Key terms
3.1 The following are key terms used in this document:
BCB means Building Control Body: a local authority or an approved inspector.
Building envelope in relation to a building means the walls, floor, roof, windows, doors, roof windows and roof-lights.
Commissioning means the advancement of a fixed building service following installation, replacement or alteration of the whole or part of the system, from the state of static completion to working order by testing and adjusting as necessary to ensure that the system as a whole uses no more fuel and power than is reasonable in the circumstances, without prejudice to the need to comply with health and safety requirements. For each system commissioning includes setting-to-work, regulation (that is testing and adjusting repetitively) to achieve the specified performance, the calibration, setting up and testing of the associated automatic control systems, and recording of the system settings and the performance test results that have been accepted as satisfactory.
Consequential improvements means those energy efficiency improvements required by regulation 28.
Controlled service or fitting means a service or fitting in relation to which Part G (sanitation, hot water safety and water efficiency), H (drainage and waste disposal), J (combustion appliances and fuel storage systems), L (conservation of fuel and power) or P (electrical safety) of Schedule 1 to the Building Regulations imposes a requirement.
Dwelling means a self-contained unit, including a house or a flat, designed to be used separately to accommodate a single household. (Rooms for residential purposes are not dwellings so Approved Document L2B applies to work in such buildings.)
Energy efficiency requirements means the requirements of regulations 23, 25A, 25B, 26, 28, 29 and 40 of, and Part L of Schedule 1 to, the Building Regulations.
energy performance certificate means a certificate which complies with regulation 29 of these regulations.
In respect of existing dwellings the applicable requirements consist of Part L and regulations 23, 38 and 40.
Fixed building services means any part of, or any controls associated with-
(a) fixed internal or external lighting systems (but not including emergency escape lighting or specialist process lighting);
(b) fixed systems for heating, hot water, air conditioning or mechanical ventilation; or
(c) any combination of systems of the kinds referred to in paragraph (a) or (b);
Major renovation means the renovation of a building where more than 25% of the surface area of the building envelope undergoes renovation.
Room for residential purposes means a room, or a suite of rooms, which is not a dwelling-house or a flat and which is used by one or more persons to live and sleep and includes a room in a hostel, an hotel, a boarding house, a hall of residence or aresidential home, but does not include a room in a hospital, or other similar establishment, used for patient accommodation.
'Renovation' in relation to a thermal element means the provision of a new layer in the thermal element (other than where that new layer is provided solely as a means of repair to a flat roof) or the replacement of an existing layer, but excludes decorative finishes, and 'renovate' shall be construed accordingly.
Simple payback means the amount of time it will take to recover the initial investment through energy savings, and is calculated by dividing the marginal additional cost of implementing an energy efficiency measure by the value of the annual energy savings achieved by that measure taking no account of VAT. When making this calculation the following guidance should be used:
a. the marginal additional cost is the additional cost (materials and labour) of incorporating (e.g.) additional insulation, not the whole cost of the work;
b. the cost of implementing the measure should be based on prices current at the date the proposals are made known to the BCB and be confirmed in a report signed by a suitably qualified person;
c. the annual energy savings should be estimated using SAP 2012¹;
d. for the purposes of this Approved Document, the energy prices that are current at the time of the application to building control should be used when evaluating the annual energy savings. Current energy prices can be obtained from the DECC website².
Thermal element is defined in regulation 2(3) of the Building Regulations as follows:
2(3) In these Regulations 'thermal element' means a wall, floor or roof (but does not include windows, doors, roof windows or roof-lights) which separates a thermally conditioned part of the building ('the conditioned space') from:
a. the external environment (including the ground); or
b. in the case of floors and walls, another part of the building which is:
i. unconditioned;
ii. an extension falling within class VII in Schedule 2; or
iii. where this paragraph applies, conditioned to a different temperature,
and includes all parts of the element between the surface bounding the conditioned space and the external environment or other part of the building as the case may be.
2(4) Paragraph 2(3)(b)(iii) only applies to a building which is not a dwelling, where the other part of the building is used for a purpose which is not similar or identical to the purpose for which the conditioned space is used.
Note that this definition encompasses the walls and floor of a swimming pool basin where this is part of an existing dwelling.
