ACSS511 Statutory Control Lecture 06/03/12
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The document describes the procedures for administering building control in the UK, including the full plans procedure and building notice procedure. Under the full plans procedure, an applicant submits plans and details to the local authority for approval before work starts. Under the building notice procedure, work can commence 48 hours after notice is submitted to the local authority. The document provides details on the application and approval processes, fees, inspections, and enforcement of building regulations under each procedure.
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ACSS511 Statutory Control Lecture 06/03/12
- 1. Tuesday 6th March 2012
- 3. Describe the various procedures by which the building control system is administered. ACSS511: Statutory Control 3
- 5. Full Plans procedure Building Notice procedure ACSS511: Statutory Control 5
- 6. Prepare plans, spec, calcs etc. Submit application form with supporting info and fee LA scrutinise proposals Approval or rejection ACSS511: Statutory Control 6
- 7. Site / location plans Detailed plans, sections Technical details Calculations Drainage info Means of access ACSS511: Statutory Control 7
- 9. Minimum: two copies If Regulatory Reform (Fire Safety) Order 2005 applies – further copies required. ACSS511: Statutory Control 9
- 10. Payable in two stages First fee accompanies plan submission Second fee payable after first site inspection ACSS511: Statutory Control 10
- 11. Scrutinise for compliance with regs Consult other authorities (e.g. fire) Prescribed period of 5 weeks, or 2 months with consent of applicant ACSS511: Statutory Control 11
- 12. If plans comply with Building Regs - approval notice issued If plans don’t comply they may be rejected, and defects specified Conditional approval may be issued with consent of applicant ACSS511: Statutory Control 12
- 13. Usually resubmitted with amendments Applicant may refer matter to DCLG for determination ACSS511: Statutory Control 13
- 14. A notice is submitted to LA Work may commence 48 hours later ACSS511: Statutory Control 14
- 15. Building notice form Block plan? Insulation details? Hot water system details? ACSS511: Statutory Control 15
- 16. BN cannot be used if Regulatory Reform (Fire Safety) Order 2005 applies to building in question. BN is intended for small scale minor works ACSS511: Statutory Control 16
- 17. Single fee payable Same as combined plan / inspection fee ACSS511: Statutory Control 17
- 18. LA does not approve or reject notice Further information may be demanded ACSS511: Statutory Control 18
- 19. If FP procedure used – advisable to wait for LA approval notice However, regardless of which procedure used – work may commence 48 hours after notice is given to LA ACSS511: Statutory Control 19
- 20. Commencement – 2 days Foundation excavated – 1 day Foundation constructed – 1 day DPC – 1 day Oversite preparation – 1 day Drains ready for inspection – 1 day Drains backfilled /ready for test – within 5 days Occupation prior to completion – 5 days Completion of work – within 5 days ACSS511: Statutory Control 20
- 21. Mandatory if Regulatory Reform (Fire Safety) Order 2005 applies to building In other cases – only if requested LA not required to issue if BN procedure used ACSS511: Statutory Control 21
- 22. Full Plans ◦ Proposals appraised – proceed with confidence ◦ Time taken – up to 2 months Building Notice ◦ Speed and simplicity ◦ Risk that work may have to be taken down if not in compliance ACSS511: Statutory Control 22
- 23. Two possible contraventions: ◦ Procedures not followed ◦ Work doesn’t comply with Regs LA’s duty to enforce Building Regs Usually seek to do it informally Formal proceedings Fines up to £5000+ ACSS511: Statutory Control 23
- 24. A form of ‘self- certification’ of compliance by firms judged as competent Installers registered Client does not need to notify local authority ACSS511: Statutory Control 24
- 25. Provisions introduced by Building Act 1984 ACSS511: Statutory Control 25
- 26. Must be approved by Sec of State or designated body: CICAIR Knowledge base / interview / insurance cover ACSS511: Statutory Control 26
- 27. AI cannot supervise work if they have an interest in it ACSS511: Statutory Control 27
- 28. Agree terms Initial notice LA accept or reject notice Responsibility passes to AI Plans certificate Final certificate ACSS511: Statutory Control 28
