A ‘duty holder’ is required to be nominated at deposit of plans/validation stage to meet building regulations.
The regulations tell us that all duty holders are obliged to have arrangements and systems in place to plan, manage and monitor both the design work and the building work to ensure compliance with building regulations.
There are three new duty holders defined in the amended regulations.
- Client including Domestic Clients (previously known as the Applicant)
- Principal Designer (previously known as the Agent)
- Principal Contractor (previously known as the Builder)
The duty to ensure compliance of a construction project remains with those who procure the building work and those who have key roles in the design and construction process. These duty holders are also responsible for ensuring that building work is designed and built to be compliant with building regulations minimum standards. The duty holders are required to work together to ensure that the project complies with the requirements of the regulations. Ultimately this will ensure that the Building Control Body can issue a completion certificate once they are satisfied that the evidence provided, together with the works checked on site is completed satisfactorily.
Duties of each stakeholder
Clients (including domestic clients)
Clients need to ensure that those they appoint to plan, manage and monitor building works are competent (i.e. have the necessary, skills, knowledge, experience and behaviours) or if they appoint an organisation, they have the capability to carry out the design work and building work they are engaged to do on behalf of the client and only undertake work within the limits of that competence.
A duty holder can be an organisation or an individual. This duty holder can carry out the role of more than one duty holder, provided they have the skills, knowledge, experience and (if an organisation) that organisational has capability and competence necessary to carry out those roles.
Domestic Clients
Main duties
Where there is more than one person working on different aspects of the project, a Domestic Client should appoint a Principal Designer to be in control of design work and a Principal Contractor to be in control of the building work.
If a Domestic Client does not appoint either a Principal Designer or Principal Contractor, then the designer in control of the design phase of the project automatically becomes the principal designer and the contractor in control of the construction phase of the project automatically becomes the principal contractor. These two disciplines carry responsibilities on behalf of the client
- They (the client) must provide building information that they are in possession of, or would be ‘reasonable’ for them to obtain, to pass to designers and contractors working on the project.
- They (the client) must cooperate with anyone working on or in relation to the project to the extent necessary to allow/support them to comply with their duties or functions.
Client
Organisations or individuals for whom a construction project is carried out for that is done as part of a business
Main duties
- Make suitable arrangements for planning, managing and monitoring a project, including the allocation of sufficient time and resources to deliver compliance with building regulations. In practice, this means appointing the right people, with the right competencies (i.e. the skills, knowledge, experience and behaviours) for the work and ensuring those they appoint have systems in place to ensure compliance with building regulations.
- Where there are several firms working on different aspects of the project, the client will need to appoint a Principal Designer to be in control of design work and a Principal Contractor to be in control of the building work.
- Provide building information to every designer and contractor on the project and have arrangements to ensure information is provided to designers and contractors (where necessary) to make them aware that the project includes any existing or proposed higher-risk building work
Principal Designers (PD)
A designer appointed by the client/domestic client with projects that involve more than one contractor. They can be an organisation or an individual with sufficient knowledge, experience and ability to carry out the role.
Main duties
- Plan, manage and monitor the design work during the design phase.
- Take all reasonable steps to ensure the design work carried out by them and anyone under their control is planned, managed and monitored so that the design is such that, if built, it would comply with all relevant requirements of the building regulations.
- Ensure that they, and all those working on the project, co-operate, communicate and co-ordinate their work with the client, the Principal Contractor, and other designers and contractors.
- Liaise with the Principal Contractor and share information (or any revisions to the original design) relevant to the building work.Assist the client in providing information to others where applicable.
Principal Contractors (PC)
A contractor appointed by the client to coordinate the construction phase of a project where it involves more than one contractor.
Main duties
- Plan, manage and monitor the design work during the building work.
- Cooperate with the client, the Principal Designer, and other designers and contractors to the extent necessary to ensure that the work complies with all relevant requirements of the building regulations.
- Ensure that they, and all those working on the project, co-operate, communicate and co-ordinate their work with the client, the Principal Designer, and other designers and contractors.
- Liaise with the Principal Designer and share information relevant to the building work. Assist the client in providing information to others where applicable.
- Cooperate and share information with other relevant duty holders
Submission routes
When a Client or Domestic Client instructs Local Authority Building Control, they will be able to choose one of two submission (application) routes:
- Full plans application
- Building notice
Full plans application
Full plans applications are usually submitted by the Principal Designer.
Plans
Detailed construction/structural plans and designs are provided by a Principal Designer. The Principal Designer is appointed by the Client/Domestic Client. These plans will be in addition to those provided to your Local Planning Application.
Project types covered
- New dwellings
- Extensions
- New garages
- All works related to commercial buildings
Duty holders
- Client/Domestic Client
- Principal Designer
- Principal Contractor (usually appointed after the Full Plans Application is submitted)
Fees
It is recommended that the combined fee (of both stage payments) is paid at validation stage (similar to a building notice) Commonly the fees are payable in 2 stages.
- Stage 1 when Full Plans Application is submitted (Plan Fee)
- Stage 2 when work commences on site (Inspection Fee)
Timescales
This route is used when the project is not commencing for some months and you may still be going through the planning process. Although you have appointed a designer, you may still have to appoint your Principal Contractor. This is always the recommended route to give the client peace of mind that the proposals have been checked before work commence on site. For more information on choosing a builder visit our choose a builder page.
Building notice
Building notices are usually submitted by the Domestic Client or their Principal Contractor.
Plans
Projects where there are no detailed plans and designs, or they are limited to structural drawings. There are some projects where a Building Notice is not permissible, and your Local Authority Building Control team will advise you should the circumstances arise.
Project types covered
This route can be used for new dwellings, extensions and new garages. This route is usually used for simple projects in domestic buildings not being carried out by a competent person such as:
- Removal of internal walls
- Garage Conversions
- Replacement windows and doors
Duty holders
- Domestic Clients
- Principal Designer is a structural engineer.
- Principal Contractor (this person is likely to be the key contact for the Domestic Client)
Fees
Fees are paid when a Building Notice is submitted.
Timescales
This route is used when the project is starting within a matter of weeks. You will have obtained your planning approval if required and may have engaged a Structural Engineer to provide calculations, but you do not require detailed construction plans to be checked by us. The surveyor can however ask for any specific detail that appears to deviate from the guidance to ensure it is fit for purpose and performs adequately to meet minimum standards.
End of project
A Final Inspection must be booked within 5 days of work completing. All registrations that are required such as those needed for electrical and boiler competent persons must be completed and notified to LABC before or at the final completion inspection.
All documentation including final plans are held by the Client/Domestic Client. Once a satisfactory final inspection has been completed, we will issue a Completion Certificate to the Client/Principal Client. This is an important document which will be needed if the property is sold or re-mortgaged.
All applications that are validated by Building Control after 1 October 2023 onwards will be assessed under the regulations described above. Those deposited before the 1 October 2023 will be applicable to the previous regulations and building regulations process.