Who Are the Dutyholders for Regulation 38 Compliance?
Fire safety information is only useful when the right people take responsibility for creating, managing and handing it over. That is why understanding the role of the Regulation 38 dutyholder is now essential for developers, contractors, designers, building owners and responsible persons across England.
The Building Safety Act 2022 and the 2023 amendments to the Building Regulations transformed how dutyholders operate during the design and construction process. Regulation 38 no longer sits as a simple handover requirement at project completion. It now forms part of a wider dutyholder framework that places legal accountability on clients, designers, contractors, principal designers and principal contractors.
For anyone involved in construction, refurbishment or change of use projects, understanding who carries responsibility for Regulation 38 compliance is critical. Failure to provide accurate fire safety information can delay completion, expose organisations to enforcement action and create serious operational fire safety risks after occupation.
This article explains who the dutyholders are, what each dutyholder must do and how the Regulation 38 process works in practice.
What Is Regulation 38?
Regulation 38 of the Building Regulations 2010 requires fire safety information to be handed over to the responsible person for a building. The regulation applies where building work involves:
- The erection or extension of a relevant building
- A relevant change of use
- Work where Part B Fire Safety requirements apply
Regulation 38 states that the person carrying out the work must provide fire safety information to the responsible person no later than completion or occupation of the building, whichever occurs first.
The regulation defines fire safety information as information relating to:
- The design and construction of the building
- Fire safety systems
- Services and equipment
- Operational and maintenance requirements
The purpose is to allow the responsible person to operate and maintain the building safely after occupation.
Since October 2023, the regulations have introduced additional duties that require:
- Confirmation that information has been provided
- Acknowledgement by the responsible person
- Notification to the relevant authority
- Evidence of steps taken where acknowledgements are not received
These amendments significantly increased the importance of the Regulation 38 dutyholder process.
Why Dutyholders Matter Under Regulation 38
Historically, many projects treated Regulation 38 as a late-stage paperwork exercise. Information was often incomplete, inconsistent or delivered too late to support building occupation.
The new dutyholder framework changed this approach completely.
The Building Regulations etc. (Amendment) (England) Regulations 2023 introduced formal dutyholder roles and competence requirements into the Building Regulations.
These changes created clear accountability for:
- Planning compliance
- Managing fire safety information
- Coordinating design and construction
- Ensuring competent delivery
- Supporting the responsible person
As a result, Regulation 38 compliance now depends on multiple dutyholders working together throughout the project lifecycle.
Who Is the Regulation 38 Dutyholder?
There is no single “Regulation 38 Dutyholder” named directly within the legislation. Instead, several dutyholders have responsibilities that contribute to Regulation 38 compliance.
The main dutyholders are:
- Client
- Designer
- Contractor
- Principal Designer
- Principal Contractor
- Responsible Person
Each role carries specific legal duties under the Building Regulations.
The Client’s Responsibilities
The client sits at the top of the dutyholder structure.
Under the 2023 amendments, clients must make suitable arrangements for planning, managing and monitoring projects to ensure compliance with all relevant requirements.
The client must:
- Allocate sufficient time and resources
- Ensure competent appointments
- Provide building information
- Maintain suitable arrangements throughout the project
- Enable cooperation between dutyholders
For Regulation 38 compliance, the client plays a critical coordination role.
Although the contractor usually delivers the final fire safety information package, the client must ensure systems exist for information gathering throughout the project.
Clients also carry responsibility for appointing:
- Principal Designers
- Principal Contractors
These appointments must happen before construction begins on projects involving more than one contractor.
If the client fails to make these appointments, the client may inherit those duties directly.
Why Clients Often Create Regulation 38 Problems
Many Regulation 38 failures begin with procurement decisions.
Common client failures include:
- Appointing contractors too late
- Poor document control
- Fragmented design teams
- Inadequate information requirements
- No clear fire strategy ownership
- Lack of digital asset management
Where clients do not establish a clear compliance process early, the final Regulation 38 package often becomes incomplete or inconsistent.
The Designer’s Responsibilities
Designers have direct duties relating to compliance and coordination.
The regulations define a designer as any person carrying out design work or arranging for others to do so.
Designers must:
- Ensure designs comply with Building Regulations
- Coordinate with other designers
- Provide sufficient information about the design
- Support compliance with relevant requirements
For Regulation 38 purposes, designers generate much of the technical information required for handover.
This typically includes:
- Fire strategies
- Smoke control design information
- Fire alarm specifications
- Compartmentation details
- Means of escape provisions
- Structural fire protection details
Designers must also report concerns regarding compliance to the Principal Designer.
