1.

Introduction

This paper can be considered as a manual for anyone who desires to know and understand
the step by step procedure used to acquire planning permission and building regulations approval for
a certain structure. For everyone’s information, planning permission and building control are two
different things that are required by the local government to a client, a contractor, or anyone who
wishes to either construct or make an alteration for a certain structure. To remove confusion for
anybody about these two requirements, the terms are differentiated as follows:

Planning permission. This refers to the requirement whether the proposed construction or
alteration will not be able to violate local and national policies especially with regards to the function
of the structure and its effect on the environment and surroundings.

Building Control Approval. It pertains to the requirement which determines whether the
proposed construction or alteration will be able to cover all necessary structural constraints and
aspects, or in general, it determines whether the proposed structure is compliant with the codes and
standards of construction.

2. Procedure for Planning Permission Application

Planning permission applications consists of different phases which might take time
depending on the rules set by the agencies. This requirement is necessary to maintain the beauty of
the country, making it livable and attractive to the people, economy, and environment.

2.1. Legislations and Agencies Handling the Process

The main agency that focuses on handling the process for planning permission application
is no other than the local planning authority or LPA. They will be the one to make the decision whether
the application for planning permission will be granted or not.

2.2. When is Planning Permission Necessary

For first time applicants, anyone should know that planning permission is sometimes
unnecessary but all the final decision would depend on the discretion of LPA. Building something
new, making alterations to existing buildings, and changing the functions of the buildings are those
which commonly needs planning permission. Some structures are called permitted development
rights as they have automatic permissions, thus, do not need an application for planning permission.
Examples of these are industrial warehouses, outdoor signs and advertisements, and demolition. But
then, all of these have limits and conditions therefore should still be raised to the local planning
authority (LPA).
2.3. Procedure of Application

Application for planning permission is very much convenient this time as anyone can do the
process online in their website. All necessary data for with regards to the personal data of the client
and also the location and function of the structure will be requested. The following are the documents
that are necessary for planning application

 Application forms (5 copies)

 Signed Ownership Certificate
 Site Plan, Block Plan, Elevations of both the Existing and Proposed Sites
 Design and Access Statement
 Correct Fee

After submitting these forms completely, the local planning authority will have to review it for
around 8 weeks in most cases, but takes up to 13 weeks for larger or complex structures. The
following are the things that an LPA checks in order to say that the application is fitted with the
development plan.

 External Aesthetics or Appearance of the Building including its Layout

 Proximity to Infrastructures such as Water Resource and Roads
 Function of the Structure
 Method of Construction that will be Utilized (as it may affect the surrounding areas)

2.4. Decision-Making Process for an Application

After the submission of documents, the authorities will review these and will send
clarifications to the client if they have submitted incomplete, missing, or incorrect documents. After
all documents have been arranged completely, this will be that time that the local authority would
acknowledge it as a valid application.

Thereafter, local authority will consult the neighborhoods that will be affected by the proposed
construction. This process is called as the public consultation process wherein the affected people
will be invited to see the plans and give their comments and opinion to the authorities if there are
anomalies or negative comments. The authority will also consider consultations to the department of
local highways, and also to the Environment Agency and other agencies if necessary. This will take
3 to 8 weeks from the completion of requirements for application, but would still vary depending on
the size of the project. The remaining time will then be the period of discussion and decision-making
with regards to the proposed structure which may result to the following decisions.
 a. Permission refused. This means that the applications is not denied by the local
authorities.
b. Application not decided in 8 weeks. This means that the time interval was not enough
for the decision-making process therefore would be extended depending on what the
local authorities would ask for.
c. Permission granted with conditions. This means that the planning permission is granted
to the client but then there are conditions that must be followed or implemented for it to
be granted fully.
d. Permission granted. This is the best case wherein the application of planning permission
for proposed structure is fully granted.

2.5. Procedure for Raising an Appeal

When a certain planning permission is refused, the local authorities provide the main reasons
why they disapproved it. Therefore, the client will have a choice whether to amend and resubmit or
make an appeal. If the client chooses to the first option, he is required to amend the former plans of
the structure based on the details provided by the local authority. He can then resubmit it and will
start over again with the application. But then if the client chooses the latter, which is applying for an
appeal to the planning inspectorate, he will have to go over a new process.

