Building Consent Authority Accreditation and Registration Scheme update and guidance

Eight territorial authorities have now been accredited and registered as building consent authorities, with 27 others in the final stages of the accreditation process.

The first private company contracting to territorial authorities has also been accredited. Professional Building Consultants Ltd provides building control services to a number of councils.

The Department of Building and Housing is encouraging territorial authorities still undergoing assessment to maintain their momentum towards accreditation, given the benefits it will bring to their building control operations.

This update covers:

• the first registrations of building consent authorities
• territorial authorities' pleasure at becoming accredited
• competency assessment issues identified during the assessment process
• guidance on the implementation of policies, procedures and systems, and the need to record reasons for decisions
• ongoing use of the accreditation assistance package
• the launch of the Licensed Building Practitioner Scheme
• guidance on outstanding building consents; the benefits of applying early for project information memoranda; compliance schedules and building warrants of fitness; certificates of acceptance; and the Chartered Professional Engineers register.

Table 1: Update of assessment for accreditation

Territorial authorities (73 in total)	Number
Accredited	8*
Full on-site assessment completed	28
Pre-assessment completed	29
Document review completed	8
Transferring building control functions	1
Regional authorities (12 in total)
Document review under way	2
Yet to apply for accreditation	1
Transferring building control functions	9
Private organisations contracted to territorial authorities
Accredited	1**
Full on-site assessment completed	1
Document review completed	2

* Palmerston North and Auckland City Councils; South Taranaki, Hurunui, New Plymouth, Rodney, Southland and Franklin District Councils

** Professional Building Consultants Ltd

First territorial authorities registered as building consent authorities

Department of Building and Housing Chief Executive Katrina Bach presented registration certificates on 2 November 2007 to the first seven territorial authorities accredited as building consent authorities (BCAs).

Territorial authorities can be registered as soon as they are accredited as BCAs. Their details are recorded on a public register of BCAs - www.dbh.govt.nz/bca-register-n-z

The Building Consent Authority Accreditation and Registration Scheme is among Building Act 2004 reforms aimed at ensuring buildings are designed and built right first time. It focuses on strengthening the building process at the consent processing, inspection and approval stages - ie, making sure territorial and regional authorities have the appropriate systems, processes, procedures, resources and capability to do the job properly.

The benefits of accreditation and registration as a BCA will include:

• more robust management systems and processes, with better quality control and risk management
• increased public/community confidence when councils have independently proven, appropriate competency, quality-assured systems, processes, procedures and resources
• better customer service - ie, more prompt turnaround of consent applications, without jeopardising quality, because of operational improvements and efficiencies
• increased capability and capacity, with more competent and better-trained staff
• greater confidence among building control staff that they are doing things properly
• strengthened and more consistent decision-making, leading to better-quality outcomes and better Building Code compliance.

Representatives of the first territorial authorities registered as building consent authorities, with Department of Building and Housing Chief Executive Katrina Bach. From left: Geoff Mears (Rodney District Council), Peter Eathorne (Palmerston North City Council), Ms Bach, Kevin O'Connor (Southland District Council), Graham Young (South Taranaki District Council), Karen FitzPatrick (Hurunui District Council), Ewan Higham (Franklin District Council) and Peter Scantlebury (New Plymouth District Council).

All 85 territorial or regional authorities must be accredited and registered as BCAs by 30 June 2008 or have transferred their building control functions to an accredited and registered BCA, which 10 currently intend doing.

Accreditation celebrated

Territorial authorities accredited as building consent authorities have been proudly telling their local communities of their accreditation.

Rodney District Council, the first territorial authority in the Auckland region to be accredited, said in a media release that accreditation means the Council has demonstrated that its policies, processes, systems and staff resources meet the high standards set by the Department of Building and Housing.

Geoff Mears, the Council's Director of Customer Services, said achieving accreditation was the result of several months of intensive work by the Building Control team.

'This very time-consuming and specialist project was achieved by the team while delivering 'business as usual' so it was an excellent effort all round,' he said.

Franklin District Council Chief Executive Sally Davis called its accreditation a great result for the district.

'The fact that we have been one of the first councils to reach this milestone demonstrates that the Council is working hard on behalf of ratepayers,' she said.

Southland District Council Building Control Manager Kevin O'Connor said in a media release that his team had been working towards accreditation for three years. The work had involved countless hours documenting systems and procedures, upskilling and setting up quality assurance monitoring.

'We are extremely happy to have gained accreditation. It has been a long and involved process and everyone in the team worked extremely hard to see it completed pretty well ahead of the play,' he said.

Competency assessment issues

Assessments of territorial authorities for accreditation as building consent authorities (BCAs) have identified a number of issues relating to competency assessment and its outcomes (regulations 9-12). In particular, some territorial authorities have not yet met the requirements of regulation 10, adequately documented the reasons for their decisions, nor integrated their competency systems with regulations 9, 11 and 12 requirements.

The tools used to determine compliance with these regulations are interlinked, as shown in Figure 1 overleaf. (extracted from page 23, Building Consent Authority Accreditation Preparation and Self-assessment Guide).

Regulation 10 is intended to ensure that all BCA building control activities are carried out directly by, or are under the effective supervision of, people of proven competence and experience in the task at hand.

This regulation must be read in conjunction with accreditation regulations 5 and 6. The system must be appropriate for its purpose and the BCA must record the decisions it makes, the reasons and outcomes for them, and how it effectively implements the systems.

A robust competency assessment processes enables BCAs to:

• identify and provide an objective view of their organisational capability
• identify where they require additional external expertise
• make good decisions about allocation of work, based on technical ability
• identify competency gaps within their current workforce
• recognise where best to invest their training budget
• comply with accreditation standards and criteria
• improve their quality outcomes (eg, improved building compliance)
• provide good records for audit purposes.

The Building Consent Authority Accreditation Preparation and Self-assessment Guide provides one example of a competency assessment framework that, if effectively implemented, meets the requirements of the accreditation regulations.

The key stages of any assessment process are to:

1. define the building control work and the competencies required (regulation 10(3) lists some mandatory requirements incorporated into this framework)
2. plan your competency assessment process
3. assess competence
4. document outcomes of competency assessments
5. decide on your BCA's organisational skills requirements
6. implement the necessary actions.

