O&M (Operations and Maintenance) manuals – also known as building owner’s manuals – play a vital role in ensuring the long life of a building and the smooth running of its infrastructure.

However, the sheer size and detail of O&M manuals added to the fact the contents largely depends on the individual building and its assets, often results in confusion around how O&M information should be defined, curated, accessed and maintained.

In this guide, we give you a straightforward overview of what should be included in your O&M, whether you’re an architect or designer in the early design stages of a project, a contractor gathering O&M data for handover, or a facility manager/owner researching what O&M information you should receive when construction is complete.

Whether you are about to provide the keys to a new multi-million-pound school, a refurbished hospital ward, or a new 2-bed home; owners, operators and occupiers expect a handover pack, commonly known as the ‘as-built’ information, or mistakenly referred to as the ‘O&M manuals’ – more on this later!

Asking a contractor or modular builder what they include in theirs is a bit like asking what their ideal Christmas dinner looks includes. Generally speaking, they’re more or less very similar, but there’s always a bit of variation in there, not to mention the level of quality in regard to ingredients and execution.

So what should contractors include in their handover pack? Well, that’s the first trap many fall into; it’s not their handover pack!

For instance, when designing new features for Operance, we don’t simply dream up new features that we think users will love; we ask the users what features they would love. I say this not just as a metaphor, but our user is the same as yours. In fact, we call our imaginary user ‘Jeff’.

Jeff could be the new school’s Caretaker, the residential block’s Building Safety Manager, the factory’s Asset Manager, or, the hospital’s Facilities Manager. In summary, Jeff is the person that needs the handover pack in order to operate, maintain and keep the new facility safe and efficient at all times.

It is, therefore, Jeff’s handover pack, not the contractors. But not just Jeff; others will benefit from the information too, such as Jeff’s boss, his colleagues, his building occupants (e.g. commercial tenants), the building owners, visitors, subcontractors and many, many more.

But hey, we probably don’t need to tell you this; you’ve probably been given the exact requirements from the client, right? They have no doubt stated that they expect to receive an O&M Manual, maybe a Health and Safety File too, or perhaps, just one or the other. They may have also asked for a Building User Guide and a Building Logbook. If they are a digitally-minded client, they will no doubt have asked for a finalised BIM model and, if you’re lucky, a side of COBie to go with it!

A common problem we see here with the client listing out these requirements is quite simply ‘copy and paste’. It’s probably not even the client asking for the information; it’s more often than not their project manager lifting text from Employers Requirements (ERs) elsewhere and dropping it in to save some time, without any consideration of what the actual client wants or, indeed, what Jeff needs.

The handover pack, its contents and its structure are often very subjective, with the person requesting it often not knowing the difference between an O&M and a H&S file, a Building User Guide and a Building Logbook.

So, to help, we decided to pull together a list (along with a brief description) of each section you may find in a quality Construction Handover Pack, starting with an understanding between Traditional, Digital and Smart O&Ms and the Construction Handover Pack, then we delve into the contents that could include the following;

Let’s begin with a brief deciphering of the various types and forms of ‘O&Ms’;

• Traditional: Paper-based information, provided in ring binders, stored on shelves.
• Digital: PDF-based information, provided on CD’s and USBs, stored in ‘waterfall-type’ filing systems.
• Smart: Data-based information, provided, stored and updated in an ‘agile’ web and mobile application.

Now, let’s tackle one of the most misunderstood concepts in construction, the elephant in the room; the use of the term ‘O&M’.

The ‘O&M manual’ is often used to describe the entire and complete ‘Construction Handover Pack’, when in fact, the O&M is a separate section in itself, merely forming part of the greater collection.

“The whole is greater than the sum of its parts” – Aristotle

I’m going to casually throw some theory at you now to explain; bear with me, it should make sense!

‘Systems Theory’ is the interdisciplinary study of ‘systems’, which are formed by cohesive groups of interrelated, interdependent components that, when all put together, form parts of the complex whole, i.e. in this example, the Construction Handover Pack.

Every system (the sections of the Construction Handover Pack, i.e. Health and Safety) has causal boundaries and is influenced by its context, defined by its structure, function and role, and expressed through its relations with other systems (i.e. Operations and Maintenance). A system is, therefore “more than the sum of its parts”. Changing one component of a system (i.e. a Risk Register within H&S), may affect other components or the whole system.

A system is, therefore, any set of distinct parts that interact to form a complex ‘whole’, in this instance; the Construction Handover Pack.

A ‘closed system’ is not affected by its environment, but an ‘open system’ is, meaning what happens outside of the system has an effect on the system itself.

This is the major difference between ‘Traditional’ and ‘Digital’ O&Ms (i.e. paper-filled ring binders and pdf-filled filling systems) and a ’Smart O&M’ (digital, dynamic, open and full lifecycle data systems).

A Smart O&M, or more precisely, a Smart Construction Handover Pack, is an open system which enables continuous inputs (the information you continuously enter), throughputs (the practice of continuously operating and maintaining the facility) and outputs (the standard of the facilities environment and experience as a result of the standard of the operations and maintenance, as a result of the standard of information input) throughout the building’s lifecycle – all whilst keeping an audit trail of everything (i.e. the golden thread).

A smart Construction Handover Pack must enable a ‘feedback loop’ to be open and truly ‘smart’.

A feedback loop provides continuous information back to the system by connecting the outputs to its inputs, i.e. learning from the standard of the facility as a result of the information and operations and maintenance.

For instance, a feedback loop could predict changes in patterns of behaviour, which is why really advanced clients are starting to investigate smart buildings, digital twins and the Internet of Things (IoT) to predict maintenance requirements proactively rather than reactively, in real-time.

• A ‘negative feedback loop’ indicates a problem that needs to be resolved, for example, a boiler that has broken down and needs repairing due to poor misuse and a lack of servicing.
• A ‘positive feedback loop’ identifies outputs that have worked well, for example, low energy costs as a result of careful energy consumption use and monitoring.

Thus, a feedback loop is a means of confirming if the building is a success or a failure; if it is the latter, it should signal the corrections that need to be made.

But all this means very little without the role of management. The owners of the building are responsible for defining the inputs at the very beginning. They should manage the following:

1. Inputs: consider the operator’s and occupier’s needs in terms of the O&M inputs (the information) they need to create a safe, harmonious building experience for all.
2. Throughputs: monitor the throughputs (the practice of operations and maintenance) and use the inputs to create the desired outputs.
3. Outputs: manage the outputs (the building standards and experiences) into the environment.
4. Feedback: monitor for positive and negative feedback loops and make changes necessary to alleviate any negative ones.

Traditional paper/pdf ‘O&Ms’ are incapable of receiving feedback loops; they are ‘closed systems’.

They rely on one input, a stagnant record of a set date in time (i.e. handover), with little or no way of adding new inputs via feedback loops during its lifecycle. They have no way of reflecting what is actually happening during the occupation phase.

Then there’s the general functionality of the inputs (i.e. the information). Ask yourself, whatever Construction Handover Pack ‘system’ you hand over to clients now, how easy is it to search, share, edit, update, supplement with new information, and use the information to operate and maintain buildings?

If your answer is that you probably can’t do any of those things with your current way of defining, curating, accessing and maintaining your Construction Handover Pack, then you might be surprised at how easy it is to switch to a smarter solution, such as Operance.

Why not give our Chief Sales Officer, Ian Hetherington a call on 07775 597214, or drop him an email at ian.hetherington@operance.app to discuss? He might even throw in a 20% discount for your first proof of concept project should you mention the code POC20!

Ok, now we better understand O&M’s as a component, i.e. one of the many cogs in the bigger system, the Construction Handover Pack; let’s now delve into the contents of Operations and Maintenance (O&M) ‘Manual’. The O&M Manual is a collection of all the information relating to its origin, form, operations and maintenance of the key components (i.e. boiler) that make up the systems (i.e. heating system) and the cohesive grouping (i.e. the building).

Components

Examples of ‘components’ generally found within a building and that could be detailed in the O&M Manual:

• Boiler
• Light Fixture
• Air Handling Unit
• Plasterboard
• Shower Unit
• CCTV camera
• Fire Alarm
• Elevator Controls

Systems

Examples of ‘systems’ generally found within a building and that could be detailed in the O&M Manual:

• Cold and Hot Water Systems
• Emergency Lighting Systems
• Heating, Ventilation and Air Conditioning System
• Internal Wall System
• Plumbing Systems
• Security System
• Fire Protection System
• Elevator System

Examples of specific O&M information contents;

• Manufacturer’s Details: key information that identifies the company and key contact information should users have questions or concerns. This could include the company name, contact information such as the company’s address, phone number, email address, website, product support, country of origin, compliance information and perhaps even social media links.
• Data Sheet: a comprehensive data set regarding a product’s traits and characteristics. This could include the product’s technical specifications, design, size, dimensions, materials, power requirements, safety warnings, performance, and functionality.
• Drawings: specialist products, whether they be bespoke (i.e. a passenger lift) or ‘off-the shelf’ (i.e. a disabled platform lift), should be accompanied by their relevant designs, which could include elements of architecture, structural, mechanical and electrical engineering. These will provide dimensions of the product and give insight into the areas of the product you cannot see with the human eye, such as what’s behind the wall, for instance.
• Operating Manual: this should provide instructions on how to use a product safely and effectively. The specific content of an operating manual can vary depending on the product, but in general, it should include safety information, setup and installation instructions, operating instructions, maintenance and care guidance, service guidance (plus any pre-agreed service plans) and troubleshooting.
• Warranties and Guarantees: legal information informing the owner of their rights and obligations in the event of component failure and/or dispute. The main difference between a guarantee and a warranty is that a guarantee is usually free, whereas a warranty typically includes a premium for the cover (much like a form of insurance). The great thing about a guarantee is that it is legally binding and adds to your rights under consumer law. Each one is different, but they tend to be useful if:
  • If something’s gone wrong after the handover and you want a repair or replacement (you may/may not) have to prove you didn’t cause the problem.
  • You bought an item abroad, and the manufacturer is based in the UK.
  • A trader’s gone out of business, and there’s a problem with the goods or service they provided.