Why Design Information Often Causes Regulation 38 Gaps
On many projects, fire safety information evolves during construction. Value engineering, specification changes and late-stage substitutions can all affect fire performance.
Where designers do not update information throughout the project, the final Regulation 38 package may contain:
- Outdated drawings
- Superseded specifications
- Missing fire stopping details
- Incorrect maintenance requirements
This creates operational risks for the responsible person after occupation.
The Contractor’s Responsibilities
The contractor carries one of the most direct Regulation 38 obligations.
Regulation 38 specifically states:
“The person carrying out the work must give fire safety information to the responsible person…”
In practice, this usually means the principal contractor or main contractor.
Contractors must:
- Ensure work complies with regulations
- Coordinate site information
- Provide sufficient information about the work
- Support compliance with all relevant requirements
The contractor normally compiles the final Regulation 38 information package.
This often includes:
- As-built fire drawings
- O&M manuals
- Cause and effect matrices
- Fire alarm commissioning records
- Smoke control testing
- Fire door schedules
- Fire stopping records
- Product certification
- Maintenance requirements
Since October 2023, contractors must also:
- Obtain acknowledgement from the responsible person
- Notify the relevant authority that handover occurred
- Record steps taken if acknowledgements are not received
These additional obligations significantly increased contractor accountability.
The Principal Designer’s Responsibilities
The Building Regulations Principal Designer has a major coordination role under the dutyholder regime.
The Principal Designer must:
- Plan, manage and monitor design work
- Coordinate designers
- Ensure compliance across the design team
- Liaise with the Principal Contractor
For Regulation 38 compliance, the Principal Designer helps ensure:
- Fire safety information remains coordinated
- Design changes are tracked
- Fire strategy updates are reflected
- Information requirements are identified early
The Principal Designer also supports the “golden thread” approach promoted by the Building Safety Act.
This means maintaining accurate and accessible information throughout the building lifecycle.
The Principal Designer’s Growing Importance
The Principal Designer role has become increasingly important because fire safety compliance now depends heavily on information management rather than just physical construction.
Many Regulation 38 failures occur because:
- Design changes are undocumented
- Consultants work in isolation
- Fire engineering information becomes fragmented
- Contractors receive incomplete design data
The Building Regulations Principal Designer helps prevent these failures.
The Principal Contractor’s Responsibilities
The Principal Contractor manages the construction phase.
Their duties include:
- Planning and monitoring building work
- Coordinating contractors
- Ensuring compliance during construction
- Liaising with the Principal Designer
For Regulation 38 compliance, the Principal Contractor often becomes the central information coordinator.
This includes managing:
- Subcontractor documentation
- Product approvals
- Installation evidence
- Testing records
- Inspection reports
- Fire stopping verification
- Commissioning information
The Principal Contractor usually oversees the final assembly of the Regulation 38 package before handover.
The Responsible Person’s Role
The responsible person sits outside the construction dutyholder framework but plays a critical role in Regulation 38 compliance.
Under Regulation 38, the responsible person must:
- Acknowledge receipt of fire safety information
- Confirm the information is sufficient to operate and maintain the building safely
This requirement created a much stronger operational link between construction and occupation.
The responsible person may include:
- Building owners
- Employers
- Managing agents
- Facilities management organisations
The responsible person ultimately relies on Regulation 38 information to discharge duties under the Regulatory Reform (Fire Safety) Order 2005.
Competence Requirements for Dutyholders
One of the biggest changes introduced in 2023 involved competence obligations.
The regulations now require dutyholders to possess:
- Skills
- Knowledge
- Experience
- Appropriate behaviours
Organisations must also demonstrate organisational capability.
This has major implications for Regulation 38 compliance because poor information quality often reflects competence failures.
Examples include:
- Incomplete fire door records
- Missing commissioning certificates
- Poor fire stopping documentation
- Inaccurate as-built drawings
- Non-compliant product substitutions
Competence now forms a legal requirement, not just best practice.
How Regulation 38 Compliance Works in Practice
A compliant Regulation 38 process usually follows these stages:
1. Early Planning
The client and Principal Designer establish:
- Information requirements
- Responsibility matrices
- Digital document management systems
- Fire safety information protocols
2. Design Coordination
Designers produce:
- Fire strategies
- Compliance drawings
- Specifications
- System requirements
3. Construction Information Collection
Contractors gather:
- Installation records
- Product data
- Inspection evidence
- Commissioning certificates
- Test results
4. Verification and Review
The Principal Contractor and Principal Designer review:
- Completeness
- Accuracy
- Consistency
- Compliance
5. Handover to the Responsible Person
The contractor provides the final Regulation 38 package.
The responsible person acknowledges receipt and confirms adequacy.