The same competency assessment process should be used where a BCA uses contractors to perform essentially the same role as its employee building officials.

The following is a summary of the guidance provided in the Building Consent Authority Accreditation Preparation and Self-assessment Guide.

Plan your assessment process

Decision-maker

The person or people undertaking assessments should have a greater or at least equivalent level of competence in the field being assessed and the ability to make objective judgements based on the evidence provided. A number of building consent authorities have outsourced this function.

Identify sources of evidence to be used

Evidence that may already exist includes:

• self-assessment records
• records of qualifications and continuing professional development
• technical training undertaken
• work history records
• case studies of particular jobs that illustrate competency in particular areas
• training logs, including records of training provided to other staff members or colleagues
• organisational records, such as previous competency assessments and meeting minutes
• internal audit records
• records of registration under another statute such as the Plumbers, Drainlayers and Gasfitters Act 1978
• professional/industry affiliations such as the Building Officials Institute of New Zealand, New Zealand Institute of Building Surveyors
• participation in industry forums and committees such as Standards review committees or the Building Code review.

An assessment of what additional evidence is required can be made once existing evidence has been collated and assessed. Examples may include interviews to assess knowledge of the Building Act, Regulations and the Building Code, observations or peer reviews of a staff member's work, internal audits of completed work.

Define the building control work and competencies required

Regulation 10(3)(a-f) sets out the core competencies that must be assessed. Table 2 overleaf (like others in this update, extracted from the Building Consent Authority Accreditation Preparation and Self-assessment Guide) sets out a possible competency framework for building controls, drawing on the types of evidence discussed above and core competencies required by the regulations.

Table 2: Possible organisational competency framework for building controls

core competency (required by regulation 10(3))	Examples of assessment criteria building consent authorities could use when assessing competency	Guidance notes
Understanding and application of: the philosophy and principles of design and construction building products and methods (Refer to regulations 10(3)(a) and (b))	Has knowledge of building-related sciences Identifies and assesses alternative solutions Can read and interpret drawings and specifications Keeps up to date or improves knowledge Applies knowledge accurately and appropriately to consistently determine compliance with requirements of the Building Code Has knowledge of building products, systems, practices and methods	These principles would need to be aligned with the BCA's systems and processes for undertaking this work. For example, some BCAs may have a list of approved materials, products, methods or systems, while others will expect their employees to assess each project on a case-by-case basis.
Knowledge and skills in applying the Building Act and Regulations (Refer to regulation 10(3)(c))	Understands the building consent authority's (BCA's) legislative obligations, and their powers, duties and obligations as an employee Demonstrates knowledge of the roles and responsibilities of other stakeholders under the building control framework Has a sound knowledge of the Building Act, Regulations, and the Building Code Understands other related legislation and relevant codes, standards and Compliance Documents Understands delegated authority and powers, duties and responsibilities under warrants Applies knowledge to ensure consistent and comprehensive compliance with the legislative framework by: - making justifiable and sound decisions, based on objective evidence, and documenting their decisions - taking appropriate action to implement decisions (eg, issuing building consents, code compliance certificates, notices to fix) - appreciating the downstream consequences of regulatory decision-making	In making compliance assessments the BCA must be satisfied on reasonable grounds that the provisions of the Building Code would be met if the building work is properly completed in accordance with the building consent documentation provided. You could refer to relevant legislation, regulations, standards, bylaws, codes of practice and guidance information. This information is available from a number of sources, including: hard copies can be purchased from government bookshops or Standards New Zealand electronic copies of all legislation and regulations are available at www.legislation.govt.nz the Building Code, Compliance Documents guidance information published by the Department is available on the Department's website, including the Building Consent Authority Development Guides relevant case law.
Undertakes building control functions. Vetting Processing Inspections Approvals (Refer to regulation 10(3)(d))	Vetting building consent applications Understands and consistently applies the BCA's vetting policies and requirements Manages customer expectations and relevant relationships (eg, with building consent applicants, other employees) Has appropriate level of knowledge to vet documentation and plans received	See the building consent authority's (BCA's) published documentation setting out its information requirements. Guidance information published by the Department is available on the Department's website, including the Building Consent Authority Development Guides.
	Processing building consent applications Consistently assesses building consent documentation to determine compliance with the Building Code by: - using sound systems and processes (eg, BCA policies and procedures and processing checklists) to ensure all areas of the Building Act and Building Code are addressed - interpreting manufacturers' literature and technical documents - appropriate acceptance of producer statements and alternative solutions, etc - correctly assessing and processing amendments to building consents - correctly identifying the need for appropriate conditions and notations to building consents - correctly identifying fees and levies applicable	BCAs should have formal policies and procedures outlining the building consent process. BCAs should not impose conditions on building consents to compensate for deficiencies in the building consent documentation. Where further information has been requested and subsequently supplied, the information should be recorded against the request in a manner that others can easily follow. Guidance information published by the Department is available at www.dbh.govt.nz, including the Building Consent Authority Development Guides.
	Undertaking inspections Sufficiently prepares for inspections before going on site. Demonstrates sound understanding of building control functions and legislative requirements (role, responsibilities, powers, duties, etc) Takes all reasonable steps to ensure the building work complies with the building consent and all clauses of the Building Code Accurately documents findings of the inspections and consistently follows the BCA's inspection methodology eg, uses comprehensive inspection checklists and gathers appropriate evidence (eg, photos) Correctly identifies all non-compliant issues requiring amendment Uses and accurately interprets technical documents Understands the circumstances in which a notice to fix should be issued, to whom it should be issued, and consistently ensures notices to fix are issued Is able to distinguish between minor and major issues that could require a notice to fix or other course of action (eg, cessation of work or possible legal/enforcement action) Makes sound visual observations and asks the right questions to gather all relevant information Clearly communicates the inspection findings to appropriate people	BCAs should have a formal policy and procedures outlining the inspection process and ensure employees are appropriately warranted for the work they are doing. Employees should be proactive in the way they: identify and address actual and potential issues communicate with stakeholders identify subsequent inspections understand and apply health and safety requirements while at work. Guidance information published by the Department is available at www.dbh.govt.nz, including the Building Consent Authority Development Guides. Other information about health and safety requirements is available at: Accident Compensation Corporation - www.acc.co.nz Site Safe - www.sitesafe.org.nz Department of Labour - www.dol.govt.nz
	Decisions, judgements and approvals For building consent processing, inspection, and approval functions: ensures the rationale, supporting evidence for decisions, and the outcomes of decisions, are clearly documented ensures all building consent processing, inspection or approval consistently complies with all legislative requirements makes sound judgements that meet legislative and performance requirements and are based on appropriate evidence, data and logic undertakes appropriate follow up action, or correctly follows procedures to enable others to follow up (eg, documenting findings and communicating these to other employees) identifies appropriate conditions of consent and documents the rationale for this identifies fees, charges and levies accurately records relevant data correctly issues building consents, code compliance certificates, compliance schedules, notices to fix, etc clearly identifies and communicates any non-compliance found and suggests where solutions may be found always makes judgements, decisions and approvals within their scope of expertise and authority obtains appropriate peer review and external assessment.	Building consent authorities (BCAs) should have formal policies and procedures underpinning their approval functions. In making assessments the BCA must be satisfied on reasonable grounds that the provisions of the Building Code would be met if the building work is properly completed in accordance with the building consent documentation provided. It is important to remember that BCAs are looking for compliance with the Building Code. It is not their role to design the work or to monitor quality and aesthetics other than where this affects compliance with the Building Code. A BCA must also consider its obligations to other parties involved in the process. For example: New Zealand Historic Places Trust, New Zealand Fire Service, and other departments within the territorial or regional authority. Further guidance information published by the Department is available at www.dbh.govt.nz, including the Building Consent Authority Development Guides.
	Record-keeping Ensures accurate and reliable records and paper trails are maintained to document decision-making processes and outcomes, so decisions can be justified in the future Produces clear and legible documentation Ensures documentation and records are filed correctly Knows how to locate and retrieve information that has been filed	BCAs should have formal policies and procedures setting out the minimum requirements for the legibility and level of information required. ll BCAs' records are publicly accessible. Having a good paper trail that clearly demonstrates the decision path will prove invaluable operationally if any decision-making is later questioned.
	Use of equipment and resources Carries appropriate equipment to provide objective evidence, test materials, and records data to support compliance decisions Correctly uses relevant inspection equipment Keeps up to date all technical resources Ensures equipment that requires calibration is calibrated when required	BCAs should have formal policies and procedures outlining how and when equipment is used and maintained. Standard equipment includes, but is not limited to, digital camera, moisture meter, thermometer, spear/probes, ladder, torch, tape measure, spirit level, manhole lifter, string line, retractable mirror, screwdriver, safety clothing and equipment, first aid kit, technical resources, mobile phone, etc.
Communicates effectively with internal and external people (Refer to regulation 10(3)(e))	Demonstrates effective written and verbal communication skills Liaises with other building consent authority (BCA) employees when appropriate (eg, building consent processing, inspection, administrative, enforcement, etc) Tailors communication to the audience, ensures such communication is clear and accurate, and uses the most appropriate means of communication Understands contextual matters and concerns, and the drivers of stakeholders (eg, building consent applicants, technical specialists, contractors, etc) Provides the right amount of appropriate information to those they are communicating with Manages situations of conflict and endeavours to mitigate risks and unnecessary escalation of issues Receives and actions enquiries, complaints, and problems in a timely and professional manner	BCAs should have a formal policy and procedures outlining communication requirements. Territorial or regional authority templates and communication style requirements should be used. Consider different cultures and language issues.
Complies with the building consent authority's policies, procedures and systems (Refer to regulation 10(3)(f))	Understands and consistently applies organisational systems, processes and procedures Applies the quality assurance system and principles across all aspects of their role Adheres to applicable codes of conduct and ethics, and acts at the levels of professionalism appropriate to their roleWorks within approved limitations Contributes to the development of processes and procedures where appropriate