  The paperwork should state the following:

  • How long does the warranty or guarantee last.
  • What you’re entitled to, e.g., a refund, repair or replacement.
  • If you can’t find the guarantee or warranty, contact the seller or trader and ask if they have a copy of the manufacturer’s contact details.
• Commissioning and Testing Results and Certificates: i.e. a record of how the facility and its systems and components have been tested to meet relevant standards. It provides evidence that the asset is able to deliver on its purpose. It could include:

• Air Permeability Test
• Acoustic Test
• Mechanical and Electrical System Tests (e.g. ventilation, emergency lighting, solar photovoltaics (PV), plumbing installations, air source heat pumps, heat recovery units)
• Water Legionella Testing
• Simplified Building Energy Model (SBEM)
• Energy Performance Certificate (EPC)

• Brochure: your clients and end users may also find a copy of the manufacturer’s literature quite useful too. This could provide less technical information than others may prefer. It could provide detailed 3D imagery and examples of the product in use. It should provide an overview of all the other information as listed above, just in a more succinct manner. Because of this, a brochure is not a substitute for the technical data required in order to properly operate and maintain the product.

Take, for instance, a boiler. The O&M should provide the technical specifications, the manufacturer’s details, its expected performance, a test certificate, a warranty and all the detail required in order to efficiently and safely operate and maintain it. It should also provide information about the collective heating and/or hot water system that it is connected to. If you need detailed information on the boiler (and its own components), such as how to service it (and when), you need to search the O&M manual for the boiler and its collective information.

But it’s not just information about the individual components/assets and the collective systems that the O&M holds; it should also provide the following information regarding the facility itself, such as;

• Project Description: this should provide a detailed overview of the original project. It should outline the facility’s purpose, scope and key features. It could also describe the objectives of the project (i.e. what the facility is designed to achieve and how it will benefit stakeholders). It must include the location of the project and the teams involved. It may also provide details of the project’s timeline and budget.
• Type of Construction: description of the materials used, building techniques applied, description of the structural design and architectural style, the age of the building, if not new, and if any previous works have been carried out back to its original construction (if known).
• Key Contacts: contact information for key personnel; this should include contact details for the building owner or property manager, as well as the principal contractor, principal designers and any key personnel responsible for the building’s design, build, supply and/or fix of major assets and maintenance and operation procedures.
• Defects Procedure: it’s very rare, sadly, that a project will handover with zero defects. Most projects are delivered with a number of ‘patent’ defects (those which are patently obvious, such as a cracked pane of glass), and ‘latent’ defects (those in which manifest themselves later, such as subsidence). In either case, there should be an agreed defects procedure in place in which end-users can follow to accurately report and provide a definition of what’s wrong. The contractor should be able to receive, acknowledge, investigate, prioritise, resolve, communicate and document the response.
• Asset Register: a schedule of the components that form part of a building. An asset register may be prepared for every component in a building or just for the ‘active’ assets that require regular inspection, maintenance, cleaning or replacement, such as building services components.
• Completion Certificates: a document that confirms that the building has been constructed in accordance with the approved plans, specifications, and relevant building codes and regulations. It is usually issued by the local building control authority or a qualified inspector after they have conducted a final inspection of the completed building. It indicates that the building is safe and meets all the regulatory requirements. Mortgage lenders or insurance companies may require it before they will provide financing or coverage for the building. Additionally, it may be required as evidence of compliance with building regulations when the building is sold or leased. The completion certificate is also a legal requirement for Higher-Risk Buildings (those that are at least 18m tall, or 7 storeys high and have at least 2 residential units, or is a hospital or care home) and must be presented when applying for a Building Assurance Certificate from the new Buiding Safety Regulator.
• Planned, Preventative Maintenance (PPM): A proactive maintenance schedule in which work is scheduled to occur regularly and consequently documented once it has occurred. The PPM schedule is performed to help preserve a property’s condition, prevent problems from occurring, and avoid failures or breakages. Ultimately, a properly implemented and managed PPM schedule will protect the underlying value of the building and reduce unnecessary expenses and reactive maintenance costs. It will also protect the owner/owner’s organisation by ensuring they stay on top of statutory requirements like gas safety certificates or LOLER inspections. Regular tasks could include:

• Boiler Servicing
• Condition Surveys
• Roof Inspections
• Lift Engineering Insurance Inspection

In summary, an O&M is a bit like the owner’s manual you get with a car, except for a building or structure. It is often referred to more generically as the building owner’s manual – but this again can be often confused, in this instance, with both the Building User Guide and the Building Logbook. Whereas the Health and Safety (H&S) file is required by law under the Construction (Design & Management) Regulations, the O&M manual is usually an Employer’s Requirement that forms part of the building contract. The O&M contains information on the operation and maintenance of the building.

A Health and Safety ‘File’ is a collection of all information and documents relating to the facility’s health and safety handed over to the building’s owners, operators and occupants.

Like all other documentation in the Construction Handover Pack, it is compiled during the construction phase by the Principal Designer (PD) and handed over to the building owner or manager upon completion of the project. The project’s Principal Contractor (PC) must provide the PD with information for inclusion. Should the PD’s appointment be completed prior to handover, the file must be passed on to the PC, who must then ensure it is reviewed, updated and revised to take into account any changes that may have taken place between the date of the principal designer’s completion and the completion of the work.

However, unlike the other documentation in the Construction Handover Pack, the Health and Safety file is a legal requirement in the UK, as set out in the Construction (Design and Management) Regulations 2015. These regulations state that the building owner or their representative must ensure that a building Health and Safety file is prepared and kept up-to-date for all projects involving construction work, including any construction work involving more than one contractor. This includes most building projects, including new build projects, refurbishment work, and extensions.

The point of the H&S file is to provide the building owners and operators (or the Accountable and Principal Accountable Persons) with a level of detail proportionate to the risks of the project in respect of how to operate and maintain the building or site safely and how to deal with potential hazards or emergencies. Note that this is not a guide on operating and maintaining the building specifically or in detail, as this information is provided in great detail in the O&M, and summarised in the Building User Guide; the H&S file should simply explain how to do it safely.

If you need to know if something is safe to do or where a hazardous material is, you would look in the H&S file. Unlike the O&M manual, the Health and Safety file just contains information specific to health and safety. What’s safe, and what hazards building owners, operators, and occupants should be aware of? The Construction (Design and Management) Regulations 2015 (Regulation 12) states;

“The principal designer must prepare a health and safety file appropriate to the characteristics of the project which must contain information relating to the project which is likely to be needed during any subsequent project to ensure the health and safety of any person.”

The H&S file, therefore, contains health and safety information for the future use and maintenance of the building. It should provide relevant information to inform the ongoing safety of the building or site, and the planning of future project works. It does not need to include information about the construction works carried out during the relevant project unless it may affect future works. The H&S file should be kept up to date as changes are made to the building or its use.

Here is an overview of the general sections and contents you could expect to find within the Health and Safety File;

There are various types of pre and post-construction surveys that could be carried out and should therefore be included for information as it may inform either the ongoing operations and maintenance of the facility or the further development of it. Some of the most common types of surveys are:

• Building Condition Survey: assessment of the overall condition of a building, identify any defects, and provide recommendations for repair and maintenance.

• Dilapidation Survey: carried out before and after a construction project to record the condition of adjacent properties and identify any damage that may have been caused during construction.

• Structural Survey: assessment of the structural integrity of a building and identify any defects or weaknesses that may affect its stability or safety.

• Measured Building Survey: carried out to produce accurate measurements and drawings of a (usually existing) building, including floor plans, elevations, and sections.

• Asbestos Survey: identification of the presence and location of asbestos-containing materials (ACMs) in a building and provide recommendations for safe removal and disposal.

• Archaeological Survey: identification, assessment, and record of archaeological sites and artefacts in a particular area. They are usually conducted by trained professionals, such as archaeologists or cultural resource management experts, who use a variety of methods to locate and document archaeological sites. They typically involve a combination of fieldwork, research, and analysis. The results are used to understand the historical and cultural significance of an area, to develop plans for site preservation or excavation, and to comply with cultural resource management regulations.

• Topographical Survey: This survey is carried out to produce a detailed map of the land and its features, including contours, boundaries, and utilities.

• UXO Bomb Survey: identification and locating of unexploded ordnance (UXO), which are explosive devices used in past conflicts but did not detonate. UXO can include bombs, grenades, artillery shells, and other types of explosives that pose a risk to public safety.

