2024 No. 244 (W. 49)
The Building (Approved Inspectors etc.) (Amendment) (Wales) Regulations 2024
Made
Laid before Senedd Cymru
Coming into force
The Welsh Ministers make the following Regulations in exercise of the powers conferred on them by sections 1(1)1, 47(1)2, (3), (5)3, 50(1D)4, 51(1)5, 51A(2)6, 52(1)7, (3)8, (5)9, (5A)10, (7)11, 52A(1)12, (2), (4), 53(4B)13, (4C)14, (7)(a)(iii), 53B(5)(b)15, 53C(3)(a)16, (6)(a), 53D(2)17, (3), (5), 54(1)(c)18, 92(2)19 and paragraphs 1A(1), (2)(a) to (c), 1D(1), 1F(1)20, and 1021 of Schedule 1 and paragraphs 2(1)22 and (2) and 3(1) of Schedule 4 to the Building Act 198423.
PART 1Preliminary
Title, coming into force, interpretation and application1
1
The title of these Regulations is the Building (Approved Inspectors etc.) (Amendment) (Wales) Regulations 2024 and they come into force on 6 April 2024.
2
In these Regulations—
“Approved Inspectors Regulations” (“Rheoliadau Arolygwyr Cymeradwy”) means the Building (Approved Inspectors etc.) Regulations 201024;
“Relevant Date” (“Dyddiad Perthnasol”) means 6 April 2024.
3
These Regulations apply in relation to Wales.
PART 2Amendments to the Approved Inspectors Regulations
Amendments to the Approved Inspectors Regulations2
The Approved Inspectors Regulations are amended in accordance with regulations in this Part.
General amendments3
1
For the words “Form 1” in each place they occur, including in the title of Form 1 in Schedule 1, substitute “Form 1(W)”
.
2
For the words “Form 2” in each place they occur, including in the title of Form 2 in Schedule 1, substitute “Form 2(W)”
.
3
For the words “Form 3” in each place they occur, including in the title of Form 3 in Schedule 1, substitute “Form 3(W)”
.
4
For the words “Form 4” in each place they occur, including in the title of Form 4 in Schedule 1, substitute “Form 4(W)”
.
5
For the words “Form 5” in each place they occur, including in the title of Form 5 in Schedule 1, substitute “Form 5(W)”
.
6
For the words “Form 9” in each place they occur, including in the title of Form 9 in Schedule 1, substitute “Form PB1(W)”
.
7
For the words “Form 10” in each place they occur, including in the title of Form 10 in Schedule 1, substitute “Form PB2(W)”
.
8
For the words “Form 11” in each place they occur, including in the title of Form 11 in Schedule 1, substitute “Form PB3(W)”
.
9
For the words “Form 12” in each place they occur, including in the title of Form 12 in Schedule 1, substitute “Form PB4(W)”
.
Amendment to regulation 24
In regulation 2 (interpretation), in the appropriate place insert—
“approver” means a registered building control approver within the meaning of section 58N of the Act;
New regulation 16A5
After regulation 16 (form, grounds and period for rejecting final certificate) insert—
Form of rejection notice and form of notice under section 51C of the Act16A
1
Where a local authority rejects a relevant notice or certificate the form set out as form 7(W) in Schedule 1 must be used.
2
When giving a notice under section 51C(2)25 of the Act (change of person intending to carry out work) the form set out as form 8(W) in Schedule 1 must be used.
3
In this regulation “relevant notice or certificate” means an initial notice, amendment notice, plans certificate or a final certificate which is given to a local authority on or after 6 April 2024.
Amendments to regulation 186
In regulation 18 (cancellation of initial notice)—
a
omit paragraphs (4), (5) and (6);
b
at the end insert—
7
In Wales, Form 9(W) in Schedule 1 is the form of notice to be given by an approver to cancel an initial notice in accordance with section 52(1) of the Act based on a condition in section 52(1)(a) to (f) of the Act.
8
In Wales, Form 10(W) in Schedule 1 is the form of notice to be given by a person carrying out or intending to carry out work to cancel an initial notice in accordance with section 52(3) of the Act based on a condition in section 52(3)(a) of the Act.
9
In Wales, Form 11(W) in Schedule 1 is the form of notice to be given by a local authority to cancel an initial notice in accordance with section 52(5A) of the Act based on a condition in section 52(5B)(a) to (d) of the Act.
10
In Wales, Form 12(W) in Schedule 1 is the form of notice to be given by a local authority to the person shown in the initial notice as the approver under section 52(7) of the Act.
11
In Wales, Form 13(W) in Schedule 1 is the form of notice to be given by an approver to cancel an initial notice in accordance with section 52A(1)26 of the Act.
