The Building (Approved Inspectors etc. ) Regulations 2010

Regulations 10(1), 11(1), 14(1)16(1), 18(4)-(6), 22(1), 25(1) and 27(1)

X1 SCHEDULE 1 E+W F1 F2 F3 F4 F5 F6 F7 F8 F9 F10 F11 F12 F13 F14 F15 F16 F17 F18 F19 F20 F21 F22 F23 F24 F25 F26 F27 F28 F29 F30 F31 F32 F33 F34 F35 Forms

Editorial Information

X1 Editorial note: The substitution of Sch. 1 Forms 1-12 by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), reg. 3(3), Sch. 2, which applies in relation to England, did not apply in relation to any building in Wales other than an excepted energy building. On 8.6.2018 The Building Regulations &c. (Amendment) (Excepted Energy Buildings) (Wales) Regulations 2018 (S.I. 2018/558), reg. 22 provided that the existing forms as they applied to buildings in Wales other than excepted energy buildings are now substituted in relation to excepted energy buildings. Therefore the substitution of the forms by S.I. 2015/767 no longer applies in relation to Wales at all and the forms shown in this version of the provision only apply in relation to England. For Sch. 1 Forms 1-12 as they apply in relation to Wales, see the version of this provision dated 10.2.2014 as amended by The Building Regulations &c. (Amendment) (Wales) Regulations 2013 (S.I. 2013/747) and The Building (Approved Inspectors etc.) (Amendment) (Wales) Regulations 2014 (S.I. 2014/58) as follows:

Sch. 1 Form 1 para. 4(a)(b) omitted (W.) (10.2.2014) by virtue of S.I. 2014/58, regs. 1(4), 6(2)(a) (with reg. 1(2)(3))

Sch. 1 Form 1 paras. 12, 13 inserted (W.) (10.2.2014) by S.I. 2014/58, regs. 1(4), 6(2)(b) (with reg. 1(2)(3))

Sch. 1 Form 2 para. 3(b)(d) omitted (W.) (10.2.2014) by virtue of S.I. 2014/58, regs. 1(4), 6(3)(a) (with reg. 1(2)(3))

Sch. 1 Form 2 paras. 12, 13 inserted (W.) (10.2.2014) by S.I. 2014/58, regs. 1(4), 6(3)(b) (with reg. 1(2)(3))

Sch. 1 Form 2 Note (11) inserted (W.) (10.2.2014) by S.I. 2014/58, regs. 1(4), 6(3)(c) (with reg. 1(2)(3))

Sch. 1 Form 3 para. 3 substituted (W.) (10.2.2014) by S.I. 2014/58, regs. 1(4), 6(4) (with reg. 1(2)(3))

Sch. 1 Form 4 para. 4(a)(b) omitted (W.) (10.2.2014) by virtue of S.I. 2014/58, regs. 1(4), 6(5)(a) (with reg. 1(2)(3))

Sch. 1 Form 4 paras. 16, 17 inserted (W.) (10.2.2014) by S.I. 2014/58, regs. 1(4), 6(5)(b) (with reg. 1(2)(3))

Sch. 1 Form 5 para. 6 substituted (W.) (10.2.2014) by S.I. 2014/58, regs. 1(4), 6(6) (with reg. 1(2)(3))

Sch. 1 Form 5 para. 9 inserted (W.) (19.4.2013) by S.I. 2013/747, regs. 1(4), 33(2) (with reg. 1(2)(3))

Sch. 1 Form 12 para. 7 inserted (W.) (19.4.2013) by S.I. 2013/747, regs. 1(4), 33(2) (with reg. 1(2)(3))

Textual Amendments

F1 Sch. 1 Forms 1-12 substituted (E., but only in relation to excepted energy buildings in W.) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(3), Sch. 2 (with regs. 1(3), 4)

