Legal and Regulatory Compliance (Level 1) Flashcards
Where does the Town and Country Planning Act (1990) cover and what is its’ purpose?
TCPA (1990) covers the UK
- States the policies and general proposals for the development and other use of land in its’ area
- Provides the framework for local plans
Where does the NPPF cover and what is its’ purpose?
NPPF covers England
- Sets out the government’s economic, environmental, and social planning policies for England
What are the upcoming changes to the NPPF from the consultations in 2023?
- Removal of LPAs requirement to continually demonstrate 5 year land supply for housing providing its requirement in its strategic policies is less than 5 years old
- Changes to test of soundness for development plans
Specific reference to older persons housing to be included in LPAs establishing the need for housing - Greater protection of Green Belt
Where does the London Plan (2021) cover and what is its’ purpose?
- Covers the GLA
- Sets out spatial development strategy for Greater London
- Framework for how London will develop over the next 20-25 years
What does the Land Compensation Act (1973) set out?
The land compensation act covers the following:
- claims for compensation for diminution in value caused to the property from physical factors brought about by the use or altered public works
- the powers for mitigating such effects
- to amend the law relating to compulsory purchase and planning blight
What does the Land Compensation Act (1961) cover?
The act sets out assessment of compensation in relation to compulsory acquisitions, the withdrawal of notices to treat and payment of additional compensation in connection with these situations
What are the key principles of land compensation (1961)?
Land Compensation Act (1961) sets out the following rules for assessing compensation in respect of compulsory purchase acquisitions:
- No allowance shall be made on the account of the acquisition being compulsory
- The value of the land is to be considered the open market value
- The special suitability or adaptability of the land for any purpose shall not be taken into account if that purpose is a purpose to which it could be applied only in pursuance of statutory -powers, or for which there is no market apart from the special needs of a particular purchaser
- If the value of the land is increased by any reason restricted by law that the uplift in value will not be considered
- Where the land is being used in a manner where there is no general market demand the compensation may be assessed based on the reasonable cost of equivalent reinstatement
- The open market value of the land will not influence the assessment of compensation for disturbance
Tell me about health & safety legislation relating to development projects
- Construction Design and Management (CDM) Regulations (2015)
- Building Regulations (2022)
- Fire Safety Act (2021)
- Building Safety Act (2022)
Tell me about disability legislation relating to development projects.
Equality Act (2010)
- legally protects people from discrimination in the workplace and in wider society
Building Regulations (2022)
- Part M of Building Regulations sets out minimum requirements to ensure that a broad range of people are able to access and use facilities within buildings
Tell me about construction legislation relating to development projects.
Building Act (1984)
- purpose is to secure the health, safety, welfare and convenience of persons in or about buildings and of others who may be affected by buildings or matters connected with buildings
Health and Safety at Work Act (1974)
- Sets out that ‘Duty is owed to every employer to ensure so far as reasonably predictable, the health and safety of all employees’
- The act is policed and enforced by the Health and Safety Executive
What is an Environment Impact Assessment?
Environment Impact Assessment – a tool used to assess the significant effects of a project or development on the environment
EIAs make sure that project decision makers think about the likely effects on the environment at the earliest possible time and aim to avoid, reduce or offset those effects.
What is a Strategic Environment Assessment?
Strategic Environment Assessment - is a systematic process for evaluating the environmental implications of a proposed policy, plan or programme and provides means for looking at cumulative effects and appropriately address them at the earliest stage of decision making
Tell me briefly about the statutory control of building works
The key pieces of statutory control of building works are planning policy and building regulations
Building Regulations Approval - covers the structural, safety and accessibility aspects of development and progress throughout the construction
When you make a building regulations application you are seeking to have the details of your development checked and approved for compliance with the standards of construction
What is the difference between planning permission and building control?
Planning permission is assessing whether the development fits in with local and national polices and the local neighbourhood
Building control covers the structural, safety and accessibility aspects of development
Tell me about your understanding of current building regulations.
Building Regulations (2022)
Purpose – protect people’s safety, health and welfare in and around buildings
Enforced by the local planning/building authority.
