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Code compliance certificates (CCCs)

The code compliance certificate provisions under the Building Act 2004 came in to force on 31 March 2005.

A code compliance certificate is a formal statement, under section 95 of the Act, that building work carried out under a building consent application complies with that building consent.

The Building Act 2004 introduces a number of changes surrounding the application for, and processing and issuing, of code compliance certificates. Major changes include that:

  • the code compliance certificate is issued if the building work complies with the building consent
  • only the building consent authority that granted the building consent can issue the code compliance certificate (unless an agreement is made)
  • at the expiry of 2 years from the date the consent was granted the building consent authority must decide on whether to issue a code compliance certificate. The decision must be made within 20 days of the expiry (or a further agreed period).
  • interim code compliance certificates can no longer be issued
  • it is an offence to use or permit the use of public premises affected by building work that has no code compliance certificate or certificate for public use
  • it is an offence for a residential property developer to transfer a household unit without a code compliance certificate. This does not apply to contracts entered into prior to 30 November 2004.

When undertaking a final inspection for a code compliance certificate, a building consent authority will need to ensure the building consent documents accurately reflect the work on the site.

Building consent authorities will need to be proactive in the way they manage issuing code compliance certificates. This will include establishing clear expectations with applicants who apply for a building consent, and developing a clearly documented and transparent process for managing code compliance certificates.

Building owners, occupiers or controllers will need to ensure any building work affecting public premises has a code compliance certificate or a certificate for public use before the part of the premises affected by the building work is used by members of the public.

Any outstanding building work that was started or consented before 31 March 2005 has until 31 March 2010 to obtain either a code compliance certificate or a certificate of acceptance.

These changes will have a significant impact on the operational activities of a building consent authority.

Location in Building Act 1991 Location in Building Act 2004 Description
Part V - Building work and use of buildings
Notices of rectification		 Part 2 - Building
Subpart 3 - Building work Code compliance certificate, certificates of acceptance, and compliance schedules		 Section 43 of the Building Act 1991 concerning code compliance certificates is equivalent to Part 2, Subpart 5, sections 91-95 of the Building Act 2004.

See page 25 of the Building Officials’ Guide to the Building Act 2004 which contains a flowchart of the building compliance process.

Application for a code compliance certificate

When the application should be made

The owner must apply for a code compliance certificate after all work set out in the building consent approval has been completed. If no application is made before the expiry of 2 years from the date the building consent was granted, the building consent authority must decide whether to issue the code compliance certificate. The building consent authority and the owner can agree to extend the timeframe above.

Recommendation - The building consent authority should make clear to the applicant at the time the building consent is granted that:

  • the applicant has an obligation to apply for a code compliance certificate on completion of the building work
  • the building consent authority must decide within 2 years whether to issue the code compliance certificate.

Who to make the application to

The owner must apply to the building consent authority that granted the building consent for a code compliance certificate. However, an agreement can be made between the owner and another building consent authority for that building consent authority to issue the code compliance certificate.

What the application must include

This application must be on Form 6 from the Building (Forms) Regulations 2004. It must include generic information as well as the following.

  • Evidence of ownership (certificate of title, lease, sale and purchase agreement).
  • Details of authority from the owner if an agent of an owner applies for the code compliance certificate.
  • Details of the people who undertook the work, including registration numbers if applicable.

The Building Act 2004 requires this form to be accompanied by certificates relating to any gas fitting or prescribed electrical work (energy work) that has been carried out.

Licensed building practitioners’ certificates

When the licensed building practitioner scheme comes into force, applications for code compliance certificates must include certificates issued by licensed building practitioners that state:

  • the restricted building work complies with the building consent
  • if applicable, any specified systems in the building to which the restricted work relates are capable of performing to the performance standards set out in the compliance schedule attached to the building consent.

Processing an application for a code compliance certificate

Processing time

The building consent authority has 20 working days in which to decide whether to issue the code compliance certificate, following either:

  • the application for a code compliance certificate, or
  • expiration of the 2-year or agreed period since the date the building consent was granted (if no application has been made).

If either party considers 20 working days to be insufficient time, the building consent authority and the owner may agree on a further period of time. The building consent authority must then decide whether to issue a code compliance certificate within the agreed time-frame.

Within the 20 working days or agreed period, the building consent authority can reasonably request further information about the application for a code compliance certificate. If this is the case, then the time period is suspended until the building consent authority receives that information.

