What Documents Are Required Under Regulation 38?
If you manage, design, construct, own, or occupy a commercial or multi-occupancy building in England or Wales, understanding the required Regulation 38 documents is essential. Regulation 38 of the Building Regulations 2010 places a legal duty on those carrying out building work to provide fire safety information to the responsible person when the project completes.
The purpose of Regulation 38 is simple. The responsible person must receive enough information to operate, maintain, and manage the building safely after occupation. Without accurate and complete fire safety documentation, building operators cannot effectively manage fire risks, maintain systems, or comply with ongoing duties under the Regulatory Reform (Fire Safety) Order 2005.
Since October 2023, the requirements have become more robust. The Building Regulations etc. (Amendment) (England) Regulations 2023 introduced new notification duties, acknowledgements, and accountability measures connected to Regulation 38 compliance.
This guide explains exactly which regulation 38 documents are typically required, why they matter, who is responsible for providing them, and how dutyholders can avoid common compliance failures.
What Is Regulation 38?
Regulation 38 applies where building work includes:
- The erection or extension of a relevant building
- A relevant change of use
- Work where Part B Fire Safety requirements apply
The regulation requires the person carrying out the work to provide fire safety information to the responsible person before occupation or completion.
The legislation defines fire safety information as:
“Information relating to the design and construction of the building or extension, and the services, fittings and equipment provided in or in connection with the building or extension which will assist the responsible person to operate and maintain the building or extension with reasonable safety.”
In practice, this means the responsible person must receive a complete and usable package of fire safety records, drawings, specifications, certificates, and operational guidance.
Why Regulation 38 Documents Matter
Many building owners discover after occupation that they lack critical fire safety information. Missing documentation creates significant operational and legal risks.
Without complete regulation 38 documents, responsible persons may struggle to:
- Maintain fire protection systems
- Understand compartmentation strategies
- Conduct suitable fire risk assessments
- Manage future refurbishments safely
- Demonstrate compliance to enforcing authorities
- Respond effectively during emergencies
The Grenfell Tower Inquiry highlighted widespread failures in record keeping, fire safety coordination, and information handover across the construction industry. Regulation 38 now forms part of a broader push toward improved accountability and building safety management.
The 2023 amendments strengthened this further by requiring formal confirmation that fire safety information has been handed over and acknowledged by the responsible person.
Who Must Provide Regulation 38 Documents?
The “person carrying out the work” has the legal responsibility to provide the information. Depending on procurement structure, this may include:
- Principal contractors
- Design and build contractors
- Developers
- Main contractors
- Specialist contractors
Under the new dutyholder regime introduced in 2023, clients, designers, contractors, principal designers, and principal contractors all have duties relating to compliance information and coordination.
The responsible person receiving the information is usually:
- The building owner
- Employer
- Facilities management company
- Occupier
- Managing agent
The responsible person must also acknowledge receipt of the information and confirm that it is sufficient for operating and maintaining the building safely.
What Regulation 38 Documents Are Typically Required?
The legislation does not provide a definitive checklist. Instead, the required documents depend on the building type, complexity, occupancy, and fire safety systems installed.
However, most compliant regulation 38 document packages include the following categories.
Fire Strategy Report
The fire strategy is usually the core document within a Regulation 38 package.
It explains the building’s overall fire safety design approach, including:
- Means of escape
- Occupancy assumptions
- Compartmentation principles
- Fire resistance requirements
- Smoke control strategy
- Evacuation procedures
- Firefighting access
- Structural fire protection
- Active fire systems
The fire strategy provides the foundation for future building management and fire risk assessments.
For complex developments, multiple fire strategy revisions may exist through design and construction stages. The final as-built version should always form part of the handover documentation.
As-Built Fire Safety Drawings
Accurate as-built drawings are critical regulation 38 documents.
These drawings typically include:
- Fire compartmentation plans
- Fire stopping details
- Escape route layouts
- Fire door schedules
- Smoke control layouts
- Sprinkler system layouts
- Fire alarm zoning plans
- Firefighting shafts and risers
- Evacuation lifts
- Fire hydrant locations
Drawings should reflect the completed building rather than design-stage assumptions.
Poor-quality or outdated drawings are one of the most common causes of Regulation 38 non-compliance.
Fire Alarm System Documentation
Fire alarm documentation should include:
- System design certificates
- Commissioning certificates
- Zone charts
- Cause and effect matrices
- Equipment schedules
- Operating manuals
- Maintenance requirements
- User instructions
- As-fitted drawings
This information enables facilities teams and maintenance providers to manage the fire alarm system safely and effectively.
