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Technical review of the building control operations of Far North District Council summary report: Overview

Published in July 2008

Purpose

This report summarises the technical review of Far North District Council's (the Council) building control functions. The Department carried out the review in January 2008. The review followed a number of complaints received by the Department that the Council was not meeting the statutory timeframes in the Building Act 2004 (the Act) for processing project information memoranda (PIM) and building consent and had some deficiencies in its assessment and approval functions.

Structure and content

Terms of reference for the review are on page 11. They concentrate on the Council's PIM and building consent processing activity and its certification procedures.

Key findings from the review

The review found the Council was performing well in many areas.

When processing applications, the Council is:

  • processing most PIM applications within the timeframes required by the Act
  • including hazard information on PIMs and following procedures surrounding land subject to natural hazards
  • checking building consent applications involving building on two or more allotments.

In administrative/support areas the Council is appropriately:

  • delegating functions and issuing staff with warrants
  • collecting and recording building control statistics
  • using a number of strategies to try and recruit additional staff (although it still has capacity limitations)
  • providing technical equipment and resources for building inspection staff
  • providing access to and storage of building consent documentation.

The review identified a number of areas where the Council is facing some performance challenges. Addressing these issues will improve the quality of service to its customers and compliance with the Act. The key issues are noted below.

Effective implementation of systems, policies and procedures

The Council has recently developed formal policies and procedures for building control work. Some procedures still need improvement and many still need to be effectively implemented.

When processing applications, the Council needed to:

  • improve consent vetting procedures
  • implement an effective quality assurance system
  • ensure processing checklists are used properly
  • improve technical assessments of Building Code compliance
  • consistently record assessments and decisions on each file
  • ensure procedures are consistently followed
  • use consent conditions and plan notations consistently and appropriately.

The Council's response

Subsequent to the review, the Council says it has carried out the following initiatives to improve its building consent processing procedures. The Council has:-

  • provided training to vetting officers on building consent information requirements
  • implemented a sounder internal audit system, a procedure for continuous improvement, and a document control procedure
  • provided training around the correct use of checklists. The Council expects its new internal audit and continuous improvement procedures will lead to the revision of the checklists to ensure they are appropriate and user-friendly
  • developed a series of project-specific checklists, along with checklists that prompt individual building officers to seek and receive supervision and peer review
  • undertaken competency assessments of all technical staff, both in-house and by a using a technical expert consultant. This has enabled the Council to better identify knowledge and skills deficiencies, supervision requirements for staff, and training needs
  • The Council is in the process of implementing its training programmes and works with members of the Northland Cluster Group, and individual training providers, to achieve focused and cost-effective training
  • undertaken staff training and internal audits to ensure its decision-making is better recorded and help ensure its processes are consistently followed and appropriate remedial action can be taken when this is needed
  • developed a system to track non-compliance by procedure and by individual. Repeat internal audits are undertaken to follow up on remedial actions
  • provided training on appropriate conditions, information and compliance requirements
  • placed a strong emphasis on improvement. The focus is on staff continuing to take ownership of the procedure manual, staff training and enhancing procedures to specifically fit the District's particular requirements.

Compliance with statutory obligations

The Council was approving some building consent applications where the plans did not demonstrate compliance with the Building Code. There were also associated problems assessing alternative solutions and producer statements. To improve its decision-making in these areas, the Council needed to:

  • develop more effective checklists/prompt sheets to help staff process consents
  • conduct regular technical audits and peer review of completed work
  • improve procedures for processing building consent applications to improve timeliness
  • ensure requirements under other acts are considered when processing PIMs (eg, Fire Service Act 1975)
  • improve assessment of applications involving the change of use of a building
  • train Council staff in legal and technical requirements of the Building Act, Building Regulations, and Building Code
  • fulfil its building levy obligations.

The Council's response

Subsequent to the review, the Council advises it has undertaken the following initiatives to improve its compliance with statutory obligations. The Council has:

  • revised its checklists to help ensure peer review and supervision is provided as required. The Council aims to increase technical auditing of building consent applications undertaken by senior staff
  • amended its relevant procedure T-08 (project information memorandum) 
  • completed competency assessments that have highlighted the need for ongoing training in the area of change of use of a building. Training is planned to enable assessment of this type of application in compliance with sections 112-115 of the Act
  • approved individual and organisational training programmes for staff to address individual deficiencies found at competency assessment, and the organisational needs of the Council. Some individual and group training has already been provided by a technical expert consultant
  •  implemented a contingency plan so the Council can meet its statutory obligations in the event of the absence of key staff members.

Technical competence and capacity

Some Building Act, Building Regulations (eg, Building (Specified Systems, Change the Use, and Earthquake-prone Buildings) Regulations 2005), and Building Code requirements were not adequately understood by staff. Hence, building consents were sometimes being issued when applications did not always comply with these requirements. To improve the quality of its assessment, the Council needed to:

  • continue to assess staff members' technical skills and expertise
  • consider outsourcing work internal staff cannot competently assess (or use contractors)
  • train staff who make technical assessments/decisions.

The Council's response

The Council advises it has undertaken the following initiatives to strengthen its overall technical competency and the capacity of its building control team. The Council has:

  • conducted extensive competency assessments of most technical staff, both by competent in-house assessors and by an external technical expert
  • contracted the necessary external expertise to provide assistance and technical leadership
  • continued its recruitment drive for technical and administrative staff
  • developed training plans, and identified individual and organisational weaknesses. The Council, as part of the Northland Cluster Group, is actively seeking to pool resources to provide cost-effective staff training of all member councils by competent senior staff members
  • undertaken an organisational review, creating an additional position of Administration Manager, developing a plan to cross-skill project information memorandum and vetting officers, and train administrative staff to carry out various administrative building control tasks
  • moved its central processing unit to Kerikeri which is in the heart of the fastest growing area of the district. This increases the interaction between applicants (designers and builders) and the Council and will lead to better educated applicants, better service from the Council, and improved performance. The move to Kerikeri also means the Council is closer to many of the contractors who will provide technical expertise that may be lacking in-house.