Legal and Regulatory Compliance Flashcards
(118 cards)
1
Q
What work requires Building Regs approval? Provide some examples.
A
Building work as defined by the Building Act 1984.
New Build
Extension
Inserting cavity wall insulation
Thermal Upgrading
2
Q
What work requires planning approval? Provide some examples
A
Development as defined by the Town and Country Planning Act 1990.
- New build
- Change of use
- Extending a building
- Listed building / conservation area
3
Q
What is the Party Wall Act?
A
Legislation providing a framework for resolving disputes in relation to the party wall.
4
Q
In relation to St Davids Drive, what is the difference between acting as Agreed Surveyor and Building Owners Surveyor?
A
Agreed surveyor - appointed by both
BO surveyor - only appointed by BO
5
Q
For St Davids Drive, how did you know the foundations were being installed to a greater depth than that of the AOs foundations?
A
Drawings
Trial Pit
Informed judgement on building age and location
6
Q
What are the statutory timescales associated with serving a Party Wall Notice?
A
Line of junction one month before and if dissent build wall wholly on your land, adjacent excavation is one month before and repair notice is 2 months before.
7
Q
Were special foundations installed at St Davids Drive? What are special foundations? What would you advise your client if they were installing special foundations on the BOs land?
A
No
An assembly of beams and rods for distributing any load (reinforced foundations).
AO does not have to consent in which case redesign and underpin instead.
8
Q
What are the subsections that apply for issuing notice under section 6?
A
Subsection 6(1) three metres
Subsection 6 (2) six metres
9
Q
For St Davids Drive, what did you serve with your party wall notice?
A
Drawings in relation to the party wall
Method statement
10
Q
Where would you find guidance on the Party Wall Act? What is De Minimous work?
A
RICS Party Wall Legislation and Procedure 7th Ed 2022
Party Wall etc Act 1996 explanatory booklet on gov.uk
Works too small to be meaningful or taken into consideration, like inserting a nail in a wall, re-plastering
11
Q
For St Davids Drive, what did you include in your party wall notice?
A
BO name and address, signed, dated, served on all AOs, scope of works and start date.
12
Q
For St Davids Drive, did you need a third surveyor?
A
No, my colleague was named as agreed surveyor therefore no third surveyor was needed
13
Q
What should the client have as per the Control of Asbestos Regulations 2012?
A
Asbestos Management Plan and Asbestos Management Survey updated at least every 6-12 months
14
Q
Under the Control of Asbestos Regulations, who is the main duty holder?
A
The dutyholder is the owner of the non-domestic premises /common areas of domestic premises or the person or organisation that has clear responsibility for the maintenance or repair of this premises.
15
Q
What properties would you expect to find asbestos? When was asbestos banned?
A
Pre 2000 buildings. First ban was 1985 final ban was November 1999.
16
Q
For Montague Graham Court, what is Part M of the Building Regulations? What are the different sections?
A
Access to and use of buildings. Cat 1 visitable dwelling, cat 2 accessible and adaptable dwellings, cat 3 wheelchair unit dwelling.
17
Q
For Montague Graham Court, what are the response times for building regs and planning approval? How long is each valid for?
A
Planning is 8 weeks and Building Regulations is 5 weeks. Each is valid from 3 years after approval.
18
Q
Can you simply construct a shed in your garden?
A
Depends on size and area of shed as to whether it consitutes as development or building work under the respective acts
19
Q
When do you not need planning permission? Give an example?
A
Extension or shed which does not meet the height or size requirements to be considered as development requiring planning permission.
You can perform certain types of work without needing to apply for planning permission. These are called “permitted development rights”.
20
Q
When do you not need building regulations approval? Give an example
A
You do not need to apply for approval yourself if the work is not covered by building regulations, or if it’s carried out by someone who’s registered with a competent person scheme.
For example most repair work and sanitaryware and kitchen fittings
21
Q
For Axe Street, what were the H&S safeguarding measures in place?
A
- Toolbox talks
- Inductions
- Slingers
- Edge protection
- Heras fencing
- PD inspections
- CPP on site
22
Q
For Axe Street, what is edge protection?
A
Roof edge protection is fall protection equipment
23
Q
What legislation requires Building Control approval and planning approval to be sought?
