PastPaperHero | Core principles of planning law

Learning Outcomes

This article explains the core principles of building regulations control in planning and property law, including:

The statutory framework governing building regulations and how it differs from planning control
The types of works that usually require building regulations approval and those that may be exempt
The main approval routes, including local authority full plans applications, building notices, and the use of registered building control approvers
The operation and evidential value of competent person schemes and self-certification certificates
Local authority inspection, certification, and enforcement mechanisms, with key statutory time limits and available remedies
Common problem areas such as conservatories, loft conversions, replacement windows, heating systems, and electrical works
The impact of non-compliance on conveyancing transactions, including regularisation, indemnity insurance, and assessing lender and buyer risk

SQE2 Syllabus

For SQE2, you are required to understand building regulations control and its practical implications in property transactions and development scenarios, with a focus on the following syllabus points:

The statutory framework: Building Act 1984 and Building Regulations 2010 (Approved Documents guidance)
The distinction between building regulations and planning permission
Works requiring building regulations approval (including internal works and changes of use)
Approval routes: local authority building control (full plans vs building notice) and registered building control approvers (formerly approved inspectors)
Competent person schemes and self-certification (e.g., FENSA, Gas Safe, NICEIC/NAPIT)
Inspections, stages of work, and the certification process (completion certificate/final certificate)
Regularisation certificates for retrospective compliance
Enforcement powers under the Building Act 1984 (s.36 remedial notices, s.35 prosecution, and injunctions)
Key time limits (12 months for s.36 notices; two years for s.35 prosecution; injunctions without time limit) and remedies
Conveyancing consequences of non-compliance, lender considerations, retentions, and indemnity insurance
Interaction with planning control and private title restrictions (restrictive covenants), keeping regimes distinct in analysis

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

Which works typically require building regulations approval?
1. Internal repainting
2. Loft conversions
3. Electrical rewiring
4. All of the above
True or false? Building regulations approval is usually needed even if separate planning permission is not required.
What is the usual statutory time limit for a local authority to serve an enforcement notice for breach of building regulations?
What is a building control completion certificate and why is it important in conveyancing transactions?

Introduction

Building regulations control ensures that construction work meets minimum standards for health, safety, energy efficiency, and accessibility. Unlike planning permission, which addresses the broader use and external appearance of land and buildings, building regulations apply to the technical construction and internal alterations of buildings. Local authorities (building control) or registered building control approvers carry out checks, inspect works, and certify compliance.

The principal legislation is the Building Act 1984 and the Building Regulations 2010. Practical compliance is measured against the Approved Documents (for example Part A Structure, Part B Fire Safety, Part F Ventilation, Part L Energy, Part M Access, Part K Protection from falling, Part P Electrical safety, and others), which provide guidance on meeting the functional requirements.

Key Term: building regulations
Minimum statutory standards that must be met for the construction, alteration, or extension of buildings, regulating matters such as structure, fire safety, energy efficiency, and accessibility.

Building regulations versus planning permission

Building works often require both planning permission and building regulations approval. These are distinct legal requirements. Some works may need one but not the other. For instance, internal structural changes generally do not constitute “development” for planning purposes but are likely to need building regulations approval. Conversely, works that are permitted development under planning law (e.g., certain small extensions) still need to comply with building regulations.

Do not confuse planning enforcement time limits with building regulations enforcement. Planning enforcement typically has four- and ten-year limits, whereas building regulations enforcement is governed by different statutory timeframes and mechanisms under the Building Act 1984.

Key Term: building regulations approval
The formal confirmation that proposed works meet the relevant building regulations, granted by a local authority or a registered building control approver before works commence (unless using a competent person scheme).

What types of works require building regulations approval?

Most new building works and many alterations or extensions require approval. This includes:

Erection of new dwellings or commercial buildings
Extensions (e.g., rear, side, loft conversions)
Structural alterations (e.g., removal of load-bearing walls; installation of RSJs/steels)
Installation or replacement of heating systems (e.g., boilers, flues, solid-fuel appliances)
New or replacement electrical wiring or consumer units (domestic electrical work in dwellings is regulated under Part P)
Drainage, new sanitary facilities, and significant plumbing alterations (beyond like-for-like fixture swaps)
Replacement windows and doors (thermal performance, safety glazing, ventilation)
Re-roofing or replacement roofs (structure, insulation, fire performance)
Certain changes of use (e.g., converting a garage to living space; office-to-residential conversions may trigger building regulations even if planning is permitted)
Non-domestic fit-outs affecting structure, fire safety, means of escape, or services

Some minor works, such as like-for-like internal decoration or small repairs, are exempt. Specific exemptions may apply to small conservatories and porches connected to a dwelling where:

The floor area is less than 30 square metres
The conservatory/porch is thermally separated from the dwelling (external standard doors/windows and walls remain in place)
The space has independent heating (not extending the dwelling’s heating system) Even then, replacement glazing must still comply with safety and energy standards, and any electrical installations will require appropriate approval or certification.

