The Gateway Process within the Building Safety Act 2022: A Summary of Purpose and Application

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Executive Summary

The Building Safety Act 2022 (BSA 2022) represents a fundamental reform of building safety regulations in the UK, specifically targeting higher-risk buildings (HRBs) in England 1. This landmark legislation was enacted as a direct response to the tragic Grenfell Tower fire, with the overarching aim of preventing similar catastrophic events by establishing more rigorous controls throughout a building’s entire lifecycle 1. A cornerstone of the BSA 2022 is the introduction of a mandatory three-gateway process 8. This process strategically places critical checkpoints at key stages of a building’s development to ensure that potential building safety risks are thoroughly assessed and effectively mitigated before the project can proceed to the subsequent phase. This report will provide a comprehensive summary of these three gateways, outlining their specific purpose, the stage of the building lifecycle to which they apply, the types of buildings that fall under their scope, the regulatory body responsible for their oversight, and the essential activities and requirements associated with each gateway. The information presented aims to provide professionals within the construction and property development sectors with a clear and authoritative understanding of these crucial new regulations.

Introduction to the Building Safety Act 2022

The Building Safety Act 2022 (BSA 2022), which received Royal Assent on 28 April 2022, was enacted as a direct and decisive response to the devastating Grenfell Tower fire in 2017, an event that tragically claimed the lives of seventy-two people 1. This catastrophic incident brought to light significant and systemic deficiencies within the existing building safety regulatory framework, necessitating urgent and comprehensive reform. The primary objective of the Act is to fundamentally improve building safety standards across the board and to empower residents and homeowners with enhanced rights, greater powers, and more robust protections, ultimately ensuring that homes throughout the country are safer and more secure 1. The BSA 2022 seeks to cultivate a pervasive culture of safety that permeates every stage of a building’s lifecycle, from its initial conception to its ongoing occupation. This landmark legislation represents a fundamental overhaul of the building safety system in the United Kingdom, directly and comprehensively addressing the critical issues and far-reaching recommendations that were meticulously detailed in Dame Judith Hackitt DBE’s independent review, aptly titled ‘Building a Safer Future,’ which was specifically commissioned by the government in the immediate aftermath of the Grenfell Tower fire 1. This thorough review unequivocally highlighted the urgent need for a more robust, transparent, and unequivocally accountable regulatory regime to govern building safety. A pivotal element of the BSA 2022 is the establishment of the Building Safety Regulator (BSR). This new regulatory body, strategically housed within the Health and Safety Executive (HSE), assumes the central role of overseeing the safety and standards of all buildings within England, with a particular and intensified focus on the implementation and enforcement of the novel regulatory framework specifically designed for higher-risk buildings [14, 4, 4, 32, 32, 10, 9, 11, 13, S_S19]. To effectively achieve its overarching objectives, the BSA 2022 introduces a comprehensive and multi-faceted system of control, with a cornerstone being the crucial three-gateway process 1. This innovative process mandates that building safety is rigorously considered, meticulously assessed, and formally approved at three distinct and absolutely critical stages during the design, construction, and eventual completion of all higher-risk buildings.

The legislative changes brought about by the BSA 2022 extend their reach beyond just the construction of new buildings. Significant alterations and refurbishments of existing higher-risk buildings also fall under the purview of this Act. This broader application demonstrates a clear commitment to ensuring the safety of not only future building projects but also the current stock of high-rise residential properties 1. The requirement for these existing buildings to also adhere to the gateway process during significant works underscores the comprehensive nature of the Act’s safety objectives, aiming to improve the safety and security of all higher-risk residential structures throughout their entire lifespan.

Understanding the Gateway Process

The Building Safety Act 2022 introduces a significant innovation in building safety regulation through the implementation of a distinct three-gateway process specifically designed for higher-risk buildings (HRBs) 11. These gateways function as crucial “hold points” strategically positioned throughout the lifecycle of a building project, demanding explicit approval from the Building Safety Regulator (BSR) before progression to the subsequent stage is permitted. This structured approach ensures that safety considerations are not merely an afterthought but are integral to every phase of a building’s development. The establishment of these gateways is intended to substantially enhance accountability across the entire construction industry, fostering a culture where safety is paramount. Furthermore, the process is designed to facilitate the early identification and proactive mitigation of any potential safety risks that may arise during the design and construction phases. By embedding these checkpoints, the Act aims to ensure continuous compliance with all relevant safety regulations, not just at the initial stages but throughout the entire construction and subsequent occupation of the building. Finally, the gateway process mandates the creation and maintenance of a clear and auditable trail of all building safety documentation and the rationale behind key decision-making processes 10.