F2 Sch. 1 Form 1 para. 14 substituted (E.) (28.7.2022) by The Building (Approved Inspectors etc.) (Amendment) (England) Regulations 2022 (S.I. 2022/718), regs. 1(3), 2(5)(a) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F3 Sch. 1 Form 2 para. 14 substituted (E.) (28.7.2022) by The Building (Approved Inspectors etc.) (Amendment) (England) Regulations 2022 (S.I. 2022/718), regs. 1(3), 2(5)(b) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F4 Sch. 1 Form 3 para. 6 substituted (E.) (28.7.2022) by The Building (Approved Inspectors etc.) (Amendment) (England) Regulations 2022 (S.I. 2022/718), regs. 1(3), 2(5)(c) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F5 Sch. 1 Form 4 para. 18 substituted (E.) (28.7.2022) by The Building (Approved Inspectors etc.) (Amendment) (England) Regulations 2022 (S.I. 2022/718), regs. 1(3), 2(5)(d) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F6 Sch. 1 Form 5 para. 8 substituted (E.) (28.7.2022) by The Building (Approved Inspectors etc.) (Amendment) (England) Regulations 2022 (S.I. 2022/718), regs. 1(3), 2(5)(e) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F7 Sch. 1 Form 1 para. 5(d) inserted (E.) (26.12.2022) by The Building etc. (Amendment) (England) (No. 2) Regulations 2022 (S.I. 2022/984), reg. 1(4), Sch. para. 9(2) (with reg. 3) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F8 Sch. 1 Form 2 para. 4(f) inserted (E.) (26.12.2022) by The Building etc. (Amendment) (England) (No. 2) Regulations 2022 (S.I. 2022/984), reg. 1(4), Sch. para. 9(3) (with reg. 3) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F9 Sch. 1 Form 4 para. 5(d) inserted (E.) (26.12.2022) by The Building etc. (Amendment) (England) (No. 2) Regulations 2022 (S.I. 2022/984), reg. 1(4), Sch. para. 9(4) (with reg. 3) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F10 Sch. 1 Form 9 para. 4(d) inserted (E.) (26.12.2022) by The Building etc. (Amendment) (England) (No. 2) Regulations 2022 (S.I. 2022/984), reg. 1(4), Sch. para. 9(5) (with reg. 3) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F11 Sch. 1 Form 11 para. 4(d) inserted (E.) (26.12.2022) by The Building etc. (Amendment) (England) (No. 2) Regulations 2022 (S.I. 2022/984), reg. 1(4), Sch. para. 9(6) (with reg. 3) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 26.12.2022]

F12 Sch. 1 Form 1 para. 3: word “(3A)” substituted for “(3)” (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(a)(i) (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F13 Sch. 1 Form 1 para. 5(e) inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 11(2)(a)(i) (with regs. 20, 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F14 Sch. 1 Form 1 para. 13A inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(a)(ii) (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F15 Sch. 1 Form 1 Notes (3)(3A) substituted for Note (3) (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(a)(iii) (with regs. 22(1), 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F16 Sch. 1 Form 2 para. 4(g) inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 11(2)(b) (with regs. 20, 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F17 Sch. 1 Form 2 para. 13A inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(b) (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F18 Sch. 1 Form 3 para. 11A inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(c) (with regs. 22(2), 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F19 Sch. 1 Form 4 para. 3: word “(4A)” substituted for “(4)” (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(d)(i) (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F20 Sch. 1 Form 4 para. 5(e) inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 11(2)(c) (with regs. 20, 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F21 Sch. 1 Form 4 para. 17A inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(d)(ii) (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F22 Sch. 1 Form 4 Notes (4)(4A) substituted for Note (4) (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(d)(iii) (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F23 Sch. 1 Form 5 para. 6A inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 13(2)(a) (with regs. 20, 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F24 Sch. 1 Form 5 paras. 10A, 10B inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 11(2)(d) (with regs. 20, 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F25 Sch. 1 Form 5 para. 10C inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(e) (with regs. 22(3), 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F26 Sch. 1 Form 5 Note (7A) inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 13(2)(b) (with regs. 20, 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F27 Sch. 1 Forms 5A, 5B inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), reg. 1(2), Sch. (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F28 Sch. 1 Form 8 Notes: words “Only use this form where the three year period for the work to be commenced expired before 1st October 2023. With effect from 1st October 2023 under section 53A of the Building Act 1984 (lapse of initial notice) an initial notice lapses automatically if work is not commenced within 3 years from the date the initial notice is given.” inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 18(1)(f) (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F29 Sch. 1 Forms 8A-8C inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), reg. 1(2), Sch. (with regs. 23-25) [Editorial note: this amendment has been incorporated in the version of the images of Forms 1-12 relating to England dated 1.10.2023]

