Section 3: Advice for developers of residential buildings

This section is for anyone developing new residential dwellings or purpose-built student accommodation. New residential development may attract a levy charge.

Chapter 6: Introduction

When submitting an application for building control approval for works which relate to the provision of one or more new dwellings or one or more new bedspaces of PBSA, it must be considered whether the works meet the levy charging conditions set out in regulation 15 (as discussed in chapter 3). If the works do meet the levy charging conditions, information will need to be provided and a levy charge must be paid.

If the works do not meet the levy charging conditions, information will need to be provided to allow the local authority acting as collecting authority to verify this. This includes where all proposed new dwellings are intended to be used for an exempt use (see regulation 8 and chapter 3.5). This section outlines the process for both levy chargeable and non-chargeable works.

Any applications for building control approval for works which do not relate to the provision of dwellings or bedspaces in PBSA, are not liable for the levy and are not required to provide levy information. This includes work to improve or extend a property where no new dwellings or bedspaces in purpose-built student accommodation are provided. This also includes works involving buildings which are exempt under Schedule 1 (as discussed in chapter 3.5).

This section also describes the levy process appropriate to the chosen building control approval route - either through the local authority (chapter 7), a private sector RBCA (chapter 8), or the Building Safety Regulator (chapter 9).

Chapter 7: Local authority building control route

7.1 Submitting an application for building control approval with full plans

When submitting an application for building control approval with full plans to the local authority for works which relate to the provision of one or more new dwellings or one or more bedspaces in PBSA (under regulation 14 of the 2010 Regulations), initial levy information will need to be provided. The information required is set out in regulation 14(1)(g) 2010 Regulations (and discussed in chapter 11.1). For applications for building control approval with full plans proceeding under the regulator’s notice route (a s91ZB application), please refer to chapter 9 (Building Safety Regulator route) below.

Note: the local authority can reject an application for building control approval with full plans if this information is not included (regulation 14A 2010 Regulations). The client may appeal the rejection (see chapter 14).

7.2 Commencement notices

When submitting the first commencement notice to the local authority (under regulation 16(3C) of the 2010 Regulations), further information to allow the collecting authority to calculate the levy charge (if any) must be provided. This information is set out at regulation 16(3CA) of the 2010 Regulations.

If the levy charging conditions are met, the information set out at regulation 16(3CA)(a) of the 2010 Regulations (as discussed in chapter 11.2) and supporting evidence discussed in chapter 11.4 must be provided.

If the levy charging conditions are not met, the information set out at regulation 16(3CA)(b) of the 2010 Regulations (as discussed in chapter 11.3) and supporting evidence as discussed in chapter 11.4 must be provided.

The levy information given must be for all works included in the application, even where the commencement notice covers only part of the works. The levy information only needs to be included in the first commencement notice given for the application. Subsequent commencement notices for the same full plans application should confirm that levy information has already been provided.

If this information is not provided at commencement stage, there is a risk of delay to the receipt of a completion certificate. This information allows the collecting authority to assess whether the levy is due and issue the client with a levy liability notice or notice of no charge. The client will not be able to obtain a completion certificate until they have supplied the information (and supporting evidence), the collecting authority has calculated the charge and issued a levy liability notice or notice of no charge (which can take up to 8 weeks), and the client has paid any levy due.

7.3 Calculating the Levy

If the works meet the levy charging conditions (see regulation 15 as discussed in chapter 3), the collecting authority should use the levy information provided as part of the commencement notice to calculate the levy charge.

When calculating the levy charge for a development, the collecting authority must use the levy rate for its local authority area, as set out in Schedule 3. The collecting authority will also consider the principles and steps laid out in regulations 15 to 21 (as discussed in chapters 3 and 4) when calculating the levy charge.

The collecting authority will issue the client with a levy liability notice or notice of no charge within 5 weeks (or 8 weeks if a spot-check is taking place - see regulations 46 to 51 and chapter 12) from the date on which the commencement notice including levy information for all works is submitted. This period could be extended if agreed in writing by the client and collecting authority, or if further information is required (see below). If no charge is due, they will issue a notice of no charge. The notice of no charge is confirmation that there is no levy charge for the application (see regulation 40).

If a levy charge is due, the levy liability notice will state the levy charge be paid (see regulation 39).

If the collecting authority considers the information provided to be insufficient to allow them to calculate the levy charge or establish that the levy is not due, they may write to the client to request further information. In this case, the client will receive the notice of no charge or levy liability notice 5 weeks after the collecting authority receives the information requested. If a levy liability notice is issued but the client believes no levy should be due on the works, or that the amount charged is incorrect, a review of the decision by the collecting authority can be requested (see regulation 71 as discussed in chapter 14).

7.4 Paying the Levy

The Levy can be paid at any point between receiving the levy liability notice and notifying the local authority of completion, which must be done when works have been completed. The whole levy charge for the application must be paid before a completion certificate can be issued for any of the works contained within it. It is up to individual collecting authorities to decide how they will receive payment (e.g. bank transfer), and they should make it clear to the client which payment methods are available.

Once the whole levy charge for the application has been paid, a levy payment certificate from the collecting authority will be issued within 2 weeks (regulation 55). This is official confirmation that payment has been received and should be retained for client records. The requirements for the levy payment certificate are set out in regulation 56.

7.5 Changes to works

If changes are to be made to the works which require the submission of a further application for building control approval with full plans (under regulation 14 of the 2010 Regulations), updated levy information must be provided as part of the application.

What levy information must be provided depends on whether the further application is submitted before or after the first commencement notice is given for the works.

If the further application is submitted before the first commencement notice, then the information to be provided must be the same information as was provided with the original application (updated to reflect the changes made to the works). This information is set out at regulation 14(h) of the 2010 Regulations (as discussed in chapter 11.1).

If the further application is submitted after the first commencement notice, then the client will need to reconsider whether the works meet the levy charging conditions (see regulation 15 as discussed in chapter 3).

If the levy charging conditions are met, the information set out at regulation 14(h)(ii) of the 2010 Regulations (as discussed in chapter 11.2) and supporting evidence discussed in chapter 11.4 must be provided, to allow the collecting authority to recalculate the levy charge.

If the levy charging conditions are not met, the information set out at regulation 14(1)(h)(iii) (as discussed in chapter 11.3) must be provided, with the supporting evidence discussed in chapter 11.4.

The local authority must reject the further application for building control approval with full plans if the levy information discussed above is not provided (regulation 14A 2010 Regulations). If the further application is rejected, the client may appeal (see chapter 14).

If the further application is submitted after the first commencement notice, the collecting authority will recalculate the levy charge and issue a new levy liability notice or notice of no charge within 5 weeks (or 8 weeks if a spot check is taking place – see regulations 46 to 51 and chapter 12), with any amount already paid credited against the new balance. The old levy liability notice or notice of no charge will be cancelled (see regulation 43). The outstanding balance must then be paid before notification of completion (under regulation 16(4) 2010 Regulations) for any of the works contained within the application is made.

If the levy charge has decreased and the original amount has already been paid, the client will be entitled to a refund of the difference (see regulation 65 as discussed in chapter 13).

If the levy charge has decreased to zero because the levy charging conditions are no longer met, then a notice of no charge will be issued. If the original levy charge had been paid, the client will be entitled to a refund of the full levy charge (see regulation 65 as discussed in chapter 13).

For information on what happens to the levy process when a further application for building control approval with full plans is rejected please see the advice to local authorities section chapter 16.3 (which also covers successful appeals of rejections).

If certain changes are made to the works which do not require a further application for building control approval with full plans, the client may be able to submit a levy update notice (see regulation 52 as discussed in chapter 10).

7.6 Completion certificate process

The client will need to provide a “levy liability statement” when giving a notice of completion to the local authority (under regulation 16 of the 2010 Regulations) for any of the works contained within the building control approval application with full plans. This statement will need to confirm that either the levy charge has been paid in full, or a notice of no charge was issued and has not been cancelled – see regulation 16(4A)(f) of the 2010 Regulations. The levy charge for the application must have been paid in full before a completion certificate for any of the works contained within it can be issued.

The local authority building control team will check with the collecting authority team that there is no outstanding levy balance before issuing the completion certificate (see regulation 63). If there is an outstanding levy charge, this will need to be paid before the local authority can issue a completion certificate.

If the levy charge has been paid or no levy was due, the local authority can issue the completion certificate, providing that all other regulatory requirements for the works are met.

