What is a compliance schedule?
A compliance schedule is an inventory or list of specified systems, contained within a building and states the performance standards which must be met:
•    Inspection, testing, maintenance and reporting procedures
•    The frequency of inspections, and
•    Who should perform those inspections

Purpose of this guidance information
The purpose of this guidance information is to help building owners and managers of commercial, industrial or communal (public use) buildings understand their responsibilities under the Building Act 2004 as they relate to compliance schedules and building warrants of fitness.

Residential properties do not require a compliance schedule, unless it has a cable car installed.

Legislative requirements
The Building Act 2004 (the Act) outlines Council’s responsibilities in respect to enforcing the provisions of the Act and promoting and protecting the public’s health and safety. Council’s role is to educate, monitor and work with building owners, managers and independent qualified persons (IQPs) to ensure that the purposes and principles of the Act are achieved.

A compliance schedule is issued at the same time as the code compliance certificate, along with a compliance schedule statement. 
The compliance schedule is issued by Council, when it is satisfied that all specified systems are operational.

What is a compliance schedule statement?
When the compliance schedule is issued, a compliance schedule statement is also issued. The compliance schedule statement must be kept and displayed in a public/visible location such as the lobby or reception area of the building. Council must agree to the location of the statement. The compliance schedule statement states the specified system(s) on the compliance schedule and where the compliance schedule is kept.

The compliance schedule statement is valid for the first year and must be replaced by a Building Warrant of Fitness (BWOF) on, or before the anniversary date of the issue of the compliance schedule.

If an interim compliance schedule is issued, this will be replaced by a final compliance schedule when the building work is complete and the CCC is issued. However, the compliance schedule is effective from the date that the interim compliance schedule was issued, (i.e. if an interim compliance schedule was issued with a CPU, the date of the compliance schedule that is attached to the CCC will be the same as the date of the (CPU) as systems will already have commenced their maintenance, inspection and reporting regimes.

The compliance schedule statement is issued by Council.

Can I have more than one compliance schedule for multiple tenancies?
Yes, where a building consent application relates to multiple tenancies, which comprises several blocks of shops or units, it may be more appropriate to issue one compliance schedule for each block of shops / units, within the complex. For this scenario to apply, it will depend on the extent and scope of the specified systems installed e.g. if there is one sprinkler system or one alarm system that spans multiple tenancies, a single compliance schedule can be issued for that particular block.

Where there are multiple tenancies, the applicant should advise the preferred option so that compliance schedules can be prepared accordingly. Where multiple compliance schedules are prepared, each one must have its own unique number.

How do I apply for a compliance schedule?
Information relating to specified systems is usually submitted as part of your Form 2 Application for a Building Consent. Documentation must accompany the application, identifying the type of system being installed.

Documentation must state what type of specified system is being installed; where the system is located; and the name and year of the performance standard that the system will be maintained, inspected and reported against. Specified Systems Guidance (DOCX 474.77KB)  

It is recommended that drawing(s) are provided on project completion showing the general location of all specified systems contained within the building. This ensures that a correct and accurate record exists and assists the IQP to determine whether all features have been properly inspected, maintained.

Where a premises has an existing Compliance Schedule and a change needs to be made to the Schedule because of building work undertaken or changes to the way the building is used, it is likely that a change could be required to the Compliance Schedule.

• (PDF 32.05KB) Amendment to Compliance Schedule Application (PDF 112.47KB)

Specified systems help ensure a building is safe and healthy for people to enter, occupy or work in. They require ongoing inspection and maintenance to ensure they function as required. If they fail to operate properly, they have the potential to affect health or life safety.

It is the responsibility of the building owner to ensure the systems are inspected and maintained according to the compliance schedule.

See Specified Systems Guidance Sheet

A building warrant of fitness (BWoF) is a building owner’s annual statement confirming the specified systems in the compliance schedule for their building have been maintained and checked for the previous 12 months, in accordance with the compliance schedule.

Owners of commercial, industrial or communal (public use) buildings are responsible for making sure that their building is safe for people to enter, occupy and work in. This is through the building warrant of fitness (BWoF) system and applies to all buildings with a compliance schedule (CS).

