Compliance schedule and building warrant of fitness

A compliance schedule is a document (issued by Council) that lists the specified systems (for example, automatic fire sprinklers, fire alarms, lifts, air conditioning systems) within a building, and the performance standards for those systems. The compliance schedule also states how the systems will be monitored and maintained to ensure they are performing in accordance with the performance standard to make sure the building is safe for people to use.

A compliance schedule is required for a building that:

• is not wholly a single household unit (for example, includes commercial and industrial buildings but not stand-alone houses) and contains one or more specified systems (including cable cars)
• is wholly a single household unit and has a cable car attached to it or servicing it.

A compliance schedule must be kept on-site unless at another place by mutual agreement with Council. It must be made available to Council officers, independent qualified persons and authorised agents at all times.(Section 105(c) of the Building Act 2004.

Specified systems are important features that will negatively affect the functionality of the building if they fail to operate. They require ongoing inspection and maintenance to ensure they function as required.

The Building Act defines a specified system as a system or feature that is:

• contained in, or attached to, a building
• contributes to the proper functioning of the building (for example, a sprinkler system)
• declared by the Governor-General, by Order in Council, to be a specified system for the purpose of this Act
• includes a cable car.

Specified systems are listed under Regulation 4 and Schedule 1 of the Building (Specified Systems, Change the Use, and Earthquake-prone Buildings) Regulations 2005

It is the owner's responsibility to ensure the specified systems are performing at all times.

Where a compliance schedule has been issued for the first time, a compliance schedule statement (Form 10) is also issued by Council. This is a temporary public notification of compliance with the compliance schedule requirements and is replaced after 12 months by the building warrant of fitness.

For more information visit the MBIE website - Inspection and maintenance of specified systems.

Where building work has been undertaken, that requires a new or amended compliance schedule, there are different processes depending on whether the work was subject to a building consent, Certificate of Acceptance or discretionary exemption:

Building consent – a new/amended compliance schedule must be issued with CCC. The Building Consent Authority may also issue a compliance schedule sooner. For example, in the case that a Certificate for Public Use is issued.

Certificate of Acceptance – The Territorial Authority must issue a new/amended compliance schedule, if one is required as a result of the building work, alongside a CoA.

Discretionary exemption – Where work has been completed under a discretionary exemption, the building owner must apply for amendment to the compliance schedule through submission of a Form 11.

Building Act section 45(1)(g) specifies that an application for building consent must be accompanied by either one of the following:

• if a compliance schedule is required as a result of building work a list of all specified systems for the building; or
• if an amendment to an existing compliance schedule is required as a result of the building work, a list of all specified systems that are being altered, added or removed in the course of the building work.

Plans and specifications mean the drawings, specifications, and other documents according to which a building is proposed to be constructed, altered, demolished or removed; and includes the:

• specified systems that the applicant for building consent considers will be required to be included in the compliance schedule under section 100; and
• the proposed procedures for inspection, maintenance and reporting procedures for the purposes of the compliance schedule for those specified systems.

• Specified System List for building consent applications; and
• GDC Specified System Sheetsfor building consent applications for every specified system in the building that is being added, altered or removed in the course of the building work.

Incomplete forms and applications will not be accepted for processing.

Generally, these can be identified in a fire report or from other consultant reports that form part of your building consent documentation. Discuss the relevant installation, inspection and maintenance standards with the issuing Fire Engineer or consultant/s, as this information must to be referenced on the specified system form/s. You must also provide a reference to the document the information was obtained from, such as a fire engineering report or producer statement.

It is recommended that you discuss existing specified system information with the IQP(s) responsible for inspecting these systems. You can request a copy of the existing compliance schedule for your building from Grey District Council (GDC) by emailing a request to bwof@greydc.govt.nz

Adding - This is a new specified system, one that is not already in the building or on an existing compliance schedule.

Altering - This is when you are altering or extending the layout of an existing specified system. This can often be due to a floor plan change, such as a change of layout to a ventilation system as a result of new office walls being installed.

The Council and a building owner can agree to amend a compliance schedule if required at any time. An amendment may be initiated:

• by the owner – for any reason
• by the owner’s independent qualified person (IQP) – to ensure the specified systems will perform to the performance standards for those systems
• by the Council – to ensure the specified systems will perform to the performance standards for those systems (refer to section 107 of the Building Act).

The Application for Amendment to Compliance Schedule (Form 11) must be completed and submitted to Council. This form must be accompanied by a Specified System Form for code compliance certificate and amended compliance schedules for each of the specified systems being altered.

A building warrant of fitness (BWoF) is an annual certificate that confirms the specified systems in the building have been inspected and maintained and are performing properly.

Once the building owner a compliance schedule, they are required to submit to Council an annual BWoF (Form 12), and a certificate of compliance (Form 12A) for each of the specified systems in the building (on the anniversary of the date the compliance schedule was issued). This may be prepared either by the building owner, or their authorised agent.