Chapter 8: RBCA route

8.1 Submitting an initial notice

If an RBCA is being used, and the works in the initial notice relate to the provision of one or more dwellings, or one or more bedspaces of PBSA, levy information must be included in the initial notice. The statutory form of initial notice has been amended to set out this information as an annex. The RBCA will send the initial notice to the local authority as usual. The information required is set out in the annex to Forms 1 and 4 in Schedule 1 to the RBCA Regulations and is discussed at chapter 11.1.

Where someone other than the client submits the initial notice, the client must provide a signed statement confirming that the levy information provided is accurate.

Note: the local authority must reject the initial notice if the required levy information is not included (regulation 6 and Schedule 2 RBCA Regulations). If the initial notice is rejected the client may appeal (see chapter 14).

8.2 Commencement notices

The first commencement notice for works that relate to the provision of dwellings, or bedspaces in PBSA must include further levy information (and supporting evidence) to allow the collecting authority to calculate the levy charge (if any). The information required is set out in regulation 15(2A) and (2B) and 15A RBCA Regulations (and is discussed in chapters 11.2 and 11.3). A copy of the commencement notice including levy information and supporting evidence must be provided to the collecting authority within 2 working days of submitting it to the RBCA (see regulation 15(2C) RBCA Regulations). The RBCA may agree that they will do this on the client’s behalf. The specific information to be provided depends on whether or not the works in the initial notice meet the levy charging conditions. To assess whether or not the works meet the levy charging conditions, please see chapter 3 and regulation 15.

If the levy charging conditions are met, the information set out at regulation 15(2A)(a) RBCA Regulations (as discussed at chapter 11.2) must be provided.

If the levy charging conditions are not met, the information set out at regulation 15(2A)(b) RBCA Regulations (as discussed at chapter 11.3) must be provided.

The levy information provided must cover all works included in the initial notice, even where the commencement notice covers only part of the works. The Levy information only needs to be included in the first commencement notice given for the initial notice. Subsequent commencement notices for the same initial notice can confirm that levy information has already been provided (and no copy of the subsequent commencement notices need be provided to the collecting authority).

If the RBCA rejects a commencement notice for works that relate to the provision of dwellings and / or bedspaces in PBSA, the RBCA will need to notify the collecting authority of such rejection within five working days of giving the rejection notice to the client (regulation 15(3A/ 3B) RBCA Regulations). The RBCA will also need to notify the collecting authority within five working days of becoming aware if the First-tier Tribunal upholds an appeal of such a rejection (regulation 15(7A)/ (7B) RBCA Regulations).

If this information is not provided at commencement stage, there is a risk of delay to the issue of a final certificate. This information allows the collecting authority to assess whether the levy is due and issue a levy liability notice or notice of no charge. In order to issue a final certificate the RBCA will need to have received confirmation from the client that the levy has been paid or a notice of no charge issued (see below). The client will not be able to give this confirmation until the collecting authority has issued a levy liability notice or a notice of no charge.

8.3 Calculating the Levy

If the works meet the levy charging conditions (see regulation 15 and as discussed in chapter 3), the collecting authority will use the levy information provided as part of the commencement notice to calculate the levy charge.

The collecting authority will issue a levy liability notice or notice of no charge within 5 weeks (or 8 weeks if a spot-check is taking place – see regulations 46 to 51 and chapter 12) from the date on which the local authority received the commencement notice including levy information (see regulation 38). This period could be extended if agreed in writing by the client and collecting authority, or if further information is required (see below). If no charge is due, this will be confirmed by the collecting authority via the issuing of a notice of no charge (see regulation 40).

If a levy charge is due, the levy liability notice will state the “levy liability amount” to be paid (see regulation 39).

A copy of the levy liability notice or notice of no charge (as applicable) will be provided to the RBCA (see regulation 37(5)).

If the collecting authority considers the information provided to be insufficient to allow them to calculate the levy charge (or establish that the levy is not due), they may request further information (see regulation 38). In this case, the period in which the collecting authority will provide the levy liability notice or notice of no charge will be 5 weeks beginning on the day they receive the requested information.

If a levy liability notice is issued but the client believes no levy should be due on the works, or that the amount charged is incorrect, a review of the decision by the collecting authority may be requested (see regulation 71 as discussed in chapter 14).

8.4 Paying the levy

The levy can be paid at any point between receiving the levy liability notice and submitting a compliance declaration to the RBCA (under regulation 18 RBCA Regulations), which the client must do when works have been completed. The whole levy charge for the initial notice must have been paid before the final certificate for any of the works contained within it can be approved by the local authority. It is up to individual collecting authorities to decide how they will receive payment (e.g. bank transfer), and they should make it clear to the client which payment methods are available.

Once the full levy charge for the works in the initial notice has been paid, a levy payment certificate will be issued by the collecting authority within 2 weeks (see regulations 55/ 56). This is official confirmation that payment has been received and should be retained for client records. A copy will be provided to the RBCA (see regulation 55(2)(b)). The requirements for the levy payment certificate are set out in regulation 56.

8.5 Changes to works

If changes are to be made to the works which require an amendment notice to be submitted, updated levy information must be provided as part of the notice, to enable the collecting authority to recalculate the levy charge. The statutory form of amendment notice has been updated to set out this information as an annex (see Form 2 in Schedule 1 to the RBCA Regulations).

The levy information that must be provided depends on whether the amendment notice is submitted before or after the first commencement notice is given for the works.

If the amendment notice is submitted before the first commencement notice, the information to be provided is the same information as was provided with the initial notice (updated to reflect the changes made to the works). This information is set out in the annex to Form 2 in Schedule 1 to the RBCA Regulations and is discussed in chapter 11.1.

If the amendment notice is submitted after the first commencement notice, then the client will need to reconsider whether the works meet the levy charging conditions (see regulation 15 as discussed in chapter 3).

If the works meet the levy charging conditions certain information set out in the annex to Form 2 in Schedule 1 to the RBCA Regulations (as discussed at chapter 11.2) and supporting evidence (as discussed at chapter 11.4) must be provided to allow the collecting authority to recalculate the levy charge.

If the levy charging conditions are not met, the information set out at chapter 11.3 and supporting evidence set out at chapter 11.4 must be provided.

The local authority must reject the amendment notice if the above information is not provided (regulation 8 and Schedule 2 to the RBCA Regulations). If the amendment notice is rejected, the client may appeal (see chapter 14).

If the amendment notice is submitted after the first commencement notice, the collecting authority will recalculate the levy charge and issue a new levy liability notice or notice of no charge within 5 weeks (or 8 weeks if a spot check is carried out), with any amount already paid credited against the new balance. The 5 or 8 week period can be extended for the same reasons as set out in chapter 8.3 above. The old levy liability notice or notice of no charge will be cancelled (see regulation 43). The outstanding balance must then be paid before the client submits a compliance declaration to the RBCA following completion of the works under regulation 18 of the RBCA Regulations for any of the works contained within the initial notice.

If the levy charge has decreased and the original amount has already been paid, a refund of the difference will be due (see regulation 65 as discussed in chapter 13).

If the levy charge has decreased to zero because the levy charging conditions are no longer met, a notice of no charge will be issued. If the original levy charge had already been paid, a refund of the full levy charge will be due (see regulation 65 as discussed in chapter 13).

For information on what happens to the levy process when an amendment notice is rejected please see the advice to local authorities section chapter 16.3 (which also covers successful appeals of rejections).

If certain changes are made to the works which do not require an amendment notice, the client might be able to submit a levy update notice (see regulation 52as discussed in chapter 10).

8.6 Final certificate process

The client will need to provide a “levy liability statement” when a compliance declaration is made to the RBCA for completion of any of the works contained within the initial notice (under regulation 18 of the RBCA Regulations). This statement must confirm that either the levy charge has been paid in full or a notice of no charge was issued and has not been cancelled – see regulation 18(1)(f) RBCA Regulations. The levy charge for all works within the initial notice must have been paid in full in order to give this statement.

The RBCA will also sign a statement on the final certificate stating that the client has made the levy liability statement (and what it confirmed – see paragraph 15 to Form 5 in Schedule 1 to the RBCA Regulations). The RBCA will then send the final certificate to the local authority for acceptance. The collecting authority will be able to confirm that the payment has been made or that no levy was due (see regulation 63). The local authority can then accept the final certificate, providing that all other building regulations requirements are met.

If the local authority establishes that the levy has not been paid in full, they will reject the final certificate within the statutory 10 working day period for rejection (regulation 13 RBCA Regulations). In this case, the levy charge must be paid in full before re-submitting a final certificate.