For an overview of your compliance responsibilities and how to meet these see Guidance on Building Warrant of Fitness and Compliance Schedules 

Application for amending a Compliance Schedule - Form 11 

Building Warrant of Fitness - Form 12 

What is a Specified system?
A specified system is a system or feature that is contained within a building for the primary purpose of maintaining health or life safety of building users i.e. fire alarm, sprinkler, mechanical ventilation system, etc.

Requirements for specified systems are set out in the 1st Schedule of the 2005/032 Building (Specified Systems, Change the Use, and Earthquake-Prone Buildings) Regulations 2005. Where one or more of these systems exist in a building, a compliance schedule is required. 

Please refer to the Specified Systems Guidance (DOCX 474.77KB)  document attached to assist when applying for your Building Consent.

What is a performance standard?
The level of performance a specified system is intended to meet, and continue to meet, at the time it was designed and installed in a building. 

Compliance with the Building Code is normally achieved by referring to an acceptable solution or a verification method. For example, the performance standard for sprinkler systems is NZS 4541:2013. This standard specifies what the maintenance, inspection and reporting regime is for sprinkler systems. 

An IQP (Independently Qualified Person) is terminology that was found in the Building Act 1991.

An IQP has specialist qualifications for dealing with or issuing building warrants of fitness and thus confirming that buildings used by the public and buildings that have safety systems are compliant at all times.

Specified systems help ensure a building is safe and healthy for people to enter, occupy or work in. They require ongoing inspection and maintenance to ensure they function as required. If they fail to operate properly, they have the potential to affect health or life safety.

It is the responsibility of the building owner to ensure the systems are inspected and maintained according to the compliance schedule.

See Specified Systems Guidance Sheet

A notice to fix (NTF) is a legal notice requiring a person to fix a violation of the Building Act 2004 or regulations under that Act. You can be issued for any violation of the Act, not just for building work.

Achievable Outcomes

When issuing a notice to fix, the responsible authority must consider what outcome it wants to achieve, and state requirements clearly. Requirements should be achievable as far as is possible.

A notice to fix is issued to a specified person. A specified person is the building owner and, where applicable:

• The person carrying out building work 
• Any other person supervising that building work.

The responsible authority must issue a notice to fix if it considers on reasonable grounds that:

·       a specified person is contravening the Building Act 2004 (for example, doing building work without a building consent, or doing work not in accordance with a building consent)

·       a specified person is contravening any of the Building Regulations under the 2004 Act (including the Building Regulations 1992, containing the Building Code)

·       a building warrant of fitness is not correct

·       The inspection, maintenance or reporting procedures stated in the compliance schedule are not being, or have not been, complied with.

We have some discretion as to what to include in notices to fix and use this to make sure a notice to fix is appropriate to the circumstances of a particular situation.

If you receive a notice to fix

• read the details of the notice and ensure you understand your options to achieve compliance and the timeframe in which to do this
• you may need a building consent to complete remedial work
• keep council informed of how you’ll comply and when any remedial works will be carried out
• don’t do any other work until you have fixed the non-compliances and the council has lifted the notice
• if in doubt on any of the details contact us to discuss further.

Once the notice to fix has been complied with we’ll provide written confirmation to you (and the building owner if not you) that the notice to fix has been complied with and lifted.

If you don’t comply with the notice to fix within the stated timeframe this can result in

• further notices to fix being issued, or
• the possibility of an infringement notice and associated fee, and
• ultimately can lead to prosecution under the Building Act 2004.

Fines on conviction can be up to $20,000. Where it is a continuing offence, further fines of up to $20,000 for every day or part of a day during which the office has continued.

Where work has been undertaken without a Building Consent having been granted and certification is required as to the apparent standard of the work, application can be made for a Certificate of Acceptance. It is likely that a Certificate of Acceptance would be associated with other legal proceedings relating to the unlawful building work. It may be necessary for you take legal advice. These applications should be submitted through the online portal.

All applications MUST be accompanied with detailed plans, including site plan, floor plan, elevations, cross sections etc and supporting information including, bracing details, engineer details (if any), ground bearing report, specifications, truss certificates and any other information to support your application. If these details are not provided your application may be rejected.

• Click here to lodge an application or create an account.