 

Assess competence

Competency assessments may be carried out in a number of ways. Most sound competency assessment processes use most of the following methods:

• a review of self-assessments
• consideration of work-related experience
• an interview with the employee
• observation of the employee
• a review of completed work/case studies
• a review of performance monitoring and professional development records.

Document outcomes of competency assessments

Once each competency assessment has been undertaken, the results should be documented, which includes recording:

• the scope of each assessment - ie, which core competencies were assessed
• areas where competency was assessed and a sufficient level of competency established
• areas where competency was assessed and considered deficient or in need of remedial assistance
• the types and nature of evidence used for the assessment to justify the conclusions reached
• who conducted the assessment
• any training or professional development needs identified
• any areas of disagreement between the manager and employee
• a concluding statement about the assessment.

One means of recording the outcomes of a competency assessment is to use skills matrices. These can summarise competency by:

• clauses of the Building Code
• categories of buildings (Categories 1, 2 and 3)
• Acceptable Solutions and alternative solutions.

Competency levels can be recorded in the skills matrix - eg, able to be undertaken without supervision (C); able to perform under supervision (S); competent to train others (T).

Examples of skills matrices for employees involved in building consent processing and inspections are contained in the Building Consent Authority Development Guides (section T-17.2). The results of each competency assessment should be discussed with the employee concerned, with the opportunity for the employee to provide feedback.

Decide on organisational skills requirements

Building consent authorities (BCAs) could then combine the individual skills matrices and develop a collective organisational skills matrix. This would help to identify whether the BCA:

• has sufficient in-house competence
• has skill deficiencies
• requires additional resource (eg, by in-house training or seeking additional contract resource).

The outcomes of this process can then be incorporated into organisational planning and operational development.

Implement the necessary actions

The key outcomes that would result from a sound competency assessment process could include:

• a training programme developed for the BCA's collective building control unit, and individualised training programmes for each employee (It is important that such programmes are maintained.)
• an accurate assessment of the scope and level of existing in-house competency of building control employees, so that the BCA can determine if additional contract resources are needed to meet the volume of building control work undertaken or external specialist technical expertise that is not available internally
• sufficient knowledge for a BCA to ensure its building control work is allocated to appropriate people, according to their competence
• the development of planning and operational tools to facilitate the work of BCAs - for example, the development of a resource for a person who books inspections, so they can book each inspection to an appropriately skilled inspector.

