To support fire engineers and other fire safety professionals navigating these requirements, the Fire Industry Association (FIA) has developed clear, practical guidance. This resource reflects our interpretation of the regulations and is intended to help specialists prepare for submissions at both stages, and whilst efforts have been made to ensure that the guidance is correct, anyone using this should make their own decisions on what is appropriate for their project.

The guidance is specifically focussed on fire engineers and other specialists in the fire safety industry. As such, this guidance does not go into detail on non-fire safety issues.

The FIA would strongly recommend that anyone involved in a Gateway 2 submission should carefully read the following guidance documents and websites that have been published by the BSR and the government.

• https://www.hse.gov.uk/building-safety/building-control/regime-overview.htm
• https://buildingsafety.campaign.gov.uk/building-safety-regulator-making-buildings-safer/the-building-control-authority/
• https://www.gov.uk/guidance/building-control-approval-for-higher-risk-buildings).

The term ‘fire engineer’ has various definitions and so the term ‘fire engineer/specialist’ has been used throughout this guidance to refer to any people or organisations who are responsible for either preparing fire strategies for projects or for carrying out the design or installation of any fire safety precaution, either active or passive. This would mean that typically there will be several fire engineers/specialists on any construction project.

The explanations below are mainly intended for situations where the fire engineer/specialist is working as one member of a design team, so the fire engineer/specialist will not be classified as the Principal Designer or Principal Contractor. If the works are more limited, and the fire engineer/specialist becomes classified as the Principal Designer or Principal Contractor, additional requirements will apply which are outside of the scope of this guidance.

The guidance uses the following acronyms:

• Building Safety Regulator (BSR)
• Higher Risk Building (HRB)
• Registered Building Inspector (RBI)
• Registered Building Control Authority (RBCA)
• Local Authority Building Control (LABC)
• Fire risk appraisal of external walls (FRAEW)

What type of projects will require a Gateway 2 application?

Gateway 2 applications are required for any situation where ‘building work’ is being proposed on an HRB. See below for clarification on those terms.

How do I find out whether the proposed work that I’m working on meets the criteria of ‘building work’?

The definition of ‘building work’ is included in Regulation 3(1) of the Building Regulations. The recent changes to the regulations have not changed that definition. The only difference is that, when carrying out ‘building work’ on a building that is an HRB, the application needs to go to the BSR (not the LABC or an RBCA) and it needs to comply with the requirements under Gateway 2. If you are unclear about whether the work you are involved with is ‘building work’ it is best to refer to a specialist advisor.

How do I find out whether the building that I am working on is an HRB?

The definition of what counts as an HRB is included in this government website (https://www.gov.uk/government/collections/guidance-on-the-criteria-for-being-a-higher-risk-building). There are three separate definitions, depending on whether the project is the construction of a new building, work on an existing building, or if no building work is being carried out. It is important to be careful about this, because if a mistake is made, and works start on a building which later turns out to be an HRB, there could be significant consequences.

If the project gained approval under Gateway One, does that guarantee approval under Gateway 2?

Unfortunately, no. Gateway One is under Planning legislation. Gateway Two is under Building Regulations. So, there is no legislative link between the two. Whilst both include a review by the BSR, the criteria that is reviewed under the two stages is different. The most that can be said is that if a project has gained approval under Gateway One, it will improve the chances of approval under Gateway Two, but it will not guarantee it.

What information does a fire engineer/specialist need to submit as part of a Gateway 2 application?

This could potentially vary depending on the fire engineer/specialist’s specific scope of works. But a Gateway 2 application should include a Fire and Emergency File, part of which is a fire strategy report describing how the proposed works comply with the relevant fire safety requirements of the Building Regulations. It should also include the designs of all fire safety precautions, both active and passive. So that fire strategy report and the designs of the fire safety precautions would be provided by the various fire engineers/specialists who are working on the project. The Gateway 2 application would also include a Construction Control Plan from the Principal Contractor, so any site-based works by the fire engineer/specialists (whether for installation or inspection) would be covered by that plan. 

If the project is remedial work on an external wall, will an FRAEW report to PAS 9980 be adequate for the Gateway 2 submission?

No. An FRAEW report would assess the risk of the existing external walls and, if the risk is found to be too high, would give general recommendations on options for remedial works that would reduce the risk to an acceptable level. The Gateway 2 submission needs to prove that the proposed works are compliant with the functional requirements of the Building Regulations, which is not the same thing. The Gateway 2 submission should therefore include a fire strategy report for the remedial works to explain how those works comply with the fire safety requirements of the Building Regulations (typically Part B and Regulation 7(2) to 7(4)).

What level of competence should a fire engineer/specialist have, and how can that be demonstrated?

This will depend on the specific scope of works of the fire engineer/specialist. The fire engineer/specialist needs to demonstrate that they have the individual and organisational competence to carry out the works. FIA are strongly of the view that, where available, this should be via third party checks of competence such as UKAS accredited third party certification schemes, or for professional engineers, via membership at an appropriate level with professional bodies that are registered with the Engineering Council. Reference to previous work that the fire engineer/specialist has carried out should support that but would not be sufficient on its own.

For the Gateway 2 submission, what level of detail does the design need to have reached?