If the public uses all or part of your building, and you want them to access it before your building work has been signed off as complete, you can apply to the council for a certificate for public use. Your application will need to show that all or part of the building (whatever you are applying for) can be used safely by members of the public.

If you don't have a certificate for public use, you could be fined up to $200,000 and fined up to a further $20,000 for every day or part of a day the offence continues.

You can only apply for a certificate for public use if a building consent has been granted but the code compliance certificate has not been issued. You will still need to apply for a code compliance certificate once the building work has been completed.

See MBIE guidance at "Public access while building or altering a public building".

• Certificate of Public Use Application (PDF 220.32KB)

Please return the completed CPU application form to  buildingadmin@westlanddc.govt.nz or post to Private Bag 704, Hokitika 7842 or deliver in-person to 36 Weld Street, Hokitika.

Please do not email or attach the application to the Building Consent via Objective Build. CPU's follow a different operational process and sending it to the consent might cause unnecessary delays.

Legislation for swimming pools changed on 1 January 2017 with the introduction of section 162 of the Building Act, replacing the former Fencing of Swimming Pools Act. The aim is to prevent drowning and injury to young children by restricting unsupervised access to residential pools.

Pool safety barriers are now regulated by the Building Act 2004, under provisions of Clause F9 of the New Zealand Building Code (Building Regulations). Swimming and paddling pools over 40cm deep require a  pool fence, which needs building consent to comply with the Act. Pools over 35,000 L capacity require a building consent.

Gates or doors entering the immediate pool area must have self-closure devices, and only pool related equipment should be in the enclosure - so a fence around the whole garden does not comply. 

Key changes include:

• Residential swimming pools must be inspected every three years
• Safety covers will be able to be used as barriers for spa pools and hot tubs
• Territorial authorities will have better tools to enforce pool barrier requirements, including notices to fix and infringement notices.
• The Amendment Act created new Building Code clause F9.
• The Building (Pools) Regulations 2016 sets out the fees payable by independently qualified pool inspectors, and the certificate they will issue if a pool has compliant barriers.
• The Building (Pool Manufacturers and Retailers) notice in the New Zealand Gazette sets out the requirements for notices that manufacturers and retailers must supply with pools from 1 September 2017.

You can read more about restricting access to residential pools on the Building Performance website. 

Please refer to the Safety guidance for owner's and the Pool Safety Checklist (PDF 871.37KB) for further details.

Swimming Pool barriers and fences require Building Consent. 

Even if you don’t have young children on your property yourself – it is important that your pool continues to keep young children safe (also see MBIE’s safety guidance for pool owners).

Does it apply to my pool?

Residential pools must have a barrier around the immediate pool area when the pool

• is used ‘as part of an abode (any place used predominantly as a place of residence) including when used in association with the abode on land adjacent to where the pool is located’, and
• is filled or partially filled with water.

This includes any pool or spa normally used for swimming, paddling, or bathing that is capable of holding a depth of water of 400mm or more, including, but not limited to

• indoor and outdoor residential pools,
• above ground pools, where the walls of the pool can form the barrier to the pool
• small heated pools such as spa pools and hot tubs (including inflatable spa pools) if they don’t comply with other prescribed rules, and
• inflatable/portable/temporary/kitset pools that you pull out of storage for summer – even though they’re not permanent.

What is considered the immediate pool area?

The immediate pool area must have a barrier. This barrier must enclose only the pool and its closely surrounding area. This immediate pool area can only include activities that are used in conjunction with the pool.

Fencing to the rest of your property isn’t considered to be pool barrier fencing. A separate fence is still needed around the immediate pool area itself.  If part of an existing fence or any existing building are to be part of the pool barrier these will need to meet the same performance and requirements as the rest of the pool barrier.

Who is responsible for what?

• The property owner and any tenants are responsible for ensuring that the swimming pool has a barrier that complies.
• The Council:
  • is responsible for ensuring that these residential pools are checked at least every three years to confirm compliant pool barriers (note: this does not apply to small heated pools with a safety cover that meets the barrier requirements).
  • must hold a register of all residential swimming pools in their district, including small heated pools.
  • has the discretion to inspect any residential pool at any time in addition to the three yearly inspections, including checking that small heated pools comply with the pool barrier requirements.
• Manufacturers and retailers are responsible for informing you of your responsibilities when you buy a residential pool

Your pool must always be secure and safe.

