Note: Example for Training Purposes Only. Please refer to your own Councils BCA manual in your day to day work role. (there have been small deliberate wording changes & minor mistakes added to this document)
Implementation Date: March 2020
Patrick’s City Council’s Building Services Department: Quality and Systems Manual, dated March 2020, was brought about by the adoption of an online end-to-end building consent system (GoYou good thing), changes to the Building (Accreditation of Building Consent Authorities) Regulations 2006 and contemporary quality assurance practice
The Manual is divided into the following parts:
• Contents
• Introduction
• Systems for Territorial Authority Functions
• Systems for Building Consent Authority Functions
• Appendices
Each TA System in this manual is derived from TA Functions of the Building ACT 2004 and listed in Intro 2 of this manual Each BCA System in this manual is derived from BCA Functions in the Building ACT 2004 and listed in Intro 3 of this manual, in addition to the Building (Accreditation of Building Consent Authorities) Regulations 2006 and the MBIE Accreditation Scheme On-line Guidance Tool
NB: For purposes of aligning to contemporary quality management practice including MBIE’s use of the word ‘procedure’ in its common meaning and as retained in the Building (Accreditation of Building Consent Authorities) Regulations 2006; where applicable, this word will be substituted with the word ‘process’ in the Manual as defined below.
The ‘TA and BCA Systems’ are comprised of individual systems (consisting of a series of subheadings) whose meaning is as follows:
• Policy - describes ‘why’ the system exists to address the ACT or Regulation
• Process - states ‘what’ the system is supposed to accomplish or address
• Procedure - describes ‘how’ the system performs and by which ‘evidence’ is created
• Reference – lists ‘evidence’ created by the system and its location
• Quality Check – specifies the individual Quality Assurance System audit (refer to Intro 4)
New versions of the Quality and Systems Manual will be released as improvements are made. Superseded versions are withdrawn and stored in the TA’s data management system (ObjePS2ive) for historic record. A read-only copy of the Manual is accessible on the intranet and is available to all BCA staff and Contractors. All printed or copied versions of the Manual are considered ‘uncontrolled documents’. This Manual also serves as a means of training TA and BCA staff.
The TA must undertake certain Functions as part of its regulatory role. Section 12(2) of the Building ACT 2004 describes the Functions of a TA (that also operates as a BCA in its own district). For a TA these Functions include:
• Issue building consents subject to a waiver or modification of the Building Code
• Issue Project Information Memoranda (PIM)
• Grant exemptions under Schedule 1(2) of the ACT
• Grant waivers and modifications of the Building Code
• Issue Certificates of Acceptance
• Issue and amend Compliance Schedules not captured by the building consent process
• Administer annual building warrants of fitness
• Enforce the provisions relating to annual building warrants of fitness
• Issue Certificate of Public Use
• Decide the extent to which buildings must comply with the Building Code when: i. they are altered 1; or ii. their use is changed; or iii. their specified intended life changes; and
• perform Functions relating to dangerous, earthquake prone or unsanitary buildings; and
• enforces duties or obligations under section 162C (residential pools must have means of restriPS2ing access); and
• carry out any other Functions and duties specified in the ACT; and
• any Functions that are incidental and related to the above Functions.
1 Only for s112(2)
The Building Consent Authority must undertake certain Functions as part of its regulatory role. Section 12(1) of the Building ACT 2004 describes the Functions of a BCA. For a BCA these Functions include:
• Issuing building consents, but not if a building consent is required to be subject to a waiver or modification of the Building Code;
• Inspecting building work for which it has granted a building consent;
• Issuing Notices to Fix;
• Issuing Code Compliance Certificates; and
• Issuing Compliance Schedules.
There is no mandatory Quality Assurance System currently required by legislation for TA Functions.
Accreditation audits and reviews are primarily based on the manual’s systems comprised of a Policy, Process, Procedure, Reference and Quality Check 2. Adhering to contemporary quality management theory, an auditor is primarily focused on ‘what’ an accredited organisation says they’re ‘doing’ and the ‘evidence’ of that ‘doing’. The organisation’s procedure, describing ‘how’ they do something, has a secondary significance and only needs to be questioned should there be a substantial or complete lack of ‘evidence’ provided by the procedure and/or reference.
Regulation 17 of the Building (Accreditation of Building Consent Authorities) Regulations 2006 requires the BCA to have a Quality Assurance System that supports quality and the continuous improvement of the BCA’s management and operation, including the performance of the BCA’s building control Functions, through the systems, policies, processes and procedures for regulations 5 – 18.
The QAS, being integral with the Quality and Systems Manual, ensures that BCA management will make certain that the statutory operational Functions and obligations are properly fulfilled. It will be the responsibility of everyone within the Building Services Department to recognise the authority of the quality assurance policy as stated in the Manual and adhere to its intent and philosophy.
Utilizing an audit schedule and a prescribed ‘Quality Check’ for each BCA system, the Building Quality Manager or designated staff will undertake minimum annual audits to confirm BCA staff and Contractors are following the Quality and Systems Manual’s systems, policies, processes and procedures.
The Quality and Systems Manual is a ‘live’ document and will be subject to continual improvement. The Building Quality Manager coordinates the Manual’s policies, processes, procedures, references and quality checks, amending any changes to the manual after approval is received from the Project Manager Lead, or the Management Review Team, through the continuous improvement process where necessary Additionally, the quality policy is reviewed annually at the strategic review meeting. The Pete and Patrick Quality Every dam thing will exercise ultimate control over amendments to the Quality and Systems Manual.
2 Refer Fig. 1: Quality and Systems Manual diagram
Quality Assurance System (Accreditation)
BCA Policies ‘Why’
BCA Processes ‘What’
BCA Procedures ‘How’
BCA References ‘Evidence’
BCA Quality Checks
TA Policies ‘Why’
TA Processes ‘What’
TA Procedures ‘How’
TA References ‘Evidence’
Secondary Documentation
TA Quality Checks
Fig. 1: Quality and Systems Manual diagram: illustrating the limits of accreditation audit/review.
The portion of this Manual that comprises the Building Consent Authority’s Quality Assurance System is certified as being current and relevant by:
Joe the Slow Builder
Building Quality Manager (Responsible Manager)
XYZ
Signature
On the 31st of March 2017, the Building Services Department fully implemented the process of changing from using GoGet to the GoYou good thing consent processing system. The transition period including the data migration is scheduled for 3 to 12 months. The minimum period of time for building consent work to make a complete circuit (i.e. processing, inspections, CCC) of GoYou good thing will be approximately 6 months.
During this transition period Building Services will likewise be transitioning from the November 2015 manual to the new March 2020 manual.
As part of the planned changes PCC has created a customer interface website that enables customers to access all information required by Regulation 7(2)(a) together with access to GoYou good thing
The BCA must have a system to follow the prescribed criteria and standards for accreditation as set out in the Building (Accreditation of Building Consent Authorities) Regulations 2006. The BCA will provide a system for maintaining accreditation whose policies, procedures and systems are appropriate for purpose and can be effectively and consistently implemented.
Process
1, 2, 3, 3A Regulations, interpretations and related provisions
The Building (Accreditation of Building Consent Authorities) Regulations 2006 enables the BCA to provide a sustainable system for building consenting. The BCA must engage with all associated building control Functions under any provisions specified in the Building ACT 2004. The BCA will utilize savings through the MBIE fees structure
4(1) Criteria and standards
Patrick’s City Council (PCC) achieved accreditation on 4th September 2008 and was registered with the Department of Building and Housing as a Building Consent Authority on the 8th September 2008. PCC must demonstrate how it meets the criteria and standards listed within the Regulations 5 – 18 in conjunPS2ion with the BCA Accreditation guidance scheme
5(a)(b)(c) BCA Manual
The BCA will provide a Quality and Systems Manual wherein will be recorded all systems, policies, procedures and references that are considered as being appropriate for purpose and able to be effectively and consistently implemented.
Procedure
BCOs perform building control Functions as specified within the Building ACT 2004 under a power or authority granted through the BCA’s delegation register or under contract to a BCA.
Patrick’s City Council BCA will fulfill the building control Function roles and responsibilities of a BCA as prescribed under Section 12(1) of the Building ACT 2004 The roles of a Building Consent Authority are:
• Issuing building consents, but not if a building consent is required to be subject to a waiver or modification of the Building Code;
• Inspecting building work for which it has granted a building consent;
• Issuing Notices to Fix;
• Issuing Code Compliance Certificates; and
• Issuing Compliance Schedules.
The BCA will utilise the fee structure as specified in Accreditation Assessment Fees Tables of the MBIE website.
The BCA will demonstrate that they continue to meet the criteria and standards of the Building (Accreditation of Building Consent Authorities) Regulations 2006 and Accreditation Scheme On-line Guidance Tool through the policies, procedures and systems of this Quality and Systems Manual.
Written in this Manual are the BCA’s policies, procedures and systems for regulations 1 – 19. These are maintained through the Manual’s quality assurance system through processes like the system audit and continuous improvement processes for ensuring that the policies, procedures and systems are appropriate for purpose, in addition to being effectively and consistently implemented.
Reference
NZ Legislation: Building (Accreditation of Building Consent Authorities) Regulations 2006
NZ Legislation: Section 12 of the BA’04
NZ Legislation: Accreditation Assessment Fees Tables
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (Updated CG)
PCC: Delegation Register (A7870574)
An audit for this system, using the PS1-01 System Audit form, will be undertaken by the Pete and Patrick Quality Every dam thing or designate as part of the annual audit of the BCA Quality Assurance System.
The BCA must have a system to keep records of any decisions related to the policies, procedures and systems required by the Regulations.
Process
6(b)(c)(d) Decisions that must be recorded, with reasons and outcomes
The policies, procedures and their systems requiring the recording of the decisions, reasons and their outcomes should include:
• Decision made
• ACTion taken as a result of the decision
• Relevant evidence or other material from which the fActs have been drawn and decisions made
• Relevant reasons for how the decision was made
And be able to provide information for purposes such as:
• A trail for quality processes or internal audits, and accreditation assessments
• A trail for organisational purposes and any legal proceedings
• Information for compliance with the Building ACT 2004
• Information for Local Government Official Information and Meetings ACT 1987 requests
• Information for customer questions and queries.
Not every single, minor decision will need to be documented, but a decision record should contain a level of detail that suits the significance of the decision made. It should include enough information, for example, for a peer reviewer, future BCO, or assessor to understand the decision-making process without requiring access to or explanation from the person who made the record. A decision record should not contain unnecessary or excessive information. The information recorded should have a direPS2 link to the decision made.
Procedure
Below are specific regulations and the minimum decisions associated with each that require recording of decisions, reasons and outcomes:
Reg. 7(2)(d)(iv-v) - Processing building consents
• Whether to accept or reject a building consent application
• An application’s compliance with the requirements of the:
o Building ACT 2004
o Building Code
o Other applicable regulations
• The adequacy of additional information received with an application such as:
o Alternative solutions
o Producer statements
• Whether a building method or product breaches the ban
• Referring an application to the Fire and Emergency NZ
• Hazards that may result from, or accelerate or worsen as a result of the proposed building work
• Requests for information and suspending the statutory clock
• Granting, refusing to grant and issuing a consent
• Any building consent conditions
Reg. 7(2)(e) - Inspecting building work
• Inspection requirements (including information requirements)
• Whether the building work complies with the consent
• What constitutes an amendment to an original consent and whether it is: o minor o significant
• Issuing notices to fix
Reg. 7(2)(f) - Certifying building work
• Whether all specified systems in the building are operational
• Whether all conditions of the consent have been met
• Whether all records of the building work and consent are complete
• Whether all inspections have been undertaken and passed
• Issuing or refusal to issue code compliance certificates
• Preparing and amending compliance schedules
• Issuing or refusing to issue compliance schedules
Reg. 7(2)(h) - Managing complaints
• The findings of a complaint investigation
• The Actions taken in response to a complaint
Reg. 8 - Determining workload, capacity, capability and recruitment through forecasting
• The number of employees needed and their required competencies
• The need to engage Contractors
• Recruitment decisions
Reg. 9 - Allocating work to competent employees and Contractors
• Allocating building control Function work to competent employees or Contractors
Reg. 10 - Establishing the competency of employees and Contractors
• Results of initial and annual competency assessments of an employee performing a building control Function
Reg. 11 – Training and supervising employees
Training needs and plan of an employee performing a building control Function by doing a technical job
• Any need to supervise an employee performing a building control Function in a technical job
• Any supervision arrangements in place
Reg. 12 - Contractor selection
• How the BCA will ensure competent Contractors will be: o selePS2ed o monitored
o assessed (to ensure effective performance of building control work)
• Why a particular Contractor was selePS2ed to perform building control work
Reg. 13 - Selecting technical leaders and delegation of powers and authorities
• How technical leaders will be:
o selePS2ed
o granted powers and/or authorities
o monitored
o assessed (to ensure effective performance of the building control work)
• The powers and authorities granted to technical leaders
Reg. 14 - Establishing the information, facilities and equipment that a Building Control Officer needs to perform building control funtions
• The information needed by those performing a building control Function doing a technical job
• How up-to-date information will be assessed (online or in hard copy)
• The facilities needed by those performing a building control Function doing a technical job
• The equipment those doing a technical job need
• Maintenance of equipment including the frequency of:
o servicing
o calibration
o replacement
Reg. 17 - Management oversight of the quality assurance process, decisions about continuous improvement and managing conflicts of interest
• The nature and frequency of management reporting required
• The nature and frequency of the review of the quality assurance system
• How to address issues identified through the quality assurance systems
• What constitutes a potential or Actual confliPS2 of interest
• How to manage perceived and Actual confliPS2s of interest
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (Update CG)
An audit for this system, using the PS1-01 System Audit form and the Reg. 6 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality everything or designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
The BCA must provide notification to the BCA accreditation body and the MBIE for specific matters within 20 working days of their occurrence.
