Gateway 3 applications were introduced in October 2023 as part of the Building Safety Act roadmap. The Act specifies that regulators will require that all higher-risk residential buildings (HRRBs) comply with all applicable requirements of the building safety regulatory framework before completion certificates can be approved.
This can be particularly challenging if the information is scattered across disparate systems and stakeholders. In some cases, documents haven’t even been digitised yet and are still in hard copy or are in electronic form such as PDF, and it can be unclear what information may be missing when you don’t have a clear picture of what you have.
This blog discusses Gateway 3, what is required at the application stage, and how best to collate information ready to submit to the Building Safety Regulator (BSR) and secure a Completion Certificate, all within the context of the Building Safety Act 2022.
Brief overview of the Building Safety Act 2022
The Building Safety Act 2022 marks a groundbreaking step change in the construction, maintenance and safety of higher-risk residential buildings. The Hackitt Report and resulting enquires after the Grenfell fire recognised that the UK was in a building safety crisis, and that competency, quality assurance, and roles and responsibilities across every stage of the building lifecycle were falling short.
Our recent research further highlighted how the building safety crisis is still affecting some UK non-freehold residents, which you can read more about here.
The changes to regulation aim to promote better building management by owners, and offer the home-building industry a clear and effective framework to deliver high-quality homes that are safe to live in. This new regulatory framework requires that those responsible for the design, construction and completion of higher-risk buildings must:
Meet competency requirements: All appointed individuals working on higher-risk buildings must possess the necessary skills, knowledge, experience and conduct to fulfil their roles. Companies must also be able to demonstrate their organisations have the right capabilities, including digital and technology skills which is proving to be a challenge. According to the latest Construction Skills Network (CSN) report, 58% of organisations are struggling to hire the skills they need. This will mean they will need to train from within to meet requirements, which takes time, effort and can be costly.
Put statutory duty holders in place: These dutyholders will be held accountable during the design and construction phases of buildings. Gateways 2 and 3 will ensure a thorough inspection of building regulations requirements, guaranteeing that building safety is thoroughly considered at every stage of the design and construction process.
Create a ‘golden thread’ of information: This requires that all building information and processes are up to date, accurate and stored digitally to manage action, and audit documents for gateway approval and compliance. This ensures the availability of crucial data for effective decision-making for maintenance and safety management.
Maintain mandatory reporting: Fire and structural safety occurrences for the design, construction and occupation stages of high-rise residential buildings must capture any safety risk and be reported to the newly established Building Safety Regulator. This reporting requirement aims to enhance transparency and facilitate timely action in addressing potential risks.
Building Safety Act timeline
Implementation of the Act’s detailed provisions is occurring over an 18-month period through secondary legislation. For example, on 6th April 2023, ‘The Higher-Risk Buildings (Key Building Information etc.) Regulations 2023’ legislation came into force.
Now, the Principle Accountable Person (PAP) — the person responsible for the repair of the structure and exterior of a building — will have a duty to both register Higher-Risk Buildings (HRBs) and provide high-level information (Key Building Information) to the BSR. For in-use buildings this has to be done by the 30th September and information must be digital. As a result, we’re finding that asset owners are trying to painlessly digitise all their building information in one place so that they can easily account for all their information and submit it to the regulator to demonstrate compliance.
As stakeholders prepare for upcoming changes in legislation including Gateway 3, come October 2023 they are having to define new ways of working to fulfil their obligations, and this is across the construction value chain. Three gateways were established as part of the BSA 2022 to provide three key stages or checkpoints for delivering against requirements in design/planning, pre-construction and handover.
What are the gateways for the Building Safety Act?
In order to gain more oversight and regulatory control over higher-risk buildings (residential buildings, care homes and hospitals which are 18 metres or more in height, or at least seven storeys), the Building Safety Act introduces the implementation of three new decision points or "gateways" strategically placed at crucial points of design and construction.
The new gateways follow a series of inspections, evaluations, and assessments of the design and construction process at designated stop/go decision points. At these points, any potential safety risks can be identified and rectified before building work begins, is completed, and before buildings can be occupied.
Gateway 1: at the planning application stage. Fire safety considerations inherent within the design proposals of relevant buildings must be demonstrated before planning permission is granted. This means that:
- Local planning authorities (LPAs) must seek advice from the BSR for relevant buildings.
- A fire statement for full planning applications must be provided.
- The BSR will assess each application and provide advice to the LPA, in relation to fire safety matters as they relate to land use planning consideration.
Gateway 2: before building work starts. Construction cannot begin until the BSR is satisfied that the design meets the functional requirements of the building regulation, and a building control approval application has been submitted and approved. Applications you will need to:
- Provide a comprehensive outline of the work that will be carried out; information about the building itself and the people involved in the building, such as the client, principal contractor and principal designer.
- Set out standard building information, such as the site location plan and boundaries, and a fire and emergency file.
- Provide a construction control plan (setting out how building work will be managed to maintain building regulations compliance), and a building regulations compliance statement (including reasons for the approach adopted).
- Provide a change control plan to show how any proposed changes will be considered; and where relevant, a partial completion strategy.
Gateway 3: when building work is completed. A completion certificate application must be submitted and signed by the client, principal designer, and principal contractor — confirming that to the best of their knowledge, a HRRB, as built, complies with all applicable requirements of the building regulations.