Carry out regular checks and maintenance of your pool barriers and gates to help you to stay compliant. You can use this checklist to assist.

Inside the pool area

The pool area cannot contain non-pool related items and activities including:

• Play equipment
• Clotheslines
• Vegetable gardens
• Animal enclosures/kennels
• General storage areas

Around the pool area

Ensure that:

• External removable ladders are removed or disabled after use (note: ladders are not allowed in pools installed after 1 January 2017 unless surrounded by a complying barrier and gate).
• There are no trees, shrubs, or other climbable objects that could assist children in climbing the fence.

Regularly maintaining your pool gate and barrier

As a pool owner, you’re responsible for carrying out routine maintenance to ensure the pool barrier continues to meet the minimum requirements, including

• lubricating gate hinges,
• checking gate self-closing mechanisms,
• pruning trees and vegetation to keep it clear from the pool barrier, and
• repairing and replacing any broken or damaged parts of the pool barrier as part of routine maintenance.

Pool safety barriers are now regulated by the Building Act 2004, under provisions of Clause F9 of the New Zealand Building Code (Building Regulations)

Please refer to the legislation and check with your local council for full details.

Swimming Pools and Spas Pools require a building consent to install. This will require a pool fence to comply with the Act. "Pools" are all pools that have the capability of water depth greater than 400 mm

Gates or doors entering the immediate pool area must have self closure devices.

Please refer to the Pool Safety Checklist for further details.

What we check at the inspection

We'll be checking that pool barriers comply with the requirements of section 162C of the Building Act 2004.

This means we confirm that the physical barrier around the pool restricts access by unsupervised children under 5 years of age, by checking that

• pool gates swing freely,
• gates and/or door self-closing mechanisms or alarms are fully functioning,
• gates and/or door self-latching and release mechanisms are fully functioning,
• any trees, vegetation, outdoor furniture, or other structures are clear from the outside face of the pool barrier, and
• there are no gaps in the barrier more than 100mm.
• a vacuum breaker backflow device is fitted to the tap connected to any hose that is used to fill the pool. These are available from hardware stores and are required when you are connected to a mains pressure Council water supply.

It's worth checking these items yourself before your inspection. We have a pool fencing checklist you can use to assist.

One the most common reasons for a failed inspection is that there's grass or vegetation stopping the pool gate from swinging freely – so make sure you check this before your inspection!

Proposed Changes to the Earthquake-Prone Building System

The Government is proposing legislative changes aimed at making the EPB system more proportionate and cost-effective by focusing on higher seismic risk areas and high-risk building types. A bill containing the proposed changes is expected to be introduced in coming months.

The changes are designed to target buildings that pose the greatest risk to life safety, while reducing unnecessary costs and disruption, particularly in regional communities.

By enabling more cost-effective approaches to seismic strengthening, remediation will be more accessible for building owners than under the previous regime.

The proposed changes include:

• removing low risk buildings and buildings in low seismic zones (Auckland, Northland and the Chatham Islands) from the EPB system
• introducing tiered risk mitigation requirements, making use of new engineering methodologies, based on location and building type
• allowing building owners to apply for deadline extensions, to encourage incremental progress
• reducing barriers to seismic strengthening by removing the requirement for concurrent fire and accessibility upgrades.

These changes mean that:

• around 55% of EPBs (around 2,900 buildings) will be removed from the EPB system
• around 1,440 will have more affordable remediation requirements
• 840 EPBs will have no mandatory requirement for remedial work, and
• only around 80 buildings will require a full retrofit due to the risk they pose.

Cabinet paper, reports, and supporting analyses

The legal term to define buildings that rate less than 34%NBS and are designated as “Earthquake-prone” by a Territorial Authority under the Building (Earthquake-prone Buildings) Amendment Act 2016. Earthquake-prone buildings must be remediated or demolished within a period of 7.5 to 35 years depending on their use and location in Aotearoa New Zealand

• Essentially, an earthquake-prone building is an existing building that will have strength that is 33% or less of the seismic loading standard for new buildings.
• A building designed to the current design standards would have at least 100% of New Building Standard (NBS). Existing buildings are assessed and given a %NBS. If a building is less than 33% NBS, it is classed as earthquake-prone.
• You can find more information about earthquake prone buildings in sections Sections 133AA to 133AY of the Building Act 2004.
• Small residential buildings (houses) are exempt from the provisions of the Act.