What are the different parts of Building Regulations?
They are split into the following parts:
Part A - Structure
Part B - Fire Safety
Part C - Site preparation and resistance to contaminants and moisture
Part D - Toxic Substances
Part E - Resistance to the passage of sount
Part F - Ventilation
Part G - Sanitation, hot water safety and water efficiency
Part H - Drainage and Waste Disposal
Part J - Combustion appliances and fuel storage systems
Part K - Protection from falling, collision and impact
Part L - Conservation of fuel and power
Part M - Access to and use of buildings
Part N - Glazing Safety (Withdrawn)
Part O - Overheating
Part P - Electrical Safety
Part Q - Security
Part R - Physical infrastructure for high-speed electronic communications networks
Part S – Infrastructure for the charging of electric vehicles
Regulation 7 - Materials and workmanship
What enforcement controls exist on unauthorised building works?
Unauthorised building works are works carried out that do not comply with Building Regulations – known as a CONTRAVENTION
A failure to comply with building regulations or gain the necessary approvals will result in the issuing of an enforcement notice and legal action
If prosecuted, you could be faced with a fine of up to £5,000, plus £50 for each day after the conviction that the work is not put right, as well as the cost of correcting the works
What is Part L of the Building Regulations?
Part L of the Building Regulations – Conservation of Fuel and Power
- contains current and future guidance covering the energy efficiency requirements - includes information about limiting heat gains and losses, air permeability and pressure testing, insulation regulations, boiler productivity, lighting, and storage techniques for hot water
What changes to the Approved Documents (Building Regulations) apply from June 2022?
Changes to Building Regulations came into effect 15 June 2022 - The changes follow the Government’s response to the Future Homes Standard consultation and are part of the plan to move to net zero by 2050
Changes were made to:
- Part F – Ventilation
- Part L – Conservation to Fuel and Power
- Part O – Overheating
- Part S – Infrastructure for the charging of electric vehicles
Key Changes Include:
- New build homes will need to produce at least 31% less carbon emissions
- New non-domestic builds will need to produce at least 27% less carbon emissions
- Introduction of Part O – introduces glazing limits
- Introduction of Part S - requires all domestic new builds to have the preparatory work completed for future installation of an electric vehicle charging point
How do transitional arrangements work when the Building Regulations are amended?
Transitional Provisions - the “Transitional Provisions” come into force 15th June 2022, that is to say projects where a building regulations application has been made before this date will benefit from the old regulations, provided a “start on site” for that particular building is made before 14th June 2023.
What is the Equality Act 2010 and how does it impact upon your scope of practice?
Equality Act (2010)
- legally protects people from discrimination in the workplace and in wider society
It means that all buildings constructed must ensure that a broad range of people are able to access and use facilities within buildings (covered under Part M of building regulations)
Talk me through the requirements of the Modern Slavery Act 2015.
There are two main parts to the requirements of the Modern Slavery Act.
- Take action to identify, prevent and mitigate modern slavery in your operations and supply chains.
- Publish an annual statement to report on these actions – within six months of your company’s financial year-end.
What are the objectives of the Modern Slavery Act (2015)?
Objectives
- Give law enforcement the tools to fight modern slavery
- Ensure perpetrators can receive suitably severe punishments
- Enhance support and protection for victims
Talk me through your understanding of contract principles in respect of valuation terms of engagement
The 3 key components to make a legally binding contract are offer, acceptance and consideration
To set these out in the terms of engagement you must
- Offer – set out the scope of services being provided
- Acceptance – receive signature from both parties entering into the contract
- Consideration – set out the agreed fees for the services
Talk me through your understanding of contamination and the polluter pays principle.
The ‘polluter pays’ principle is the commonly accepted practice that those who produce pollution should bear the costs of managing it to prevent damage to human health or the environment
Talk me through your understanding of the Environmental Protection Act 1990.