Appeals take a long time because it involves hearing and procedures for inquiry that are
being taken into consideration during the whole process. In average, it is said that householder
appeals would most likely have a time interval of 7 weeks, while planning appeals would take in
between 19 and 38 weeks, which are to be decided. Then, another six weeks are added for the delay.
Three kinds of planning appeal are used which are the written representations, which takes 25 weeks,
hearings, which takes 42 weeks, and inquiries, which takes 36 weeks, considering that all time
intervals are in average. The following are the four appeal stages that for the written representations
and hearing that will happen.

 Receipt of Validation. Once the submitted appeal to the planning inspectorate was received,
checking will be done in order to validate it. This stage commonly takes one to two weeks
provided that all the documents are submitted.
 Validation to Start. After validating the appeal, a suitable inspector will be chosen to decide
for the appeal. The time interval would depend on the type of appeal and the type of
procedure.
 Start to Event. After identifying the inspector, a timetable will be given to the client which
includes the deadlines for submission of support documents and representations. Site
investigations, inquiry, and a hearing will be held by the inspector during this stage.
 Event to Decision. Based on the submitted evidences and the result of the processes, the
inspector will then decide whether to grant or refuse the planning permission.

Figure 1. A Flowchart of the Whole Planning Permission Application Process

3. Procedure for Building Control Approval Application
3.1. Legislations and Agencies Handling the Process

The agency that handles the building control approval is the building control body or BCB.
There are two types of BCBs, namely, the local authority BCBs and private BCBs. They are the ones
who are authorized to control and inspect all details prior and during the preliminary processes of a
building construction through their Approved Inspectors. They are the ones who will make decision
whether it is necessary for a client to comply with building regulations and decides whether to approve
the request.

3.2. When is Building Control Approval Necessary

Most of the time, building regulations approval are necessary if the construction is all about
new sturcture or alteration. Those construction related to plumbing services such as drainage, hot
water cylinders, etc., are also required. A work that is not covered by the building regulations does
not need an approval. Also, a project carried out by a person who is registered with a competent
person scheme does not need approval. Those people have proven their capacity to do the work as
require by the standards. Anyone should visit their BCBs in order to know if they need an approval.

3.3. Procedure of Application

The only thing that a client should do is to decide whether to do a Full Plans application,
submit a Building notice, or apply for a regularization.

Full Plans. Among the three, full plans is the most through option wherein you will submit all
the project plans to the inspector and have it checked to decide whether it fully complies with the
building regulations.

Building notice. With the building notice, anyone can start the work without prior approval but
then the builder will take full responsibility of the work that’s why he should ensure that it fully complies
with the building regulations. It is most commonly used for smaller projects. Anyone who submitted
their building notice to BCBs can start the work after 2 days.

Regularization. This is a retrospective approval most likely for works that are already done
but without consent from a local authority BCB.

3.4. Decision-Making Process for Building Control Approval

The next step after choosing the type of application is the inspection process which has too
many stages. Every stage is necessary because the work cannot proceed without the approval of the
inspector. The main inspection stages are listed as follows which is done especially on newly built
structures.

 Excavations for Foundations

 Concrete Foundation
 Oversite
 Damp-Proof Course
 Foul Water Drains Trenches Open
 Surface Water Drains Trenches Open
 Occupation Prior to Completion
 Completion

After the completion of a building and having passed with all inspection stages, a Completion
Certificate will be issued to the client. It is a very important document together with the written
planning permission.

3.5. Procedure for Raising an Appeal

For building regulations approval, there are two types of appeal that one can raise to the
local authorities. The first one is an appeal if someone thinks that they don’t have to comply with the
building regulations. The action to be taken is to ask for a determination if the client thinks that BCB
has made an unfair or incorrect decision. The second thing is when the BCB refuses the approval for
the building regulations. Like to latter one, a determination can be asked by the client if the BCBs
decided that the project plans do not comply with the building regulations.

The procedure for an appeal constitutes of 2 stages. First things is to make an application to
the local authority to either relax or dispense considering any particular requirement with regards to
the building regulations. If the local authority is not affirmative with this application, anyone can use
their right of appeal to the Secretary of State for Communities and Local Government.

3.6. Application of Building Regulations to Low-Rise and High-Rise Buildings

For common residential buildings, the local authority has their checklist of the things that they
need to look at for a certain project application. One good example of a case study with regarding an
appeal made by a client to the local authority is about an additional storey and other internal
alterations to a 4-storey house. The full appeal and decision is given in the appendix.

