The Building (Approved Inspectors etc. ) Regulations 2010

[F1PART 3E+WSupervision of Work by [F2Approver]s

Functions of [F3approver]sE+W

8.—(1) Subject to paragraph (2), an [F3approver] by whom an initial notice has been given shall, so long as the notice continues in force, take such steps (which may include the making of tests of building work and the taking of samples of material) as are reasonable to enable the [F3approver] to be satisfied within the limits of professional skill and care that—

(a)regulations 4 (requirements relating to building work), 6 (requirements relating to material change of use), 7 (materials and workmanship), 22 (requirements relating to a change to energy status), 23 (requirements relating to thermal elements), [F425A (consideration of high-efficiency alternative systems for new buildings),] 26 (CO₂ emission rates for new buildings), [F526A (fabric energy efficiency rates for new buildings),] F6[F726A (primary energy consumption rates for new buildings), 26B (fabric performance values for new dwellings),] F8[F926C (target primary energy rates for new buildings)] 28 (consequential improvements to energy performance), 36 (water efficiency of new dwellings), [F1037A (provision of automatic fire suppression systems),] 38 (Fire safety information), 39 (information about ventilation) F11[F12,] 40 (information about use of fuel and power) F13[F14, 40A (information about systems for on-site generation of electricity) and 40B (information about overheating)] of the Principal Regulations are complied with, and

(b)the requirements of regulation 20 of these Regulations (which applies regulations 20, [F1525A,] 27, F16F17[F1827A, 27B,] F19F20... F21[F2227C,] 37, 41, 42, 43 F23[F24, 44 and 44ZA] of the Principal Regulations F25[F26and regulation 7A (energy performance certificates on construction) of the Energy Performance of Buildings (England and Wales) Regulations 2012]) are complied with.

F27[F28(2) In a case where any requirement of Part L of Schedule 1 to the Principal Regulations is to be complied with by the insertion of insulating material into the cavity in a wall after that wall has been constructed, the [F3approver] need not supervise the insertion of the insulating material but shall state in the final certificate whether or not at the date of that certificate the material has been inserted.]

Independence of [F29approver]sE+W

9.—(1) [F29Approver]s shall have no professional or financial interest in the work they supervise unless it is minor work.

(2) A person (“P”) shall be regarded as having a professional or financial interest in the work described in any notice or certificate given under these Regulations if—

(a)P is or has been responsible for the design or construction of any of the work in any capacity, or

(b)P or any nominee of P's is a member, officer or employee of a company or other body which has a professional or financial interest in the work, or

(c)P is a partner or is in the employment of a person who has a professional or financial interest in the work.

(3) For the purposes of this regulation—

(a)P shall be treated as having a professional or financial interest in the work even if P has that interest only as trustee for the benefit of some other person,

(b)in the case of married people or civil partners living together, the interest of one spouse or partner shall, if known to the other, be deemed to be also an interest of the other.

(4) For the purposes of this regulation—

(a)involvement in the work as an [F29approver],

(b)entitlement to any fee paid for P's function as an [F29approver], and

[F30(c)in relation to Wales, potential liability to pay any sum if a claim is made under any insurance cover,]

shall not be regarded as constituting a professional or financial interest.

(5) For the purposes of this regulation “minor work” means—

(a)the material alteration or extension of a dwelling-house which before the work is carried out has two storeys or fewer and which afterwards has no more than three storeys;

(b)the provision, extension or material alteration of a controlled service or fitting in or in connection with any building; or

(c)work consisting of the underpinning of a building;

and for the purposes of this paragraph a basement is not to be regarded as a storey.

Form, grounds and period for rejecting initial noticeE+W

10.—(1) The prescribed form of an initial noticeM1—

(a)which is not combined with a plans certificate, shall be [F31Form 1(W)] in Schedule 1; or

(b)which is combined with a plans certificate, shall be [F32Form 4(W)] in Schedule 1.

(2) An initial notice shall be accompanied by the plans and documents described in the relevant form prescribed by paragraph (1).

(3) The grounds on which a local authority shall reject an initial notice are those prescribed in Schedule 2.

(4) The period within which a local authority may give notice of rejection of an initial notice is five days beginning with the day on which the notice is given.

Invalid notices E+W

F110A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Form, grounds and period for rejecting amendment noticeE+W

11.—(1) The prescribed form of an amendment notice M2 shall be [F33Form 2(W)] in Schedule 1.

(2) An amendment notice shall be accompanied by the plans and documents described in the form prescribed by paragraph (1).

(3) The grounds on which a local authority shall reject an amendment notice are those prescribed in paragraphs 1 to 11 of Schedule 2.

(4) The period within which a local authority may give notice of rejection of an amendment notice is five days beginning with the day on which the notice is given.