F30 Sch. 1 Forms 1-12 as they apply to buildings in Wales other than excepted energy buildings at the date of these amending Regulations now substituted in relation to excepted energy buildings (W.) (8.6.2018) by The Building Regulations &c. (Amendment) (Excepted Energy Buildings) (Wales) Regulations 2018 (S.I. 2018/558), regs. 1(2), 22 (with reg. 29) [Editorial note: please see the version of this provision dated 10.2.2014 for the content of Forms 1-12 as they apply in relation to Wales, but note that no subsequent amendments have been incorporated in the images for those forms so the reader should refer to the footnote annotations for details of subsequent amendments made to the forms in relation to Wales.]

F31 Sch. 1 Form 1 (now Form 1(W)) para. 13 substituted (W.) (28.7.2022) by The Building Safety Act 2022 (Consequential Amendments) (Approved Inspectors) (Wales) Regulations 2022 (S.I. 2022/767), regs. 1(3), 2(5)(a) [Editorial note: this amendment has not been incorporated in the version of the image of Form 1(W) dated 6.4.2024]

F32 Sch. 1 Form 2 (now Form 2(W)) para. 13 substituted (W.) (28.7.2022) by The Building Safety Act 2022 (Consequential Amendments) (Approved Inspectors) (Wales) Regulations 2022 (S.I. 2022/767), regs. 1(3), 2(5)(b) [Editorial note: this amendment has not been incorporated in the version of the image of Form 2(W) dated 6.4.2024]

F33 Sch. 1 Form 3 (now Form 3(W)) para. 3 substituted (W.) (28.7.2022) by The Building Safety Act 2022 (Consequential Amendments) (Approved Inspectors) (Wales) Regulations 2022 (S.I. 2022/767), regs. 1(3), 2(5)(c) [Editorial note: this amendment has not been incorporated in the version of the image of Form 3(W) dated 6.4.2024]

F34 Sch. 1 Form 4 (now Form 4(W)) para. 17 substituted (W.) (28.7.2022) by The Building Safety Act 2022 (Consequential Amendments) (Approved Inspectors) (Wales) Regulations 2022 (S.I. 2022/767), regs. 1(3), 2(5)(d) [Editorial note: this amendment has not been incorporated in the version of the image of Form 4(W) dated 6.4.2024]

F35 Sch. 1 Form 5 (now Form 5(W)) para. 6 substituted (W.) (28.7.2022) by The Building Safety Act 2022 (Consequential Amendments) (Approved Inspectors) (Wales) Regulations 2022 (S.I. 2022/767), regs. 1(3), 2(5)(e) [Editorial note: this amendment has not been incorporated in the version of the image of Form 5(W) dated 6.4.2024]

Regulations 10(3), 11(3) and 14(3)

SCHEDULE 2 E+W Grounds for Rejecting an Initial Notice, an Amendment Notice, or a Plans Certificate Combined with an Initial Notice

Deficiencies in initial notice E+W

Form E+W

1.  The notice is not in the prescribed form.

Wrong local authority E+W

2.  No part of the work described in the notice is to be carried out in the area of the local authority to whom the notice has been given.

Capacity of approved inspector E+W

3.  The person who signed the notice as approved inspector is not an approved inspector.

Deficiencies in information E+W

Information about the proposed work E+W

4.  Neither the notice nor the accompanying plans and documents include—

(a) the location and a description of the work, including the use of any building to which the work relates;

(b) information needed by the local authority to decide whether the notice is to be rejected on ground 10 or 11[F36 ;]

F37 [F38 (c) information whether or not the work concerns a new dwelling;

[F39 (ca) a statement setting out the date when work will reach the point when it is to be regarded as commenced and, if applicable, the details of the work which the client considers amounts to 15% of the proposed work;]

(d) in the case of an initial notice or an amendment notice in relation to a new dwelling, either—

(i) a statement whether or not one or more, and if so which, of the following optional requirements applies to the building work—

(aa) regulation 36(2)(b) (optional water efficiency requirement of 110 litres per person per day),

(bb) Schedule 1 Part M optional requirement M4(2) (category 2- accessible and adaptable dwellings),

(cc) Schedule 1 Part M optional requirement M4(3) (category 3- wheelchair user dwellings), or

