The Building Regulations etc. (Amendment) (England) Regulations 2023

(14) (1) An application for building control approval with full plans must be made in writing, signed by the person making the application (“the applicant”), and must include— (a) the name, address, telephone number and (if available) email address of the applicant; (b) where the applicant is not the client, the name, address, telephone number and (if available) email address of the client; (c) where known at the date of the application, the name, address, telephone number and (if available) email address of the principal contractor (or sole contractor) and the principal designer (or sole or lead designer); (d) a statement— (i) that the application is an application for building control approval with full plans given under regulation 12(2)(b); (ii) as to whether the building is a building to which the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after completion of the building work; (e) where the work consists of work to an existing building, a description of the existing building including— (i) details of the current use of the building, including the current use of each storey; (ii) the height of the building; (iii) the number of storeys in the building as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023; (f) a description of the proposed work, including— (i) details of the intended use of the building, including the intended use of each storey; (ii) the height of the building after the proposed work; (iii) the number of storeys in the building after the proposed work as determined in accordance with regulation 6 of the Higher-Risk Buildings (Descriptions and Supplementary Provisions) Regulations 2023; (iv) the provision to be made for the drainage of the building; (v) where paragraph H4 of Schedule 1 imposes a requirement, the precautions to be taken in the building over a drain, sewer or disposal main to comply with the requirements of that paragraph; (vi) the steps to be taken to comply with any local enactment that applies; and (vii) a statement setting out— (aa) the date when it is proposed the work will reach the point when it is to be regarded as commenced in accordance with regulation 46A (lapse of building control approval: commencement of work); and (bb) where the work does not consist of work to which paragraph (2) or (3) of regulation 46A applies, details of the work which the client considers amounts to 15% of the proposed work. (2) An application for building control approval with full plans must be accompanied by— (a) (i) two copies of the full plans, or (ii) where Part B of Schedule 1 (fire safety) imposes a requirement in relation to proposed building work, four copies of the full plans; (b) where the application is made by someone on behalf of the client, a statement signed by the client confirming they agree to the application being made and that the information contained in the application is correct. (3) Plans are only full plans if they consist of— (a) a description of the proposed building work, renovation or replacement of a thermal element, change to the building’s energy status or material change of use; (b) the plans, particulars and statements required by paragraphs (1), (1A) and (2) of regulation 13; (c) where paragraph H4 of Schedule 1 imposes a requirement, particulars of the precautions to be taken in building over a drain, sewer or disposal main to comply with the requirements of that paragraph; and (d) any other plans which are necessary to show that the work would comply with these Regulations. (4) Paragraph (2)(a)(ii) does not apply where the proposed building work relates only to the erection, extension or material alteration of a dwelling-house or flat. (14A) (1) Subject to paragraph (5), where an application for building control approval with full plans is made in accordance with regulations 12(2)(b) and 14, the relevant authority must grant the application for building control approval unless the application (including the plans or other documents which accompany it)— (a) does not comply with the requirements of regulation 14 (applications for building control approval with full plans); (b) is not sufficiently detailed in any respect to allow the relevant authority to determine whether the proposed work would contravene any applicable requirement of the building regulations; (c) shows that— (i) the proposed work would contravene any applicable requirement of these Regulations; or (ii) in a case where details are provided under regulation 14(1)(f)(vii), the work set out in the details would not in the relevant authority’s opinion amount to 15% of the work. (2) If the application for building control approval with full plans (or any plans or other documents which accompany it) is defective or shows that the proposed work would contravene any requirement of these Regulations, the relevant authority may— (a) reject the application; or (b) subject to paragraph (4), grant the application for building control approval subject to either or both of the requirements set out in paragraph (3). (3) The requirements mentioned in paragraph (2) are— (a) that such modifications as the relevant authority may specify must be made in the full plans, and (b) that such further plans as the authority may specify must be provided before work to which those plans relate starts. (4) A relevant authority may only grant an application for building control approval with full plans subject to a requirement in paragraph (3) if the person making the application (“the applicant”)— (a) has requested in writing the authority does so, or (b) has consented in writing to the authority doing so. (5) The duty in paragraph (1) is subject to any provision in sections 19 to 25 of the Act which expressly requires or authorises the authority to reject an application for building control approval. (6) The relevant authority must notify the applicant of the outcome of the application within five weeks beginning with the date the application is received by the relevant authority, or within such longer period as at any time the authority and the applicant agree in writing. (7) A failure by the relevant authority to notify the applicant in accordance with paragraph (6) is not to be treated as a grant of the application or a rejection of the application. (8) A notice that the application under paragraph (1) is rejected must give the reasons for the rejection. (9) A notice that the application is granted subject to a requirement must specify the requirement imposed. (10) Where the application for building control approval with full plans is successful the effect is that the building control approval is granted. (14B) (1) A person (“the appellant”) who has made an application for building control approval with full plans to a local authority may appeal to the regulator against the decision of the local authority to reject the application provided the appeal is made within 21 relevant days beginning with the day after the day on which the local authority notifies the person under regulation 14A(6) (determination of applications for building control approval with full plans). (2) The regulator may allow an appeal under paragraph (1) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; or (d) that the decision was made without following the procedures set out in the Act or regulations made under the Act. (3) If the regulator allows an appeal it may quash or vary the decision. (4) A person aggrieved with the decision of the regulator on an appeal under this regulation may appeal that decision to the First-tier Tribunal within 21 relevant days beginning with the day after the day on which the regulator notifies the person of its decision. (5) The First-tier Tribunal may allow an appeal referred to in paragraph (4) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; or (d) that the decision was made without following the procedures set out in the Act or regulations made under the Act. (6) If the First-tier Tribunal allows an appeal it may quash or vary the decision. (14C) (1) In relation to work for which the regulator is the building control authority pursuant to a regulator’s notice, a person (“the appellant”) who has made an application for building control approval with full plans to the regulator may appeal to the First-tier Tribunal against the decision of the regulator to reject the application provided the appeal is made within 21 relevant days beginning with the day after the day on which the regulator notifies the person under regulation 14A(6) (determination of applications for building control approval with full plans). (2) The First-tier Tribunal may allow an appeal referred to in paragraph (1) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; (d) that the decision was made without following the procedures set out in the Act or regulations made under the Act. (3) If the First-tier Tribunal allows an appeal it may quash or vary the decision.