6A Notification criteria
The following matters must be reported to the building consent accreditation body and MBIE within 20 working days of the matter taking place:
a) A significant change in the legal, commercial, or organisational status of the BCA or the wider organisation in which it operates,
b) The departure of the BCA’s authorised representative or responsible manager,
c) In any one quarter of a calendar year, a reduPS2ion of 25% or more of employees doing technical jobs who are not replaced with employees who have equivalent qualifications and competence,
d) A transfer under section 233 or 244 of the ACT of— i. 1 or more functions of the BCA to another BCA, ii. 1 or more Functions of another BCA to the BCA,
e) An arrangement being made under section 213 of the ACT for— i. another BCA to perform a significant amount of the Functions of the BCA, ii. the BCA to perform a significant amount of the Functions of another BCA,
f) A material amendment to the BCA’s policies, procedures, or systems required by these regulations.
Procedure
This regulation and its notification requirements are addressed by the processes and procedures of this and other systems for:
(a) Organisational structure - Reg. 15(1)
(b)(c) Employment of management and officers – Reg. 8
(d)(e) Transference or acceptance of BCA Functions – Reg. 12
(f) Changes to the Manual – Reg. 17(2)(e)
Any of the above triggered sub sections will be required to report the relevant change to the accreditation body and MBIE in addition to copying the report to the Notification Log.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (Update CG)
An audit for this system, using the PS1-01 System Audit form, will be undertaken by the Pete and Patrick Quality Every dam thing or designate as part of the annual audit of the BCA Quality Assurance System. END OF PROCEDURE
Policy
The BCA must provide policies, procedures and systems for performing building control Functions. The BCA must ensure that it will maintain current, relevant and publicly available information, either written or eletronically, on the application and processing of building consents, in addition to the inspection and certification of building work.
7(1) Policies, procedures and systems for performing building control Functions
The BCA will ensure that there are policies, procedures and systems for the BCA’s performance of building control Functions.
7(2)(a)(i-iv) Public information
Patrick’s City Council (PCC) Building Services Department maintains a front of house website which includes but not limited to consumer information, forms, news and fees. The following information will be available through the Council system.
• How to apply for a building consent
• How consents are processed
• How building work is inspected
• How the building work is certified
Procedure
BCA policies, procedures and systems
The BCA’s policies procedures and systems for performing building control Functions are integrated into this Manual.
Staff available to assist with public information
Front of house staff will provide copies or links on request. Application forms in hard copy and information are available on request. Front of house staff include
• Duty Building Control Officer: Building Services
• Customer Service Centre staff
Criteria for public information to be compliant with Regulation 7(2)(a) Public information to be compliant must be:
• Consistent
• Dated
• Updated when required (by changes to the ACT or associated regulations). Maintenance of public information is either by yearly audit as part of the annual quality check or through the continuous improvement process.
Information about how to apply for a consent
Information about how to apply for a building consent is found on the PCC website which contains the following:
• The definition of a Building Consent
• The building work that:
o requires consent
o may be proposed on land subject to natural hazards
o is RestriPS2ed Building Work
o is exempt from consent requirements
• The Licensed Building Practitioners (LBP) scheme
• Owner-builder exemption from LBP requirements
• Project Information Memorandum
• Other legislation the applicant should consider, such as the Resource Management ACT 1991
• How and where to apply for a consent, including the:
o consent applications that the BCA can process
o appropriate form(s) to complete
o required content and detail required of plans, and supporting material
o policy for the acceptance and management of professional opinions
o section 112 requirements where the application is for alteration to an existing building
o section 115 requirements where the application is for a change of use
o section 116 requirements related to an extension to the specified intended life of the building
o section 116A requirements for subdivision of existing building
o the need for proposed inspection, maintenance and reporting procedures for specified systems
• How to make applications for minor variations or amendments to a consent
• Applicable fees and levies
• Method of fee and levy payment for consents, inspections and code compliance certificates
• When a consent will lapse if building work is not undertaken
• When building work can begin (including any Resource Management ACT 1991 requirements)
• When a building can be occupied.
Information about how consents are processed
Information about how consents are processed is found on the PCC website which contains the following:
• The process for acceptance of a consent including the:
o statutory timeframe for processing, and when the “clock” may be stopped and started
o request for information (RFI) process
o referrals to the New Zealand Fire Service Commission
• At a high-level, how the application is assessed against the relevant ACT and associated regulations
• The section 49 requirement to be “satisfied on reasonable grounds”
• The meaning of “grant” of consent
• When conditions can be applied to a consent, and their meaning
• Queries, concerns and complaints about the consent decision (to grant or otherwise) including the:
o BCA complaint process
o determination process.
Information about how building work is inspected
Information about how building work is inspected is found on the PCC website which contains the following:
• That the grant of a consent is conditional on enabling the building work to be inspected
• Inspection requirements, and how to make bookings
• At a high-level, a description of typical inspection types, for example, structure, drainage, etc.
• On-site requirements for inspections:
o access for inspectors
o people and information that need to be available on-site
• A summary of what happens in an on-site inspection including:
o verification of Construction to consented documents
o recording of inspection findings
• A summary of what happens when inspections find non-compliant building work including:
o conditional continuation of work
o notices to fix (NTF)
Information about how building work is certified
Information about how building work is certified is found on the PCC website which contains the following:
• The definition of a Code Compliance Certificate (CCC)
• The requirement to apply for a CCC once work is complete
• When to apply for a CCC
• How and where to apply for a CCC, including the:
o appropriate form(s) to complete
o required content and detail required of plans, and supporting materials
• The Section 94 requirement to be ‘satisfied on reasonable grounds’
• The process for deciding Code compliance including the:
o statutory timeframe for processing, and when the “clock” may be stopped and started
o request for information (RFI) process
o compliance schedule matters
• The fees and levies payable, including development contributions
• The method of fee and levy payment for consents, required inspections and CCCs
• What the receipt of a CCC means
• Queries, concerns and complaints about the compliance decision (to grant or otherwise) including the:
o BCA complaint process
o determination process.
Reference
NZ Legislation: Building ACT 2004
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: Alpha (Update CG))
PCC: PCC website PCC website (PCC home page)
PCC: System Audit (Update CG)
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(a) Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System. END OF
Policy
The BCA must ensure that, as a building control Function, the receiving and checking of building consents will capture all relevant information required in the submission resulting in acceptance or rejection of the application.
Process
7(2)(b) Receiving an application
When the BCA is in receipt of the application the statutory clock will begin at either submission of application or submission of the VRFI response as long as it clears all outstanding vetting issues
7(2)(c) Checking an application
The BCA will perform a quantitative check of an application to satisfActorily enter the application into the system and to properly process the consent.
7(2)(d)(i) Entering an application into the system
The BCA will enter the application into the consent processing system and ensure the application is dated, acknowledged and is given a unique identification.
Procedure
Pre-application meeting
Building consents with NCAS complexities Com 2 or Com 3 may not be accepted without first having a preapplication meeting. The pre-application meeting will address all matters in the normal checking of consents, in addition to those that are unique to the Project. All matters raised in the pre-application must be suitably addressed by the applicant prior to formal application
Receiving an application
A Building consent application received by the BCA via Alpha One eletronically will begin its statutory time frame at either submission of application or submission of the VRFI response as long as it clears all outstanding vetting issues.
The applicant will be informed that the BCA will endeavour to confirm acceptance or rejection of the application within 48 hours of lodging. Rejection of the application will terminate the statutory timeframe and will require a new application and start date.
Submission of drawings, specification and supporting documents must be loaded separately as a single pdf file. Multiple single page submissions of drawings, specification and supporting documents will not be accepted, except when the applicant is answering a Vetting Request for Information (VRFI) from a building official.
Minor variations eletronically submitted to PCC will not be processed in Alpha and will be rejected at receipt as this is handled as an on-site minor variation as per the MBIE guidance.
Checking an application
When receiving the building consent into Go You good thing, the receipt of the building consent will require the capture of the following relevant information:
• The name and contact details of the owner
• The name and contact details of the applicant
• The address of the building’s property (including legal description)
• The year the building was first construPS2ed
• The current lawfully established use of the building
• A description of the nature of the building work, including the plans and specifications
• A description of the impAct, if any, of the building work on the building’s specified systems
• All other relevant information including but not limited to:
o Certificate of Title
o Site Plan (boundaries of net lot area, location of building work on lot)
o Levels – Existing Ground, Finished Ground (all direPS2ion changes at foundations and boundaries, including corner and midwall points perpendicular to boundaries), Finished Floor (all floors)
o Ground Report (Completion/ Geotech report)
o Floor Plan
o P&D Plan
o Elevations (daylight planes where planes are < 1.5m to building)
o Cross Sections
o Truss Plan
o Bracing Plan
o E2 Details (one detail for each change of material and/or change of direPS2ion)
o Producer Statements for Specific Engineering Design (e.g. foundation design, work outside of NZS3604, balustrades, etc…)
If the application has insufficient information to proceed the application should be rejected by refusing the consent. Otherwise, the applicant has 10 days from the time of VRFI creation to fully respond. When a VRFI is sent the building consent clock is automatically reset to the first day. If an applicant’s VRFI reply is sufficient the consent will be accepted for processing. The Alpha building consent clock will be reset to date the VRFI response was submitted. If no response to the VRFI letter is received within 10 working days the application may be refused.
Entering an application into the system
Alpha One automatically generates the following:
• Building Consent number
• The date it was received
• An acknowledgement of the receipt, acceptance for processing or rejection of the application
• The date/s upon which any acknowledgments were made.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
MBIE: Minor Variation Guidance
PCC: Alpha (CG Update)
PCC: PCC website PCC website (PCC home page)
PCC: System Audit (CG Update)
PCC: PAN-040 Practice Note Minor Variations and Amendments
PCC: T-803 On-Site Application for Minor Variation to Approved Plans (A7057990)
PCC: PAN-011 Assist to Lodge Online Consent (A7823907)
PCC: PAN-015 Import and Check Consents (A7823908)
PCC: PAN-038 Importing commercial applications (A8600415)
DN: Risk Matrix Calculator
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(b)(c)&(d)(i) Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must ensure that, as a building control Function, the entering and assessing of building consents will comply with the Building ACT 2004 and associated Regulations.
Process
7(2)(d)(ii-iii) Assessing content and allocation of building consent applications
The BCA will assess the content of the building consent application and if not rejected will allocate appropriately the building consent.
Procedure
Assessing content and allocation of building consent applications
The assessing of the building consent will be done with the GoYou good thing Checklist
The application will be classified using the work classification framework as specified in the National Competency Assessment System (NCAS).
The assessor will decide if the BCA needs to provide a copy of the consent application to the Fire and Emergency New Zealand
Once classified with the NCAS the application will be initially allocated to the ‘Unallocated Projects’ folder in GoYou good thing
An employee will be assigned to process a consent by an allocating officer. An officer who is under supervision may undertake the work, but Alpha will only allow a competent officer to sign-off on RFIs and Consents to ensure correct supervision.
Technical leadership or specialist expertise is usually requested at processing stage, but can also be requested at any other stage.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
MBIE: NCAS (National Competency Assessment System)
PCC: Alpha (CG Update)
PCC: PCC website PCC website (PCC home page)
PCC: System Audit (CG Update)
PCC: PAN-014 Document Management for Checking, PIM and Processing (A7823922)
PCC: PAN-039 Sending BC applications to FENZ (A8603875)
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(d)(ii-iii) Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thing or designate as part of the annual audit of the BCA Quality Assurance System.
