The purpose of this document is to provide guidance to building owners (and their agents) on how to meet the requirements of the Building Act 2004 (the Building Act) relating to building warrants of fitness, compliance schedules and related matters.
This guidance is particularly relevant to the owners of any building that is not a stand-alone house (unless the house has a cable car) because the building owner is responsible for ensuring any specified systems (which have mostly life safety systems) continue to ensure the building is safe for people to enter, occupy or work in.
This guidance primarily covers:
- how a compliance schedule is developed
- the building warrant of fitness process
- amending a compliance schedule
- useful information when buying a building with a compliance schedule.
For a quick overview of the compliance schedule and building warrant of fitness system, please refer to the roadmap flowcharts on page 6. This will identify the start point and the procedure for the scenario that best suits the reader’s situation. There are three scenarios which deal with existing compliance schedules. They are:
- a building with an existing compliance schedule
- an amendment to a compliance schedule triggered by a council decision, the owner’s request or on the recommendation of an independent qualified person
- an amendment to a compliance schedule triggered by a building consent.
For the purposes of clarity and logical sequencing, this document follows the early life of a new building with specified systems from design, construction, occupation, through to on-selling the building. The commentary focuses primarily on matters associated with specified systems, compliance schedules and building warrants of fitness, and not on the building consent process.
A story based on the life of a new commercial building provides a real-life example of the compliance schedule/building warrant of fitness process and there are also a number of supporting notes throughout the document.
For those building owners who are still uncertain about what is required under the Building Act after reading this guidance, it is strongly recommended that they seek appropriate professional advice (for example, from an independent qualified person or the local council’s building control department).
The Building Act 2004
The Building Act is the primary piece of legislation governing buildings in New Zealand. It sets the requirements for the construction, alteration, demolition, use and maintenance of new and existing buildings. The Building Act’s purpose is to ensure buildings are safe and built right first time. It is administered centrally by the Department of Building and Housing (the Department) and is regulated locally by regional, city and district councils.
Under the Building Act, the New Zealand Building Code (as part of the Building Regulations) defines the minimum standards buildings must meet for the whole of New Zealand.
The Building Act also requires the owner of a building with specified systems (such as sprinklers, lifts, fire alarms) to have a compliance schedule and to provide the council with an annual building warrant of fitness to confirm that the building’s specified systems are being maintained and are operating effectively.
You can get more information about the Building Act 2004 online.
Explanation of terms
The following explanations of terms used in this document are for the purposes of this document only. When using these terms please refer to the Building Act, Building Regulations and other primary sources for their full definitions.
Building consent: An approval issued by a building consent authority (the building control department of the district, city or regional council) to undertake building work in accordance with the approved plans and specifications.
Code compliance certificate: A certificate issued by a council, at the completion of building work, confirming that the council is satisfied on reasonable grounds that the building work undertaken complies with the Building Code and approved building consent.
Commercial building: A building or use of a building where any natural resources, goods, services or money are either developed, sold, exchanged or stored. For example, a bank, car-parking facility, computer centre, office, restaurant, shop, showroom or storage facility.
Compliance schedule: A document issued by a council for buildings containing specified systems. The compliance schedule states the specified systems, their performance standards and includes the inspection, maintenance and reporting procedures needed to keep them in good working order.
Compliance schedule statement: A written statement issued by a council as temporary public notification of the specified systems covered by the compliance schedule for a building and where the compliance schedule is kept. It is not a statement about the performance of the specified systems listed. It is required to be publicly displayed for 12 months from the issue of the compliance schedule. It is then replaced by the first building warrant of fitness.
Council: A district, city or regional council having the jurisdiction over the area where a building is located. Most councils are also building consent authorities that issue building consents, code compliance certificates and compliance schedules.
Form 11 – Application for amending a compliance schedule: This form is used to formally advise the council of any change required to a compliance schedule. Refer to Appendix 2 for a worked example.
Form 12 – Building warrant of fitness: A written statement issued annually to the council, a copy of which is also publicly displayed in the building. The building warrant of fitness is a declaration by the building owner, or the building owner’s agent, that all the specified systems in the building have been inspected, maintained and reported in accordance with the compliance schedule for a period of 12 months prior to the issue date.