Environmental Protection Act (1990)
- Protects the environment from pollution and its’ effects
imposes duties under on certain landowners and occupiers to keep specified land clear of litter and refuse, and on local authorities and the Secretary of State to keep clean public highways for which they are responsible
Talk me through the key principles of NPPF
National Planning Policy Framework (NPPF) – Only covers England
Sets out the government’s economic, environmental, and social planning policies for England
Key aim of the NPPF is ‘presumption in favour of sustainable development’
The 12 core planning principles within the NPPF are:
- Plan led - empowering local communities.
- Creatively find ways to enhance and improve places where people live.
- Support economic development - objectively identify and meet development needs.
- Secure high quality design.
- Promote vitality of urban areas, protect greenbelt, recognise special character and beauty of country side and support thriving rural communities.
- Support the transition to a low-carbon future.
- Conserve and enhance the natural environment.
- Encourage the re-use of previously developed land.
- Promote mixed use developments.
- Conserve heritage assets “in a manner appropriate to their significance”.
- Manage patterns of growth to make full use of public transport, walking and cycling.
- Take account of local strategies to improve health, social, and cultural well being
When was the NPPF last updated and what key changes were made?
NPPF was last revised July 2021 the key changes were:
- Emphasis on design and quality
- Improvements to environmental and social aspects being integrated rather than encouraged
- Requirements to create beautiful and safe spaces
Who regulates the financial sector in the UK?
The Financial Conduct Authority (FCA) regulates the financial services industry in the UK.
Its role includes protecting consumers, keeping the industry stable, and promoting healthy competition between financial service providers.
What is the difference between contract and tort law?
Contract Law
- the rights and obligations are created by the acts of agreement between the parties to the contractual arrangement
Tort Law
- In tort, the rights and obligations are created by the courts applying common law, fallen into three distinct categories:
- Negligence
- Nuisance
- Trespass
What duties of care do each place on you?
Contract law - the duty of care will be set out in the contract
Tort law - a duty of care is a legal obligation that is imposed on an individual, requiring adherence to a standard of reasonable care to avoid careless acts that could foreseeably harm others, and lead to claim in negligence
What is the Localism Act 2011?
Localism Act (2011)
- The Localism Act contains a wide range of measures to devolve more powers to councils and neighbourhoods and give local communities greater control over local decisions like housing and planning
What is Permitted Development (PD)?
Permitted Development - Permitted development rights are your protected rights as a property owner to change the use or extend your property without the need for prior consent from your local council
E.g – provision of pet enclosures or sheds, gates walls and fences (no more than 2m high), exterior painting, temporary structures for no more than 28 days
Explain what you understand by the planning use classes
All buildings fall under a use class as per the Town and Country Planning (Use Classes) Order 1987 – applies to UK!
- Use Class E (as amended) was introduced on 1st September 2020 – Commercial, business and service – CONVENIENCE STORE
- Use Class B2 – General Industrial
- Use Class B8 – Storage and Distribution
- Use Class C3 – Residential (dwelling house)
- Sui Generis – Student accommodation and hot food takeaway
When were the Use Class Orders last amended and what changes were made?
- Last amended September 2020
- Removal of Use Classes; A, B1, D1
- Introduction of Use Class E - encompasses commercial, business and service
- Introduction of Use Class F1 and F2 - apply to learning and non-residential institutions and local community use
What legislation governs the procurement of public contracts?
Public Contracts Regulation (2015):
- Ensures that public contracts are awarded fairly, transparently and without discrimination or corruption
- Governs public procurement in England, Wales and Northern Ireland
- It applies to the award of certain contracts by ‘contracting authorities’ – basically any public body
- The regulations apply to contracts of a value over c. £5,340,000 for works contracts
It means ‘contracting parties’ must:
- Advertise the contract by means of the publication of a
contract notice on Find a Tender (FTS)
- Ensure that all interested parties have the legal, financial, and technical standing to deliver the project
- Evaluate the tenders submitted on the basis of pre-disclosed objective award criteria
- Notify the contract award decision to all economic operators expressed interest
-Observe the standstill period of a minimum of 10 days, during which time the contract cannot be concluded
Tell me about a current piece of case law you are aware of relating to your role
Armstrong v Secretary of State [2023]
- The case involved a site in Cornwall that had been granted full planning permission for the “construction of one dwelling”
- One of the conditions attached to the planning permission required the development to be carried out in accordance with approved drawings
- The claimant made a S73 application to substitute the drawings completely changing the form and style of the proposed house
- S73 application (minor material amendment) was refused by the planning inspector – arguing that the change would result in the development being materially different to the previous approval referring to the Planning Practice Guidance
- High Court rules that the planning inspector had misdirected himself by making the decision based on PPG as this is not planning legislation and that given that it was only a single dwelling that was approved there would be no change to the “basic principle” of the approved development
Relevant to my role:
- Highlighting that Planning Practice Guidance should not be considered planning law
- A minor material amendment application should be granted assuming there is no change to the “basic principle” of the approved development – regardless of form or structure
Tell me about a current appeal/representation you are aware of relating to your role.