New Zealand is extremely prone to seismic activity and ensuring the safety of people is paramount. Commercial buildings need to be safe for occupants and users. Some of these buildings may be Earthquake-Prone, that is, under 34% of the standard of a new building (NBS).

The Building (Earthquake-prone Buildings) Amendment Act 2016 came into force on 1 July 2017. It categorises New Zealand into three seismic risk areas and sets time frames for identifying and taking action to strengthen or remove earthquake-prone buildings. 

Westland District Council as a Territorial Authority has the role of identifying these buildings, assigning them ratings and issuing notices based on engineer's reports, and publishing the information in the public register. The Council also encourages owners of EQP buildings to take action to make them safe. 

You can view the national register of buildings that are Earthquake-Prone here: Register of earthquake-prone buildings 

If you are the owner of a commercial or public building, there is very good guidance on MBIE's website: Managing earthquake-prone buildings 

If you think your building may need to be assessed for seismic risk, you can View MBIE's Seismic Risk Guidance for Buildings (PDF 2.67MB) . 

What a seismic assessment includes

There are two forms of seismic assessments in Aotearoa New Zealand:

• Initial Seismic Assessment (ISA) - An ISA is a simplified procedure to estimate the likely seismic rating of a 
  building.
• Detailed Seismic Assessment (DSA) - A DSA is a detailed, modelled, assessment of the likely seismic behaviour 
  of a building. Given their complexity, it can be appropriate for a DSA to be independently reviewed by another 
  engineer. When doing a DSA, engineers will assess the vulnerability of any and all critical elements in the 
  building (such as columns, floors, parapets, heavy exterior cladding) that could present a significant life safety 
  hazard during an earthquake. Each of the elements gets a score expressed in terms of percentage of New 
  Building Standard (%NBS) achieved

NBS stand for New Building Standard and the %NBS is an index used to characterise the expected seismic response of a building to earthquake shaking. It helps identify buildings that represent a higher seismic risk than a similar new building, built to current Building Code 
standards.

There are many variables for seismic assessment and there can be uncertainty in estimating the relative life safety risk for a particular building. Among other factors, this uncertainty comes from the random nature of earthquakes, the complex response of buildings to earthquake shaking particularly at the point of structural failure, the variability in construction quality, and the lack of accurate records of buildings’ construction. The uncertainty arising from these factors mean that %NBS should be viewed as indicative of the engineer’s 
confidence in the expected seismic performance of the building rather than an exact prediction.

The purpose of the %NBS metric

Is to provide a relative assessment of seismic risk. It is not a predictor of building failure, nor is it an assessment of safety in a particular earthquake. Given the range of variables associated with earthquakes outlined above, no person can make categorical statements about safety, just relative degrees of risk

Understanding what a low %NBS rating means

If a building is calculated as less than 34%NBS (33% and under) using the Red Book assessment guidelines, it may be classified as 
‘Earthquake-prone’ under the building (Earthquake-prone buildings) Amendment Act 2016. This means the building is more likely to sustain damage following a moderate earthquake and, in the event of an earthquake, there is a higher risk to users than there is in a new building. Over time, the law requires this risk for earthquake prone buildings to be reduced.

If your building is greater than 34% but less than 100%NBS, this also indicates your building poses a somewhat higher risk to users than a new building does. There is no requirement for you to do anything under the Building Act, but over time you may want to improve the building’s seismic resilience. 

In general, a low %NBS rating is no need for alarm or immediate action. The life safety risk is still very low.

To check if your building is earthquake-prone in New Zealand, search the national Register of earthquake-prone buildings (EPB Register).

A building is generally considered earthquake-prone if it scores 33% or less of the New Building Standard (NBS). The system now focuses on high-risk, unreinforced masonry, or three-plus storey concrete buildings in medium/high seismic zones.

If your building is not on the EPB Register, it may not have been assessed, or it might not be considered earthquake prone. If the council has identified it as earthquake-prone, an EPB notice must be displayed in a prominent place.