Everything You Need to Know About Gateway 3 and Building Safety Act

The Building Safety Act 2022 represents a monumental shift in the approach to constructing, maintaining, and ensuring the safety of higher-risk residential buildings in the UK. Born out of the urgent need for reform highlighted by the Hackitt Report and subsequent inquiries following the Grenfell Tower fire, this legislation acknowledges a fundamental truth: the UK’s building safety was in crisis. Competency, quality assurance, and clear delineation of roles and responsibilities throughout the building lifecycle were critically lacking.

The new regulatory framework aims to rectify these deficiencies by establishing a robust, transparent system for building management. It is designed to empower property owners with the tools they need to maintain high safety standards and provide the home-building industry with a clear and effective framework to deliver homes that are not only of high quality but, more importantly, safe to inhabit. Under this new legislation, those responsible for the design, construction, and completion of higher-risk buildings must adhere to strict competency requirements. This means that every individual involved must possess the necessary skills, knowledge, and experience to fulfil their roles effectively. Furthermore, companies must demonstrate that their organisations have the appropriate capabilities, particularly in digital and technological skills—areas that are proving to be challenging for many.

In October 2023, Gateway 3 applications were introduced as a pivotal part of the Building Safety Act’s roadmap. Under these new guidelines, regulators will require all higher-risk residential buildings (HRRBs) to meet all applicable building safety regulatory framework requirements before any completion certificates can be issued.

This rigorous demand presents significant challenges, particularly when critical information is fragmented across various systems and stakeholders. In many instances, essential documents have not yet been digitised; they remain in hard copy or outdated electronic formats like PDFs. This situation makes it exceedingly difficult to ascertain what information might be missing, especially when there is no consolidated view of the available data.

What are the Gateways of the Building Safety Act?

To enhance oversight and regulatory control over higher-risk buildings, including residential buildings, care homes, and hospitals that are 18 metres or more in height or have at least seven storeys, the Building Safety Act introduces three new critical decision points, known as “Gateways.” These Gateways are strategically positioned at pivotal stages of the design and construction process to ensure comprehensive safety checks and compliance.

These Gateways operate as a series of inspections, evaluations, and assessments, each serving as a crucial “stop/go” decision point. At these stages, potential safety risks can be identified and addressed before the next phase of the project can proceed, ensuring that buildings are safe before construction begins, is completed, and before they can be occupied.

Gateway 1: Planning Application Stage

The first Gateway occurs at the planning application stage. Here, the focus is on integrating fire safety considerations into the design proposals of relevant buildings. Before planning permission can be granted, the following must be demonstrated:

• Local Planning Authorities (LPAs) are required to consult with the Building Safety Regulator (BSR) for buildings that fall under the scope of this legislation.
• A fire statement must be provided for all full planning applications, detailing how fire safety is incorporated into the design.
• The BSR will then assess each application and provide advice to the LPA regarding fire safety matters as they pertain to land use planning.

By requiring these steps, Gateway 1 ensures that fire safety is a foundational consideration right from the outset of the planning process.

Gateway 2: Before Construction Begins

The second Gateway is positioned before any building work commences. At this stage, construction cannot begin until the BSR is satisfied that the proposed design meets the functional requirements of building regulations and that a building control approval application has been submitted and approved. To pass Gateway 2, applicants must:

• Provide a comprehensive outline of the planned work, including details about the building, the site, and key individuals involved, such as the client, principal contractor, and principal designer.
• Include standard building information such as a site location plan, boundaries, and a detailed fire and emergency file.
• Submit a construction control plan that outlines how building work will be managed to ensure compliance with building regulations, along with a building regulations compliance statement explaining the rationale behind the adopted approach.
• Provide a change control plan to manage any proposed changes and, where applicable, a partial completion strategy.

Gateway 2 thus ensures that all aspects of the construction are meticulously planned and aligned with safety regulations before the first brick is laid.

Gateway 3: Completion of Building Work

The third and final Gateway occurs upon the completion of building work. At this stage, a completion certificate application must be submitted and signed by the client, principal designer, and principal contractor. This application must confirm that, to the best of their knowledge, the higher-risk residential building (HRRB), as constructed, complies with all applicable building regulations.

To obtain the completion certificate, there must be sufficient evidence that the constructed building reflects the approved plans and meets all regulatory requirements. Only after passing Gateway 3 can the new building be registered with the BSR, and only once registration is complete can the building be legally occupied.

Gateways: New Decision Points During Design and Construction

What is Gateway 3 of the Building Safety Act?

