Building Regulations – key considerations for heat networks

Written by Louise Mansfield, Tim Kittow and Ffion Benham

This article summarises some of the key issues raised in our recent Points of Connection webinar - Building Regulations – key considerations for heat networks. Points of Connection is our series of webinars, articles and newsletters to support anyone operating in, or coming into, the district energy sector to learn more about heat networks. You can view our full Points of Connection webinar series or visit our Points of Connection hub.

When conducting any heat network related work, it is important to consider the application of the Building Regulations 2010 and the Building Safety Act 2022 from the outset. Within this article, all things Building Regulations are discussed, as well as what steps and procedures must be adhered to in order to ensure compliance.

 Is Building Control approval required? 

When considering whether Building Control approval is required, the following question should be asked: 

“Is it Building Work?” 

If the answer is yes, then the following requirements must be met, which will be discussed in more detail throughout this article: 

1. Functional requirements within Schedule 1 of the Building Regulations 2010
2. Building Control approval (whether that be through an application to a regulator or self-certified via an installer registered with a competent person scheme)
3. Competent duty holders must be appointed to ensure the regulations are complied with. 

What is ‘Building Work’? 

The answer to this question  may appear straight forward. However, in reality, the answer is not that simple. 

Under Regulation 3 of the 2010 Regulations, Building Work is defined as: 

• Building new buildings or extensions
• Materially altering controlled services, fittings or buildings so that they are less compliant with Schedule 1 parts A, B1, B3, B4, B5, M and / or T (a material alteration)
• Changing what they are used for
• Installing or extending a ‘controlled service’ in or in connection with a building
• Installing or extending a ‘controlled fitting’ in or in connection with a building
• Renovation of thermal elements
• Change of energy status
• Improvements to energy performance – where new or increasing installed capacity of fixed building service (if over 1,000m2)
• Energy works (which can start before a Building Control application is submitted) 

It is important to note that the above definition does not include minor pieces of work listed in Schedule 4, which are considered exempt. 

Heat networks can be a controlled service/fitting 

As defined in Regulation 2 of the 2010 Regulations, a controlled service or fitting includes a service or fitting in relation to which certain parts of Schedule 1 impose a requirement, including Part G (hot water supply and systems), Part J (combustion appliances), Part P (electrical installations) and Part L (conservation of fuel and power). Therefore, it is likely that heat networks will be a controlled service and thus be considered Building Work for the purposes of Regulation 3. In order to fall within the definition, the works must be taking place either in a building or connected to a building (which could include a residential or commercial space and also any enclosed space in which plant is located), although the underground pipework between buildings relating to a heat network may escape the definition, depending on the circumstances.

If the works impact on the structure of the building or fire compartmentation, the work may also be building work by virtue of being a material alteration. 

Scheme work 

It is also important to consider Scheme work under Schedule 3 of the 2010 Regulations. If the work falls within the category of Scheme work and is completed by an installer registered with a listed competent person scheme, then the individual who completed to work can self-certify that the works comply with Schedule 1, rather than going through the building control approval process. 

In simple terms, if the works being completed fall within List (A) below, and the works are being completed by an individual who is correctly authorised and regulated (such as under the Association of Plumbing and Heating Contractors (Certification) Limited), then the works will fall within Scheme works and can be self-certified. 

List A: Installation of: 

1. A heat-producing has appliance
2. An oil-fired combustion application or oil storage tanks and the pipes connecting them to combustion appliances
3. A solid fuel-burning combustion appliance other than a biomass appliance
4. A heating or hot water system, or its associated controls
5. A system to produce electricity, heat or cooling by microgeneration or from renewable sources. 

Schedule 3 and the up-to-date list of approved schemes should be consulted.

Duty holders must be appointed 

When any “Building Work” is taking place, the next stage to consider is the appointment the following competent duty holders: 

1. Client – the individual/organisation commissioning the works
2. Principal Designer (PD) – appointed by the client under the Regulations, and should plan, manage, monitor and coordinate safety and Building Regulation compliance during the pre-construction phase
3. Principal Contractor (PC) – appointed by the client under the Regulations, and should plan, manage, monitor and coordinate safety and Building Regulation compliance during the construction phase
4. Other designer (if required and appointed by the Client or PD) – responsible for preparation or modification of the design of the project to eliminate, reduce or control foreseeable risks during construction or maintenance
5. Other contractor (if required and appointed by the Client or PC) – manages and controls the construction of the works so that it is carried out without risks to health and safety and ensuring compliance with the Regulations. 

It is important to note that both the PD and PC must take all reasonable steps to ensure the design and works have been completed in compliance with the Building Regulations. 

The duties of the individuals assigned to these roles will differ and depend on whether the works relate to ordinary buildings or Higher-Risk Buildings (HRBs), defined further below. 

Client 

The client’s ordinary duties include allocating sufficient resources, providing the building information to the correct parties and appointing a competent PC and PD. They must also ensure that suitable arrangements are in place, maintained and reviewed throughout to ensure compliance, as well as cooperating with all parties to ensure the smooth running of the project. 