For the completion certificate to be approved, there must be sufficient evidence to support that what was built reflects the approved plans, and that requirements of the building regulations have been met.
Only once Gateway Three has been passed can the new building be registered with BSR. The building can only be occupied after registration is completed.
Gateways: New decision points during design and construction
New regulatory procedures outlined in the Building Safety Act introduce decision points known as Gateways to strengthen oversight and regulatory control over high-rise buildings.
What are the benefits of a gateway review?
Having a Gateway review system in place ensures that safety is prioritised at every stage of the design and build. Critical safety considerations must be taken into account, addressed and met. By introducing stop/go decision points, the gateway process enables effective risk management throughout the project lifecycle. It allows for thorough inspections, evaluations, and assessments of the design and construction process, minimising the potential for safety and quality-related risks, as well as facilitating early identification of issues of non-compliance. This way, any potential safety risks can be identified and rectified before they become a major issue or prevent delays and additional costs that could arise in later stages of construction.
Most importantly, gateway consultation and oversight strengthen competency and accountability among all stakeholders involved in the building process. The involvement of specialists, technical experts, industry veterans, local authorities and fire and rescue services ensures that the right competencies are in place among accountable persons. While regulatory oversight safeguards compliance with established codes and requirements.
In addition, gateways not only serve as vital checkpoints for assessing compliance with regulations, but it also sets new standards and best practices that will help maintain and improve the overall quality of design and construction reducing the likelihood of errors and ultimately providing better homes for people to live in.
This results in safer buildings for occupants and demonstrates a commitment to building safety and quality so residents can feel assured that the place in which they live is safe and prioritises their well-being.
What is gateway 3 of the building safety act?
Gateway 3 acts as the final checkpoint at the completion stage of a building acting as the decisive stop/go point before asset owners can start moving residents into a higher-risk building.
When all building work has been done, contractors must submit a Gateway 3 application including a building safety case to the Building Safety Regulator to demonstrate that the completed construction aligns with building regulation requirements and that a high standard of construction has been delivered. Additionally, signed declarations from the principal designer and principal contractor stating that the building is compliant with regulations must be submitted.
Once all accountable parties are on the record and the Building Safety Regulator is satisfied that the design and construction of the building are compliant or any breaches of building regulations have been addressed, they will issue a Completion Certificate, therefore, deeming the building safe to occupy and fulfilling the requirements set forth by the Building Safety Act 2022. After this, information must also be handed over to the building owner so that a building can be registered, and key building information submitted ahead of occupancy.
Unlock Gateway 3 at Project Completion
Gateway 3 compliance for higher-risk residential buildings is made easy with our fully managed solution and dashboard.
Building Safety Act Gateway 3 requirements
The Gateway 3 application should contain as-built drawings of the building, including records of on-site changes to engineer and architect drawings, as well as what has been installed on site including locations of all the mechanical, electrical and public health systems and components installed.
Additionally, as part of handover, contractors must prepare a Safety Case Report that demonstrates that a building is safe and meets all the relevant safety standards. This should include a building’s major fire and structural occurrences to ensure potential risks have been identified and mitigated and details on how they are being managed and controlled.
All this information must be kept up to date and handed over to the building owner to support a golden thread of information and ongoing safety management.
Preparing for Building Safety Act Gateway 3
In order to submit the Gateway 3 application, the contractor is responsible for providing the key building information, as-built records and safety case documents in a digital format to the asset owner. This information is crucial for the contractor to obtain a Completion Certificate, as well as ensuring that when information is handed over to clients, they always have access to accurate, high-quality, and up-to-date details about the building to help them manage building safety risks.
Traditionally, handover information is captured in various formats, systems, and platforms, including contractor Common Data Environments (CDEs) or Quality Management systems. While these systems effectively manage construction project data, they do not offer a consolidated data set specifically tailored to the Building Safety Act requirements and Gateway 3 or have a template for bringing together a building safety case and the golden thread of information. Having a dedicated platform for this means they can readily understand the information they have and how compliant they are.
The digital handover solution by Zutec provides a streamlined approach to managing building safety information and helps contractors bring together and understand the information required to fulfil obligations set out by the Building Safety Act at the handover stage of an asset. By working closely with our customers and information management consultants, we have defined a template to deliver the requirements set out in Gateway 3. Our team will manage the data upload for the contractor into a dedicated Gateway 3 platform and dashboard extracted from all data sources, including their own CDE, so they can focus on project delivery.
By bringing all Gateway 3 data together in one place, using the Gateway 3 template, contractors and building owners can get access to a holistic view of all building information and deliverables in a single dashboard that demonstrates how compliant your documentation is, and aligns with building safety and a golden thread. Embracing innovative technologies and digital solutions like this can significantly enhance the handover process while streamlining Gateway 3 approval management.
Stakeholders can obtain real-time visibility of a project via the Gateway 3 dashboard to track progress and compliance, while also being able to identify and analyse gaps in information so these can be filled to manage risk.
With this instant overview, contractors and developers can quickly identify what is expected, what’s in progress, or validated, and the level of compliance reached. Ultimately, this will simplify gaining Completion Certificates while enhancing overall project success and building safety management.
To take a tour of our Gateway 3 Management solution, book a demo with one of our experts or download our Gateway 3 Management booklet for more information. You can also catch up on our webinar, ‘Mastering Gateway 3 Compliance’ to learn how you can streamline digital handover and building safety case collation and approval.