¹ http://www.bre.co.uk/sap2012.
Types of work covered by this Approved Document
3.2 This Approved Document is intended to give guidance on what, in ordinary circumstances, may be considered reasonable provision for compliance with the requirements of regulation 23 and 28 of, and Part L of Schedule 1 to, the Building Regulations for those carrying out building work to existing dwellings. In addition it gives guidance on compliance with regulations 25A, 27, 43 and 44 of the Building Regulations and 20(1), 20(2) and 20(6) of the Approved Inspectors Regulations 2010.
Buildings exclusively containing rooms for residential purposes such as nursing homes, student accommodation and similar are not dwellings, and in such cases Approved Document L2B applies.
3.3 In particular, this Approved Document gives guidance on compliance with the energy efficiency requirements where the following occurs:
a. the construction of an extension (see paragraphs 4.1 to 4.9);
b. a material change of use, or a change to the building's energy status, including such work as loft and garage conversions (paragraphs 4.11 to 4.16);
c. the provision or extension of a controlled service or controlled fitting (paragraphs 4.17 to 4.37);
d. the replacement or renovation of a thermal element (Section 5);
e. the major renovation of a building.
3.4 Where the activities include building work in a dwelling that is part of a mixed-use building, account should also be taken of the guidance in Approved Document L2B in relation to those parts of the building that are not dwellings, including any common areas.
It should be noted that dwellings are defined as self-contained units. Rooms for residential purposes are not dwellings, and so Approved Document L2B applies to them.
Dwellings within the scope of the energy efficiency requirements
3.5 The energy efficiency requirements of the Building Regulations apply only to buildings which are roofed constructions having walls and which use energy to condition the indoor climate. For dwellings the requirements will apply to:
• the erection of a dwelling (guidance on this is given in Approved Document L1A);
• the extension of a dwelling other than some extensions falling within Class VII in Schedule 2 to the Building Regulations; or
• the carrying out of any building work to or in connection with an existing dwelling or an extension to an existing dwelling.
Dwellings exempt from the energy efficiency requirements
3.6 There are two exemptions from the energy efficiency requirements that may apply to building work to existing dwellings or extensions to existing dwellings:
a. Buildings which are:
• listed in accordance with section 1 of the Planning (Listed Buildings and Conservation Areas) Act 1990;
• in a conservation area designated in accordance with section 69 of that Act; or
• included in the schedule of monuments maintained under section 1 of the Ancient Monuments and Archaeological Areas Act 1979.
For these buildings the exemption applies only to the extent that compliance with the energy efficiency requirements would unacceptably alter the character or appearance of such existing dwellings. Guidance on these buildings is given in paragraphs 3.7 to 3.14 below.
b. Carports, covered yards, covered ways and some conservatories or porches attached to existing dwellings. Guidance on these is given at paragraphs 3.15 and 3.16 below.
Historic and traditional buildings which may have an exemption
3.7 As mentioned above in paragraph 3.6a, the following classes of buildings have an exemption from the energy efficiency requirements where compliance would unacceptably alter the character or appearance of the buildings.
a. listed buildings;
b. buildings in conservation areas; and
c. scheduled ancient monuments.
Historic and traditional buildings where special considerations may apply
3.8 There are three further classes of buildings where special considerations in making reasonable provision for the conservation of fuel or power may apply:
a. buildings which are of architectural and historical interest and which are referred to as a material consideration in a local authority's development plan or local development framework;
b. buildings which are of architectural and historical interest within national parks, areas of outstanding natural beauty, registered historic parks and gardens, registered battlefields, the curtilages of scheduled ancient monuments, and world heritage sites;
c. buildings of traditional construction with permeable fabric that both absorbs and readily allows the evaporation of moisture.
3.9 When undertaking work on or in connection with a building that falls within one of the classes listed above, the aim should be to improve energy efficiency as far as is reasonably practicable. The work should not prejudice the character of the host building or increase the risk of long-term deterioration of the building fabric or fittings.
3.10 The guidance given by English Heritage³ should be taken into account in determining appropriate energy performance standards for building work in historic buildings.
