Regulations 6, 7, 8, 11, 13, 14 and 20

SCHEDULE 1 E+WForms

Commencement Information

I1 Sch. 1 in force at 6.4.2024, see reg. 1(3)

Regulations 6, 8 and 11

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

Form E+W

1.  The notice is not in the prescribed form.

Commencement Information

I2 Sch. 2 para. 1 in force at 6.4.2024, see reg. 1(3)

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.

Commencement Information

I3 Sch. 2 para. 2 in force at 6.4.2024, see reg. 1(3)

Capacity of approver E+W

3.  The person who signed the notice as an approver is not an approver on the date the notice is rejected or if they are an approver on that date, their registration does not include all the work described in the notice.

Commencement Information

I4 Sch. 2 para. 3 in force at 6.4.2024, see reg. 1(3)

4.  Additionally, in the case of an amendment notice, the person who signed the amendment notice as an approver is not the approver who gave the initial notice.

Commencement Information

I4 Sch. 2 para. 3 in force at 6.4.2024, see reg. 1(3)

I5 Sch. 2 para. 4 in force at 6.4.2024, see reg. 1(3)

Breach of section 54B E+W

5.  The person specified in the notice as the registered building inspector who gave advice in relation to that notice—

(a) was not a registered building inspector on the date the notice was submitted; or

(b) was a registered building inspector on that date but their registration did not include all the work described in the notice.

Commencement Information

I6 Sch. 2 para. 5 in force at 6.4.2024, see reg. 1(3)

Information about the proposed work E+W

6.  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;

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

(d) 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;

(e) 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 sub-paragraph (i) will be supplied as soon as is reasonably practicable after that permission is granted;

(f) 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 2010 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;

(g) in the case of a plans certificate combined with an initial notice, a statement in accordance with sub-paragraph (e)(i).

Commencement Information

I7 Sch. 2 para. 6 in force at 6.4.2024, see reg. 1(3)

Fire and rescue authority E+W

7.  The approver is obliged by regulation 9 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.

Commencement Information

I8 Sch. 2 para. 7 in force at 6.4.2024, see reg. 1(3)

Sewerage undertaker E+W

8.  The approver is obliged by regulation 10 to consult the sewerage undertaker before giving a plans certificate or final certificate, and the notice does not contain an undertaking to do so.

Commencement Information

I9 Sch. 2 para. 8 in force at 6.4.2024, see reg. 1(3)

Independence E+W

9.  The notice does not contain a declaration by the approver that the approver does not, and while the initial notice is in force will not, have any professional or financial interest in that work.

Commencement Information

I10 Sch. 2 para. 9 in force at 6.4.2024, see reg. 1(3)

Drain connection E+W

10.  In the case of the erection or extension of a building, the local authority considers that, in order to comply with the requirements of Part H of Schedule 1 to the 2010 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.

Commencement Information

I11 Sch. 2 para. 10 in force at 6.4.2024, see reg. 1(3)

Local enactments E+W

11.  The local authority is not satisfied that the work described will comply with any local enactment which requires or authorises them to reject an application for building control approval submitted in accordance with building regulations.

Commencement Information

I12 Sch. 2 para. 11 in force at 6.4.2024, see reg. 1(3)

Commencement of work E+W

12.  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 is not satisfied that the work described in the statement amounts to 15% of all the work described in the notice.

Commencement Information

I13 Sch. 2 para. 12 in force at 6.4.2024, see reg. 1(3)

Earlier notice E+W

13.—(1) Except where sub-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 sub-paragraph (1) does not apply if—

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

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

Commencement Information

I14 Sch. 2 para. 13 in force at 6.4.2024, see reg. 1(3)

Regulation 11

SCHEDULE 3 E+WGrounds for rejecting a plans certificate or plans certificate combined with an initial notice

Form E+W

1.  The certificate is not in the prescribed form.

Commencement Information

I15 Sch. 3 para. 1 in force at 6.4.2024, see reg. 1(3)

Wrong building control authority E+W

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

Commencement Information

I16 Sch. 3 para. 2 in force at 6.4.2024, see reg. 1(3)

Work E+W

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

Commencement Information

I17 Sch. 3 para. 3 in force at 6.4.2024, see reg. 1(3)

Optional requirements E+W

4.  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.

Commencement Information

I18 Sch. 3 para. 4 in force at 6.4.2024, see reg. 1(3)

Plans E+W

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

Commencement Information

I19 Sch. 3 para. 5 in force at 6.4.2024, see reg. 1(3)

No initial notice E+W

6.  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.

Commencement Information

I20 Sch. 3 para. 6 in force at 6.4.2024, see reg. 1(3)

Capacity of approver E+W

7.  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 approver who gave the initial notice,

(b) the person who signed the certificate is not an approver on the date the notice is rejected, or

(c) where they are an approver, their registration does not include all the work described in the certificate.

Commencement Information

I21 Sch. 3 para. 7 in force at 6.4.2024, see reg. 1(3)

Breach of section 54B E+W

8.  The person specified in the certificate as the registered building inspector who gave advice in relation to that certificate—

(a) was not a registered building inspector on the date the certificate was submitted, or

(b) was a registered building inspector on that date but their registration did not include all the work described in the certificate.

Commencement Information

I22 Sch. 3 para. 8 in force at 6.4.2024, see reg. 1(3)

Fire and rescue authority E+W

9.  The approver was obliged by regulation 9 to consult the fire and rescue authority before giving the certificate, but the certificate does not contain a declaration that the approver has consulted them in accordance with that regulation.

Commencement Information

I23 Sch. 3 para. 9 in force at 6.4.2024, see reg. 1(3)

Sewerage undertaker E+W

10.  The approver was obliged by regulation 10 to consult the sewerage undertaker before giving the certificate, but the certificate does not contain a declaration that the approver has consulted them in accordance with that regulation.

