Legal/Regulatory Compliance (Level 3)

Question 1

What are the Building Regulations?

Answer 1

The Building Regulations are made under powers provided in the Building Act 1984.

They exist to ensure the health and safety of people in and around all types of buildings.

They also contain provisions for energy conservation, access to and the use of buildings.

Question 2

What is deemed to constitute building work under the Act?

Answer 2

Building work is defined in Regulation 3 of the Building Regulations.

This definition means that the following types of project amount to building work:

• The erection or extension of a building.
• The alteration of a service or fitting which is controlled under the Regulations.
• Work which will temporarily or permanently affect compliance relating to structure, fire, or access to and use of buildings.
• The insertion of insulation into a cavity wall and the underpinning of foundations of a building.

Question 3

What are the approved documents?

Answer 3

The approved documents provide guidance on how the Building Regulations can be satisfied.

They have legal status under the Building Act 1984 and there are 14 approved documents in total.

Question 4

Can you please name some of the approved documents?

Answer 4

a) Structural.
b) Fire safety.
c) Site preparation and resistance of moisture.
d) Toxic substances.
e) The resistance to the passage of sound.
f) Ventilation.
g) Hygiene.
h) Drainage and waste disposal.
j) Combustion appliances and fuel storage systems.
k) Protection from falling, collision and impact.
l) Conservation of fuel and power.
m) Access to and use of buildings.
p) Electrical safety.
q) Security.

Question 5

How would you get Building Regulations approval for a project?

Answer 5

Anyone wanting to carry out building work which is subject to Building Regulations is required by law to make sure it complies with the Regulations and to use one of the two types of Building Control services available.

• The Building Control service provided by your Local Authority.
• The Building Control service provided by approved inspectors.

Question 6

Who is responsible for ensuring compliance with the Building Regulations?

Answer 6

The primary responsibility for achieving compliance with the Regulations rests with the person carrying out the building work.

If a client is carrying out the work in their name, the responsibility will be theirs.

If the client employs a builder the responsibility will usually fall to the builder they are appointing, however, they should confirm this position at the very beginning.

Clients should also bear in mind that if they are the owner of the building, it is ultimately the client who may be served with an enforcement notice if the work does not comply with Regulations.

Question 7

What is the difference between Local Authorities and approved inspectors?

Answer 7

Local authorities are responsible for ensuring the work complies with the Building Regulations.

Approved inspectors are approved by the local authority to inspect, supervise and authorise building works against the Regulations.

Question 8

Why would you opt to use an approved inspector?

Answer 8

Because they are generally seen to be more responsive and open to giving advice than local authorities.

Question 9

Are there any timeframes involved with the appointment of an approved inspector?

Answer 9

If you appoint an approved inspector they need to serve an initial notice on the council and that has been validated five working days before the project commences.

Question 10

What are the two types of Building Regulations application?

Answer 10

Building Notices - are more suitable for minor residential alterations or extensions. No formal plans need to be issued for approval as the work is reviewed via site inspection. Work can be commenced 48 hours after issuing the Building Notice, however, the Building Control Officer must be notified when the works are being carried out so that they can undertake an inspection.

Full Plans Application - where detailed plans, specifications and structural calculations are submitted to the council. These are checked by the local authority to ensure they meet the necessary Regulations. Generally, approval is given within 8 weeks, although this can vary between local authorities. When the plans are satisfactory, a formal approval is provided. In some cases, a Notice of Rejection may be issued if they are not satisfactory.

Question 11

What is a Plan Certificate?

Answer 11

This certificate is issued by Building Control and confirms the plans and details provided have been reviewed and confirmed to comply with Building Regulations.

Question 12

What is a Final Certificate?

Answer 12

Following completion of the works, a Final Certificate will be issued by the local authority if the actual works comply with Building Regulations.

Question 13

What are consequential improvements? And when are consequential improvements triggered for non-domestic buildings under Part L (Conservation of fuel and power) of the Building Regulations?

Answer 13

Consequential Improvements is a requirement for further energy efficiency measures to be carried out in a property where other work is already going on.

When a building is over 1,000 m2 and the works involve significant extension or refurbishment and also when extending or replacing a fixed building service.

