OpenLegislation

Regulation 66 Refund of levy payments: conditions E to K

Original text. Later amendments are not shown.

(1)

This regulation applies in relation to a building control application if—

(a)

the collecting authority has given a levy liability notice in relation to the building control application,

(b)

the collecting authority has given a levy payment certificate under regulation 55 in respect of the levy liability notice, and

(c)

any of conditions E to K are met.

(2)

Where this regulation applies, the named client may apply, in accordance with paragraph (12), to the collecting authority for a refund (“refund application”).

(3)

Following receipt of a refund application, if the collecting authority is satisfied that—

(a)

the requirements of paragraph (1) are met, and

(b)

the amount payable exceeds the reasonable administrative costs that would be incurred by it in making the payment,

the collecting authority must, within the refund payment period, pay to the named client an amount calculated in accordance with paragraph (11) (“refund amount”).

(4)

Condition E is that a lapse provision applies in relation to part of the building work to which the building control application relates.

(5)

Condition F is that—

(a)

the building control application referred to in paragraph (1) is an initial notice, or an updated application in relation to an initial notice,

(b)

the initial notice is cancelled under a cancellation provision, and

(c)

no final certificate has been acceptedf1 in respect of any of the building work to which the initial notice relates.

(6)

Condition G is that—

(a)

the building control application referred to in paragraph (1) is an initial notice, or an updated application in relation to an initial notice,

(b)

the initial notice is cancelled under a cancellation provision, and

(c)

a final certificate has been accepted in respect of any of the building work to which the initial notice relates.

(7)

Condition H is that—

(a)

the building control application referred to in paragraph (1) is an initial notice, or an updated application in relation to an initial notice, and

(b)

the initial notice is cancelled, wholly or partially, under section 52A of the 1984 Actf2.

(8)

Condition I is that—

(a)

a local authority was the building control authorityf3 for building work to which the building control application referred to in paragraph (1) relates, and

(b)

the regulator becomes the building control authority under section 91ZA of the 1984 Actf4 in relation to some or all of the building work to which the application relates.

(9)

Condition J is that—

(a)

the regulator was the building control authority under section 91ZB of the 1984 Act for building work to which the building control application referred to in paragraph (1) relates, and

(b)

the regulator becomes the building control authority under section 91ZA of the 1984 Act in relation to some or all of the building work to which the application relates.

(10)

Condition K is that—

(a)

the regulator was the building control authority under section 91ZA of the 1984 Act for building work to which the building control application referred to in paragraph (1) relates, and

(b)

a local authority becomes the building control authority in relation to some or all of the building work to which the application relates.

(11)

The refund amount is—

(a)

in a case to which condition E applies, an amount equal to the difference between the amount shown in the levy payment certificate referred to in paragraph (1)(b) and the new levy liability amount specified in the revised levy determination notice given under regulation 67;

(b)

in a case to which condition F applies, the amount shown in the levy payment certificate referred to in paragraph (1)(b);

(c)

in a case to which condition G applies, the amount attributable to the uncertificated work;

(d)

in a case to which condition H applies—

(i)

if the cancellation under section 52A of the 1984 Act applies to the whole of the initial notice, the amount shown in the levy payment certificate referred to in paragraph (1)(b);

(ii)

if a final certificate has been accepted in respect of some of the building work to which the initial notice relates and the cancellation under section 52A of the 1984 Act applies to the remainder of the building work described in the initial notice, the amount attributable to the uncertificated work;

(iii)

in any other case, an amount equal to the difference between the amount shown in the levy payment certificate referred to in paragraph (1)(b) and the new levy liability amount specified in the revised levy determination notice given under regulation 67;

(e)

in a case to which condition I or condition K applies—

(i)

if the local authority or, as the case may be, the regulator ceases to be the building control authority in relation to all the building work to which the building control application relates, the amount shown in the levy payment certificate referred to in paragraph (1)(b);

(ii)

if a completion certificate has been given in respect of some of the building work to which the building control application relates and the local authority or, as the case may be, the regulator ceases to be the building control authority in relation to the remainder of the building work described in the building control application, the amount attributable to the uncertificated work;

(iii)

in any other case, an amount equal to the difference between the amount shown in the levy payment certificate referred to in paragraph (1)(b) and the new levy liability amount specified in the revised levy determination notice given under regulation 67;

(f)

in a case to which condition J applies—

(i)

if the regulator ceases to be the building control authority under section 91ZB of the 1984 Act in relation to all the building work to which the building control application relates, the amount shown in the levy payment certificate referred to in paragraph (1)(b);

(ii)

if a completion certificate has been given in respect of some of the building work to which the building control application relates and the regulator ceases to be the building control authority under section 91ZB of the 1984 Act in relation to the remainder of the building work described in the building control application, the amount attributable to the uncertificated work;

(iii)

in any other case, an amount equal to the difference between the amount shown in the levy payment certificate referred to in paragraph (1)(b) and the new levy liability amount specified in the revised levy determination notice given under regulation 67.