There are differing views on this issue. The BSR have stated that the level of detail needs to be sufficient to demonstrate that the building design is compliant to the requirements of the Building Regulations. However, once approval is given, it will be necessary to carry out the construction to the approved design. Changes from that approved design can only be made via Change Control applications which are only really suitable for a limited number of changes, not wholesale replacement of the design by a later version. In FIA’s view, the design should be RIBA Stage 4, showing details of what is intended to be built. Earlier stages (e.g. designs intended for tender) are not appropriate. That is a change compared to what many in the industry are used to submitting for Building Control approval, but in FIA’s view the industry needs to adapt to this and if necessary, update procurement strategies as required.

How do I deal with value engineering?

In principle, value engineering is a perfectly valid approach. However, the term value engineering has received criticism due to people using it inappropriately and without relevant controls and approvals. As noted in the earlier response to the level of design that is needed for Gateway 2 submissions, in FIA’s view, the design should be RIBA Stage 4 showing details of what is intended for construction. As such, in FIA’s view, if value engineering is required, it should really be carried out prior to the Gateway 2 submission, not after. 

What if my client is not aware of their responsibilities under the new regulations?

One of the many changes that the Building Safety Act 2022 introduced to Building Regulations was to specify a range of new obligations for clients, Principal Designers, Principal Contractors, designers and contractors. One of those obligations for designers is to only start work on projects once they are satisfied that the client is aware of their duties under the regulations. If, during the works, it becomes clear that the client is not aware of their obligations, then the designer would have a duty to highlight this. FIA would note that this applies to all projects where Building Regulations apply, not just HRB projects.

What are the obligations for HRB projects under Regulation 7(2) to 7(4) of the Building Regulations?

Those regulations create very strict restrictions on the types of materials that can be used in external walls and specified attachments of ‘relevant buildings’. The definition of ‘relevant buildings’ is similar to but not identical to HRBs. FIA have produced a separate guide to those regulations and would strongly recommend that anyone working on external walls or attachments on a ‘relevant building’ should read that guide.

How does the Change Control process work during construction?

The government guidance for the Change Control process is shown on this website (https://www.gov.uk/guidance/making-changes-to-a-higher-risk-building-project). If there is a need for any changes to the design after Gateway 2 approval has been obtained (e.g. during construction) it is necessary for those changes to be covered by the Change Control process as described in the BSR Guide. There are two types of changes which are described as either notifiable or major. Major Changes cannot be started on site until submitted and approved by the BSR. Fire engineers/specialists should ensure that they are familiar with the differences between the two and that the correct processes are followed (although most changes to fire precautions would be classified as a Major Change).

What is the Mandatory Occurrence Reporting process?

All Gateway 2 submissions need to include details of the Mandatory Occurrence Reporting process that should have been put in place. It requires reporting of any “situation during construction for which the building, if occupied without the risk being remedied, is likely to present a risk of a significant number of deaths or serious injury to a significant number of people”. Any fire engineers/specialists working on HRB projects should ensure that their staff are aware of this requirement.

What will be my obligations under Gateway 3?

Gateway 3 applies on completion of the project. The Gateway 3 application needs to include all relevant information for the completed building, which would include details of the design and installation of all fire safety precautions as well as quality control and site inspection information that was gathered during construction. In FIA’s view it would also include an ‘as built’ version of the fire strategy report (see later question relating to that). Any aspects of those which are within the fire engineer/specialist’s scope of works would need to be included in the Gateway 3 submission. The fire engineer/specialist should take care in preparation of any of the documents that will form part of the Gateway 3 submission because any errors in the documentation could cause a delay in handover and occupation.

What would the ‘as built’ version of a fire strategy report include?

As noted above, in FIA’s view the Gateway 3 submission would need to include an ‘as built’ version of the fire strategy report, which would be the fire strategy report that was included in the Gateway 2 submission, updated to include any changes that may have occurred during construction. It is unlikely that the fire engineer/specialist’s role would include a 100% design review and inspection of the installation of all the fire safety precautions that are mentioned in the fire strategy report. To avoid misinterpretation of the term ‘as built’, FIA would therefore advise that the report should clarify to what extent the fire engineer/specialist has reviewed the designs and inspected the installation of the various fire precautions that are mentioned in the fire strategy report.

Is partial occupation allowed under Gateways 2 and 3?

Yes, in principle it is allowed, as described in the BSR Guide referenced earlier. To allow this, there would need to be a partial occupation fire strategy which would explain how the partial occupation can be carried out safely, ensuring that all relevant fire safety precautions are operational in the parts of the building which are to be occupied. FIA would note that it is likely that partial occupation would in most cases only be acceptable for parts of the building which are classified as an ‘independent section’ and so would be a separate ‘building’ on occupation as described in the HRB definitions as referenced earlier. 

Are Staged applications acceptable?

In principle, yes. Although, it is important to be clear on what a “Stage” is under the Gateway 2 regulations. This is covered in the BSR guide and explains that for large projects it may be possible to break the application into multiple Stages. Each Stage would be likely to be defined as an ‘independent section’ (and hence a building in its own right on occupation) as defined in the HRB definitions. A Stage is not a work package, or a way of making early submissions based on designs which have not yet reached the level that is required for a full application.