[F34Approver]'s consultation with the fire and rescue authorityE+W

12.—(1) This regulation applies where an initial notice is to be given or has been given in relation to the erection, extension or material alteration of a relevant building or in relation to building work in connection with a relevant change of use of a building and Part B of Schedule 1 to the Principal Regulations imposes requirements in relation to the work.

(2) Where this regulation applies, the [F34approver] shall consult the fire and rescue authority—

(a)before or as soon as practicable after giving an initial notice in relation to the work;

(b)before or as soon as practicable after giving a relevant amendment notice in relation to the work;

(c)before giving a plans certificate (whether or not combined with an initial notice); and

(d)before giving a final certificate.

(3) An [F34approver] who is required by paragraph (2) to consult the fire and rescue authority shall give to the fire and rescue authority—

(a)in a case where the [F34approver] is consulting them in connection with an initial notice or an amendment notice, sufficient plans to show whether the work would, if carried out in accordance with those plans, comply with the applicable requirements of Part B of Schedule 1 to the Principal Regulations; and

(b)in a case where the [F34approver] is consulting them in connection with the giving of a plans certificate, a copy of the plans in relation to which the [F34approver] intends to give the certificate.

(4) An [F34approver] who is required by paragraph (2) to consult the fire and rescue authority—

(a)shall have regard to any views they express; and

(b)shall not give a plans certificate or a final certificate until 15 days have elapsed from the date on which the [F34approver] consulted them, unless they have expressed their views to the [F34approver] before the expiry of that period.

(5) Where a local enactment would, if plans were deposited in accordance with building regulations, require the local authority to consult the fire and rescue authority before or during the carrying out of any work, the [F34approver] shall consult the fire and rescue authority in a manner similar to that required by the enactment.

(6) In this regulation—

(a)a “relevant building” is a building or any part of it to which the Regulatory Reform (Fire Safety) Order 2005 M3 applies, or will apply after the completion of building work;

(b)a “relevant change of use” is a material change of use where, after the change of use takes place, the Regulatory Reform (Fire Safety) Order 2005 will apply, or continue to apply, to the building or any part of it;

(c)a “relevant amendment notice” is an amendment notice where any of the work specified in the initial notice, as varied by the amendment notice, being work which could not have been carried out under the original notice (“additional work”), concerns the erection, extension or material alteration of a relevant building or is building work in connection with a relevant change of use of a building and Part B of Schedule 1 to the Principal Regulations imposes requirements in relation to the additional work.

[F35Approver]'s consultation with the sewerage undertakerE+W

13.—(1) This regulation applies where an initial notice or amendment notice is to be given or has been given in respect of work in relation to which paragraph H4 of Schedule 1 to the Principal Regulations imposes requirements.

(2) Where this regulation applies, the [F35approver] shall consult the sewerage undertaker—

(a)before or as soon as practicable after giving an initial notice in relation to the work;

(b)before or as soon as practicable after giving an amendment notice in relation to the work;

(c)before giving a plans certificate (whether or not combined with an initial notice); and

(d)before giving a final certificate.

(3) An [F35approver] who is required by paragraph (2) to consult the sewerage undertaker shall give to the sewerage undertaker—

(a)in a case where the [F35approver] is consulting them in connection with an initial notice or an amendment notice, sufficient plans to show whether the work would, if carried out in accordance with those plans, comply with the applicable requirements of paragraph H4 of Schedule 1 to the Principal Regulations; and

(b)in a case where the [F35approver] is consulting them in connection with the giving of a plans certificate, a copy of the plans in relation to which the [F35approver] intends to give the certificate.

(4) An [F35approver] who is required by paragraph (2) to consult the sewerage undertaker—

(a)shall have regard to any views they express; and

(b)shall not give a plans certificate or a final certificate until 15 days have elapsed from the date on which the [F35approver] consulted them, unless they have expressed their views to the [F35approver] before the expiry of that period.

Form, grounds and period for rejecting plans certificateE+W

14.—(1) The prescribed form of a plans certificate M4—

(a)which is not combined with an initial notice, shall be [F36Form 3(W)] in Schedule 1; or

(b)which is combined with an initial notice, shall be [F32Form 4(W)] in Schedule 1.

(2) The grounds on which a local authority shall reject a plans certificate which is not combined with an initial notice are those prescribed in Schedule 3.

(3) The grounds on which a local authority shall reject a plans certificate combined with an initial notice are those prescribed in Schedule 2 and Schedule 3.

(4) The period within which a local authority may give notice of rejection of a plans certificate (whether or not combined with an initial notice) is five days beginning on the day on which the certificate is given.

Effect of plans certificateE+W

15.  If an initial notice ceases to be in force as described in section 47(4)(b) of the Act (cancellation etc. of initial notice) and the conditions in section 53(2) of the Act (plans certificate given, accepted and not rescinded) are satisfied, the local authority may not—

(a)give a notice under section 36(1) of the Act (removal or alteration of work which contravenes building regulations); or

(b)institute proceedings under section 35 of the Act for a contravention of building regulations;

in relation to any work described in the certificate which has been carried out in accordance with the plans to which the certificate relates.