(ii) a statement that planning permission has not yet been granted for the work, and that the information required by subparagraph (i) will be supplied as soon as is reasonably practicable after that permission is granted;

[F40 (dd) in the case of an initial notice or amendment notice in relation to the erection of a new dwelling—

(i) a statement giving details of any public electronic communications network in relation to which a connection is to be provided;

(ii) if an exemption in regulation 44ZB of the Principal Regulations is proposed to be relied on, a statement giving details in support of the exemption;

(iii) if regulation 44ZC of those Regulations is proposed to be relied on, a statement giving details of the matters mentioned in regulation 44ZC(6)(a) and (b) of those Regulations and, if paragraph RA1(1)(c)(i) or (ii) of Schedule 1 to those Regulations is also proposed to be relied on, evidence of the steps taken to establish whether, and if so where, a distribution point for a gigabit-capable public electronic communications network (as defined in regulation 44C of those Regulations) is likely to be installed, in a location relevant for the purposes of paragraph RA1(1)(c) of that Schedule, within the period of two years beginning with the day on which the notice is given.]

(e) in the case of a plans certificate combined with an initial notice, a statement in accordance with subparagraph (d)(i)].

Textual Amendments

F36 Sch. 2 para. 4(b): semicolon inserted (E., but only in relation to excepted energy buildings in W.) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(4) (with regs. 1(3), 4)

F37 Sch. 2 para. 4(c)-(e) omitted (W. in relation to excepted energy buildings) (8.6.2018) by virtue of The Building Regulations &c. (Amendment) (Excepted Energy Buildings) (Wales) Regulations 2018 (S.I. 2018/558), regs. 1(2), 23(a) (with reg. 29)

F38 Sch. 2 para. 4(c)-(e) inserted (E.) (W. but only in relation to excepted energy buildings) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(4) (with regs. 1(3), 4)

F39 Sch. 2 para. 4(ca) inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 11(3)(a) (with regs. 20, 23-25)

F40 Sch. 2 para. 4(dd) inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 19 (with regs. 23-25)

Notice of approval E+W

F41 F42 5.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F41 Sch. 2 para. 5 omitted (E.) (6.4.2013) by virtue of The Building Regulations &c. (Amendment) Regulations 2012 (S.I. 2012/3119), reg. 42(a), Sch. 1 (with regs. 1(3), 45-47) (as amended by S.I. 2013/181, reg. 5, Sch.)

F42 Sch. 2 para. 5 omitted (W.) (10.2.2014) by virtue of The Building (Approved Inspectors etc.) (Amendment) (Wales) Regulations 2014 (S.I. 2014/58), regs. 1(4), 7(a) (with reg. 1(2)(3))

Lack of declaration or undertakings E+W

Insurance E+W

F43 F44 6.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F43 Sch. 2 para. 6 omitted (E.) (28.7.2022) by virtue of The Building (Approved Inspectors etc.) (Amendment) (England) Regulations 2022 (S.I. 2022/718), regs. 1(3), 2(6)

F44 Sch. 2 para. 6 omitted (W.) (28.7.2022) by virtue of The Building Safety Act 2022 (Consequential Amendments) (Approved Inspectors) (Wales) Regulations 2022 (S.I. 2022/767), regs. 1(3), 2(6)

Fire and rescue authority E+W

7.  The approved inspector will be obliged by regulation 12 to consult the fire and rescue authority before giving a plans certificate or final certificate, and the notice does not contain an undertaking to do so.

Sewerage undertaker E+W

8.  The approved inspector will be obliged by regulation 13 to consult the sewerage undertaker before giving a plans certificate or final certificate, and the notice does not contain an undertaking to do so.

Independence E+W

9.  Except where the work described in the notice is stated in it to be minor work within the meaning of regulation 9(5), the notice does not contain a declaration by the approved inspector that the approved inspector does not, and while the initial notice is in force will not, have any professional or financial interest in that work.

Deficiencies in the proposed work E+W

Drain connection E+W

10.  In the case of the erection or extension of a building, the local authority consider that, in order to comply with the requirements of Part H of Schedule 1 to the Principal Regulations, a proposed drain or private sewer must discharge to an existing sewer, but the statement accompanying the notice does not describe such an arrangement.