Amendments: consultation on applications for building control

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After regulation 15 of the 2010 Regulations insert—

(15A) (1) This regulation applies where it is proposed— (a) to erect, extend or make any structural alteration to a building to which the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after completion of the work, or (b) to change the use of a building to which the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after the change of use, and, in connection with that proposal, an application for building control approval with full plans is given to a relevant authority. (2) Subject to paragraph (3), where this regulation applies the relevant authority must consult the enforcing authority before determining the application for building control approval with full plans given to the relevant authority. (3) The duty to consult imposed by paragraph (2) does not apply where the relevant authority is the enforcing authority. (4) In this regulation “enforcing authority” has the same meaning as in article 25 of the Regulatory Reform (Fire Safety) Order 2005.

Other appeals

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After regulation 18 (unauthorised building work) of the 2010 Regulations insert—

(18A) (1) A person (“the appellant”) who has— (a) notified a local authority under regulation 16(4) and the authority has refused to give a certificate under regulation 17 (completion certificates); (b) notified a local authority under regulation 16(5) and the authority has refused to give a certificate under regulation 17A (certificate for building occupied before work is completed); or (c) applied to a local authority under regulation 18(2) (unauthorised building work) for a certificate and the authority has refused to give the certificate, may appeal to the regulator against the decision of the local authority to refuse to provide the certificate provided the appeal is made within 21 relevant days beginning with the day after the day on which the local authority notifies the appellant of the refusal. (2) The regulator may allow an appeal under paragraph (1) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; or (d) that the decision was made without following the procedures set out in the Act or regulations made under that Act. (3) If the regulator allows an appeal it may quash or vary the decision. (4) An appellant aggrieved with the decision of the regulator on an appeal under this regulation may appeal that decision to the First-tier Tribunal within 21 relevant days beginning with the day after the day on which the regulator notifies the appellant of its decision. (5) The First-tier Tribunal may allow an appeal referred to in paragraph (4) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; or (d) that the decision was made without following the procedures set out in the Act or regulations made under that Act. (6) If the First-tier Tribunal allows an appeal it may quash or vary the decision. (18B) (1) An appeal to the regulator under section 20(5) of the Act must be made within 21 relevant days beginning with the day after the day on which the local authority notifies the person of its decision. (2) Where a person who is aggrieved with the decision of the regulator given on an appeal under section 20(5) or 39 of the Act wishes to appeal that decision by virtue of section 43A(3) of the Act they may appeal to the First-tier Tribunal provided the appeal is made within 21 relevant days beginning with the day after the day on which the regulator notifies them of its decision. (3) The First-tier Tribunal may allow an appeal referred to in paragraph (2) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; or (d) that the decision was made without following the procedures set out in the Act or regulations made under that Act. (4) If the First-tier Tribunal allows an appeal it may quash or vary the decision. (18C) (1) Where, in relation to work which is not higher-risk building work, a person (“the appellant”) has— (a) notified the regulator under regulation 16(4) and the regulator has refused to give a certificate under regulation 17 (completion certificates); (b) notified the regulator under regulation 16(5) and the regulator has refused to give a certificate under regulation 17A (certificate for building occupied before work is completed); or (c) applied to the regulator under regulation 18(2) (unauthorised building work) for a certificate and the regulator has refused to give the certificate, they may appeal to the First-tier Tribunal against the decision of the regulator provided the appeal is made within 21 relevant days beginning with the day after the day on which the regulator notifies the appellant of the refusal. (2) An appeal to the First-tier Tribunal under section 19(4), 20(5), 21(4), 22(4) or 39 of the Act must be made within 21 relevant days beginning with the day after the day on which the building control authority notifies the person of its decision. (3) The First-tier Tribunal may allow an appeal referred to in paragraph (1) or (2) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; or (d) that the decision was made without following the procedures set out in the Act or regulations made under that Act. (4) If the First-tier Tribunal allows an appeal referred to in paragraph (1) or (2) it may quash or vary the decision. (18D) (1) At least five days before making an application to the First-tier Tribunal under section 21(3) or (6), 24(2), 25(2) or (5), 33(6) or 36(3) of the Act the person proposing to make an application (“the applicant”) must notify the building control authority of their intention to make the application. (2) An application to the First-tier Tribunal under section 21(3) or (6), 24(2), 25(2) or (5), 33(6) or 36(3) of the Act must be made within 21 relevant days beginning with the day after the day on which the applicant notifies the building control authority under paragraph (1). (3) If the First-tier Tribunal allows an appeal it may quash or vary the decision. (18E) (1) A person aggrieved with the refusal of a local authority to consider an application for building control approval, an initial notice or an amendment notice on the grounds that all or part of the work to which the application or notice relates is higher-risk building work may appeal to the Secretary of State provided the appeal is made within 28 relevant days beginning with the day after the day on which the local authority refuses to consider the application. (2) An appeal to the Secretary of State under section 101A of the Act must be made in writing, signed by the person who made the original application or one of the persons who gave the original initial notice or amendment notice (in this regulation “the appellant”) and must include the following information— (a) the name, address, telephone number and (if available) email address of the appellant; (b) a statement explaining why the appellant considers the work proposed in the original application or notice does not include higher-risk building work; (c) where the appellant is an approved inspector, a statement confirming the client agrees to the appeal being made. (3) In addition to the information provided for in paragraph (2) the appeal must be accompanied by— (a) a copy of the original application or notice given to the local authority (including all documentation that accompanied the application or notice); (b) all the information provided to the local authority in relation to the application or notice; (c) all the correspondence with the local authority in relation to that application or notice; (d) a copy of the notice sent to the regulator under paragraph (4). (4) At least two working days before submitting an appeal under section 101A(2) of the Act the appellant must give notice to the regulator of their intention to do so. (5) Where the appellant submits an appeal under section 101A of the Act through electronic facilities provided by the Secretary of State for that purpose, they are taken to have consented to the use of electronic communications for all purposes relating to the appeal that are capable of being carried out electronically. (6) The deemed consent in paragraph (5) may be revoked by the appellant giving the Secretary of State two weeks’ notice in writing specifying that the notice is given under this regulation. (7) An appeal under section 101A of the Act is to be determined by consideration of written representations. (8) The Secretary of State must give the local authority which refused to consider the original application or notice the opportunity to make written representations in relation to the appeal. (9) The Secretary of State may give any other person an opportunity to make written representations in relation to the appeal. (10) The Secretary of State may, by notice in writing, require the local authority in question to provide specified information, or provide copies of specified documents, by the date specified in the notice (that date must be no fewer than 7 days after the date the notice is given). (11) Before determining the appeal the Secretary of State may— (a) hold any meeting with the appellant, the local authority or any other person, (b) undertake any site visit, as the Secretary of State considers appropriate. (12) The Secretary of State must determine the appeal within 8 weeks of the date on which the appeal is received and the decision in relation to the appeal must be given in writing to the appellant. (13) For the purposes of section 101A(6) of the Act, an appeal to the High Court under section 101A(6) of the Act may be made within 28 relevant days beginning with the day after the day on which the Secretary of State gives the decision to the appellant under paragraph (12). (14) The Secretary of State may appoint a person to determine the appeal instead of the Secretary of State. (15) At any time before a person appointed under this regulation has determined the appeal the Secretary of State may— (a) revoke that person’s appointment; (b) appoint another person to determine the appeal instead. (16) A person appointed under paragraph (14) has the same powers and duties in relation to determination of an appeal under section 101A of the Act as the Secretary of State and, in particular, where the appeal is determined by a person appointed under this regulation their decision is to be treated as the decision of the Secretary of State.