Emergency Lighting Documentation
Emergency lighting records usually include:
- Layout drawings
- Lux level calculations
- Test certificates
- Commissioning records
- Product data sheets
- Maintenance instructions
- Testing schedules
Responsible persons rely on this information to maintain safe evacuation routes throughout the building lifecycle.
Fire Door Documentation
Fire doors are one of the most frequently inspected elements during fire risk assessments.
Regulation 38 documents for fire doors should include:
- Door schedules
- Fire resistance ratings
- Ironmongery specifications
- Certification records
- Installation details
- Inspection records
- Maintenance guidance
Where third-party certified products have been used, certification details should also be retained.
Passive Fire Protection Records
Compartmentation failures remain one of the biggest risks in modern buildings.
Passive fire protection documentation should include:
- Fire stopping records
- Penetration seal details
- Product specifications
- Installation photographs
- Inspection reports
- Third-party certification
- Compartment wall drawings
- Ceiling barrier layouts
Digital photographic evidence is increasingly expected as part of best practice.
Smoke Control System Information
Smoke ventilation systems require specialist operational information.
Relevant regulation 38 documents may include:
- Smoke control strategy
- CFD modelling reports
- Commissioning certificates
- Control logic documentation
- Testing records
- Operating manuals
- Maintenance instructions
- As-installed schematics
Without this information, building managers may struggle to test or maintain systems properly.
Sprinkler and Suppression System Documentation
Where suppression systems are installed, the handover package should contain:
- Design certificates
- Hydraulic calculations
- Commissioning certificates
- Valve schedules
- Water supply details
- Zone drawings
- Testing procedures
- Maintenance guidance
This documentation supports ongoing compliance with insurer requirements and British Standards.
Structural Fire Protection Information
For larger or more complex buildings, Regulation 38 information may include:
- Structural fire engineering reports
- Intumescent coating specifications
- Fire resistance calculations
- Steel protection inspection records
- Structural loading assumptions
This information becomes particularly important during future refurbishment works.
Fire Safety Management Information
The responsible person also needs operational guidance to manage the building safely.
This may include:
- Fire evacuation procedures
- Occupancy assumptions
- Fire safety management plans
- Testing schedules
- Maintenance responsibilities
- Emergency contact details
- Training requirements
Buildings with phased evacuation or stay-put strategies require particularly clear management information.
Product and System Certification
Third-party certification forms a major part of many regulation 38 documents.
Examples include:
- CE or UKCA documentation
- Third-party certification schemes
- Installer competency records
- Product conformity certificates
- Test evidence
- Accreditation records
These records help demonstrate that systems and products were suitable for their intended fire safety function.
Operation and Maintenance Manuals
Operation and maintenance manuals are often combined into a wider O&M package.
Relevant fire safety information may include:
- Equipment operating instructions
- Planned maintenance schedules
- Manufacturer guidance
- Inspection intervals
- Fault procedures
- Replacement part information
The information should be organised clearly and remain usable throughout the building lifecycle.
What Has Changed Since October 2023?
The 2023 amendments introduced important procedural changes to Regulation 38 compliance in England.
The updated process now requires:
- Fire safety information to be provided to the responsible person
- The responsible person to acknowledge receipt
- Confirmation that the information is sufficient to operate and maintain the building safely
- Notification to the relevant authority confirming handover
These changes increase accountability and create a clearer compliance trail.
The amendments also introduced specific deadlines for notifications depending on whether self-certification or third-party certification schemes apply.
Are Digital Regulation 38 Documents Acceptable?
Yes. Digital handover is now common industry practice.
Most modern regulation 38 document packages are delivered electronically through:
- Common data environments (CDEs)
- Cloud-based document systems
- BIM platforms
- PDF handover packages
- Digital O&M systems
Digital delivery offers several advantages:
- Easier document retrieval
- Improved version control
- Better long-term storage
- Simpler updates during refurbishment
- Enhanced audit trails
However, the information must remain accessible, organised, and understandable for the responsible person.
Common Problems With Regulation 38 Documentation
Many projects still fail to achieve full compliance.
Common issues include:
Incomplete Information
Missing drawings, certificates, or specifications remain widespread across construction projects.
Poor Coordination
Fire safety information is often fragmented across multiple contractors and consultants.
Outdated Drawings
Design-stage drawings are frequently handed over instead of accurate as-built records.