Application and certification procedure

Before work starts, approval must be obtained. Two main routes exist:

Full plans application: Detailed drawings/specifications submitted to the local authority. Plans are assessed against the regulations; approval typically lapses if work does not commence within three years. This route offers design certainty and is expected for more complex or commercial projects.
Building notice: Simplified procedure for certain domestic works. The notice is lodged at least 48 hours before commencement, but it is not available for all work types (e.g., works involving a public sewer or higher-risk/commercial buildings) and provides less upfront certainty than full plans.

A third route uses a private-sector regulator:

Registered building control approver (formerly “approved inspector”): The approver gives an initial notice to the local authority and then inspects and oversees compliance. On satisfactory completion, a final certificate is issued. If the initial notice is withdrawn or cancelled mid-project, control “reverts” to the local authority.

Building control officers or inspectors will visit at prescribed stages: foundations, damp proof course, drainage, structural elements (steels), insulation and fire precautions, roof structure, and final completion. On satisfactory completion, a building control completion certificate (local authority route) or a final certificate (approver route) is issued and should be retained.

Key Term: completion certificate
The official document issued by a local authority confirming completed works comply with building regulations, usually required during property sales or refinancing.

Key Term: final certificate
The document issued by a registered building control approver confirming that the works described in the initial notice have been completed and the functions of building control have been fulfilled.

Key Term: registered building control approver
A private-sector building control body registered to carry out building control functions and issue a final certificate, operating alongside local authority building control.

Competent person schemes allow certain specialist contractors to self-certify their work and notify the local authority:

FENSA or CERTASS for replacement windows/doors
Gas Safe for gas installations and boilers
HETAS for solid-fuel appliances
NICEIC or NAPIT for domestic electrical work under Part P Where used, the installer issues a self-certification certificate and the scheme notifies the local authority.

Key Term: competent person scheme
A regulatory scheme enabling qualified trades to self-certify compliance for defined work types and notify the local authority, producing a certificate acceptable in conveyancing.

Key Term: initial notice
The notice submitted by a registered building control approver to the local authority before work begins, confirming that the approver will undertake building control functions on the project.

Worked Example 1.1

Sophie replaces the windows in her flat with new double-glazed units. She did not make any application before starting. At sale, the purchaser's solicitor requests a certificate that the work complies with building regulations. What should Sophie do?

Answer:
Replacement windows require building regulations approval. If none was obtained, Sophie may need to obtain a regularisation certificate from the council or, if the installation was carried out by a competent installer, provide evidence of self-certification (e.g., FENSA or CERTASS certificate) to satisfy the buyer and lender.

Non-compliance and local authority enforcement

Failure to obtain approval is a statutory breach. Local authorities have various enforcement powers under the Building Act 1984:

Serve enforcement notices requiring remedial work (s.36). The authority may also carry out remedial works itself and recover the costs if the recipient fails to comply.
Bring legal proceedings (prosecution) in the magistrates’ court (s.35) for contravention of the regulations, with an unlimited fine; proceedings must be brought within two years of completion of the offending work.
In urgent or safety-critical cases, seek a court injunction without time limit (e.g., to secure alteration or removal where the building presents risks).

Inspections or surveys may reveal unsafe work (e.g., non-compliant structural support or inadequate fire separation). In such cases, even if standard time limits have passed, the authority or other persons may still seek injunctive relief, and dangerous structure powers may apply in parallel.

Key Term: regularisation certificate
Retrospective approval issued by a local authority to confirm unauthorised works comply with building regulations after inspection and any remedial action. It is not guaranteed; opening-up works and corrections may be required, and fees apply.

Key time limits:

s.36 enforcement notices: generally within 12 months of completion of unauthorised work
s.35 prosecution: within two years of completion
Injunctions: no statutory time limit where expedient (for safety or serious non-compliance)

Exam Warning

Building regulations enforcement proceedings are independent of planning enforcement time limits. Answers must specify the building regulations regime and do not confuse these with planning control powers.

Worked Example 1.2

A developer constructs a rear extension to a house. Fourteen months later, the council discovers the extension lacks building regulations approval. What enforcement action can be taken?

Answer:
The council may not serve an enforcement notice under s.36 as more than 12 months have passed since completion. However, the council may still prosecute within two years under s.35 if the extension contravenes the regulations and, if it is structurally unsafe or otherwise poses risks, seek an injunction to require alteration or removal.