Regulator’s notices

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After regulation 19 (supervision of building work otherwise than by local authorities) of the 2010 Regulations insert—

(19A) For the purposes of section 91ZB(1) of the Act, a regulator’s notice may be given in relation to any building work (which is not higher-risk building work) where— (a) the client for the building work is proposing to undertake higher-risk building work on the same site; (b) the regulator’s notice includes all the building work to be carried out on the site which is not higher-risk building work; and (c) the client has appointed the same principal contractor for the building work and the higher-risk building work. (19B) A regulator’s notice must be in writing and must include— (a) the name, address, telephone number and (if available) email address of the client for the project to which the notice relates; (b) a statement that the notice is a regulator’s notice under section 91ZB of the Act; (c) the location of the proposed building work to which the regulator’s notice is to apply; (d) a description of the proposed building work to which the regulator’s notice is to apply, including a statement explaining how that work is connected to higher-risk work and the location on the site of that higher-risk building work; (e) a statement giving the date it is proposed the building work will start and how long it is proposed to take to complete; (f) a plan to a scale of not less than 1:1250 showing— (i) the size and position of the building, or the building as extended, and its relationship to adjoining boundaries; (ii) the boundaries of the curtilage of the building, or the building as extended, and the size, position and use of every other building or proposed building within that curtilage; (iii) the width and position of any street on or within the boundaries of the curtilage of the building or the building as extended; (g) a declaration, signed by the client and signed by an employee of the regulator who is authorised to do so, confirming— (i) the client and the regulator consent to the giving of the notice; (ii) the proposed building work to which the notice relates includes no higher-risk building work; (iii) the proposed building work falls within the requirements of regulation 19A (regulator’s notices: description of work and connection); (iv) they understand the proposed building work is to be subject to the procedural requirements of these Regulations. (19C) (1) The following grounds are prescribed for the purposes of section 91ZC(2) of the Act— (a) the conditions in regulation 19A (regulator’s notices: description of work and connection) are not satisfied in relation to the work specified in the notice; (b) the work specified in the notice is not within the area of the local authority; (c) that an application for building control approval, an initial notice or a public body’s notice has been given in relation to the work (or any part of it); (d) the notice does not comply with the requirements of regulation 19B (regulator’s notices: content of notices). (2) For the purposes of section 91ZC(3) of the Act a notice of rejection must be given within five days of the day on which the regulator’s notice is given. (19D) (1) An appeal to the First-tier Tribunal under section 91ZC(4) of the Act must be made within 21 relevant days beginning with the day after the day on which the local authority notifies the person under section 91ZC(3) of the Act. (2) The First-tier Tribunal may allow an appeal under section 91ZC(4) of the Act only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; or (d) that the decision was made without following the procedures set out in the Act or regulations made under that Act. (3) If the First-tier Tribunal allows an appeal it may quash or vary the decision. (4) The power of the First-tier Tribunal to award costs does not apply in relation to an appeal under this regulation. (19E) (1) In relation to work which is the subject of a regulator’s notice, the regulator may make a direction as to the way in which any of the following documents are given (which may include specifying cases where they must be given electronically via a website address provided for that purpose by the regulator)— (a) a building notice under regulation 13 (particulars and plans where a building notice is given); (b) an application under regulation 14 (applications for building control approval with full plans); (c) any notice under regulation 16 (notices in relation to building work); (d) an application under regulation 18 (unauthorised building work); (e) any documents that are required to accompany any notice or application referred to in sub-paragraph (a) to (d); (f) a notice under regulation 25A(2), 27(2) or (3), 27A(2) or (3), 27C(2) or (3), 37(1), 38(2B) or (2G), 41(4), 42(2), 43(2), 44(3) and 44ZA(2); (g) a copy of results under regulation 41(2). (2) A direction must specify the date on which it comes into effect, which must not be earlier than seven days after it is published. (3) Where the regulator has made and published a direction in accordance with this regulation, an application (or any document that accompanied the application) of the type mentioned in the direction must, from the date specified in the direction, be given in accordance with the direction. (4) The regulator may, by a further direction, amend or revoke a direction made under this regulation. (19F) The functions of local authorities under the Local Land Charges Act 1975, as they relate to building work for which the regulator is the building control authority by reason of a regulator’s notice under section 91ZB of the Building Act 1984, are prescribed for the purposes of paragraph (b) of the definition of “relevant function” in paragraph 2(5) of Schedule 3 to the Building Safety Act 2022.

