Episode 190 - Change Control Log

Hi and welcome to the Part 3 with me podcast. The show that helps Part 3 students jump start into their careers as qualified architects and also provides refresher episodes for practicing architects. If you would like to show your support for the podcast and help us continue making amazing content, click on the link in the episode notes to sign up to our subscription. I also offer one-to-one mentoring services to help you with your submissions, exams and interview. So head over to our website to learn more or reach out to me on LinkedIn through the Part 3 with me page or Instagram. My handle is at Part 3 with me or email me at Part 3 with me at Outlook.com. I am your host Maria Skudari and this week we will be talking about the change control log relating to making changes to higher risk buildings. Today's episode meets PC3 of the Part 3 criteria and make sure to stay until the end for an example scenario. So this topic is central to compliance under the Building Safety Act 2022 and the regulations that came into force in 2023 and 2024. Many architects describe this as where their professional duty of care meets legal accountability. Now before we jump into the change process let's very briefly clarify what a higher risk building is in case you haven't listened to previous episodes. Now under the Building Safety Act a higher risk building is typically one that is at least 18 meters or seven stories and more in height and also contains two or more residential units. This definition also applies to hospitals and care homes during the design and construction process though they fall outside certain, you know, occupation aspects of the act. So once a building falls into this category it must follow the new approval process managed by the Building Safety Regulator. This three stage approval process known as the gateways ensures that there is regulatory oversight before construction starts during construction and prior to occupation. You probably recognize these stages as Gateway 1 at planning stage, Gateway 2 at building control approval and Gateway 3 for completion and occupation. Today's focus sits squarely between Gateways 2 and 3 which is the period of change during construction when projects are most likely to evolve and the need for transparency becomes very crucial. So we covered this a few episodes ago but at the heart of the Building Safety Act is the concept of the Golden Thread which is living information about the building that must always be accurate, accessible and secure throughout its life. Now when changes occur during design or construction they have the potential to compromise the Golden Thread and this is where the change control plan and change control log comes into play. So what's its purpose? The goal of the change control log is to create a traceable record of decisions to ensure that every change is assessed for safety impact before it's implemented. Historically undocumented changes whether in materials, layouts or construction methods have been some of the root causes of unsafe buildings. So under the new regime any change to the agreed documents which are the documents and information submitted to the Building Safety Regulator for building control approval is considered a controlled change meaning the change must be assessed, recorded and where required notify or seek further approval for these changes. So let's look at the types of changes to be recorded known as controlled changes and their process of submission and approval by the Building Safety Regulator. So control changes fall into three categories, recordable, notifiable and major. Understanding these definitions is vital to consultants managing their professional and legal responsibilities. So starting with the recordable change these are the simplest. A recordable change is one that doesn't materially affect building safety or compliance with the Building Regulations. For example, changing a product to another of the same or higher specification such as swapping one fire rated plastic board brand for another with identical fire resistance rating would count as a recordable change. Even though the Building Safety Regulator doesn't need to be notified is crucial that the changes recorded in the change control log along with details of the decision who approved it and any supporting documentation. The other category relates to notifiable changes. So this is the middle category meaning it includes changes that might affect compliance with Building Regulations. Applicants in this occasion are required to inform the Building Safety Regulator before starting work linked to the change. So notifiable changes include alterations to the construction control plan, the change control plan itself, the layout or dimensions within a residential unit, openings for services like pipes, ducts or cables, fixings or support systems for walls, fire safety documents such as the fire compliance statement or fire and emergency file, and the partial completion strategy or staged work statement. The Building Safety Regulator must be notified of these changes before works proceed. Once the change is submitted work can commence but in the meantime the Building Safety Regulator may request further information about the change but the applicant doesn't have to stop work while they respond back to the request. If the change is not notified and works don't stop until it is, applicants could receive an order to stop the relevant work or may even be required to resubmit the application for major change approval and the final and most crucial category is major changes. Major changes are the most serious and constitute of changes that undermine the basis on which the Building Control Approval was granted. These tend to include increasing the Building Heights or adding stories, changing the structural system, altering the core fire strategy or removing key safety features. For major changes the process resembles a new gateway to submission. Before carrying out any major change building work