Implementation of policies, procedures and systems, and reasons for decision

A building consent authority (BCA) must have appropriate evidence to justify compliance with regulation 6(a) of the Building (Accreditation of Building Consent Authorities) Regulations 2006.

Regulation 6 (BCA's observance of policies, procedures and systems) specifies that a BCA must record:

(a) the means by which it ensures that it implements effectively the policies, procedures, and systems required by these regulations; and
(b) the decisions it makes under the policies, procedures and systems required by these regulations; and
(c) the reasons for the decisions; and
(d) the outcomes of the decisions.

Broadly, regulation 6(a) requires the BCA to record how it ensures that its policies, procedures and systems are implemented and are effective.

The BCA decides how it will record these matters, but it could be through thorough records of:

• training staff on the application of the BCA's policies, procedures and systems
• applying direct observation and peer review of work
• testing/quizzing staff on their knowledge of the BCA's policies, procedures and systems
• undertaking internal audits
• mentoring or buddy systems
• developing targets and key performance indicators (and evidence of meeting these)
• regular team meetings.

One of the key things to remember about recording decisions is that 'if it's not written down, it didn't happen'.

The Building (Accreditation of Building Consent Authorities) Regulations 2006 specify a number of key decisions that need to be supported by documented evidence.

Although the regulations focus on systems and procedures, each system or procedure results in a key decision. For example, a process for vetting building consent applications leads to the decision to accept or refuse a building consent application; and the process around processing a building consent application leads to a decision to grant or refuse to grant a building consent.

In much the same way, a process around establishing the competency of an employee results in a decision as to that employee's level of competency and the skills the BCA needs, as an organisation, to undertake its everyday business.

During an assessment, International Accreditation New Zealand (IANZ) and its technical experts will be looking for evidence to support your key decisions. A common question is 'show me how you decided that'.

The role of IANZ is to determine that the BCA is meeting the regulations and, with the support of its technical experts, that the BCA's systems and processes are appropriate for their purpose (regulation 5).

Accreditation regulation 6(b), (c) and (d) encompass all regulations, as this is the regulation that requires the BCA to record its decisions, the reasons for them and their outcomes.

Decisions that sit within all regulations (encompassed by regulation 6) should be reflected throughout your documentation. Decisions recorded must include both positive and negative outcomes.

The Building Act 2004 requires BCAs to make key decisions to:

• accept a building consent application
• suspend a building consent application
• grant or refuse to grant a building consent
• issue a building consent
• issue or refuse to issue a code compliance certificate
• issue a notice to fix
• issue a compliance schedule.

To satisfy accreditation regulation 6, you must have records to justify each decision, the reasons for the decisions and their outcomes.

Receipt of a building consent acknowledges that the BCA's requirements for a building consent application have been met. The justification for receipt of the application must be recorded - for example, in a vetting checklist. Monitoring use of the checklists will assist in satisfying regulations 5(b) and 6(a). It is important to ensure that timeframes associated with key decisions are accurately recorded and tracked.

The decision to grant a building consent is a technical decision and should be made by people with established competency for that building type. The decision to grant or refuse to grant should be recorded, together with clear reasons (regulation 6 (b), (c) and (d)).

There is no provision to suspend a building consent application for matters beyond compliance with the Building Code. A building consent application cannot be suspended, for example, for requests for further information to satisfy a district plan requirement.

Processes that result in key decisions, and which therefore should be clearly documented, include:

• establishing the competency of employees and contractors
• how training needs, both organisational and personal, are established
• how the effectiveness of training has been established
• how the BCA confirms that its systems and processes are being fully implemented
• how work is allocated (processing and inspections)
• inspection outcomes (approved to continue or not)
• how work is allocated to competent employees.

The accreditation process highlights the fact that, although BCAs are making key decisions all the time, these decisions are generally poorly recorded, leaving IANZ no option but to issue a corrective action request (CAR).

When a CAR is issued about the competency assessment process - for example, if there is no record of how the BCA decided that an individual was competent in a particular field - an on-site re-assessment is likely to be necessary. This may be demoralising for the staff member involved, quite apart from extending the timeframe for achieving accreditation.

Competency assessments are the basis for a number of key decisions within the regulations. Once the competency of all staff performing technical roles has been completed, the BCA can plan fully for training needed to fill any knowledge gaps or put in place provisions to source those skills from elsewhere.

Accreditation assistance package

The Department is using funds remaining from the Government's $3 million accreditation assistance package to provide one-to-one case advisor support to territorial and regional authorities to become accredited as building consent authorities. No further applications for project-specific funding are being considered. So far, $2.85 million of the fund has been spent or committed.

The case advisors are helping territorial and regional authorities: with their new or improved systems and processes; by providing guidance, advice, support and staff training; and by sharing accreditation information and experiences of other territorial and regional authorities working through the process of becoming accredited. Good use continues to be made of the Local Government New Zealand information-sharing website.

* The time taken for these processes is driven by the level of priority each building consent authority gives the process, in terms of resources and response times. At present it is taking many councils several months to undertake the necessary work to resolve issues and build sufficient evidence of effective implementation to address their corrective actions. Sufficient time for this step needs to be factored into councils' accreditation project plans.

** This process, including an independent professional advisory committee review, will usually take several weeks.

Licensed Building Practitioner scheme launched

The Licensed Building Practitioner Scheme, one of a package of Building Act 2004 reforms aimed at ensuring buildings are designed and built right first time, was officially launched on 1 November 2007 by the Minister for Building and Construction, Hon Clayton Cosgrove, in his last days in the role before Hon Shane Jones took over the portfolio.

Mr Cosgrove launched the scheme at a 'builders' breakfast' in Petone, where he explained the scheme to about 80 builders and invited them to take away information. He then presented packs to three building practitioners at a residential building site in Wellington and later launched the scheme to building sector stakeholder groups at a function in the Department of Building and Housing's national office.

Applications can now be made for the first seven licence classes - for designers, builders, site supervisors, construction managers and carpenters. There will be a total of 13 licence classes, with licences for brick/blocklaying, external plastering, roofing and for specialists in concrete, steel structure and building services being introduced from 2008.