At the heart of the gateway process lies the fundamental concept of the ‘Golden Thread’ of information 1. This refers to a comprehensive, meticulously accurate, and consistently up-to-date digital record encompassing all safety-critical information pertaining to a building. This record spans the entire building lifecycle, commencing from its initial architectural design and continuing through the construction phase and into its ongoing occupation. The various documents and crucial information that are required to be submitted at each of the three gateways form integral and essential components of this ‘Golden Thread’. The Building Safety Regulator (BSR) assumes the pivotal role of the primary building control authority for all higher-risk buildings 9. Consequently, the progression of a project through each of the three gateways is entirely contingent upon the BSR’s thorough and rigorous review and subsequent formal approval, thereby ensuring that safety considerations remain at the forefront and are given the highest priority at every critical stage of the building development process.

The ‘Golden Thread’ of information is not simply a static collection of documents; rather, it is intended to be a dynamic and continuously evolving record that underpins the entire regulatory framework established for HRBs. The explicit requirement for its creation, maintenance, and accessibility throughout the gateway process signifies a fundamental shift towards a more proactive, transparent, and information-driven approach to the management of building safety. This digital repository serves as the single, authoritative source of truth for all safety-related information concerning the building, ensuring that it is readily accessible to all relevant dutyholders – those individuals and organizations with specific responsibilities under the Act. The gateway process mandates the systematic creation and diligent updating of this crucial information at each key stage of the building’s development, underscoring its integral role in fostering accountability, facilitating seamless communication among stakeholders, and enabling the effective and ongoing management of building safety throughout the entire lifespan of the structure. This represents a significant departure from potentially fragmented and often inaccessible information systems of the past, moving towards a unified, secure, and readily available digital record that prioritizes building safety.

Gateway 1: Planning Permission Stage

• Stage of Building Lifecycle: Gateway 1 marks the initial and crucial checkpoint in the regulatory process for higher-risk buildings. This gateway is encountered during the planning application stage of a project and must be successfully navigated before the local authority can grant planning permission for the development 9. This early intervention is strategically designed to ensure that fundamental safety considerations are addressed right from the very inception of the building design.
• Primary Purpose and Objectives: The principal aim of Gateway 1 is to ensure that fire safety considerations are thoroughly integrated into the design proposals for all higher-risk buildings from the earliest possible stage of the project 9. By focusing on fire safety at this initial phase, the intention is to prevent the approval of building designs that may inherently possess fire safety deficiencies or inadequacies.
• Key Activities and Requirements:

• A primary requirement for successfully passing through Gateway 1 is the mandatory submission of a comprehensive Fire Statement as an integral part of the planning application 9. This Fire Statement must meticulously detail the specific fire safety considerations that have been taken into account for the proposed development, clearly demonstrating how fire safety has been addressed and incorporated into the building’s design.
• Local planning authorities are legally obligated to formally consult with the Building Safety Regulator (BSR) on all relevant planning applications pertaining to higher-risk buildings 9. In this capacity, the BSR acts as the statutory consultee specifically on matters of fire safety, providing expert and specialist advice to the local planning authority to inform their decision-making process regarding the planning application.
• The Fire Statement itself must provide a detailed and comprehensive explanation of how fire safety principles have been integrated into the building’s design. This includes a thorough consideration of various critical aspects such as the types of construction materials to be utilized, the layout and adequacy of fire escape routes for occupants, the provision of suitable access for firefighting personnel and equipment in the event of an emergency, and the overall strategy for structural fire protection within the building 11.
• Furthermore, this initial stage also involves a careful assessment of the proposed site layout to ensure that there are adequate and clearly defined escape routes available for all occupants of the building. Simultaneously, the assessment must verify that there is sufficient and unobstructed emergency access for fire and rescue services to effectively reach the building in the event of a fire or other emergency 22.