In relation to HRBs, these duties are extended to include informing all other parties that the works are higher risk, periodically reviewing the works and managing the Building Control application. They must also maintain the ‘golden thread’, which consists of keeping all relevant and important information documented and filed in a safe place. This information should be kept accurate and up-to-date through the lifecycle of the project within an accessible electronic format. 

PD & PC 

The PD must be  part of the design team, and must be able to have influence over design decisions. The PD has a number of duties including planning, managing, monitoring and coordinating all design related matters. They must also assess the design work to make sure all designers produce designs that are compliant with the Building Regulations, as well as comply with their own duties under the regulations. Similarly, they must work with the PC and the client and share all relevant information with them, as well as providing information to others if required. 

The duties of the PC are similar to that of the PD. The PC must plan, manage and monitor the building work during the construction phase, and coordinate matters relating to the building work comprised in the project to ensure the building work is in compliance with all relevant requirements. They must not accept non-compliant Building Work. 

Regarding HRBs, both the PD and PC’s duties are to adhere to the mandatory occurrence reporting system, assist with the maintenance of the golden thread, and provide evidence to the client that any designers or contractors appointed are competent.

Competence 

With reference to the competency requirements, it is important that any person appointed to carry out building or design work for the project must have the following four key competencies/ Detailed records of the checks made must be retained. 

1. Skills 
   • Preparing specifications whilst considering functional and other requirements 
   • Establishing user requirements
   • Implementing design solutions whilst also considering critical constraints
   • Ensuring the design results in appropriate practical outcomes. 
2. Knowledge
   • Identifying standards and codes of practice
   • Developing systems and procedures
   • Conducting complex and non-standard technical analyses 
   • Reviewing specifications and tenders to identify technical issues and potential improvements. 
3. Experience
   • Evaluating potential methods of carrying out a test and selecting appropriate solutions 
   • Recognising a difficulty and identifying a resolution
   • Identifying an improvement in a technique, procedure, process or method. 
4. Behaviour
   • Demonstrating leadership, communication and responsibility
   • Managing competency and understanding duty of care. 

Design and Construction for HRBs – Part 3 BSA 2022 

Defining a ‘Building’

According to Part 3 of the BSA 2022, a HRB is a building in England that is: 

• At least 18 meters in height or has at least 7 storeys; and
• A building which contains at least two residential units, is a hospital or a care home. 

There is specific guidance on how to measure the building, starting at the lowest part of the ground which touches the building and measuring up to the top of the floor surface of the top occupied storey. 

If a structure is being built, but that structure is part of a wider building, it may be possible to separate the various structures into independent sections which can then be treated as a “building” in their own right. This mean that wider projects can be split and that even if some parts are a HRB, other parts can be treated separately. In order to be an independent section on its own accord, it must have: 

• Its own entrance and exit to the outside, which is accessible from anywhere within that section; and either
• A) Has no access to any other section within the overall structure; or 
• B) Only has access to another section of the overall structure which does not contain a residential unit. 

It is important to note that this does not apply to new buildings. 

Design and Construction Considerations 

When an application for building control approval is made in relation to a HRB, this must be made to the Building Safety Regulator (BSR) for approval and the Gateway Regime process should be followed. 

Under Gateway 1, the Planning Gateway, a client should focus on ensuring that fire-safety risks are considered, including the adequacy of the building layout and the access requirements. This is to ensure all fire-safety requirements, which are critical to all Building Works, are dealt with from the outset. The BSR will be consulted by the local planning department.

The Building Control Approval application, which is known as Gateway 2, is where the client will submit all the relevant information in a form of an application to the BSR for approval. This information should include the design intent, the design decisions regarding fire and structural safety, and evidence on how the works will comply with the Building Regulations Schedule 1. The client must provide sufficient information to allow the BSR to follow and understand the process in a simple way so that approval can be given without any complications. This is crucial, as construction cannot begin until the BSR is satisfied with the information provided. 

Under Gateway 2, the BSR has 12 weeks to decide on an application for new buildings, and 8 weeks to decide if the works relate to an existing HRB. Albeit these timeframes are in place, they may not always be adhered to, and so it is important for the client to submit their full applications as soon as possible. If a major change is made to the application, then further applications may be required, and so clients should be advised to avoid making any changes once Gateway 2 has been submitted. 

The final Gateway, Gateway 3, is when the client can apply for approval from the BSR which is given to them in the form of a Completion Certificate. Only after a thorough check of the works has been completed will a certificate be issued, and approval can take up to 8 weeks. 

In order to obtain Building Control approval, clients must also provide: 

1. Fire Safety 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 reasonable person to operate and maintain the building or extension with reasonable safety; and 
2. Compliance declarations on completion of work – confirming that the Building Work is completed and complies with the Building Regulations, including a statement from the PC and PD that they have complied with the regulations. 

Therefore, there are numerous factors to be considered by a client when commissioning a heat network, and the importance of the Building Regulations within this context cannot be understated. Clients should be advised to keep all relevant information documented and be aware of the specific requirements and timeframes applicable to ensure a smooth-running project from the outset. 

If you would like to discuss any of the issues raised in this article please contact Louise Mansfield or Tim Kittow who will be happy to discuss.