Amendments to regulations 20 and 20A of the 2010 Regulations

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• (1) In regulation 20 (provisions applicable to self-certification schemes) of the 2010 Regulations, after paragraph (1) insert—

(1A) Where this regulation applies and the building work in question relates to a higher-risk building, the client must make the person carrying out the work aware that the building is a higher-risk building.

• (2) In regulation 20A (provisions applicable to third party certification schemes) of the 2010 Regulations, after paragraph (1) insert—

(1A) Where this regulation applies and the building work in question relates to a higher-risk building, the client must make the person carrying out the work aware that the building is a higher-risk building.

Amendments to relating to fire safety information

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• (1) In regulation 38 (fire safety information) of the 2010 Regulations, for paragraph (2) substitute—

(2) The person carrying out the work must give fire safety information to the responsible person no later than— (a) where the building, proposed building or extension to which the building work relates is not occupied during the building work, the date of completion of the work or the date of occupation of the building or the extension, whichever is the earlier; (b) in any other case, the date of completion of the work. (2A) The responsible person must give the person carrying out the work a notice acknowledging receipt of the fire safety information and confirming the information provided is sufficient to enable them to understand, operate and maintain the building (and the fire safety systems in it) after the building work in question. (2B) Subject to paragraph (2D), the person carrying out the work must give a notice to the relevant authority— (a) confirming that they have given the fire safety information to the responsible person pursuant to paragraph (2), and (b) stating that they have received the notice from the responsible person pursuant to paragraph (2A) or where they have not received the notice, stating the steps taken to obtain the notice from the responsible person and the dates they were taken. (2C) The notification under paragraph (2B) must be given no later than— (a) where regulation 20 (provisions applicable to self-certification schemes) applies to the work, 30 days after the date referred to in paragraph (2), (b) in any other case, five days after the date referred to in paragraph (2). (2D) Paragraphs (2B) and (2C) do not apply where regulation 20A (provisions applicable to third party certification schemes) applies to the work and instead paragraphs (2E) to (2G) apply. (2E) Where this paragraph applies, the person carrying out the work must notify the third party certifier appointed under regulation 12(6)(c)— (a) confirming that they have given the fire safety information to the responsible person pursuant to paragraph (2), and (b) stating that they have received the notice from the responsible person pursuant to paragraph (2A) or where they have not received the notice, stating the steps taken to obtain the notice from the responsible person and the dates they were taken. (2F) The notification under paragraph (2E) must be given no later than seven days after the date referred to in paragraph (2). (2G) Within 30 days of receiving the notification under paragraph (2E) the third party certifier appointed under regulation 12(6)(c) must notify the relevant authority confirming receipt of the notification under paragraph (2E).

• (2) In regulation 17 (completion certificates), in paragraph (1) for “it, a building complies with the relevant provisions” substitute “a building, the relevant provisions have been complied with in relation to the building”.

• (3) In regulation 17A (certificate for building occupied before work is completed), in sub-paragraph (1)(c) for “those parts of the building which are to be occupied before completion of the work currently comply with regulation 38 and Part B of Schedule 1” substitute “regulation 38 and Part B of Schedule 1 are currently complied with in relation to those parts of the building which are to be occupied before completion of the work”.

Amendments relating to commencement of section 33 of the Building Act 1984

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• (1) In regulation 19 of the 2010 Regulations—

• (a) in paragraph (1), omit “, 45 (testing of building work) and 46 (sampling material)”;

• (b) omit paragraph (2).

• (2) Omit regulations 45 and 46 of the 2010 Regulations.

Starting on site and commencement of work

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• (1) In regulation 16 of the 2010 Regulations—

• (a) for the heading substitute “Notices in relation to building work”;

• (b) in paragraph (1)—

• (i) for “commence that work” substitute “start that work”;

• (ii) for “commence work” substitute “start work”;

• (c) in paragraph (3) for “commence building work” substitute “start work”;

• (d) after paragraph (3B) insert—

(3C) Not more than five days after the day on which work is to be regarded as commenced the person carrying out the work must give a notice to that effect to the relevant authority. (3D) The relevant authority may take such steps, including— (a) requiring information; (b) laying open of work for inspection, as the authority thinks appropriate to check whether the work is to be regarded as commenced. (3E) If the relevant authority are not satisfied the work is to be regarded as commenced they must give the person carrying out the work a notice to that effect (“rejection notice”) within four weeks of the date the notice under paragraph (3C) is given, and the rejection notice must give the reasons for rejection. (3F) Where a notice is given under paragraph (3C) and the period referred to in paragraph (3E) expires without a rejection notice being given, then the work is to be regarded as commenced. (3G) If the person carrying out the work accepts the rejection notice they may not give a further notice under paragraph (3C) unless, having regard to the reasons given by the relevant authority, they are satisfied the work is to be regarded as commenced. (3H) A person who gave the notice under paragraph (3C) may appeal to the First-tier Tribunal against the decision of the relevant authority to reject the notice provided the appeal is made within 21 relevant days beginning with the day after the day on which the relevant authority gives the rejection notice. (3I) The First-tier Tribunal may allow an appeal under paragraph (3H) only if it is satisfied that the decision appealed against was wrong on one or more of the following grounds— (a) that the decision was based on an error of fact; (b) that the decision was wrong in law; (c) that the decision was unreasonable; or (d) that the decision was made without following the procedures set out in the Act or regulations made under that Act. (3J) For the purposes of paragraphs (3C) to (3I) the provisions of regulation 46A (lapse of building control approval: commencement of work) apply to determine whether work is to be regarded as commenced.