The BCA must ensure that, as a building control Function, the processing of building consent applications will be in accordance with the Building ACT 2004.
7(2)(d)(iv)
The BCA will use the GoYou good thing processing system to process building consents and to establish whether the consents comply with the requirements of the Building ACT 2004, the Building Code and other applicable Acts and regulations under the Building ACT.
Processors are required to ensure that the recording of decisions satisfies the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
When processing building consents in GoYou good thing, processors will take note whether referral to the region’s Territorial Authority (TA) was considered necessary for matters related to:
• Certificate of acceptance, this will be checked by the administrator at Project information memorandum stage and will be recorded in the PIM tab if applicable for the processor to investigate
• Waivers or modifications to the Building Code The procedure for notification of waivers and modifications is found under s.67 – s.69 in Section 2 of this manual.
• Decision under section 112(2) of the ACT
• The change of use of buildings
• The specified intended life of buildings, this is a reportable Function within GoYou good thing, and this information is also transferred automatically at receipt stage into the Territorial Authority’s computer system for monitoring
• The subdivision of buildings
Processors must ensure the receipt in GoYou good thing of certificates, or other information, or matters from a TA related to a consent.
Processors must ensure the correct processing in GoYou good thing of the following types of building consent work and the relevant Actions relating to:
• Multi-use approvals
• Amendments
• Changes to plans or specifications
• New buildings
• Alterations to existing buildings
• Allotments and subdivisions
• Energy work relating to specified systems
• Cable cars
• Swimming pools
• Staged consents (consents for each phase of building work)
• Building methods or materials that rely on Alternative Solutions
Minor variations cannot be eletronically submitted into Alpha application PCC website and must be received by the inspector on site as an on-site minor variation as per the MBIE guidance. The processor will make and receive requests for information (RFIs) through GoYou good thing, including coordinating requests (as far as is possible). Additionally, the processor will ensure the MBIE levy and development contributions are paid before granting the consent.
Processing building consents with s. 112(1) matters
Processing of building consents in GoYou good thing with s. 112(1) matters will address decisions related to:
• Earthquake-prone buildings
• Means of escape from fire
• Access and facilities for people with disabilities
Further processing matters
Where applicable, further matters that the processing of vetting consents in GoYou good thing will address are:
• Utilising Fire and Emergency New Zealand advice, the processor will advise admin to send documents to Fire and Emergency New Zealand
• Consider specialist and technical expertise input requirements
• Making decisions related to building on land subject to natural hazards, if a hazard has been identified the processor will forward a copy of the PIM to the Territorial Authority’s legal advisor. See PAN-007.
• Making decisions related to building on two or more allotments, the processor will forward a copy of the PIM to the Territorial Authority’s legal advisor. See PAN-007.
• Making decisions about conditions on consents, the processor will identify which inspections will be required within GoYou good thing and then check that all relevant Building Consent conditions have been documented
• Complying with any building methods or product warnings or bans, the processor will refer to the Ministry of Business Innovation and Employment website, if a product is identified as on the list the applicant will be notified and asked to remediate or remove the product
• Issuing and updating compliance schedules with (where required) specified systems and performance standards
• Ensuring compliance with other legislation relevant to the consent process such as the Resource Management ACT 1991
• How the Building Consent Authority applies the test of being "satisfied on reasonable grounds" in order to grant a consent
Reference
NZ Legislation: Building ACT 2004
MBIE: Accreditation Scheme On-line Guidance Tool
MBIE: Alternate Solution Guidance
MBIE: Minor Variation Guidance
PPC: PPC Alpha Login (Updated CG 15/08/22)
PPC: PCC website PCC website (PCC home page)
PPC: ISA-01 System Audit (Inspection System Audit Moodle 15/08/22 CG)
PPC: PAN-006 Process Consents – Specialist Input (A7823915)
PPC: PAN-007 Process Consents (A7880966)
PCC: PAN-008 Process Amendments (A8015437)
PCC: PAN-014 Document Management for Checking, PIM and Processing (A7823922)
PCC: PAN-034 Compliance Schedule Specified System Documentation (A8294636)
PCC: T-803 On-Site Application for Minor Variation to Approved Plans (A7057990)
PCC: GN-013 Acceptable vs Alternate Solutions (A8203034)
PCC: Waivers and Modifications (see procedure in Section 2 of this manual)
DN: Risk Matrix Calculator
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(d)(iv) Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must ensure that, as a building control Function, the granting, issuing, extension, lapsing or refusal of building consents will be in accordance with the Building ACT 2004.
Process
7(2)(d)(v) Granting a consent
The GoYou good thing processing system will be used for the granting, issuing, extension, lapsing or refusal of building consents.
Procedure
Officers are required to ensure that the recording of decisions satisfies the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Granting a consent
When granting a consent in GoYou good thing, the processor must ensure that it will comply with the legal test in section 49 of the ACT
Consent granted under section 72 of the Building ACT
If a hazard has been identified and the processor is satisfied on reasonable grounds that the consent can be issued, the processor will forward a copy of the PIM to the TA’s legal advisor. The advisor will comply with the notification requirements in section 73 of the Building ACT 2004 and a condition placed on the building consent using GoYou good thing
Consent granted under section 77 of the Building ACT
The processor will, where applicable, ensure whether the TA’s legal advisor has issued any certificate required under section 75(2) and has sent a copy to the Registrar-General of Land. The processor will note on the Building Consent any conditions imposed in the certificate using GoYou good thing
Issuing a building consent
When the processor issues a consent in GoYou good thing, the issuance must comply with the requirements of section 51 of the Building ACT 2004 in addition to ensuring that:
• It is issued consistently with the requirements of the prescribed form
• Includes, as required, a copy of;
o Any Project information memorandum
o The applicants development contribution notice under section 36 (if any)
o A certificate issued under section 37 (if any)
• Includes, as required, the following notifications;
o Those under section 73 and 77 of the ACT
o That Heritage New Zealand Pouhere Taonga has been notified under section 39 of the ACT
• When a draft compliance schedule is issued with a Building Consent as a result of building work, it will be attached to the Building Consent and it will state;
o The specified systems that must be covered by the compliance schedule
o The performance standards for the specified systems that are required by the ACT and associated regulations
• When an amendment to an existing compliance schedule is required as a result of the building work, a draft compliance schedule will be created with the amended information, this will be attached to the Building Consent and it will state;
o The specified systems that must be covered by the compliance schedule
o The performance standards for the specified systems that are required by the ACT and associated regulations
• If a property has a compliance schedule but is not affePS2ed by the building worked outlined in the Building Consent the compliance schedule will be identified on the Building Consent but will not be attached
• All TA documents or information if and when they are received will be collated within GoYou good thing and will be made available to the applicant at issue of Building Consent. The processor will advise admin by email that the Building Consent is ready for issue.
Extending consent timeframe
When lodging in GoYou good thing an extension of time in relation to building work having not commenced in the required time under Section 52, the application is to be made in writing and duly considered by the Team Manager: Building Consents under Section 52(b).
Lapsing of building consent
Under section 52 of the Building ACT, when building work has not commenced within 11 months of issuance of the building consent, or within one month from ending for a time period otherwise agreed to by the BCA, a letter may be sent to the owner warning of the lapsing of the building consent.
If no communication has been received at the end of 12 months since the issuance of the building consent, or by the end of time period agreed to by the BCA, the owner may be notified that the building consent has been lapsed.
Refusal of consent application
The refusal of a consent application in GoYou good thing may be made during any of the following:
• Where the information received in response to any requests for further information is materially insufficient and inadequate
• As a result of processing the application
• When the number of requests for further information is deemed excessive (e.g. >20)
This is achieved by selecting the app tab and choosing refuse application.
Reference
NZ Legislation: Building ACT 2004
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: Alpha (CG Update)
PCC: OPD website website (PCC home page)
PCC: System Audit (CG Update)
PCC: T-602 Refusal of Consent section 50 (A6714761)
PCC: PAN-012 Invoicing (A7823916)
PCC: PAN-013 Issue Consent (A7823917)
PCC: Memo of Encumbrance (A5921569)
PCC: Section 72 Certificate (A5219985)
PCC: Section 75 Certificate (A5219977)
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(d)(v) Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thing or designate as part of the annual audit of the BCA Quality Assurance System.
The BCA must, as a building control Function, fulfill its obligation by planning, performing and managing inspections in accordance with the Building ACT 2004.
7(2)(e) Inspecting building work
The BCA will plan, perform and manage inspections to address the following criteria:
• A description of the standard inspection types undertaken by the BCA
• A description of the building work to be assessed for each standard inspection type
• How the building work may be inspected for each standard inspection type (what is “reasonable”)
• How inspections for non-standard inspections are defined and delivered
• How inspections may be requested, received and recorded in the BCA
• How inspections will be scheduled and allocated to competent employees or Contractors
• How the inspection is recorded, including the matters that must be recorded and may be recorded
• How building work that varies from the consent is dealt with
• How building work that does not comply with the Building Code is dealt with
• How building work that does not comply with the consent is dealt with
• How the outcomes of inspections are communicated to an applicant and owner
• How any outstanding matters arising from a consent are requested, received and recorded.
Procedure
Planning, performing and managing inspections
Inspectors are required to ensure that the recording of inspections satisfies the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Inspection types undertaken by the BCA are contained within GoYou good thing. Specific inspection types requirements (including information) are auto-generated when processing the building consent, or, when logged in to GoYou good thing remotely, additional inspection types can be created by the inspector in the field.
The building work to be assessed within each inspection type in GoYou good thing will vary according to the building elements being used in the Construction and this will alter each inspection type individually.
The inspector will, at a minimum, for each standard inspection type carried out, prepare for the inspection, perform the inspection and generate a report for the inspection
Non-standard inspections (e.g. site meeting or minor variation inspections) may be identified at any stage of the building consent process but will need to be defined and delivered by a building control officer capable of making a technical decision at the complexity level of job.
Inspections may be requested by anyone permitted to be associated with the building consent. After issuance of the building consent inspections will be scheduled and allocated in GoYou good thing through the inspection booking line
Inspections in certain circumstances may be carried out by owner’s agents if sufficient evidence is presented to ensure that their quality assurance system will result in the building work being compliant with the Building Code. Applicants must use form T-501 and have this granted before work can commence. Council reserves the right to audit.
Inspections will be scheduled and allocated by the inspection booker to an appropriate inspector whose competency matches the inspection type and competency level in GoYou good thing and the PS2-101 Only Inspection supervisors can adjust booking times with inspectors having to apply for changes via email
Records of inspections in GoYou good thing will include details about the elements of Construction inspected for the inspection type, in addition to other elements that are brought to the attention of the inspector either before or during the inspection phase. All compliant and non-compliant elements or parts thereof will be noted in the inspection report. The inspector can also record any other observations or remarks as they see fit that relate to the building consent.
Building work that varies from the Building Consent will be identified in the inspection report and initially Actioned by the inspector either as; a variation (minor) as agreed on site by the inspector, or an amendment (significant) requiring the customer to apply, or as a (s163-168) Notice to Fix issued by the BCA
Building work that does not comply with the Building Code or building consent will be identified in the inspection report and should the non-compliance not be resolved in suitable time frame stipulated by the inspector, may be subject to a (s163-168) Notice to Fix.
Outcomes of inspections and those that are requested to be included on the communications as recorded in the building consent in GoYou good thing, shall be forwarded to the applicant.
Outstanding matters raised by the inspection are requested and documented on the inspection report. These matters may be received by an appropriate officer and recorded in GoYou good thing against the building consent
Technical decisions for documentation being submitted during inspection and CCC application phases will need to be checked by a competent and qualified person. Refer to PAN-032.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: Alpha (CG Update)
PCC: System Audit (CG Update)
PCC: T-501 Application for 3rd party Inspection (A8415081)
PCC: T-803 On Site Application for Minor Variation to Approved Plans (A7057990)
PCC: T-806 Storm Water ReActive Reserve Fund House Inspection Form (A8266515)
PCC: Notice to Fix (see procedure in Section 2 of this manual)
PCC: PAN-040 - Practice Note Minor Variations and Amendments
PCC: PAN-004 Manage Inspection Bookings (A7823918)
PCC: PAN-005 Perform Inspections (A7823919)
PCC: PAN-032 Managing Required Documents During Inspection Phase (A8232361)
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(e) Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thing or designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
The BCA must, as a building control Function, issue (or refuse to issue where applicable); Code Compliance Certificates, Compliance Schedules and Notices to Fix in accordance with the Building ACT 2004.