A
Building Act 1984
Town and Country Planning Act 1990
24
Q
Give examples of work which would require Building Control approval?
A
Defined as building work under the Building Act 1984.
Can include new build, extension, change of use, cavity wall insulation insertion, electrical rewiring, etc
25
Give examples of work which would require planning permission?
Any work defined as development under the Town and Country Planning Act 1990.
- New build
- Extension
- Listed building replacement work and conservation area replacement work.
- Cladding replacement
26
In regards to planning, what would be needed if works were being undertaken to a listed building or building in a conservation area?
Planning permission or listed building consent from the conservation / heritage officer.
27
How long is a decision by the Planning Officer / Building Control likely to take?
- Most planning applications are decided within eight weeks, unless they are unusually large or complex, in which case the time limit is extended to 13 weeks.
- With a Full Plans Building Control Application the plans have to be thoroughly examined before being approved and by law a council must give a decision on an application within five weeks of receiving it (unless it is extended with your written consent)
28
What are the CDM Regulations 2015?
The main set of regulations for managing the health, safety and welfare of construction projects.
29
What do the CDM Regulations require dutyholders to undertake?
- Production of a PCI, CPP, H&S file.
- Ensure the dutyholders have the required skills, experience, training
- Inductions, toolbox talks, etc
- Ensure all report any H&S concerns
- F10 submission if necessary
30
What are the main requirements of the Control of Asbestos Regulations 2012?
It includes determining and recording acms, maintaining records, assessing risk of materials and planning how to manage risks, providing information to relevant parties.
31
What is the purpose of the Party Wall Act?
Provide a dispute resolution framework in matters relating to a party wall efficiently and effectively with the involvement of independent surveyors.
32
What is a Party Wall?
- Stand on the land of different owners and form part of a building
- Stand on the land of different owners and don’t form part of a building, such as a garden wall (not wooden fences)
- Walls on one owner’s land used by other owners (2 or more) to separate their buildings are also party walls.
33
What is the Housing Grants, Construction and Regeneration Act? What is its main elements?
It is intended to ensure that payments are made promptly throughout the supply chain and that disputes are resolved swiftly.
Provisions of the act include:
- The right to be paid in interim, periodic or stage payments.
-The right to be informed of the amount due, or any amounts to be withheld.
- The right to suspend performance for non-payment.
- The right to adjudication.
- Disallowing pay when paid clauses.
If contracts fail to comply with the act, then the Scheme for Construction Contracts applies
34
When does the Scheme for Construction Contracts apply?
It applies when construction contracts do not comply with the Housing Grants, Construction and Regeneration Act 1996.
35
What are the different notices which can be issued under the Party Wall Act?
1 (5) line of junction
2 (2) party structure notice
6 (1) 3 metre notice
6 (2) 6 metre notice
36
Name the different Approved Documents.
Part A: Structure
Part B: Fire safety
Part C: Contamination and moisture
Part D: Toxic substances
Part E: Passage of sound
Part F: Ventilation
Part G: Sanitation and water
Part H: Drainage and waste disposal
Part J: Combustion appliances and fuel storage systems
Part K: Falling, collision and impact
Part L: Conservation of fuel and power
Part M: Access and use of buildings
Part O: Overheating
Part P: Electrical safety
Part Q: Security
Part R: Electronic communications infrastructure
Part S: Infrastructure for the charging of electric vehicles
Regulation 7: Materials and workmanship
37
What are the Building Regulations? What legislation enforces the Building Regulations?
Regulations to help ensure that new buildings, conversions, renovations and extensions (domestic or commercial) are going to be safe, healthy and high-performing.
The Building Act 1984
38
What is the Building Safety Act?
This Act makes ground-breaking reforms to give residents and homeowners more rights, powers, and protections – so homes across the country are safer.
39
Why was the Building Safety Act introduced?
It gives reforms to give homeowners more rights and ensures homes across the UK are safer
40
What elements do the Building Safety Act cover?
It covers all elements of building safety. It introduces gateways, building safety regulators, further responsibility on clients / designers / contractors and high risk buildings.
41
Why is it important for services to be within the liability limitation of PI cover?
- To ensure that a surveyor is protected against any negligence.
- To ensure that an individual can be reimbursed if they have suffered negligence.
- To ensure everyone is familiar with the roles an individual will provide.
42
Why did you need to submit a planning application for Montague Graham Court?