In addition English Heritage has produced detailed technical guidance on how to implement specific energy efficiency measures. (See list of available guidance documents at http://www.english-heritage.org.uk/professional/advice/advice-by-topic/climate-change/energy-efficiency/.)
3.11 In general, new extensions to historic or traditional dwellings should comply with the standards of energy efficiency as set out in this Approved Document. The only exception would be where there is a particular need to match the external appearance or character of the extension to that of the host building (see paragraph 4.2).
3.12 Particular issues relating to work in historic buildings that warrant sympathetic treatment and where advice from others could therefore be beneficial include:
a. restoring the historic character of a building that has been subject to previous inappropriate alteration, e.g. replacement windows, doors and rooflights;
b. rebuilding a former historic building (e.g. following a fire or filling a gap site in a terrace);
c. making provisions enabling the fabric of historic buildings to 'breathe' to control moisture and potential long-term decay problems.
3.13 In assessing reasonable provision for energy efficiency improvements for historic buildings of the sort described in paragraphs 3.7 and 3.8, it is important that the BCB takes into account the advice of the local authority's conservation officer. The views of the conservation officer are particularly important where building work requires planning permission and/or listed building consent.
3.14 Other classes of buildings to which special considerations apply are usually non-domestic in character, and so are covered in ADL2A and ADL2B.
Conservatories and porches
3.15 Regulation 21 of the Building Regulations exempts some conservatory and porch extensions from the energy efficiency requirements. The exemption applies only for conservatories or porches:
• which are at ground level;
• where the floor area is less than 30 m²;
• where the glazing complies with Part K 4 of Schedule 1;
• where the existing walls, doors and windows in the part of the dwelling which separates the conservatory are retained or, if removed, replaced by walls, windows and doors which meet the energy efficiency requirements; and
• where the heating system of the dwelling is not extended into the conservatory or porch.
3.16 Where any conservatory or porch does not meet all the requirements in the preceding paragraph, it is not exempt and must comply with the relevant energy efficiency requirements (see paragraphs 4.8 and 4.9 below).
³ Energy Efficiency and Historic Buildings, English Heritage, 2011 http://www.english-heritage.org.uk/publications/energy-efficiency-historic-buildings-ptl/.
Notification of work covered by the Energy Efficiency requirement
3.17 In most instances in order to comply with the Building Regulations it will be necessary to notify a BCB before the work starts. Where you choose to use the local authority and any work relates to the common parts of a block of flats, this must be by deposit of full plans. For other existing dwellings this could be either in the form of a deposit of full plans or by a building notice. There is no set procedure where the BCB is an Approved Inspector provided they have been notified at least 5 days before work starting.
3.18 In certain situations, however, you do not need to notify a BCB:
a. Where the work is being carried out by a person registered with a relevant competent person self-certification scheme listed in Schedule 3 to the Building Regulations, no advance notification to the BCB is needed (see paragraphs 3.19 to 3.22).
b. Where the work involves an emergency repair, e.g. to a failed boiler or a leaking hot water cylinder, in accordance with regulation 12(7) of the Building Regulations there is no need to delay making the repair in order to make an advance notification to the BCB. However, in such cases it will still be necessary for the work to comply with the relevant requirements and to give a notice to the BCB at the earliest opportunity, unless an installer registered under an appropriate competent person scheme carries out the work. A completion certificate can then be issued in the normal way.
c. Where the work is of a minor nature as described in the schedule of non-notifiable work (Schedule 4 to the Building Regulations), the work must still comply with the relevant requirements but need not be notified to the BCB (see paragraphs 3.23 to 3.25).
Competent person self-certification schemes
3.19 It is not necessary to notify a BCB in advance of work which is to be carried out by a person registered with a competent person self-certification scheme listed in Schedule 3 to the Building Regulations. In order to join such a scheme a person must demonstrate competence to carry out the type of work the scheme covers, and also the ability to comply with all relevant requirements in the Building Regulations.
3.20 Where work is carried out by a person registered with a competent person scheme, regulation 20 of the Building Regulations 2010 and regulation 20(1) of the Building (Approved Inspectors etc) Regulations 2010 require that the occupier of the building be given, within 30 days of the completion of the work, a certificate confirming that the work complies fully with all applicable building regulation requirements. There is also a requirement to give the BCB a notice of the work carried out, again within 30 days of the completion of the work. These certificates and notices are usually made available through the scheme operator.
