Episode 192 - Compliance Declaration Statements

This week we will be talking about the Compliance Declaration Statements now required under the Building Regulations and Building Safety Act. This episode content meets PC3 - Legal Framework & Processes of the Part 3 Criteria.

Resources from today's episode:

Websites:

• https://www.riba.org/work/insights-and-resources/professional-features/mythbusting-what-do-architects-need-to-know-about-compliance-declarations/
• https://www.gov.uk/guidance/preparing-information-for-a-building-control-approval-application

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Transcript

Episode 192:

Hello and Welcome to the Part3 with me podcast. 

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I am your host Maria Skoutari and this week we will be talking about the Compliance Declaration Statements now required under the Building Regulations.Todays’ episode meets PC3 of the Part 3 Criteria.

Make sure to stay until the end for today’s scenario.

The introduction of the new forms and declaration processes is reshaping the obligations of all key duty holders. In today’s episode we will cover some common misconceptions relating to the declaration forms, clarify legal requirements, and generally run through the forms, processes, and best practices.

When we say Compliance Declarations, what do we refer to and what is their purpose:

Compliance Declaration Statements are a pivotal document for all buildings, although higher-risk building projects have additional, more stringent requirements by requiring a specific Building Regulations Compliance statement before construction can start. These statements as mentioned have been mandated on all buildings and are required from the Principal Designer, Principal Contractor and the Client. The Compliance Declaration is a notice relating to building work submitted as part of an approval application or as part of a completion certificate application. 

As part of this declaration the Principal Designer confirms they have fulfilled their duties in respect of ‘design work’. They should not be confused with the Principal Contractor’s duties which applies to the ‘building work’, or to competence statements. The statements of compliance should not go beyond the requirements of the regulations.

So relating to all building, as part of the Building Control process, following the completion of the work the amended Building Regulations, Regulation 16(4) requires a ‘statement’ by each Principal Designer or sole or lead designer for the work, to be signed by the person to which the declaration relates confirming that they fulfilled their duties as Principal Designer under Part 2A (dutyholders and competence) of the 2010 Regulations. Similarly, the Principal Contractor also provides a statement confirming that they fulfilled their duties as Principal Contractor under Part 2A (dutyholders and competence) of the 2010 Regulations. And the client confirms that to the best of their knowledge the work complies with Building Regulations. 

Now relating to higher risk buildings, under the Higher Risk Building Regulations, they also refer to a ‘compliance declaration’ as a document signed by the Principal Designer or sole or lead designer confirming they have fulfilled their duties as a principal designer under Part 2A (dutyholders and competence) of the 2010 Regulations. Again, the Principal Contractor also provides a statement confirming that they fulfilled their duties as Principal Contractor under Part 2A (dutyholders and competence) of the 2010 Regulations. And the client confirms that to the best of their knowledge the work complies with Building Regulations.

Now apart from the Compliance Declaration forms, Higher Risk Buildings also require the Building Regulations Compliance Statement before work begins:

The Building Regulations Compliance Statement (BRCS) is the pivotal document for higher-risk building projects at Gateway 2. Its core function is to provide a transparent, evidence-based account of how every significant aspect of a project is designed to meet Building Regulations. Failure to secure approval at this stage holds up construction and places project delivery, legal compliance, and dutyholder reputation at risk.

Lets look at what the Building Regulations Compliance Statement consists of and the information required for it:

• The statement must set out in detail the design team’s approach for each element, such as fire safety, structural integrity, energy performance, accessibility, and materials. It should articulate precisely how each solution meets regulatory requirements, referencing the relevant functional parts of the Building Regulations (Parts A to S). 
• Then for each solution, justification must be provided why and how it delivers compliance, drawing on standards relating to the Approved Documents, British Standards, BS9991:2024 for fire safety, etc., best practice guides, and technical reasoning. The choice of approach must be justified by referencing supporting codes. 
• Supporting Evidence will also need to be provided. Including plans, annotated drawings, engineering calculations, fire safety engineering reports, and other documentation that demonstrate compliance. Stating clearly how the evidence connects to each regulatory requirement. 
• Where the project diverges from standard guidance, the statement must explain the rationale and provide robust alternative evidence. For example, justification for the fire strategy must be explicit  stated if not simply following Approved Document B. 
• Reference must also be made to Guidance and Standards used, directly citing the guidance and standards underpinning each compliance claim. Mention should be given to the edition and year of the standards used, and provide a reason for their selection. 
• Many successful Building Regulations Compliance Statement documents use a tabular or mapped format, showing each regulation, the solution adopted, relevant supporting evidence, and rationale.

Some key areas of focus to expand on in the Building Regulations Compliance Statement can include elements like:

• Structural Safety, by confirming how the design achieves load-bearing integrity, resistance to collapse, and meets requirements for robustness and disproportionate collapse.
• Providing details relating to the fire strategy and how escape routes, compartmentation, detection systems, and fire resistance of materials ensure regulatory compliance.
• A section relating to materials and workmanship is recommended to be included. Whereby justification is provided relating to the selection, specification, testing, and assurance processes for materials, including combustibility, safety ratings, and installation quality.
• Energy Performance is also beneficial to be stated within the statement, making reference to calculations and design choices made for meeting the energy efficiency parts or sustainability objectives.
• Evidence on how the design meets inclusive access needs should also be included, referencing Approved Documents M and/or bespoke credible design guides.
• As well as relevant Health and Safety requirements should be addressed and outlined within the statement, including requirements relating to public health and safe occupation/operation of the finished building.
• Irrelevant details, such as regulations not applicable to the building type or voluntary measures beyond statutory minimums should be excluded. 
• And every specialist contributor (such as fire engineering, structural engineering, acoustics, etc.) should input in their respective areas.