I needed to submit a planning application because it is in a conservation area and I was undertaking external works and conversion works internally.
43
Why did you need to submit a building control application for Montague Graham Court?
It was a material alteration to the building and considered a change of use because there were essentially new flats created.
44
What was the purpose of fixing notices outside Montague Graham Court? Why was this required?
As part of the 21 day consideration period for any members of the public to raise concerns, the council usually do this but because of post Covid restrictions they requested the client do this and take a photo.
45
What documentation did you include in the Montague Graham Court planning application?
- The necessary plans of the site.
- The required supporting documentation.
- The completed form.
- The correct fee.
46
What information did you include in the Montague Graham Court building control application?
- Application form (site description, applicant, materials, works taking place, size, change of use, etc)
- Fee
- Location and site plan
- Detailed dwgs and specifications
- Fire Risk Assessment if applicable
47
How did you arrange a schedule of condition as building owners surveyor?
As building owners surveyor I contacted the appointed adjoining owners surveyor who arranged access with the adjoining owner.
48
What subsections do the different party wall notices relate to?
Section 1(5) line of junction
Section 2(2) paragraphs... party structure notice
Section 6(1) 3 metre notice
Section 6(2) 6 metre notice
49
What works are notifiable under the party wall act?
Line of junction
Party wall repair works, e.g. chasing into walls or rebuilding walls
Excavating within 3 / 6 metres
50
What is included in a party wall award? What are the timescales?
Details of parties, date notices were served, surveyor details, scope of work, access equipment and rights, timescales, making good costs, fees. Normally 14 days to appeal to court.
51
What are the timescales involved in serving notice for party wall awards?
Party wall notice should be issued 2 months before works commence for a party structure notice and 1 month before works commence for line of junction and 3/6m notice.
The adjoining owner has 14 days to respond to a notice and if they fail to respond a 10 day notice is sent for them to appoint their own surveyor.
Once a party wall award is issued there are 14 days to appeal to the courts.
52
What information is included in an asbestos management plan?
Asbestos register detailing all the asbestos to the building, the type/condition/maintenance/whether it is to be replaced. Asbestos Management Survey to advise the plan and determine the extent of asbestos to a building.
53
Further to your Axe Street project, why are protective caps required to reinforcement?
Caps are required to prevent injury or death if an operative fell onto it.
54
For Axe Street, how did you request that the H&S issues were addressed?
I raised on site to be corrected immediately and included within my report and checked upon the next inspection that these had been rectified.
55
What should be included in a Construction Phase Plan?
- Description of project
- Existing site risks
- Risks from the works
- Contractor H&S project requirements
- RAMS
- Client information provided
56
Identify the different types of asbestos survey? When should each survey be undertaken?
- The Refurbishment / demolition Survey is required where the premises, or part of it, need upgrading, refurbishment or demolition. It involves destructive inspection and asbestos disturbance. The area surveyed must be vacated, and certified 'fit for reoccupation' after the survey.
- The Management Survey purpose is required to manage ACM during the normal occupation and use of premises. Should be undertaken at least annually to check condition of ACMs.
57
When are F10s required? Who is responsible for submitting this?
Required as per CDM Regs, exceed 500 person days or 30 working days and at least 20 workers on site at any one time. Client or PD on their behalf with client aware of duties.
58
For St Davids Drive, why was a notice of adjacent excavation required? What is the title of the notice?
Building owners were proposed to excavate within three metres and to a lower depth than the adjoining owners foundation for an extension.
A three metre notice.
59
For St Davids Drive, under what subsection of the act was notice served?
Section 6(1)
60
How did you know the Building Owners foundations would be lower for St Davids Drive?
- AO had accurate dwgs of their foundations due to an extension they previously had and this matched with my knowledge of the construction and soil suggesting approx. 800mm depth. Alternatively could have trial pit dug.
61
If drawings were not available for St Davids Drive, how else could you determine the depth of adjoining owners foundations?
- A trial pit
- Using knowledge of age and construction of building and neighbouring properties.
62
How does a three metre and six metre notice differ?
- The BOs foundations are to a lower depth and within 3m of the AOs foundations.
- The BOs foundations are to a lower depth of a diagonal line drawn at 45 degrees from the lowest part of the AOs foundations and within 6m.