Local enactments E+W

11.  The local authority are not satisfied that the work described will comply with any local enactment which requires or authorises them to reject plans submitted in accordance with building regulations

  E+W

[F45 11A.   Where a statement setting out the details of the work which the client considers amounts to 15% of all the work described in the notice has been provided, the local authority are not satisfied that the work described in the statement amounts to 15% of all the work described in the notice.]

Textual Amendments

F45 Sch. 2 para. 11A inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 11(3)(b) (with regs. 20, 23-25)

Overlap with earlier notice E+W

Earlier notice E+W

12.—(1) Except where paragraph (2) applies, an initial notice (“an earlier notice”) has already been given in respect of any part of the work described in the notice.

(2) The ground in paragraph (1) does not apply if—

(a) an earlier notice has ceased to be in force and the local authority have taken no positive step to supervise the work described in it; or

(b) the notice is accompanied by an undertaking by the approved inspector who gave an earlier notice to the effect that the approved inspector will cancel that notice as soon as the initial notice under consideration is accepted.

Regulation 14(2) and (3)

SCHEDULE 3 E+W Grounds for Rejecting a Plans Certificate, or a Plans Certificate Combined with an Initial Notice

Deficiencies in form and information E+W

Form E+W

1.  The certificate is not in the prescribed form.

Work E+W

2.  The certificate does not describe the work to which it relates.

[F46 Optional requirements E+W

F47 2A.   The certificate does not contain—

(a) information whether or not the work concerns a new dwelling; or

(b) in the case of a new dwelling, information whether or not one or more, and if so which, of the following optional requirements applies to the building work—

(i) regulation 36(2)(b) (optional water efficiency requirement of 110 litres per person per day),

(ii) Schedule 1 Part M optional requirement M4(2) (category 2- accessible and adaptable dwellings),

(iii) Schedule 1 Part M optional requirement M4(3) (category 3- wheelchair user dwellings); or

(c) in the case of a plans certificate relating to a new dwelling, a statement that it relates only to such part of the work to which no requirement under regulation 36 of, or requirements M4(1), (2) or (3) of Schedule 1 to, the Building Regulations 2010 may apply.]

Textual Amendments

F46 Sch. 3 para. 2A inserted (E.) (W. but only in relation to excepted energy buildings) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(5) (with regs. 1(3), 4)

F47 Sch. 3 para. 2A omitted (W. in relation to excepted energy buildings) (8.6.2018) by virtue of The Building Regulations &c. (Amendment) (Excepted Energy Buildings) (Wales) Regulations 2018 (S.I. 2018/558), regs. 1(2), 24(a) (with reg. 29)

Plans E+W

3.  The certificate does not specify the plans to which it relates.

Absence of power to give certificate E+W

No initial notice E+W

4.  Except where the plans certificate is combined with an initial notice, no initial notice was in force with respect to the work described in the certificate at the time the certificate was given.

Capacity of approved inspector E+W

5.  An initial notice was in force with respect to the work described in the certificate at the time the certificate was given, but—

(a) the certificate is not signed by the approved inspector who gave that notice; or

(b) that person is no longer an approved inspector.

Lack of declarations E+W

Insurance E+W

F48 F49 6.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F48 Sch. 3 para. 6 omitted (E.) (28.7.2022) by virtue of The Building (Approved Inspectors etc.) (Amendment) (England) Regulations 2022 (S.I. 2022/718), regs. 1(3), 2(7)

F49 Sch. 3 para. 6 omitted (W.) (28.7.2022) by virtue of The Building Safety Act 2022 (Consequential Amendments) (Approved Inspectors) (Wales) Regulations 2022 (S.I. 2022/767), regs. 1(3), 2(7)

Fire and rescue authority E+W

7.  The approved inspector was obliged by regulation 12 to consult the fire and rescue authority before giving the certificate, but the certificate does not contain a declaration that the approved inspector has consulted them in accordance with that regulation.

Sewerage undertaker E+W

8.  The approved inspector was obliged by regulation 13 to consult the sewerage undertaker before giving the certificate, but the certificate does not contain a declaration that the approved inspector has consulted them in accordance with that regulation.

Independence E+W

9.  Except where the work to which it relates is stated in the certificate to be minor work, within the meaning of regulation 9(5), the certificate does not contain a declaration by the approved inspector that the approved inspector has not since giving the initial notice in question had any professional or financial interest in that work.