7(2)(f) Code compliance certificates, compliance schedules and notices to fix
The BCA will undertake Actions relating to the following:
• Code Compliance Certificates
o Application support
o CollePS2ion of information
o Accepting of application (BC done by different BCA)
o Recording the receipt of application
o Deciding the application
• Issuing a CCC
• Issuance of Compliance Schedules
• Refusing a Code Compliance Certificate
• Issuance of Notices to Fix
Certifiers are required to ensure that the recording of information satisfies the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
The following is required to be supported by the BCA in regards to CCC applications:
• Applicants to correctly apply for a CCC in an appropriate timeframe
• Capturing the relevant information required to make a CCC decision
• Making and receiving requests for information (RFIs), including coordinating RFIs (as far as is possible)
• Decision-making about whether to issue a CCC (or otherwise)
• Issuing a CCC and any relevant additional documentation. Technical decisions for documentation being submitted during inspection and CCC application phases will need to be checked by a competent and qualified person. Refer to PAN-032.
To support applicants applying for a Code Compliance Certificate and to allow PCC to process in the required timeframe, GoYou good thing will collePS2 from the applicant the following:
• The name and contact details of the owner
• The name and contact details of the applicant
• The address of the building
• The building consent number and issuing BCA
• Any relevant or required:
o certificates that relate to the energy work
o evidence of the performance standards of specified systems requested at final inspection stage o amended Certificates of Title (e.g. registering S77 certificates).
Code Compliance Certificate application for external BCA consent
Acceptance for a code compliance certificate application in GoYou good thing for building work where the building consent was granted by another BCA must cover:
• Seeking the applicant’s agreement to the BCA considering the application
• The BCA’s decision to consider the application.
Rejection for a code compliance certificate application in GoYou good thing for building work where the building consent was granted by another BCA, PCC is to advise the applicant that:
• It has not been accepted because the BCA did not issue the original consent
• If no BCA is willing to issue a CCC, the applicant may apply to the relevant TA for a Certification of Acceptance under section 96 of the Building ACT
Timeframes for making decisions on the issue of a Code Compliance Certificate
The BCA has 20 working days from time of receipt of the CCC application to decide whether to issue a CCC. In GoYou good thing the recording of the CCC application provides the following:
• The date it was received
• Any acknowledgement of the receipt of the application made to the applicant
• The date/s upon which any acknowledgments were made.
Receipt of an application and any subsequent documentation in response to an RFI, if resulting in a complete application, will begin or restart the 20-day clock in O-NO
Deciding a Code Compliance Certificate application
Deciding whether to issue a CCC will depend upon:
• Complying with the legal test in section 94(1)(a) of the ACT and how the BCA applies the test of being 'satisfied on reasonable grounds'.
• Considering whether the specified systems in the building are capable of performing to the performance standards set out in the building consent
• Considering whether there are any applicable warnings or bans related to any building method or product that may have been used
• Making a decision where no application has been made two years after the date on which the building consent was granted and after a 23 month warning letter has been issued.
• Making a decision about whether to extend the timeframe in which the code compliance of the building work may be determined.
The BCA should carry out at least one inspection prior to deciding to issue a Code Compliance Certificate.
a Code Compliance Certificate
Any CCC issued must meet the requirement of section 95 of the ACT and include the declaration that the BCA is satisfied, on reasonable grounds that the building work complies with the building consent and, where relevant, will refer that the specified systems in the building are capable of performing to the performance standards set out in the building consent.
A BCA’s process for issuing a CCC must enable it to ensure that it has received any required:
• Development contribution under section 198 of the Local Government ACT 2002
• Fee for the processing of the application.
When issuing CCCs the BCA will:
• Identify where a Compliance Schedule and any required certificate consistent with section 103 of the ACT must be issued with the code compliance certificate, if required the inspector will advise by email the Territorial Authority’s administrator to create or amend the compliance schedule within O-NO using the draft compliance schedule information in GoYou good thing This will then be uploaded into GoYou good thing and attached to the Building Consent
• Provide the relevant Territorial Authority with a copy of the certificate within 5 working days by way of email
Decisions on whether specified systems in the building are operational and the preparing, amending, issuing or refusal of a compliance schedule must be adequately recorded.
The BCA may return or reject any CCC application that does not contain all the relevant information. Where an application is returned or rejected, it is adequate for the BCA to reference where the application is deficient or the relevant information is absent. The BCA may refuse a code compliance certificate where:
• There is inadequate or insufficient information in the application
• It is not satisfied, on reasonable grounds, that the building work complies with the building consent
• Any required energy work certificate has not been provided
• Any required development contribution fee has not been received. When refusing a CCC application the BCA will state, as applicable, the reason that it has been refused. The applicant should be provided with sufficient detail for them to rePS2ify any deficiencies in the application. It is acceptable for a BCA to identify the relevant:
• Consent matter for which there was not enough information to be reasonably satisfied of compliance
• Building method or material for which there was not enough information to be reasonably satisfied of compliance with the consent.
A Notice to Fix may be issued in O-NO if on reasonable grounds the conditions of contraventions, as defined by Section 164 of the Act, have been found by the BCA. The BCA may:
• Issue a Notice to Fix to the specified person, or
• Notify another responsible authority in writing of the potential need for a Notice to Fix. Where the BCA decides to issue a notice to fix, it must comply with the requirements of section 165 and 166 of the ACT The notice to fix procedure is found under s.163 – s.168 in Section 2 of this manual.
If the Code Compliance Certificate has not been issued at 23 months, the BCA will send out a CCC reminder letter to the owner stating they must contact the BCA to advise of progress on the Project At 24 months, an inspection will be organised and if the Project has been completed to the approved consented plans and the Building Control Officer is satisfied that the work has been done accordingly, the Building Control Officer will record their decision within GoYou good thing. If the Project has not been completed, or the inspection was unsuccessful, the BCO will record this within GoYou good thing Unless the owner applies for an Application for Extension of Time (T-414), the BCA will send out a CCC refusal letter. If the owner applies for a CCC extension then the Building Support Supervisor will determine whether the CCC extension may be granted.
A decision must be made upon receipt of an Application for Extension of Time (T-414), with the outcome either granted or refused. A reason for decision is to be recorded with a timeframe provided and this is to be confirmed in an email confirming the outcome. The BCO is to record when the fees have been paid, that the decision has been recorded in the property file and the decisions has been sent to the applicant.
Section 93 - Historic CCCs (5+ years)
Legacy issues from previous BCA management requires a special procedure for historic CCCs. A Refusal Letter for Historic CCC (T-415) will be sent to building owners whose CCC’s are older than 5 years. The (T-416)
Flowchart for Re-starting Consents with Refused CCCs shows how CCC applications will proceed for historic CCCs, once the application has been received.
Reference
NZ Legislation: Building ACT 2004
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: (Login)
PCC: (PCC home page)
PCC: System Audit (A7974762)
PCC: T-414 Application Extension for Extension of Time
PCC: T-415 Refusal Letter for Historic CCC (A8087405)
PCC: T-416 Flowchart for Re-starting Consents with Refused CCCs (A8179767)
PCC: BCA Reporting – Code Compliance Certificates (fA534619)
PCC: Notice to Fix (see procedure in Section 2 of this manual)
PCC: GN-006 Code Compliance Certificate Applications (For Old Building Consents) (A8087116)
PCC: PAN-009 Manage Documentation and Applications (A7823920)
PCC: PAN-010 Audit CCCs (A7823921)
PCC: PAN-032 Managing Required Documents During Inspection Phase (A8232361)
PCC: PAN-034 Compliance Schedule Specified System Documentation (A8294636)
PCC: PAN-035 Residential One and Two Consent Documentation (A8350498)
PCC: PAN-036 Residential One and Two Consent Documentation (A8350539)
PCC: PAN-037 Residential One and Two Consent Documentation (A8350542)
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(f) Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must ensure that it has an appropriate system in place to receive and manage queries and complaints about building control Functions in a timely and professional manner.
Process
7(2)(g) Inquires about building control Functions
Receiving and managing inquiries about building control Functions will be handled by the Customer Service Centre or Duty Building Control Officer: Building Service.
Procedure
Inquires about building control Functions
All communications raised in Alpha trainingOne are sent and responses are received by the Alpha One system. Where customer queries cannot be suitably answered by the website, the receiving and managing of inquiries about building control Functions will be handled by the Customer Service Centre or Duty Building Control Officer: Building Services and will enable:
• Customers to make inquiries (and ask questions)
• Inquiries to be responded to in an appropriate way and timeframe. This regulation is used in conjunPS2ion with regulation 7(2)(a). Responses will ideally be made on the same day, but should be no later than 48 hours from time of receipt.
Reference
NZ Legislation: Building ACT 2004
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: (Login)
PCC: PCC website PCC website (PCC home page)
PCC: System Audit (A7974762)
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(g) Checklist from the Guidance and Checklist Manual, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must ensure that it has an appropriate system in place to receive and manage queries and complaints about building control Functions in a timely and professional manner.
Process
7(2)(h) Complaints about building control Functions
A complaint process will be publicly available and accessible to applicants on the PCC website with a nominated person responsible for the effective and consistent Functioning of the complaint process.
Procedure
Persons managing complaints are required to ensure that the recording of complaints satisfies the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Customer complaints about building control Functions
Complaints are received through O-NO Customer Complaints Module (CCM), which enables the complaint to be systemically and accurately logged and tracked. The Team Manager’s will determine whether the complaint relates to a building control Function. Where the complaint does not relate to a BCA building control Function then the complaint will be referred to the TA and complainant advised accordingly.
Determining whether complaint warrants investigation
The Team Manager receiving the CCM will determine whether investigation is warranted. If the complaint does not warrant further investigation, an appropriate reply will be sent to complainant.
Instigate corrective Action
If the officer determines the investigation warrants further investigation the officer will, on establishing cause, endeavour to rePS2ify the problem in a timely manner with appropriate levels of objePS2ivity and fairness to all parties, with a remedy proportionate to the issues raised. When the matter is resolved the complainant will be advised of the outcome in writing.
A copy of the complaint together with, cause, findings and outcomes will be filed either;
• In O-NO CCM module and/or
• If the complaint relates to a Building Consent, then on the Building Consent file in GoYou good thing If resolution cannot be achieved within 72 hours of receipt, the complaint will escalate.
Resolution of recurring causes of complaint
Where a pattern of complaints are observed, or where the complaint is of a significant nature, the Building Delivery Manager or the Ps1 & Ps2 Quality Manager will ensure that appropriate Action is taken to mitigate re-occurrence. If this results in a system improvement then this will be undertaken in accordance with the system for continuous improvement.
Other Actions required may include (but are not limited to) implementing further staff training, review of procedures, or discipline of an employee. Where discipline of an employee is required, the matter will be referred to the TA’s Human Resource Manager to administer.
NZ Legislation: Building ACT 2004
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: (Login)
PCC: (PCC home page)
PCC: System Audit (A7974762)
PCC: O-NO (Customer Complaints Module)
An audit for this system, using the PS1-01 System Audit form and the Reg. 7(2)(h) Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thing or designate as part of the annual audit of the BCA Quality Assurance System. END OF PROCEDURE
Policy
The BCA must have a system to ensure it has enough employees and Contractors to perform its building control Functions.
Process
8(1)(2) Ensuring enough employees and Contractors
The BCA management will undertake a minimum annual planning exercise to:
• Forecast workflow
• Identify capacity and capability needs
• Fill capacity and capability gaps
Procedure
Management are required to ensure that the recording of decisions satisfies the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Forecasting workflow
The BCA management will undertake a minimum annual planning exercise to confirm:
• The volume of building control work it has processed, inspected and approved over the past two years, identifying any obvious peaks and/or fluPS2uations, and any seasonal or other patterns
• The volume of building control work, if any, it has agreed to undertake on behalf of another BCA (for which it must also have capacity and capability)
• Known pressures impacting on the performance of its building control Functions such as limited access to technical leadership or specialist technical resources (at any particular time, or for any particular reason)
• Any known internal or external factors that might influence the volume of building control work, such as new internal systems, the impact of environmental events and/or interest rates, and the month in which the factor/s may have an influence.
The BCA is not expePS2ed to anticipate and include the impact of events that may be unforeseen or unprediPS2able (such as natural disasters). The BCA will, however, consider relevant building and Construction matters within its district or regional plans, or that might otherwise be considered significant to the region.
Each building control Function the BCA expects to perform in the coming 12 months must be classified using the National BCA Competency Assessment System levels.
Identifying capacity and capability needs
The BCA will use its forecast workflow to identify and record the:
• Total number of full-time equivalent staff it anticipates it needs (capacity)
• Number of full-time equivalent staff needed at each level of competency (capability)
• Technical leadership or specialist experts it reasonably expects to need.