Unclear Responsibility
Project teams sometimes assume another party is compiling the final Regulation 38 package.
Late Compilation
Many projects attempt to assemble fire safety documentation at the end of construction instead of throughout the project lifecycle.
Inconsistent Formats
Unstructured files and inconsistent naming conventions make future management difficult.
Best Practice for Managing Regulation 38 Documents
Strong document management processes significantly reduce compliance risks.
Best practice includes:
Start Early
Regulation 38 planning should begin during design stages rather than at practical completion.
Define Responsibilities
Appoint clear responsibility for document collation and coordination.
Use Structured Templates
Standardised document structures improve consistency and reduce omissions.
Verify Information During Construction
Site inspections and quality assurance processes should confirm installed systems match design information.
Maintain Live Records
Update documentation continuously throughout the project lifecycle.
Conduct Pre-Handover Audits
Independent audits help identify missing information before completion.
Align With Golden Thread Principles
Although Regulation 38 is separate from the Building Safety Act Golden Thread requirements, both rely on accurate, accessible, and maintained building information.
How Regulation 38 Relates to Higher-Risk Buildings
Higher-risk buildings follow separate procedural requirements under the Building Safety Act regime.
The 2023 amendments specifically disapply Regulation 38 procedural requirements for higher-risk building work because separate processes apply under the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023.
However, fire safety information handover remains fundamentally important within the higher-risk building regime.
The information requirements are typically even more extensive due to Gateway processes and Golden Thread obligations.
Why Independent Regulation 38 Audits Matter
Many clients now commission independent Regulation 38 audits before occupation.
An audit can help verify:
- Completeness of fire safety information
- Accuracy of as-built records
- Compliance with legal requirements
- Coordination between documentation sets
- Usability for facilities teams
- Evidence of system certification
Independent review reduces the risk of enforcement action, operational failures, and future remediation costs.
FAQs About Regulation 38 Documents
What are regulation 38 documents?
Regulation 38 documents are fire safety records, drawings, certificates, manuals, and related information provided to the responsible person after building work is completed.
Is Regulation 38 a legal requirement?
Yes. Regulation 38 forms part of the Building Regulations 2010 and creates a legal duty to provide fire safety information.
Who receives Regulation 38 information?
The responsible person receives the information. This is usually the building owner, employer, occupier, or managing agent under the Regulatory Reform (Fire Safety) Order 2005.
When must Regulation 38 documents be handed over?
The information must be provided no later than completion or occupation, whichever occurs first.
Are digital files acceptable for Regulation 38 compliance?
Yes. Digital handover is widely accepted provided the information remains accessible, complete, and understandable.
Do residential buildings require Regulation 38 documents?
Yes, where the building falls within the scope of the Regulatory Reform (Fire Safety) Order 2005 and Part B applies.
What happens if Regulation 38 documents are missing?
Missing documentation can create enforcement risks, operational safety issues, insurance concerns, and difficulties managing the building safely.
Are fire stopping records part of Regulation 38?
Yes. Passive fire protection records are typically a core part of a compliant Regulation 38 package.
Do higher-risk buildings still require fire safety information?
Yes. Although different procedures apply under the Building Safety Act regime, fire safety information handover remains essential.
Can Regulation 38 information be audited?
Yes. Many organisations commission independent Regulation 38 audits to verify completeness and compliance before occupation.
Final Thoughts
The quality of regulation 38 documents directly affects the long-term safety and management of a building.
Complete and accurate fire safety information enables responsible persons to understand how the building works, maintain critical systems, manage fire risks, and comply with ongoing legal duties.
The 2023 amendments increased accountability and strengthened the compliance process. Project teams can no longer treat Regulation 38 as a last-minute paperwork exercise. Fire safety information management now requires early planning, coordinated delivery, and clear ownership throughout the construction lifecycle.
For developers, contractors, designers, and building owners, investing in robust Regulation 38 compliance reduces operational risk and supports safer buildings long after construction ends.
Contact
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For more information on all aspects of this service see the collection of articles in our blog.
To commission a Regulation 38 Audit please call 020 4534 3130.
For further information on Fire Strategies, Building Safety, FRAEW Surveys, PAS9980, EWS1 forms or advice in respect of your obligations as a building owner, developer or manager, please contact :
Sean Robinson
BSc (Hons) MCIOB MIFSM
Director, Head of Dept.
Building Safety
London
Sarah Taylor
Business Support Manager
Building Surveying
London