In this case study, the building work was carried out through a building notice given to the
local Council. Through the site inspection stage, the inspector has decided that there must be a
removal of an enclosure which will prejudice the means of escape for those who will use the building.
With this, the client made an appeal to the case and his reason is that the appellant is keen to maintain
the open nature of a particular landing. Unfortunately, a dispensation that she applied was refused
by the council. She then made an appeal to the Secretary of the State. After thoroughly understanding
the case, the Secretary of the State has decided to dismiss the appeal due to the fact that if a fire
happens to the building, the enclosure would definitely block the means of escape.

The way that the decisions are made are very organized because enough reasons and
decisions are given to the appellant as to why the appeal was refused or dismissed. The written
documents would make someone realize a just and honest decision by the governing agencies.

4. Author’s Evaluation of the Processes

Although it is quite tedious to go over with these processes, these permissions and
regulations are very much vital for the country in order to maintain peace and order of the people and
the environment. It acts like a supreme court or justice when it comes to the building planning and
construction sector. And what is the best is that they require this prior to construction, thus, anyone
can do revisions for the plans easily as recommended. It will have a very big impact to the people
and their neighborhood as they talk about the best way to get a project done.

References

Government Digital Service. (2015, September 28). Planning permission. Retrieved from
https://www.gov.uk/planning-permission-england-wales.

Lloyd, C. (2019, October 25). Planning Permission: The Complete Guide. Retrieved from
https://www.homebuilding.co.uk/planning-permission/.
 Appendix

DATE: 23/3/07 REF:

45/3/182

BUILDING ACT 1984 - SECTION 39

APPEAL AGAINST REFUSAL BY THE BOROUGH COUNCIL TO DISPENSE WITH

REQUIREMENT B1 (“MEANS OF WARNING AND ESCAPE”) OF THE BUILDING
REGULATIONS 2000 (AS AMENDED) IN RESPECT OF COMPLETED BUILDING WORK,
COMPRISING AN ADDITIONAL STOREY AND OTHER INTERNAL ALTERATIONS TO A
FOUR STOREY HOUSE

The building work and appeal

3. The papers submitted indicate that the building to which this appeal relates is now a five
storey house (four existing and one new storey), which was originally built in the 1950s and has
a plan area of approximately 6m x 12.5m at ground floor level.

4. The building work in question is complete and comprised the provision of a new en-suite
bedroom and terrace at the roof level of the building to create a new third floor (fifth storey),
together with other internal alterations. You have provided the following details of the layout of
the floors within the house and the alterations carried out:

(I) LOWER GROUND FLOOR LEVEL [FIRST STOREY]

This configuration remains unchanged but a new fire door has been installed
at the head of the stair to the upper level. There is also an exit at lower
ground floor level to a well at the front of the building and up steps to ground
level, which remains unaltered. The utility area has been fitted with a 30
minute fire door. Cupboards in the corridor to the exit door to the front of the
building are fire rated and locked closed.

(II) GROUND FLOOR LEVEL [SECOND STOREY]

There is access to the ground floor from the lower ground floor via a stairway
set below the main stair. This access has been maintained and, as indicated
above, a new fire door has been installed to this opening. There is also
access into the adjoining garage and the door to the garage has been
upgraded to a 30 minute fire door. The main exit door to the building
discharges to the front of the house.

(III) FIRST FLOOR LEVEL [THIRD STOREY]

 Walls enclosing the kitchen and drawing room have been reconstructed to
provide more light penetration into the stairway area. The glazing is fire-
resisting and new 30 minute fire doors have been provided. A library and
computer area near the stairway have been removed and the area has been
opened out to make a wider landing for the purpose of receiving guests
before they go into the drawing room.

(IV) SECOND FLOOR AND NEW THIRD FLOOR LEVELS [FOURTH AND FIFTH
STOREYS]

The arrangement on the second floor has been left generally as existing
with bedrooms and en-suite bathrooms. A new stairway has been
introduced from the second floor landing to the new third floor bedroom that
opens onto a roof terrace and across adjoining roofs to a place of safety.
The stairway is protected with 30 minute fire doors and enclosure.