The warrant of fitness for a building must be prepared in accordance with the prescribed form (Form 12) in the Building (Forms) Regulations 2004. Refer to Appendix 3 for a worked example.
Form 12A – Certificate of compliance with inspection, maintenance and reporting procedures: This form is used as verification that the inspection and maintenance procedures under the compliance schedule have been carried out. They are issued by each independent qualified person who undertook inspection or maintenance of the building’s specified systems. Refer to Appendix 4 for worked examples.
Independent qualified person (IQP): A person (or firm) approved by a council as qualified to inspect, maintain and report on specified systems.
Inspection and maintenance reports: Annual written reports which are kept with the compliance schedule for at least two years. This includes log books and test certificates.
Performance standard: The level of performance a specified system was intended to meet, and to continue to meet, at the time it was designed and installed in a building.
Resource consent: A document issued by council giving town planning approval for certain activities and buildings on a property (covered by the Resource Management Act 1991).
Specified systems: Specified systems are systems or features that contribute to the proper functioning of a building. Specified systems require ongoing inspection and maintenance to ensure they function as required, because if they fail to operate properly, they have the potential to adversely affect health or life safety.
The specified systems are listed in Schedule 1 of the Building (Specified Systems, Change the Use, and Earthquake-prone Buildings) Regulations 2005, and in Appendix 1 of this document. Examples include, but are not limited to, sprinkler systems, fire alarms, lifts, escalators and cable cars.
Third-party verification: A process a council can use for getting an independent party to confirm that a specified system has been installed and is functioning to the required standard so they can be satisfied on reasonable grounds that the work complies with the Building Code and the performance standard specified in the design. Verification might include installation certificates, commissioning results and test reports.
The responsibilities of building owners
If you own a building that contains specified systems the Building Act requires you to have a compliance schedule and you must ensure the effective operation of all the specified systems for the life of the building. This requirement does not apply to single household units (residential homes) unless they have a cable car. This is achieved by continuously meeting their respective performance standards and all the inspection, maintenance and reporting requirements of the compliance schedule issued by the council.
To help ensure your responsibilities have been met, the Building Act requires you to sign, issue and publicly display an annual building warrant of fitness and provide a copy annually to the council whose district the building is in.
It is also your responsibility to keep the compliance schedule in the location nominated on the compliance schedule statement and building warrant of fitness, so that it, and other documents are readily available for inspection by authorised people (such as council inspectors, fire service personnel and independent qualified persons). These include annual written reports, log books (records of inspections by owner/tenant/maintenance and inspection personnel) and test certificates which are to be filed, for at least two years, with the compliance schedule.
Roadmap for three scenarios involving existing compliance schedules
How a compliance schedule is typically developed
Applying for a building consent
When you apply for a building consent for a new (or existing) building with specified systems, you will need to provide information with your application to enable the council to compile (or amend) the compliance schedule.
The council will require details of the design features of the specified systems and proposed procedures for inspection, maintenance and reporting so they can be included in the compliance schedule. This will also include the performance standard a specified system is intended to meet, and to continue to meet, for the life of the building. For example, a fire alarm system may be required to meet New Zealand Standard 4512:2003.
Example
Murray and Harry decide to invest in commercial real estate and they propose to build a single-storey warehouse as a bulk retail store with associated offices on a mezzanine floor.
Murray and Harry like the architect’s preliminary design and instruct her to prepare detailed plans and specifications to enable them to apply for a building consent.
The architect employs several engineering consultants (such as structural, fire and mechanical services) to assist her in preparing building consent documentation. The proposed building includes the following specified systems:
- automatic fire alarm
- access-controlled doors
- emergency lighting
- mechanical ventilation
- signage to specified systems (eg, signs related to manual fire alarm call points)
- final exits
- fire separations
- exit signage.
The building consent application, along with the completed plans and specifications, is lodged with the council. The application includes information provided by some of the engineering consultants about the design and ongoing inspection and maintenance requirements for all the specified systems in the building.
Note: Our website has freely available information on resource and building consents under the Resource Management Act 1991 and the Building Act 2004 [PDF KB, pages]
Note: A building owner can authorise others to act on their behalf. For example, an architect or engineer can apply for a building consent, or a property manager can sign and issue a building warrant of fitness on your behalf.
Note: Building work in an existing building that includes altering, adding to, or removing specified systems may require a building consent and/or an amendment to a compliance schedule – refer to section 8.2, page 14.