If the final certificate is for some but not all of the works contained within the initial notice, the client will need to have paid the whole levy charge for the initial notice before the final certificate for those works can be approved.

Chapter 9: Building Safety Regulator route

9.1 Submitting an application for building control approval or s91ZB application

When an application for building control approval is submitted to the Building Safety Regulator for works which relate to the provision of one or more dwellings, or one or more bedspaces in PBSA, the client will need to include levy information (see regulation 4(1)(f) and 12(1)(f) HRB Regulations). This also applies to s91ZB application made to the Building Safety Regulator (see regulation 14(1)(g) 2010 Regulations). The Building Safety Regulator will pass this information to the relevant collecting authority.

If a staged application is submitted for works which relate to the provision of one or more dwellings or one or more bedspaces in PBSA, levy information will need to be included for the works in that stage.

The required information is set out in regulations 4 and 12 of the HRB Regulations and regulation 14 of the 2010 Regulations for s91ZB applications and is discussed in chapter 11.1).

Note: the Building Safety Regulator can reject an application if this information is not included (regulation 14A 2010 Regulations and regulations 7 and 15 HRB Regulations). If the application is rejected this can be appealed – see chapter 14.

9.2 Commencement notices

The first commencement notice for works that relate to the provision of dwellings, or bedspaces in PBSA must include further levy information to allow the collecting authority to calculate the levy charge (if any). This information required is set out in regulation 9(3A) or regulation 17(3A) of the HRB Regulations, or, if the works are being carried out under a s91ZB application, regulation 16(3CA) of the 2010 Regulations). The Building Safety Regulator must pass on this information to the collecting authority within 10 working days of receipt. This will allow the collecting authority to calculate the levy charge (if any). What information needs to be provided depends on whether or not the works in the application meet the levy charging conditions. To assess whether or not the works meet the levy charging conditions, please see regulation 15 (as discussed in chapter 3).

If the levy charging conditions are met, the information set out at regulation 9(3A)(a) and 17(3A)(a) HRB Regulations and regulation 16(3CA)(a) 2010 Regulations (as discussed in chapter 11.2) must be provided.

If the levy charging conditions are not met, the information set out at regulation 9(3A)(b) and 17(3A)(b) HRB Regulations and regulation 16(3CA)(b) (as discussed in chapter 11.3) must be provided.

Supporting evidence (see chapter 11.4) should be provided directly to the relevant collecting authority at the same time that levy information is sent to the Building Safety Regulator as part of the commencement notice (see regulation 9(3B) and 17(3B) HRB Regulations and regulation 16(3CB) 2010 Regulations).

If the works are being carried out across more than one local authority area, the supporting evidence should be sent to each collecting authority.

The levy information given must be for all works included in the application (or staged application), even where the commencement notice covers only part of the works. The levy information only needs to be included in the first commencement notice given for the application. Subsequent commencement notices for the same application can confirm that levy information has already been provided.

If this information is not provided at commencement stage, there is a risk of delaying receipt of a completion certificate. This information allows the collecting authority to assess whether the levy is due and issue the client with a levy liability notice or notice of no charge. A completion certificate cannot be obtained until the information and supporting evidence has been supplied, the local authority has calculated the charge and issued a levy liability notice or notice of no charge (which can take up to 8 weeks), and any levy charge due has been paid.

9.3 Calculating the Levy

If the works meet the levy charging conditions (see regulation 15 as discussed in chapter 3), the collecting authority will use the levy information provided as part of the commencement notice to calculate the levy charge.

The collecting authority will issue a levy liability notice or notice of no charge within 7 weeks (or 10 weeks if a spot-check is taking place – see regulation 46 to 51 and as discussed in chapter 12) from the date on which the commencement notice including levy information is submitted (regulation 38). This period could be extended if agreed in writing by the client and collecting authority, or if further information is required (see below). If no charge is due, this will be confirmed by the collecting authority via the issuing of a notice of no charge (see regulation 40).

If a levy charge is due, the levy liability notice, will state the “levy liability amount” to be paid (see regulation 39).

If the collecting authority considers the information provided to be insufficient to allow them to calculate the levy charge (or establish that the levy is not due), they may request further information. In this case, the period in which the collecting authority will provide the levy liability notice or notice of no charge will be 5 weeks beginning on the day they receive the requested information.

If a levy liability notice is issued and the client believes no levy should be due on the works, or that the amount charged is incorrect, a review of the decision by the collecting authority can be requested (see regulation 71 as discussed in chapter 14).

9.4 Paying the Levy

The levy can be paid at any point between receiving the levy liability notice and applying for a completion certificate (under regulation 40 or 45 (for partial completion certificates) HRB Regulations), which must be done when works have been completed. The whole levy charge for the application (or staged application) must have been paid before a completion certificate for any of the works contained within it can be issued. It is up to individual collecting authorities to decide how they will receive payment (e.g. bank transfer), and they should make it clear which payment methods are available.

The collecting authority will issue a levy payment certificate within 2 weeks once the levy charge for all works in the application has been paid (regulation 55 and 56). This is official confirmation that payment has been received and should be retained for client records. The requirements for the levy payment certificate are set out in regulation 56.

9.5 Changes to works

If changes are to be made to the works which require the submission of a change control application (under regulation 21 of the HRB Regulations,) or, if the works are being carried out under a s91ZB application, requiring a further application for building control approval with full plans (under regulation 14 of the 2010 Regulations), updated levy information must be provided as part of the application.

What levy information must be provided depends whether the change control application or, if the works are being carried out under a s91ZB application, the further application for building control approval with full plans, is submitted before or after the first commencement notice is given for the works.

If the application is submitted before the first commencement notice then the information to be provided is the same information as was provided with the original application (updated to reflect the changes made to the works). This information is set out at regulations 21(2)(g) of the HRB Regulations and regulation 14(1)(h) of the 2010 Regulations (for s91ZB applications) and is discussed at chapter 11.1.

If the application is submitted after the first commencement notice, to the client must consider again if the works meet the levy charging conditions (see regulation 15 as discussed in chapter 3).

If the works meet the levy charging conditions, the information set out at regulation 21(2)(g)(ii) HRB Regulations or 14(h)(ii) 2010 Regulations for s91ZB applications (as discussed in chapter 11.2) must be provided.

If the levy charging conditions are not met the information at regulation 21(2)(g)(iii) HRB Regulations or 14(h)(iii) 2010 Regulations for s91ZB applications (as discussed in chapter 11.3) must be provided.

Supporting evidence (see chapter 11.4) should be provided directly to the relevant collecting authority at the same time that levy information is sent to the Building Safety Regulator. The collecting authority must notify the Building Safety Regulator that it has received this evidence within 10 working days.

Note: the Building Safety Regulator can reject the change control application or the further application for building control approval with full plans if either the levy information is not provided to the Building Safety Regulator, or the evidence is not provided to the collecting authority (regulation 24 HRB Regulations and regulation 14A 2010 Regulations). The rejection can be appealed – see chapter 14.

If the Building Safety Regulator rejects the change control application, or further application for building control approval with full plans, they must notify the collecting authority within 5 working days of the rejection.

If the change control application or further full plans application is submitted after the first commencement notice, the collecting authority will recalculate the levy charge and issue a new levy liability notice or notice of no charge within 7 weeks (or 10 weeks if a spot-check is taking place – see regulations 46 to 51 as discussed in chapter 12), with any amount already paid credited against the new balance.

The old levy liability notice or notice of no charge will be cancelled (regulation 43). The outstanding balance must then be paid before a completion certificate for any of the works contained within the application is applied for.

If the levy charge has decreased and the client has already paid the original amount, a refund of the difference is due (see regulation 65 as discussed in chapter 13).

If the levy charge has decreased to zero because the levy charging conditions are no longer met, the client will receive a notice of no charge. If the original levy charge has already been paid, a refund of the full levy charge is due (see regulation 65 as discussed in chapter 13).

For information on what happens to the levy process when a change control application or a further full plans application is rejected please see the advice to local authorities section chapter 16.3 (which also covers successful reviews and appeals of rejections).

If certain changes are made to the development which do not require a change control application or a further application for building control approval with full plans, the client may be able to submit a levy update notice (see regulation 52 as discussed in chapter 10).