- 29. AI has no power to enforce regs AI may try to resolve situation with developer If not – notify LA – cancel initial notice Control function reverts to LA Enforcement proceedings may commence ACSS511: Statutory Control 29
- 30. ACSS511: Statutory Control 30
- 31. Single design approval for use in multiple locations ACSS511: Statutory Control 31
- 32. One-to-one relationship with single local authority for pre- submission and plan checking Site inspections carried out by different LAs ACSS511: Statutory Control 32
- 33. Nationwide chain of pubs and restaurants About to embark on a large refurbishment programme Most works involve minor structural alterations and extensions Consider the relative advantages and disadvantages of using LABC or Approved Inspector ACSS511: Statutory Control 33
- 34. Impartial advice Liaison with other council departments Local knowledge Comprehensive, impartial plan checking service Responsive inspection service Provision of Completion Certificates ACSS511: Statutory Control 34
- 35. Part of design team. Proactive service – innovative solutions Consultative approach Commercially aware Operate nationally Consistency of advice Backed by insurance Regulated and monitored by CIC Risk-based approach ACSS511: Statutory Control 35
- 36. Consultation exercise 2012 Download document from DCLG website Proposals include changes to: ◦ Completion certificates ◦ Statutory notifications ◦ Enforcement ◦ Competent person schemes ACSS511: Statutory Control 36
Editor's Notes
- A previous lecture dealt with the evolution of the various systems of statutory control over building works from the middle ages to the present day. This session will focus solely on the current operation of the system on building control in England and Wales (separate systems apply in Scotland and Northern Ireland). It must be stressed that the information in this paper is merely an outline of the system Detailed coverage of the various aspects of the system and its application in practice can be obtained from various sources, some of which have been identified in the cover sheet for the lecture. Explain limitations – their input etc
- We now need to consider the procedural requirements for complying with the Building Regulations. Note that we are not concerned here with the technical requirements. In very simple terms the procedures available are outlined in the chart
- As already indicated there are two options under the local authority system of control: The full plans procedure The building notice procedure
- This is the traditional system of building control whereby full plans of the proposed works are submitted to the local authority and are either passed or rejected. This procedure requires the preparation of fully detailed plans, specifications, calculations and other supporting information. The information is submitted together with the appropriate form and a fee to the local authority building control department. The local authority will scrutinise the plans and other information. If the plans comply with the Building Regulations a notice will be issued approving the plans. If the plans and other information do not comply with the regulations then a notice will be issued rejecting the plans.
- The normal requirements for the information to be submitted are as follows: Site plans / location plans showing the relationship of the building to the site boundaries and the street. Detailed plans and sections of the proposed works Positions of damp proof courses and barriers to moisture. Position, form and dimensions of foundations, walls, windows, roofs and other parts of the building. Provisions for structural fire safety and means of escape. Provisions for insulation against the transmission of heat. Provisions for insulation against the transmission of sound. Structural calculations to prove the adequacy of the design. Detailed drainage information and provisions for protection of existing sewers. Means of access for disabled people and provision of adequate sanitary accommodation.
- A simple form must be completed to accompany the plans, which should give details of the applicant, the agent (if any), the location of the proposed works, details of the proposed work etc.
- Normally the requirement is for two copies of the application form and supporting information to be submitted. If Regulatory Reform (Fire Safety) Order 2005 applies then normally two further copies will be required so that the fire authority can be consulted. Designated buildings include buildings used as a workplace or shops, offices, hotels etc.
