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.

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

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 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. 

When is a compliance schedule issued?
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.

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 

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.

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.

Specified Systems Guidance Document for Customers 

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)

What is a Building Warrant of Fitness (BWOF)?
A Building Warrant of Fitness (BWOF) is a certificate issued by the building owner confirming that all of the specified systems contained within the building have been inspected and maintained and are 
performing in accordance with the compliance schedule. A BWOF verifies that the inspection, maintenance and reporting procedures for all the specified systems within a building have been carried out in accordance with the compliance schedule for the previous 12 months.

Who is responsible for issuing the Building Warrant of Fitness (BWOF)?
Issuing of the BWOF certificate is the owner’s responsibility; this document must be issued annually. 

The owner is required to display a copy of the BWOF certificate in a visible location in the building where it can be seen and to which the public have access.

In summary every year the building owner is required to:
•   Issue a BWOF
•   Display a copy of the BWOF certificate (Form 12) in a visible location
•   Provide Council with a copy of the BWOF and IQP Certificates (Form 12A)

How is the Building Warrant of Fitness (BWOF) issued?
The building owner or the owner’s agent issues a Building Warrant of Fitness (BWOF) on a Form 12 prescribed by Building Forms Regulations 2004. A BWOF certificate is issued for a 12-month period, which coincides with the date that the compliance schedule was issued. 

The BWOF is required to:

• State that the requirements of the compliance schedule have been satisfied
• State that the requirements of the compliance schedule have been satisfied
• Be signed by the building owner or their agent
• State where the compliance schedule and any associated certificates or reports (Form 12a) will be located

The building owner must attach copies of all Form 12a certificates together with any recommendations and forward these to the Council. 

What is a Form 12a certificate?
This is the certificate issued by the independent qualified person (IQP) verifying that the inspection, maintenance and reporting procedures set out on the compliance schedule have been undertaken. The IQP must attach to this form any other supporting documentation confirming compliance i.e. such as certificates of compliance, certificates of completion or producer statements for construction and 
construction review.

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

Who or what is an IQP?
This is a person identified by the Council as being a person qualified to carry out any performance inspection, maintenance and reporting on a particular system or feature. IQPs (or IQP compliance companies) are employed by the building owner but must have the approval of the Council to undertake the work. 

The Council will assess the IQP to ascertain that they are appropriately qualified to undertake the work performed. (A fee may be charged for this assessment). ‘Independent’ means that the IQP has no financial interest in the building that they are auditing.

Getting professional help
You cannot issue a BWOF certificate without getting the necessary checks completed and obtaining a certificate (known as a Form 12A) signed off. You can use an IQP compliance company to act as your agent to help sort out all the paperwork. They can co-ordinate all specialist IQP inspections required for each of the specified systems in your building, collect the paperwork and issue the BWOF as well as deal with the Council for you.

Tenants and the owner
The building owner’s responsibilities are clear, whether or not the building is tenanted. A building owner may delegate his / her responsibility to a tenant. But this does not alleviate the owner from liability if the tenant fails to fulfil obligations. A building owner or anyone acting on the building owner’s behalf in signing a BWOF may be liable if they make a false or misleading statement in the BWOF.

Council inspections/BWOF Audits
The territorial authority is required to inspect a building and the specified systems in the building and may charge a fee (section 111).

Inspection means the taking of all reasonable steps to ensure that:
•    An annual BWOF supplied under section 108 is correct; and
•    Every report under section 110 is correct

Penalties
The Building Act 2004 contains a number of provisions to protect public health and safety that are important for building owners and managers. There is a range of penalties for failing to comply with these provisions:

• If a person is the owner of a building for which a compliance schedule has been obtained, they are liable for a fine of up to $20,000 with a further fine of $2,000 for each day the offence is continued
• Building owners can be fined up to $20,000 for failing to display a Building Warrant of Fitness, or displaying a false or misleading Building Warrant of Fitness;
• Building owners who fail to give written notice of a change of use commit an offence and are liable to a maximum fine of $5,000;
• It is also an offence carrying a fine of up to $100,000 to use or permit the use of a building, which is not safe or sanitary, or if it has inadequate means of escape from fire.

Forms 11 and 12 contain requirements to state the buildings current lawfully established use and the building occupant load. This information may be sourced from the building consent application form held by Council. Note the description of the building use should be clearly stated. For example: an office building containing retail space should be called “office and retail” not commercial.

Non-testable backflow prevention devices
Non-testable backflow devices must be included in the compliance schedule; the testing and reporting regime should reflect the type of device installed

• There is a verification test in G12/AS1 for atmospheric vacuum breakers;
• Other non-testable backflow devices such as dual check valve assemblies should have an appropriate visual inspection and be replaced every two years

What is a Notice to Fix

A notice to fix (NTF) is a statutory notice requiring a person to remedy a breach of the Building Act 2004 or regulations under that Act. A notice to fix can be issued for all breaches of the Act, not just for building work.

Issuing of a notice to fix

A notice to fix is issued by a building consent authority or a territorial authority.

They’re issued to a specified person, the building owner, and where applicable

• the person carrying out building work
• any other person supervising that building work.

A notice to fix must be issued where we, as the authority, believe on reasonable grounds that

• a specified person is working outside of the Building Act 2004 (for example, doing building work without a building consent, or not following the building consent)
• a specified person is disregarding 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 aren’t or haven’t 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.

What to do if you receive a notice to fix

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.

From 1st January 2017, pools are required to meet the Building (Pools) Amendment Act 2016. Replacing the Fencing and Swimming Pools Act 1987.

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. 

Swimming Pool barriers and fences require Building Consent. 

Please refer to the Safety guidance and the Pool Safety Checklist for further details.

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 35% 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. 

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