9.6 Applying for a completion certificate

The client will need to provide a “levy liability statement” when applying for a completion certificate from the Building Safety Regulator (under regulation 40 or 45 (in the case of partial completion certificates) of the HRB regulations), or, if the works are being carried out under a s91ZB application, giving a notice of completion to the Building Safety Regulator (under regulation 16(4) of the 2010 Regulations) for any of the works contained within the building control approval application or s91ZB application. This statement will need to confirm that either the levy has been paid in full, or a notice of no charge was issued and has not been cancelled (see regulation 40(1)(g) and 45(2)(j) HRB Regulations and regulation 16 (4A) (f) of the 2010 Regulations). The levy charge for the application must have been paid in full before the client can receive a completion certificate for any of the works contained within it. If the works for which a completion certificate is applied fall under more than one staged building control approval application, the full levy charge for each of those applications must have been paid.

When applying for a completion certificate from or giving the notice of completion to the Building Safety Regulator, the client must notify the collecting authority, identifying the relevant building control approval application or s91ZB application and providing a copy of the levy statement that has been provided to the Building Safety Regulator. The client must also confirm to the Building Safety Regulator that the collecting authority has been notified (regulation 63(3)). The collecting authority will then contact the Building Safety Regulator to confirm that the levy has been paid or was not due (see regulation 63(4)).

If the collecting authority confirms to the Building Safety Regulator that there is an outstanding levy charge, this must be paid before the Building Safety Regulator can issue a completion certificate.

If the levy charge has been paid or was not due, the Building Safety Regulator can issue the completion certificate, providing that all other regulatory requirements for the works are met.

9.7 Section 30A applications (non-determination applications)

Where a building control application regarding higher-risk building work is referred to the Secretary of State under s30A of the 1984 Act, the collecting authority for the levy remains the local authority in whose area the works are being constructed.

At the point at which a building control approval application is referred to the Secretary of State, the Building Safety Regulator should have already passed any levy information included in that application to the collecting authority. If the Secretary of State subsequently rejects the application, they will notify the collecting authority of this, and the collecting authority will disregard the levy information they received for that application. If the rejection is successfully appealed, the Secretary of State will notify the collecting authority, and they will treat the levy information as reinstated (see regulation 36).

At the point at which a change control application is referred to the Secretary of State, the Building Safety Regulator should have already passed any levy information included with the change control application to the collecting authority. If the Secretary of State subsequently rejects the application, they will notify the collecting authority.

For information on what happens to the levy process when a change control application is rejected please see the advice to local authorities section chapter 16.3 (which also covers successful reviews and appeals of rejections).

At the point at which an application for a completion certificate (or partial completion certificate) is referred to the Secretary of State, the collecting authority will have already been notified that this application has been made, and provided with a copy of the statement made to the Building Safety Regulator as to whether the levy has been paid, or whether a notice of no charge was issued. The collecting authority will have already confirmed to the Building Safety Regulator the validity of the statement. The Secretary of State must ask the collecting authority to provide a copy of this confirmation (see regulation 64).

Chapter 10: Levy update notices

10.1 Levy update notices

In some limited circumstances, changes to a development which affect the levy charge can be notified to the collecting authority through a levy update notice (regulation 52). This should be sent directly to the relevant collecting authority regardless of whether local authority building control, an RBCA, or the Building Safety Regulator is used. A levy update notice may be submitted when:

The client becomes an exempt person, or
There is a new client who is an exempt person, or
the client was an exempt person, but have ceased to be so, or
There is a new client who is not an exempt person,

(see regulation 13 as discussed in chapter 1)

The proportion of exempt dwellings (see regulation 8 as discussed in chapter 3.5) that form part of the works in the application or notice has changed (e.g. there is now a greater percentage of social housing).

See regulation 52 for more details.

The requirements for levy update notices are set out in regulation 52. The levy update notice needs to contain the updated levy information to enable the collecting authority to recalculate the levy charge. The client will need to consider again whether the works meet the levy charging conditions (see chapter 3 and regulation 15).

If the works meet the levy charging conditions, the update notice will need to include the information set out at regulation 52(3) as discussed in chapter 11.2 and supporting evidence as discussed in chapter 11.4.

If the levy charging conditions are not met, the update notice will need to include the information set out at regulation 52(3) as discussed in chapter 11.3 and supporting evidence as discussed in chapter 11.4.

The collecting authority will then recalculate the levy charge and issue a revised levy determination notice (containing a new levy liability or notice of no charge) within 5 weeks (or 8 weeks if the information is selected for a spot-check). If the collecting authority considers the information provided to be insufficient to allow them to recalculate the levy charge, they may write to the client to request further information and/or evidence. In this case, the period for issuing a revised levy determination notice (containing a new levy liability or notice of no charge) begins on the day the collecting authority receives the additional information.

10.2 Other circumstances where levy charge may be revised

Other circumstances in which the client may apply to revise the levy charge are set out in regulation 54.

Chapter 11: Information and evidence requirements

11.1 Information required as part of an application for building control approval , or to reflect changes to works before commencement

The information below must be included as part of an application for building control approval, for works that relate to the provision of one or more new dwellings or one or more new bedspaces of purpose-built student accommodation.

This information must also be included if, before the submission of the first commencement notice, a variation application is submitted.

The information is:

number of dwellings that will be created (or bedspaces if the works are PBSA) by the works in the application or notice.
if permitted development rights are being used, confirmation of this and:
- confirmation that no prior approval of the local planning authority (LPA) is required, and information illustrating this (for example, information identifying which permitted development rights are used under Schedule 2 of the General Permitted Development Order 2015), or
- confirmation that prior approval of the LPA is required and has been obtained and information identifying this, or
- confirmation that prior approval of the LPA is required and an application to the LPA has been made but not yet determined, or
- confirmation that prior approval of the LPA may be required and an application has not yet been made.
if the works are being developed under a planning permission, confirmation of this and:
- confirmation the planning permission has been granted, and the planning permission reference number, or
- confirmation that planning permission has been applied for, but it has not yet been granted, in which case the planning application should also be identified, or
- confirmation that planning permission has not yet been applied for.
if the dwellings and/ or purpose-built student accommodation that are being built are part of a nationally significant infrastructure project, a statement that the development is being constructed under a Development Consent Order
a statement as to whether or not the works in the application or notice:
- are anticipated to be major residential development – that is, a development of 10 dwellings or more, or 30 or more bedspaces, if the works are PBSA, or
- form part of a wider development that is anticipated to be major residential development for which there is or is anticipated to be planning permission.
If an initial notice is given on behalf of a client, the signed statement from the client confirming that the levy information provided is accurate must be included.

The full detail of these information requirements can be found in regulations:

for applications for building control approval with full plans (including s91ZB applications): regulations 14(1)(g) and 14ZA of the 2010 Regulations.
for further applications for building control approval with full plans (for changes to the works) submitted before the first commencement notice, including s91ZB applications: regulations 14(1)(h), 14ZA and 14(6) of the 2010 Regulations.
for initial notices: the annex to the form of initial notice included at Form 1 of Schedule 1 to the RBCA Regulations.
for combined initial notices and plans certificates: the annex to the form of combined initial notice and plans certificate included at Form 4 of Schedule 1 to the RBCA Regulations.
for amendment notices submitted before the first commencement notice: paragraphs (1) and (2)(b) of the annex to the form of amendment notice included at Form 2 in Schedule 1 to the RBCA Regulations.
for building control approval applications made to the Building Safety Regulator: regulations 4(f), 12(f) and 17A of the HRB Regulations.
for change control applications submitted to the Building Safety Regulator before the first commencement notice: regulations 21(2)(g)(i), 21(2)(g)(iii) and 17A of the HRB Regulations.

In the case of a conversion/change of use of a building from a non-residential use to dwellings or purpose-built student accommodation where the works are internal only, the planning permission information or prior approval information which is provided should be the planning permission information or prior approval information for the change of use.

Where the development is carried out in phases the planning permission details provided as part of the information should be the details of the planning permission for that phase (or phases) of the development to which the works in the application or notice relate.

If the application is a building control approval application or a s91ZB application made to the Building Safety Regulator, the information will also need to include the name of the local authority area in which the works in the application are taking place (see regulation 14ZA(1)(d) of the 2010 Regulations and regulation 17A(1)(d) of the HRB Regulations). If the works in the application are taking place in more than one local authority area, the names of each of the local authority areas will need to be provided.

If the works are carried out under an initial notice, an amendment notice is submitted and a new person has become the client for the works, the amendment notice should provide details of the new client (where these have not already been notified to the local authority) (see paragraph 1(j) in the annex to the form of amendment notice included at Form 2 in Schedule 1 to the RBCA Regulations).