• Utilities Survey: also known as a Buried Services survey or Underground Utility Detection survey, this is conducted to locate and map out the underground utility services that are buried beneath a particular area. These services may include things like gas lines, water pipes, electrical cables, fibre optic cables, telecommunications lines, and other buried infrastructure to identify the exact location of these underground utilities to prevent accidental damage during construction, excavation or drilling works.

• Drainage Survey: a detailed assessment of the drainage system in a property or an area. It is conducted to determine the drainage system’s condition, functionality, and efficiency and to identify any issues or potential problems. It is typically recommended that a Drainage Survey be conducted regularly, especially for older properties or those with a history of drainage problems. Clients usually require it at handover to prove the drainage system has been completed without any hidden defects.

• Environmental Surveys: assessment of the potential impact of a project on the natural environment. Some of the most common types could include:

• Ecological Survey: This survey is carried out to assess the impact of a construction project on local wildlife and ecosystems and to identify measures to mitigate any negative impacts. It may involve surveying the area’s plant and animal species and evaluating their habitats and breeding patterns.
• Arboricultural Survey: carried out to assess the health and condition of trees on a site and identify any trees at risk of damage or removal during construction. It may also involve identifying measures to protect trees that are to be retained during the construction process.
• Bat Survey: carried out to assess the presence and activity of bats on a site and to identify any risks to their habitat or breeding patterns posed by the construction project. It may involve surveys of bat roosts, feeding grounds, and flight paths and identifying measures to protect bats during construction.
• Bird Survey: carried out to assess the presence and activity of bird species on a site and to identify any risks to their habitats or breeding patterns posed by the construction project. It may involve surveys of nesting sites, feeding grounds, and flight paths and identifying measures to protect birds during construction.

These refer to the legal requirements that must be met before a building can be constructed, altered, demolished or occupied. The specific types of approvals and conditions will vary depending on the location and type of building. However, here are some of the most common examples:

•  Planning Approval and Conditions: In undertaking particular types of development (e.g. new build or refurbishment), Local Authorities will need to ensure that any necessary Statutory Approval is obtained and that it complies with any legal waivers, consents and conditions attached to the granting of the approval. It is important to have evidence of the permission and conditions agreed upon to build and utilise the facility legally.

• Building Regulations Approval: This separate approval ensures that the proposed building meets the minimum safety, health, and energy-efficiency standards set out by the government.
• Environmental Impact Assessment: only applicable for projects that could significantly impact the environment. It is used to assess the potential environmental impact of the proposed building and to identify any measures that can be taken to mitigate those impacts.
• Listed Building Consent: only applicable if the proposed building is a historic or listed building. This approval is required to ensure that any alterations or repairs do not compromise the historical integrity of the building.
• Fire Safety Approval: required for buildings that are deemed to pose a significant fire risk, such as high-rise buildings, hospitals, or schools. It ensures that the building has adequate fire safety measures in place.
• Health and Safety Approval: only applicable to buildings that are deemed to pose a risk to the health and safety of the occupants. It ensures that the building complies with all relevant health and safety regulations, such as those related to ventilation, lighting, and hygiene.
• Drainage and Sewage Approval: required to ensure that the building has adequate drainage and sewage systems in place.
• Access and Mobility Approval: This approval is required to ensure that the building is accessible to people with disabilities and meets all relevant accessibility standards.
• Public Right of Way Approvals: necessary for any construction, alteration, or repair work that affects public roads and pathways. The approvals ensure that the work is done safely and does not cause unnecessary disruptions to traffic or pedestrians. Here are some of the common types of roadwork approvals:

• • Planning Permission: Any roadwork that involves building or changing the layout of a road will require planning permission. This ensures that the proposed changes comply with the local zoning laws and environmental regulations.
  • Road Closure Permits: If the roadwork requires the closure of any part of the road, a road closure permit will be necessary. This allows the road to be closed for a specified period and ensures that the closure does not cause undue disruptions to traffic.
  • Traffic Management Plans: for any roadworks that could affect the flow of traffic. It should outline the measures that will be taken to ensure the safety of pedestrians and motorists and minimise traffic disruptions.
  • Road Excavation Permits: required if the roadwork requires excavation of the road. It aims to ensure that the excavation is done safely and does not cause damage to any underground utilities.
  • Street Works Notices: For any roadwork that takes place on a public road, a street works notice must be issued to the local authority. This notice outlines the work’s scope and the project’s duration.
  • Utilities Notifications: if the roadwork requires the interruption of any utilities such as water, gas, or electricity, the relevant utility companies must be notified in advance. This ensures that the utilities can be safely disconnected and reconnected without causing disruptions to service.
  • Noise and Vibration Management Plans: required if the roadworks are likely to generate significant noise or vibrations. It outlines the measures that will be taken to minimise any disturbances to nearby residents.

A risk assessment aims to identify potential hazards and assess the likelihood and potential consequences of those hazards in order to develop strategies to mitigate or manage the risks. It’s the process of identifying, analysing, and evaluating potential risks or hazards associated with a particular activity, process, or situation. For example:

• Residual Risks: identification of residual risks (risks that remain whereby the design team were unable to eliminate them from the design of the project), general hazards and the measures put in place to control them. Residual risks could be relevant to ground conditions, asbestos, fragile materials and other hazards.
• Fire Risk Assessment: a fire risk assessment is an evaluation of the risk of fire occurring in a building or facility and the potential harm that may result from a fire. The assessment is conducted to identify potential fire hazards, evaluate the likelihood of a fire occurring, and assess the effectiveness of current fire safety measures. A fire risk assessment should typically involve a physical inspection of the building, including its structure, layout, and any equipment or materials that could increase the risk of fire. The assessment may also take into account the activities carried out in the building, the number of people present, and any special considerations, such as the presence of vulnerable individuals or hazardous materials.
• Method Statements: descriptions of the specific steps to be taken when carrying out operational and maintenance tasks. Information could include safe working loads and structural information. An example of a task could be the use of a ‘cherry picker’ in an internal foyer to change light bulbs at height, for example. They should be developed in consultation with competent persons and be reviewed and updated as necessary.
• Hazardous Materials: information on materials used during construction and any potential hazards associated with them.
• Hazardous Substances: details of any hazardous substances used or stored on-site and the procedures for dealing with them.

• Health and Safety Policies: detailing any overarching principles and values with regards to health and safety, i.e. responsibilities of workers, supervisors, and managers; hazard identification and assessment; incident reporting and investigation; visitors policies, and training requirements.

• Permit-to-Work Systems: used to control high-risk activities, this is a formal document that authorises specific work to be carried out and ensures that all necessary precautions have been taken to mitigate any associated risks.

• Training Records: a record of all training provided to end-users at the time of handover and for any training given during the occupation phase. It could also include site induction, job-specific, and refresher training. These records should include details such as the date and duration of the training, the name of the trainer, and the topics covered.

• Safety Inspections: a record of all required inspections, certifications, and tests performed on the building’s safety-related systems and equipment, including fire safety inspections, electrical safety inspections, and elevator safety inspections. There should also be details of the suggested regular safety inspections that should be carried out during occupation to identify any hazards or areas for improvement. The findings of these inspections should be documented, and any necessary corrective action should be taken.

• Safety Systems Testing Schedule: the regular maintenance and testing of safety equipment and systems such as fire alarms, emergency lighting, and ventilation systems should be scheduled out.

• Emergency Procedures: including evacuation plans and contact details for the emergency services and key stakeholders in the event of major emergencies, plus contact details for local non-emergency services and key stakeholders to call for assistance in the event of minor emergencies.

An evidential record of how the building has been designed and ‘as-built’ at the time of handover. As-built drawings can be provided by the project’s design team (e.g. architect, civil and structural engineer, mechanical and electrical engineers, specialist consultants, specialist contractors and suppliers).

As-built design information goes beyond just drawings which are traditionally provided in PDF format, but it is now not unusual for clients to also request copies of the designers ‘as-built’ 3D models also (see BIM at the bottom of this list). It must contain the information required before drawings are created too. You should, therefore, provide the following;

Design Preparation

• Strategies: such as Design and Access Statement, Dismantling Strategy, Fire Safety Strategy, MEP Strategy, Roof Access Strategy and Rainwater Harvesting Strategy.
• Specifications: such as architectural, civil, structural, mechanical, plumbing and electrical specifications.
• Calculations: including foul water, surface water, foundations and structural calculations.

Designs

All elements of design should be recorded and provided, complete in the final ‘as-built’ version, such as;

• Architectural: such as general arrangements (GAs), elevations, sections, fire safety equipment positions, fire escape plans, and site plans.
• Structural: such as foundation plans and sections, structural frame elevations, sections and plans.
• Civils: such as grading plans, drainage plans, details and sections, water supply plans and road and pavement plans, sections and details.
• Mechanical: such as hot and cold water supplies, piping and instrumentation plans, schematics and isometrics.
• Electrical: such as electrical supply distribution plans, wiring diagrams, schematics and lighting layouts.
• Landscaping: such as planting layouts, hardscape plans and irrigation plans.
• Specialist Designs: such as Acoustician and Multi-Use Games Area (MUGA) plans.
• Subcontractor Designs: such as platform lifts and secondary steel staircases.