Note: Refer to the following link for freely available guidance material titled ‘Guide to applying for a building consent (residential buildings)’
Building consent issued
When issuing a building consent, the council must state whether the building requires a compliance schedule. Where the building requires a compliance schedule, the council must state the specifi ed systems and the performance standards the systems must meet (as provided by the consent applicant).
The building consent should also specify what documentation the applicant is required to provide to the council when construction is complete and before a code compliance certifi cate will be issued. This documentation may include certifi cates from installers of specifi ed systems, testing and commissioning results, and third party verifi cation from accredited inspection bodies for fire alarms and sprinkler systems as required by New Zealand Standards 4512:2003 and 4541:2007 respectively.
Example:
Murray and Harry receive their approved building consent from the council and note the council’s advice confirming:
- that the building will require a compliance schedule
- the performance standard that each specified system must meet
- the documentation required to be provided by the applicant during construction.
Note: A council will not grant a building consent for an alteration of an existing building unless they are satisfied that the means of escape from fire and access and facilities for people with disabilities (where applicable) have been considered and, where appropriate, upgrades are proposed.
Building work completed and compliance schedule issued with the code compliance certificate
During construction, the building contractor (on behalf of the owner) will request the council to undertake the inspections specified in the approved building consent.
When all building work is complete, the building owner is required to make an application to council for a code compliance certificate – a final inspection will then be undertaken by the council. With this application the following information may be required to be provided in relation to specified systems.
- Installation certificates from subcontractors who installed the specified systems verifying that the work has been done in accordance with the building consent and the relevant standards.
- Evidence that specified systems are capable of performing to the performance standards set out in the building consent (eg, testing or commissioning results, plus others as listed under section 6.2 on page 8).
Once the council is satisfied (on reasonable grounds) that the building work has been completed in accordance with the approved building consent and the Building Code, it will issue the compliance schedule (or amended compliance schedule) with the code compliance certificate.
Example
After several months of construction, the building contractor informs Murray and Harry that:
- their building is complete
- he is applying, on their behalf, for a code compliance certificate and requesting a final inspection from the council.
The council receives the contractor’s application for a code compliance certificate and carries out the final inspection. The council advises the contractor that a code compliance certificate will not be issued until they receive a certificate of compliance from an accredited inspection body which verifies the fire alarm system complies with New Zealand Standard 4512:2003, as this was the cited means of establishing Building Code compliance.
The required verification is provided to the council. As the council is now satisfied that the building work complies with the building consent and the Building Code, it issues the code compliance certificate with the compliance schedule attached.
In practice, councils will issue the compliance schedule statement with the code compliance certificate and the compliance schedule. The compliance schedule statement is temporary public notification of the specified systems covered by the compliance schedule for the building and of where the compliance schedule is kept.
You must display the compliance schedule statement in a public part of the building. This is usually inside the front foyer or ground floor reception area. It is replaced after 12 months by the first building warrant of fitness which must be issued by you (the building owner), or your agent on your behalf.
Example
On receiving the compliance schedule statement from the council, Harry publicly displays the statement on a wall immediately adjacent to the store checkout operators.
The statement identifies that the building contains:
- an automatic fire alarm
- access-controlled doors
- emergency lighting
- mechanical ventilation
- signs for other specified systems
- final exits
- fire separations
- exit signage
- a system for communicating spoken information for evacuation
The statement also records that the compliance schedule is kept in the store office on the mezzanine floor.
Building warrant of fitness process
Inspections and maintenance of specified systems
The compliance schedule prescribes the inspection, maintenance and reporting procedures that must be carried out for each specified system. These procedures will generally require specialist inspections and maintenance by independent qualified persons to ensure continued effective operation of those specified systems.
When appointing independent qualified persons, it is important to do your research, as it is likely that you will develop a long-term working relationship with these people. It is suggested you approach the council as they hold a register of appropriate independent qualified persons to carry out the inspection, maintenance and reporting procedures for specified systems. This register will identify the specified systems that the independent qualified person is competent to inspect and maintain.
