Criteria for validating, approving or rejecting building control applications

Information which clarifies criteria BSR uses to validate, reject or approve building control applications for higher-risk buildings (HRBs). Aimed at applicants, this update will help improve industry’s engagement with the building control approval process.

A high rise building with three ticks to show gateway Three

The Building Safety Regulator (BSR) is improving the efficiency of the building control approval application process for all building work in higher-risk buildings (HRBs) through providing clarity around policy matters, such as how we:

decide to reject an application
might apply discretion by approving applications with requirements
decide if a new-build project comprises a single HRB or multiple buildings

Whatever the situation, unless the work is ‘exempt’, an ‘emergency repair’, or carried out wholly under a Competent Person Scheme (all defined in law), a customer (applicant) must submit a complete and detailed building control approval application to BSR. This is a legal requirement.

Applications must include crucial details as outlined in regulation 4 (new HRBs) and regulation 12 (existing HRBs) in The Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 (“the Regulations”).

Valid applications are then assessed by BSR and may be:

approved;
approved subject to certain requirements being met once building work has started;
or rejected

Assessing applications

BSR assesses applications against the criteria set out in legislation and the law states that BSR must approve any application unless the application:

is not consistent with requirements under the Regulations
is not sufficiently detailed for BSR to determine if the work would comply with any applicable requirements
- for example, it is not clear whether the work would comply with Part A (structural stability and safety) of the Building Regulations
the application shows the work would contravene any applicable requirements of the Building Regulations
- for example, the work would contravene Part B (fire safety) of the Building Regulations
the application shows that the strategies, policies or procedures in relation to works would contravene requirements under the Regulations

Use of Approval with Requirements

Approval with Requirements (AwR) is another way in which BSR can apply discretion in processing applications. It allows BSR to approve an application subject to specific requirements being met.

These require applicants to provide additional information by a certain stage in a project, without which work cannot lawfully proceed.

The use of AWR is only considered where the design demonstrates substantive compliance with building regulations and missing information is:

minor
clearly defined
does not compromise life safety

AwR criteria and core principles

Criteria used by BSR for AwR

Each application is considered on its own merits. BSR may however consider AwR where:

the design intent is clear and compliant, but minor details need clarification
missing information is not fundamental and is not required for early construction stages
the applicant has provided sufficient information and clear signposting for the BSR’s Multi-Disciplinary Team (MDT) to understand the proposal
deferred information will not result in substantial design changes that could jeopardise compliance
technical complexity reasonably requires reliance on a specialist contractor not yet appointed
the scope of requirements can be clearly defined, with obvious stop points before work continues

AwR will not normally be considered where:

Missing information relates to confirming compliance of work or products. For example, test certificates
Missing information could adversely impact compliance or life safety
There are unresolved technical disputes or conflicting professional opinions
The cumulative impact of multiple AwR undermines confidence in compliance

Core principles of AwR

Case-by-Case Determination: Each decision must reflect individual circumstances and assessors must exercise professional judgement in every case.
Substantive Compliance Required: Applications must show the design will achieve compliance. AwR addresses specific gaps, not fundamental deficiencies.
Risk Transfer: Applicants must agree in writing to requirements and accept that failure to meet them may require design change, or delay construction.
Robust Management Systems: Deferred information must be supported by documentation that demonstrates coherent management systems capable of delivering compliance throughout construction.
Resolved Statutory Consultee Concerns: Unresolved concerns from statutory consultees, particularly fire and rescue services, should not be deferred via AwR.
Regulation 8 or 16 Stop Points: BSR can require an applicant to notify BSR at specific points during the construction phase. These defined stop points are critical in ensuring deferred information is provided and assessed before work continues.
Avoid Duplication with Golden Thread or Gateway 3: AwR should not be used to secure missing information that will be captured through these other mechanisms.
Defensible Rationale: Each AwR decision must be supported by clear reasoning linked to statutory criteria.

Principles for rejecting HRB building control applications

Where the law does not allow BSR to approve an application (either with or without requirements), BSR must reject it.

Each application is again considered on its own merits. But BSR will take the following into account:

Legislative criteria: Whether the application meets the requirements set out in law.
Complexity of the application: Whether the design is complex and likely to need detailed technical discussion with subject matter experts.
Material non-compliance: If the application shows clear non-compliance, the amount of redesign needed to achieve compliance.
Information gaps: The difference between the information provided and what is reasonably needed to demonstrate compliance.
Presentation quality: How well the application is signposted to help BSR find relevant information quickly.
Nature of missing information: And how long it might reasonably take the applicant to provide it.
Impact on life safety: The potential risk where there is evidence of non-compliance or missing information.
Responses to Requests for Information (RFIs):
- number and scope of RFIs issued
- how quickly the applicant responded
- whether responses addressed the issues raised and closed evidence gaps

BSR’s starting point for assessing a Building Control Application

Each case is judged individually – and BSR generally expects:

missing information or design changes required should take no more than 2 working weeks to produce
responses to RFIs should be received within 48 hours, even if only a holding response
if an RFI is not answered within 1 working week will be treated as a nil response

If an RFI response does not provide the information that was originally requested, BSR will request the same information once more.

If the second request is not met, the application will be determined on its merits and is likely to be rejected.

What this means for applicants

To avoid delays or rejection applicants should:

provide complete and well-presented information
respond promptly to RFIs
address any issues raised fully and clearly in a timely manner

How many new-build HRBs can be included on a single application

In the design and construction phase, of a new building the term ‘building’ refers to an entire structure.

This includes cases where individual elements of a structure that may appear to be separated once the building is complete and occupied are however physically attached or joined together. BSR considers the whole structure as one building.

all structures that are ‘attached’ comprise a single building during construction
BSR is of the view that ‘attached’ means structurally attached

In these cases, a single building control application can be submitted to BSR. This because the individual elements of the overall structure are physically (structurally) attached and therefore they constitute a single HRB.

A single application cannot however be permitted for individual HRBs even if they are on the same site and supported by common services, if they are not structurally attached.

The provision of services does not constitute structural attachment. This is because it could for example lead to an interpretation that all structures connected to a common electrical or water supply are viewed as being a single building even if they are not structurally attached.

There is a legal provision related to ‘independent sections’ with services provided from a remote plant room.

However, that provision is not relevant to BSR’s consideration of Building Control Applications as independent sections do not exist in law while a building is being designed and constructed.

Furthermore, this provision requires that any shared plant room is considered as part of each building individually, it does not undermine the principle that independent sections, where they exist, remain defined as separate buildings.

In cases where one remote plant room serves multiple HRBs in design and construction the plant room must be included and considered as a part of each individual application.

Submitting a single application for multiple HRBs would constitute grounds for rejection.