The scheme will give national recognition and proof of competency to practitioners across the building industry. They will be able to identify and market themselves as licensed building practitioners, which will give consumers a choice of practitioners whose competence has been proved as part of their assessment.

Initially the scheme is voluntary but, from November 2010, certain work will have to be done, or supervised, by a licensed building practitioner. The Department will work with the sector over the next year to define 'restricted work'.

Practitioners have been able to apply in the first seven licence classes since 1 November. This involves gathering evidence of their skills, experience and knowledge in the industry. Qualifications are not essential.

Not everyone in the industry will need, or want, to get a licence. Even after November 2010, practitioners will be able to do all the work they currently undertake without being licensed; but they will require a licensed practitioner to supervise restricted work.

For the purposes of licensing, buildings have been categorised as Category 1 (residential), Category 2 (residential and low-level commercial) and Category 3 (large and/or public buildings).

Former Building and Construction Minister Hon Clayton Cosgrove shows off an oversized licence at a function on 1 November launching the Licensed Building Practitioner Scheme. Mr Cosgrove presented application packs to carpenter Nathan Hughes (centre), builder David Jacquiery (left) at a residential building site in Wellington, and to designer John Anderson.

The first seven licence classes are:

• Carpentry - for people who supervise or undertake carpentry work on any building
• Site 1 - for practitioners responsible for coordinating and overseeing the construction of Category 1 buildings
• Site 2 - for practitioners responsible for coordinating and overseeing the construction or alteration of any category of building
• Site 3 - for practitioners managing some or all of the construction or alteration of any category of building
• Design 1 - for practitioners designing Category 1 buildings
• Design 2 - for practitioners designing Category 1 and Category 2 buildings
• Design 3 - for practitioners designing Category 1, 2 and 3 buildings.

Practitioners can apply for more than one building licence class (eg, Carpentry and Site 2), but only for one of the three Design licence classes.

Further information about licensing, including a full description of each licence class, is available at www.dbh.govt.nz/pub-licensing-index Information booklets Is Licensing for me? and Understanding the building categories are also available online www.dbh.govt.nz/pub-licensing-brochures or by phoning 0800 60 60 50.

Guidance on outstanding building consents

The Department of Building and Housing is keen to make sure that, where possible, all buildings obtain a code compliance certificate (CCC), to ensure they are built at least to the minimum performance requirements of the Building Code.

Once consented building work is complete, the building owner is required under section 92 of the Building Act 2004 to apply for a CCC. Building consents are considered outstanding if the consented building work has started but has not been completed and a CCC has, therefore, not been issued. Contrary to common belief, the building consent does not lapse after two years, nor is there a legal obligation for owners to complete the building work.

Some building projects do not receive a CCC. This can be because the work is incomplete or non-compliant or, most commonly, because the building owner is simply unaware of the requirement to apply for a CCC. Failure to obtain a CCC may disadvantage the building owner when trying to sell a building.

The Department considers that all building owners who hold a building consent should apply for, and have the opportunity to obtain, a CCC. Accordingly, the Department encourages building consent authorities (BCAs) to have systems and processes in place to actively follow up on building consents where the owner has not applied for a CCC. Such systems and processes should distinguish between:

• building consents granted before 31 March 2005 under the Building Act 1991
• building consents granted since 31 March 2005 under the Building Act 2004.

The Act provides for consents granted before 31 March 2005 to be treated differently to those granted on or after 31 March 2005.

1. Consents granted under the Building Act 1991

Under the Building Act 1991, assessment of building work for CCC purposes is based on compliance with Building Code requirements at the time the consent was granted.

Unlike the Building Act 2004, the Building Act 1991 does not require a BCA to consider whether to issue a CCC after a certain time from the granting of the consent. This means that if an owner does not make an application for a CCC, the building consent is likely to remain outstanding indefinitely.

Suggested follow-up action

The Department encourages BCAs to advise the building owner by letter of the benefits of obtaining a CCC and the current obligation to apply for a CCC once building work is completed.

Such a letter might also:

• seek the status of the building work (complete, or time until completion)
• advise that the BCA has the right to inspect building work under section 90 of the Building Act 2004
• provide a reasonable timeframe for the building owner to respond to the letter.

If the building owner does not reply within the given period, the BCA could arrange to inspect the building work to establish its status, and to seek contact with the owner while on site.

A follow-up letter could advise of any action it will take as a result of the inspection, such as issuing a notice to fix, where there is a breach of the Building Act or Building Regulations (including the Building Code).

A building owner may choose to leave building work unfinished as long as the completed work complies with the Building Act and the Building Code. However, the approach outlined would at least give the BCA a record of the status of consented building work and actions they have taken to date.

2. Consents granted under the Building Act 2004

Assessment of building work for CCC purposes under the Building Act 2004 is based on compliance with the building consent, which should show Building Code compliance. If the BCA is satisfied on reasonable grounds that the building work complies with the consent and all required fees have been paid, there should be no reason for it to refuse to issue a CCC.

If a CCC application has not been made within two years of the building consent having been granted, the Building Act 2004 requires the BCA to decide whether to issue a CCC as if the owner had applied. This will usually require an inspection. The two-year period can be extended by agreement between the building owner and BCA.

Once the application is made, the BCA is required to assess the building work for compliance with the approved building consent and make a decision within 20 working days.

The two-year (or longer as agreed) period enables an owner to be reminded of the need to obtain a CCC and, where appropriate, for one to be issued.

Suggested follow-up action

BCAs should have follow-up systems and processes based on the two-year period for outstanding consents. For example:

1. Two months before the period ends, the building owner could be contacted (letter or visit) to see if the work has been completed and if the owner intends to apply for a CCC before the period ends.

The building owner could be advised that:

• the two-year period ends in two months
• the BCA will decide whether to issue a CCC within 20 working days of the expiry date
• the two-year period can be extended by agreement between both parties.