relating to the proposed change, everything must stop and a formal new approval must be obtained before carrying out the work. In addition to the changes the Building Safety Regulator must also be informed if the client, the principal designer or principal contractor change as well as relating to changes in contact details associated with the application including the email address used to access the online application. So information relating to a notifiable or major change, this needs to be provided to the Building Safety Regulator and should be done using the online service to manage a Building Control application. For each change a brief description of the change should be included and why it's considered to be a notifiable or major change. Things to include should consist of why the change is being made, for example due to a change of design approach or availability of materials. Also state all the advice sought, even if it disagrees with the proposal, who gave the advice, the occupation and contact details and which agreed documents the change affects. Now alongside the description the applicant should also upload copies of any updated agreed documents which are affected by this change. As well as a compliance explanation this must explain how the Building will comply with all relevant Building regulations after the change is made. To change the client principal designer or principal contractor the compliance declaration from the outgoing client principal designer or principal contractor must also be uploaded. The Building Safety Regulator will then send an email confirmation to the client, the principal designer and principal contractor, when they receive a change notification or major change application. If an applicant wishes to make multiple changes, if they relate to notifiable changes that are related to each other, these can be submitted in one change notification. Now if they relate to major changes that are related to each other, they can also be submitted in one major change application and also for major changes and notifiable changes that are related to each other, these can also be submitted in one major change application. Now if the changes are not related to each other, they must be submitted separately. If unrelated changes are included in a single change notification or application and the Building Safety Regulator rejects one of them, then all changes will be rejected. So it's important to separate them if they're not related to each other. If a change affects more than one Building Control approval application, then the change must be submitted for each Building Control approval application. Now when it comes to staged building applications, where separate change notifications or applications have been made, each stage must be submitted and all affected agreed documents for each of the stages must be updated in those cases. Typically, the Building Safety Regulator will take up to six weeks to assess a major change application. In terms of outcomes, the Building Safety Regulator can either approve the change, meaning works can commence or it can be approved with requirements, meaning building work can start as planned on the other parts of the major change application, but not on the parts which relate to the requirements until the Building Safety Regulator is satisfied that the requirements have been met. There is of course the potential of a major change application being rejected if it's determined that it doesn't comply with Building Regulations. So that's the process of the various types of change and the process of submission to the Building Safety Regulator. Now let's look at the change control plan itself. So this is a mandatory document in the Gateway 2 submission and it sets out exactly how changes will be assessed and managed throughout construction. It must include items like policies and procedures for identifying changes, how changes will be categorized, who will make the assessment, how communication flows between stakeholders and how decisions are recorded in the change control log. The best way to think of it is as an operating manual. During project delivery, every team member should know where to find it and how to follow it. The plan should be specific from detailing time frames for notification to who confirms compliance impacts and what records are retained. Projects that treat this as an administrative afterthought often find themselves non-compliant later, especially when documentation is requested by the Building Safety Regulator at completion. The change control log also acts as an audit trail. It lists each control to change its type, assessment outcome, date and approvals. A well-managed log should include items like the unique reference for the change, a short description of what changed and why, safety and compliance assessment details, evidence attachments such as revised drawings, sign-off from relevant duty holders, and whether Building Safety Regulator notification was required and the date of submission. It's key for the log to also align with the Golden Thread strategy as it conforms parts of the Final Safety Case Document at Gateway 3. Now similarly to the Golden Thread, it's encouraged that digital record platforms are used for logging and tracking controlled changes. As such, systems offer secure and version controlled systems enable easy accessibility by relevant duty holders and can be integrated into the Golden Thread of Information model. It can also be easily exportable for review by the Building Safety Regulator. By digitizing the change control log, real-time visibility can be maintained and it ensures future building managers or owners can easily access accurate records. Now let's look at who contributes to the change control log. Now under the Building Safety Act, several key duty holders share responsibility for the change control process. Firstly, we have the client which must ensure that the change control plan exists and is implemented. Then the principal designer assesses changes from a design compliance