12
In Wales, Form 14(W) in Schedule 1 is the form of notice to be given by a person carrying out or intending to carry out work to cancel an initial notice in accordance with section 52A(2) of the Act.
13
In Wales, Form 15(W) in Schedule 1 is the form of notice to be given by a local authority to cancel an initial notice in accordance with section 52A(4) of the Act.
14
In Wales, Form 16(W) in Schedule 1 is the form of notice to be given by a local authority to cancel an initial notice in accordance with section 53D(2) of the Act.
15
In Wales, Form 17(W) in Schedule 1 is the form of notice to be given by a person carrying out or intending to carry out work to cancel an initial notice in accordance with section 53D(3) of the Act.
New regulation 18A7
After regulation 18 insert—
Cancellation of initial notice: notice of contravention of building regulations18A
1
Except where paragraph (3) applies, where an approver is of the opinion that an initial notice should be cancelled under section 52(1)(c)27 of the Act for contravention of any provision of building regulations, the approver must first give notice in writing to the person carrying out the work (“C”).
2
A notice given in accordance with paragraph (1) must inform C that if within the period specified in paragraph (3) C has neither pulled down nor removed the work nor effected such alterations in it as may be necessary to make it comply with building regulations, the approver will cancel the initial notice.
3
The period within which the person carrying out the work is to remedy the contravention is three months beginning with the day on which the notice under paragraph (1) is given.
New regulation 19A8
After regulation 19 (local authority powers in relation to partly completed work) insert—
Periods within which information on work to which an initial notice relates must be provided19A
1
For the purposes of section 53(4B) of the Act, the period within which a person shown in the initial notice as the approver (“P”) is required to give information to the local authority is 21 calendar days beginning with the date on which the local authority gives P a notice under section 53(4A)28. This period may be extended by mutual agreement between P and the local authority.
2
For the purposes of section 53(4C) of the Act, the period within which P is required to give information to the person carrying out or intending to carry out the work (“C”) is—
a
21 calendar days beginning with the date on which the local authority gave P a notice under section 53(4A), or
b
in relation to information requested by C pursuant to section 53(4C)(c), 21 calendar days beginning with the date on which C gives P a notice under section 53(4C)(c).
New Part 3A9
After Part 3 (supervision of work by approved inspectors) insert—
PART 3ATransfer of projects to another approver
Section 53(7): prescribed provision19B
For the purposes of section 53(7)(a)(iii) of the Act, section 52(1)(a) of the Act is prescribed.
Information to be included in transfer certificates19C
For the purposes of section 53B(5)(b) of the Act, a transfer certificate must contain the following information—
a
statement describing the original work and the unfinished work29;
b
statement describing all the steps the approver has taken to determine, in accordance with section 53B(2) of the Act, whether the unfinished work contravenes any provision of the building regulations, in particular listing—
i
each inspection or laying open of the work undertaken;
ii
each report of any inspection or laying open of work produced;
iii
any other assessment of the work which was considered;
c
statement setting out the name and address of the registered building inspector from whom advice was obtained under section 54B(3) of the Act before giving the transfer certificate;
d
declaration, signed and dated by the approver, confirming—
i
the approver has inspected the unfinished work,
ii
the approver has determined that, as at the date of the transfer certificate, the unfinished work does not contravene any provision of the building regulations,
iii
each report or assessment referred to in the statement under paragraph (b) has been included in the transfer report given under section 53B of the Act,
iv
the approver has obtained advice from a registered building inspector under section 54B(3) of the Act before giving the transfer certificate, and
v
the approver has received the agreement of the person carrying out or intending to carry out the work to submit the transfer certificate and transfer report.
Period for consideration of transfer certificate and report by local authority19D
For the purposes of section 53C(6)(a) of the Act, the prescribed period is 28 days.
Grounds for rejection of a transfer certificate and transfer report19E
The grounds on which a local authority may reject a transfer certificate and transfer report are those prescribed in Schedule 3A.
Cases where a further initial notice may be given after cancellation of an initial notice under section 53D19F
1
For the purposes of section 53D(5)30 of the Act, the following circumstances are prescribed—
a
the business of the approver to which the initial notice relates has ceased for any reason, including in the case of insolvency;
b
the person carrying out or intending to carry out the work has cancelled the initial notice under section 53D(3) of the Act because they were satisfied the approver was unable to carry out (or continue to carry out) their functions with respect to any of the work to which the initial notice relates;
c
the approver is given a specified disciplinary order during the relevant period (as defined in section 53B(7) of the Act).