If this is the case, then 10% of the value of the works should be spent on improvements.

The costs must be reasonable with a payback period within 15 years.

Question 14

What enforcement options are available under Building Regulations?

Answer 14

If a person carrying out building work contravenes the Building Regulations, the local authority may take them to the Magistrates Court where they could be fined for the contravention.

This action will usually be taken against the principle contractor, although proceedings must be taken within 6 months of the offence.

In addition the local authority may serve an Enforcement Notice on the owner requiring them to alter or remove work which contravenes the Regulations.

If the owner does not comply with the Notice, the local authority has the power to undertake the work itself and recover the costs of doing so from the owner.

Question 15

What approvals are required prior to undertaking demolition works?

Answer 15

Demolition is dealt with under the Building Act 1984.

It requires 6 weeks prior notice to the local authority Building Control before demolition begins.

The local authority Building Control may issue a notice within 6 weeks on receipt of the notification to specify conditions that need to be met which may include precautions to protect adjoining properties and the public.

Demolition work must comply with the Construction (Design and Management) Regulations and a health and safety plan produced by the principle contractor.

Question 16

Give four examples of work where planning permission is required?

Answer 16

A new build construction situated on a vacant site.

A new build extension that is not a permitted development.

A change of use that is not a permitted change of use.

The increase in the height of a fence adjacent to a highway above 1 metre in height.

Question 17

What information is contained within a planning application?

Answer 17

Name of client.
Name of agent.
Site address.
Details of the works.
Details of proposed materials.
Plans and elevation drawings.
Access statements.

Question 18

What is the timeframe for planning consent?

Answer 18

8 weeks from the validation of the application.
Listed Building Consent can be longer.

Question 19

What recourse is available in the case that permission is rejected?

Answer 19

If I felt there were grounds to appeal then I could prepare an appeal form stating the reasons for the appeal with evidence.

This can be appealed in the courts within 6 months of the decision.

Question 20

What enforcement action can be taken?

Answer 20

A planning contravention notice can be issued requiring the owner to provide information to the local authority.

The local authority can enter land and property within 24 hours’ notice to investigate any suspected breaches.

Stop notices can also be issued to suspend ongoing works.

Question 21

Is there a limit as to when enforcement actions can be taken?

Answer 21

Change of use to a single dwelling house is within 4 years from completion of the works.
Everything else is within 10 years from the completion of the works.

Question 22

What is NPPF?

Answer 22

The National Planning Policy Framework sets out the government’s planning policies for England and how these are expected to be applied.

The National Planning Policy Framework (NPPF) was published on 27 March 2012.

It is designed to make the planning system less complex and more accessible, to protect the environment and to promote sustainable growth.

Question 23

What are the policies behind the NPPF?

Answer 23

Sustainable development - at the heart of the NPPF is a presumption in favour of sustainable development.

Community decision making - to give decision making power back to the local communities with neighbourhood plans and therefore changing to a decentralised decision making process is going to lead to greater variation.

Town centre renewal - aimed to encourage town centre vitality suggesting that edge of town sites should only be used if connected to town centres or if no viable town centre sites are available.

Housing - identify and update annually a supply of deliverable sites sufficient for a 5 year supply of housing.

Question 24

What is a Listed Building?

Answer 24

A Listed Building is a building that has been placed on the statutory list of buildings of special architectural or historic interest.

Question 25

How is a building listed?

Answer 25

In England, to have a building considered for listing or delisting, the process is to submit an application form online to English Heritage. The applicant does need to be the owner of the building to apply for it to be listed. English Heritage assesses buildings put forward for listing or delisting and provides advice to the Secretary of State on the architectural and historic interest. The Secretary of State, who may seek additional advice from others, then decides whether or not to list or delist the building.

Question 26

Under what legislation is a building listed?

Answer 26

In England and Wales the authority for listing is granted to the Secretary of State by the Planning (Listed Buildings and Conservation Areas) Act 1990.

Question 27

What classes of listed building are there?