3.21 BCBs are authorised to accept these certificates and notices as evidence of compliance with the requirements of the Building Regulations. Local authority inspection and enforcement powers remain unaffected, although they are normally used only in response to a complaint that work does not comply.
3.22 A list of authorised self-certification schemes and the types of work for which they are authorised can be found at http://www.communities.gov.uk
Work which need not be notified
3.23 Schedule 4 to the Building Regulations sets out types of work where there is no requirement to notify a BCB that work is to be carried out. These types of work are mainly of a minor nature where there is no significant risk to health, safety or energy efficiency. Note that the health, safety and energy efficiency requirements continue to apply to these types of work, and that only the need to notify a BCB has been removed. In addition, where only non-notifiable work is carried out by a member of a competent person self-certification scheme there is no requirement for a certificate of building regulations compliance to be given to the occupier or the BCB.
3.24 The types of non-notifiable work in Schedule 4 relevant to the energy efficiency requirements of the Regulations are:
a. In a heating, hot water, ventilation or air-conditioning system, the replacement of any part which is not a combustion appliance (such as a radiator, valve or pump) or the addition of an output device (such as a radiator or fan) or the addition of a control device (such as a thermostatic radiator valve). However, the work will remain notifiable whenever commissioning is possible and necessary to enable a reasonable use of fuel and power (see paragraphs 4.30 to 4.37).
b. The installation of a stand-alone, self-contained fixed heating, hot water, ventilation or air-conditioning service. Such services must consist only of a single appliance and any associated controls, and must not be connected to, or form part of, any other fixed building service. Examples of non-notifiable services would be a fixed electric heater, a mechanical extractor fan in a kitchen or bathroom, and a room air-conditioning unit. However, if any of the following apply, the work will remain notifiable building work:
i. the service is a combustion appliance;
ii. any electrical work associated with the installation is notifiable;
iii. commissioning is possible and would affect the service's energy efficiency (see paragraphs 4.30 to 4.38);
iv. in the case of a ventilation appliance, the appliance is installed in a room containing a natural draught open-flued combustion appliance or service, such as a gas fire which uses a chimney as its flue.
c. Installation of thermal insulation in a roof space or loft space where this is the only work carried out and the work is not carried out to comply with any requirement in the Building Regulations, i.e. the work is carried out voluntarily.
3.25 Schedule 4 also sets out what types of electrical installation work in dwellings are non-notifiable. Full information on this is given in Approved Document P.
Materials and workmanship
3.26 Any building work which is subject to the requirements imposed by schedule 1 to the Building Regulations shall be carried out in accordance with regulation 7. Guidance on meeting these requirements on materials and workmanship is contained in the Approved Document to support regulation 7.
3.27 Building Regulations are made for specific purposes, primarily the health and safety, welfare and convenience of people and for energy conservation. Standards and other technical specifications may provide relevant guidance to the extent that they relate to these considerations. However, they may also address other aspects of performance or matters which, although they relate to health and safety etc., are not covered by the Building Regulations.
3.28 When an Approved Document makes reference to a named standard, the relevant version of the standard to which it refers is the one listed at the end of the publication. However, if this version has been revised or updated by the issuing standards body, the new version may be used as a source of guidance provided it continues to address the relevant requirements of the Regulations.
The Workplace (Health, Safety and Welfare) Regulations 1992
3.29 The Workplace (Health, Safety and Welfare) Regulations 1992, as amended, apply to the common parts of flats and similar buildings if people such as cleaners, wardens and caretakers are employed to work in these common parts. These Regulations contain some requirements which affect building design. The main requirements are now covered by the Building Regulations, but for further information see Workplace health, safety and welfare, Workplace (Health, Safety and Welfare) Regulations 1992, Approved Code of Practice and guidance, HSE publication L24, 1996.
3.30 Where the requirements of the Building Regulations that are covered by this Approved Document do not apply to dwellings, the provisions may still be required in the situations described above in order to satisfy the Workplace Regulations.