BIM

BIM is a process supported by various tools, technologies and contracts involving generating and managing digital representations of facilities’ physical and functional characteristics and components.

At practical completion, the final fully audited and approved Building Information Modelling (BIM) information. BIM information should be handed over to the client or facility management team; this could include the following:

• AIM Model: the final ‘as-built’ recorded federated model (i.e. all design models combined into one combined, overlayed model) representing the asset configuration at handover is called the Asset Information Model (AIM). The AIM should be ‘systemised’ using the completed system breakdown structure, which forms part of the agreed data model. The best practice is to use the OpenBIM IFC Schema, which includes the COBie data model. A suitable class library (i.e. Uniclass 2015) should be successfully implemented as defined in the client’s Exchange Information Requirements (EIR) to define the asset types. The class library should be compiled within the IFC data schema. If requested within the EIR, the model should include all relevant data related to the building’s design, construction, and operation. This may include information such as geometry, material specifications, and equipment locations. Whether federated or not, the model(s) should be fully checked with any final coordination and clash issues removed. It should also be checked that the information fully aligns with the client’s EIR and the various BIM Execution Plans (BEP).
• COBie Data: Construction Operations Building Information Exchange (COBie) data is a standardised format for exchanging information about a building’s assets. This data should be included in the BIM handover and may include details such as equipment specifications, warranty information, serial numbers, warranty information, and maintenance records.

If you are a contractor or modular builder and need help delivering your client’s BIM requirements, then you might be surprised how many of your industry colleagues our Operance Digital Services team already work with. Why not give our Head of Digital Services, Dave Peacock a call on 07429 869804, or drop him an email at dave.peacock@operance.app to discuss further?

A Building User Guide is a document that provides information about how to use and maintain a building, its systems, and its equipment. The guide is intended for the building’s occupants and is designed to help them understand how the building works and how to get the most out of it. It is a summary of the Operations and Maintenance (O&M) Manual, designed to give none technical users an overview of how to operate and maintain the facility.

The BUG typically includes information on the building’s layout, including floor plans and room functions, as well as details on the building’s heating, ventilation, and air conditioning (HVAC) systems, lighting, plumbing, and other systems. It may also provide guidance on how to operate and maintain specific equipment, such as elevators, fire alarms, and security systems.

In addition to providing information on the building’s physical systems, the user guide may also include information on policies and procedures related to building use, such as rules for parking, waste disposal, and common area maintenance.

A well-designed BUG can be a valuable resource for building occupants, helping them to feel more comfortable and in control of their environment and reducing the need for support and assistance from building management or maintenance staff. It should focus on information relating to the management of people and how they interact with the building. It should also provide a level of detail appropriate for the individuals that occupy or otherwise use a property.

In summary, the BUG provides the end users/occupants of the building with a simple, quick and easy guide to the everyday functions of the building in order to ensure a safe and healthy work environment while complimenting the efficient operation of the building to the full potential provided by the design.

For a more detailed overview of the building User Guide (BUG), please find our previous article: The Ultimate Guide to Building User Guides.

A building user guide should provide essential information such as the following:

• Introduction: A brief overview of the purpose and scope of the building user guide and the intended audience.

• Building layout and features: This should include floor plans, room functions, and descriptions of key building features such as entrances, exits, elevators, and stairs.

• Building systems: This should provide information on the building’s heating, ventilation, and air conditioning (HVAC) systems, lighting, plumbing, electrical, and other systems. It should include instructions on how to operate and maintain these systems, as well as any safety precautions.

• Building policies and procedures: A clear and concise description of the building’s policies and procedures, including hours of operation, access, parking, security protocols, waste disposal, water management and common area maintenance.

• Emergency procedures: Detailed information about emergency procedures, including evacuation plans, emergency contacts, and emergency response protocols.

• Maintenance and repairs: Information about the maintenance and repair of the building’s facilities and systems, including procedures for reporting problems, expected response times, and more.

• Energy efficiency and sustainability: Information about the building’s energy-efficient and sustainable features, including tips for reducing energy consumption and minimising waste.

• Health and safety: Whilst more detailed information can be found in the Health and Safety File, and the Health and Safety Summary, the BUG could provide basic information about health and safety in the building, including tips for promoting a safe and healthy work environment.

• Emergency procedures: This should include information on emergency procedures such as fire safety, evacuation plans, and first aid procedures.

• Contacts: This should include a list of key contacts such as building management, maintenance staff, security personnel, emergency services, and the keyholders register.

• FAQs: Frequently asked questions related to the building and its operation can also be included in the user guide.

• Appendices: Additional resources, such as contact information for building management and maintenance staff, maps, and emergency response plans.

A Building Logbook (BLB) is a document that also contains a record of the building’s design, construction, operation, and maintenance history. However, much like the Building User Guide (BUG) is a high-level summary of the information found within the O&M Manual for general operations and maintenance of the building, the Building Logbook (BLB) is a summary of the O&M information relevant to energy and sustainability.

The BLB is an essential tool for building owners, operators, and maintenance staff to help ensure that the building operates efficiently and safely throughout its lifecycle. It is intended to be a live document in which to record ongoing ‘as-performing’ building maintenance and energy performance information in use during the occupation phase.

The BLB enables end-users, most notably the operators, with a place in which to record how the facility performs in use.

The BLB satisfies the Part L 2006 of the Building Regulations requirement to provide records of ongoing building energy performance for new buildings and in existing buildings when the services are changed. It is also a key requirement in order to meet certain sustainability standards such as BREEAM.

The building logbook should contain information on the following:

• Introduction: This section provides an overview of the building, its purpose, and the intended audience for the logbook. It also includes information on the purpose of the logbook and how it is organised.
• Design and Construction: This should include drawings, specifications, and details of the building’s construction, materials, and systems.
• Commissioning: This should include information on the commissioning process, including commissioning plans, test procedures, and results.
• Operation: This should include details on the building’s operation, including schedules for system operation, maintenance, cleaning and any changes made to the building’s operation over time.
• Maintenance: This should include a record of all maintenance activities, including repairs, replacements, and upgrades, as well as any maintenance schedules, checklists, inspection records and component failure records.
• Energy Usage: This should include records of the building’s energy usage, such as electricity, gas, and water consumption, as well as any energy-saving measures implemented. It should also include any records of environmental assessments or sustainability measures.
• Health and Safety: This should include information on any health and safety measures taken, such as risk assessments, safety procedures, and accident records. It could also include a record of any training on safety procedures for building occupants.
• System Upgrades and Replacements: This should include details of any upgrades or replacements of building systems, such as HVAC, lighting, and fire safety systems. It could also include records of any system testing or commissioning activities that were carried out as part of these upgrades or replacements.
• Contacts: This section includes a list of key contacts such as building management, maintenance staff, security personnel, and emergency services.

The building logbook should be kept up-to-date and accessible to all relevant personnel, including building management, maintenance staff, and contractors.

“We don’t know where to begin!” is one of the responses we often hear when asking owners of high-risk buildings how they are budgeting for costs associated with complying with the Building Safety and Fire Safety Acts.

Organisations such as local authorities, housing associations, care home providers and developers are legally obligated to comply with the Acts. Still, compliance costs vary massively depending on the size and complexity of their building portfolios and the quality of the information they currently possess about them.

“We should write a guide on this to help!” is the most common retort from the Operance team. But as we found out very quickly when trying to do just that, it’s not easy! I actually started and paused this process many times, going as far back as January, to help organisations develop their budgets before the usual March/April switchover. But alas, here I am in March, desperately trying to provide something that may be at least useful with final budget checks before approval!

I even reached out to the industry to see if any organisations were willing to share some of their own experiences and information that we could deliver to the masses in the spirit of helping the rest of the industry. Unfortunately, this bore very little fruit. In hindsight, given that we are now in March, these same organisations are probably still madly trying to finalise their budgets or, perhaps, are too shy to share their findings because they, too, are still uncertain as to whether they have indeed covered everything.

This, I believe, is the point that will hopefully become clear through this guide; unless you have a magic crystal ball, you won’t be able to accurately budget for every possible item, occurrence, effort and cost associated with complying with building and fire safety ‘to-the-pound’.

Quite frankly, we don’t yet know what we don’t yet know! Or to put it more eloquently…

“There are known knowns. These are things we know that we know. There are known unknowns. That is to say, there are things that we know we don’t know. But there are also unknown unknowns. There are things we don’t know we don’t know” – Donald Henry Rumsfeld, American politician.

So, what can you expect from this guide if this is the case? Well, we decided it was best to do the following;

1. Provide researched guidance to help organisations cast a final eye over their final budget drafts.

2. Stick to what we know, don’t worry about what we don’t know, and don’t be afraid of gaps; we can fill them and re-release the guide again later as we learn more.

3. Stick to the guidance. If it is a legislatively prescribed item, list it. If it’s not, don’t, but explain why so the reader is clear, as this will help with known misconceptions.

4. Stick to ‘items’ and stay clear of actual ‘costs’. Even if we had some examples of costs, we would still need to consider the buyer and seller’s geographics and procurement strategies.

5. Stick to post-remedial works. Plenty of articles are available by others covering the ACM scandal and the cost and effort required to rectify issues, so we will concentrate on the costs associated with defining, curating, accessing and maintaining the golden thread of information.