Gateway 3 serves as the final checkpoint in the Building Safety Act, marking the decisive “stop/go” point before asset owners can begin moving residents into a higher-risk building. It is the critical juncture at which the completed construction must demonstrate full compliance with all applicable building regulations. This stage is a rigorous process designed to ensure that the highest standards of safety have been met before occupancy is allowed.

Upon the completion of all building work, contractors are required to submit a Gateway 3 application, which includes a comprehensive building safety case, to the Building Safety Regulator (BSR). This submission must provide clear evidence that the construction aligns with regulatory requirements and that a high standard of construction quality has been achieved. Moreover, it must be accompanied by signed declarations from the principal designer and principal contractor, affirming that the building complies with all regulations.

Building Safety Act Gateway 3 Requirements

To successfully pass Gateway 3, the application must include a detailed and exhaustive set of documents and evidence. Here are the critical components that must be provided:

1. As-Built Drawings and Documentation:
   • The Gateway 3 application should contain comprehensive as-built drawings of the building, capturing every detail of the completed construction. These drawings must reflect all on-site changes to the original engineer and architect drawings, ensuring that what has been built corresponds exactly to what was planned and approved.
   • Additionally, the documentation must include records of what has been installed on site, specifying the locations of all mechanical, electrical, and public health systems and components. This level of detail is crucial for verifying that all systems are installed correctly and comply with safety regulations.
2. Safety Case Report:
   • As part of the handover process, contractors are required to prepare a Safety Case Report. This report is a comprehensive document that demonstrates that the building is safe for occupation and meets all relevant safety standards. It should provide a thorough analysis of the building’s major fire and structural risks, detailing the measures taken to identify, mitigate, and manage these risks effectively.
   • The Safety Case Report must also outline how safety is being managed and controlled on an ongoing basis, providing assurance that all potential hazards have been accounted for and addressed. This proactive approach to risk management is essential for maintaining high safety standards throughout the building’s lifecycle.
3. Golden Thread of Information:
   • All information submitted as part of the Gateway 3 application must be meticulously maintained and handed over to the building owner. This ensures the continuity of the golden thread of information.
   • The golden thread is vital for ongoing safety management, as it allows building owners and managers to have a clear and comprehensive understanding of the building’s design, construction, and safety features. This transparency is key to preventing safety risks and ensuring the building remains compliant with regulations over time.

Preparing for Building Safety Act Gateway 3

To successfully submit a Gateway 3 application, contractors must provide key building information, as-built records, and safety case documents in a digital format to the asset owner. This digital handover is essential for obtaining a Completion Certificate and ensuring that clients always have access to accurate, high-quality, and up-to-date information about the building. Such transparency is crucial for effectively managing building safety risks throughout the lifecycle of the asset.

Traditionally, handover information has been scattered across various formats, systems, and platforms, including contractor Common Data Environments (CDEs) or Quality Management systems. While these systems can manage construction project data, they often lack a unified approach specifically tailored to the requirements of the Building Safety Act and Gateway 3. Without a dedicated platform to compile a comprehensive building safety case and maintain the golden thread of information, contractors and asset owners may struggle to understand the completeness and compliance of their data.

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Supporting Gateway 3 Compliance with LB Aproplan

While LB Aproplan is not a comprehensive Gateway 3 management platform, it offers valuable tools that can greatly assist contractors in preparing for and navigating the requirements of the Building Safety Act. LB Aproplan specialises in snagging, checklists, and compliance workflows, which are critical in ensuring that all aspects of the construction process meet the necessary standards before, during, and after the Gateway 3 stage.

Contractors can use LB Aproplan to efficiently manage on-site tasks, capture real-time data, and maintain an organised record of inspections and safety checks. This approach helps in identifying and addressing potential issues early, ensuring that all snagging and checklist items are resolved before proceeding to the final compliance checks required for Gateway 3.

Additionally, LB Aproplan can play a vital role in supporting the creation of a robust safety case, which is a critical component following Gateway 3. By providing a platform for detailed safety documentation and ongoing monitoring, LB Aproplan helps contractors demonstrate that they have taken all necessary precautions to ensure the building’s safety and compliance with regulations.

Project Success and Digital Solutions

Using innovative technologies and digital solutions like LB Aproplan can significantly improve the construction process, providing clear oversight and helping to maintain high safety standards. LB Aproplan is a powerful tool for managing snagging, checklists, and safety documentation, providing contractors with the support they need to meet the Building Safety Act’s stringent requirements and simplify the path to Gateway 3 compliance.

For a closer look at how LB Aproplan can assist with your construction management needs, book a demo with one of our experts.