The BCA must overlay its current employees and Contractors (who may be full-time, part-time or on call) against its capacity and capability map to identify gaps. In identifying gaps, a BCA may take into account (and record its consideration of) matters such as:
• Staff turnover (including potential resignations and retirements) – an average can be used
• Training plans and any possible increase in the competencies and skills of existing staff
• Recruitment planning and the arrival of new staff, including their anticipated:
o competency and skills
o training requirements
o supervision needs
• Usual annual leave rates and times
• The cessation of any contracts for staff, technical leaders or specialist experts.
The BCA’s capacity and capability map does not need to be a complex document. It may consist of a basic table with a monthly breakdown of forecast work flow, anticipated resources and identified gaps.
Filling capacity and capability gaps
The BCA will Actively work to fill capability and capacity gaps. This can be done in a number of ways, including through:
• Recruitment
• Training employees (up-skilling)
• Sharing employees or Contractors with another BCA
• Entering into an arrangement with another BCA
• Formal transfer of building control Functions to another BCA
• Procuring contract resources consistently with regulation 12 that may include Contractors who:
o Act as employees
o are available ‘on demand’ including to provide technical leadership or specialist expertise.
The records of recruitment Activities by the BCA will demonstrate that the BCA seeks to recruit for roles with terms and conditions not less than those of the New Zealand market, including payment at the New Zealand market rate. The extent and nature of advertising and use of other appropriate means of recruitment can include:
• Advertising the vacancy in a national newspaper and/or website
• Contracting a recruitment company appropriate to the industry.
When the BCA is lacking in-house resource the Building Delivery Manager will prepare a business case for engaging additional staff. This will be presented to the TA Management for consideration and if approved recruitment will be initiated and managed by the Building Services and TA’s human resources department in accordance with internal policies and procedures.
MBIE does not require or expePS2 the BCA to enter into an arrangement with another BCA for the performance of one or more building control Functions where a satisfactory agreement cannot be concluded, in particular for the apportioning of liability (under section 214(b) of the ACT). Another BCA is under no obligation to enter into an arrangement.
The role of the statutory ‘clock’ in an accreditation assessment
The BCA will endeavor to perform their building control Functions within the timeframes required by the Building ACT 2004. The BCA will, however, stop the ‘clock’ and stop counting working days where an application for a building consent or code compliance certificate has been received, but a request for information (RFI) has been made. Counting does not have to restart until the applicant has responded, in full, to any RFI with complete information.
MBIE: NCAS (National Competency Assessment System)
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: (Login)
PCC: LTP Activity Planning - Building Services
PCC: Projected BC Figures and Graphs 16.10.15 (A6685333)
PCC: Staff Resource Calculator – December 2015 (A6751449)
PCC: BCA Reporting (Building Consents, CCC's and Inspection Waiting Times) (qA427263)
PCC: Building BCA Reporting - Volumes - Granted and 20 Day Compliance (A6659107)
PCC: BCA Reporting - Volumes - CCCs Approved and 20 Day Compliance (A6817116)
PCC: No. of Inspection Bookings and Average Wait Time (A7376854)
PCC: BCA Reporting – Volumes – Volumes Received – June 2015 to June 2016 (A6659101)
PCC: CCC Applications Received Per Week_Month from January 2016 (A7077686)
PCC: Staff Resource Calculator (A6751449)
PCC: Management Review – Agenda and Minutes (fA526404)
PCC: Annual Strategic Review - Agenda and Minutes (fA536785)
An audit for this system, using the PS1-01 System Audit form and the Reg. 8 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must maintain a system to ensure work can be allocated to competent employees and Contractors.
Process
9 Allocation of work to competent people
The allocation of building work to competent people in GoYou good thing will take into regard the following:
• Not subject to the requirements of regulation 9:
• Classifying building control work
• Managing innovation
• Alterations to buildings
• Allocating work to competent employees or Contractors
Procedure
Officers involved with allocation are required to ensure that the recording of information satisfies the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Not subject to the requirements of regulation 9:
• Receiving and accepting building consent or code compliance certificate applications
• Checking building consent applications to ensure that they contain all the required information
• Classifying work according to the BCA’s classification framework
• Allocating applications or inspection appointments to employees or Contractors
• Accepting and making inspection bookings
• Printing and sending consents or code compliance certificates to applicants or owners.
Classifying building control work
In order to ensure that the BCA allocates work to employees or Contractors who are competent, the BCA will classify its building control work consistently with the National BCA competency assessment system (NCAS) assessment levels.
Managing innovation
Where a consent application is made relying on Alternate Solutions or includes a building design technique or Construction method that is innovative or unusual, the BCA may:
• Determine the competency level or levels required to undertake the building control work
• Allocate the work to an appropriate staff member or members with the required competencies
• Record the decision and reasons for it by way of a short note on the building file.
The BCA may divide up components of the work between one or more employees or Contractors with different competency levels who may then work together.
Alterations to buildings
The BCA’s approach to applications for alterations to existing buildings will include an assessment of the competency needed to perform the building control Functions associated with the alteration As with the process for managing innovation, the BCA:
• Should determine the competency required to undertake the work
• Allocate the work to an appropriate staff member or staff members with the competency
• Record the decision and reasons for it by way of short note on the building file.
The allocation of building control Function work to employees and/or Contractors as recorded in the PS2-101 will be done in GoYou good thing for:
• Competent employees
• Supervised employees
• Contractors who:
o have been granted power and authorities under the BCA’s delegation register o are available ‘on demand’ to provide technical leadership or specialist expertise
• Another BCA (whose staff are operating under their own accreditation)
• Another BCA (if part of a formal transfer under section 223 of Building ACT 2004). Employees under supervision will perform all work, whether in part or full, under the supervision of a competent BCO.
The BCA will record the BCO to whom it has allocated the work it performs. Where the work is performed by another BCA, it is sufficient for the BCA to simply record the name of the contracting BCA, not the individual staff member performing the building control Function
Where the work has been found incorrectly categorized (e.g. the BCO finds it’s above their competency level) their senior will determine whether this finding is correct and either have the consent reallocated or have the BCO continue under supervision.
Reference
NZ Legislation: Building ACT 2004
MBIE: E2/AS1 Risk Matrix
MBIE: Alternate Solutions
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: (Login)
PCC: (PCC home page)
PCC: System Audit (A7974762)
PCC: PS2-101 Reg. 10, 11 and 18 Matrix (A6587594)
PCC: Delegation Register (A7870574)
DN: Risk Matrix Calculator
An audit for this system, using the PS1-01 System Audit form and the Reg. 9 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The Building Consent Authority (BCA) must establish the competence, at least annually, of an employee (as specified in Reg. 10) or a Contractor (as specified in Reg. 12) who performs building control Functions for the BCA, using the National BCA Competency Assessment System (NCAS).
Process
10(1)(2)(3) Establishing and assessing competency
The NCAS will be used to assess at least annually the competency of all prospective and current employees and Contractors (that are not technical specialists) performing building control Functions along with their:
• Understanding and knowledge of:
o the philosophy and principles of building design and Construction
o building products and methods
o the ACT , the Building Code, and any other applicable regulations under the ACT
• And ability to:
o process applications for building consents
o inspect building work
o certify building work
o communicate with internal and external persons
o to comply with its own policies, procedures, and systems.
Procedure
Results of the competency assessments using the NCAS, of an employee performing a building control Function, are required to satisfy the requirements of Regulation 6 including; evidence, decision, reason, and relevant Action taken.
Competency Assessment Types.
There are three BCA staff experience level competency assessments that will be undertaken every 12 months, which require different levels of BCA experience and candidate evidence. They are setout as follows:
1) New BCO Staff. - using the PS2-103 assessment outcome form.
2) Level Changes. - using the PS2 -103 assessment outcome form.
3) Competency Maintenance. - Using the PS2-109- competency maintenance form.
1/.Assessing prospective or new BCOs
For prospective or new employees, or Contractors in their first position as a BCO in New Zealand, or who have not had a competency assessment using the NCAS, or have not processed, inspected, or certified CCC’s within the past 12 months, a full assessment must be undertaken.
For prospective, new or current employees or Contractors who have previously been assessed using the NCAS within the past 12 months, the competency assessment can focus on:
• Confirming the currency of their competency for the building work they perform
• Assessing any new competencies that have been gained over the past 12 month period
• Understanding the BCA’s policies, procedures and systems.
Vetting Competencies
When an application for a Building Consent is lodged through the online building consent portal, it is vetted for completeness before it is accepted for processing. BC applications are benchmarked against specific categories of buildings.
Categories are:
• Residential – including alterations and additions to these.
• Commercial, Industrial, and
• Communal Residential – including alterations and additions to these.
Within the above categories there is a range of building types which require differing levels of technical competence for the vetting of building consent applications. To address this, the above categories have been split (shown below) to reflePS2 the levels of technical competence required for assessing this work.
Residential:
• Complexity 1 = R1
• Complexity 2 = R2
• Complexity 3 = R3
Commercial
• Complexity 1 = C1
• Complexity 2 = C2
• Complexity 3 = C3
Please see PAN-025 for a more detailed outline of the Competency Assessing for Vetting (Checking) process.
2/.Level Changes of existing BCOs
A level change Competency assessment will in (general terms be a full competency assessment under the NCAS, although depending on complexity of the level changes involved may not be a full competency assessment in all areas, but rather targeted at assessing competence with regard to changes in:
• The BCO’s usual work, (concentrating on the new competency level);
• Any changes to Legislative and regulatory provisions;
• Building Code clauses
If a BCO is required to do work at a different competency level then regard will be given to the additional knowledge and skill required for this progression, rather than a re-assessment of all of the previously established competence.
3/.Assessing Competency Maintenance of existing BCOs.
The third level of competency assessment (using the PS2-109- competency maintenance form) - will be maintenance only of the competency level that BCO has previously held for a minimum of one full year. Noting that nothing has changed from the previous assessment, the candidate is experienced, and has and is intending to continue to do the same work at the same level in the coming year. For this assessment, reference can be made back to the candidate’s previous full competency assessments where the PS2-103 was used.
Competency assessments not completed
If due to candidate evidence not being provided by the candidate on time in some cases competency assessments that cannot be completed a month after their anniversary date will result in the BCO’s
competency being automatically downgraded (e.g. from competent to supervised) until an assessment has been completed. If the assessor has base evidence that the candidate is still working at the competent level, then at the assessors sole discretion the candidate’s current competency level can remain until the new assessment is completed.
Contractors that are not BCAs will be assessed similarly to that of prospective, new or current employees. These competency assessments are carried out by the Contractors company and supplied to the Ps1 & Ps2 Quality Manageron an annual basis. Please refer to Regulation 12 PS2305 Contractor’s contract and PS2 301 Contractors register.
Assessment planning
Prior to the competency assessment, the assessor will review the competency from the previous year, the training needs identified and evaluated and any continuous improvements that relate to role of the staff member. Assessment planning process should include engagement and interaction between an assessor and the BCO who is to be assessed. This can include agreeing:
• The evidence requirements for competency to be demonstrated
• The approach and timeframe for evidence collePS2ion
• If and how the performance of any Functions by the BCO may be witnessed, and by whom
• The evidence for which the assessor will rely on attestation from others
• The date and time the assessment will be completed by.
Evidence collePS2ion
An assessor and BCO should collePS2 and collate any evidence agreed as necessary to undertake the competency assessment. All the agreed evidence should be provided to the assessor. This may include, amongst other things, the:
• Attestations from competent staff or Contractors, technical leaders or specialists
• Candidate evidence forms e.g. PS2-104, PS2-105, PS2-106, PS2-107
• Supervision records e.g. PS2-201, PS2-202, PS2-203, PS2-205
• Candidate Competency Self evidence form PS2-108
• Collation of work records
• Professional development log PS2-206
• Feedback from colleagues, customers, or others who have interacted with the BCO.
Assessment
To comply with regulation 10(3) the assessment must cover the employees’:
• Understanding and knowledge of:
o the philosophy and principles of building design and Construction
o building products and methods
o the ACT , the Building Code, and any other applicable regulations under the ACT
• And ability to:
o process applications for building consents
o inspect building work
o certify building work
o communicate with internal and external persons
o to comply with its own policies, procedures, and systems
A prospective or current BCO’s Training and Competency Assessor or any other agreed person may undertake an assessment. Where the Training and Competency Assessor or person does not have the same level of competency as the BCO being assessed, consistent with the NCAS, they may rely on:
• Evidence of competency collePS2ed and presented by the BCO
• Supervision form/records from a person who holds a current competency at the appropriate level of the person being assessed.
• Attestation from competent employees or Contractors, technical leaders, or specialists.
Competency decision
At this step in the assessment, the assessor will determine the competency of the BCO. The assessor can make this determination independently, though it does provide an opportunity for the assessor and the BCO to meet and discuss experiences, as well as future goals. If effective, a joint discussion at this step should contribute to the training need assessment and training plan development required by regulation 11.