With this in mind, here we go; here are what we believe to be the most frequently asked questions about budgeting to comply with building and fire safety acts, such as;

Why do we need to budget for the acts and why is it so difficult to do?

What do we need to factor in and what do we not need to factor in?

When do we need to start budgeting and when can costs be passed on?

Who needs to input into the budget and is liable for costs incurred?

How do we create the budget and how are others doing it?

It depends entirely on your CEO’s appetite to visit His Majesty’s judicial facilities…or worse.

The Building Safety Act (and various related Acts) aim to improve building safety standards, particularly in residential high-rise buildings. Housing associations in the UK must develop and maintain a golden thread of information for all buildings within their portfolios that are over 18 meters tall or contain seven storeys or more.

Implementing these regulations can come at a cost, and building owners may need to invest in upgrades and improvements to ensure compliance.

Compliance with the Act involves a range of measures, including building safety assessments, appointing a building safety manager, and creating and maintaining a digital record of building information, i.e. the Golden Thread.

Non-compliance with building safety regulations can severely affect the Principal Accountable Person, individuals and the community. If you do not comply with building safety regulations, you may face legal consequences such as fines or legal action. 

Additionally, suppose you are responsible for the construction or maintenance of a building. In that case, non-compliance with building safety regulations can result in the building being deemed unsafe or uninhabitable, leading to the closure or condemnation of the building.

In the event of a building accident or disaster, such as a fire or collapse, non-compliance with building safety regulations can significantly harm the occupants of the building, neighbouring properties, and the surrounding community.

It is important, therefore, to take building safety regulations seriously and ensure that all necessary measures are taken to comply with them to ensure that buildings are constructed and maintained in a way that minimises the risk of harm to the occupants and the surrounding environment.

The Fire Safety Act, introduced in 2020, places additional responsibilities on building owners to ensure the safety of occupants in the event of a fire. Unlike the Building Safety Act, this legislation applies to all buildings, not just high-rise residential buildings.

Building owners will need to carry out regular fire risk assessments, identify and address any potential hazards, and ensure that occupants have a clear means of escape in the event of a fire.

While these regulations are undoubtedly necessary, complying with them can be expensive. Building owners may need to invest in building structure upgrades, such as installing sprinkler systems or improving fire-resistant cladding. They may also need to invest in new technology, such as fire alarms or smoke detectors, and train staff on how to respond in an emergency.

In addition to the direct costs of implementing these regulations, building owners may also face indirect costs. Compliance with the Building Safety Act and Fire Safety Act may increase insurance premiums, for example, as insurers want to ensure that buildings are as safe as possible. This could be particularly problematic for owners of older buildings, who may need to carry out significant upgrades to comply with the new regulations.

Despite these costs, building owners have a legal and moral obligation to ensure the safety of their occupants. Failure to comply with these regulations could result in significant financial penalties or criminal charges. Moreover, the cost of not complying with these regulations can be far higher in the long run if a fire occurs, resulting in loss of life, injuries or property damage.

In conclusion, complying with the Building Safety Act and Fire Safety Act will come at a cost. Still, it is a necessary investment to ensure the safety of occupants in buildings. Building owners must take the regulations seriously and make the investments required to comply with them. By doing so, they will meet their legal obligations and create a safer and more secure environment for everyone who uses their building.

Accountable and Principal Accountable Persons (PAP) may incur costs related to developing and maintaining the golden thread, such as hiring consultants, developing software or databases, and training staff. These costs may vary depending on the size of the PAP organisation and the complexity of its building portfolio.

As mentioned above, without access to specific financial information from individual housing associations, local authorities or other developers, it isn’t easy to provide a definitive answer on how much they spend on the golden thread. Therefore evidence or guidance is, at the moment at least, in short supply. Consequently, the opportunities to learn from others are few and far between. So, in essence, everyone is in the same boat at the moment; they’re all learning on the job.

When budgeting to comply with Building and Fire Safety Act, it is essential to avoid including costs that are not directly related to compliance or that may not be necessary for your specific situation. Some examples of expenses that you should not have when budgeting for compliance with the Building Safety Act include:

1. Costs for Unrelated Building Upgrades: While compliance with the Act may require some building upgrades, ensuring that any enhancements you undertake are directly related to compliance is essential. Including costs for unrelated upgrades may inflate your budget unnecessarily.

2. Unnecessary Consultant Fees: While engaging consultants to ensure compliance with the Act may be necessary, it is essential to assess your needs carefully and only hire necessary consultants. Including unnecessary consultant fees in your budget can significantly increase your costs.

3. Unnecessary Technology Investments: While digital transformation is an essential part of complying with the Act, it is important to carefully assess your needs and only invest in technologies necessary for compliance. Including unnecessary technology investments in your budget can significantly increase your costs.

4. 3D Scanning and BIM Models: The Act does not explicitly require using 3D scanning and Building Information Modeling (BIM) models. However, these tools can help comply with the requirements of the Act, particularly for high-rise and complex buildings. BIM models can help improve collaboration and coordination between stakeholders and provide a detailed digital representation of the structure, including information on fire safety systems and structural elements. This can help ensure that the building is designed, constructed, and maintained to meet the requirements of the Act. 3D scanning can also be helpful in identifying potential risks and defects in existing buildings. Creating a detailed digital model of the building, including any hidden structural elements, can identify and address potential issues before they become major safety risks. While the use of 3D scanning and BIM models is not required by law, they can be valuable tools in complying with the requirements of the Act and improving building safety overall. Working with qualified professionals to assess your situation and determine the most appropriate digital tools for your needs is important.

5. Costs for Compliance with Other Regulations: While complying with the Act may require some overlap with other regulations, such as the Fire Safety Act and the Social Housing Bill, it is essential to carefully assess which costs are specifically related to compliance with the Act and exclude expenses that are related to compliance with other regulations such as;

6. CDM 2015: The Construction (Design and Management) Regulations (CDM) 2015 set out the UK’s health and safety requirements for construction projects. Therefore, in developing your annual organisational budget, you should only account for these costs in project-specific budgets. Having said that, if you are a client or principal contractor, and you do need to develop a project budget, you will need to budget for the following costs to comply with the CDM Regulations as a minimum:

   • Appointing a CDM advisor or coordinator: You will need to appoint a competent person as a CDM advisor or coordinator to advise you on health and safety matters during the project. This may be an internal staff member or an external consultant. The cost will depend on the complexity and size of the project.

   • Developing a construction phase plan: You will need to establish a project plan outlining the health and safety risks and how they will be managed. The cost of developing this plan will depend on the size and complexity of the project.

   • Providing health and safety information to contractors: You will need to provide relevant health and safety information to the contractors working on the project. This may include site plans, risk assessments, and method statements. The cost of developing and providing this information will depend on the size and complexity of the project.

   • Ensuring that contractors comply with the CDM Regulations: You will need to monitor the health and safety performance of the contractors and ensure that they comply with the CDM Regulations. This may involve additional staff time or hiring external consultants to conduct inspections and audits.

   • Training and awareness: You will need to provide relevant training and awareness to staff and contractors on the health and safety requirements of the CDM Regulations. This may include training on risk assessments, method statements, and the use of personal protective equipment. The cost of providing this training will depend on the size and complexity of the project and the number of staff and contractors involved.

7. Building Regulations: As with CDM 2015, these need only apply on a project-by-project only basis, meaning these costs should get picked up in specific budgets for new build and refurbishment projects. However, it may help to understand what these include too. So, to comply with the Building Regulations, you should allow for the following costs in your budget as a minimum:

   • Planning and design: You will need to plan and design your building to meet the requirements of the Building Regulations, including ensuring compliance with structural, fire safety, ventilation, energy efficiency, and accessibility standards. The cost of planning and design will depend on the size and complexity of the building and the specific requirements of the Building Regulations.

   • Building materials and construction: You must use appropriate building materials and construction methods to ensure compliance with the Building Regulations. This may include insulation, fire-resistant materials, damp-proofing, and soundproofing. The cost of building materials and construction will depend on the size and complexity of the building and the specific requirements of the Building Regulations.

   • Building control inspections: You must have your building inspected by a building control officer at various stages during the construction process to ensure compliance with the Building Regulations. The cost of inspections will depend on the size and complexity of the building and the number of inspections required.

   • Planning fees: You may need to pay planning fees to your local planning authority for the submission of planning applications and building control applications. The cost of planning fees will depend on the size and complexity of the building and the specific requirements of the planning authority.

   • Certification and testing: You may need certification and testing to demonstrate compliance with the Building Regulations. This may include obtaining an energy performance certificate, air pressure testing, and sound insulation testing. The cost of certification and testing will depend on the size and complexity of the building and the specific requirements of the Building Regulations.

As part of the new Building Safety Act 2022, the ‘BSA’ requires all existing and newly occupied higher-risk buildings (legal definition) to be registered with the Building Safety Regulator (BSR) if and before they become occupied. Here we ask your most frequent questions, including, but not limited to:

• Why do we need to do it?

• Which buildings do we need to register?

• What information should we include?

• When do we need to do it?

• Who is responsible for it?

• How much will it cost, and how do we do it?

• Where should it be kept and maintained?