2. If the period ends with the owner's intentions unclear, the BCA should contact the owner and inspect the building work within 20 working days, and either:

• issue a CCC if the completed building work complies with the building ocnsent
• request further information about the building work during the 20-day period (eg, if the work could not be sufficiently inspected).  The 20-day period is suspended until the information has been received
• agree with the owner to extend the two-year period
• refuse to issue a CCC if the work does not comply with the consent , if any required energy work certificates have not been provided, or if any required development contributions have not been paid.

3. If a CCC cannot be issued due to incomplete work at the end of the two-year period (or longer as agreed), a BCA should also consider whether there are grounds for issuing a notice to fix.

A notice to fix would require a building owner to rectify within a reasonable timeframe any building work that does not comply with the Building Act or Building Code. This approach may also encourage a building owner to complete any outstanding building work and obtain a CCC. However, a notice to fix cannot require an owner to complete an unfinished building project solely on the grounds that the work is incomplete after the two-year period.

If the owner has no intention of completing the full scope of the consented building work, but the building work completed to date complies with the relevant parts of the building consent, the BCA could invite the owner to apply for an amendment to the building consent to reduce the scope of the work so it can meet CCC requirements.

Further information about CCCs is available at www.dbh.govt.nz/bofficials-code-compliance-cert or by emailing info@dbh.govt.nz

Certificates of acceptance

Certificates of acceptance (CoAs) were introduced as part of the Building Act 2004 to confirm that building work, or part of that work, complies with the Building Code.

The Department of Building and Housing is aware of some misunderstanding about, and inconsistency in the use of, CoAs, and wishes to clarify their status.

The most common reason for applications being made to territorial authorities for a CoA is that work has been done without a building consent.

A CoA is intended to establish in law that the unconsented building work is Code-compliant. Territorial authorities are under no obligation to issue them and may choose to prosecute the building owner for building without a consent.

Applications for a CoA must be made on a CoA application form provided by the territorial authority, with fees paid as specified by the territorial authority.

The CoA does not necessarily cover an entire building. It can be limited to work that the territorial authority can verify complies with the Building Code.

For example, a CoA might be sought for a deck that was built without a building consent. The territorial authority may inspect and agree to issue a CoA for the above-ground deck structure, but not for the piles and foundations because it cannot establish if they have been constructed properly and comply with the Building Code.

If an entire house has been built without a building consent the territorial authority may be able to verify little of it as Code-compliant.

It is the responsibility of the applicant, not the territorial authority, to prove the level of compliance achieved.

The Department is aware of some businesses offering to support CoA applications with a survey report explaining the unconsented work undertaken and commenting on its quality and level of Building Code compliance.

Such a report may assist consideration of an application for a CoA, but may not in itself satisfy a territorial authority of compliance.

Any report in support of a CoA application should include:

• drawings and specifications detailing the work
• any photographs taken during construction
• justification of compliance with relevant Building Code clauses.

Some territorial authorities have a list of people from whom they will consider CoA survey reports. Applicants should also check if their territorial authority has any specific requirements before engaging someone to provide a report.

Applicants considering using someone to prepare a survey report supporting a CoA application should ask them about their skills and experience with this type of work.

A CoA cannot be obtained in some situations, including where the work is already covered by a building consent or where the work was undertaken before July 1992. Work covered by a building consent must be done in accordance with that consent and, when the work is completed, application must be made for a code compliance certificate. A CoA cannot be issued for work done before July 1992, when the Building Act 1991 came into force, because, until then, there was no building code for the work to comply with.

There are benefits to applying for a project information memorandum

There are benefits to applying for a project information memorandum (PIM) during the design phase of any building project and before applying for a building consent.

A PIM gives information about land and about legislative or regulatory requirements that might be relevant to any proposed building work. In most cases, a territorial authority issues a PIM. The exception is for proposed dam construction projects, where the territorial authority and the regional authority will each issue a PIM.

The purpose of the PIM is to provide the applicant with information that is pertinent to the design and construction of the proposed building project. It also identifies authorisations needed for the building work under any other legislation that has been notified to the territorial authority (eg, the Resource Management Act 1991, Smokefree Environments Act 1990, and the National Environmental Standards for Air Quality).

There are two ways to apply for a PIM. Consent applicants or designers can make a PIM application during the design phase of a project, before making a building consent application.

An application for a building consent is also deemed to be an application for a PIM, if one has not been previously obtained.

Making an early application for a PIM offers definite advantages, as the information supplied by the territorial authority can usefully inform building design work and allow consent applicants or designers to seek other authorisations that might be needed to undertake a proposed building project well ahead of time.

Content of a PIM

Section 35 of the Building Act 2004 identifies the content of a PIM. The PIM will include information held by the territorial authority that is likely to be relevant to the proposed building work. This information will cover:

• any heritage status of the building and each 'special feature' of the land concerned. Special features include potential natural hazards or the likely presence of hazardous contaminants that are not apparent from the District Plan.
• relevant information in terms of any legislation that has been notified to the territorial authority by another statutory authority
• details of any existing stormwater or wastewater utility systems that relate to the proposed building work or are on, or adjacent to, the site of the proposed building work, or adjacent to the site of the proposed building work
• details of any authorisation required by the territorial authority (or required on behalf of a network utility operator). The PIM will state the requirements of the authorisation(s) and the conditions to which any authorisation will be subject.
• whether the proposed building may require a fire evacuation scheme (under section 21A of the Fire Service Act 1975)
• whether the territorial authority considers that notification to the New Zealand Historic Places Trust is likely to be required (under section 39 of the Act).

The PIM will also provide the applicant either with confirmation that building work may be undertaken or notification that building work may not be carried out. Any confirmation will be subject to the requirements of the Building Act, the requirements of a building consent being met, and all other necessary authorisations being obtained.

The PIM will focus on the 'land concerned', which means the land on which the proposed building work is to be carried out and any other land likely to affect or be affected by the building work.

Benefits

A consent applicant or a designer working on their behalf can apply for a PIM at any time if they are considering carrying out building work where a building consent is required.

The PIM will provide information needed to address certain requirements during the design stage of a building project. These include disclosing issues such as potential natural hazards, hazardous contaminants, the details of stormwater and wastewater systems, and requirements for fire evacuation schemes.