- The submission must be accompanied by an appropriate fee. Local authorities set their fees according to the type of work involved and fees may vary from one local authority to another. Fees under the full plans procedure are payable in two stages. The first fee must accompany the plans submission, and the second fee is payable after the first site inspection. An example fee for one London Borough for the erection of one dwelling: Plan fee - £164.50 including VAT Inspection fee - £311.38 including VAT Total - £475.88
- A building control surveyor will scrutinise the submission in detail to check for compliance with the Building Regulations, and will consult other authorities as necessary, e.g. fire authority. Submissions have to be formally determined within a prescribed period of five weeks or two months with the agreement of the applicant (Local authorities will generally include a section on their application form seeking consent to an extension).
- If the plans and supporting information comply with the Building Regulations an approval notice to that effect is issued. If the plans and supporting information clearly do not comply with the Building Regulations then they may be rejected, and the defects must be specified. If the local authority is not satisfied that the plans comply with the Building Regulations the applicant may be asked to provide further information or to make amendments. Alternatively a conditional approval may be issued which specifies modifications which must be made to the plans or further plans which must be submitted. NB: Conditional approval can only be issued with the consent of the applicant and there is normally a section on the application which seeks the consent of the applicant to conditional approval.
- The usual course will be to resubmit the plans with amendments to bring them into compliance with the Building Regulations. If the applicant feels that the decision to reject the plans is not justified then they may refer the matter to the Office of the Deputy Prime Minister for determination.
- A very simple procedure whereby the person intending to carry out building works simply notifies the local authority of their intention. They may then commence work 48 hours later and must build in accordance with the Building Regulations.
- A building notice form must be submitted, which is a simple form containing information about the applicant, the location of the building and a brief description of the proposed work. If the proposals involve the erection or extension of a building then a block plan must also be submitted showing the size and position of the building in relation to its surroundings, the boundaries of the site, and provisions for drainage. If the proposals involve the insertion of cavity wall insulation then information on the type of insulating material must be provided. If the proposals include an unvented hot water system the information on the system must be provided.
- If Regulatory Reform (Fire Safety) Order 2005 applies to the proposals then the Building notice procedure may not be used. Strictly speaking the Building Notice procedure is intended for small scale minor works where full plans would not normally be prepared.
- Unlike the Full Plans procedure, with the Building Notice procedure a single fee is payable. This is normally paid at the time the Building Notice is submitted. NB: The single fee will normally be the same as the plans fee plus the inspections fee under the Full Plans procedure, so there is no financial advantage in following the Building Notice procedure.
- The local authority does not approve or reject the notice. However, further information may be demanded if it is deemed necessary for the proper discharge of the building control function e.g. plans or structural calculations.
- If the Full Plans procedure is used then in order to derive the full benefit of the procedure it is generally advisable to wait until the local authority’s approval notice has been received. However, regardless of which procedure is used work on site may commence 48 hours (two clear working days) after a commencement notice has been given to the local authority.
- Regardless of which procedure is used the person undertaking the work give notice of various stages of the work to the local authority to allow for inspections to take place. The various stages for inspection defined in the Building Regulations: Commencement – to allow for proposed works to be discussed - 2 day’s notice Foundation excavated – to ensure depth is adequate - 1 day’s notice Foundation constructed – to ensure concrete properly laid - 1 day’s notice DPC – to ensure DPC installed correctly - 1 day’s notice Oversite (before concreting) – to check for adequate preparation - 1 day’s notice Drains ready for inspection – before backfilling - 1 day’s notice Drains backfilled and ready for test – within 5 days of covering Occupation prior to completion (in the case of a new building) – 5 days before occupation Completion of the work – to enable a final check - within 5 days of completion In addition to these statutory requirements, the local authority may wish to inspect the works at other stages, particularly before the covering up of structural work.
- When work has been satisfactorily completed a Certificate of Completion may be issued by the local authority. The issue of such a certificate is mandatory if Regulatory Reform (Fire Safety) Order 2005 applies. In other cases the local authority will only issue the certificate if requested to do so. Some authorities have a section on their initial application forms where applicants can request a certificate. Other local authorities issue completion notices as a matter of course. A local authority is not required to issue a completion certificate if the Building Notice procedure is used. Note that the certificate is evidence (not conclusive) that the Building Regulations have been satisfied.