63
For St Davids Drive, what information did you include in the notice?
- BO and AO name and address
- Works details and subsection under which it applies
- Signed by BO or surveyor
- Consent, dissent and agreed surveyor or dissent and appoint own surveyor.
- Dwgs
- Method statement
64
For St Davids Drive, when giving notice what information did you provide to the adjoining owner?
- The notice itself
- The drawings of the depths of the foundations and distance to the property
- Method statement for undertaking the foundation works
65
How do you obtain planning approval? Talk me through the process?
- Contact the local authority and determine the applications required.
- Ensure I had all the required information (may need to appoint a project team)
- Complete the planning application form on the website
- Attach the supporting documentation
- Pay fee and submit
- Wait for a response from the local authority
66
How do you obtain building regulations approval? Talk me through the process?
- Determine whether the client wishes to proceed with local authority building control or Approved Inspector
- Engage the local authority and submit a full plans application on the planning portal.
- OR obtain quotes from an Approved Inspector and fill in an application form and they will submit the application.
- Complete the building regulations tracker accordingly that the LA Building Control or Approved Inspector provide.
67
For Montague Graham Court, what method of gaining building regulations approval did you use? What other options are there? What are the pros and cons of your method?
Approved Inspector rather than Local Authority.
Pros - better response times, already existing relationship, help with solutions
Cons - Higher costs, need to check AI is approved
68
For Montague Graham Court, how did you ensure the external ramps complied with part M?
- Width of 1200mm
- Ramp no more than 1:15 gradient
- 4500mm in length
- Brick wall and handrail
69
For Montague Graham Court, what works did you undertake and what approved documents did you have to meet?
Conversion of two self contained flats into four. Involved various works to meet approved documents as material change to the building and change of use due to additional units:
- Approved document B: Partitions inserted in flat and loft for separation
- Approved document E: acoustic Rockpanel ceiling board to be installed to ground floor ceiling.
- Approved document F: trickle vents to be repaired where necessary
- Approved document L - PIR boarding installed to the external wall
- Approved document M: ramp installation and opening of door widths.
- Approved document P: Contractor’s design, contractor to meet document.
- Approved document Q: bespoke timber doorset to be installed to meet document.
70
For Montague Graham Court, why did you proceed with an approved inspector?
This was decided because for such minor works it appeared quite a complex project in terms of gaining approval and I therefore recommended them as they would be able to advise and assist accordingly. There was also an AI available who had previously worked with the college and understood their needs.
71
When is a notice not required when undertaking works to a party wall?
De minimis works (minor works)
72
What is the retrospective action for planning breaches?
Can serve an enforcement notice, notice to repair and prosecution in court. Can serve within 4 years for new building and 10 years for change of use
73
What is the retrospective action for building regulations breaches?
Can retrospectively apply, prosecute within two years, serve enforcement notice and can undertake work and recover cost within one year.
74
What is included in an F10?
date, address, local authority name, project description, contact details, start date, duration, max people on site, details of contractors and designers, signed declaration.
75
At St Davids Drive, you served a section 6 party wall notice, why did you serve this notice? What notices can you serve under section 6 and what are the subsections for this?
The proposed BO's foundations were within 3 metres and to a lower depth of the AO's foundations.
6(1) 3 metre notice and 6(2) six metre notice.
76
For Montague Graham, what specifically in Approved Document M did the ramp comply with?
- The width and length
- The gradient
- Brick wall and handrail requirements
77
Identify the different enforcement controls on unauthorised building work?
Can apply retrospectively. Otherwise prosecution within 2 years, enforcement notice or local authority can undertake work and recover costs.
78
What are the implications of the Disability Discrimination Act?
it is unlawful for employers to discriminate against jobseekers or employees with disabilities.
79
What will happen if an AO does not consent to a Line of Junction notice?
If an adjoining owner does not consent the building owner may only build the wall at his own expense and as an external wall or a fence wall, as the case may be, placed wholly on his own land.
80
What is the difference between a schedule of condition and schedule of dilapidations?
Condition - An accurate record of the condition of the property.
Dilapidations - Reviews the quality of maintenance and repairs required against contracted letting terms.
81
In regards to the party wall act, when does notice not need to be served?
De minimis works or works under Section 2 of the Act provided that written consent is obtained from all Adjoining Owners and Occupiers before work commences.