11.2 Information required as part of a first commencement notice, or to reflect changes to works after commencement or as part of a levy update notice, where the levy charging conditions are met

If the works in the application for building control approval meet the levy charging conditions (see regulation 15 as discussed in chapter 3), the information set out below must be included as part of the first commencement notice for those works.

This information must also be included if, after the submission of the first commencement notice, a variation application, or a levy update notice is submitted, and the works meet the levy charging conditions (see regulation 15 as discussed in chapter 3).

Planning permission information:

The client should confirm the works do not require planning permission or confirm the planning permission developing under and (if applicable) confirm the prior approval of the local planning authority has been obtained or that this is not required.

Planning information required with the first commencement notice only: if as part of the application for building control approval, it was confirmed that:
- planning permission is not required, a statement confirming that this remains the case and if it has changed setting out updated planning information,
- the dwellings and/ or purpose-built student accommodation are being built as part of a nationally significant infrastructure project, a statement confirming that this remains the case and if it has changed setting out updated planning information,
- planning permission or prior approval of the LPA had already been obtained a statement confirming that this information has already been provided (and if the planning permission has changed, details of the planning permission as updated),
- an application for planning permission had been made to the LPA but not yet determined or had not yet been made, information identifying the planning permission granted,
- or an application regarding prior approval of the LPA had been made to the LPA but not yet determined, or had not yet been made, information identifying prior approval of the LPA or confirmation that no prior approval of the LPA is required, and information illustrating this.
Planning information with the levy update notice or variation application only: either:
- confirmation that the planning information provided as part of the first commencement notice is still correct, or
- updated planning information if that has changed, or
- (variation applications only) if no planning information was provided with the first commencement notice, confirm the works do not require planning permission or confirm the planning permission developing under and (if applicable) confirm the prior approval of the local planning authority has been obtained or that this is not required.

Other levy information:

the number of dwellings that will be provided as a result of the works which are exempt dwellings (see regulation 8 and chapter 3.5),
a statement as to whether the “previous development condition” is met, that is:
- the development meets the definition of a previously developed site under regulation 21 (see chapter 4.2), or
- the planning permission for the development is granted through permitted development rights (see chapter 4.2)
for each building in the application which contains or comprises:
- dwellings that are not exempt (see regulation 8 and chapter 3.5), or
- purpose-built student accommodation, or
- exempt dwellings and communal space that is used by non-exempt dwellings in the development – see chapter 4.4),

The anticipated floorspace information upon completion of the works. This is:

the gross internal area (GIA) of each chargeable dwelling (see chapter 3.4) (GIA in accordance with the RICS Code – see regulation 12 as discussed in chapter 4.3),
the gross internal area (GIA) of any purpose-built student accommodation (GIA in accordance with the RICS Code – see regulation 12 as discussed in chapter 4.3),
the gross internal area (GIA) of each area of communal space contained within the application which will be used by residents of non-exempt dwellings or purpose-built student accommodation (N.B. the gross internal area for any communal spaces which are used exclusively by units that are not levy chargeable or any communal spaces in buildings that contain no dwellings does not need to be provided) (GIA in accordance with the RICS Code – see regulation 12 as discussed in chapter 4.3),
for each area of communal space to be used by residents contained within the application, a statement as to whether it will be used by only non-exempt dwellings or purpose-built student accommodation, or whether it will be used by both non-exempt dwellings and exempt units (dwellings and exempt units across the development as a whole should be considered when making this statement),
for each area of communal space which will be used by both non-exempt dwellings or purpose-built student accommodation and exempt areas, the gross internal area (GIA) of any levy chargeable dwellings or purpose-built student accommodation, and any non-chargeable areas/ units across the development as a whole, which will use the communal space (see chapter 4.4) (GIA in accordance with the RICS Code – see regulation 12 as discussed in chapter 4.3).
if the application or notice contains works to existing buildings containing dwellings, the above floorspace information should be provided for those buildings before the works commence, and upon the completion of the works (see chapter 4.3),
supporting evidence for all of the above information (see chapter 11.4).

Where levy information was not required at application stage (but is required at commencement notice stage) the commencement notice should also include confirmation whether the works are or form part of major residential development, the number of dwellings/ PBSA bedspaces to be provided and (where the Building Safety Regulator is the building control authority) the local authority in whose area the buildings are located.

The full detail of these information requirements can be found in regulations:

for first commencement notices relating to works carried out under an application for building control approval with full plans: regulations 16(3CA)(a) and 16A of the 2010 Regulations,
for first commencement notices relating to works carried out under an application for building control approval with full plans which are s91ZB applications: regulations 16(3CA)(a), 16(3CB) and 16A of the 2010 Regulations,
for first commencement notices relating to works carried out under an initial notice: regulations 15(2A)(a), 15(2B) and 15A of the RBCA Regulations,
for first commencement notices relating to works carried out under a building control approval application submitted to the Building Safety Regulator: regulations 9(3A)(a), 9(3B), 17(3A)(a), 17(3B) and 17B of the HRB Regulations,
for further applications for building control approval with full plans (for changes to the works) submitted after the first commencement notice (including s91ZB applications): regulations 14(1)(h)(i), 14(1)(h)(ii), 14(5), 14ZA and 16A of the 2010 Regulations,
for amendment notices submitted after the first commencement notice: paragraphs (1) and (2)(a) of the annex to the form of amendment notice included at Form 2 in Schedule 1 to the RBCA Regulations,
for change control applications submitted after the first commencement notice: regulations 21(2)(g)(i), 21(2)(g)(ii), 21(3), 21(5), 17A and 17B of the HRB Regulations,
for levy update notices: regulation 52(3).

If a variation application is submitted after the first commencement notice or a levy update notice is submitted, it may be advisable to include information identifying the notice of no charge or levy liability notice which was previously issued.

If the works are carried out under an initial notice and a new person has become the client for the works, the amendment notice, commencement notice or levy update notice should provide details of the new client (where these have not already been notified to the local authority). See paragraph 1(j) of the annex to the form of amendment notice in Form 2 in Schedule 1 to the RBCA Regulations and regulation 15(2B) of the RBCA Regulations and regulation 52(3)(d) of the Levy Regulations.

11.3 Information required as part of a first commencement notice, or to reflect changes to works after commencement or as part of a levy update notice, where the levy charging conditions are not met

If the works in the application for building control approval do not meet the levy charging conditions (see chapter 3), the information set out below should be included as part of the first commencement notice for those works.

This information should also be included if, after the submission of the first commencement notice, a variation application, or a levy update notice is submitted, and the works do not meet the levy charging conditions (see chapter 3).

Planning Permission information:

The client should confirm the works do not require planning permission or confirm the planning permission they are developing under and (if applicable) confirm the prior approval of the local planning authority has been obtained or that this is not required.

Planning information required with the first commencement notice only, if as part of the application for building control approval it was confirmed that:
- planning permission is not required, a statement confirming that this remains the case and if it has changed setting out updated planning information,
- the dwellings and/ or purpose-built student accommodation are being built as part of a nationally significant infrastructure project, a statement confirming that this remains the case and if it has changed setting out updated planning information,
- planning permission or prior approval of the LPA had already been obtained a statement confirming that this information has already been provided (and if the planning permission has changed, details of the planning permission as updated),
- an application for planning permission had been made to the LPA but not yet determined or had not yet been made, information identifying the planning permission granted,
- or an application regarding prior approval of the LPA had been made to the LPA but not yet determined, or had not yet been made, information identifying prior approval of the LPA or confirmation that no prior approval of the LPA is required, and information illustrating this.
Planning information with the levy update notice or variation application only, either:
- confirmation that the planning information provided as part of the first commencement notice is still correct, or
- updated planning information if that has changed, or
- for variation applications only, if no planning information was provided with the first commencement notice, confirm the works do not require planning permission or confirm the planning permission developing under and (if applicable) confirm the prior approval of the local planning authority has been obtained or that this is not required.

Other information/ evidence:

confirmation as to why there is no levy charge to be paid
supporting evidence to illustrate the planning information and to show that there is no charge to be paid (see chapter 11.4).

If a variation application is submitted, the following will also need to be included:

the number of dwellings (or bedspaces if the works are purpose-built student accommodation) which will be provided as a result of the works,
a statement as to whether or not the works constitute or form part of a major residential development (that is, 10 or more dwellings, or, if the works are purpose-built student accommodation, 30 or more bedspaces).