You, the building owner, must keep records of all inspection, maintenance and repairs undertaken in the previous 24 months. The records must, as a minimum, include:
- details of any inspection, test or preventative maintenance carried out, including dates, work undertaken, faults found, remedies applied, and the person who performed the work
- details of any other faults found or maintenance and repair work undertaken to maintain the system in working order, including dates, work undertaken, faults found, remedies applied and the person who performed the work.
You need to get all your independent qualified persons to provide you with a completed Form 12A (before the building warrant of fitness is due to be issued) as evidence that the relevant requirements of the compliance schedule have been met.
Example
After seeking advice from other experienced commercial building owners and referring to the council’s register of appropriate independent qualified persons, Murray and Harry employ two local independent qualified persons. One will cover the maintenance and inspections of the mechanical ventilation system, and the other will cover the remaining specified systems.
The independent qualified persons undertake the required inspections and maintenance as specified in the compliance schedule and complete the on-site log book after each visit.
Just before the first anniversary of the compliance schedule being issued, the two independent qualified persons forward their Form 12As to Murray and Harry (refer to worked examples in Appendix 4).
Note: Inspection and maintenance reports are annual written reports which include log books and test certificates. Not all inspections need to be carried out and recorded by an independent qualified person. For example, the daily and monthly inspections of final exits on escape routes can be undertaken by the owner/tenant/contractor/agent – but the annual inspection must be by an independent qualified person.
Building warrant of fitness issued
Every year, on the anniversary of the issue of the compliance schedule, you as a building owner (or your agent) must sign and display a new building warrant of fitness confirming that the requirements of the compliance schedule have been met for the previous 12 months.
You must display a copy of the building warrant of fitness in a place in the building where it can be seen by all building users (eg, ground floor lobby/entry foyer/reception). Although not required by the Building (Forms) Regulations 2004, the building warrant of fitness should identify the specified systems in the building (as shown in Appendix 3). The Department believes that it is good practice to include this information.
You must also supply a copy of the building warrant of fitness to the council along with:
- a copy of Form 12A completed by each independent qualified person who inspects specified systems in your building (there may be several)
- any recommendations from an independent qualified person to amend the compliance schedule.
The council will keep the building warrant of fitness and related documents from the independent qualified persons on record for the life of the building. You are required to keep all the Form 12As and inspection and maintenance reports for at least two years after they have been issued. The forms and reports must be stored with the compliance schedule at the location stated on the building warrant of fitness.
You must produce the inspection and maintenance reports when required by the council and any other person or organisation that has the right to inspect your building under any Act (for example, the New Zealand Fire Service, the Department of Building and Housing).
Example
Eleven months after the issue of the compliance schedule, Murray and Harry receive a letter from the council reminding them that the compliance schedule statement is about to expire and it needs to be replaced with a building warrant of fitness.
The council letter also reminds them to forward a copy of the building warrant of fitness, with all Form 12As attached, plus any recommendations from the independent qualified persons to amend the compliance schedule.
As a co-owner, Harry contacts Acme Inspection & Maintenance Services Limited and asks for an independent qualified person to act on their behalf and issue a building warrant of fitness (refer to worked example in Appendix 3).
Note: The building warrant of fitness process is not intended to be a trigger for a system upgrade. Performance standards can change over time and, if the building owner decides to upgrade a specified system to the current standard, a building consent must first be obtained.
Note: Councils may monitor compliance schedules and building warrants of fitness (including undertaking inspections of buildings) and are able to charge a fee for these services.
Amendment to a compliance schedule
Amendment triggered by a council decision, owner’s request or IQP recommendation
A council may amend a compliance schedule where:
- the owner requests a change to the compliance schedule
- the owner’s independent qualified person (IQP) recommends that the compliance schedule is amended, to ensure the specified systems will perform to the performance standards for those systems
- the council decides that the compliance schedule needs to be amended, to ensure the specified systems will perform to the performance standards for those systems.
The Building Act specifies procedures to be followed in each case.
Where an independent qualified person or the council recommends an amendment to a compliance schedule, you have the right to confer with the council before the council makes its decision on whether to accept or decline the recommendation.
The application for an amendment to a compliance schedule, where initiated by the owner (or their agent), must be made on Form 11, which should be available from the council.
In some instances older compliance schedules may be updated to align with the prescribed specified systems under the current Building Act, rather than the Building Act 1991, for example deleting fire hose reels from the compliance schedule. (But note that the fire hose reels would still remain and require regular inspection and maintenance but this is separate from the compliance schedule and building warrant of fitness process.) The council may take the opportunity to inspect, review and possibly amend these compliance schedules to ensure they accurately reflect all the installed specified systems.