• (2) After regulation 46 of the 2010 Regulations insert—

(46A) (1) For the purposes of section 32(6) of the Act (lapse of building control approval) work is to be regarded as commenced in accordance with the following paragraphs. (2) Where the work consists of the construction of a complex building, work is to be regarded as commenced in relation to that building or the first stage of building work for that building when the foundations supporting the building and the structure of the lowest floor level of that building (but not the other buildings or structures to be supported by those foundations) are completed. (3) Where the work consists of— (a) the construction of a building and paragraph (2) does not apply; or (b) horizontal extension of a building, work is to be regarded as commenced when the sub-surface structure of the building or the extension including all foundations, any basement level (if any) and the structure of ground floor level is completed. (4) Where the work consists of any other building work then work is to be regarded as commenced, where a statement under— (a) regulation 14(1)(f)(vii), or (b) regulation 12(1)(e)(viii) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023, sets outs details of the work which the client considers amounts to 15% of the proposed work, when the work detailed in the statement is completed. (5) In this regulation— - “approved plans” means plans which were part of or accompanied the application for building control approval with full plans of the building work and which was granted building control approval, or plans approved under a requirement imposed on such an approval; - “complex building” means— a building which is to be constructed on the same foundation plinth or podium as any other building or structure; a building which has more than one storey below ground level; a building where it is proposed use is primarily as a public building where the public or a section of the public has access to the building (whether or not on payment) provided that the building has a capacity for 100 or more visitors; - “public building” means— a shop or shopping centre, premises where food or drink are sold for consumption on the premises, including a nightclub, social club or dance hall; a stadium, theatre, cinema, concert hall; a sports ground; an exhibition hall or conference centre; a hospital or premises for the provision of health care.

Enforcement provisions

16

• (1) In regulation 47, for sub-paragraph (a) substitute—

(a) (i) regulation 14A (determination of applications for building control approval with full plans), (ii) regulation 15A (consultation in relation fire safety), (iii) regulation 16(3D) (notice as to commencement of work), (iv) regulation 17 (completion certificates), (v) regulation 17A (certificate for building occupied before work is completed), (vi) regulation 18(6A) (appeal against refuse to grant certain certificates), (vii) regulation 18E(8) and (12) (appeals under section 101A of the Act), (viii) regulation 19C(2) (regulator’s notices: grounds for rejection), (ix) regulation 19E (regulator’s notices: direction), (x) regulation 20(6A) (provisions applicable to self-certification schemes), (xi) regulation 20A(7A) (provisions applicable to third party certification schemes), (xii) regulation 25A(3A) (consideration of high-efficiency alternative systems for new buildings), (xiii) regulation 27(4A) (CO₂ emission rate calculations), (xiv) regulation 27A(4A) (fabric energy efficiency rate calculations), (xv) regulation 27C(4A) (target primary energy rate calculations for new buildings), (xvi) regulation 37(3) (wholesome water consumption calculation), (xvii) regulation 41(3A) (sound insulation testing), (xviii) regulation 42(4) (mechanical ventilation air flow rate testing), (xix) regulation 43(6) (pressure testing), (xx) regulation 44(5) (commissioning), (xxi) regulation 44ZA(4) (commissioning in respect of a system for on-site electricity generation), (xxii) regulation 47B (compliance notices: contents), (xxiii) regulation 47C (stop notices: contents), (xxiv) regulation 47D(3) (compliance and stop notices: notification), (xxv) regulation 47E(2) (compliance and stop notices: withdrawal), and

• (2) After regulation 47 (contravention of certain regulations not to be an offence) of the 2010 Regulations insert—