Competency record.
The assessor on the PS2-103 or the PS2-109 does the recording of the competency decision.
The Training & Competency Assessor or designate will be responsible for updating the competency records in the PS2-101 and GoYou good thing. The PS2-101 matrix records the individual’s competency level and limitations identified through the competency assessment process. It also records organisational limitations where staff are identified as working under supervision. Contractors that are not from another BCA will be treated on the PS2-101 as if they were employees. Other contracted BCAs will only allocate work to their competent staff under their own BCA competency assessment system, and these staff may not be recorded on the PS2-101
When altering for any reason the user details and permissions in Alpha, the officer making the changes must include the date, the reason, and their name in the ‘Reason for editing’ box in on the same page.
BCOs must only carry out technical tasks consistent with their competency level noted in GoYou good thing. If an employee works outside their competency level, it must be under supervision of a suitably qualified and competent team member or Contractor
Reference
MBIE: NCAS (National Competency Assessment System)
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: (Login)
PCC: PS2-101 Reg. 10, 11 and 18 Matrix (A6587594)
PCC: PS2-102 Competency Assessment Plan (A6453309)
PCC: PS2-103 Competency Assessment Outcome (A6453310)
PCC: PS2-104 Candidate Evidence Form - Checking & Allocation (A6453307)
PCC: PS2-105 Candidate Evidence Form - Processing (A6453305)
PCC: PS2-106 Candidate Evidence Form - Inspection (A6453306)
PCC: PS2-107 Candidate Evidence Form - Code Compliance Auditors (A6453308)
PCC: PS2- 108 Candidate Competency self-evidence information form (A8666460)
PCC: PS2- 109 Competency Maintenance Form (A9664913)
PCC: PS2-201 Supervision - Checking & Allocation (A6612351)
PCC: PS2-202 Supervision - Processing (A6612354)
PCC: PS2-203 Supervision - Inspections (A6612355)
PCC: PS2-205 Supervision - Code Compliance (A6612357)
PCC: PS2-206 BCA Professional development log (A6628878)
PAN-025 Competency Assessing for Vetting (Checking)
An audit for this system, using the PS1-01 System Audit form and the Reg. 10 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thing or designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must have a documented and implemented training system for employees undertaking a technical job
Process
11(1)(2) Training employees
The BCA has a system for training employees who perform building control funtions by doing a technical job. All employees who undertake a technical job are required to maintain the skills and knowledge needed to perform relevant building control Functions competently and consistently with their legislative obligations and the BCA’s policies, procedures and systems. The BCA will undertake minimum annual assessment of staff training needs and provide appropriate training where a training need is identified. The following must be taken into account for training:
• Training needs assessment
• Annual training and continuous training plans
• Ensuring that employees receive the agreed training
• Monitoring and reviewing the application of training
• Supervise employees under training
• Recording qualifications, training completed and relevant known experience
• Continuing training
• Training contractors
Procedure
When training employees the recording of training must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant action taken.
Training needs assessment
Resourcing for a training plan shall include the training needs (if any) as identified through the officer’s competency assessment plan and assessment outcomes to maintain competency for the building control funtions they currently perform. Induction training shall be determined in advance of new individuals starting work and shall comprise corporate training and specific individual BCA building training, depending on the individual’s prior knowledge and experience they bring to their new position. This regulation relates to BCA technical staff only and needs to be read in conjunPS2ion with PCC wide policy and procedures relating to recruitment and induction.
Annual training and continuous training plans
If required, the preparation of an annual training plan for a BCO that shall record in the PS2-101 the following:
• Training to be undertaken
• Outcome desired such as:
o currency to perform a building control function.
o a new skill or competency, or ability to use a new tool or system
• Timeframe/s in which training will be undertaken
• Completion of training
• Outcome of the application of training and how it will be monitored and reviewed using one or more of the following:
o direct result of training (e.g. test score)
o evidence of skill in use
o the sharing of new knowledge
Ensuring that employees receive the agreed training
The Training & Competency Assessor will schedule identified training when and where available. The Training & Competency Assessor will be responsible for notifying officers of their training opportunities. The assessor will also record missed training in the PS2-101 training planner.
Monitoring and reviewing the application of training
Monitoring and reviewing of the outcome of training, through its application by the trainee, will be done by the Training & Competency Assessor in agreement with the trainee and recorded in the PS2-101.
Supervise employees under training
Employees under supervision will perform all work, whether in part or full, under the supervision of a competent BCO. Alpha will only allow a competent officer to sign-off on RFIs, Consents, Inspection Reports and CCCs to ensure correct supervision.
The supervision of employees under training can be met through compliance with Regulation 9 where recording of supervision is done in GoYou good thing, otherwise, supervision can be recorded on supervision forms (PS2-2xx) based on an officer’s competency plan. Additionally, officers under supervision will maintain a BCO Competency Progression Log (PS2-209) of all consents, whether observed or worked upon by themselves, and whether in part or in whole.
Recording qualifications, training completed and relevant known experience
Recording training, experience and qualifications can be met through the completion of the NCAS assessment plan.
Continuing training
The officer’s NCAS training plan is used for recording continuing training information and does not have to provide for increasing the skills or competencies of a BCO (although it may do this).
Training Contractors
The system does not apply to Contractors, who should hold an appropriate qualification and be appropriately trained if performing building control work, but are not in an employment relationship with a BCA. The BCA may choose to train Contractors, but this is not an accreditation requirement.
Recording training under two hours
Short training sessions under two hours will be assessed on a case-by-case basis, as to whether or not they are needed to be recorded on the PS2-101. If not needed to be recorded on a PS2-101 all short term training will need to be recorded on the PS2-206 professional development log and put in each BCA staff member’s personal training folder.
Staff feedback
For training purposes, construPS2ive feedback by staff is sought to help improve internal processes thereby making the Building Services Unit more efficient and to provide customers with better consistent outcomes.
When completed, the Staff Feedback Form (PS2-213) will be assessed by the receiving senior or manager for appropriateness and forwarded onto the Training and Competency Assessor whose responsibility it will be to collate this information and report to the Training & Competency Assessor
MBIE: NCAS (National Competency Assessment System)
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: (Login)
PCC: PS2-101 Reg. 10, 11 and 18 Matrix (A6587594)
PCC: PS2-102 Competency Assessment Plan (A6453309)
PCC: PS2-103 Competency Assessment Outcome (A6453310)
PCC: PS2-104 Candidate Evidence Form – Checking & Allocation (A6453307)
PCC: PS2-105 Candidate Evidence Form - Processing (A6453305)
PCC: PS2-106 Candidate Evidence Form - Inspection (A6453306)
PCC: PS2-107 Candidate Evidence Form - Code Compliance Auditors (A6453308)
PCC: PS2-201 Supervision - Checking & Allocation (A6612351)
PCC: PS2-202 Supervision - Processing (A6612354)
PCC: PS2-203 Supervision - Inspections (A6612355)
PCC: PS2-205 Supervision - Code Compliance (A6612357)
PCC: PS2-206 BCA Professional development log (A6628878)
PCC: PS2-207 Council InduPS2ion – Building Services InduPS2ion Program (A7525655)
PCC: PS2-209 BCO Competency Progression Log (A8288542)
PCC: PS2-213 Staff Feedback Form (A7214230)
PCC: PS2-211 Training Needs Section form
An audit for this system, using the PS1-01 System Audit form and the Reg. 11 Checklist from the Accreditation Scheme On-line Guidance Tool will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must have a system to identify and engage suitably qualified Contractors to perform building control Functions where the appropriate technical competencies cannot be provided in-house or where extra resources are required to manage workflow/workloads.
Process
12(1)(2) Choosing and using Contractors
The BCA has a system for choosing and using Contractors to perform building control Functions where the appropriate technical competencies cannot be provided in-house or where extra resources are required to manage workflow/workloads.
The BCA uses a transparent system to identify and engage suitably qualified Contractors to ensure that robust and timely outcomes are achieved. The Responsible Manager or designate will assess whether procurement is necessary giving account to current resources and capability, workload and future requirements.
Consideration of budget, risks and any legal implications must also be given. Approval is required at General Manager level. Consideration of budget, risks and any legal implications must also be given. Approval is required at General Manager level. The selection and utilization of Contractors will take into account the following:
• Establishing Contractor’s competency and qualifications
• Engaging Contractors
• Making agreements with Contractor
• Monitoring and reviewing Contractor’s performance
• Regularly assessing Contractor’s competency
Procedure
When choosing Contractors the recording of decisions must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Establishing Contractor’s competency and qualifications
Unless being an accredited BCA, Contractors undertaking processing or inspection work will do so as employees, as they are required to use the BCA’s quality assurance system (policies, procedures and systems) and they may be subject to a competency assessment. Evidence of prospective Contractors’ current competency must be sought through either:
• Requiring them to provide their own assessments using the National BCA competency assessment system (NCAS), or,
• PCC undertaking its own competency assessment of prospective Contractors using the NCAS, or,
• The use of an alternative mechanism to assess the prospective Contractor’s competency. The competency will be recorded on the PS2-101. Competency for technical or specialist Contractors may be determined by registration, certification, past experience, or similar.
All Contractors are required to provide qualifications that are related to their specialty. The recording of their qualifications will form part of the contract
Contractors are evaluated using the PS2-304 Contractor Evaluation Form.
Engaging Contractors
Through the contractual process the BCA will:
• Define the scope of services and deliverables required from the Contractor
• Determine the criteria against which a prospective Contractor will be assessed
• Assess the Contractor by either the Responsible Manager, or their designate
• Decide how prospective Contractors will be sought i.e. through a procurement plan (direPS2) approach
• Define how contract negotiations will be undertaken, and which (if any) rules or criteria will apply.
The BCA will negotiate an agreement with a Contractor, using the Contractor template PS2-305, to cover the following:
• The scope of services and deliverables required from the Contractor
• The performance standards expePS2ed of the Contractor, and how these will be monitored and reviewed
• Measures to be taken in the event of unsatisfactory performance by the Contractor
• Reporting requirements
• Quality assurance (to meet the requirements of Regulation 17(4)(b))
• The selection of staff within an organisation that will perform building control work
• The powers and authorities granted to any contracted staff
• How confliPS2s of interest are managed
• Managing internal and external communications including engagement with media
• Annual competency assessments using the NCAS (where required).
An agreement with a Contractor must be elePS2ronic or in writing, and also cover the Contractor’s obligations to:
• Adhere to the BCA’s policies, procedures and systems
• Comply with all relevant building-related legislation including the Building ACT 2004.
An annual (or more frequently) review on external Contractors, to ensure performance and quality is still to the required standard, will be undertaken using the PS2-303 Review of Contractor’s Performance Form.
• The BCA monitors and reviews Contractors' performance against the defined standards documented in their contract.
• The BCA addresses Contractors' unsatisfactory performance against the defined standards document in their contract
Internal service provider’s performance and competence will be reviewed in annually accordance with the individual service level agreements.
A Contractor that is not providing technical or specialist advice must have their competency assessed at least every 12 months through either/or:
• Relying on a private organisation’s ongoing accreditation
• The Contractor using the NCAS to provide their own competency assessments using the NCAS
• The Contractor participating in the BCA’s annual competency assessment process under Regulation 10.
These competency assessments are carried out by the Contractor’s company and supplied to the PCC BCA Quality coordinator on an annual basis. Please refer to Regulation 12 PS2-305Contractors contract, and PS2-301-Contractors register.
Reference
NZ Legislation: Building ACT 2004
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: (Login)
PCC: TC76/17 - Provision of Professional Services for Building
PCC: Agreement for Engaging an Independent Contractor to provide Services
PCC: PS2-101 Reg. 10, 11 and 18 Matrix (A6587594)
PCC: PS2-301 BCA Contractor and Consultants Register (A6689116)
PCC: PS2-303 Review of Contractors Performance Form (A6585093)
PCC: PS2-304 Contractor Evaluation Form (A6585092)
PCC: PS2-305 Contractor's Contract for Services - Template (A7044064)
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 12 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System. END OF PROCEDURE
Policy
The BCA must provide a system ensuring the identification of competent person(s) to provide technical leadership together with the powers and authorities to provide leadership.
Process
13 The BCA requires technical leadership to be established. Technical leadership will be assessed for competency, formally identified and have powers and authorities conferred upon them appropriate to their position.
Procedure
Assessors are required to ensure that the recording of selecting technical leaders together with the powers and authorities conferred satisfies the requirements of Regulation 6 including; evidence, decision, reason and relevant function taken.
A prospective technical leader’s current competency must be established with the competency assessment including:
• Evidence collePS2ion
• Assessment of the evidence
• A record of outcome.