Regulation 16(1)

SCHEDULE 4 E+W Grounds for Rejecting a Final Certificate

Deficiencies in form and information E+W

Form E+W

1.  The certificate is not in the prescribed form.

Work E+W

2.  The certificate does not describe the work to which it relates.

[F50 Optional requirements E+W

F51 2A.   The certificate does not contain information—

(a) whether or not the work concerns a new dwelling; or

(b) in the case of a new dwelling, information whether or not one or more, and if so which, of the following optional requirements applies to the building work—

(i) regulation 36(2)(b) (optional water efficiency requirement of 110 litres per person per day),

(ii) Schedule 1 Part M optional requirement M4(2) (category 2- accessible and adaptable dwellings),

(iii) Schedule 1 Part M optional requirement M4(3) (category 3- wheelchair user dwellings).]

Textual Amendments

F50 Sch. 4 para. 2A inserted (E.) (W. but only in relation to excepted energy buildings) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(6) (with regs. 1(3), 4)

F51 Sch. 4 para. 2A omitted (W. in relation to excepted energy buildings) (8.6.2018) by virtue of The Building Regulations &c. (Amendment) (Excepted Energy Buildings) (Wales) Regulations 2018 (S.I. 2018/558), regs. 1(2), 25(a) (with reg. 29)

Absence of power to give certificate E+W

No initial notice E+W

3.  No initial notice was in force with respect to the work described in the certificate at the time the certificate was given.

Capacity of approved inspector E+W

4.  An initial notice was in force with respect to the work described in the certificate at the time the certificate was given, but—

(a) the certificate is not signed by the approved inspector who gave that notice, or

(b) that person is no longer an approved inspector.

[F52 Lack of fire safety information confirmation E+W

4A.   Regulation 38 of the Building Regulations 2010, as modified by regulation 20 of the Building (Approved Inspectors etc.) Regulations 2010, applies to the building work to which the final certificate relates and the approved inspector has not provided a confirmation that the person carrying out the work has notified the approved inspector to the effect that the fire safety information has been given to the responsible person as required by that regulation.]

Textual Amendments

F52 Sch. 4 para. 4A inserted (E.) (1.10.2023) by The Building (Approved Inspectors etc. and Review of Decisions) (England) Regulations 2023 (S.I. 2023/906), regs. 1(2), 13(3) (with regs. 20, 23-25)

Lack of declarations E+W

Insurance E+W

F53 F54 5.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F53 Sch. 4 para. 5 omitted (E.) (28.7.2022) by virtue of The Building (Approved Inspectors etc.) (Amendment) (England) Regulations 2022 (S.I. 2022/718), regs. 1(3), 2(8)

F54 Sch. 4 para. 5 omitted (W.) (28.7.2022) by virtue of The Building Safety Act 2022 (Consequential Amendments) (Approved Inspectors) (Wales) Regulations 2022 (S.I. 2022/767), regs. 1(3), 2(8)

Independence E+W

6.  Except where the work to which it relates is stated in the certificate to be minor work within the meaning of regulation 9(5), the certificate does not contain a declaration by the approved inspector that the approved inspector has not since giving that notice had any professional or financial interest in that work.

Regulations 22(3) and 25(3)

SCHEDULE 5 E+W Grounds for Rejecting a Public Body's Notice, or a Combined Public Body's Notice and Plans Certificate

Deficiencies in public body's notice E+W

Form E+W

1.  The notice is not in the prescribed form.

Wrong local authority E+W

2.  No part of the work described in the notice is to be carried out in the area of the local authority to whom the notice has been given.

Capacity of public body E+W

3.  The body on behalf of which the notice was signed is not a public body within the meaning of section 54 of the Act.

Deficiencies in information E+W

Information about the proposed work E+W

4.  Neither the notice nor the accompanying plans and documents include—

(a) the location and a description of the work, including the use of any building to which the work relates;

(b) information needed by the local authority to decide whether the notice is to be rejected on ground 7 or 8 [F55 ;]

F56 [F57 (c) information whether or not the work concerns a new dwelling;

(d) in the case of a public body’s notice in relation to a new dwelling, either—

(i) a statement whether or not one or more, and if so which, of the following optional requirements applies to the building work—

(aa) regulation 36(2)(b) (optional water efficiency requirement of 110 litres per person per day),

(bb) Schedule 1 Part M optional requirement M4(2) (category 2- accessible and adaptable dwellings),

(cc) Schedule 1 Part M optional requirement M4(3) (category 3- wheelchair user dwellings), or

(ii) a statement that planning permission has not yet been granted for the work, and that the information required by subparagraph (i) will be supplied as soon as is reasonably practicable after that permission is granted;

(e) in the case of a combined public body’s notice and plans certificate, a statement in accordance with subparagraph (d)(i)].