82
What is section 10 of the party wall act?
Resolution of disputes. Each party shall appoint a surveyor and the two surveyors so appointed shall forthwith select a third surveyor or alternatively an agreed surveyor is appointed.
83
What happens if an adjoining owner refuses to appoint a surveyor or does not respond?
Refer to section 10(4). If the owner refuses or does not respond for a period of ten days beginning with the day on which the other party serves a request on him, the other party may appoint on their behalf.
84
How is rights of entry dealt with for the Party Wall Act?
Refer to section 8. The Act allows access to the adjoining property for the purposes of carrying out the works whether the adjoining owner gives permission or not, however they must be given 14 days notice.
85
What is section 7 (2) of the Party Wall Act?
The building owner shall compensate any adjoining owner and any adjoining occupier for any loss or damage which may result to any of them by reason of any work executed in pursuance of this Act.
86
Who is responsible for enforcing the Control of Asbestos Regulations 2012?
Asbestos regulations are enforced by HSE, Local Authorities (LAs) and the Office of Rail and Road (ORR).
87
Can you name some key sections of the control of asbestos regulations 2012?
4. Duty to manage asbestos in non-domestic premises
5. Identification of the presence of asbestos
6. Assessment of work which exposes employees to asbestos
8. Licensing of work with asbestos
9. Notification of work with asbestos
11. Prevention or reduction of exposure to asbestos
16. Duty to prevent or reduce the spread of asbestos
19. Air monitoring
88
What should an employer do if they are in doubt if there is asbestos within a premises?
As per section 5, they should -
(i)assumes that asbestos is present, and that it is not chrysotile alone, and
(ii)observes the applicable provisions of these Regulations.
89
Name the different sections of the Building Safety Act 2022?
Part 1 Introduction
Part 2 The Regulator and its Functions
Part 3 Building act 1984
Part 4 Higher Risk Buildings
Part 5 Other Provision about Safety, Standards Etc
Part 6 General
90
What is a dilapidations survey?
Identifies any repairs needed at the end of a building’s tenancy or lease.
91
When do thermal upgrades need to be undertaken in accordance with Approved Document L?
The performance of the whole element should be improved to achieve minimum U value set out in column (b) of table 3, provided the area is greater than 50% of the surface of the individual element or 25% of the total building envelope.
92
What are some key aspects of part L of the building regulations?
- Energy efficiency
- Limiting heat gains and losses (u-values)
- System specific guidance
- Air permeability and pressure testing
- Commissioning
- Providing information
93
What are some key aspects of part M of the building regulations?
Cat 1 Visitable dwelling
Cat 2 Accessible and adaptable dwelling
Cat 3 Wheelchair unit dwelling
Each has items on the approach and spaces within the dwellings.
94
Is building regulations approval required for a garden shed or porch?
Building regulations will not normally apply if the floor area of the building is less than 15 square metres and contains NO sleeping accommodation.
If the floor area of the building is between 15 square metres and 30 square metres, you will not normally be required to apply for building regulations approval providing that the building contains NO sleeping accommodation and is either at least one metre from any boundary or it is constructed substantially of non-combustible materials.
Building a porch at ground level and under 30 square metres in floor area is normally exempt from the need for building regulation approval. This is provided that glazing and any fixed electrical installations comply with the appropriate sections of building regulations.
95
Is planning permission required for a garden shed or porch?
Outbuildings are likely to be permitted development provided that:
- No outbuilding on land forward of a wall forming the principal elevation.
- Outbuildings and garages are single storey with maximum eaves height of 2.5 metres
- Meets other planning requirements
Porch is permitted development provided that:
- The ground floor area (measured externally) would not exceed three square metres.
- No part would be more than three metres above ground level (height needs to be measured in the same way as for a house extension).
- No part of the porch would be within two metres of any boundary of the dwellinghouse and the highway.
96
What is a material alteration regarding Building Regulations?
According to the Building Regulations, a 'material alteration' is an alteration where the work, or any part of it, would at any stage result:
- In a building or controlled service or fitting not complying with a relevant requirement where previously it did; or
- In a building or controlled service or fitting which before the work commenced did not comply with a relevant requirement, being more unsatisfactory in relation to such a requirement.
97
For Building Regulations, what is a controlled fitting?