Getting this information during the building design phase avoids risks that the building consent process might disclose unexpected requirements leading to costly additional design work or causing delays in obtaining building consents. Knowing potential site issues and designing to accommodate them can also speed up the subsequent building consent processing, as the building consent review process is likely to face fewer requirements for further information or potential flaws in the proposed building design.

A PIM also allows consent applicants or designers to identify requirements for various other authorisations at an early stage. The PIM will disclose requirements for authorisations that are required by the territorial authority or that have been notified to the territorial authority by another statutory authority, for example resource consents and Historic Places Trust approvals.

The PIM can also give greater certainty to consent applicants or designers by confirming whether or not building work may be able to be undertaken.

PIM application

An application for a PIM is made using Form 2 from the Building (Forms) Regulations 2004. Details to be completed include applicant details, the location of the proposed building, and a description of the proposed building project outlining:

• any change of building use
• the intended building life
• previous consents
• the estimated value of building work
• identification of matters involved in the proposed project, which may include:
  - subdivision
  - land contour alteration
  - utility connections
  - changes to building locations or dimensions
  - changes to vehicle access
  - work adjacent to roads or public places
  - disposal of stormwater or wastewater
  - building work near drains, sewers or water mains
  - other matters that may require territorial authority authorisation.

The territorial authority can request any information it reasonably needs to identify requirements of any legislation applied by the territorial authority. For example, the application for a PIM should include enough information to determine if there are any associated Resource Management Act planning issues. This includes information such as contours and sunlight access plane drawing details. To give the necessary detail to the territorial authority, preliminary design plans should accompany the PIM application, but these do not need to include the comprehensive, technically detailed drawings and specifications required for building consent applications.

Any PIM application must be accompanied by the payment of a charge fixed by the territorial authority.

The territorial authority should issue the PIM within 20 working days of receiving the application, and can suspend the number of working days if more information is required from the applicant.

If the proposed building work relates to a dam, PIM applications should be made to both the territorial authority and the regional authority where the proposed building work is located. This applies whether or not the building is in whole or partly a dam. Building work associated with dams also includes work on appurtenant structures, which are structures integral to the proper functioning of the dam.

Further information about PIMs can be obtained from the Department of Building and Housing website or by phoning 0800 242 243.

Compliance schedules and BWoFs

The Department receives various questions about compliance schedules and building warrants of fitness (BWoFs), particularly the new Form 12A.

Common questions relate to what happens when a building owner cannot lawfully issue a BWoF, because compliance schedule obligations have not been met, and whether the Department has any plans to amend the Form 12A to accommodate non-compliance.

The need for safety underpins the requirements that specified systems in buildings must be maintained appropriately and that the building is safe. These requirements were strengthened as part of the Building Act 2004, with the Building (Forms) Regulations 2004 introducing Form 12A (Certificate of compliance with inspection, maintenance and reporting procedures).

This Form, which provides a link between the independently qualified person (IQP), the building owner and the territorial authority, has had a significant effect on the way BWoFs are issued by building owners. Many building owners are now unable to issue the BWoF because they have not met compliance schedule obligations.

The purpose of BWoFs - public safety - must be considered when looking at the consequences of owners not being able to issue them: a specified system that has not been properly maintained may fail. On that basis, the owners of buildings unable to issue a BWoF should discuss with their territorial authority how they might remedy the situation.

The Department has no plans to amend Form 12A, which is an important part of ensuring that specified systems are properly maintained and can be relied on when they are required - ie, in an emergency.

People involved in the BWoF process should:

• ensure the building's compliance schedule accurately reflects the specified systems within the building
• ensure the compliance schedule is specific to the building and the system
• know their BWoF obligations
• know that BWoFs and Form 12A are not a trigger for upgrading a specified system (any upgrade of a specified system requires a building consent).

The Department has also been asked if it will prescribe a compliance schedule form. The Department does not plan to do this because, as noted above, a compliance schedule needs to be specific to the building and system. Not all buildings have the same specified systems and specified systems are not all maintained in the same way, so the compliance schedule needs to be flexible to reflect this.

More information on specified systems and owners' obligations is available at: www.dbh.govt.nz/bomd-buildings-with-compliance-schedules and Information for building owners and managers [PDF 237 KB, 16 pages]

Register available to help assess engineers' competence

Building consent authorities (BCAs) are reminded of the availability of the Chartered Professional Engineers register to help them determine the competence of professional engineers who have signed producer statements or are reviewing engineering work for them.

Access to the register can help BCAs manage producer statement acceptance processes and decisions, as most BCAs do not have the in-house capability to conduct their own assessments of professional engineering competence. BCAs are also reminded that acceptance of producer statements is discretionary. Each BCA must decide whether to accept them and decide how much weight, if any, a producer statement will be given in their certification process.

The title Chartered Professional Engineer (CPEng) is the only statutory-backed quality mark of current competence for professional engineers in New Zealand, and only engineers on the CPEng register can use this title.

The Chartered Professional Engineers of New Zealand Act 2002 appointed the Institution of Professional Engineers (IPENZ) as the registration authority with exclusive responsibilities for administering the register. By statute, IPENZ is required to perform assessments of competence in professional engineering (across all fields of engineering) and to operate a complaints and disciplinary system. The way the registration authority carries out these functions is governed by regulations (referred to as the CPEng Rules). The CPEng Act also created the Chartered Professional Engineers Council to monitor the performance of the functions of the registration authority, providing independent confirmation that the CPEng Act is being properly administered.

IPENZ is also the professional body representing engineers in New Zealand. The functions of IPENZ as a membership body are distinct from those it undertakes as the registration authority.

CPEng register assessment process

CPEng registration is based on 'current competence' and professional engineers are required to be assessed at least every five years to maintain their registration.

The CPEng Rules prescribe the assessment process. Applicants must provide evidence that they are able to undertake each of 12 elements of engineering performance. Evidence is normally taken from recent work samples and from qualifications or other formal learning. This evidence is assessed by a trained panel of professional engineers who can interview the candidate, set written assignments, and request more work samples and referees as they consider necessary. The panel's recommendations are moderated to ensure consistency before a final decision is made. Re-assessment for continued registration follows a similar process.

Engineering bodies from three other countries reviewed New Zealand's competence assessment process in 2006 and confirmed it met international best practice.