The introduction of Gateway 1 signifies a proactive and preventative approach to building safety regulation. By mandating the consideration of fire safety at the earliest stages of planning, the Act aims to mitigate the risk of fundamental safety flaws in the initial design, potentially saving significant time and resources that might otherwise be required for costly and complex safety-related modifications later in the development process. This early focus ensures that fire safety is not treated as a secondary consideration but is a core principle guiding the entire design process from its very beginning.

Gateway 2: Pre-Construction Stage

• Stage of Building Lifecycle: Gateway 2 represents the second critical checkpoint within the regulatory framework for higher-risk buildings. This gateway is encountered before any physical construction work is permitted to commence on site. It follows the completion of the detailed technical design phase of the project (typically aligning with RIBA Stage 4) and acts as a mandatory “stop/go” point that must be successfully navigated before the project can proceed to the construction phase (RIBA Stage 5) 9.
• Primary Purpose and Objectives: The fundamental objective of Gateway 2 is to rigorously ensure that the comprehensive and detailed plans for the proposed HRB works fully comply with all applicable requirements stipulated within the Building Regulations before any physical construction activities are allowed to begin 9. This crucial stage effectively replaces the traditional ‘deposit of plans’ phase of the building control process specifically for higher-risk buildings, introducing a more stringent and centralized level of scrutiny.
• Key Activities and Requirements:

• A primary and essential requirement for successfully passing through Gateway 2 is the mandatory submission of a comprehensive building control approval application directly to the Building Safety Regulator (BSR) 9. Under the BSA 2022, developers of HRBs no longer have the option to choose their building control body; the BSR has been designated as the sole and exclusive authority for this critical function.
• The application must be accompanied by a complete set of detailed plans, including comprehensive architectural drawings that accurately depict the proposed building, a detailed site location plan, thorough specifications outlining the materials to be used and the construction methodologies to be employed, and a comprehensive schedule of all proposed works to be undertaken 9. These detailed plans must clearly and unequivocally demonstrate how the proposed building will meet all the functional requirements as set out within the prevailing Building Regulations.
• As part of the application, a formal Competence Declaration [24, 24, 20, 9 must be submitted. This declaration must be signed by the client or a duly authorized representative, formally confirming that they have conducted a thorough assessment of the competence of the entire project team, encompassing all individuals and organizations involved in the design, construction, and management of the project (including designers, contractors, principal designer, principal contractor, etc.). The declaration must state that the client is satisfied that all members of the project team meet the minimum required thresholds of skill, knowledge, experience, and behavior necessary for their respective roles. This assessment also includes a requirement to inquire whether any prospective appointees have been subject to any serious sanctions related to their professional conduct within the preceding five years.
• A meticulously prepared Building Regulations Compliance Statement 11 is also a mandatory submission. This statement must provide a detailed and comprehensive explanation of precisely how each and every aspect of the proposed project will comply with all the relevant requirements of the Building Regulations. Furthermore, it must include a clear and well-reasoned justification for the specific approach chosen to achieve compliance, particularly where alternative methods or materials might have been considered.
• A comprehensive Construction Control Plan 11 must be submitted as part of the application. This plan must outline in detail the specific strategies, policies, and procedures that will be implemented throughout the entire construction phase of the project to ensure continuous and verifiable compliance with all applicable building safety regulations. The plan should clearly articulate how the work of all personnel will be managed and monitored, how construction practices will be controlled to maintain safety standards, and how the competency of all individuals working on the project will be continuously maintained and verified.
• A robust and well-defined Change Control Plan 11 must also be included in the application. This plan must detail the specific procedures that will be followed for managing any changes to the approved plans, specifications, or construction methodologies that may inevitably arise during the course of the construction project. The plan should outline how such changes will be formally identified, rigorously assessed for their potential impact on building safety and regulatory compliance, and formally approved by the BSR before any implementation occurs.
• A detailed Fire and Emergency File 11 must be submitted, providing comprehensive information on the building’s overall fire safety strategy. This file should include detailed plans for fire prevention, the design and specification of fire detection and alarm systems, the type and location of any fire suppression systems, and comprehensive evacuation plans for the building’s occupants in the event of a fire or other emergency.
• A Mandatory Occurrence Reporting Plan 11 is another essential requirement for Gateway 2. This plan must clearly define the specific protocols and procedures that will be followed for reporting any significant safety occurrences, potential hazards, or other issues that are discovered or identified during both the design and the subsequent construction phases of the project.
• Upon receipt of a complete application, the Building Safety Regulator (BSR) is subject to a statutory timeframe within which to review and make a determination. For applications concerning new higher-risk buildings, the BSR has a period of 12 weeks from the date of receipt to make a decision. For applications related to refurbishment work on existing HRBs, this timeframe is reduced to 8 weeks 9. These statutory timeframes can be extended only by mutual agreement between the applicant and the BSR.
• Critically, and unequivocally, construction work on a higher-risk building cannot legally commence until the Building Safety Regulator (BSR) has formally granted building control approval for the entire project and all conditions that may have been specified within that approval have been fully and demonstrably satisfied 4. Furthermore, the BSR must be formally notified of the intended start date of the construction works at least five working days in advance of the planned commencement 9. This notification allows the BSR to make any necessary arrangements for initial oversight and potential inspections.