Under (section 78) of the BSA, the Building Safety Regulator (BSR) is required to publish a register of the higher-risk buildings (HRBs) that have been registered, which may include the information which was submitted with the application. Including this information in the published register would enable residents and other interested parties to ascertain whether the building is registered and who is responsible for its fire and structural safety.

The information provided is intended to enable the BSR to confirm the location of the building, that it is within the scope of the requirements under the BSA, and identify the persons responsible for the safety of the building and the duties (section 4) of the BSA.

Under section 78 of the BSA, it is a requirement that the BSR publishes a register of the HRBs registered in the UK, which may include the information submitted with the application. Having a publicly available register of this information means residents and other interested parties can ascertain who is responsible for its fire and structural safety.

HRBs are typically those that are taller, larger, or have a greater occupancy than other buildings and are, therefore, more likely to pose a risk to public safety in the event of a fire, earthquake, or other natural disasters. Registering your higher-risk building is, therefore, now required by law as a means of improving public safety.

By registering these buildings, the BSR and local authorities, and the fire services are also able to access and maintain a comprehensive and up-to-date record of the buildings in their jurisdiction, including important information such as their design, construction, and use. This information can then be used to help identify potential safety hazards and develop emergency response plans in the event of an incident. It also helps the BSR develop a set of Key Building Information which they can develop and use to spot trends in which to inform decision-making about the ongoing development of the BSA.

Additionally, registering your higher-risk building helps to ensure that it meets all applicable building codes and standards, and can also provide you with the necessary documentation to secure insurance coverage.

The Principal Accountable Person (PAP) is responsible for applying for the registration of the following Higher-Risk Buildings (HRBs) through the Building Safety Regulator’s (BSR) digital platform;

Occupied HRB Definition: a “higher-risk building” means a building in England that:

• Is at least 18 metres in height or has at least seven storeys and
• contains at least 2 “residential units” (meaning a dwelling or any other unit of living accommodation).
• A higher-risk building is “occupied” if there are more than one residential unit residents.

New-Build/Refurb HRB Definition: during design and construction – under section 120D of the Building Act 1984 (inserted by section 31 of the BSA), should the facility be undergoing design and/or construction since the date of the acts Royal Assent on 28th April 2022, it also (adding to the criteria above), extends to;

• care homes; and
• hospitals.

HRBs Subject to Transitional Arrangements: Whenever changes to the building regulations occur, transitional arrangements apply. Existing occupied buildings will need to be registered within a transition period following the new regime coming into force, which will last around six months.

Under the transitional period, those that have already notified a building control body of their plans are allowed to continue under the old rules, provided they have started building work on site. This provides clarity to developers and reduces the risk of retrospective impact resulting from changes to the rules.

So, when a developer submits a building notice, initial notice or full plans application to the local authority, the building regulations standards in place at the time of the application will apply, so long as work under the notice, or application, has already started or starts within a specified period of the notice being given.

The exact transitional provisions are set out in the consultation on the proposed changes to the building regulations.

Before any HRB can be occupied, the BSR must verify that these buildings have been provided with the appropriate completion or final certificate. It is therefore proposed that, in submitting an application for registering HRBs, the PAP must provide a copy of their completion certificate or final certificate. This will enable the BSR to verify that;

• They have received the requisite certificate before occupation and
• The building control body overseeing the building is satisfied that it complies with the requirements of building regulations.

A building will not be registered unless a copy of the appropriate certificate has been provided by the Principal Accountable Person (PAP).

For all other buildings (including existing residential blocks being brought into the new system and those built as offices and subsequently converted to residential accommodation), it is proposed that in submitting an application for registration, the PAP must confirm whether, to their knowledge, the building met the appropriate building standards applying at the time of completion.

Commencement: We expect HRB registration to begin in April 2023, with the Building Assessment Certificate (BAC) process forecasted to start in April 2024.

Deadline: There is a proposal that the Principal Accountable Person (PAP) will need to have registered their buildings with the Building Safety Regulator (BSR) by no later than 1st October 2023.

In summary, you have six months from April 2023 to submit your applications to register your HRBs.

If a building becomes occupied after the deadline without being registered, then the principal accountable person will be committing an offence.

If your HRB is a newly built and completed facility and awaiting handover, or undergoing design and construction, or is a newly refurbished facility, the HRB (or the completed part(s) of it) must not be occupied before the building has been registered. However, this cannot be done until you have received the BSR’s Gateway 3 Building Acceptance Certificate (BAC).

This includes all buildings that are designed and constructed under the new building control regime for higher-risk buildings (the gateways process) and buildings that are part way through design and construction since April 2022 when the act received Royal Assent on the 28th April 2022.

It is proposed that, in submitting an application for registration for buildings that have been built under the new building control regime (the gateways process), the PAP must provide the unique reference number that we expect the BSR to give to each HRB whose construction it is overseeing for the building control completion certificate. This will enable the BSR to verify that it has granted a relevant completion certificate (or partial completion certificate) prior to occupation.

We expect full ‘implementation’ of the Building Safety Act in October 2023, which means each building owner should have their building safety regime in place by this time.

No. Gateway 3 will take place when building work in higher-risk buildings has been completed. At this stage the Building Safety Regulator (BSR) must be satisfied that as far as it has been able to determine the as-built building complies with building regulations.

New higher-risk buildings (HRBs) can only be registered with the BSR after Gateway 3 has been passed – either for partial or full completion.

Before these buildings can be legally occupied, the Principal Accountable Person (PAP) must register the building with the BSR and identify itself as having overall responsibility for managing fire and structural safety. This will ensure that there is a clearly identifiable person to with the duty to manage building safety risks before the building is occupied.

The Building Safety Regulator (BSR) will begin calling in applications for the Building Assessment Certificate (BAC) once registration of all existing occupied high-rise residential buildings is complete.

The BSR recognises that Principal Accountable Persons (PAP) will need time to understand their new responsibilities and prepare the required documents. There will, therefore, be a gap between the new regime coming into force and the first buildings being called in for the Building Assessment Certificate. The BSR want this to be as short as possible but expect this gap to be no longer than 6-12 months. They expect that it will take around five years for all existing occupied buildings to be initially assessed.

On receipt of an application, the BSR will examine the documents provided in the application by the building’s PAP to establish whether those responsible for the building are managing its building safety risks.

It is the duty of the PAP and/or Accountable Persons to assess and manage the building safety risks at all times, not just when called in to apply for an assessment by the regulator.

Existing occupied high-rise residential buildings will be assessed initially over a period of five years.

The Building Safety Regulator will call in new buildings for assessment for the first time within six months of occupation.

Other existing buildings, for example, those which have gone through a change of use (e.g. an existing block of offices converted into flats) will be called in for an assessment for the first time within six months of occupation.

See the ‘How?’ section below for further information on how HRBs will be prioritised and assessed.

Whilst secondary legislation will set out the definitive rules about, amongst other matters: information to accompany applications for registration; and the content of the register, we can provide a pretty good assessment of what information is required before then.

We do know, for instance, that in order to register a HRB, the Principal Accountable Person (PAP) must provide some basic details about the building and its Accountable Person(s), such as:

• Details of the principal accountable person and any other principal accountable people who are responsible for the safety of the building. This information includes the name, contact details and address.

• The name and title of the nominated individual who will act as a single point of contact for the principal accountable person within the organisation.

• Confirmation if the principal accountable person is a local authority, a registered private provider of social housing, a registered provider of public social housing, or any other type of organisation.

• The address of the building and the year it was finished. The age band of the building is also accepted if the precise age is not known information or available. 

• The number of storeys in the building, its overall height in metres, and the number of dwellings it has.

• A statement that the information in the register was submitted to the Building Safety Regulator (BSR) to the best of the applicant’s knowledge and is truthful and accurate.

This is probably inevitable. The beauty of Operance, however, is that we manage a ‘Master Template’ which describes the very latest HRB Registration information requirements as required by law at the current moment in time (as far as practically possible, meaning that we still need to be informed of any changes ourselves and make the necessary updates to our Master Template). The BSR will no doubt confirm these changes through their channels, and there will be updates to the Building Safety Act (BSA) through secondary legislation. Read more about ‘How’ Operance helps you define, create, access and maintain your HRB Registration information below.

Following a consultation on Key Building Information, the government proposes to require the Principal Accountable Person (PAP) to provide the Building Safety Regulator (PAP) with ‘Key Building Information’ about their building. The PAP will be required to submit this key building information to the BSR alongside, but not as part of, their application for registration. Key building information will also be accessible publicly, with the exception of data which poses a privacy, safety or security risk. This will support great openness and transparency in the sector as recommended by the Building a Safer Future Report.

The PAP will also have to provide updates to the BSR whenever the key building information changes.

The registration information and the key building information will enable the BSR to fulfil their duty to advise government and to make informed decisions to guide the regulatory regime.

Remember, as noted above, it will only become an offence to breach the registration requirement from 1 October 2023. Following 1 October 2023, it will therefore be an offence for an occupied HRB not to be registered, unless there is a reasonable excuse. From the 1 October 2023, the PAP can choose to submit their key building information at the same time as their registration application or submit it within 28 calendar days of their registration application.