Form, grounds and period for rejecting final certificateE+W

16.—(1) The prescribed form of a final certificateM5 shall be [F37Form 5(W)] in Schedule 1 and the grounds on which a local authority shall reject a final certificate are those prescribed in Schedule 4.

(2) The period within which a local authority may give notice of rejection of a final certificate is ten days beginning with the day on which the certificate is given.

[F38(3) A final certificate given by an [F39approver] to a local authority in accordance with these Regulations shall be evidence (but not conclusive evidence) that the requirements specified in the certificate have been complied with.]

[F40Form of rejection notice and form of notice under section 51C of the ActE+W

16A.—(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) 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.]

Notice before starting work and further notice when work is “commenced” etc. E+W

F116B.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Lapse of initial notice: commencement of work E+W

F116C.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Notification of dutyholders E+W

F116D.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Compliance declarations E+W

F116E.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Events causing initial notice to cease to be in forceE+W

17.—(1) Where a final certificate given in respect of work described in an initial notice is rejected, the initial notice shall cease to be in force in relation to the work described in the final certificate on the expiry of a period of four weeks beginning with the date on which notice of rejection is given.

(2) Paragraph (3) applies where work described in an initial notice includes the erection, extension or material alteration of a building, and—

(a)the building or, as the case may be, the extension or any part of the building which has been materially altered is occupied, and

(b)no final certificate is given.

(3) The initial notice shall cease to be in force in relation to the building, extension or part of a building which is occupied—

(a)if the building is a relevant building as defined by regulation 12(6)(a), except where it contains only flats and common parts for those flats, on the expiry of a period of four weeks beginning with the date of occupation; and

(b)in any other case, on the expiry of a period of eight weeks beginning with the date of occupation.

(4) Where work described in an initial notice involves a material change of use of a building, and—

(a)no final certificate is given, and

(b)that change of use takes place,

the initial notice shall cease to be in force in relation to that change of use on the expiry of a period of eight weeks beginning with the date on which the change of use takes place.

(5) In any other case where no final certificate is given, an initial notice ceases to be in force on the expiry of a period of eight weeks beginning with the date on which the work described in the initial notice is substantially completed.

(6) An initial notice shall not cease to be in force by virtue of paragraphs (2) and (3) because part of a building or extension is occupied if a final certificate has been accepted in respect of that part.

(7) A local authority may extend any period referred to in this regulation either before or after its expiry.

Cancellation of initial noticeE+W

18.—(1) An [F41approver] who is of the opinion that any of the work described in an initial notice which has been carried out contravenes any provision of building regulations may give notice in writing to the person carrying out the work specifying—

(a)the requirement of building regulations which in the [F41approver]'s opinion has not been complied with, and

(b)the location of the work which contravenes that requirement.

(2) A notice of contravention given in accordance with paragraph (1) shall inform the person carrying out the work that if within the prescribed period that person 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 [F41approver] will cancel the initial notice.

(3) The period within which the person carrying out the work is to remedy the contravention as described in paragraph (2) is three months beginning with the day on which the notice is given.

F42(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F43(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F44(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F45(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) 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.]

[F46Cancellation of initial notice: notice of contravention of building regulationsE+W

18A.—(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) 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.]

Local authority powers in relation to partly completed workE+W

19.—(1) This paragraph applies where—

(a)any part of the work described in an initial notice has been carried out,

(b)the initial notice has ceased to be in force, by reason of regulation 17 or has been cancelled by notice under section 52 of the Act, and

(c)no other initial notice relating to that part of the work has been accepted.

(2) Where paragraph (1) applies, the owner shall—

(a)on being given reasonable notice by the local authority, provide them with—

(i)sufficient plans of the work carried out, in respect of which no final certificate has been given, to show whether any part of that work would, if carried out in accordance with the plans, contravene any provision of the Principal Regulations, and

(ii)where a plans certificate was given and not rejected in respect of any such part of the work, a copy of the plans to which it relates; and

(b)comply with any notice in writing from the local authority requiring the owner within a reasonable time to cut into, lay open or pull down so much of the work as prevents the local authority from ascertaining whether any work in relation to which there is no final certificate contravenes any requirement in the Principal Regulations.

(3) Where paragraph (1) applies and work in relation to a building has been begun but not completed, a person who intends to carry out further work in relation to the partly completed work shall give the local authority sufficient plans to show that the intended work will not contravene any requirement in the Principal Regulations, including such plans of any part of the work already carried out as may be necessary to show that the intended work can be carried out without contravening any such requirement.

(4) Plans given to a local authority in accordance with paragraph (3) are not to be regarded as plans deposited in accordance with building regulations.]

[F47Periods within which information on work to which an initial notice relates must be providedE+W

19A.—(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). 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).]