Textual Amendments

F55 Sch. 5 para. 4(b): semicolon inserted (E., but only in relation to excepted energy buildings in W.) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(7) (with regs. 1(3), 4)

F56 Sch. 5 para. 4(c)-(e) omitted (W. in relation to excepted energy buildings) (8.6.2018) by virtue of The Building Regulations &c. (Amendment) (Excepted Energy Buildings) (Wales) Regulations 2018 (S.I. 2018/558), regs. 1(2), 26 (with reg. 29)

F57 Sch. 5 para. 4(c)-(e) inserted (E.) (W. but only in relation to excepted energy buildings) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(7) (with regs. 1(3), 4)

Lack of undertaking E+W

Fire and rescue authority E+W

5.  The public body will be obliged by regulation 23 to consult the fire and rescue authority before giving a public body's plans certificate or a public body's final certificate, and the notice does not contain an undertaking to do so.

Sewerage undertaker E+W

6.  The public body will be obliged by regulation 24 to consult the sewerage undertaker before giving a public body's plans certificate or a public body's final certificate, and the notice does not contain an undertaking to do so.

Deficiencies in the proposed work E+W

Drain connection E+W

7.  In the case of the erection or extension of a building, the local authority consider that, in order to comply with the requirements of Part H of Schedule 1 to the Principal Regulations, a proposed drain or private sewer must discharge to an existing sewer, but the statement accompanying the notice does not describe such an arrangement.

Local enactments E+W

8.  The local authority are not satisfied that the work described will comply with any local enactment which requires or authorises them to reject plans submitted in accordance with building regulations.

Regulations 25(2) and (3)

SCHEDULE 6 E+W Grounds for Rejecting a Public Body's Plans Certificate, or a Combined Public Body's Notice and Plans Certificate

Deficiencies in form and information E+W

Form E+W

1.  The certificate is not in the prescribed form.

Work E+W

2.  The certificate does not describe the work to which it relates.

[F58 Optional requirements E+W

F59 2A.   The certificate does not contain—

(a) information whether or not the work concerns a new dwelling; or

(b) in the case of a new dwelling, information whether or not one or more, and if so which, of the following optional requirements applies to the building work—

(i) regulation 36(2)(b) (optional water efficiency requirement of 110 litres per person per day),

(ii) Schedule 1 Part M optional requirement M4(2) (category 2- accessible and adaptable dwellings),

(iii) Schedule 1 Part M optional requirement M4(3) (category 3- wheelchair user dwellings); or

(c) in the case of a public body’s plans certificate relating to a new dwelling, a statement that it relates only to such part of the work to which no requirement under regulation 36 of, or requirements M4(1), (2) or (3) of Schedule 1 to, the Building Regulations 2010 may apply.]

Textual Amendments

F58 Sch. 6 para. 2A inserted (E.) (W. but only in relation to excepted energy buildings) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(8) (with regs. 1(3), 4)

F59 Sch. 6 para. 2A omitted (W. in relation to excepted energy buildings) (8.6.2018) by virtue of The Building Regulations &c. (Amendment) (Excepted Energy Buildings) (Wales) Regulations 2018 (S.I. 2018/558), regs. 1(2), 27 (with reg. 29)

Plans E+W

3.  The certificate does not specify the plans to which it relates.

Absence of power to give certificate E+W

No public body's notice E+W

4.  Except where the public body's plans certificate is combined with a public body's notice, no public body's notice was in force in respect of work described in the certificate at the time the certificate was given.

Capacity of public body E+W

5.  A public body's notice was in force with respect to the work described in the certificate at the time the certificate was given, but—

(a) the certificate is not signed by or on behalf of the public body which gave that notice; or

(b) that body has ceased to be a public body within the meaning of section 54 of the Act.