Now reveting back to the Principal Designer, Principal Contractor and Client Declarations. What is the exact content of these Declarations:

Starting with the Principal Designer declaration. This is essentially a signed, template-based statement confirming that, as mentioned previously, all statutory duties have been met, particularly those under Part 2a of the Building Regulations. It must affirm that the Principal Designer has taken “all reasonable steps” to avoid regulatory breaches by assessing risk, reviewing design details, collaborating with specialists, and maintaining clear records of the design intent and compliance evidence. The declaration form itself, typically includes project identifiers, the Principal Designer’s name, a compliance assertion, and space for the Principal Designer’s signature and date.

By signing this declaration, the Principal Designer accepts personal responsibility for their part in compliance, and any wilful or negligent false declaration can result in investigation, sanctions, and possible criminal or professional disciplinary consequences.

Now looking at the Principal Contractor declaration, it is essentially a similar format to that of the Principal Designer but with the key different that it focuses on construction management. The Principal Contractor confirms that all construction processes follow regulatory requirements and the “golden thread” of compliance is maintained, from materials specification to site health and safety and installation practices.

The Principal Contractor must also sign the declaration, with clear identification and reference to their legal duty under Part 2a of the Building Regulations.

In practice, both declarations should be completed using current templates and in consultation with legal and compliance advisors. If the client cannot get a statement from the Principal Designer or Principal Contractor, as now required under regulatory amendments, they must explain why in their own compliance declaration. 

So when it comes to clients, they are also now required to submit a signed competence declaration as part of the Gateway 2 process and for other regulated building applications. The client’s declaration confirms they have appointed dutyholders (meaning the Principal Designer, Principal Contractor, designers, etc.) who have demonstrable competence, meaning they have adequate skills, knowledge, experience, and professional behaviour for the complexity and risk profile of the project. 

The client must be prepared to provide information supporting their assessment, such as credentials, professional standing, experience on similar projects, and references or certifications. If the client cannot secure a declaration from a designer or contractor, the legislation now requires the client to explain the gap and how risks are managed in their own compliance statement. 

Generally, the competence declarations promotes better selection, more robust due diligence, and a collaborative compliance culture, reducing the likelihood of regulatory breaches and supporting the “golden thread” of building safety documentation.

Its important to reiterate that Statements of compliance are required on all building projects, to the extent the approval of the building control body, including the Building Safety Regulator, is required. Meaning compliance statements by all parties must accompany the Building Regulations completion certificate application on non-Higher Risk Building projects and on Higher Risk Building projects.

So what happens if the original Principal Designer’s appointment for example, is terminated before construction starts:

In such instances, if the appointment of the Principal Designer ends before completion of the project, the client must be given a document explaining the arrangements put in place to fulfil the Principal Designer duties, no later than 28 days after the end of the appointment. This is a requirement generally, and not specific to Higher Risk Building projects.

Under the Higher Risk Building Regulations prior to appointing a new Principal Designer, the client can request that any previous principal designer provides a statement confirming, again, that they have complied with their duties or where a person is unable to certify that they have fulfilled their duties, a statement explaining what duties they were unable to fulfil and the reasons for not being able to do so as this will be critical to the incoming Principal Designer.

It is critical for any outgoing Principal Designer to show their workings in respect of taking reasonable steps to ensure that the design is such that if the building work to which the design relates were built in accordance with that design the building work would be in compliance with all relevant requirements. The Higher Risk Building requirements go further in terms of explaining what duties the Principal Designer was unable to fulfil and why.

It is also key to explain to clients that they must now appoint a new Principal Designer. This may be the Principal Contractor or another designer depending on the procurement route and which party might be competent to undertake the role for the rest of the project. It is also worth reminding the client, unless its a domestic client, that if they do not appoint a replacement Principal Designer, they must fulfil the duties of the Principal Designer.

As such, it is important that any statements provided cover the extent of the services provided only. As a result of this, the client may have more than one Principal Designer statement as part of their compliance declaration documentation.

One final aspect I would like to raise relating to the compliance declarations, is to be wary if clients ask Principal Designer to confirm design work compliance using their templates:

Before signing any client-drafted template, the Principal Designer should ensure that the declaration wording is confined to confirming compliance with their own statutory duties, namely Regulation 11 of the amended Building Regulations. Any bespoke template should be considered very carefully. The declaration should not confirm that the overall design or project “complies with the Building Regulations” or is “in accordance with the building contract”. Such wording should be resisted. The declaration may also benefit from appropriate disclaimers to avoid the declaration giving rise to unlimited liability, increasing the Principal Designer’s liability beyond the appointment or being written in a way that is can be relied upon by third parties.

To sum up what I discussed today:

• Under the new regime, declaration requirements are now required from the Principal Designer, Principal Contractor, and the Client. Which must individually confirm compliance with their regulatory duties, reinforcing personal and organisational accountability throughout any building project.
• Higher-risk buildings face additional obligations including the mandatory Building Regulations Compliance Statement at Gateway 2, which requires detailed, evidence-based justification for every design and construction choice, significantly raising the bar for project transparency and regulatory assurance.
• Competence declarations from the client are now compulsory, requiring demonstration of thorough due diligence in appointing dutyholders, strengthening the collaborative approach and helping foster a “golden thread” of building safety across the documentation set. 
• Where a dutyholder role, such as Principal Designer, ends before project completion, clear procedural requirements are in place to document compliance steps, duties fulfilled, and arrangements for appointing a new, competent replacement. Ensuring continuity and robust risk management.
• Dutyholders should exercise caution before signing any bespoke client templates. The declaration must strictly confirm only compliance with statutory duties and avoid overreaching language that may increase liability or confer unintended third-party reliance.