LB Hillingdon v Mayor of London
- LB Hillingdon commenced judicial review proceedings on the decision made by the Mayor of London to grant the permission for a 514 unit residential development up to 11 storeys in height
The grounds for Judicial Review brought by LB Hillingdon were:
- Misinterpretation of Policy D9 of the London Plan - tall buildings were to be assessed for policy compliance against the criteria in Part C
High Court ruled in favour of the Mayor of London
Implications as to the application of Policy D9 – Tall Buildings
- The upshot is that tall building proposals do not necessarily have to be located within defined tall building zones in Local Plans, and can be acceptable where they result in public benefit and are in accordance with the development plan as a whole
- Proposals for tall buildings outside identified zones should not be considered in a vacuum and should have regard to all parts of policy D9.
Tell me about your understanding of the law relating to conservation areas.
Conservation Areas and Listed Buildings
Key Legislation - Planning (Listed Buildings and Conservation Areas) Act (1990)
- provides specific protection for buildings and areas of special architectural or historic interest
- S69 of the act requires LPAs to determine which parts of their areas possess special architectural or historic interest and to designate them as conservation areas
- S71 of the act requires LPAs to formulate and publish proposals for the preservation and enhancement of conservation areas
- There are also specific planning permissions for listed buildings – Listed Building Consents
Tell me about your understanding of the law relating to planning policy
Planning Policy
Key Legislation - Town and Country Planning Act (1990) – Covers the UK
- States the policies and general proposals for the development and other use of land in its’ area
- Provides the framework for local plans
Important Sections
- Section 78 – Sets out the planning appeal process
- Section 106 – Sets out planning obligations (S106 agreements)
- Section 70 – Enables the local planning authority in granting planning permission to impose planning conditions
How and when can a LPA enforce planning obligations?
- A LPA can enforce planning obligations through enforcement action when there is deemed to be a breach of planning control
A breach of planning control is either of the following:
- the carrying out of development without the required planning permission; or
- failing to comply with any condition or limitation subject to which planning permission has been granted
What forms of enforcement action can the council apply?
Enforcement Action can be the following;
- Invite a Retrospective Planning Application – no assumption it will be granted
- Issue a Planning Contravention Notice – the recipient must respond constructively as to how they will remedy the planning breach, recipients must respond within 21 days
- Issue an Enforcement Notice – outlines to the recipient what the planning breach is and what steps the planning authority require to be taken
Injunction - Issue an injunction to restrain a breach of planning control.
- The most serious enforcement action that a local planning authority can take.
- If a person fails to comply with an injunction they can be committed to prison for contempt of court.
For a substantial breach of a s106 agreement Newham LBC v Ali (2014) ruled that an injunction is the only appropriate remedy and a proven breach should be ruled in favour of injunction
Tell me about your understanding of the law relating to S106 agreements
S106 Agreements
Definition - a legal agreement between Local Authorities and developers; these are linked to planning permissions and can also be known as planning obligations
Key Legislation – Town and Country Planning Act (1990)
What are the tests for S106 agreements?
Tests for a S106 Agreements:
A 106 obligation must be:
- Necessary to make the development acceptable in planning terms
- Directly related to the development
- Fairly and reasonably related in scale and kind to the development
Are s106 agreements legally binding?
S106 Agreements are legally binding on the land and run with the land
Can you vary or amend a S106 Agreement?