Using the CPEng register

BCAs could use the CPEng register to:

• help confirm a professional engineer's current competence and good ethical standing, as determined by the registration authority
• identify an engineer whose registration has been suspended or placed in abeyance
• identify any disciplinary actions taken against an engineer in the last three years
• provide a mechanism to address instances of poor quality work
• access the procedure for handling complaints about a CPEng.

As part of the requirements for accreditation, BCAs must document the processes and procedures they use in performing their building control functions. They may choose to consider using the following steps as part of the basis for accepting producer statements from engineers.

1. Accept producer statements using the form developed by IPENZ, the Association of Consulting Engineers (ACENZ) and New Zealand Institute of Architects (NZIA). This form requires the submitter to have a sufficient level of professional indemnity cover in support of his/her professional opinion.
2. Note that under the CPEng Rules, CPEng registrants are required to work only within their competence, so a CPEng's signature on a producer statement is tacit affirmation by that person that they consider themselves competent to make the declaration in the statement (otherwise they would be breaching the code of ethics). To avoid any doubt, a BCA could request that a producer statement be accompanied by a written declaration that the engineer has the necessary competence.
3. Check the CPEng register on the IPENZ website - www.ipenz.co.nz/ipenz/finding/cpeng/ - to confirm the engineer is currently a CPEng. The register has contact details for each CPEng who has agreed to their details being listed, and the year their next competence re-assessment is due.
4. If the work to which the producer statement relates is sufficiently complex, instigate a review by another professional engineer on the CPEng register, noting that the reviewer has the same obligation as the submitter to work within his or her competence.
5. If a professional engineer submitting a producer statement is not a CPEng, the BCA could consider requiring a peer review of the statement by a CPEng.

Ultimately it is up to individual BCAs to decide on what basis they will accept producer statements, how they will use information on the CPEng register and what other supporting information they may also require. Their approach needs to be documented in their processes and procedures for accreditation.

CPEng complaints procedure

If a BCA believes a CPEng registrant has submitted poor-quality work (eg, through lack of care or insufficient detail) or has worked outside their technical competence (ie, lacks the necessary knowledge and skills to perform the work), the BCA has two options for ensuring that it has properly performed its functions.

1. For serious matters, use the complaints process (as prescribed in the CPEng Rules).
2. For less serious matters, provide written notice to the CPEng concerned, with a copy to the registration authority, that the BCA considered the work submitted was not to the quality it might reasonably expect of a competent professional engineer.

IPENZ, as the registration authority, can act in either case. It has powers to suspend or remove registration or, for less serious matters, to order an immediate re-assessment of the registrant. By reporting the matter to the registration authority, the BCA is supporting all other BCAs as well as the national occupational regulatory system as a whole.

On receiving a notice from a BCA, IPENZ will consider whether the matter is an isolated incident, or whether notices have been issued by other BCAs about the same CPEng. If the notice suggests a lack of competence, IPENZ will require the engineer to undertake an immediate re-assessment of competence for continued registration. If two notices are received about the same CPEng in any 12 months, IPENZ will automatically require the engineer to undertake an early assessment for continued registration.

If there is evidence of a breach of ethical conduct, or of negligence or incompetent practice of a serious nature, IPENZ can initiate its own complaint and begin disciplinary proceedings against the engineer in accordance with its complaints procedure as prescribed in the CPEng Rules. This involves:

1. a complaints research officer confirming if the registration authority has jurisdiction over the complaint, in accordance with the grounds for a complaint as prescribed in the CPEng Act. The complaint either proceeds to the next step or is dismissed because it does not meet the grounds for a complaint
2. an investigating committee being appointed to investigate the complaint under CPEng Rules. The committee decides if there is a prima facie case that should be referred to a disciplinary committee, otherwise it must dismiss the complaint
3. a disciplinary committee being appointed to hear the complaint and to decide whether the matter meets the grounds for discipline (as prescribed in the CPEng Act) and, if so, the appropriate disciplinary penalties (removal, suspension, censure, fine). All disciplinary actions are publicly notified and recorded on the register.

Further information

For further information about the CPEng register, contact:

Jeff Wastney, Registrar
Institution of Professional Engineers New Zealand (IPENZ).
Email: jwastney@ipenz.org.nz
DDI: (04) 474 8983
Fax: (04) 474 8933
Mobile: (021) 479 858

Further information

Further information about the Building Consent Authority Accreditation and Registration Scheme is also available on the Department's website - www.dbh.govt.nz/bofficials-bca

Further information about IANZ is available at www.ianz.govt.nz

For general enquiries about the Building Consent Authority Accreditation and Registration Scheme or the accreditation assistance package, please contact one of the following people at the Department of Building and Housing.

Building Consent Authority Accreditation and Registration Project
Consent Authority Capability and Performance Group
Department of Building and Housing
PO Box 10-729, Wellington
Telephone: 0800 242 243

Malcolm MacMillan
ManagerConsent Authority Capability and Performance Group
malcolm.macmillan@dbh.govt.nz

Aimee Chalmers
Manager Performance Monitoring and Review
aimee.chalmers@dbh.govt.nz

Andrew Minturn
Senior Advisor BCA Accreditation and Registration
andrew.minturn@dbh.govt.nz

Zoe Dryden
Project Manager BCA Assistance Package
zoe.dryden@dbh.govt.nz

For specific enquiries about applying for accreditation, accreditation assessments, the accreditation assessment process and scheduling, accreditation fees, corrective actions and how to interpret them, or the standards and criteria for accreditation, please contact:

International Accreditation New Zealand (IANZ)
Private Bag 28-908,
Remuera, Auckland
Telephone: (09) 525 6655

Geoff Hallam
Programme ManagerInspection Body Accreditation
ghallam@ianz.govt.nz

David Sidwell
Accreditation Officer
dsidwell@ianz.govt.nz

Chris Astbury
Accreditation Officer
castbury@ianz.govt.nz

Further information about regulatory responsibilities relating to dams and regional authorities' building control and building consent authority functions can be obtained from Hassan el Maaroufi (hassan.el.maaroufi@dbh.govt.nz) or Andrew Minturn (andrew.minturn@dbh.govt.nz) or by phoning them at the Department on 0800 242 243.