Gateway 2 represents a significant strengthening of regulatory oversight for higher-risk buildings, effectively positioning the BSR as the primary gatekeeper controlling entry into the construction phase. This mandatory “stop/go” mechanism powerfully underscores the Building Safety Act’s unwavering commitment to preventing the construction of unsafe buildings by ensuring a thorough and rigorous regulatory scrutiny of all plans and documentation before any physical work begins on site. This elevated level of pre-construction review aims to minimize the potential for costly errors, safety compromises, and non-compliant construction practices during the actual building process, ultimately leading to the development of safer and more compliant higher-risk buildings.

Gateway 3: Completion and Occupation Stage

• Stage of Building Lifecycle: Gateway 3 represents the final and absolutely critical checkpoint within the regulatory framework established by the Building Safety Act. This gateway is encountered upon the physical completion of all building work on a higher-risk building. However, crucially, it occurs before the building can be legally occupied by any residents or other intended occupants 9. This final stage serves as the ultimate validation of the building’s safety and its full compliance with all relevant regulations.
• Primary Purpose and Objectives: The fundamental objective of Gateway 3 is to provide a definitive and final verification that the higher-risk building has been constructed in strict and precise accordance with the detailed plans and specifications that were previously thoroughly reviewed and formally approved by the Building Safety Regulator (BSR) at Gateway 2. Furthermore, this stage aims to ensure that the completed building fully complies with all applicable requirements stipulated within the Building Regulations. The successful navigation and completion of this final gateway culminates in the issuance of a formal completion certificate by the BSR, which is an absolute prerequisite for the lawful occupation of the building 9.
• Key Activities and Requirements:

• At this stage, the client, who is the individual or organization that commissioned the entire building project, is legally required to submit a formal and comprehensive application to the Building Safety Regulator (BSR) specifically requesting the issuance of a completion certificate 9.
• This application must be accompanied by substantial and compelling evidence that unequivocally demonstrates that the completed building is indeed safe for occupation by its intended users and that its construction has adhered meticulously and precisely to the detailed plans and specifications that were previously approved by the BSR at Gateway 2 9.
• A critical component of the documentation required at this stage includes the submission of detailed and accurate as-built drawings of the building 18. These drawings must provide a precise and comprehensive record of the building as it was actually constructed, accurately reflecting every single element of the finished project. Importantly, these as-built drawings must also clearly indicate any modifications, alterations, or adjustments that were made on-site during the construction process and must be carefully reconciled with the original set of plans that were approved at Gateway 2.
• Furthermore, the application must include the provision of comprehensive and detailed records of all the materials and construction products that have been permanently installed within the building. This documentation must also include the precise locations of all mechanical, electrical, and public health systems and their individual components within the building’s infrastructure 18. This level of detail ensures that there is a complete and accurate record of the building’s physical infrastructure and the specific components used in its construction.
• The principal contractor bears the responsibility for preparing and submitting a comprehensive and meticulously detailed Safety Case Report 1. This critical report must provide a thorough and in-depth analysis of all the primary fire and structural risks associated with the building. It must clearly detail how these potential risks were initially identified, the specific mitigation measures that have been implemented during the design and construction phases to address these risks, and how these risks will continue to be effectively managed on an ongoing basis throughout the entire operational lifecycle of the building.
• In addition to the Safety Case Report, the Principal Contractor is also legally obligated to provide a formally signed Construction Compliance Declaration 11. This declaration serves as a formal and legally binding confirmation that, to the best of their professional knowledge and belief, the building has been constructed in strict and complete accordance with the detailed plans and specifications that were previously reviewed and approved by the BSR at Gateway 2.
• A particularly crucial element of the Gateway 3 process is the formal handover of the complete and up-to-date ‘Golden Thread’ of all building and operational information to the designated Principal Accountable Person (PAP) 1. This ensures that the individual or organization that will be responsible for the ongoing safety management of the building has all the necessary information, documentation, and data to effectively and safely manage the building throughout its entire lifecycle.
• Upon receipt of the application for a completion certificate and all supporting documentation, the Building Safety Regulator (BSR) will conduct a thorough and rigorous assessment of the submitted materials. As part of this assessment process, the BSR also retains the right to conduct on-site inspections of the completed building to independently verify that the construction work has been carried out in full compliance with the approved plans and the prevailing Building Regulations 9.
• The Building Safety Regulator (BSR) is subject to a statutory timeframe of eight weeks from the date of receipt to review the application for a completion certificate and to make a determination on whether or not to issue the certificate 9. This timeframe allows the BSR sufficient time to conduct its thorough assessments and any necessary on-site inspections.
• It is absolutely critical to note that it is a criminal offense under the Building Safety Act 2022 to occupy a higher-risk building before both a completion certificate has been formally issued by the Building Safety Regulator (BSR) and the HRB has been officially registered with the BSR for occupation 9. This stringent regulation underscores the paramount importance of obtaining the BSR’s final approval before any residents or other intended occupants move into the building.

Gateway 3 serves as the ultimate and final safeguard within the regulatory framework, ensuring that a higher-risk building is not only meticulously designed and constructed to meet the most stringent safety standards but is also independently verified as safe and fully compliant by the Building Safety Regulator before any residents are permitted to occupy it. This mandatory “pre-occupation sign-off” powerfully reinforces the Building Safety Act’s unwavering focus on the safety, security, and overall well-being of all building occupants.

Scope and Application of the Gateway Process

• Types of Buildings: The mandatory and enhanced three-gateway process, characterized by its rigorous regulatory scrutiny, applies specifically and exclusively to buildings that are formally classified as higher-risk buildings (HRBs) and are located within England 1. Buildings that do not meet the specific criteria for being designated as an HRB remain subject to the traditional building control processes that were in place prior to the enactment of the BSA 2022.
• Definition of Higher-Risk Buildings (HRBs): The Building Safety Act 2022 provides a clear, precise, and legally binding definition of what constitutes a higher-risk building. For the specific purposes of the gateway process, a building in England is classified as an HRB if it meets both of the following essential criteria:

• Height or Storeys: The building must have a height of at least 18 metres or must have seven or more storeys 3. The measurement of the building’s height is typically taken from ground level up to the finished surface of the floor of the topmost storey.
• Residential Units or Use: The building must contain a minimum of two or more residential units 3. This definition explicitly includes not only typical residential dwellings but also care homes and hospitals that meet the aforementioned height or storey threshold 3. Furthermore, mixed-use buildings, which may contain a combination of residential and commercial spaces, are also classified as HRBs if they satisfy these criteria (for example, a building that includes retail or office spaces on the lower floors and two or more residential units on the upper floors, and which exceeds either the 18-metre height or the seven-storey threshold) 29. The legal definition of a residential unit is intentionally broad and encompasses a variety of living accommodations, including individual dwellings, flats, student accommodation, and units within supported accommodation facilities 30.
• Exclusions: It is important to note that the definition of HRBs specifically excludes certain types of buildings, although this exclusion may be limited to the construction phase. Buildings such as hotels, prisons, and military barracks are generally not classified as HRBs under the gateway process 26.