The full detail of these information requirements can be found in regulations:

for first commencement notices relating to works carried out under an application for building control approval with full plans: regulation 16(3CA)(b) of the 2010 Regulations,
for first commencement notices relating to works carried out under an application for building control approval with full plans which are s91ZB applications: regulations 16(3CA)(b) and 16(3CB) of the 2010 Regulations,
for first commencement notices relating to works carried out under an initial notice: regulations 15(2A)(b) and 15(2B) of the RBCA Regulations,
for first commencement notices relating to works carried out under a building control approval application submitted to the Building Safety Regulator: regulations 9(3A)(b), 9(3B), 17(3A)(b) and 17(3B) of the HRB Regulations,
for further applications for building control approval with full plans (for changes to the works) submitted after the first commencement notice (including s91ZB applications): regulations 14(1)(h)(i), 14(1)(h)(iii), 14ZA and 14(6) of the 2010 Regulations,
for amendment notices submitted after the first commencement notice: paragraphs (1) and (2)(b) of the annex to the form of amendment notice included at Form 2 in Schedule 1 to the RBCA Regulations,
for change control applications submitted after the first commencement notice: regulations 21(2)(g)(i), 21(2)(g)(iii), 21(4), 21(5) and 17A of the HRB Regulations,
for levy update notices: regulation 52(3) of the Levy Regulations.

If a variation application, is submitted after the first commencement notice or a levy update notice is submitted, it may be advisable to include information identifying the notice of no charge or levy liability notice which was previously issued.

11.4 Examples of evidence

When providing levy information as part of:

a commencement notice,
a variation application, submitted after the first commencement notice, or
a levy update notice,

supporting evidence will need to be provided. This chapter lists forms of evidence which could be used to support levy information.

It is the collecting authority’s role to decide whether submitted documentation is sufficient to evidence the levy information provided in each case. Collecting authorities must have regard to the information requirements set out in the Levy Regulations (Parts 6, 8 and 9), and satisfy themselves that the documentation provided is evidence to support that information. Whilst the examples listed below may be appropriate in certain scenarios, they may not be sufficient to properly evidence the information in question in all circumstances. If a collecting authority feels that the evidence is insufficient, they may write to the client to request further evidence to enable them to carry out a spot check (regulation 50).

What evidence must be provided will depend on whether the works in the application for building control approval meet the levy charging conditions (see regulation 15 as discussed in chapter 3).

Examples of evidence which may be provided if the works do not meet the levy charging conditions

The works do not constitute or form part of a major residential development

‘Major residential development’ means the creation of 10 or more new dwellings (or 30 or more bedspaces if the works are PBSA).

A copy of the written notice from the local planning authority granting planning permission, including details of any conditions forming part of the approval, which shows that the works will not result in the creation of 10 or more new dwellings (or 30 or more bedspaces if the works are PBSA), or that the works form part of a development which will not result in the creation of 10 or more new dwellings (or 30 or more bedspaces if the works are PBSA),
In circumstances where there is no planning permission associated with the works, plans of the works which demonstrate that the works do not result in the creation of 10 or more new dwellings (or 30 or more bedspaces if the works are PBSA), or form part of a development which will not result in the creation of 10 or more new dwellings (or 30 or more bedspaces if the works are PBSA).

The client is an exempt person

Client’s registration number from the list of non-profit providers of social housing registered with the Regulator of Social Housing,
Registration number of the client’s parent company from the list of non-profit providers of social housing registered with the Regulator of Social Housing (and evidence that the client is wholly owned by that parent company).

The list of providers of social housing registered with the Regulator of Social Housing includes for-profit providers. To be an exempt person under this condition, the client must be a non-profit provider of social housing.

If the client is a joint venture in which all members are exempt persons, registration numbers should be provided for all members.

The works do not result in the creation of new chargeable residential floorspace (for example, a development consisting wholly of social or supported housing)

If the works do not result in the creation of new residential floorspace because any new dwellings created will be used as social housing, one of the following may be appropriate:

A copy of the written notice from the local planning authority granting planning permission, including details of any conditions forming part of the approval which shows that the dwellings must be used as social housing which satisfies one or more of the conditions in Schedule 2 part 1,
A copy of the Section 106 agreement which shows that the dwellings must be used as social housing which satisfies one or more of the conditions in Schedule 2 Part 1,
A signed unilateral undertaking from the client to the Local Planning Authority that the dwellings will be used as social housing which satisfies one or more of the conditions in Schedule 2 part 1,
A certified copy of an exchanged contract for sale or lease for the dwellings with a registered provider of social housing specifying that the dwellings will be used as social housing which satisfies one or more of the conditions in Schedule 2 part 1.

If the works do not result in the creation of new residential floorspace because any new dwellings created will be used as supported housing, one of the below may be appropriate:

A copy of the written notice from the local planning authority granting planning permission, including details of any conditions forming part of the approval which shows that the dwellings must be used as supported housing which satisfies one or more of the conditions in Schedule 2 part 2,
A copy of the Section 106 agreement which shows that the dwellings must be used as supported housing which satisfies one or more of the conditions in Schedule 2 Part 2,
A signed unilateral undertaking from the client to the Local Planning Authority that the dwellings will be used as supported housing which satisfies one or more of the conditions in Schedule 2 part 2,
A certified copy of an exchanged contract for sale or lease for the dwellings with a registered provider of social housing specifying that the dwellings will be used as supported housing which satisfies one or more of the conditions in Schedule 2 part 2.

And one or more of the following may be appropriate to demonstrate that the organisation that is intended to provide such accommodation fulfils the definition set out in paragraph 7(2) to Schedule 2, part 2:

if a local authority, documentation demonstrating the same,
if a housing association, the registration number with the Regulator of Social Housing,
if a registered charity, the registered charity number from the Charity Commission,
if a voluntary organisation:
- the Articles of Association of the organisation, or
- The registration number from the Financial Conduct Authority’s Mutuals Public Register, or
- The registered company number from Companies House if a Community Interest Company (CIC).

If the works do not result in the creation of new residential floorspace because they concern the reconfiguration of ten or more dwellings (or 30 or more bedspaces for PBSA), one of the below may be appropriate, providing they show the proposed layout before and after any works,

A copy of the written notice from the local planning authority granting planning permission, including details of any conditions forming part of the approval, and associated approved plans which show that the works do not result in the creation of new residential floorspace,
Plans of the works which demonstrate that the works do not result in the creation of new residential floorspace.

Evidence which may be provided if the works meet the levy charging conditions

Evidence which may indicate qualification for the previous development condition

There are two different methods by which it can be demonstrated that works qualify for the previous development condition. These are if the works under the building control approval application are to be carried out on a previously developed site (see regulation 21 as discussed in chapter 4.2) or where such where planning permission for the works is granted through permitted development rights (see regulation 20(3)(a) as discussed in chapter 4.2).

a) Evidence which may indicate the previously developed site classification

One or more of the following may be appropriate to demonstrate that the works are part of a previously developed site (as defined in regulation 21 and discussed in chapter 4.2):

Photographs of the site (including aerial photographs),
Site plans.
If there have been buildings erected on the site since 1948 which are no longer present, evidence that these had been present in the past.

which demonstrate that at least 75% of the land within the planning permission redline is previously developed land (regulation 21)

b) Evidence which may indicate development under permitted development rights

The following may be appropriate to demonstrate that the works are development carried out under permitted development rights (see regulation 14ZA):

Confirmation that permitted development rights are being used and:
- confirmation that no prior approval of the local planning authority (LPA) is required, and information illustrating this (for example, information identifying which permitted development rights are used under Schedule 2 of the General Permitted Development Order 2015), or
- confirmation that prior approval of the LPA is required and has been obtained and information identifying this (e.g., decision notice).

Evidence which may support a partial social or supported housing exemption

One or more of the following may be appropriate to demonstrate social housing which is to be provided as a part of an application or notice which also contain levy chargeable works:

A copy of the written notice from the local planning authority granting planning permission, including details of any conditions forming part of the approval which shows that the dwellings must be used as social housing which satisfies one or more of the conditions in Schedule 2 part 1,
A copy of the Section 106 agreement which shows that the dwellings must be used as social housing which satisfies one or more of the conditions in Schedule 2 Part 1,
A signed unilateral undertaking from the client to the Local Planning Authority that the dwellings will be used as social housing which satisfies one or more of the conditions in Schedule 2 part 1,
A certified copy of an exchanged contract for sale or lease for the dwellings with a registered provider of social housing specifying that the dwellings will be used as social housing which satisfies one or more of the conditions in Schedule 2 part 1.