Example
When John Smith, the independent qualified person at Acme Inspection & Maintenance, forwards the building warrant of fitness to the council he encloses a completed Form 11. John recommends that the compliance schedule be amended by deleting reference to the public address system for evacuation purposes, as this specified system was never installed (refer to worked example in Appendix 2).
The council accepts the recommendation and makes the necessary changes to the compliance schedule. The amended compliance schedule is then issued to John Smith, since he is acting as the owner’s agent. John subsequently forwards the amended compliance schedule to his clients, Murray and Harry, to replace the original compliance schedule kept in the store manager’s office on the mezzanine floor.
Note: Keep owner’s agent and/or affected independent qualified persons informed of amendments to compliance schedules. This will help ensure inspections and maintenance are carried out in accordance with the amended compliance schedule and will reduce the likelihood of issues when Form 12As and building warrants of fitness are issued.
Amendment triggered by a building consent
When building work affects a specified system, an application must be made to the council for a building consent. The council may also amend the compliance schedule where the work:
- will affect an existing specified system and require altered inspection and maintenance requirements
- will result in a new specified system being installed
- will remove an existing specified system.
The amended compliance schedule will be attached to the code compliance certificate once the work is completed in accordance with the building consent and the Building Code.
Example
Four years after the retail store opens, the tenant advises Murray and Harry that they would like to replace the hinged front doors with automatic sliding doors to improve customer access.
Murray phones the council and they advise that as the automatic doors are a specified system, a building consent is required. Additionally, the existing compliance schedule will need to be amended by the council as part of the building consent process (see sections 6.1 to 6.3 on pages 7–10).
From their previous building consent experience Murray and Harry realise the council will require specified system information about inspections and maintenance, and the performance standard for the door. The designer and automatic door installer provides Murray and Harry with all the information for a building consent application.
The council does a site visit and checks the building warrant of fitness and the on-site records held with the compliance schedule (inspection and maintenance reports including log books and test certificates).
Once the installation of the new automatic doors is completed to the satisfaction of the council the code compliance certificate is issued with the amended compliance schedule attached to it.
Note: Keep owner’s agent and/or affected independent qualified persons informed of amendments to compliance schedules. This will help ensure inspections and maintenance are carried out in accordance with the amended compliance schedule and will reduce the likelihood of issues when Form 12As and building warrants of fitness are issued.
Useful information when buying a building with a compliance schedule
It is important for a prospective purchaser to do the necessary due diligence and research before purchasing a building.
As the new owner, you become responsible for the proper functioning of all specified systems in the building. The Department suggests it would be prudent for any prospective purchaser of a building with specified systems to verify the building has a compliance schedule and a current building warrant of fitness. The vendor should be able to provide these documents. This information is also available at the local council. It is also a good idea to ask to view the maintenance logs and service records for all the specified systems to ensure the compliance schedule has been complied with to date.
You may find it helpful to ask which independent qualified persons the vendor currently uses to inspect, maintain and report on the building’s specified systems since they already have knowledge of those systems. You may wish to contract the same independent qualified persons or you may prefer to get quotes and employ others.
Example
Murray and Harry decide to sell their M & H Building. Jane becomes the new owner of the building.
Jane becomes aware through the independent qualified person doing the fire alarm inspections that as the new building owner she is responsible for ensuring all the specified systems in the building are regularly inspected and maintained so the building occupants can use the building safely.
Jane decides to stay with the two existing independent qualified persons (Acme Inspection & Maintenance Services Limited and HVAC for U Limited) since they are familiar with the building and the specified systems. A formal contract is signed up with both firms.
She is advised to formally inform the Building Control Division at Stoneville District Council that she is the new owner. The council amends their records, including the compliance schedule, to reflect the new owner’s details.
While the building remains in Jane’s ownership, it is her responsibility to ensure that the required inspections and maintenance of all the specified systems are carried out in accordance with the compliance schedule and that an annual building warrant of fitness is issued (see sections 7.1 and 7.2 on pages 11 and 12 respectively).