A 'controlled fitting' is part of a building that must comply with the Building Regulations when being installed or replaced.
Controlled fittings can refer to:
External windows.
External doors.
Roof ventilators.
Roof lights.
Curtain walls.
98
Will an extension require building regulations and planning permission?
Most extensions of properties require approval under the Building Regulations for doors and windows, drainage, electrics, external walls, kitchens and bathrooms, internal walls, roofs.
For planning, an extension may fall under permitted development if no more than half the area of land around the house is covered by extensions, they are not higher than the highest part of the existing roof, cannot be built forward of the principal elevation and meet the other requirements.
99
What is a listed building?
A building of significant architectural or historic interest.
100
What are the timescales associated with an approved inspector?
If you appoint an approved inspector they need to serve an initial notice on the council and that has to be validated 5 working days before the project commences.
101
What recourse is there if planning permission is rejected?
If I felt there were grounds to appeal then I could have prepared an appeal form stating the reasons for the appeal with evidence. This can be appealed in the courts or to the Secretary of State within 6 months of decision.
102
What are some of the key policies behind the NPPF?
- Sustainable development
- Community decision making
- Town centre renewal
- Housing
103
What is the dilapidations protocol? What are the steps included?
It is a pre-action protocol for commercial property available from the Ministry of Justice.
- Send schedule (landlord within 56 days of tenancy termination)
- Send quantified demand (landlord within 56 days of tenancy termination)
- Send tenant's response (within 56 days of landlord sending the Quantified Demand)
- Negotiations
- Quantification of loss
- Stocktake
- Court proceedings
104
What is dilapidations?
Items in need of repair to comply with a tenant's obligations both to repair the premises and to return them to the landlord in repair at the end of the lease.
105
What is the difference between an interim schedule and a terminal schedule?
Interim schedules of dilapidations are issued during the course of the lease to remind a tenant of their obligations. Terminal schedules are issued during the last three years to 18 months of the lease.
106
What are leasehold obligations?
Repairs to be undertaken to ensure a tenant's compliance with a lease.
107
In regards to dilapidations, what is supersession? What is betterment?
- Supersession: Dilapidations claims in which works that could be claimed for have in fact been superseded. The landlord cannot profit from the claim, thus superseded works are removed from the claim.
- Betterment: It is an improvement that adds the value to a property or facility. Generally, if repair works are carried out to a higher standard than necessary, the betterment will be deducted from any damages claimed. However, if the claimant had no choice than to carry out the works in that way, no deduction will be made.
108
What legislation sets out the landlord's right to dilapidations as a result of a tenant breach?
Landlord and Tenant Act 1927.
109
What should you do as soon as an adjoining owner's surveyor is appointed?
Appoint a third surveyor.
110
For the St David's Drive project, what did the adjoining owner do once notice was served?
They responded where the dissented and agreed in the appointment of my colleague as agreed surveyor.
111
What else did the ramp and associated works have to comply with other than Part M?
Part K minimum 900mm handrail height.
112
If a client wanted to proceed with works but did not want to wait for approval, what are their options?
- Can omit works so not development under the town and country planning act.
- Alter works so considered permitted development.
113
What is a risk of photographic SoCs?
- May not be able to fully understand the condition from a photo.
- Taken on a particular day and condition may then change so date is important.
- Weather conditions may cause condition to change.
- Possibility of missing areas.
114
How much notice do you need to give building control in respect of works?
- 2 days before works commence (5 days for Approved Inspector to serve initial notice on BC).
- 1 day notice before interim inspections.
- No more than 5 days after works are complete.
115
Talk me through the process you went through when undertaking party wall surveyor services for St Davids Drive?
- Reviewed the drawings provided
- Served 3 metre notice on the AO
- Gave 14 days to respond, they dissented and agreed in my colleagues appointment, thus I acted as agreed surveyor
- I undertook a Schedule of Condition
- I produced the Party Wall Award
116
How would you appoint a surveyor if doing so under section 10(4)?
I would appoint based on experience of surveyors in the area and ensure there would be no conflict of interest.
117
How do you deal with notices for rental properties under the party wall act?
An owner is any person or tenant with an interest of at least a year in the property.
Therefore may need to serve on freeholder, leaseholder and tenant.
118
How do you find out details of an owner for the party wall award?
Land registry.