perspective and ensures they don't jeopardize safety or building regulation compliance. Then the principal contractor oversees the practical implementation, ensuring that work on site matches approved changes and holds unapproved change-related work. And lastly, the contractors and subcontractors also contribute by reporting any proposed variations and provide technical details for assessment. Failure of a duty holder to act correctly can result in criminal liability under the Building Safety Act. And this underscores why robust record keeping is non-negotiable. Now let's move on to an example when a change is introduced midway through the project and the steps that should be taken. So imagine the project is halfway through construction and it consists of a 25-story residential tower and you have a subcontractor which proposes switching the insulation material due to supply issues. What steps should be taken following this proposal is firstly the principal contractor should identify the change request. Then the principal designer should assess the implications, particularly whether the new material affects fire performance. Following this assessment, the change is then classified based on risk. If fire classification differs it is likely to become a notifiable change. Then once the classification is set the client must then ensure notification is submitted to the Building Safety Regulator before installation proceeds. And then the process is concluded whereby the change assessment and correspondence are uploaded to the change control log. This process ensures transparency and preserves the chain of accountability. The change control plan works alongside several other key documents required that gateway to including the construction control plan which explains how the project will be executed safely and in compliance. The fire and emergency file outlining fire safety provisions and must be updated whenever changes affect them. Another key document is the Building Regulations Compliant Statement confirming how the design meets each regulation and lastly the competence declaration forms which demonstrate that duty holders have fulfilled their roles. Updates to any of these documents that impact compliance automatically trigger a controlled change. Now what happens in cases where you have partial completion and staged works? How are those recorded? So some higher risk building projects are approved to be constructed in stages. If a staged work statement has been submitted any modification to these stages can trigger a notifiable change. Similarly changing a partial completion strategy for example handing over certain floors earlier also requires four more notification to the Building Safety Regulator. These changes affect how safety is managed at handover therefore maintaining clear documentation is vital for both regulatory and resident assurance purposes. Failure to manage change properly could invalidate approvals delay completion certification and ultimately prevent the building from being lawfully occupied. In such instances the Building Safety Regulator has the authority to issue stop notices, require remediation or even pursue prosecution where control changes are not appropriately notified or recorded. Moreover at Gateway 3 when applying for your completion certificate the applicant will need to provide the change control log and evidence that all changes were properly authorized. The Regulators Review includes examining how well the change control plan was followed not just whether the building physically complies. Once past the final step as construction near completion the final submission to the Building Safety Regulator at Gateway 3 should include an updated fire and emergency file compliance declaration the mandatory occurrence reports and the complete change control log. This evidence package must demonstrate that every change from approval to completion was controlled, assessed, recorded and approved. Once the Building Safety Regulator reviews these and is satisfied a completion certificate is issued legally permitting occupation without it a high-risk building can't be registered for use. Now before we close out today's episode, some common pitfalls duty holders and consultants tend to misunderstand when compiling the change control log include treating recordable changes as to trivial to log, failing to cross-check whether a substitution affects fire performance, making layout changes within individual units without notifying the Building Safety Regulator forgetting to update linked documents such as fire files or construction control statements or having poor coordination between design and site teams leading to unrecorded installation differences. Each of these issues can unravel compliance at Gateway 3 so awareness and training is vital. At its heart, the new change control regime isn't only about forms and logs, it's about culture. The Grenfell Tower inquiry revealed systematic weaknesses where design intent was lost between architect drawings and site implementation. The new process expects all project participants to view change control as part of ethical architectural practice, not a bureaucratic burden. Therefore, transparent reporting of change will protect the public but also protect professionals. A properly documented change shows diligence, rational decision-making and compliance with statutory duties. Before I move on to today's example scenario, let's quickly sum up what we ran through today. So once the project receives Building Safety Regulator approval at Gateway 2, all alterations to the approved plans, procedures or documents are classified as controlled changes. This includes any variation from the approved drawings, construction methods, materials or stages of work. Each change must be either recorded, notified or re-approved depending on its potential impact on compliance with Building Regulations. Failure to manage and document these changes accurately can invalidate building control approval and trigger regulatory enforcement