(V) THROUGHOUT THE HOUSE

A heat and smoke detection and alarm system has been installed
throughout the house including the extended first floor landing area. Fire
doors to the stairway have been installed and the new stair enclosure at
second floor level is fire resisting construction. A secondary means of
escape is provided at roof level leading to an adjacent building.

5. The building work carried out was the subject of a building notice which was given to the
Council on 25 October 2004. Following a subsequent site inspection of the work, the Council
indicated that – following the removal of an enclosure (which the Council has annotated “A” on a
copy of drawing no 638/P5) - the extended landing area on the first floor of the house was likely
to be used for habitable purposes, thus prejudicing the means of escape. As your client was keen
to maintain the open nature of the landing, she applied for a dispensation of Requirement B1 of
the Building Regulations which was refused by the Council on 8 March 2006. It is against this
refusal that you have appealed to the Secretary of State.

THE APPELLANT’S CASE

6. You state the following to support your view that the extended landing area at first floor
level is not prejudicial to the means of escape and that reasonable and appropriate measures
have been taken to provide an adequate means of escape through the building:

(i) The house is a robust construction of brickwork and concrete.

(ii) The risk of fire in the fabric and surface finishes is negligible. Walls and ceilings are
finished with plaster applied direct to the fabric of the building ensuring that there
are no fire 'flash over' voids or areas for fire and smoke to permeate through the
building. This renders the building fabric incombustible and the finishes to walls and
ceilings class "0" surface spread of flame rated, thus substantially reducing the risk
of fire break-out and spread in accordance with paragraph 7.1 and Table 10 in
Approved Document B 2000 (NB: all references in this letter to Approved Document
B (AD B) “Fire safety” are to the 2000 edition with 2000 & 2002 amendments).

(iii) The extended landing area is not significant to, and will not prejudice, the means of
escape. It is to be used as a wide circulation area between the kitchen and
dining/reception room in order to make the space flow better between these rooms
and to provide a greeting space for guests outside the reception room. Both adjacent
rooms are constructed with 30 minute fire-resisting walls and self-closing doors and
are protected with a smoke alarm system.

(iv) The extended landing area is fully protected with a smoke alarm system. Each storey
level and each habitable space, including the stairway within that storey level, is
protected with a smoke detector. Sounders are located at storey levels and are part
of a monitored, fully maintained inter-linked approved system with eight hour battery
back-up to provide protection throughout the house, giving confidence in the
installation and running of the system, in accordance with AD B, paragraph 0.20.
The area in question is protected with an optical detector system as recommended
in BS 5446: Part 1 (referenced in AD B, paragraph 1.4) to avoid "invisible smoke"
triggering false alarms, thus providing enhanced confidence in the long term
suitability of the system.

(v) The smoke alarm system is equipped with 102Db sounders. One sounder is located
at second floor level in the stairway.

(vi) The primary vertical means of escape from the upper floors is downwards to ground
floor level with the final exit at ground level via the front door. All doors onto the
stairway are 30 minute fire- resisting and self-closing.
 (vii) The doors to the rooms off the stairway landing in question are glazed with
appropriate fire rated glass so that there is a visual connection to the stair area from
these adjoining rooms. In accordance with paragraph 2.7 of AD B the kitchen on the
first floor can be treated as an inner room. The kitchen is provided with self- closing
fire rated doors and a smoke detection system. The other room at the floor level of
the area annotated "A" in the Council's submission, has a secondary means of
escape opening that complies with the exit requirements in paragraph 2.11, AD B
for emergency egress provision.

(viii) Paragraph 2.14 in AD B requires that an alternative escape route should be provided
for each storey situated 7.5m or more above ground level. An alternative escape
route, as described in the AD B, is provided at each level.

(ix) The fire rated enclosure to the stair to the third floor level provides the enclosure for
the alternative means of escape to a place of safety. The third floor is the only
significant floor level in the house in respect of paragraph 2.14 in AD B.

(x) The alternative protected means of escape is provided up to roof terrace level and
across adjoining properties to a place of safety. This provision is a significant
alternative means of escape if required, and is written into the deeds of the adjoining
properties that constitute the terrace on this side of the street. This provides a
relevant, strategic, additional means of escape in accordance with paragraph
B1.xi.a. in AD B.

(xi) The means of escape from the second floor level also complies with the guidance in
AD B even though the floor level is not above the 7.5m cut off.

(xii) The building is residential and therefore there is a high level of familiarity with the
configuration of the house and the means of escape routes.