(12)

An application under this regulation—

(a)

must be signed by the named client and given to the collecting authority,

(b)

must include—

(i)

the contact information for the named client,

(ii)

information identifying the building control application referred to in paragraph (1), the original application and all of the related variation applications relating to that application,

(iii)

information identifying any levy liability notice given in relation to that application,

(iv)

information identifying the levy payment certificate in relation to the building control application referred to in paragraph (1),

(v)

in a case to which condition E applies, information identifying the lapse provision which applies,

(vi)

in a case to which condition E applies, information identifying the part lapse work to which the refund application relates,

(vii)

in a case to which condition F or G applies, information identifying the cancellation provision which applies,

(viii)

in a case to which condition H applies, a statement identifying whether the whole, or part only, of the initial notice is affected,

(ix)

in a case to which condition F or paragraph (11)(d)(i) applies, a statement confirming that no final certificate has been accepted in relation to any of the work,

(x)

in a case to which condition G applies—

(aa)

information identifying the uncertificated work,

(bb)

information identifying each of the final certificates accepted,

(xi)

in a case to which paragraph (11)(d)(ii) applies, information identifying the uncertificated work and each of the final certificates accepted,

(xii)

in a case to which paragraph (11)(d)(iii) applies, information identifying the condition H work to which the refund application relates,

(xiii)

in a case to which condition I, condition J or condition K applies—

(aa)

where paragraph (11)(e)(i) applies, a statement explaining that the local authority or, as the case may be, the regulator has ceased to be the building control authority in relation to all the building work to which the building control application referred to in paragraph (1) relates,

(bb)

where paragraph (11)(f)(i) applies, a statement explaining that the regulator has ceased to be the building control authority under section 91ZB of the 1984 Act in relation to all the building work to which the building control application referred to in paragraph (1) relates,

(cc)

where paragraph (11)(e)(ii) or (f)(ii) applies, information identifying the uncertificated work and each of the completion certificates given, and

(dd)

where paragraph (11)(e)(iii) or (f)(iii) applies, information identifying the condition I work, condition J work or condition K work to which the refund application relates,

(xiv)

in a case to which condition E, condition G, paragraph (11)(d)(ii) or (iii), paragraph (11)(e)(ii) or (iii) or paragraph (11)(f)(ii) or (iii) applies, a statement explaining by reference to the circumstances prevailing at the relevant time—

(aa)

the floorspace information in relation to the part lapse work, uncertificated work, condition H work, condition I work, condition J work or, as the case may be, the condition K work,

(bb)

whether or not the named client in relation to the building control application referred to in paragraph (1) was an exempt person,

(cc)

whether or not any building included in the part lapse work, uncertificated work, condition H work, condition I work, condition J work or, as the case may be, the condition K work was an exempt building, and

(dd)

whether or not any dwelling included in the part lapse work, uncertificated work, condition H work, condition I work, condition J work or, as the case may be, the condition K work was subject to an exemption referred to in regulation 8(1), and

(xv)

details of a bank account, nominated by the named client, into which any refund is to be paid, and

(c)

must be accompanied by—

(i)

in a case to which condition E applies, evidence to show a lapse provision applies to the part lapse work;

(ii)

in a case to which condition F, G or H applies, evidence to show the initial notice, or, if applicable, part of it, has been cancelled or ceased to be in force;

(iii)

in a case to which condition I applies, evidence to show the regulator has become the building control authority in relation to the condition I work;

(iv)

in a case to which condition J applies, evidence to show the regulator has become the building control authority under section 91ZA of the 1984 Act in relation to the condition J work;

(v)

in a case to which condition K applies, evidence to show the local authority has become the building control authority in relation to the condition K work.

(13)

Subject to paragraph (14), the “amount attributable to the uncertificated work” is the amount given by applying the formula in regulation 16(2) in respect of each relevant residential building to which the uncertificated work relates, adding together the amounts if there is more than one building.

(14)

In determining the amount referred to in paragraph (13)—

(a)

the rules in regulations 16 to 21 are to apply in relation to the uncertificated work as if—

(i)

references in regulations 16(1), 16(4), 17(3), 18(2) and 20(2)(a) to a building to which a building control application relates were references to a building to which the uncertificated work relates;

(ii)

if the application referred to in paragraph (1) is an updated application the references in regulations 17(2)(a), 17(3), 18(2)(a), 18(3) and 18(4)(b) to the time the application was made were references to the time the original application was made;

(b)

whether or not the named client is an exempt person is to be determined by reference to the circumstances prevailing at the relevant time;

(c)

whether or not a building is an exempt building is to be determined by reference to the circumstances at the relevant time;

(d)

whether or not a dwelling is subject to an exemption referred to in regulation 8(1) is to be determined by reference to the circumstances at the relevant time;

(e)

no regard is to be had to whether the uncertificated work on its own is major residential development.

