Findings of the review
Criterion 9 - Compliance schedules and the building warrant of fitness regime
Purpose
To evaluate the effectiveness of the Council's compliance schedules and the building warrant of fitness (BWOF) regimes.
Background
Buildings containing certain life safety features and essential building systems, such as fire alarms, sprinklers and lifts, require a compliance schedule. The owner of the building must ensure continued effective operation of those features and systems, and demonstrate it by holding a current BWOF. The Building Act 1991 also imposed responsibilities on building owners and the territorial authority when the use of a building is to be changed and that change of use requires alterations to the building to bring that building into compliance with the Building Code (section 46).18
Initial review
The initial review found that the Council did not have an adequate building warrant of fitness regime. The Council had no formal policy or procedures for ensuring a compliance schedule was issued for new buildings with specified systems, and was not fully aware of its legal responsibilities for compliance schedules and building warrants of fitness or the offence provisions and penalties in the Building Act 1991. Checks by the Department of several commercial buildings found that many failed to display current BWOFs.
| Recommendations to the Council |
Action taken by the Council before the follow-up review |
| Instigate and proactively follow up appropriate enforcement action for all non-compliance of BWOF-related issues. |
The Council took action to follow up all outstanding BWOFs. |
| Review its policies and procedures for enforcing breaches of sections 45 and 80 of the Building Act 1991. |
The Council has not implemented this recommendation. |
| Ensure it has appropriately trained technical staff to ensure the effective operation of the BWOF regime. |
The Council provided training opportunities for its compliance officer. |
| Combine the databases containing compliance schedule and BWOF information into one comprehensive database. |
A single database for compliance schedules and BWOF management was developed and populated. |
| Implement an internal audit procedure whereby at least 10 percent of the buildings requiring BWOFs are audited per annum, with particular focus on buildings that have high occupancy loads or higher-risk sleeping purpose group activities (eg, hostels, backpackers, public buildings). |
An annual audit of BWOFs, with a focus on high occupancy loads/high-risk activities, was implemented during the review. |
Follow-up review
The Department found that the Council had substantially improved its checking and follow-up work in its compliance schedule and building warrant of fitness operations. The Council had only one outstanding building warrant of fitness, which was for a building owned by a person who is not a resident of New Zealand and who the Council was attempting to contact. The Council had also actively pursued training for its compliance officer, who had attended a 2-week BRANZ Construction Industry Training Enterprise building control course.
However, the Department also found that the Council had not developed or implemented any formal policy or procedures for its compliance schedule and BWOF regime. The Council advised that it is reluctant to develop any policies or procedures in isolation from the Mainland Building Consent Authority Group and was also awaiting the accreditation standards and criteria for the building consent authority accreditation scheme.
| Recommendations to the Council |
Response from the Council |
| Ensure policies and procedures for issuing compliance schedules and annual building warrants of fitness, once implemented, are adequate and fit for their purpose. |
In September 2006 the Council advised that its system for compliance schedules and BWOFs had been significantly revised.
New standards for documentation have been developed and communicated to Independent Qualified Persons (IQPs).
The Council advised that all outstanding BWOFs are either being followed up with the IQPs concerned or have received a notice to fix.
Formal policies and procedures are being developed as part of the Mainland Building Consent Authority Group's work.
The Council also noted recent staff turnover affected its operations under this criterion.
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| Ensure Council staff are appropriately trained in the use of the policies and procedures, once completed. |
The recommendation is yet to be actioned. The Council advises it continues to use an annual audit by an external consultant as a training mechanism.
During the review, the Council's Compliance Officer resigned and a replacement is in the process of being appointed. The replacement will need to undergo extensive training.
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| Continue to undertake audits of building warrants of fitness. |
Annual external audits are undertaken by an external consultant. |
Conclusion
The Council has progressed a number of the recommendations made under this criterion. In particular, we note that the Council has endeavoured to improve its monitoring, follow-up and enforcement activity in its compliance schedule and BWOF system. It has also developed a single database for compliance schedules and BWOF management. We support this proactive approach.
However, as with a number of the Department's process-based recommendations covered in this report, the Council has still to formalise its policies and procedures. We note that such work is being progressed as part of the Mainland Building Consent Authority Group's programme.