Fines for offences
The building warrant of fitness and compliance schedule requirements in the Building Act are in place to ensure specified systems are correctly performing and, in turn, that building occupants are adequately protected from hazards. Building owners who fail to meet these requirements may be risking the health and/or life safety of the building occupants. The Building Act and Regulations recognise these risks and their seriousness, and provide a means of enforcing and prosecuting and/or fining building owners. The offences are:
- failure by the building owner to obtain a compliance schedule
- failure by the building owner to supply the council with a building warrant of fitness
- failure by the building owner to display a building warrant of fitness required to be displayed
- displaying a false or misleading building warrant of fitness
- displaying a building warrant of fitness other than in accordance with section 108 of the Building Act.
These offences carry a maximum fine of $20,000 and, for failure to obtain a compliance schedule (the first listed offence), a further $2,000 for every day the offence is continued.
Councils can also issue instant fines ranging from $250 to $1,000 for the compliance schedule and building warrant of fitness offences above.
In addition, the Building Act allows councils to issue a notice to fix where:
- a building warrant of fitness is not correct
- the inspection, maintenance or reporting procedures stated in the compliance are not being, or have not been, properly complied with.
A notice to fix is essentially a warning to correct an instance of non-compliance. Failure to correct the non-compliance is an offence liable to a maximum fine of $200,000 and a further $20,000 for each day the offence is continued. An instant fine of $1,000 can also be issued if a notice to fix is not complied with.
It is also an offence, carrying a fine of up to $100,000, to use or permit the use of a building for a use for which it is not safe or sanitary, or if it has inadequate means of escape from fire. In the case of a continuing offence, there is a further fine not exceeding $10,000 for every day the offence is continued. Instant fines of $1,500 and $2,000 can be issued for these offences.
Note: Building owners may be compromising their insurance cover by not having a current building warrant of fitness.
Further guidance and information
Other guidance and information includes:
- the Department’s publication Compliance Schedule Handbook which is freely available, includes a guide to developing a compliance schedule for a specified system or systems in a building, including guidance on the associated inspection, maintenance and reporting procedures
- frequently asked questions about compliance schedules
- frequently asked questions about independent qualified persons and building warrants of fitness
- Building Owners – Building Warrant of Fitness Manual www.bnets.co.nz
- Insider’s Guide to Building Law – Compliance Made Easy for Commercial Property Investors and Owners www.bnets.co.nz
- Property Manager’s Guide to Building Law – Compliance Made Easy for Property Managers www.bnets.co.nz
- compliance schedule and building warrant of fitness advice from the city or district council that has jurisdiction over the area that your building is located in
- an Internet search (New Zealand) using the keywords compliance schedule or building warrant of fitness or independent qualified person
Appendices
Appendix 1
Specified system from section 100 of the Building Act 2004:
- Cable cars (including those for single household units)
Specified systems from Schedule 1 of the Building (Specified Systems, Change the Use, and Earthquake-prone Buildings) Regulations 2005:
- Automatic systems for fire suppression (eg, sprinkler systems)
- Automatic or manual emergency warning systems for fire or other dangers
- Electromagnetic or automatic doors or windows (eg, ones that close on fire alarm activation)
- Emergency lighting systems
- Escape route pressurisation systems
- Riser mains for use by fire services
- Automatic back-flow preventers connected to a potable water supply
- Lifts, escalators, travelators, or other systems for moving people or goods within buildings
- Mechanical ventilation or air-conditioning systems
- Building maintenance units providing access to exterior and interior walls of buildings
- Laboratory fume cupboards
- Audio loops or other assistive listening systems
- Smoke control systems
- Emergency power systems for, or signs relating to, a system or feature specified for any of the above systems or features
- Systems for communicating spoken information intended to help evacuation
- Final exits
- Fire separations (as defined in the Building Code)
- Exit signage for evacuation
- Smoke separations (as defined in the Building Code)
Appendix 2
Note: A blank electronic Word version of this form is available from the Department of Building and Housing’s Consent Authority Capability and Performance Group.
Appendix 3
Note: A blank electronic Word version of this form is available from the Department of Building and Housing’s Consent Authority Capability and Performance Group.
Appendix 4
Note: A blank electronic Word version of this form is available from the Department of Building and Housing’s Consent Authority Capability and Performance Group.
Source: http://www.building.govt.nz/building-warrant-of-fitness-guide