Lack of declaration E+W

Fire and rescue authority E+W

6.  The public body was obliged by regulation 23 to consult the fire and rescue authority before giving the certificate, but the certificate does not contain a declaration that they have been consulted in accordance with that regulation.

Sewerage undertaker E+W

7.  The public body was obliged by regulation 24 to consult the sewerage undertaker before giving the certificate, but the certificate does not contain a declaration that they have been consulted in accordance with that regulation.

Regulation 27(1)

SCHEDULE 7 E+W Grounds for Rejecting a Public Body's Final Certificate

Deficiencies in form and information E+W

Form E+W

1.  The certificate is not in the prescribed form.

Work E+W

2.  The certificate does not describe the work to which it relates.

[F60 Optional requirements E+W

F61 2A.   The certificate does not contain information—

(a) whether or not the work concerns a new dwelling; or

(b) in the case of a new dwelling, information whether or not one or more, and if so which, of the following optional requirements applies to the building work—

(i) regulation 36(2)(b) (optional water efficiency requirement of 110 litres per person per day),

(ii) Schedule 1 Part M optional requirement M4(2) (category 2- accessible and adaptable dwellings),

(iii) Schedule 1 Part M optional requirement M4(3) (category 3- wheelchair user dwellings).]

Textual Amendments

F60 Sch. 7 para. 2A inserted (E.) (W. but only in relation to excepted energy buildings) (1.10.2015) by The Building Regulations &c. (Amendment) Regulations 2015 (S.I. 2015/767), regs. 1(4)(b), 3(9) (with regs. 1(3), 4)

F61 Sch. 7 para. 2A omitted (W. in relation to excepted energy buildings) (8.6.2018) by virtue of The Building Regulations &c. (Amendment) (Excepted Energy Buildings) (Wales) Regulations 2018 (S.I. 2018/558), regs. 1(2), 28 (with reg. 29)

Absence of power to give certificate E+W

Capacity of public body E+W

3.  No public body's notice was in force with respect to the work described in the certificate at the time the certificate was given.

No proper signature E+W

4.  A public body's notice was in force with respect to the work described in the certificate at the time when the certificate was given, but the certificate is not signed by or on behalf of the public body which gave that notice.

Lack of declaration E+W

Fire and rescue authority E+W

5.  The public body was obliged by regulation 23 to consult the fire and rescue authority before giving the certificate, but the certificate does not contain a declaration that they were consulted in accordance with that regulation.

Sewerage undertaker E+W

6.  The public body was obliged by regulation 24 to consult the sewerage undertaker before giving the certificate, but the certificate does not contain a declaration that they have been consulted in accordance with that regulation.

Regulation 38(1)

SCHEDULE 8 E+W Revocation of Regulations

Title	Reference	Extent of revocation
The Building (Approved Inspectors etc.) Regulations 2000	S.I. 2000/2532	The whole Regulations.
The Building (Approved Inspectors etc.) (Amendment) Regulations 2001	S.I. 2001/3336	The whole Regulations.
The Building (Approved Inspectors etc.) (Amendment) Regulations 2002	S.I. 2002/2872	The whole Regulations.
The Building (Approved Inspectors etc.) (Amendment) Regulations 2004	S.I. 2004/1466	The whole Regulations.
The Energy Performance of Buildings (Certificates and Inspections) (England and Wales) (Amendment No. 2) Regulations 2008	S.I. 2008/2363	Regulation 4.

Regulation 38(2)

SCHEDULE 9 E+W Consequential Amendments

1.  In the Building (Local Authority Charges) Regulations 2010 M1 — E+W

(a) in regulation 2, in the definition of “the Approved Inspectors Regulations” for “2000” substitute “ 2010 ”;

(b) in regulation 8(1)(d)—

(i) in paragraph (i) for “20(2)(a)(i)” substitute “ 19(2)(a)(i) ”;

(ii) in paragraph (ii) for “20(3)” substitute “ 19(3) ”.

Marginal Citations

M1 S.I. 2010/404.

2.  In the Energy Performance of Buildings (Certificates and Inspections) (England and Wales) Regulations 2007 M2 , in regulation 2(1), in the definition of “recommendation report” omit “or regulation 12(4) of the Building (Approved Inspectors etc.) Regulations 2000”. E+W

Marginal Citations

M2 S.I. 2007/991.