• Regulatory Body: The principal regulatory body that holds the primary responsibility for overseeing and enforcing the gateway process for all higher-risk buildings located in England is the Building Safety Regulator (BSR) [14, 4, 4, 32, 32, 9, 10, 9, 11, 13, S_S19, S_S28]. The BSR, which operates as an integral part of the Health and Safety Executive (HSE), has been formally established as the sole and exclusive building control authority for all HRBs within England 9. This means that developers and other dutyholders involved in projects concerning HRBs must directly engage with the BSR for all building control approvals required at Gateways 2 and 3. Additionally, the BSR plays a crucial and influential role as the statutory consultee on all fire safety matters at Gateway 1, providing expert advice and guidance to local planning authorities.

The clear and specific definition of higher-risk buildings is of paramount importance as it provides much-needed certainty to developers, designers, contractors, and all other relevant stakeholders regarding which building projects are subject to the enhanced regulatory requirements of the gateway process. This clarity allows for accurate and effective planning, appropriate allocation of resources, and diligent preparation to ensure full compliance with the new regulations.

The concentration of regulatory authority for higher-risk buildings under the singular oversight of the Building Safety Regulator (BSR) represents a significant and strategic move towards greater specialization and enhanced expertise in the regulation of these complex structures. This centralized approach is specifically designed to ensure a consistent, rigorous, and uniform application of building safety standards across all HRB projects throughout England, thereby aiming to eliminate potential inconsistencies and variations in regulatory interpretation that may have existed under the previous system, which involved a combination of local authorities and private sector approved inspectors. By consolidating this crucial regulatory function under a dedicated national regulator with a specific and unwavering focus on building safety for high-risk structures, the Building Safety Act 2022 intends to foster a more standardized, expert-led, and ultimately more effective approach to ensuring compliance and significantly enhancing the overall safety of these types of buildings.

Conclusion

The introduction of the three-gateway process within the Building Safety Act 2022 represents a significant and essential advancement in the pursuit of enhanced safety standards for higher-risk buildings across England. This robust and structured regulatory framework strategically establishes critical checkpoints at the planning, pre-construction, and final completion stages of a building’s lifecycle, thereby ensuring that all aspects of building safety are rigorously considered, thoroughly assessed, and formally approved before the project is permitted to advance to the next crucial phase. Each of the three gateways serves a distinct yet interconnected purpose within the overall framework: Gateway 1 is specifically designed to embed fundamental fire safety considerations into the very initial design of the building; Gateway 2 is focused on ensuring comprehensive and demonstrable compliance with all relevant Building Regulations before any physical construction work can commence on site; and Gateway 3 provides a final and critical verification that the completed building has been constructed in strict accordance with the approved plans and is indeed safe and fully compliant before it can be legally occupied by residents. This carefully designed multi-stage approval process is specifically intended to prevent the creation of unsafe buildings by ensuring thorough scrutiny at each critical juncture of the development process. The Building Safety Regulator (BSR) assumes a pivotal and central role in overseeing and managing the entire gateway process for higher-risk buildings. As the designated sole building control authority for these types of structures, the BSR is directly responsible for meticulously reviewing all submitted applications, conducting thorough assessments of the provided documentation, and ultimately granting formal approval at each of the three gateway stages. This centralized oversight is strategically intended to ensure a consistently high standard of expert-led building safety regulation across all higher-risk building projects. Adherence to the specific requirements of the gateway process, coupled with the diligent and accurate creation and ongoing maintenance of the ‘Golden Thread’ of information, is of paramount importance for all individuals and organizations involved in the development of higher-risk buildings. This includes developers, contractors, designers, building owners, and all other dutyholders, each of whom bears a crucial responsibility to fully embrace a culture of safety and accountability under this new and more stringent regulatory regime. A comprehensive understanding of the specific requirements, the necessary activities, and the critical timelines associated with each of the three gateways is absolutely essential for professionals operating within the construction and property development sectors. By proactively engaging with the Building Safety Regulator and diligently ensuring full compliance at every stage of the gateway process, all stakeholders can effectively navigate this new regulatory landscape, significantly mitigate the potential risk of project delays or enforcement actions, and ultimately contribute to the creation of safer, more secure, and fully compliant higher-risk buildings for the benefit of all future occupants.