(15)

If the collecting authority is not satisfied the requirements of paragraph (1) are met, it must give a notice to the named client to that effect.

(16)

If the collecting authority considers that the information provided in relation to the refund application is not sufficient for the purposes of making a determination under this regulation—

(a)

the collecting authority may request further information from the named client for that purpose, and

(b)

the refund payment period in that case is the period of 5 weeks beginning with—

(i)

the date on which the collecting authority receives the information that the authority considers is sufficient to enable it to make the determination, or

(ii)

if later, the date the collecting authority receives bank details of the named client for the payment.

(17)

In this regulation—

  • “cancellation provision” means—

    1. (a)

      section 52 of the 1984 Act;

    2. (b)

      section 53D of the 1984 Actf5;

  • “completion certificate” means a certificate given under regulation 17(1) of the 2010 Regulations or, as the case may be, regulation 44(1) or 45(10) of the HRB Regulations;

  • “condition H work” means the part of the original work to which the cancellation under section 52A of the 1984 Act relates, where the original work means the building work described in the building control application referred to in paragraph (1);

  • “condition I work” means the part of the original work in relation to which the local authority is no longer the building control authority, where the original work means the building work described in the building control application referred to in paragraph (1);

  • “condition J work” means the part of the original work in relation to which the regulator is no longer the building control authority under section 91ZB of the 1984 Act, where the original work means the building work described in the building control application referred to in paragraph (1);

  • “condition K work” means the part of the original work in relation to which the regulator is no longer the building control authority, where the original work means the building work described in the building control application referred to in paragraph (1);

  • “floorspace information” has the meaning given in—

    1. (a)

      where the application referred to in paragraph (1) is a higher-risk building application or change control application, regulation 17B of the HRB Regulations;

    2. (b)

      where the application referred to in paragraph (1) is an application for building control approval with full plans or a section 91ZB application, regulation 16A of the 2010 Regulationsf6;

    3. (c)

      where the application referred to in paragraph (1) is an initial notice or an amendment notice, regulation 15A of the RBCA Regulations;

  • “lapse provision” means—

    1. (a)

      section 32(3) of the 1984 Act,

    2. (b)

      section 53A(3) of the 1984 Actf7;

  • “part lapse work” means the part of the original work to which a lapse provision applies, where the original work means the building work described in the building control application referred to in paragraph (1);

  • “refund payment period” is—

    1. (a)

      in a case to which condition F applies or where paragraph (11)(d)(i), (e)(i) or (f)(i) applies, 5 weeks beginning with—

      1. (i)

        the date the refund application is received by the collecting authority, or

      2. (ii)

        if later, the date the collecting authority receives bank details of the named client for the payment;

    2. (b)

      in a case to which condition G or where paragraph (11)(d)(ii), (e)(ii) or (f)(ii) applies, 2 weeks beginning with—

      1. (i)

        the date the collecting authority gives the revised levy payment certificate required under regulation 67, or

      2. (ii)

        if later, the date the collecting authority receives bank details of the named client for the payment;

    3. (c)

      in any other case, 2 weeks beginning with—

      1. (i)

        the date the collecting authority gives the revised levy determination notice required under regulation 67, or

      2. (ii)

        if later, the date the collecting authority receives bank details of the named client for the payment;

  • “relevant time” means the time which is the latest of the following—

    1. (a)

      the time the first compliant commencement notice was given in relation to building work to which the building control application referred to in paragraph (1) relates;

    2. (b)

      the time an updated application, if any, was made;

    3. (c)

      the time the most recent levy update notice, if any, was given under regulation 52(2) in relation to the building control application;

  • “uncertificated work” means the part of the original work in respect of which no final certificate has been accepted or, as the case may be, no completion certificate has been given, where the original work means the building work described in the building control application referred to in paragraph (1).

Annotations

Footnotes

f1

Section 50(5) to (7) of the 1984 Act, as applied to final certificates by section 51(2), sets out when a final certificate is accepted.

f2

Section 52A was inserted into the 1984 Act by S.I. 1996/1905 and substituted by section 46(3) of the Building Safety Act 2022.

f3

See section 121A of the 1984 Act for the definition of building control authority. Section 121A was inserted by section 32(4) of the Building Safety Act 2022.

f4

Sections 91ZA and 91ZB were inserted into the 1984 Act by section 32(3) of the Building Safety Act 2022.

f5

Section 53D was inserted into the 1984 Act by section 51(2) of the Building Safety Act 2022.

f6

Regulation 16A is inserted into the 2010 Regulations by regulation 28 of this instrument.

f7

Section 32 was substituted and section 53A was inserted into the 1984 Act by section 36 of the Building Safety Act 2022.