You can vary a S106 agreement in two ways either a) by agreement or b) by application
By Agreement
- A S106 agreement can be modified or discharged by agreement (at any time) between the appropriate authority and the person or persons against whom it is enforceable
The parties will have to enter into a deed of variation
By Application
- An application for modification of s106 agreement can be made to the local planning authority after the expiry of the ‘relevant period’, and the “relevant period” is defined as five years since the beginning with the date that the s106 agreement is entered
- it avoids the requirement for all parties to the agreement to sign a deed of variation
What are the penalties for non-compliance with S106 agreement?
Penalties for Non-Compliance with S106 Agreement
- Injunction – LPA can apply to the court for an injunction to force the obligations to be complied with - Failure to comply with an injunction can lead to an unlimited fine and/or imprisonment
- LPA Enters the Land to Complete the works – this will likely only be the case if there is a time pressure for certain works to be completed
- Place a local land charge on the land which is binding on the successive owners
Tell me about your understanding of the law relating to CIL?
Key Legislation – Planning Act (2008), Community Infrastructure Levy Regulations (2010)
CIL is a planning charge introduced as a tool for LPAs to help deliver infrastructure and support to the development of an area
What can CIL be spent on?
Outlined in S216 of the Planning Act (2008) CIL can be spent on:
- Roads and transport facilities
- Flood defences
- Schools
- Medical facilities
- Sporting and recreational facilities
- Open spaces
CIL money cannot be used to fund affordable housing, but it can support affordable housing by providing other infrastructure on site.
What are the penalties for non-compliance with CIL?
- Late or Non-Payment Interest - Failure to pay CIL on time will result in the imposition of late payment interest by the Council at 2.5 percentage points above the Bank of England base rate starting on the day payment was due and ending on the day the unpaid amount is received (Regulation 87).
- CIL Stop Notice - A CIL Stop Notice prohibits development from continuing until the full CIL payment is made. Continuing to develop in the presence of such a notice is a criminal offence, punishable by potentially unlimited fines
- Asset Seizure - If you fail to pay CIL the Council may apply for a Liability Order and seek a Court’s consent to seize and sell your assets to recover the money due
- Committal to prison
What is a listed building?
Listed Building - a listed building is a marked building with special architectural and historic interest, brought under the consideration of the planning system, so that it can be protected for future generations.
What is a conservation area?
Conservation Area - an area of special architectural or historic interest, the character of which it is desirable to preserve or enhance
Explain what information you would find held on BCIS.
BCIS = Building Cost Information Service
BCIS the leading provider of cost and price information to the construction industry and anyone else who needs comprehensive, accurate and independent data
The data is broken down into 5 areas
- Construction
- Maintenance
- Rebuilding
- Consultancy
- Insurance
In development I use BCIS All-In Tender Price Index - measure the trend of contractors’ pricing levels in accepted tenders at commit to construct, i.e. cost to client, in the previous quarter
What is the New Homes Quality Code?
The New Homes Quality Board (NHQB) is an independent not-for-profit body which was established for the purposes of developing a new framework to oversee reforms in the build quality of new homes and the customer service provided by developers
Not mandatory but majority of major housebuilders have signed up
What time limits relate to enforcement of Building Regulations?
Enforcement Notices (have to rectify or even remove the work which is in breach of building regulations)
- Enforcement notice cannot be served more than 12 months after the building work is completed
Prosecution is possible up to two years after the completion of the offending work.
An injunction can be sought at any time after the carrying out of the works if they are deemed to be dangerous
What is the 4 year rule in relation to to enforcement of planning breaches?
4 Year Rule
- Operational Development - in the case of building, engineering, mining or other operations, enforcement action must be commenced within four years of substantial completion of the development
- Material Change of Use - in the case of the change of use of a building to a use as a single dwelling house, enforcement action must be taken within four years beginning with the date of the breach of planning control
What is the 10 year rule in relation to to enforcement of planning breaches?
10 Year Rule
- Any other breach of planning control (including planning conditions) - enforcement action must be taken within 10 years beginning with the date of the breach
What is the role of the Building Safety Regulator?