(47A) The following provisions of these Regulations are prescribed for the purposes of section 35B(7)(a) of the Act as provisions in relation to which a compliance notice¹⁵ may not be given— (a) regulation 14A (determination of applications for building control approval with full plans), (b) regulation 15A (consultation in relation fire safety), (c) regulation 16(3D) (notice as to commencement of work), (d) regulation 17 (completion certificates), (e) regulation 17A (certificate for building occupied before work is completed), (f) regulation 18(6A) (appeal against refuse to grant certain certificates), (g) regulation 18E(8) and (12) (appeals under section 101A of the Act), (h) regulation 19C(2) (regulator’s notices: grounds for rejection), (i) regulation 19E (regulator’s notices: direction), (j) regulation 20(6A) (provisions applicable to self-certification schemes), (k) regulation 20A(7A) (provisions applicable to third party certification schemes), (l) regulation 25A(3A) (consideration of high-efficiency alternative systems for new buildings), (m) regulation 27(4A) (CO₂ emission rate calculations), (n) regulation 27A(4A) (fabric energy efficiency rate calculations), (o) regulation 27C(4A) (target primary energy rate calculations for new buildings), (p) regulation 37(3) (wholesome water consumption calculation), (q) regulation 41(3A) (sound insulation testing), (r) regulation 42(4) (mechanical ventilation air flow rate testing), (s) regulation 43(6) (pressure testing), (t) regulation 44(5) (commissioning), (u) regulation 44ZA(4) (commissioning in respect of a system for on-site electricity generation), (v) regulation 47B (compliance notices: contents), (w) regulation 47C (stop notices: contents), (x) regulation 47D(3) (compliance and stop notices: notification), (y) regulation 47E(2) (compliance and stop notices: withdrawal). (47B) (1) A compliance notice given by a building control authority must be in writing and state— (a) that it is a compliance notice under section 35B of the Act; (b) the date the notice is given; (c) the name or description of the recipient; and (d) the consequences of failing to comply with the notice. (2) A compliance notice must additionally— (a) describe the issue to which the notice relates; (b) identify the provision of building regulations, or the requirement imposed by virtue of building regulations, to which the compliance notice relates; (c) provide details of the nature of the contravention or likely contravention; (d) state that the notice may be withdrawn by the building control authority; (e) state that the recipient may apply to the First-tier Tribunal under section 39A(3) of the Act for an extension of the specified period for doing anything set out in the notice and state that any application must be made within 21 relevant days of the date the notice is given; (f) state that the recipient may appeal to the First-tier Tribunal under section 39A(1) of the Act and state that any appeal must be made within 21 relevant days of the date the notice is given. (3) A compliance notice must relate to no more than one contravention or likely contravention of building regulations or a requirement imposed by virtue of building regulations. (47C) (1) A stop notice given by a building control authority must be in writing and state— (a) that it is a stop notice under section 35C(1)(a), 35C(1)(b) or, as the case may be, 35C(1)(c) of the Act; (b) the date the notice is given and whether the notice applies immediately, or where it does not apply immediately, the date when it applies; (c) the name or description of the recipient; and (d) the consequences of failing to comply with the notice. (2) A stop notice must additionally— (a) describe the issue to which the notice relates; (b) specify— (i) in a case within section 35C(1)(a) of the Act, the provision of building regulations or requirement imposed by virtue of building regulations to which the stop notice relates; (ii) in a case within section 35C(1)(b) of the Act, the compliance notice to which the stop notice relates; (iii) in a case within section 35C(1)(c) of the Act, the provision of building regulations or requirement imposed by virtue of building regulations to which the stop notice relates; (c) provide details of the nature of the contravention (including, in a case within section 35C(1)(c) of the Act, the nature of the serious harm that is anticipated); (d) state that the recipient may appeal to the First-tier Tribunal under section 39A(5) of the Act and state that any appeal must be made within 21 relevant days of the date the notice is given; and (e) state that the recipient may apply to the First-tier Tribunal under section 39A(6) of the Act for a direction. (3) A stop notice must relate to— (a) in a case within section 35C(1)(a) of the Act, no more than one contravention of a prescribed provision of building regulations or requirement imposed by virtue of such a provision; (b) in a case within section 35C(1)(b) of the Act, no more than one compliance notice; (c) in a case within section 35C(1)(c) of the Act, no more than one contravention of a provision of building regulations or a requirement imposed by virtue of such a provision. (47D) (1) Paragraph (2) applies where a compliance notice under section 35B of the Act or a stop notice under section 35C(1) of the Act is to be given in relation to work on a site or premises and another form of service under section 94(1) of the Act is not appropriate. (2) Where, after reasonable inquiries, the building control authority is satisfied that there is no one to whom a compliance notice or stop notice can be delivered, the notice, or a copy of it, may be affixed to a conspicuous part of the site or premises where the work to which the notice relates is carried out. (3) Where a building control authority gives a compliance notice or stop notice, the authority must take reasonable steps to notify the following persons as to the giving of the notice— (a) the client, the principal contractor (or sole contractor) and the principal designer (or sole or lead designer) for the work to which the notice relates; (b) where the regulator is the building control authority, the local authority for the area in which the building is situated or the proposed building is to be situated; (c) where the notice relates to a contravention of Part B of Schedule 1 in relation to a building to which the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after completion of the work, the enforcing authority (within the meaning of article 25 of that Order) for the building or the proposed building; (d) where the client is— (i) in relation to any work, a private registered provider of social housing, (ii) in relation to work other than the erection of a new building, any other registered provider of social housing, the Regulator of Social Housing; (e) where the client is a landlord in relation to any dwelling contained in the building, the local housing authority for the area in which the building is located; and (f) where the notice relates to work to an existing higher-risk building, the accountable person who is responsible for the part of the building where the work is carried out. (4) In this regulation— - “accountable person” has the meaning in given in section 72 of the Building Safety Act 2022; - “the Regulator of Social Housing” is the body established under section 80A of the Housing and Regeneration Act 2008. (47E) (1) A building control authority may withdraw a compliance notice or stop notice. (2) Where a building control authority withdraws a compliance notice or stop notice it must as soon as reasonably practicable give the recipient a notice in writing to that effect. (47F) (1) An appeal to the First-tier Tribunal under section 39A(1) or (5) of the Act must be made by the relevant date. (2) The First-tier Tribunal may allow an appeal referred to in paragraph (1) only if it is satisfied that the giving of the compliance notice or stop notice in question was wrong on one or more of the following grounds— (a) that the notice was given based on an error of fact; (b) that the giving of the notice was wrong in law; (c) that the giving of the notice was unreasonable; (d) that the notice was given without following the procedures set out in the Act or regulations made under that Act (except regulation 47D(3)). (3) If the First-tier Tribunal allows an appeal referred to in paragraph (1) it may quash or vary the compliance notice or stop notice. (4) In this regulation the “relevant date” is— (a) in the case of an appeal under section 39A(1), within 21 relevant days beginning with the date the compliance notice is given; and (b) in the case of an appeal under section 39A(5), within 21 relevant days beginning with the date the stop notice is given. (47G) (1) An application to the First-tier Tribunal under section 39A(3) of the Act in relation to a compliance notice must made within 21 relevant days beginning with the date the compliance notice is given. (2) In deciding the question set out in an application under section 39A(3) of the Act the First-tier Tribunal must consider whether the recipient of the notice has demonstrated they are unable to comply within the specified period and it is reasonable to extend it. (47H) In deciding the question set out in an application to the First-tier Tribunal under section 39A(6) of the Act in relation to a stop notice, the First-tier Tribunal must consider whether it is fair and proportionate, having regard to any representations made, to give the direction.

Other miscellaneous amendments to the 2010 Regulations

17

• (1) In regulation 5 of the 2010 Regulations omit “the purposes of paragraph 8(1)(e) of Schedule 1 to the Act and for”.

• (2) Regulation 48 of the 2010 Regulations is omitted.

PART 3 — Amendment of other secondary legislation

Amendments to the Building (Local Authority Charges) Regulations 2010

18

• (1) The Building (Local Authority Charges) Regulations 2010¹⁶ are amended as follows.