6. Notification to the Relevant Authority
The contractor confirms compliance with the notification requirements introduced in 2023.
Common Regulation 38 Dutyholder Failures
Many projects still struggle with Regulation 38 compliance.
Common failures include:
Late Engagement
Projects often leave Regulation 38 until practical completion.
This creates rushed information gathering and missing documentation.
Poor Coordination
Designers, contractors and subcontractors frequently use disconnected systems.
This leads to inconsistent records.
Inadequate Fire Stopping Records
Fire stopping documentation remains one of the largest compliance gaps across UK projects.
Missing As-Built Information
Final installations often differ from approved designs.
Without accurate as-built records, the responsible person cannot manage fire safety effectively.
No Clear Ownership
Many projects still lack a clearly defined Regulation 38 lead.
This causes duplication, omissions and delays.
Why Regulation 38 Audits Are Increasing
The construction industry is seeing growing demand for independent Regulation 38 audits because dutyholders face increasing legal exposure.
Audits help organisations:
- Identify missing information
- Verify compliance
- Improve document quality
- Reduce handover delays
- Support responsible persons
- Demonstrate due diligence
Independent reviews also help clients and contractors avoid disputes during project completion.
Regulation 38 and Higher-Risk Buildings
For higher-risk buildings, the regulatory environment becomes even more demanding.
The 2023 amendments introduced a separate regime for higher-risk buildings under the Building Safety Act framework.
Although Regulation 38 itself does not directly apply to higher-risk building work under certain procedural routes, the underlying fire safety information obligations remain critical within the wider building safety regime.
Dutyholders working on higher-risk buildings must therefore maintain far more rigorous information management processes.
The Future of the Regulation 38 Dutyholder Role
The role of the Regulation 38 dutyholder will continue evolving.
Several trends are already shaping future compliance expectations:
- Digital golden thread platforms
- Increased enforcement activity
- Stronger competence assessments
- More structured handover procedures
- Enhanced accountability for fire safety records
- Greater scrutiny from insurers and lenders
As building safety regulation continues to mature, dutyholders will face increasing pressure to demonstrate robust information management throughout the building lifecycle.
Conclusion - Regulation 38 Dutyholder
The concept of the Regulation 38 Dutyholder now extends far beyond simple document handover at project completion.
Today, Regulation 38 compliance depends on coordinated legal duties shared across:
- Clients
- Designers
- Contractors
- Principal Designers
- Principal Contractors
- Responsible Persons
The 2023 amendments transformed Regulation 38 into a structured accountability process supported by competence requirements, notification duties and formal acknowledgements.
Projects that treat Regulation 38 as an afterthought face growing risks including enforcement action, delayed occupation, incomplete fire safety records and operational safety failures.
Successful compliance now requires early planning, coordinated information management and clear ownership across the entire project team.
For developers, contractors and building owners, independent Regulation 38 audits and structured compliance processes are becoming essential tools for reducing risk and meeting modern building safety expectations.
Relevant legislation includes the Building Regulations 2010 and the Building Regulations etc. (Amendment) (England) Regulations 2023.
FAQs - Regulation 38 Dutyholders
Who is responsible for Regulation 38 compliance?
The contractor carrying out the work has the direct obligation to provide fire safety information to the responsible person. However, compliance depends on coordinated duties involving the client, designers, principal designer and principal contractor.
What is a Regulation 38 dutyholder?
A Regulation 38 dutyholder refers to any party with legal responsibilities contributing to fire safety information compliance under the Building Regulations.
What information must be included in a Regulation 38 package?
Typical contents include:
- Fire strategies
- As-built drawings
- Fire alarm information
- Smoke control documentation
- Fire door schedules
- Fire stopping records
- Product certification
- Testing and commissioning certificates
- Maintenance requirements
When must Regulation 38 information be provided?
The information must be provided no later than completion or occupation of the building, whichever occurs first.
What changed in Regulation 38 after October 2023?
The 2023 amendments introduced:
- Responsible person acknowledgements
- Notifications to relevant authorities
- Additional contractor duties
- Wider dutyholder accountability
Does Regulation 38 apply to all buildings?
No. It applies where Part B Fire Safety requirements apply and where the building falls within the scope of the Regulatory Reform (Fire Safety) Order 2005.
What happens if Regulation 38 information is incomplete?
Incomplete information can delay completion, create enforcement risks and prevent the responsible person from managing fire safety effectively.
What is the role of the responsible person in Regulation 38?
The responsible person must acknowledge receipt of fire safety information and confirm it is sufficient for safe operation and maintenance of the building.
Contact - Regulation 38 Dutyholder
To commission a Regulation 38 Audit please call 020 4534 3130.
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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