The Building Safety Act (2022) names the Health and Safety Executive as the new building safety regulator in England
Building Safety Regulator has 3 main functions:
- Overseeing the safety and standards of all buildings
- Helping and encouraging the built environment industry and building control professionals to improve their competence
- Leading implementation of the new regulatory framework for high-rise buildings
Explain your understanding of the Building Safety Act 2022
Building Safety Act (2022)
- Sets out safety requirements for landlords of higher-risk buildings.
- Higher-risk buildings are: at least 18m or 7 storeys high, with 2 or more residential units
Explain how the ‘statutory waterfall’ will work in relation to remediation costs for historic fire safety defects for buildings over 11m tall
For the remediation costs of relevant defects following the act
A ‘waterfall’ approach is taken to liability – developers pay first, then manufacturers, then freeholders and then leaseholders last.
How has the Building Safety Act 2022 extended the limitation period for claims brought under S1 of the Defective Premises Act 1972?
Claims under the Defective Premises Act:
- The Defective Premises Act enables claims to be made for defective work relating to the construction of dwellings where the work renders the dwelling unfit for habitation. The limitation period (deadline) for claims brought under the Defective Premises Act is extended from 6 years to 15 years for new claims.
What is a high risk building defined as under the Building Safety Act 2022?
High Risk Building under Building Safety Act = at least 18m or 7 storeys high, with 2 or more residential units
Who is the accountable person and what is their duties, under the Building Safety Act 2022?
The accountable person is in practical terms, any landlord or freeholder in charge of repairing either part or all of the common parts of any high-risk building
The Accountable Person is required to assess all building and safety risks in an occupied HRB and take all reasonable steps to prevent such risks materialising and to minimise their impact if the risks do in fact occur
The Accountable Person has the following responsibilities:
- Register the HRBs and apply for a building assessment certificate;
- Conduct an assessment of fire and structural safety risks and keep under review;
- Prepare the safety case report;
- Comply with mandatory occurrence reporting requirements;
- Prepare a Resident’s Engagement Strategy and keep under review; and
- Keep and update prescribed information about the buildings.
What is nuisance?
Nuisance - defined as a matter which is an unreasonable and substantial interference on the use and enjoyment of a person’s property
What are the requirements to take action for a nuisance claim?
To prove a nuisance has occurred (or is occurring) the following must be present:
- Continuous interference;
- Unlawful or unreasonable interference;
- Interference of the use or enjoyment of land or some right over it.
What is unreasonable interference defined as in relation to nuisance?
Unreasonable Interference - use of land or property in a way which would foreseeably interfere with the claimant’s quiet enjoyment of their own land
Explain your understanding of the Fraud Act 2006.
Fraud Act (2006)
- provides for a general offence of fraud with three ways of committing it, which are by false representation, by failing to disclose information and by abuse of position
What are bye laws?
Governing rules and principles of an organisation that allow it to regulate itself
What is delegated legislation?
Delegated or secondary legislation allows the Government to make changes to a law without needing to push through a completely new Act of Parliament.
What is a statutory instrument?
A form of legislation which allow the provisions of an Act of Parliament to be subsequently brought into force or altered without Parliament having to pass a new Act
Explain the key differences between civil, common and criminal law.
Criminal Law - Criminal law has the ultimate aim of maintaining the stability of the state and society
Common Law - this is ‘judge-made law’- laws based on precedent and tradition. When deciding on the legality of a case, judges will use previous decisions on similar cases- these are examples of common law
Civil Law - civil law aims to deal with disputes between individuals or organisations
What is the role of caselaw in the legal system?
Case law is sometimes referred to as judge made law. In common law systems, it refers to the law that has been established by following decisions made by judges in earlier cases - legal precedents
What happened in the Fearn and others v The Board of Trustees of the Tate Gallery relating to private nuisance?
It held that the viewing platform allowed Tate Modern visitors to cause a nuisance to the adjacent flat owners. Following an assessment of the scope of private nuisance, the court highlighted that nuisance can be caused by any means: there is no limit to what can constitute a nuisance