• (2) In regulation 5(1) (principles of charging scheme)—

• (a) in sub-paragraph (a), at the beginning, insert “in relation to Wales,”;

• (b) after sub-paragraph (a) insert—

(aa) in relation to England— (i) the passing or rejection of plans which have been deposited with the local authority, in accordance with section 16 of the Act, before 1st October 2023, or (ii) the granting or rejection of an application for building control approval in relation to proposed building work in England made to the local authority in accordance with the Principal Regulations, (“a plan charge”);

• (c) in sub-paragraph (b), at the beginning, insert “in relation to Wales,”;

• (d) after sub-paragraph (b) insert—

(ba) in relation to England, the inspection of building work for which— (i) plans have been deposited with the local authority, in accordance with section 16 of the Act, before 1st October 2023, or (ii) an application for building control approval has been granted in accordance with the Principal Regulations, (“an inspection charge”);

• (3) In regulation 7(5) (principles of charging scheme: calculating charges) after sub-paragraph (j) insert—

(ja) whether an application or building notice in relation to building work is in respect of building work which is substantially the same as building work in respect of which an application for building control approval has been granted or building works inspected by the same local authority;

• (4) In regulation 8 (principles of charging scheme as to payment)—

• (a) in paragraph (1)—

• (i) in sub-paragraph (a) after “deposited with” insert “, or an application for building control approval for the building work is made to,”;

• (ii) in sub-paragraph (d)—

• (aa) for “first deposited with” substitute “first given to”;

• (bb) for “have been deposited with” substitute “have been given to”;

• (cc) for “are or have been deposited” substitute “are or have been given”;

• (b) in paragraph (2)—

• (i) after “are deposited” insert “or an application for building control approval which is made”; and

• (ii) after “of the Act” insert “or is not validly made for the purposes of the Principal Regulations”;

• (c) in paragraph (3) after “plans of building work are deposited” insert “, an application for building control approval is made”.

• (5) In regulation 11 (refunds and supplementary charges)—

• (a) in paragraph (1) after “the Act” insert “or do not give notice of the granting or rejection of an application for building control approval within the period required under the Principal Regulations”;

• (b) in paragraph (2)—

• (i) after “the plans were deposited” insert “or an application for building control approval was made”;

• (ii) after “in order to comply with section 16 of the Act” insert “or the Principal Regulations”;

• (c) in paragraph (6) after “plans which are deposited with a local authority under section 16 of the Act” insert “or an application for building control approval which is made to a local authority under the Principal Regulations”.

• (6) Omit regulation 14 (fees for determination of questions by the Secretary of State).

Amendments to the Energy Performance of Buildings (England and Wales) Regulations 2012

19

• (1) The Energy Performance of Buildings (England and Wales) Regulations 2012¹⁷ are amended as follows.

• (2) In regulation 32(1) (disclosure by keeper of register) after sub-paragraph (a) insert—

(aa) to the building safety regulator for the purposes of its duty under section 91 of the Building Act 1984;

Amendments to the Building Safety (Registration of Higher-Risk Buildings and Review of Decisions) (England) Regulations 2023

20

• (1) The Building Safety (Registration of Higher-Risk Buildings and Review of Decisions) (England) Regulations 2023¹⁸ are amended as follows.

• (2) In regulation 1 (interpretation)—

• (a) for the definition of “building certificate” substitute—

• “building certificate” means a completion certificate or, as the case may be, a final certificate in relation to a building;

• (b) for the definition of “building control body” substitute—

• “building control body” means— where the certificate is a completion certificate, the building control authority for the building; where the certificate is a final certificate, the approved inspector who gave the initial notice to which the final certificate relates;

• (c) in the definition of “completion certificate” after sub-paragraph (a) insert—

1. a certificate issued in accordance with regulation 44 (completion certificate applications: decisions) of the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023;
2. where paragraph 5, 10 or 11 of Schedule 3 to the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 applies in relation to a building, a transfer and completion certificate provided for by virtue of modifications set out in paragraph 5(9), 10(4), or, as the case may be, 11(4) of Schedule 3 to those Regulations;

Amendments to the Building Safety (Responsible Actors Scheme and Prohibitions) Regulations 2023

21

• (1) The Building Safety (Responsible Actors Scheme and Prohibitions) Regulations 2023¹⁹ are amended as follows.

• (2) In regulation 34 (exception to building control prohibition: emergency repair work)—

• (a) in paragraph (2)(b) for “local authority” substitute “relevant authority”;

• (b) after paragraph (2) insert—

(3) In this regulation “relevant authority” has the meaning given in regulation 2 of the Building Regulations 2010.

• (3) In regulation 35 (exception to building control prohibition: work to occupied buildings)—

• (a) in paragraph (1) after sub-paragraph (a) insert—

(aa) giving an application for building control approval to a building control authority;

• (b) after paragraph (2) insert—

(2A) Where an application for building control approval has been given pursuant to paragraph (1), a building control authority is not prohibited from granting a building control approval to the applicable person.

• (c) in paragraph (5) for “local authority” substitute “relevant authority”;

• (d) in paragraph (7), in the appropriate places insert—

• “building control authority” has the meaning given in regulation 2 of the Building Regulations 2010;

• “relevant authority” has the meaning given in regulation 2 of the Building Regulations 2010;

• (4) In regulation 36 (exception to building control prohibitions: purchasers)—

• (a) in paragraph (1)(a) for “local authority” substitute “relevant authority”;

• (b) after paragraph (6) insert—

(7) In this regulation “relevant authority” has the meaning given in regulation 2 of the Building Regulations 2010.

• (5) In regulation 37 (exception to building control prohibitions and modification of the Building Regulations 2010: regularisation)—

• (a) in paragraph (1) for “local authority” substitute “relevant authority”;

• (b) after paragraph (2) insert—

(2A) In this regulation “relevant authority” has the meaning given in regulation 2 of the Building Regulations 2010.

PART 4 — Transitional, supplementary and saving provisions

Transitional and saving provisions

22

• (1) The amendments made to the 2010 Regulations by the provisions listed in paragraph (2) do not apply to—

• (a) building work which started before the regime start date;

• (b) building work in relation to which—

• (i) plans were deposited with a local authority pursuant to section 16 of the Act before the regime start date; or

• (ii) a building notice has been given to a local authority before the regime start date,

but this sub-paragraph does not apply to building work if on or after the regime start date the plans which were deposited are rejected by the local authority.