The annual BWoF can be emailed to bwof@greydc.govt.nz

The BWoF must also be displayed somewhere publicly accessible so that people using the building know that all the systems in the building are functional and operating effectively. If you don't display a BWoF, or display a false one, you can get a fine of up to $20,000. Enforcement action may be taken by Council if the BWoF is expired.

Further information about building owner responsibilities can be found on the Ministry of Business, Innovation and Employment website: Owners Responsibilities about BWOFs and Compliance Schedules .

Further information on BWoF documentationcan be found on the MBIE website.

You can search theIQP Registerto find an independent Qualified person to sign off your BWoF documents.

Specified systems require specialist inspection and maintenance to ensure they continue to perform and operate effectively.

The Building Act requires completion of all inspection, maintenance and reporting (IMR) procedures in the building's compliance schedule for the previous 12 months, in order for a building warrant of fitness (BWoF) to be issued.

The Building Act does not provide any flexibility or exemptions to this requirement. This means for those buildings where IMR procedures have been missed, at the time the next BWoF is due, a valid BWoF will not be able to be supplied or displayed.

There are measures that can provide reassurance that the specified systems are currently performing as required and provide information about the missed IMR procedures, although these cannot achieve full compliance with the requirements of the Building Act 2004.

The Building Act (section 111) entitles territorial authorities (Councils) to carry out building warrant of fitness (BWoF) audit inspections on buildings with a compliance schedule.

The audits are to ensure that all installed specified systems are on the compliance schedule, the BWoF is displayed correctly, and the building owner is fulfilling their obligations.

Building Act sections 100 to 108 outline the requirements and obligations around the compliance schedule and supply of the building warrant of fitness. compliance schedule is up to date, the inspection maintenance and reporting procedures are fully met and that the records are available to Council at the audit inspection. These sections of the Building Act identity the consequences for the building owner should there be any non-compliant issues.

Scheduled audits – we endeavour to provide sufficient notice of a planned audit and seek to arrange a convenient time to visit. You also have the option to arrange for your IQP(s) to be present for the audit, should you so wish.

The Building Act allows the Council to carry out unscheduled audits without notice.
Reasons for this could include:

• at the request of the owner
• concern raised by member of the public or an independent qualified person (IQP)
• a complaint is lodged.

Unscheduled audits may also be conducted as part of a site visit, triggered by an unrelated matter.

An IQP is a person (or firm) approved by Council as qualified to inspect certain specified systems and ensure that necessary maintenance occurs. “Independent” means they have no financial interest in the building.

After arriving onsite and meeting the building owner and/or their representative we:

• check where the BWoF is displayed (if there is a current BWoF)
• review the onsite inspection and maintenance records to confirm:
• a current version of the compliance schedule is onsite
• owner/independent qualified persons (IQPs) inspections have been recorded for each specified system as required, and according to the compliance schedule
• the last two years of these records are kept onsite so they can be reviewed for a BWoF audit.
• check the building to see:
  • the specified systems match those on the compliance schedule, and
  • designated final exits are kept clear and are not locked, blocked or barred.

The length of time the inspector is on site carrying out the audit varies according to the size of the building, the systems and clarity of paperwork.

The Ministry of Business, Innovation and Employment (MBIE) have provided guidance to Councils on carrying out BWoF audits and adopting a policy to proactively review between 20%-33% of buildings with a BWoF per year. For higher risk buildings this could mean an annual audit.

BWoF audits are charged at an hourly rate. Charges include a review of Council records prior to the onsite audit, the onsite audit and any follow up actions (including re-inspections if applicable) identified during the audit.

The current hourly rate is available here.

We would appreciate you letting any tenants know about the upcoming audit should we need access. We do not always need to disturb tenants to check exits though we may need to on some occasions.

We make every effort to be sensitive to building occupants while carrying out BWoF audits.

You don’t have to be there; we can carry out the audit unaccompanied. You can engage your IQP or a tenant as your representative. Alternatively, the audits can be rearranged. Our preference is to have someone there (if possible) to ensure everything needed is available onsite. This helps avoid additional charges for revisits and/or failed inspections.

The Council auditor issues a report of their findings to the owner and IQP.

If issues have been identified (e.g. installed specified systems not on the compliance schedule, inspection maintenance and reporting procedures not fully met), a notice to fix will be issued by Council.

Notice to fix remedies could include applying for:

• a certificate of acceptance for the installation of a specified system (that required building consent)
• an amendment to the compliance schedule (Form 11).

If a life safety risk has been identified, the Council will issue a dangerous building notice which could require no access to the building until it is made safe.

Additional BWoF audit inspections may be required to determine if the issues have been rectified.

The audit may result in Council making a minor amendment to your compliance schedule. Refer to section 107 of the Building Act for more information.