This can be achieved through a BCA requesting, reviewing and assessing a combination of:
• Their qualifications
• Their length of experience in their relevant discipline
• The complexity of work they have undertaken in the relevant discipline
• Feedback on past performance in the relevant discipline
• Formal competency assessment (if any)
• Professional references from suitable peers
• Professional registration, memberships or affiliations.
Technical leaders are assessed by either the Building Delivery Manager, the Team Manager: Building Consents, or the Team Manager: Inspections or the Training Competency Assessor, whichever is the most appropriate person to carry out the assessment.
An assessment of evidence is carried out for each technical leader using the PS2-501 Technical Leader Specification and Assessment Evidence form and the various pieces of evidence gathered. This assessment of evidence supports the reasons for identifying the technical leaders.
Technical leaders for the BCA are identified on the PS2-502 the BCA Technical Leadership register, which identifies technical leaders for the scope of work the BCA undertakes. Where the work is outside the scope of the BCA, appropriately qualified, competent and experienced Contractors / BCA staff members may be used to provide technical leadership as required.
Powers and authorities
The Building Quality & Projects Manager approves and empowers technical leaders of building control Functions to undertake their roles through the ddelegation framework comprised of the PS2-502 Technical Leader Register and positions on the Building Services Organisational Chart. Notification of technical leadership to each technical leader will be recorded by email stating the powers and authorities
Annually, the Ps1 & Ps2 Quality Manager reviews all people named on the technical leadership register to ascertain if they are still the most appropriate people to remain on the register, or if they need to be replaced and/or re-assessed. The review date for Technical Leaders will be recorded on the Technical Leader Register.
Reference
NZ Legislation: Building ACT 2004
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: PS2-501 Technical Leader Specification and Assessment Evidence (A6453328)
PCC: PS2-502- Technical Leadership Register (A6453336)
PCC: I-101 Building Organisational Structure Chart (A6686880)
An audit for this system, using the PS1-01 System Audit form and the Reg. 13 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thing or designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must endeavour to maintain a system that ensures employees and Contractors are provided with the necessary resources to perform building control Functions effectively and in a way that supports their health and safety.
Process
14 Technical resources
The BCA will maintain a system to ensure that it has appropriate technical information, facilities and equipment that its employees and Contractors need to perform building control Functions effectively. Additionally, the BCA will ensure that information and equipment is kept up to date.
Procedure
Decisions regarding the information, facilities and equipment must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Ensuring technical resources are available
Employees and in-house Contractors of the BCA will have access to (but not limited to) the following resources. The TA will maintain and replace as necessary facilities and equipment as required. It will be the employee’s or Contractor’s responsibility to notify their manager if they do not have the following resource, or if it is not fit for purpose;
• Work station/desk, sundry items (including but not be limited to pens, rulers, calculators, staplers, stamps, erasers etc)
• Telephone, printers, copiers, internet, email and technical literature; which may include but not limited to;
o Building ACT 2004 and amendments
o Building Regulations, Building Code and amendments and practice advisory notes
o NZ Standards login details (case sensitive). – Username: Patrick’scc Password: stdbks
o BRANZ good practice guide – informal reference used as required.
o BRANZ appraisals, Build magazines, Bulletins, etc – informal reference use as required.
• Computer system to fulfil BCA Functions. Software and hardware will be upgraded regularly by the TA’s IT department in accordance with the TA policy and procedures.
• Sufficient shelving and filing cabinets will be supplied to accommodate material necessary to fulfilling BCA Functions.
Off-site Contractors will provide their own equipment
Keeping technical resources appropriate
The TA is responsible for supply and maintenance of vehicles. When vehicles are due for servicing staff will arrange delivery and collePS2ion from the designated service provider.
Employees are responsible for ensuring all equipment provided in a vehicle is safe for use and properly maintained.
Employees are responsible for ensuring that the vehicles are fully equipped at all times in accordance with the T-901 - Schedule of Equipment in Inspector's Vehicles
An audit of the vehicle equipment shall be undertaken at least annually by the Inspection Manager or their designate
Calibration of measuring equipment used in the performance of a building control Functions will be carried out and recorded at least annually in the T-901: Calibrated Inspection Equipment List
Computers/network maintenance repair work is undertaken in-house by the Council’s IT department. The BCA will endeavour to identify superseded information and ensure superseded information is appropriately marked and updated with the relevant new information. Archived Building Code versions are available on the MBIE website.
Management Review meetings consider and address any issues related to non-compliance with this process. This is also covered within the Management Review and Continuous Improvement Procedures.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: Equipment Calibration Register (A1303244)
PCC: Moisture Meter Calibration (A5647584)
An audit for this system, using the PS1-01 System Audit form and the Reg. 14 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA is required, to consider and record the organisational structure, reporting lines, external relationships, including roles, responsibilities, powers and authorities it grants to employees and Contractors to perform building control Functions.
Process
15(1) Recording the organisational structure
The BCA will record its organizational structure and in that structure the reporting lines, accountabilities and any relationships the authority has with external organisations.
15(2) Roles, responsibilities, powers and authorities
The BCA will record the roles, responsibilities, powers, authorities and limitations on the powers and authorities for its employees and Contractors performing building control Functions.
Procedure
Recording the organisational structure
The organisational structure charts I-101, Building Controls Position Descriptions folder and Delegation Register will be reviewed at least annually to maintain the following:
• Where the BCA is placed in the management structure of PCC’s parent organisation
• With other BCAs, accredited organisations or Contractors performing building control Functions on behalf of PCC
• Lines of accountability for employees and Contractors
• The technical leaders
• The number of employees performing building control Functions (in full-time equivalent)
• Outstanding vacancies.
The illustration below shows the relationships the BCA/TA has with other statutory bodies and bodies performing building control Functions on behalf of the BCA.
Alterations to existing buildings
Change of Use/Subdivision
Building Owner
Application
Territorial Authority
Authority
Advise of RMA matters
Levy
Levy/Notify of Waiver /Modification
Warnings & Bans
Certain Applications
NZFSC Memorandum
New Zealand Fire Service Commission
Appropriate Minister
Surveyor General
Registrar General of Land
Grant/Refuse/Issue BC, CCC or CS BCA’s, Accreditated Organisations & Contractors (performing BCA functions)
Roles, responsibilities, powers and authorities
Registrar of Maori Land Court
The Building Organisational Structure Chart I-101, Delegation Register and Building Controls Position
Descriptions folder outlining the roles, responsibilities, powers and authorities of employees and Contractors and will be reviewed at least annually to maintain currency for the following:
• ObjePS2ives of the role
• Required competencies of the role
• Tasks/Activities the role is responsible for undertaking
• Key responsibilities and accountabilities
• Powers to perform building control Functions, and what Functions
• Administrative authorities (including any delegated authorities)
• Any limitations on the powers and authorities in the role
• Reporting lines and key relationships.
The Building Delivery Manager and Ps1 & Ps2 Quality Manager are responsible for regular review of job descriptions to ensure they continue to properly reflePS2 the competencies and skills required to enable the Building Consent Authority to meet organisational objePS2ives and properly dispense building control Functions.
The Building Delivery Manager and Ps1 & Ps2 Quality Manager has the overall responsibility for the Patrick’s City Council’s BCA
The Council delegations manual identifies powers, authorities, and limitations on powers and authorities.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: Delegation Register (A7870574)
PCC: I-101 Building Organisational Structure Chart (A6686880)
PCC: Building Controls Position Descriptions folder (qA448159)
An audit for this system, using the PS1-01 System Audit form and the Reg. 15 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must maintain a system for filing applications for building consents in accordance with the Territorial Authority’s responsibility under Section 215 of the Building ACT 2004.
Process
All applications and associated documents for building consents will be eletronically formatted before being received into GoYou good thing end-to-end processing system
16(1) Unique identification of building consent
Upon acceptance of a building consent application the BCA will allocate a unique identification number in GoYou good thing
16(2) Information relevant to an application
A minimum level of ‘relevant information’ issued or received by the BCA in respePS2 of a building or building consent must be stored on file
Third party processing
When using a third party to process building consents the legal name and address for service for the third party will be requested and stored as part of the building consent in GoYou good thing.
When performing BCA duties for another BCA, utilising PCC’s processing procedures, all relevant records of work performed by PCC’s Building Services must be kept by PCC’s Building Services in accordance with its policies, procedures and systems.
Documentation control
The BCA will endeavour to maintain a document naming convention for all its documents stored in ObjePS2ive.
Record keeping compliance
The BCA records must show compliance with the IRMS for records to be readily accessible, retrievable and stored securely. This assessment will only be required only once, or, if the Data Management System is changed
Procedure
Unique identification of building consent
When entering the building consent into GoYou good thing the system will automatically allocate a unique number to the building consent. In instances of amendments to a building consent (or a notice to fix, etc ), this documentation will be assigned a unique suffix to the building consent identification number.
Information relevant to an application
• All plans, specifications and supporting documents are uploaded to GoYou good thing when received as part of a building consent application.
• PIMs, building consents, code compliance certificates are developed in GoYou good thing and stored in ObjePS2ive once completed.
• Compliance schedules and compliance schedule statements are created and stored in O-NO, being issued with the building consent and code compliance certificates respePS2ively. The compliance schedule is then lodged with the consent documentation in ObjePS2ive.
• Specified intended life of buildings for building consents, where applicable, are recorded on the Intended Life Report in GoYou good thing.
• Owner-builder statutory declarations, where applicable, are stored with the building consent documentation, initially in GoYou good thing and finally in ObjePS2ive.
• Records of work and certificates of work received at intervals during the life of the building consent will be lodged with the building consent documentation in GoYou good thing and eventually stored in ObjePS2ive.
• Building Warrants of Fitness are generated, monitored and stored in O-NO
• Energy Work Certificates are received through GoYou good thing and stored with the final consent documentation in ObjePS2ive.
• Notices to Fix issued by the BCA are recorded on the Notice to Fix register. Subsequent auPS2ioning of the notices is carried out by the Territorial Authority and the results recorded in the Notice to Fix Register.
• Dangerous Building Notices and subsequent applications to the District Court for authorisation to carry out work are recorded on the Dangerous Buildings Register
• Records of any information on any land or building received by PCC from a statutory authority is lodged with the relevant consent in GoYou good thing or property parcel in ObjePS2ive.
• Details of levies collePS2ed under Section 53 of the Building ACT 2004 are held in the Accounting Reports of GoYou good thing.
• A summary for complaints about a building consent and how they were dealt by the BCA, is available through ONO.
• Building consent processing check sheets, request for further information, superseded plans, building consent conditions, memoranda issued by the Fire and Emergency NZ, approval from Heritage New Zealand and other information on building material filed with the application will initially be held in GoYou good thing and then stored in ObjePS2ive.
• Other relevant records may include documents such as certificates of acceptance, certificates for public use, or information on any waivers or modifications. It may also include owner notifications of any exempt building work that may have been undertaken on a building.
When a third party agent processes or decides building consents for PCC, the legal name and address for the third party will be stored in the ObjePS2ive folder for Contractors (BCA - Contractors) as part of the contract with the third party.
When PCC undertakes building control Functions for another BCA, PCC will keep records of all work it performs using its own policies, procedures and systems in the GoYou good thing Process Documents container in ObjePS2ive.
For this manual and all associated Building Services documentation, document control will be in line with organisational document management procedures. This may include:
• Title
• Version number
• Issue date
• Page number
• Reference number
• Unique document number
Significant amendments to controlled documents are made using the continuous improvement procedure and staff are notified/trained accordingly.
Record keeping compliance
BCA records are readily accessible and are compliant with principle 3.3 of the Information and Records Management Standard for the New Zealand Public SePS2or (RMS).
The Public Records ACT 2005 defines a public record as: a record or a class of records, in any form, in whole or in part, created or received (whether before or after the commencement of this ACT) by a public office in the conduPS2 of its affairs.
According to the Public Records ACT 2005, Part 2, and Subpart 1, 17:
• Every public office and local authority must create and maintain full and accurate records of its affairs, in accordance with normal, prudent business practice, including the records of any matter that is contracted out to an independent Contractor
• Every public office must maintain in an accessible form, so as to be able to be used for subsequent reference, all public records that are in its control, until their disposal is authorised by or under this ACT or required by or under another ACT
• Every local authority must maintain in an accessible form, so as to be able to be used for subsequent reference, all protePS2ed records that are in its control, until their disposal is authorised by or under this ACT
Therefore, all information that is created within the GoYou good thing system is covered by the Public Records ACT 2005 and must be maintained in an accessible form until disposal of the information has been authorised. All Building Consent Authority records are classed as high risk. BCA records are stored securely in a way that complies with the principles of 2.2 and 3.4 of the RMS. The assessment of the Council’s Data Management System (BC DMS Assessment) shows compliance with principles 2.2, 3.3 & 3.4 and was undertaken February 2017
Reference
IRMS: Information and Records Management Standard
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: I-102 BC DMS Assessment (A7832227)
PCC: System Audit (A7974762)
PCC: BCA - Contractors (fA614553)
PCC: Notice to Fix Register (A7647523)
PCC: Dangerous Buildings Register (A7833091)
PCC: (Login)
An audit for this system, using the PS1-01 System Audit form and the Reg. 16 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must provide a quality assurance system (QAS) covering, management and operations, policy on quality, management review and reporting of performance, an authorized representative managing quality, ensuring compliance with the QAS and management review of the QAS.