• (2) The provisions referred to in paragraph (1) are—

• (a) regulation 4 (amendments after regulation 2);

• (b) regulation 6 (new Part - dutyholders and competence);

• (c) regulation 7 (amendments: deposit of plans and building control authorities etc) and the omission of the definition of “full plans” in regulation 3(c);

• (d) regulation 8 (amendments: applications for building control);

• (e) regulation 9 (amendments: consultation on applications for building control);

• (f) regulation 11 (regulator’s notices);

• (g) regulation 12 (amendments to regulations 20 and 20A of the 2010 Regulations);

• (h) regulation 13 (amendments to regulation 38 of the 2010 Regulations);

• (i) regulation 15 (starting on site and commencement of work).

• (3) The disapplication in paragraph (1) of—

• (a) regulation 6 (new Part - dutyholders and competence);

• (b) regulation 13 (amendments to regulation 38 of the 2010 Regulations);

• (c) the amendments to regulation 16 of the 2010 Regulations in regulation 15 (starting on site and commencement of work),

ceases on 6th April 2024 where the building work has not started by that date.

Transitional and saving provisions: appeals

23

In relation to any appeal, or any application to a magistrates’ court, under Part 1 of the Act which was made before the regime start date, the 2010 Regulations apply without the amendments made by regulation 10 (other appeals).

Transitional, supplementary and saving provisions: HRBs

24

Except to the extent provided for in Schedule 3 (transitional, supplementary and saving provisions) to the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023, regulations 22 and 23 do not apply to higher-risk buildings.

Interpretation of this Part

25

For the purposes of this Part—

• “the Act” means the Building Act 1984;

• “building notice” and “building work” have the meanings given in the 2010 Regulations;

• “regime start date” means 1st October 2023.

Signed

Signed by authority of the Secretary of State for Levelling Up, Housing and Communities

Lee Rowley — Parliamentary Under Secretary of State — Department for Levelling Up, Housing and Communities — 9th August 2023

Explanatory note

(This note is not part of the Regulations)

EXPLANATORY NOTE

This instrument is part of a set of Regulations which implement Part 3 of the Building Safety Act 2022.

Section 91ZA of the Building Act 1984, which is to have effect from 1st October 2023, provides for the regulator to be the building control authority in relation to any higher-risk building in England and any proposed higher-risk building.

Part 2 of these Regulations makes a number of amendments to the Building Regulations 2010 (S.I. 2010/2214). Regulation 3 inserts a number of new definitions.

Regulation 4 provides that most of the procedural requirements in the Building Regulations 2010 do not apply in relation to higher-risk buildings. (Instead the procedures set out in the Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 apply).

Regulation 5 amends the exemption from requirements other than substantive requirements for the Mayor’s Office for Policing and Crime.

Regulation 6 inserts a new Part 2A into the Building Regulations 2010. This new Part sets out the arrangements a client in relation to a project must make, including the appointment in most cases of a principal contractor and a principal designer, and provisions as to the duties and competence of persons working on a project. Regulation 6 also provides that the client must notify the relevant authority where the principal contractor or principal designer in relation to the work changes, and that after completion of the work the client must send a notice to the authority which includes compliance statements as to the work.

Regulation 7 changes a number of references to deposit of plans to applications for building control approval, and a number of references to local authorities to building control authority (which term includes the regulator).

Regulation 8 inserts new provisions, equivalent to those which were in section 16 of the Building Act 1984, in relation to applications for building control approval, and regulation 9 inserts new provision, equivalent to article 45 of the Regulatory Reform (Fire Safety) Order 2005, in relation to consultation on applications.

Regulation 10 makes provision in relation to the procedure for appeals under the Building Act 1984 – Part 3 of the Building Safety Act 2022 provided for a number of new rights of appeal, and moved most appeals from the Secretary of State to the regulator and from the magistrates’ court to the First-tier Tribunal.

Regulation 11 makes provision under section 91ZB of the Building Act 1984 in relation to regulator’s notices.

Regulation 12 amends regulations 20 and 20A of the Building Regulations 2010 to provide that the client for the project ensures the person carrying out work in relation to a higher-risk building is aware the building is a higher-risk building.

Regulation 13 amends regulation 38 of the Building Regulations 2010 to provide that the responsible person must acknowledge receipt of the fire safety information provided pursuant to regulation 38, and the notice to the building control authority as to handover of fire safety information confirms the information was received by the responsible person.

Regulation 14 omits regulations 45 and 46 of the Building Regulations 2010, this is linked to the commencement of section 33 of the Building Act 1984.

Regulation 15 amends the existing notice of intention to commence works in regulation 16 of the Building Regulations 2010 to become a notice of starting work, and inserts a new requirement to give a notice where work is regarded as commenced and it also sets out the definition of what is to be regarded as commencement of work for the purposes of lapse of building control approval is provided.

Regulation 16 updates the list of provisions whose breach cannot result in prosecution to include a number of the new duties inserted by this instrument, and equivalent provision is made for exclusion from compliance notices. Provision is also made for stop notices and the content of compliance notices, and procedures in relation to them.

Regulation 17 includes the omission of regulation 48 of the Building Regulations 2010 which is consequential on an amendment to section 94 of the Building Act 1984 by the Building Safety Act 2022.

Regulations 18 to 21 make a number of consequential amendments to secondary legislation to replace, for example, a number of references to deposited plans. The regulations amended are: the Building (Local Authority Charges) Regulations 2010 (S.I. 2010/404), the Energy Performance of Buildings (England and Wales) Regulations 2012 (S.I. 2012/3118), the Building Safety (Registration of Higher-Risk Buildings and Review of Decisions) (England) Regulations 2023 (S.I. 2023/275) and the Building Safety (Responsible Actors Scheme and Prohibitions) Regulations 2023 (S.I. 2023/753).

Regulations 22 to 25 make transitional and saving provisions. The Building (Higher-Risk Buildings Procedures) (England) Regulations 2023 also makes transitional and saving provisions in relation to higher-risk buildings.

A full impact assessment of the effect that this instrument will have on the costs to business is published with an Explanatory Memorandum alongside the instrument on www.legislation.gov.uk.

Footnotes

Editorial notes