action. Changes are categorized according to their impact on building safety. So firstly, we have recordable changes relating to minor modifications that don't affect compliance, for example, equivalent product substitutions, then we have notifiable changes which relate to alterations that might affect compliance. For example, internal layouts, pipe openings or updates to fire documentation. These must be reported to the Building Safety Regulator before work proceeds. And then we have major changes which are significant amendments. For example, high increases, structural redesigns or fire strategy shifts. These changes are required to have a formal change control application and prior approval from the Building Safety Regulator before any related work can continue. Each type of change must be locked in the change control lock and all relevant agreed documents must be updated to reflect the modification. All control changes must also be included in a compliance declaration. Confirming that the building continues to meet all applicable building regulations following the change. For major or notifiable changes, supporting evidence should be submitted through the Building Safety Regulators online system. And the regulator may request further information during their six week assessment window. Now the responsibility for assessing, recording and notifying changes lies collectively with the client, principal designer and principal contractor. Neglecting these duties can result in enforcement notices, project delays or even criminal liability. Therefore, proper change management is essential not only for safety and legal compliance but also for protecting professional accountability and also maintaining gateway three certification eligibility. So that captures what I wanted to discuss today relating to the process of recording changes under the new regime. Now let's quickly look at an example scenario. Illustrating what counts as a notifiable change under the Building Safety Act 2022 and the high-risk buildings England regulations 2023. So imagine the principal designer on a 20-story residential tower that is well into construction. The project has already received gateway to building control approval from the Building Safety Regulator. Now during construction, the principal contractor approaches you with a request that the on-site management team wants to install a new maintenance access door between two service riser rooms to simplify plant maintenance. The proposed door would pass through a fire resisting wall that currently separates two fire compartments. So firstly you would identify and classify the change. At first glance it seems that it's a minor change just an extra door but because the walling question forms a fire compartment boundary this modification could alter the building's fire and evacuation strategy. Under the Building Safety Regulator's guidance this type of alteration is a controlled change and more specifically an notifiable change. That's because it could affect compliance with the building regulations even if it's not definite that it will. Examples of this kind of potential impact include compromising required fire separation measures, changing the means of escape routes or timings or requiring alterations to the fire and emergency fire or compliance documentation. So then you would apply the change control plan. So the project's change control plan sets out how to handle each situation. The principal designer logs the proposed change in the change control log describing who raised the change request, the location and nature of the proposed change and the potential regulatory areas affected. So then the principal designer would consult a fire engineer to undertake an impact assessment and they confirm that the addition of a new opening requires protection with fire rated doors and additional smoke seals and that this must be reflected in the fire strategy documentation. Because the change modifies a fire compartment boundary it meets the threshold for notifiable change. So then once that's determined the building safety regulator will need to be notified. Therefore the client as the duty holder responsible for overall compliance sends a notification of the proposed change to the building safety regulator. This submission includes the updated fire strategy drawings, the fire engineer's technical justification and evidence showing continued compliance with building regulations part B. Until the building safety regulator is notified and the change is accepted construction work on that section has to stop. Other unrelated work can continue. Once the notification and submission is reviewed by the building safety regulator and they confirm that the new fire rated opening maintains compliance provided the specified door set is installed then the change control log can be updated with this outcome. The fire and emergency file and golden thread documents should be revised and the door manufacturer's documentation should be indexed within the compliance record. So this example shows that even a relatively small physical alteration such as a new doorway can require notification because it potentially affects fire safety performance and regulatory compliance. The key takeaways for architects and project teams is this if in doubt assess and notify and always record justification and decisions. This documentation will later form parts of your gateway 3 submission for the completion certificates. So that covers what I wanted to discuss today. Thanks for tuning in and we'll catch you in the next episode. If you would like to get in contact with me please feel free to email me on the address provided in the show notes. Thank you for listening. This is an educational show aimed at supporting the future generation of architects. The information opinions and recommendations presented in this podcast are for general information only and any reliance on the information provided in this podcast is done at your own risk. Please join me next week for some more part three with me time.