Answer 27

There are 3 types of listed status for buildings in England and Wales; Grade I buildings are of exceptional interest with just 2.5% of listed buildings being Grade I. Grade II* buildings are particularly important of more than special interest with around 5.8% of listed buildings falling under this category. Grade II buildings are of special interest warranting every effort to preserve them without 90% of listed buildings falling into this category.

Question 28

Why are buildings listed?

Answer 28

The criteria for listing includes architectural interest, historic interest and close historical associations with significant people or events. The criteria includes: Age and rarity - the older a building is, the more likely it is to be listed. All buildings erected before 1700 that contain a significant proportion of their original fabric will be listed. Most buildings between 1700 to 1840 are listed. After 1840 more selection is exercised and particularly careful selection is applied after 1945. Buildings less than 30 years old are rarely listed unless they are of outstanding quality and under threat. Aesthetic merits - the appearance of a building can also play a deciding factor, however, buildings that have little visual appeal may be listed on grounds of representing particular aspects of social or economic history. Selectivity - where a large number of buildings of a similar type survive, the policy is only to list the most representative or significant examples. National interest - significant or distinctive regional buildings, for example, those that represent a nationally important but localised industry.

Question 29

What part of the building is listed?

Answer 29

Although the decision to list a building may be made on the basis of the architectural or historic interest of one small part of the building, the listing protection nevertheless applies to the whole building. Listed applies not just to the exterior fabric of the building itself, but also the interior, fixtures, fittings, and objects within the curtilage of the building even if they are not fixed.

Question 30

What about the curtilage of a building?

Answer 30

Any buildings or structures constructed before 1 July 1948 that fall within the curtilage of a listed building are treated as part of the listed building and therefore, approval must be sought before altering. The effect of a proposed development on the setting of a listed building is a material consideration in determining a planning application. Setting is defined as 'the surroundings in which a heritage is experienced'.

Question 31

How can a listed building be delisted?

Answer 31

In the same way as it is listed, an application is made to English Heritage and they advise the Secretary of State who makes the decision. Delisting is possible but rare in practice and is likely to take a minimum of 5 months.

Question 32

When would you need to apply for listed building consent?

Answer 32

A listed building may not be demolished, extended, or altered without special permission from the local planning authority.

Question 33

How long does it take to gain listed building consent?

Answer 33

From validation of application, most authorities aim to have a decision within 8 weeks, although they can take as long as 12 weeks.

Question 34

What enforcement action can be taken if a listed building is falling into disrepair?

Answer 34

Section 215 of the Town and Country Planning Act 1990 provides a local planning authority (LPA) with the power, in certain circumstances, to take steps requiring land to be cleaned up when its condition adversely affects the amenity of an area. * Urgent works notices - an urgent works notice may be served where works are urgently necessary for the preservation of a listed building. Mainly to do with maintaining structural integrity and weather tightness. This allows for works to be undertaken by the LPA and the cost recovered from the owner. * Repairs notices - a repairs notice can lead to compulsory purchase of a property by the planning authority if repairs are not carried out. Works undertaken under a repairs notice are long term repairs to put and keep a building in good repair. * Compulsory purchase orders - many local authorities are reluctant to use their repairs powers. They were afraid that the owners might respond, as they are entitled to do so, by serving a purchase order on the council. The council would thereby be obliged to purchase the building and repair it at the taxpayer's expense.

Question 35

What enforcement action can be taken when a listed building consent has been breached?

Answer 35

An enforcement notice requiring the breach to be remedied can be issued. A work notice can also be issued.

Question 36

Is there a time bar on enforcement as is the case with planning?

Answer 36

There is no time limit for listed building consent.

Question 37

What is the time bar on planning enforcement?

Answer 37

There are 2 time limits, laid down in section 171(b) of the Town and Country Planning Act 1990. 4 years is the time allowed for an authority to take enforcement action where the breach compromises either operational development (the carrying out of an authorised building, engineering, mining or other operations) or change of use to use as a single dwelling house. 10 years is the time allowed for all other breaches of planning control.

Question 38

Is there any dispensation for VAT on works to a listed building?

Answer 38

Alterations to listed buildings that are designed as dwellings or used for qualifying residential or non-business charity purposes, together with those that are being converted to such use, are not subject to VAT as long as the work is done by a VAT registered builder and with listed building consent.