2
In this regulation a “specified disciplinary order” means—
a
any disciplinary order under section 58U(2)(b)31 of the Act (variation of registration) such that the approver is no longer able to carry out their functions with respect to any of the work to which the initial notice relates;
b
any disciplinary order under section 58U(2)(c) of the Act (suspension of registration) excluding any suspension which is as a consequence of functions in relation to the unfinished work or work for the person carrying out the work;
c
an order under section 58V32 of the Act (interim suspension for suspected serious contravention) excluding any interim suspension which is as a consequence of functions in relation to the unfinished work or work for the person carrying out the work;
d
any disciplinary order under section 58U(2)(d) of the Act (cancellation of registration) excluding any cancellation which is as a consequence of functions in relation to the unfinished work or work for the person carrying out the work.
Amendments as to Schedule 110
In Schedule 1 (forms)—
a
in form 1 (initial notice), as a final paragraph, before the signature block insert—
I (the registered building control approver) confirm that none of the work to which this notice relates is higher-risk building work.
b
in form 2 (amendment notice), as a final paragraph, before the signature block insert—
I (the registered building control approver) confirm that none of the work to which this notice relates is higher-risk building work.
c
in form 3 (plans certificate), as a final paragraph, before the signature block insert—
I (the registered building control approver) confirm that none of the work to which this certificate relates is higher-risk building work.
d
in form 4 (combined initial notice and plans certificate), as a final paragraph, before the signature block insert—
I (the registered building control approver) confirm that none of the work to which this notice relates is higher-risk building work.
e
in form 5 (final certificate), as a final paragraph, before the signature block insert—
I (the registered building control approver) confirm that none of the work to which this certificate relates is higher-risk building work.
f
omit forms 6 to 8;
g
in the appropriate place, in numerical order, insert each of the new forms33 set out in Schedule 1 to these Regulations.
New Schedule 3A11
After Schedule 3 (grounds for rejecting a plans certificate, or a plans certificate combined with an initial notice) insert Schedule 3A which is set out in Schedule 2 to these Regulations.
PART 3Transitional Provisions
Transitional provisions12
1
Despite the amendments made by these Regulations to the forms in Schedule 1 to the Approved Inspectors Regulations, any of those forms submitted to the local authority before the Relevant Date will be processed.
2
The amendments to form 2 (amendment notice) of Schedule 1 to the Approved Inspectors Regulations made by regulation 10(b) (amendments as to Schedule 1) do not apply to any amendment notice given on or after the Relevant Date where the building work to which the initial notice relates includes higher-risk building work, provided the work described in the amendment notice does not vary any of the work to which the initial notice relates to become higher-risk building work.
3
The amendments to form 3 (plans certificate) of Schedule 1 to the Approved Inspectors Regulations made by regulation 10(c) (amendments as to Schedule 1) do not apply to any plans certificate given on or after the Relevant Date in respect of higher-risk building work in relation to which an initial notice was given before the Relevant Date.
4
The amendments to form 5 (final certificate) of Schedule 1 to the Approved Inspectors Regulations made by regulation 10(e) (amendments as to Schedule 1) do not apply to any final certificate given on or after the Relevant Date in respect of higher-risk building work in relation to which an initial notice was given before the Relevant Date.
SCHEDULE 1New forms to be inserted into Schedule 1 to the Approved Inspectors Regulations
SCHEDULE 2
SCHEDULE 3AGrounds for rejecting a transfer certificate and transfer report
Required information
1
The transfer certificate does not include the information required by regulation 19C (information to be included in transfer certificates).
2
Either the transfer certificate or transfer report do not include information required by any provision of the Act.
Wrong local authority3
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.
No initial notice4
No new initial notice under section 53(7)(a) of the Act was in force with respect to the work described in the transfer certificate at the time the transfer certificate was given.
Capacity of approver5
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.
Breach of section 54B6
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.
Earlier notice / accepted transfer certificate and transfer report7
1
Except where paragraph (2) applies, a new initial notice under section 53(7)(a) of the 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 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 approver which gave an earlier notice to the effect that the approver will cancel that notice as soon as the initial notice under consideration is accepted.
3
A transfer certificate and transfer report have already been accepted.
Local authority action and offence committed under section 35(1) of the Act8
1
The local authority has given a section 36 notice in relation to the unfinished work34.
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 Principal Regulations.
3
The local authority has otherwise taken any positive step to supervise the unfinished work.
4
The person submitting the transfer certificate and transfer report has committed an offence under section 35(1) of the Act.
Failure to provide information requested9
The approver has been given a request under section 53C(4) of the Act but failed to provide the information within the period referred to in that section.
Failure to comply with prescribed timescales10
The transfer certificate and transfer report have not been submitted before the end of the relevant period in accordance with section 53B(3) of the Act.
(This note is not part of the Regulations)