This includes buildings that are designed and constructed under the new building control regime for higher-risk buildings (i.e. the gateways process) and buildings that are part way through design and construction when the new building control regime comes into force. It also includes a change of use to residential.

The submission of the key building information does not impact the registration process which is a separate process. For instance, the BSR may be unsatisfied with a key building information submission as there is missing information – however this would not have any impact on the building registration.

After the building has been registered with the Building Safety Regulator (BSR), it will be the responsibility of the Principal Accountable Person (PAP) to inform the BSR of any changes to the information supplied as part of the application for registration other than any change of accountable person(s).

All changes must be notified to the BSR within 14 calendar days, excluding Christmas Day, Good Friday or a bank holiday in England and Wales, of either the change occurring or the PAP becoming aware of the change.

Please note that each change, in addition to the original submission fee, will potentially incur additional change fees. Read more about this below in “How much will it cost to register HRBs?”

After registration, the Principle Accountable Person (PAP) for a high-risk residential building (HRB) will need to apply for a Building Assessment Certificate (BAC) at the direction of the regulator.

To apply for a Building Assessment Certificate, the PAP will need to send certain important documents to the regulator, including a copy of the Safety Case Report, details about the Mandatory Occurring Reporting System, and a copy of the Residents’ Engagement Strategy.

The regulator will look at the documents and assess whether the PAP is managing their building’s safety risks and keeping residents safe. The regulator may also send an inspector to the building. If the regulator is satisfied that, at the time of assessment, the PAP is managing their building effectively and keeping residents safe, it will issue a Building Assessment Certificate for the building. Where the regulator has concerns, it will advise the PAP what further steps are required and will issue a certificate when the required action has been taken. Where necessary, enforcement action will be taken to ensure the safe management of the building.

The regulator will be responsible for letting the PAP know when they need to apply for their Building Assessment Certificate, via a call-in notification. Once the Accountable Person has received this notification (which will likely be via email) they will have 28 days to send all the required documents to the regulator.

New buildings will be called to apply for their Building Assessment Certificate within six months of occupation.

As there are over 12,500 existing occupied high-rise residential buildings in England, it will take the regulator around five years to assess them all for the first time. Therefore, the regulator will need to prioritise which buildings to assess first. You can find more information about this in the Building Assessment Certificate Transitional Arrangements factsheet.

Buildings will be reassessed periodically by the regulator. How often will depend on the specific building, but every high-rise residential building will be reassessed at least every 5 years.

Under section 76 of the BSA, an accountable person will commit an offence if they allow the occupation of any residential units, in part or all, of a higher-risk building (HRB) for which they are responsible before a relevant completion certificate is issued.

In addition, section 77 makes it an offence for a Principal Accountable Person (PAP) to allow residential occupation of a HRB before it is registered with the Building Safety Regulator (BSR). This, therefore, requires the PAP to provide the unique reference number for the completion certificate or the partial completion certificate. This will support the BSR in validating that a PAP or accountable person is not breaching these requirements.

In summary, if a building becomes occupied after the deadline without being registered, then the principal accountable person will be committing an offence.

The Principle Accountable Person (PAP) is the organisation or person who owns or has responsibility for the building and, therefore, responsible for submitting an application for HRB registration (as explained under section 77) through the Building Safety Regulator (BSR) digital platform.

To be clear, this is the final step in the process; the definition, assignment, curation and validation of the information required in order to submit an application to register HRBs must be done first. This can be done by the PAP or other Accountable Persons.

It is proposed that a PAP may also designate an ‘agent’ to develop the information required and to submit an application on their behalf, providing that when the application is submitted, the agent confirms they have the authority to make it. If appointed, the agent will act as the point of contact for the BSR in connection with the application.

But to be clear, the legal requirement to register the building cannot be transferred or delegated to an agent. If the PAP appoints an agent to complete the application, and it is not submitted in time, it is the PAP who commits the offence, not the agent.

The agent will also have to confirm the accuracy of the contents of the application on behalf of the PAP. The PAP and the agent must understand that knowingly or recklessly providing false or misleading information to the BSR is also an offence.

In applying for registration (or in providing subsequent changes), it is proposed that the PAP must provide a physical address (not a PO box address) in England and Wales for themselves and an address or addresses for all other accountable person(s) of the building. This is needed for general communication and for the service of notices if required.

Within the Building Safety Act (BSA), section 2 names the Building Safety Regulator (BSR) or ‘the regulator’ as the Health and Safety Executive (HSE).

The BSR will have three main functions:

1. Overseeing the safety and standards of all buildings.
2. Helping and encouraging the built environment industry and building control professionals to improve their competence.
3. Leading implementation of the new regulatory framework for high-rise buildings.

The BSR is responsible for maintaining the Higher Risk Building (HRB) register in England, a key tool for identifying and prioritising buildings that require additional safety measures and oversight.

The BSR is a new regulator that forms part of the UK government’s response to the Grenfell Tower fire in 2017. It was established to oversee the safety of high-risk buildings and is responsible for ensuring that buildings (including those that are over 18 meters or six stories high) are designed, constructed, and maintained in accordance with safety regulations.

The BSR is not only responsible for the HRB register, but it will also manage the register of building inspectors and building control approvers.

Application to register HRBs will eventually be made through the Building Safety Regulator’s own digital platform, which, we are led to believe, is currently still in development. We are told it could take up to 2 years to complete the development of this platform, and that is started during the summer of 2022.

Operance plans to be at the forefront of integrability once the BSR digital platform is complete, with the ability to read and share data between the two digital platforms.

However, until this is possible, once HRB information has been provided and it has been validated and verified by the Principle Accountable Person (PAP), they have the option of either exporting the information and sending it to the BSR direct or by inviting their local/assigned BSR operator to access the Operance platform and audit the information from there.

It has been suggested that there will be a chargeable fee for submitting initial HRB registration applications. Additionally, it has been suggested that there will be a fee for re-submissions (as a result of changes in the information, i.e. building names etc).

However, the total cost of these fees has yet to be confirmed by the BSR.

However, as a whole, the government estimate that over the 15-year appraisal period, the registration process alone will cost industry between £2.7 million and £4.1 million, with a central estimate of £3.4 million, in present value (PV) terms. This equates to equivalent annual cost (EAC) of between £0.2 million and £0.3 million over the appraisal period.

They expect it to take the Principal Accountable Person (PAP) a total of 2.5 hours to gather and submit the information required at registration.

If there are changes to registration information and dependant on the level of information change, they estimate it would likely take the PAP roughly 50 minutes (based on the average of an estimated 10 minutes for existing buildings and 1.5 hours for new builds) to notify the BSR of the change.

Existing buildings will be placed into groups or ‘tranches’ for assessment. These will be based on the height of the building and the number of dwellings it contains, so the tallest buildings with the greatest number of dwellings will be placed into the earlier tranches.

The regulator will also have the option, following receipt of information at registration, and in strictly defined circumstances, to move buildings between tranches; for example, buildings with unremediated Aluminium Composite Material (ACM) cladding will be assessed in the first tranche, regardless of height or number of dwellings. The regulator aims to assess all buildings for the first time within five years.

The table below details the tranches and their order of assessment. Height is measured in metres and the number of dwellings includes any flats or apartments in the building, whether or not they are currently occupied.

To use the table, find the building height in the left-hand column and follow the line across to the column with the relevant total number of dwellings in the building; the number in the box is the tranche number. For example, a 35-metre building with 60 dwellings is in tranche 2.

Following the initial assessments, the Building Safety Regulator (BSR) will reassess the Principal Accountable Persons (PAP) management of building safety risks at least every five years. Some may be reassessed earlier than the five-year limit.

The timing for being called for reassessment will depend on a set of criteria which are currently in development. Factors that could lead to more frequent reassessment include, past performance in the assessment process, a change in PAP or Accountable Person(s), a significant refurbishment, or other intelligence from sources such as complaints raised by residents.

TED talks are an excellent resource for anyone looking to further their knowledge and self-education. Here are some videos to help boost your knowledge in the sphere of building safety. While there are many high-quality, inspiring TED talks, Operance has collected our favourites to get you started.

Architect and urban designer Stefan Al believes that architecture is more than just buildings. In this highly-watchable animated explainer, Stefan introduces Mjøstårnet, the world’s tallest wooden building, made almost entirely from the trees of neighboring forests.

So how does it compare to steel and concrete skyscrapers in respect of fire and structural safety?

577,053 incidents were attended by Fire Rescue Services in the year ending March 2022, this was a 11% increase compared with the previous year (source: FIRE0102), but what exactly is…fire? In this interesting video, Elizabeth Cox illuminates the science behind fire.

This video explains how Diane Hartley (then an undergraduate architecture student) made a shocking discovery. After reviewing Citicorp Center’s building plans for her thesis, she’d stumbled on an oversight that threatened to topple the 59-story tower into one of New York City’s most densely populated districts.

In this fascinating video, Congrui Jin explores how the most widely used construction material in the world, concrete, is prone to catastrophic cracking that has an immense financial and environmental impact. What follows is a radical idea to create a more resilient concrete.

Taking 5-years to build, Dubai’s Burj Khalifa was completed on 1 October 2009, topping out at 828-meters. The revolutionary design enabled the structure to surpass the previous record holder by over a massive 60%. What innovations allowed for such a huge leap in height? Alex Gendler digs into the architecture of this unprecedented project.