- Full Plans Assuming the applicant waits for the approval notice before commencing work then this procedure has the advantage that the proposals have been appraised in detail so works can proceed in the confidence that the plans have been passed. As long as work is carried out in accordance with the plans then there should not, in theory, be any problems. The disadvantage is the time taken to obtain approval. This can be up to two months, which may delay the start of a project. Building Notice The big advantage is the speed and simplicity of the process. This makes it particularly useful for minor domestic works. The risk is that if work is carried out and an inspection reveals that it is not in accordance with the Building Regulations then the work may have to be taken down or removed and rebuilt.
- There are two main ways in which the Building Regulations may be contravened: Procedural requirements have not been complied with e.g. the requisite notices have not been given. Work has been carried out which does not comply with the Building Regulations. It is the duty of the local authority to enforce the Building Regulations. In most cases they will seek to do this informally, but if necessary they have powers at their disposal. They may serve an enforcement notice requiring the rectification of the contravention. This may include removal or alteration of the offending work. Proceedings may also be taken through the magistrates’ courts and can lead to fines of up to £5000, plus £50 for each day that the contravention continues.
- The Building Act 1984 introduced provisions which allow a person proposing to carry out building work to opt for supervision by an approved inspector instead of the local authority.
- An ‘approved inspector’ is defined by the Building Act 1984 as a person approved by the Secretary of State or a body designated by him for that purpose. The body currently designated is the Construction Industry Council (CIC) which maintains and operates the Approved Inspector Register (CICAIR). Approved inspectors may be individuals or corporate bodies. To become approved a person must demonstrate a detailed knowledge of relevant regulations and technical requirements and must attend a professional interview. In addition they must have approved insurance cover. At the time of writing (November 2005) there were 25 individuals not all of whom currently practice as AIs) and 33 corporate bodies on the CICAIR register.
- Except in the case of ‘minor works’ an approved inspector cannot supervise work in which he or she has a professional or financial interest.
- A person wishing to have their building work supervised by an approved inspector must first identify a suitable individual or corporate body and agree terms (i.e. the fee to be paid to the approved inspector and the level of service to be provided). The first formal step in the process is for the developer and the approved inspector to jointly submit to the local authority an initial notice on a prescribed form together with various supporting information. This will include various declarations and undertakings, but in particular the following items: A description of the proposed works A site plan showing the location of the works in relation to surroundings and showing drainage provisions A declaration that an approved insurance scheme will apply to the work. The local authority must accept or reject the initial notice within five working days. Failure to do so means that the notice is deemed to have been accepted. Work cannot commence on site before the initial notice has been accepted. Once the initial notice is accepted the responsibility for checking plans and supervising work formally passes to the approved inspector, and in effect the local authority’s powers to enforce the Building Regulations are suspended. At the request of the developer the approved inspector may issue a plans certificate certifying that the plans have been checked and comply with the Building Regulations. The plans certificate, if issued, is also sent to the local authority. Provided the local authority does not reject the plans certificate then any work carried out in accordance with the plans cannot be the subject of enforcement action. When work is complete the approved inspector should issue a final certificate to the local authority stating that the work referred to in the initial notice has been completed and that they have carried out their inspection responsibilities. If the approved inspector is not satisfied that the work complies with the Building Regulations then he cannot issue the final certificate. If the final certificate is accepted by the local authority then action cannot be taken against the developer for contravention of the Building Regulations.
- In supervising building work an approved inspector has no direct power to enforce the Building Regulations. If an approved inspector believes that the regulations are being contravened he will firstly seek to resolve the situation by discussion with the developer. Ultimately, if agreement cannot be reached then the approved inspector may notify the local authority and effectively cancel the initial notice. At that point the building control function reverts to the local authority and enforcement proceedings may commence. The local authority may then ask the developer to provide plans and, if necessary, uncover existing work. They may also charge the developer a ‘reversion charge’ to cover the cost of providing the ongoing building control service.