Gateway 2 checklist

Under regulation 5(3), an application is valid if it complies with regulation 4 (regulation 13(3) and regulation 12 for work to existing higher-risk buildings). The BSR says many applications fail validation on basic missing information, so it's worth ticking through this list before submitting.

Documents that must be included (13)

• Site plan ≥1:1250 showing building size/position, boundaries, curtilage buildings and uses, streets r4(2)(a)
• Plans sufficient to show compliance with all applicable building regulations r4(2)(b)(i)
• Competence declaration r4(2)(b)(ii); Sch1 para1
• Construction control plan r4(2)(b)(iii); Sch1 para2
• Change control plan r4(2)(b)(iv); Sch1 para3
• Mandatory occurrence reporting plan r4(2)(b)(v)
• Building Regulations compliance statement r4(2)(b)(vi); Sch1 para4
• Fire and emergency file r4(2)(b)(vii); Sch1 para5
• Partial completion strategy (only if occupying part before completion) r4(2)(b)(viii); Sch1 para6 · if partial occupation is planned
• Client-signed statement agreeing to application and confirming information correct (if applicant is not client) r4(2)(c) · if an agent applies
• Staged work statement / subsequent stages statement with stage descriptions and start estimates r4(3)(b)(i)/(c)(i) · staged applications
• Category B: fire safety compliance information (design principles, concepts, standards, plans for Part B) r12(3)(d) · reg 12 category B, Part B work
• Reference file / document index listing each document and its content BSR guidance: Preparing information for a building control approval application (gov.uk)

Information the application must give (17)

• Application made in writing and signed by the applicant r4(1)/r12(1)
• Client name, address, telephone and (if available) email r4(1)(a)
• Principal contractor and principal designer (or sole/lead) name, address, telephone, email r4(1)(b)
• Statement that the application is made under this regulation r4(1)(c)
• Existing building: current use, incl. use of each storey r4(1)(d)(i) · existing building / reg 12 work
• Existing building height (per reg 5 HRB Descriptions Regs 2023) r4(1)(d)(ii) · existing building / reg 12 work
• Existing building number of storeys (per reg 6 HRB Descriptions Regs) r4(1)(d)(iii) · existing building / reg 12 work
• Existing: number of flats, residential rooms, commercial units r12(1)(d)(iv) · reg 12 (existing HRB) only
• Intended use of the building, including each storey r4(1)(e)(i)
• Height of the HRB (per reg 5 HRB Descriptions Regs) r4(1)(e)(ii)
• Number of storeys (per reg 6 HRB Descriptions Regs) r4(1)(e)(iii)
• Number of flats, residential rooms and commercial units r4(1)(e)(iv)
• Provision for drainage r4(1)(e)(v)
• Where Part H4 applies: precautions for building over drain/sewer/disposal main r4(1)(e)(vi) · if building over a drain/sewer
• Steps to comply with any applicable local enactment r4(1)(e)(vii)
• Statement of when work is to be regarded as commenced (reg 46A 2010 Regs) r4(1)(e)(viii)
• Details of the work the client considers amounts to 15% of the proposed work r12(1)(e)(viii)(bb) · reg 12 (existing HRB) only

What the documents must contain (34)

• Competence declaration: client statement re PD — complied with 11E(2)(b) past misconduct; satisfied PD meets 11F(1),(2) and 11G(1); declaration of truth Sch1 1(2)
• Competence declaration: same for PC incl. 11H(1); declaration of truth Sch1 1(3)
• Competence declaration: for other appointees, client informed that appointer complied with 11E(2)(b) Sch1 1(5)
• Competence declaration signed by client; copies of 11D(8)/(9) records if more than one contractor Sch1 1(6)
• CCP: strategies for planning/managing/monitoring compliance, recording evidence, maintaining golden thread; Part 2A Ch4 duties Sch1 2(a)
• CCP: procedures to assess competence incl. serious sanction checks, past behaviour, preventing repeat Sch1 2(b)
• CCP: co-operation and information sharing between designers/contractors Sch1 2(c)
• CCP: schedule of appointments (PC, PD, client/PC/PD appointees, non-individuals) with responsibility summaries Sch1 2(d)
• CCP: policy for reviewing the CCP Sch1 2(e)
• Change control plan: how changes are identified and to whom reported Sch1 3(1)(a)
• Change control plan: how impacts are identified and considered Sch1 3(1)(b)
• Change control plan: decision-making procedures and whose advice Sch1 3(1)(c)
• Change control plan: how and by when changes are recorded Sch1 3(1)(d)
• Change control plan: procedure to identify notifiable changes vs change control applications Sch1 3(1)(e)
• Change control plan: periodic effectiveness review by dutyholders Sch1 3(1)(f)
• Compliance statement: approach for EACH element to comply with all applicable requirements Sch1 4(a)
• Compliance statement: reasons and why approach is appropriate and ensures compliance (evidence, not intent) Sch1 4(b)
• Fire & emergency file: matters considered re building safety risks Sch1 5(1)(a)
• Fire & emergency file: design proposals ensuring compliance re building safety risks Sch1 5(1)(b)
• Fire & emergency file: management/maintenance for safe evacuation incl. occupant assumptions Sch1 5(1)(c)
• Fire & emergency file: plan of fire and rescue service access and firefighting water supply requirements Sch1 5(2)(a)
• Fire & emergency file: report demonstrating how compliance re building safety risks is to be achieved Sch1 5(2)(b)
• All drawings and plans clearly labelled; only relevant drawings uploaded BSR guidance: Preparing information for a building control approval application (gov.uk)
• Compliance statement names the guidance/standards/design codes used for each element BSR guidance: Preparing information for a building control approval application (gov.uk)
• Compliance statement references drawings and directs BSR to relevant parts BSR guidance: Preparing information for a building control approval application (gov.uk)
• Change control plan records all advice received (including rejected advice) and who gave it BSR guidance: Preparing information for a building control approval application (gov.uk)
• Construction control plan: evidence types, collection method and responsible parties BSR guidance: Preparing information for a building control approval application (gov.uk)
• Construction control plan: competent person schemes used, providers and monitoring BSR guidance: Preparing information for a building control approval application (gov.uk)
• Fire file: plans showing means of escape and warning systems BSR guidance: Preparing information for a building control approval application (gov.uk)
• Fire file: internal fire spread measures BSR guidance: Preparing information for a building control approval application (gov.uk)
• Fire file: external fire spread measures BSR guidance: Preparing information for a building control approval application (gov.uk)
• Fire file: how building safety risks affect the structure (structural fire resistance) BSR guidance: Preparing information for a building control approval application (gov.uk)
• MOR plan: systems of both the PD and the PC, operational before commencement, usable by site staff BSR guidance: Preparing information for a building control approval application (gov.uk)
• Competence declaration: serious sanctions in last 5 years disclosed and client's consideration explained BSR guidance: Preparing information for a building control approval application (gov.uk)

Sources

• The Building (Higher-Risk Buildings Procedures) (England) Regulations 2023, SI 2023/909: legislation.gov.uk/uksi/2023/909
• Building Safety Regulator: "Preparing information for a building control approval application" (GOV.UK)

Compiled from the regulations and guidance as published at the time of writing. Check the current versions on legislation.gov.uk and GOV.UK. This is a screening aid, not legal or compliance advice.