THE COUNCIL’S CASE

7. The Council has stated the following in support of its case for refusing to dispense with
Requirement B1 in this case:

(i) The building work was subject to the guidance in paragraph 2.14 of AD B.

(ii) The Council’s outline vetting letter dated 1 November 2004 (a copy of which you
have submitted) was based on drawings submitted to the Council (copies of which
the Council has submitted).
 (iii) In the event, the Council was satisfied that all the provisions required by paragraph
2.14 in AD B were adequately satisfied except that the enclosure annotated “A” on
the first floor drawing (no 638/P5) was removed.

(iv) It is the Council’s contention that the area in question on the first floor is of such a
size as to render it likely to be used for habitable purposes. In this particular case
due to the location of the kitchen it would seem to be an ideal dining area.

(v) As a habitable area it has the potential to compromise the protected route required
by paragraph 2.14 in AD B should there be an incident.

THE SECRETARY OF STATE’S CONSIDERATION

8. The Secretary of State takes the view that there are two matters to be considered in this
case following the completion of the building work in question: whether or not the extended first
floor area adjacent to the stair is a landing to be used for circulation purposes, or is a space likely
to be regularly used for habitable purposes by the current or future occupants; and thus what
potential fire risk this would present.

9. There is no definitive way of deciding if an area will be used for circulation or for the
purposes or a habitable room. However, some guidance can be taken from the scale of the
building; the number of rooms; the usability of the space; and the number and position of the
doors which open off the area.

10. In this case the extended landing area in question has a floor area of approximately 12m²,
according to the drawings submitted. It has a similar floor area to that of the adjoining kitchen and
the arrangement of doors is such that there is room for furniture, such as a dining table, without
obstructing movement between rooms. In addition, you have stated that the kitchen on the first
floor can be treated as an inner room – if the landing area is not a habitable room, then it would
not be necessary to treat the kitchen as an inner room.

11. The Secretary of State considers that it is a reasonable assumption, therefore, that the
extended first floor area in question is likely to be used as more than a landing and, as such, could
present a fire risk similar to that presented by a habitable room. Having established that this area
should be regarded as a habitable space, it is now necessary to consider the implications of this
on the means of escape.
 12. Where a house has a floor that is over 7.5m above ground level, the guidance within AD B
(paragraph 2.14) recommends an alternative means of escape for each storey above this height, which is
to reduce the risk of people becoming trapped in the upper storeys. In this case, only the new third floor is
subject to this provision and the Council has accepted that the roof terrace means of escape is adequate
for this purpose.

13. You have argued that the roof terrace escape provides a robust alternative means of escape thus
rendering the extended un-protected area at first floor level irrelevant in terms of the means of escape from
the building. However, this escape route can only be reached by the occupants of the floors other than the
third floor by first passing through the main stairway. As such a fire within the stairway enclosure at first
floor level or above would render the roof terrace escape inaccessable and the roof escape would therefore
only be of benefit to the occupants of the third floor.

14. The lower ground floor does have the option of an exit direct to outside through the well at the front
of the building or up the stair to the ground floor. This stairway is separated from the ground floor with a
30 minute fire door. However, the remaining storeys of the house, from ground floor up to and including
the second floor, rely on the main stairway as the only route of escape and do not have access to an
adequate alternative.

15. The Secretary of State therefore concludes that the extended first floor area in question would
constitute a habitable space and that if a fire were to start in this area it could jeopodise the means of
escape for the occupants of the ground, first and second floors of the house. Accordingly, although she
has noted the additional fire safety precautions you have taken, she considers that the means of escape
from the building is not adequate and that there are no extenuating circumstances which would justify a
dispensation of Requirement B1 of the Building Regulations in this case.

THE SECRETARY OF STATE’S DECISION

16. The Secretary of State considers that compliance with Requirement B1 is a life safety matter and,
as such, she would not normally consider it appropriate to either relax or dispense with it, except in
exceptional circumstances. Within this context, in coming to her decision, as indicated above she has
given careful consideration to the particular circumstances of this case and the arguments presented by
both parties.

17. As stated in paragraph 15 above, the Secretary of State has concluded that it would not be
appropriate to dispense with Requirement B1 (“Means of warning and escape”) of Schedule 1 to the
Building Regulations 2000 (as amended) in this case. Accordingly, she dismisses your appeal.