One or more of the following may be appropriate to demonstrate supported housing which is to be provided as part of an application or notice which also contain levy chargeable works:

A copy of the written notice from the local planning authority granting planning permission, including details of any conditions forming part of the approval which shows that the dwellings must be used as supported housing which satisfies one or more of the conditions in Schedule 2 part 2,
A copy of the Section 106 agreement which shows that the dwellings must be used as supported housing which satisfies one or more of the conditions in Schedule 2 part 2,
A signed unilateral undertaking from the client to the Local Planning Authority that the dwellings will be used as supported housing which satisfies one or more of the conditions in Schedule 2 part 2,
A certified copy of an exchanged contract for sale or lease for the dwellings with a registered provider of social housing specifying that the dwellings will be used as supported housing which satisfies one or more of the conditions in Schedule 2 part 2.

if a local authority, documentation demonstrating the same,
if a housing association, the registration number with the Regulator of Social Housing,
if a registered charity, the registered charity number from the Charity Commission,
if a voluntary organisation:
- the Articles of Association of the organisation, or
- The registration number from the Financial Conduct Authority’s Mutuals Public Register, or
- The registered company number from Companies House if a Community Interest Company (CIC).

Evidence which may support floorspace information

One or more of the following may be appropriate to support the floorspace information:

A copy of approved plans or drawings of the works which were approved as part of the planning permission,
A copy of plans or drawings of the works which were submitted as part of the application for building control approval.

Chapter 12: Spot checks

12.1 Being selected for a spot check

The levy information submitted may be selected by the collecting authority for a spot check to assess its accuracy and to ensure the correct levy charge is made (see regulation 46). Levy information submitted through any route may be spot checked, that is information submitted as part of a:

commencement notice,
variation application, or
levy update notice.

Levy information may be subject to a spot check regardless of which building control body is used.

If levy information is selected for a spot check, the collecting authority will notify the client as soon as practicable and specify the last date by which a spot check must be carried out. Where a spot check is carried out the period for the authority to establish if the application is chargeable and calculate the levy charge is extended from 5 to 8 weeks (from receipt of levy information and evidence) to allow additional time to carry out the check.

If levy information is selected for a spot check, the collecting authority will assess the accuracy of the information against the evidence available to them, that is, the accompanying evidence the client is required to submit, the planning permission, and other evidence the collecting authority considers relevant. If the collecting authority considers that they do not have sufficient information to carry out the spot check, they may request further information from the client. The period for carrying out the spot check and determining the levy charge is then extended to 5 weeks from receipt by the collecting authority of information it considers sufficient to carry out the spot check.

12.2 What spot checks involve

A spot check is a check of the accuracy of the building safety levy information which the client has provided. As part of a spot check, the collecting authority should review:

Supporting evidence provided by the client to accompany the levy information, which may include floorplans, photographs of the site, S106 agreements, signed agreements with registered providers of social housing,
The planning permission for the works contained in the application for building control approval,
Any other evidence that is reasonably available to the collecting authority.

We expect that as part of a spot check, the collecting authority may:

Measure floorplans submitted by the client, and/or agreed as part of the planning permission, to check the accuracy of floorspace information submitted,
Check site plans and/or photographs (and any information provided regarding development pursuant to permitted development rights) to assess whether or not the site qualifies for the lower rate for previously developed land,
Check the accuracy of the client’s application of exemptions (such as the social housing exemption) by checking social housing conditions outlined in the planning permission or s106 agreement,
Check whether the works are, or form part of, a major residential development, that is, a development for which there is planning permission for 10 or more dwellings or 30 or more bedspaces (if PBSA), by checking the planning permission.

The collecting authority is not expected to carry out a site visit in order to complete a levy spot check.

12.3 Outcome of a spot check

The collecting authority will write to the client before the end of the 8 week period for determining the levy charge, notifying the client of the outcome of the spot check. If the collecting authority believes the information provided to be accurate, they will use it to calculate the levy charge and issue the client with a levy liability notice (or a notice of no charge) before the end of the 8 week period.

If the collecting authority believes any of the information to be inaccurate, they will inform the client and outline the information which they believe to be correct. They will use the correct information to calculate the levy charge and issue the client with a levy liability notice (or a notice of no charge) before the end of the 8 week period.

If the client is not satisfied with the outcome of a spot check and the levy charge calculated as a result, the client can request a review of the amount calculated (see ‘regulation 65 as discussed in chapter 14). The client has 28 days to request a review from when the collecting authority issued the levy liability notice.

Chapter 13: Refunds

13.1 Refunds following the issue of a new (or revised) levy liability notice or notice of no charge

Under regulation 65, if the levy charge is recalculated after the client has already paid, and the levy charge has decreased, the client is entitled to a refund of the difference unless the cost to the collecting authority of administering the refund exceeds the refund amount. The recalculation may occur following:

A variation application, with accompanying levy charging information,
A submission of a levy update notice (see regulations 52 and 53),
A review of the levy charge by the collecting authority carried out under regulation 72, or,
A determination of an appeal regarding the levy charge by the First-tier Tribunal (regulation 73).

In any of these cases, the collecting authority will issue the client with a new or revised levy liability notice showing the new amount and reflecting that an overpayment has been made. Alternatively, where the charge is reduced to zero a notice of no charge will be issued. Within 2 weeks of issuing the levy liability notice or notice of no charge, the collecting authority will refund the overpayment and issue the client with a new levy payment certificate which reflects the new total levy paid (see regulation 65). Where a notice of no charge is issued a cancellation of the levy payment certificate is also issued.

If the client wishes to request a review of a levy refund decision, the client should include copies of any levy payment certificates with the request (see regulation 71 as discussed in chapter 14).

If the collecting authority does not have details of a bank account into which the refund should be paid, the client will need to provide those details. The 2 week period for making the refund payment will, in this case, begin on the date the collecting authority receives those details. Refunds are not liable for interest payments.

13.2 Refunds in other circumstances

Other circumstances in which the client may be entitled to a refund and the process which should be followed are set out in regulations 66 and 67.

Chapter 14: Reviews and Appeals

14.1 Requesting a review of a decision on levy charge or refunds

If the client receives a levy liability notice or revised levy liability notice and believes that either no levy should be charged on the works, or the levy charge is incorrect, they can request a review from the collecting authority under regulation 71. The client can also request a review of the collecting authority’s decision of whether or not to issue a refund, or the refund amount, if relevant, under regulation 71.

The client must make the review request to the collecting authority in writing no later than 28 days after the levy liability notice (or revised levy liability notice) or refund decision is given (see regulation 71(2)).

The review request must contain:

The client’s contact information,
Information identifying the relevant building control application, including any variation applications,
Information identifying the levy liability notice, revised levy liability notice or refund,
The reason the client is requesting the review,
If the request relates to a levy refund, a copy of any levy payment certificates.

(see regulation 71(3))

The review request may be accompanied by any supporting information or evidence which the client feels is relevant to a review (regulation 71(4)).

The collecting authority will carry out the review in accordance with regulation 72, within 28 days of receiving the review request. The reviewer must be someone senior to the person who originally made the decision and must not have been involved with the original decision.

Within 28 days of the review request being made, the collecting authority must contact the client to notify them of the outcome and the reasons for that decision. If the review relates to a levy charge, they will decide one of the following:

The levy liability notice is correct, in which case the original levy liability notice is still valid,
The levy liability notice is incorrect, in this case, a new levy liability notice will be calculated and issued,
No levy is due, in which case the client will be issued with a notice of no charge.

If the review relates to a levy refund, the same timescales apply, and collecting authority will decide one of the following:

The refund amount is correct,
The refund amount is incorrect, and a new refund amount will be calculated,
That no refund is owed.

14.2 Appealing the outcome of a review to the First-tier Tribunal

If a client is not satisfied with the outcome of a review, or the collecting authority fails to notify them of the outcome of the review within 28 days, they may appeal the decision to the First-tier Tribunal. An appeal must be made within 28 days of receiving the review decision, beginning the day after they receive the review decision (or beginning the day by which the collecting authority should have notified the client of the decision, but did not) – see regulation 72.

The client can appeal to the First-tier Tribunal if they think that the collecting authority’s decision was either based on an error of fact (for example, they have miscalculated the chargeable floorspace) or was wrong in law (for example, they have applied the levy charge to a building which should be exempt).