Recommended procedure

There is now a prescribed time period in which a building consent authority has to decide whether to issue a code compliance certificate. The building consent authority should therefore develop a formal procedure to follow when no application for a code compliance certificate has been made. This could include the following steps.

1. Two months prior to the expiry of the application period

The owner should be contacted (eg, by phone, letter or a visit). This contact should establish whether the work has been completed and whether the owner intends to apply for a code compliance certificate before the application period expires. The contact should convey several key messages.

  • The 2-year period is due to expire in two months.
  • The decision to issue a code compliance certificate can be made by the building consent authority within 20 working days of the expiry date.
  • There is an option to make an agreement with the building consent authority to arrange a further time period in which to apply for the code compliance certificate.

2. One month prior to the expiry date

Where no response from the owner is received or where the owner’s intention has not been made clear, a follow-up should be made.

3. Application period has expired

If the owner’s intention is not clear, contact with the owner should be made and the building work inspected before 20 working days have passed. As a result of this inspection, one of the following decisions concerning the code compliance certificate should be made.

  • Where the building work complies with the building consent, the code compliance certificate can be issued.
  • A building consent authority can refuse to issue a code compliance certificate if the work does not comply with the building consent, or an energy work certificate has not been provided, or a development contribution has not been paid.
  • A building consent authority can request further information about the building work during the 20-day period (eg, where the building work could not be sufficiently inspected). The assessment period is suspended until the information has been received.
  • If contact is made with the owner, the building consent authority can reach an agreement with the owner that a further period of time can be allowed before a decision on a code compliance certificate is made.

It must be made clear to the owner that if they do not supply the requested information it may not be possible to issue a code compliance certificate.

Issuing a code compliance certificate

Who can issue

Only a building consent authority can issue a code compliance certificate. This building consent authority must have granted the building consent. Another building consent authority may issue a code compliance certificate, but only if both the owner and that building consent authority agree.

When to issue

Once any fees (including any development contribution owing) have been paid and all matters outlined below have been considered, the building consent authority must issue a code compliance certificate on form 7 of the Building (Forms) Regulations 2004.

Offences

It is now an offence to use, or permit to be used, public premises that are affected by building work that do not have a building consent, code compliance certificate or certificate for public use. There is a transitional provision for building work consented or started before 31 March 2005 that affects public premises, so that section 363 does not apply until 31 March 2010. It is also an offence for a property developer to transfer a household unit without a code compliance certificate.

This does not apply where the sale and purchase agreement was entered into prior to 30 November 2004. Building consent authorities will need to be aware of the offences and, where possible, alert building owners and residential property developers to these offences.

Building consent

The building work to which the code compliance certificate relates must comply with the building consent.

Compliance schedules and compliance schedule statement

If a compliance schedule (whether new or amended) is required as a result of building work, the building consent authority must issue that compliance schedule with the code compliance certificate.

Where a compliance schedule has been issued for the first time, the territorial authority must issue a compliance schedule statement before or with the code compliance certificate. This statement replaces the statement of fitness required by the Building Act 1991, and states that all the systems and features listed in the compliance schedule are functioning at the date of issue.

Where a compliance schedule is new or has been amended as a result of building work, or where a compliance schedule statement is being issued, the building consent authority must be satisfied on reasonable grounds (eg, through statements from independent qualified persons) that the specified systems meet the performance standards set out in the building consent before they issue the code compliance certificate.

Warnings and bans

A building consent authority must not issue a code compliance certificate for building work if doing so results or could result in a person breaching a ban made by the Chief Executive of the Department of Building and Housing on a building method or product.

Energy work

The application for a code compliance certificate must include certificates relating to any gas fitting work or prescribed electrical work. Failure to provide an energy work certificate is sufficient reason for the building consent authority to refuse to issue a code compliance certificate.

Development contribution

Payment of any required development contribution must be made prior to issuing the code compliance certificate. Alternatively, a copy of a written agreement between the owner and the territorial authority can be made stating that the code compliance certificate may be issued.

Considerations for implementation

  • Is there a process in place to ensure a copy of the building consent documents will be on site for building officials to check when doing inspections and undertaking a final inspection for a code compliance certificate?
  • Has a process been set up to proactively follow up on building consents within the 2-year period?
  • Is there a process in place to check specified systems prior to issuing a code compliance certificate?
  • Is there a process in place to issue a compliance schedule statement (previously the statement of fitness) with the code compliance certificate and compliance schedule?
  • Is there a process in place to check that the development contribution has been paid prior to issuing a code compliance certificate?