We’ve been building high-rises for 100 years. But there’s still no good way to get people out quickly.

Kevin Stone created the Rescue Reel, an example of ingenuity driven by curiosity and passion.

Read the Blog Post here

A Building User Guide (BUG) is a comprehensive manual or document that provides information about the safe and proper use of a building’s facilities and systems. Here we delve into:

• Why do we need them?
• What do they include?
• How are they created, structured and populated?
• Who contributes, uses, maintains and regulates them?
• When should they be created and maintained?
• Where should they be kept and accessed?
• Pros and Cons: what are the benefits and downsides of them?
• Smart BUGs: how are Operance improving them?

Whilst not a mandatory/compulsory requirement by law, building user guides may well be a handover requirement by clients and form terms of the construction contract. It is advisable to consult with local authorities and/or clients to determine their specific requirements; they may even specify the exact structure and content of their desired document.

Additionally, the terms of the construction contract may require the provision of a user guide as part of the building handover process. In any case, providing a building user guide can be a helpful tool for building occupants, as it gives valuable information about the systems and components of the building and can help them understand how to use and maintain the building effectively.

Some clients may be working towards BREEAM (Building Research Establishment Environmental Assessment Method) on their project, a widely recognised and respected sustainability certification system for buildings. As such, the BUG will be critical to this.

BUGs can have a significant impact on BREEAM. The BREEAM method assesses buildings against a range of sustainability criteria, including energy efficiency, water usage, waste management, and health and well-being.

A comprehensive and well-structured BUG can help improve a building’s BREEAM rating by promoting the efficient use of energy and resources and encouraging building occupants to adopt sustainable behaviours.

For example, a BUG that provides information about the building’s energy-efficient systems and tips for reducing energy consumption can contribute to the building’s BREEAM rating in the Energy category. Similarly, a guide that provides information about waste management and recycling programs, and encourages building occupants to adopt environmentally-friendly behaviours, can contribute to the building’s BREEAM rating in the Waste category.

In summary, a good BUG can be important in promoting sustainability and improving a building’s BREEAM rating.

A BUG is a document that provides information about the various systems and components of a building. It is intended for the building’s owners, operator’s and occupants’ reference for their use and maintenance of the building. It informs them about the building’s features, policies, procedures, and emergency protocols and should promote a safe, efficient, and enjoyable environment for all building users.

The building user guide typically includes information about the building’s layout and design, electrical, plumbing, HVAC systems, elevators, security systems and protocols, emergency procedures, parking and more. It may also provide guidance on energy efficiency, sustainability, health and safety, and other relevant topics.

The guide typically includes detailed instructions, diagrams, and safety information to help users understand how to use and maintain the building effectively.

It is important to ensure that the building user guide is organised clearly and concisely and that the information is presented in a format that is easy to understand and follow.

A building user guide should be compiled as soon as possible during the construction of a building or as significant changes are being made to the building’s facilities or systems. This allows building occupants and stakeholders to become familiar with the building’s policies, procedures, and emergency protocols before the building is handed over, in line with Government Soft Landing (GSL) guidance (GSL is a critical element of the design and construction process maintaining the “Golden Thread” of the building purpose through to delivery and operation, with early engagement of the end user and inclusion of a GSL champion on the project team, and commitment to aftercare post-construction).

The guide should be updated regularly to ensure the information remains accurate and relevant.

We recommend at least once a year or whenever significant changes have been made to the building’s facilities or systems. This helps to ensure that the information remains accurate and up-to-date, and that building occupants and stakeholders are well-informed about the building’s features and requirements.

A building user guide is important for all building occupants, including tenants, employees, and visitors. It provides information on the safe and proper use of the building’s facilities and systems and important emergency procedures. Other stakeholders, such as building owners, property managers, and contractors, may also use the guide to ensure that the building is being used and maintained correctly.

Ultimately, the building user guide is intended to promote a safe, efficient, and enjoyable environment for all building occupants.

The BUG is not a legal requirement, so there is no legislative regulation.

However, some local building codes or other governmental agencies, such as the fire department, may be interested in the user guides, specifically if information relevant to building safety and occupancy has been specified to be included. But generally speaking, there may be no specific regulations governing the content or format of BUGs.

Without specific regulations, building user guides are often developed by building owners, managers, or developers. They are intended to promote a safe and efficient environment for all building occupants and stakeholders. The guide should be reviewed by relevant experts, such as engineers, architects, and safety specialists, to ensure accuracy and completeness.

Regardless of whether building user guides are regulated by law or developed voluntarily, it is vital to ensure that they provide accurate and up-to-date information about the building’s facilities and systems and that they promote a safe and efficient environment for all building users.

Of course, there are many ways to structure a Building User Guide. Clients may specify their exact requirements, and so might the principal contractor or the facilities and/or asset management company in charge of operating and maintaining the facility.

Here’s a typical breakdown of the elements:

1. Introduction: A brief overview of the purpose and scope of the building user guide.
2. Building information: Detailed information about the building’s facilities, systems, and features, including floor plans, elevators, HVAC systems, emergency procedures, and more.
3. Building policies and procedures: A clear and concise description of the building’s policies and procedures, including hours of operation, parking, security protocols, and more.
4. Emergency procedures: Detailed information about emergency procedures, including evacuation plans, emergency contacts, and emergency response protocols.
5. Maintenance and repairs: Information about the maintenance and repair of the building’s facilities and systems, including procedures for reporting problems, expected response times, and more.
6. Energy efficiency and sustainability: Information about the building’s energy-efficient and sustainable features, including tips for reducing energy consumption and minimising waste.
7. Health and safety: Information about health and safety in the building, including tips for promoting a safe and healthy work environment.
8. Appendices: Additional resources, such as contact information for building management and maintenance staff, maps, and emergency response plans.

While BUGs can provide many benefits, there are also some potential downsides to consider:

1. Coordination: with so many contributors required to develop the document, it can be a real problem in assigning responsibilities to each party, ensuring they are competent and
2. Quality: with so much information to provide, quality is critical in ensuring the longevity and accessibility of the data. Therefore the person providing the information (the contributor) needs to have a good level of expertise in order to produce quality data/information. If the coordination and writing of the document is left to a generic/non-specific role to provide all information, then of course the level of quality will suffer. We, therefore, recommend that each section of the BUG be assigned to a specific industry expert in that field.
3. Cost: Developing a comprehensive and up-to-date BUG can be a time-consuming and expensive process, especially if it involves extensive research, design, and printing costs.
4. Complexity: A BUG can be a complex document that may be difficult for some building occupants and maintenance personnel to understand, especially if it is not well-organized or presented in a user-friendly format.
5. Inadequate maintenance: A BUG is only effective if it is maintained and kept up-to-date. If the BUG is not regularly reviewed and updated, it can quickly become outdated and less useful.
6. Lack of adoption: A BUG is only useful if it is used. If building occupants and maintenance personnel are unaware of the BUG or do not have access to it, it will not have the desired impact.
7. Dependence on paper: In most cases, a BUG will be handed over in paper format within a ring-binder alongside thousands of other pages and many other binders. This makes accessing the file very difficult as it is often left in one person’s office, meaning you cannot access it if that person is not around. But even if you can, finding the document among the various folders can be just as frustrating. Then sifting through the document itself can be time-consuming as you search for a particular section or piece of information, given that there is no way of searching by keywords or phrases.
8. Dependence on PDF: Even if the BUG is handed over ‘digitally’, one would argue that whilst a PDF is a digital format, it is still far from being a useful technological solution. More often than not, this file is again stored within a file, within a filing-type system. Meaning you still need to find it. Then, whilst most PDFs are keyword searchable, it is impossible to edit, update and supplement them with new information.
9. Dependence on technology: In some cases, a BUG may be created as an electronic document that relies on technology to access and use. If the technology is not available to all or fails, the BUG may not be usable.
10. Inability to Edit and Update: Whether provided in paper or PDF format, it is still ‘dumb’ information. Without the ability to maintain the BUG with new information, it is only useful on the day of handover. Every day that passes, the information becomes more and more out of date as the building evolves and facility, floor, and spaces change name, as additional systems, components and spaces are added etc.

In summary, BUGs can and should be a valuable document for owners, operators, occupants, contractors and designers, to name but a few, but we need a better way.

Operance recently released a new feature: Smart BUGs.

Utilising the immense power of our ‘Smart Data Templates’, we enable users to create generic or incredibly specific Building User Guides to their exact requirements, with the ability to save their templates as a sector, client and even departmental and end-user-specific templates.

They are super easy and quick to develop, too; here’s a short tutorial video by our Chief Product Officer Scott Pilgrim showing how they work: https://www.youtube.com/watch?v=l6Gd1QcGsuw.

Once created, you can choose to have your master BUG template and/or your various departmental/user-specific templates uploaded to every project by default, meaning that every time you create a project in Operance, hey presto, your BUG requirements are uploaded instantly.

Then, all you need to do is assign each contributor to the sections relevant to them and let the Operance system do the rest. Automated emails invite the contributor to Operance and give them access to their sections, keeping it nice and straightforward. Should they not respond, the system reminds them of their responsibilities until the information is provided.

Want to know more? Contact us to arrange a demo today.