At the conclusion of an appeal, the First-tier Tribunal will either confirm the collecting authority’s decision regarding the levy charge or refund, or vary the decision, or cancel it. If the First-tier Tribunal varies the decision, or cancels it, the collecting authority will provide the client with a new levy liability notice or notice of no charge or levy payment certificate. If an overpayment has been made , the collecting authority will issue any refunds in accordance with the regulation under which the original decision was made.

14.3 Rejection of an application for building control approval by the local authority

If an application for building control approval with full plans is made to the local authority for works relating to the provision of dwellings, or bedspaces in PBSA, building safety levy information must be included (see regulation 14(1)(g) 2010 Regulations as discussed in chapter 11). The application may be rejected if levy information is not included. If the local authority rejects the application for failure to include levy information and the applicant believes this decision is wrong, the decision may be appealed to the Building Safety Regulator against the rejection of the application under regulation 14B of the 2010 Regulations. The decision of the Regulator can be appealed to the First-tier Tribunal under regulation 14B of the 2010 Regulations.

14.4 Rejection of an application for building control approval subject to a regulator’s notice

In relation to work for which the Building Safety Regulator is the building control authority pursuant to a regulator’s notice (a s91ZB application), if an application for building control approval with full plans is made for works which relate to the provision of dwellings, or bedspaces in PBSA, building safety levy information must be provided (see regulation 14(1)(g) 2010 Regulations as discussed in chapter 11). The application may be rejected if levy information is not included. If the Building Safety Regulator rejects the application for failure to include levy information and the applicant believes this decision is wrong, the decision may be appealed to the First-tier Tribunal under regulation 14C of the 2010 Regulations.

14.5 Rejection of an application for building control approval by the Building Safety Regulator

If a building control approval application is made to the Building Safety Regulator for works which relate to the provisions of one or more dwellings, or bedspaces in PBSA the application must include the building safety levy information (see regulation 4(1)(f) and 12(1)(f) HRB Regulations as discussed in chapter 11). The application may be rejected if such levy information is not included. If the Building Safety Regulator rejects the application for failure to include levy information and the client believes this decision is wrong, a review of the decision can be requested from the Regulator under Section 25 of the Building Safety Act 2022 and regulation 48 of the HRB Regulations. The Regulator’s decision may be appealed to the First-tier Tribunal under regulation 49 of the HRB Regulations.

14.6 Rejection of an initial notice by the local authority

If an initial notice is submitted to the local authority for works which relate to the provision of dwellings, or bedspaces in PBSA, it must include the building safety levy information (see the annex to Forms 1 and 4 in Schedule 1 to the RBCA Regulations as discussed in chapter 11). The initial notice will be rejected if it does not include levy information. If the local authority rejects the initial notice for failure to include levy information and the client believes this decision is wrong, they may appeal to the First-tier Tribunal against the rejection under section 55 of the 1984 Act and regulation 29 of the RBCA Regulations.

14.7 Rejection of an amendment notice by the local authority

If an amendment notice is submitted to the local authority for works relating to the provision of dwellings, or bedspaces in purpose-built student accommodation, it must include the building safety levy information (see the annex to Form 2 in Schedule 1 to the RBCA Regulations as discussed in chapter 11). The amendment notice will be rejected if it does not include levy information. If the local authority rejects the amendment notice for failure to include levy information and the client believes this decision is wrong, they may appeal to the First-tier Tribunal against the rejection under section 55 of the 1984 Act and regulation 29 of the RBCA Regulations.

14.8 Rejection of a change control application by the Building Safety Regulator

If a change control application is made to the Building Safety Regulator for works relating to the provision of dwellings, or bedspaces in PBSA, it must include the building safety levy information (see regulation 21(2)(g) HRB Regulations as discussed in chapter 11). The application may be rejected if it does not include levy information. If the Building Safety Regulator rejects the application for failure to include levy information and the client believes this decision is wrong, they may request a review of the decision from the Regulator under Section 26 of the Building Safety Act 2022 regulation 48 of the HRB Regulations. The Regulator’s decision may be appealed to the First-tier Tribunal under regulation 49 of the HRB Regulations.

14.9 Refusal to give a completion certificate by the local authority

Where works relate to the provision of dwellings, or bedspaces in PBSA, a local authority must refuse to give a completion certificate if they believe that there is an outstanding levy charge for the relevant application for building control approval with full plans. If the local authority refuses to give a completion certificate due to non-payment of the levy charge and the client thinks this decision is wrong, the person carrying out building work may appeal to the Regulator against the decision under regulation 18A of the 2010 Regulations. The decision of the Regulator can be appealed to the First-tier Tribunal under regulation 18A of the 2010 Regulations.

14.10 Refusal to give a completion certificate by the Building Safety Regulator

When the Building Safety Regulator receives an application for a completion certificate or partial completion certificate for works that relate to the provision of dwellings or bedspaces in PBSA they must reject the application unless they receive notice from the collecting authority that the levy charge has been paid in full or no levy was due for the relevant building control application. If the Building Safety Regulator rejects an application for a completion certificate or partial completion certificate due to levy non-payment and the client thinks this decision is wrong, they may request a review of the decision from the Regulator under regulation 48 of the HRB Regulations. The Regulator’s decision may be appealed to the First-tier Tribunal under regulation 49 of the HRB Regulations (or under regulation 18C of the 2010 Regulations for work carried out under a regulator’s notice (s91ZB applications)).

Where the Secretary of State determines whether to issue a completion certificate under s30A of the 1984 Act for works which relate to the provision of dwellings, or bedspaces in PBSA, they must reject the application for a completion certificate unless they receive notice from the collecting authority that the levy charge has been paid in full or no levy was due for the relevant building control application. If the Secretary of State rejects an application for a completion certificate or partial completion certificate due to levy non-payment and the client thinks the decision is wrong, they may appeal the decision to the First-tier Tribunal under section 30A (8) of the 1984 Act and regulation 56 of the HRB Regulations.

14.11 Rejection of a final certificate by the local authority

When a local authority receives a final certificate for works that relate to the provision of dwellings, or bedspaces in PBSA, they must reject the final certificate if they believe that there is an outstanding levy charge for the initial notice to which the final certificate relates.

If the client considers the rejection of the final certificate is wrong, they may appeal against that rejection to the First-tier Tribunal under section 55 of the 1984 Act and regulation 29 of the RBCA Regulations.

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Section 3: Advice for developers of residential buildings

Chapter 6: Introduction

Chapter 7: Local authority building control route

7.1 Submitting an application for building control approval with full plans

7.2 Commencement notices

7.3 Calculating the Levy

7.4 Paying the Levy

7.5 Changes to works

7.6 Completion certificate process

Chapter 8: RBCA route

8.1 Submitting an initial notice

8.2 Commencement notices

8.3 Calculating the Levy

8.4 Paying the levy

8.5 Changes to works

8.6 Final certificate process

Chapter 9: Building Safety Regulator route

9.1 Submitting an application for building control approval or s91ZB application

9.2 Commencement notices

9.3 Calculating the Levy

9.4 Paying the Levy

9.5 Changes to works

9.6 Applying for a completion certificate

9.7 Section 30A applications (non-determination applications)

Chapter 10: Levy update notices

10.1 Levy update notices

10.2 Other circumstances where levy charge may be revised

Chapter 11: Information and evidence requirements

11.1 Information required as part of an application for building control approval , or to reflect changes to works before commencement

11.2 Information required as part of a first commencement notice, or to reflect changes to works after commencement or as part of a levy update notice, where the levy charging conditions are met

11.3 Information required as part of a first commencement notice, or to reflect changes to works after commencement or as part of a levy update notice, where the levy charging conditions are not met

11.4 Examples of evidence

Chapter 12: Spot checks

12.1 Being selected for a spot check

12.2 What spot checks involve

12.3 Outcome of a spot check

Chapter 13: Refunds

13.1 Refunds following the issue of a new (or revised) levy liability notice or notice of no charge

13.2 Refunds in other circumstances

Chapter 14: Reviews and Appeals

14.1 Requesting a review of a decision on levy charge or refunds

14.2 Appealing the outcome of a review to the First-tier Tribunal

14.3 Rejection of an application for building control approval by the local authority

14.4 Rejection of an application for building control approval subject to a regulator’s notice

14.5 Rejection of an application for building control approval by the Building Safety Regulator

14.6 Rejection of an initial notice by the local authority

14.7 Rejection of an amendment notice by the local authority

14.8 Rejection of a change control application by the Building Safety Regulator

14.9 Refusal to give a completion certificate by the local authority

14.10 Refusal to give a completion certificate by the Building Safety Regulator

14.11 Rejection of a final certificate by the local authority

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