Worked Example 1.3

A homeowner added a small conservatory (20 m²) three years ago and extended the central heating into the conservatory. No building control was notified. The same owner replaced the roof covering last year.

Answer:
The conservatory could be exempt from full building regulations only if it is thermally separated and has independent heating. Extending the dwelling’s heating system likely removes the exemption, so building regulations approval should have been obtained. Replacement roof works may also require approval depending on structural and insulation changes. The council cannot serve a s.36 notice now for the conservatory (12 months passed), but prosecution for the roof works could be possible if within two years and the work breaches the regulations. If safety issues arise, an injunction remains available without time limit. Regularisation may be sought for the conservatory if feasible.

Worked Example 1.4

A leaseholder removed a load-bearing wall to create an open-plan kitchen living room. The work is internal, and no planning application was made. There is no completion certificate.

Answer:
Internal structural work requires building regulations approval even if planning permission is not needed. Evidence of compliance will be necessary on sale (completion certificate or regularisation). Additionally, if the property is leasehold, consent under the lease (alterations covenants) may have been required; private covenants and building regulations are separate issues, both needing compliance.

Seller obligations and conveyancing consequences

Conveyancers and buyer's lenders will insist on clear evidence that works comply with building regulations. Absence of a valid completion or regularisation certificate can:

Delay or derail transactions
Lead to retention of funds pending resolution
Necessitate obtaining indemnity insurance (which does not cover personal injury/business loss and may be unavailable if the local authority is contacted)
Prompt requests for seller undertakings to obtain regularisation before completion (if feasible)

Typical checks include:

Reviewing the property information form and replies to enquiries for disclosed alterations
Analysing local search results: the CON29 enquiries may reveal building control records, completion certificates, or ongoing enforcement (LLC1 will not ordinarily show building regulation entries)
Cross-checking dates of works against enforcement time limits
Confirming competent person scheme certificates where applicable and ensuring they match the address and installation dates
Advising a survey where structural works were undertaken without documentation, due to potential safety and cost risks

Where documentation is missing and works are historic (outside direct enforcement notice time limits), indemnity insurance may be appropriate. Caution: contacting the council can prejudice cover; assess first whether regularisation is realistically achievable and whether the buyer/lender will accept indemnity instead.

Revision Tip

Always advise clients to retain all completion certificates and check whether recent works have the correct building regulations approvals before exchange of contracts. Where evidence is missing, consider whether regularisation is possible and obtain lender consent to any agreed solution (undertaking, retention, or indemnity insurance), avoiding contact with the council until the course of action is agreed.

Summary

Building regulations approval is a separate requirement from planning permission and often needed even for internal or minor works; compliance is assessed under the Building Act 1984 and Building Regulations 2010 (with Approved Documents guidance).
Most alterations, extensions, and significant repairs require approval and subsequent certification; many common domestic works can use competent person schemes.
Approval routes include local authority full plans or building notice and the private route via a registered building control approver (using an initial notice and final certificate).
Not obtaining approval and certification can lead to enforcement (usually within 12 months for s.36 notices, two years for prosecution), and safety-related injunctions may be sought at any time. Regularisation may be available for retrospective compliance.
Documentation is in conveyancing; absence of certificates can delay or prevent sales and often requires regularisation, lender retentions, or indemnity insurance (which will not cover injury or business losses).
Keep planning law, building regulations, and private title restrictions separate in analysis; each regime has distinct approvals and enforcement mechanisms.

Key Point Checklist

This article has covered the following key knowledge points:

Building regulations control is distinct from planning permission and must be considered separately in every transaction.
Approval is required before starting most construction, extension, or alteration works, with limited exemptions (e.g., small thermally separated conservatories with independent heating).
Approval routes: local authority full plans or building notice, and registered building control approvers (initial notice/final certificate); most schemes require completion within three years of approval.
Competent person schemes allow self-certification for certain trades (e.g., FENSA/CERTASS, Gas Safe, NICEIC/NAPIT).
Works must be inspected and a completion certificate (local authority) or final certificate (approver) issued, which is key evidence for conveyancing.
Local authorities can serve s.36 enforcement notices within 12 months and prosecute under s.35 within two years; injunctions may be pursued at any time where expedient.
Regularisation certificates provide retrospective compliance where feasible; opening-up and remedial works may be necessary.
Absence of approval/certification may delay or prevent sales and is not fully covered by indemnity insurance; contacting the council can prejudice insurance availability.
Planning control and private title restrictions (e.g., lease covenants, restrictive covenants) are separate from building regulations and must each be checked.

Key Terms and Concepts

building regulations
building regulations approval
completion certificate
final certificate
registered building control approver
initial notice
competent person scheme
regularisation certificate

Core principles of planning law - Building regulations contr...