matters; when applications can be deemed to be accepted or refused; and the effect of grants of applications and of certificates.
	Regulations under paragraph 1B will make provision for prescribed documents to be submitted with an application for building control approval, and also provide building control authorities with the ability to set requirements when granting applications for building control approval, such as requiring the submission of revised versions of documents, setting out that work cannot proceed beyond a certain stage without further approvals, and requiring applications for the approval of changes which occur during construction. Building control applications for refurbishment of higher-risk buildings will require plans and prescribed documents proportionate to the proposed refurbishment. Paragraph 1B(5) enables building regulations to set out the requirements for building control applications for the refurbishment of higher-risk buildings in England. Building control authorities will have the ability to request further information and refuse applications where the applicant fails to provide these. Taken together, the powers in paragraphs 1A and 1B will be used to set out in building regulations the procedures for gateways and refurbishment routes for building control approval in higher-risk buildings including the prescribed documents to be submitted with an application, staged approvals, and change control requirements.
	New paragraph 1C makes provision for building regulations to set out procedures for the approval of schemes for persons who can provide certificates as evidence that work complies with building regulations requirements; the suspension or withdrawal of scheme approvals, the time periods for approvals; and arrangements for any prescribed insurance cover which members of schemes must hold, including that cover is provided by a scheme approved by the appropriate national authority (the Secretary of State in England and Welsh Ministers in Wales). For example, regulations might also set out the types of work for which certificates can be provided and the procedure for notifying building control authorities of work covered by certificates, as in the current Building Regulations. It is envisaged that a set of conditions of approval will be published which schemes must meet to be approved. These will be used as the basis for ongoing audit of schemes which will be necessary in order to maintain approvals.
	New paragraph 1D will enable building regulations to set out the information and documents that must be obtained and kept, and the standards to which these documents and information must be stored and maintained. In England it is proposed to use this power to require those designing and constructing higher-risk buildings to develop a golden thread of information to prescribed standards. These prescribed standards are to ensure the information is accessible, accurate, up to date, transferable, secure and has longevity. For example, building information such as plans and prescribed documents submitted at Gateways two and three will need to be stored in the golden thread in a way that meets the prescribed standards. Regulations under this provision may give building control authorities or other prescribed persons the power to require documents and information to be shared with them in certain circumstances. Building regulations under this section will define the prescribed circumstances where information must be shared and the prescribed persons it must be shared with in these circumstances.
	Dutyholders will also be required to report information about safety incidents taking place during building work as part of mandatory occurrence reporting. The safety related incidents amounting to reportable occurrences will be prescribed in secondary legislation. Paragraph 1D gives the power to require reporting and the power to limit the admissibility of information acquired through such reporting in criminal proceedings, equivalent to the limitations set out in section 89(6). Paragraph 1E contains the power to require mandatory occurrence reporting frameworks to be established and operated by dutyholders. Regulations will require establishment and operation of a framework, according to prescribed requirements, that will enable workers on-site to report potential occurrences. In England, Principal Designers and Principal Contractors will be required to use this information to report structural and fire safety occurrences which could cause a significant risk to life safety in higher-risk buildings to the Building Safety Regulator.
	In England it is proposed to require prescribed documents such as a fire and emergency file and construction control plan with certain building control applications for higher-risk buildings using powers in paragraph 1B. Where building regulations provide that any document or information may or must be given, the powers in new paragraph 1F will be used to prescribe the form and content of such documents, the information and other documents that must accompany it, and the way that it is given. This ensures consistency and quality standards. It is linked to paragraph 1D which contains powers to require that the information and documents created and managed by dutyholders to support building safety must meet prescribed standards. Subparagraph (3) allows building regulations to specify that some documents must be given in accordance with a published direction; so, for example, building regulations might prescribe that Gateway two applications in England must be given to the Building Safety Regulator in accordance with a direction published by the Regulator; and the Building Safety Regulator might publish a direction saying that these applications should be submitted through an online portal. New paragraph 1F(4) gives the power to set out in building regulations the prescribed documents that must be submitted with certain prescribed applications. In England, the intention is that the prescribed applications will be certain applications for the refurbishment of higher-risk buildings. Further information or documents can be required by the building control authority. It also sets out that such applications can be refused if a prescribed document is not provided to the building control authority on request.
	When checking work, building control authorities may need to undertake tests or take samples of building materials. It is proposed to use the powers in new paragraph 1G to make provision in building regulations relating to the testing and sampling of work or the building, prohibit the covering up of work within a prescribed time period after a specified event, and allow for the cutting into, laying open of the work or building, or for the pulling down of work in order to test or sample it. For example, in order to check compliance a building control authority may specify that foundations should not be covered over for a period of time, to enable the depth of the foundations to be checked; or may wish to check that cavity barriers have been installed properly before the external cladding is installed, and they are covered up.
	Building regulations will set prescribed timescales within which building control authorities will need to determine applications for building control approval and other applications. There will be projects where it will not be possible to review all the documents and make a decision within the prescribed timescale. Paragraph 1H will allow provision to be made for the building control authority, with the agreement of the applicant, to extend the period within which the application must be determined. In England it is proposed to use this power to provide for prescribed timescales for the following applications: Gateway two, change control, Gateway three and refurbishment of higher-risk buildings.
	New paragraph 1I will enable persons directly impacted by decisions of building control authorities under building regulations to appeal such decisions. For example, where the Building Safety Regulator refuses a building control application for a higher-risk building such as at Gateway two, change control, Gateway three and refurbishment, there will need to be a route of appeal.