Commencement Information

I24 Sch. 3 para. 10 in force at 6.4.2024, see reg. 1(3)

Independence E+W

11.  The certificate does not contain a declaration by the approver that the approver has not since giving the initial notice in question had any professional or financial interest in that work.

Commencement Information

I25 Sch. 3 para. 11 in force at 6.4.2024, see reg. 1(3)

Regulation 13

SCHEDULE 4 E+WGrounds for rejecting a final certificate

Form E+W

1.  The certificate is not in the prescribed form.

Commencement Information

I26 Sch. 4 para. 1 in force at 6.4.2024, see reg. 1(3)

Wrong building control authority E+W

2.  No part of the work described in the final certificate was carried out in the area of the local authority to whom the certificate has been given.

Commencement Information

I27 Sch. 4 para. 2 in force at 6.4.2024, see reg. 1(3)

Work E+W

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

Commencement Information

I28 Sch. 4 para. 3 in force at 6.4.2024, see reg. 1(3)

Optional requirements E+W

4.  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).

Commencement Information

I29 Sch. 4 para. 4 in force at 6.4.2024, see reg. 1(3)

No initial notice E+W

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

Commencement Information

I30 Sch. 4 para. 5 in force at 6.4.2024, see reg. 1(3)

No plans certificate E+W

F1 6.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F1 Sch. 4 para. 6 omitted (6.4.2024) by virtue of The Building (Registered Building Control Approvers etc.) (England) (Amendment) Regulations 2024 (S.I. 2024/474), regs. 1(2), 2(7)

Capacity of approver E+W

7.  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 approver who gave the initial notice,

(b) the person who signed the certificate is not an approver on the date the certificate is rejected, or

(c) where they are an approver, their registration does not include all the work described in the certificate.

Commencement Information

I31 Sch. 4 para. 7 in force at 6.4.2024, see reg. 1(3)

Breach of section 54B E+W

8.  The person specified in the certificate as the registered building inspector who gave advice in relation to that certificate—

(a) was not a registered building inspector on the date the certificate was submitted, or

(b) was a registered building inspector on that date but their registration did not include all the work described in the certificate.

Commencement Information

I32 Sch. 4 para. 8 in force at 6.4.2024, see reg. 1(3)

Lack of fire safety information confirmation E+W

9.  Regulation 38 of the Building Regulations 2010, as modified by regulation 5 (modifications of the 2010 Regulations), applies to the building work to which the final certificate relates and the approver has not provided a confirmation that the person carrying out the work has notified the approver to the effect that the fire safety information has been given to the responsible person as required by that regulation.

Commencement Information

I33 Sch. 4 para. 9 in force at 6.4.2024, see reg. 1(3)

Independence E+W

10.  The certificate does not contain a declaration by the approver that the approver has not since giving that notice had any professional or financial interest in that work.

Commencement Information

I34 Sch. 4 para. 10 in force at 6.4.2024, see reg. 1(3)

Regulation 26

SCHEDULE 5 E+WGrounds for rejecting a transfer certificate and transfer report

Required information E+W

1.  The transfer certificate does not include the information required by regulation 25 (information to be included in transfer certificates).

Commencement Information

I35 Sch. 5 para. 1 in force at 6.4.2024, see reg. 1(3)

Wrong local authority E+W

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

Commencement Information

I36 Sch. 5 para. 2 in force at 6.4.2024, see reg. 1(3)

No initial notice E+W

3.  No new initial notice under section 53(7)(a) of the 1984 Act was in force with respect to the work described in the transfer certificate at the time the transfer certificate was given.

Commencement Information

I37 Sch. 5 para. 3 in force at 6.4.2024, see reg. 1(3)

Capacity of approver E+W

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

(a) the certificate is not signed by the approver who gave the new initial notice,

(b) the person who signed the certificate is not an approver on the date the certificate is rejected, or

(c) where they are an approver, their registration does not include all the work described in the certificate.

Commencement Information

I38 Sch. 5 para. 4 in force at 6.4.2024, see reg. 1(3)

Breach of section 54B E+W

5.  The person specified in the certificate as the registered building inspector who gave advice in relation to that certificate—

(a) was not a registered building inspector on the date the certificate was submitted; or

(b) was a registered building inspector on that date but their registration did not include all the work described in the certificate.

Commencement Information

I39 Sch. 5 para. 5 in force at 6.4.2024, see reg. 1(3)

Earlier notice E+W

6.—(1) Except where sub-paragraph (2) applies, a new initial notice under section 53(7)(a) of the 1984 Act (“an earlier notice”) has already been given in respect of any part of the unfinished work described in the notice.

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

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

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

Commencement Information

I40 Sch. 5 para. 6 in force at 6.4.2024, see reg. 1(3)

Local authority action E+W

7.—(1) The local authority has given a section 36 notice, a compliance notice or a stop notice in relation to the unfinished work(1).

(2) The local authority received an application in relation to the whole or part of the unfinished work in accordance with regulation 18 of the 2010 Regulations.

(3) The local authority has otherwise taken any positive step to supervise the unfinished work.

Commencement Information

I41 Sch. 5 para. 7 in force at 6.4.2024, see reg. 1(3)

Failure to provide information requested E+W

8.  The approver has been given a request under section 53C(4) of the 1984 Act but failed to provide the information within the period referred to in that section.

Commencement Information

I42 Sch. 5 para. 8 in force at 6.4.2024, see reg. 1(3)

(1)

See sections 35B(2), 35C(3) and 36(4) of the Building Act 1984 for definitions of “compliance notice”, “stop notice” and “section 36 notice” and section 53B(9) of the Building Act 1984 for the definition of “unfinished work”.