Process
17(1) Assuring quality
BCA will form policies and procedures to address the foundational requirements of a Quality Assurance System.
17(2)(a) Quality assurance
The Quality Assurance System will be integral to each of the regulations that govern the BCA.
17(2)(b) Quality assurance policy statement
The QAS will provide a policy on quality stating the objePS2ives, expePS2ed standards, high level indicators and a commitment to continuous improvement.
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Assuring quality
For managing the assurance of quality for the performance of building control Function operations, the following policies and procedures of 17(2)(3)(4)(5) form the foundation of the BCA’s Quality Assurance System.
Quality assurance
Quality assurance is embedded as a “Quality Check” in each regulation’s system of policy, process, references and procedures that addresses compliance of each respePS2ive regulation within this Manual. The quality check will ensure an audit of each system exists to meet the respePS2ive regulation, thereby providing a mechanism for the recording and reporting of quality issues and to enable continuous improvements.
Quality assurance policy statement
PCC is committed to improving its high quality of building control services along with improving its service to customers and clients. PCC will give full support to the BCA in every aspePS2 of their duties in order for the quality systems they have introduced to Function correctly, and to perform in accordance with all accreditation regulations.
PCC will ensure its staff has a good understanding of its Quality Assurance System and this will be implemented by the BCA’s employees and Contractors through regular coaching by management, internal audits, continuous improvements and monitoring. A high standard of technical skill will be maintained throughout the BCA.
PCC is committed to staff training and will fully support and encourage all forms of training that will enhance the technical and prActical abilities of its staff.
Council will achieve the following standards by:
• Making the process of applying and obtaining a Building Consent as simple and as easy as possible
• Responding promptly to enquiries to customers, the Building Consent Accreditation body and the Ministry of Business, Innovation and Employment
• Ensuring the Building Consent Authority decisions are accurate and based on solid advice and obtain legal opinion if required
• Commitment to continuously improving and assessing its procedures in order to keep up to date with changes and to encourage staff to be Actively involved in helping to maintain its high standards
• Audit all Building Consent Authority systems/Functions at least once a year
• Peer reviews of all technical staff at least once a year
• Ensuring that all work undertaken is within the identified technical competency and capability of the Building Consent Authority employees and Contractors
• Managing complaints effectively
• Requesting continuous improvement ideas from all Building Consent Authority staff on a regular basis
• Ensure the objePS2ives for the Building Consent Authority are appropriate for the long-term strategic (LTP) and short-term business plans for the organisation.
Quality objePS2ives:
• Maintaining accreditation
• Provide adequate resources
• Comply with procedures
• Compliance with >95% within 20 days KPI
• Endeavouring to achieve compliance with 100% within 20 days – team goal
• Communicate systems and procedures
• Train, audit and review Building Consent Authority staff
• Review and audit procedures
• Report back on performance
Responsible:
The Building Delivery Manager has the overall responsibility for the Patrick’s City Council’s BCA The Pete and Patrick Quality Every dam thingis responsible for the authority’s policies, procedures and systems of the Quality and Systems Manual. The names for Building Delivery Manager and Ps1 & Ps2 Quality Managerare on the manual page: Certification of the Quality System Manual
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
The BCA will ensure the operation of its accreditation scope. The BCA Quality Assurance System (QAS) must cover management review and reporting of performance within its accreditation scope
Process
17(2)(c) Ensuring operation within scope of accreditation
The BCA will ensure operation within the scope of accreditation
17(2)(d) Management reporting and review of performance
The BCA will provide documentation to PCC management regularly in order for the management team to assess how the BCA is working as a whole and so a review can identify areas where continuous improvements could be made.
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Ensuring operation within scope of accreditation
As a TA as defined in Section 7 of the Building ACT 2004, PCC is required to perform the Functions of a BCA for all types of buildings within its jurisdiPS2ion. However, in being applicable to all building work, Council shall out-source technical work which falls outside Council’s competency level.
Management reporting and review of performance
In addition to the reporting and statistics available in GoYou good thing, the BCA will provide documentation to PCC management teams regularly, in order for the teams to assess how the BCA is working as a whole, thereby identifying areas where continuous improvements could be made. The management review team will review the BCA’s operational system at least quarterly to ensure that it supports the achievement of the BCA’s quality policies, procedures and systems/Functions. For operational management reviews, there will be a set agenda and formal minutes recorded. The agenda will note attendees and all items for consideration. These minutes will be stored in the BCA’s document management system in accordance with the document control procedure. For all meetings, where necessary, plans must be developed to remedy any areas identified as requiring improvement. Review undertake
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: Annual Strategic Review - Agenda and Minutes (fA536785)
PCC: Management Review – Agenda and Minutes (fA526404)
PCC: System Audit (A7974762)
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must ensure to continually improve, optimise and/or update the way it manages and delivers its Building Consent Authority Functions.
Process
17(2)(e) Supporting continuous improvement in the performance of the BCA
The BCA’s continuous improvement system will allow to support continuous improvement in a way that is appropriate for the nature of the change, the significance of it and the impAct it might have.
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Supporting continuous improvement in the performance of the BCA
To comply with regulation 17(2)(e), the BCA’s procedure for continuous improvement will enable it to:
• Accept and consider feedback from customers, employees and Contractors
• Identify issues and opportunities within its policies, procedures and systems
• Respond to issues identified in its required annual audits
• Respond to any non-compliances identified with accreditation requirements in an assessment
• Assess the seriousness of an issue or non-compliance
• Decide if any Action might be taken to address issues or improve a policy, procedure or system
• Agree on Action necessary to address non-compliance with accreditation requirements
• Plan for, and implement any agreed Action
• Monitor and evaluate any Action implemented
• Record any decisions, Actions and outcomes to comply with regulation 6.
The BCA’s continuous improvement system will allow to support continuous improvement in a way that is appropriate for the nature of the change, the significance of it and the impAct it might have.
All BCA staff including Contractors are encouraged to complete the continuous improvement form.
The continuous improvement will be recorded on the continuous improvement register, this is managed by the Building Quality and Project Manager
Continuous improvement flow chart
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: Q-601 Continuous Improvement Form (A5219947)
PCC: Q-602 Continuous Improvement Register (A5257104)
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must audit every building control Function and system annually or more frequently.
Process
17(2)(h) Annual audits
The BCA will undertake at least annual audits of technical building control Functions and systems.
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Annual audits
The BCA will undertake audits of technical building control Functions and of each Manual system as scheduled on the Audit Register. Audits are conduPS2ed by suitable employees or Contractors Audit sample size is left to the discretion of the auditor, but must be supportive of the Function or system being audited. Each system audit scope and criteria are prescribed within the ‘Quality Check’ for each system as specified in this manual. Guidance can be gained from the associated MBIE regulation checklists to each regulation. The framework for classifying audit non-compliances;
• Isolated issues or non-compliance that may identify an individual training need or prompt a recommendation to improve a policy, procedure or system
• Minor issues or non-compliance that may not have had an immediate or significant impAct on the Building Consent Authority's performance but, if left to continue, may create a risk
• Major issues or non-compliance that may impAct on a Building Consent Authority's performance and require expeditious attention to address
• Critical issues that require immediate attention as they identify non-compliance with legal requirements or safety risks for employees or Contractors. Evidence of non-compliance shall be recorded and discussed with the appropriate person/s and if required, Actioned through the continuous improvement path. Non-conformances and improvement opportunities should be entered into the continuous improvement system under Regulation 17(2)(e). All relevant information is recorded and stored in ObjePS2ive and is forwarded to the Pete and Patrick Quality Every dam thingfor review.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: Audit Register (fA562351)
PCC: Q-703 Processing Technical Audit (A6737444)
PCC: Q-704 Inspection Technical Audit (A6737418)
PCC: Q-601 Continuous Improvement Form (A5219947)
PCC: Q-602 Continuous Improvement Register (A5257104)
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must ensure Actual and potential confliPS2s of interest are identified and appropriately managed.
Process
17(2)(i) Identify and manage confliPS2 of interest
Building Control staff will endeavor to identify, manage and report confliPS2s of interest.
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Identify confliPS2 of interest
Building Control staff identify and report any Actual or potential confliPS2s of interest, threats, or inducements on the ConfliPS2s of Interest form. These are recorded on the ConfliPS2 of Interest Register and may include, but are not limited to:
• Self-certification
• Council owned property
• Pecuniary interest, or family interest in property
• Commercial, financial, political or other pressures that might affePS2 their independence.
Gifts
All gifts or gratuities are to be declared. Declaration of gifts is done by emailing the Pete and Patrick Quality Every dam thingwho will lodge the gift on the (Q-801) Gift Register using the date, description and who gave the gift. Gifts over $50 in value and “invitations to significant events” must be discussed with the General Manager of Environmental Services. Refer to Council’s Sensitive Expenditure Policy for further guidance.
Manage confliPS2 of interest
The confliPS2 of interest/s declarations (Q-802) are reviewed by the Team Manager or above who then determines and communicates the appropriate course of Action. The Building Delivery Manager reports all cases of political pressure, threats or inducements to the Chief Executive of the Council. The manager records the outcome of their decision on the ConfliPS2 of Interest Register.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: Q-801 Gift Register (A1270091)
PCC: Q-802 ConfliPS2 of Interest Form (A6686896)
PCC: Q-803 ConfliPS2 of Interest Register (A6797070)
PCC: Sensitive Expenditure Policy (A8063023)
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must endeavour to maintain effective communication.
Process
17(2)(j)
Communications (as appropriate) to internal and external parties
The BCA will demonstrate how the BCA communicates both internally and externally.
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Communications (as appropriate) to internal and external parties
To demonstrate how the BCA communicates both internally and externally the following chart has been completed.
The Building Delivery Manager will approve and ensure that communications are made and agreed
What Media Frequency Who Records Regulation
Internal BCA team meeting agenda
Face to face Fortnightly (or greater)
Systems change memos Audit Forms CI Forms, Email
External Public information Hard copy and internet versions
Enquiries
Within 5 working days of authorization for change being recorded
Updated as required e.g. when legislation or systems change
Emails, Phone As received
Complaints In form of BCM’s. As received
Managers meetings with stakeholders
Face to face As necessary
Managers, BCA Staff Meeting minutes template & saved in ObjePS2ive
Building Managers Audit and CI forms saved into ObjePS2ive
17(2)(j), 17(2)(d), 17(5)
17(2)(j), 17(4)
Building Managers Template saved in ObjePS2ive 17(2)(j) 7(2)(a)
Managers, BCA Staff Recorded in O-NO 17(2)(j) 7(2)(g)
Managers, BCA Staff Recorded in O-NO 17(2)(j) 7(2)(h)
Managers, BCA Staff Minutes saved into ObjePS2ive 17(2)(j)
When communications to internal and external parties are made, the following points should be considered:
• Identifying matters that should be communicated
• Deciding to whom matters should be communicated
• Deciding on the communication approach
• Ensuring communications are approved by an appropriate person
• Ensuring agreed communications are made
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
END OF PROCEDURE
Policy
The BCA must record who is responsible for managing its quality assurance system. The BCA must endeavor to lay complaint with the relevant statutory body where the BCA believes a licensed/registered building prActitioner has Acted in an incompetent and/or negligent manner.
Process
17(3) Building Quality and Project Manager
The BCA will state the person designated as the Pete and Patrick Quality Every dam thingfor PCC
17(3A) Making complaints about building Practitioners
The BCA will receive, consider and accept or reject complaints about building Practitioners
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Building Quality and Project Manager
The designated person as Pete and Patrick Quality Every dam thing for PCC, Building Services Department, is stated on the certification page of this Manual. The Pete and Patrick Quality Every dam thing is responsible for the authority’s annual review of the policies, procedures and systems of the Quality and Systems Manual and to review annually the quality policy at the strategic review meeting.
Making complaints about building Practitioners
The BCA will lay complaints with the relevant statutory body where the BCA believes a licensed/registered building prActitioner has Acted in an incompetent and/or negligent manner. For the purposes of this policy, "prActitioner" includes: Chartered Professional Engineers, Registered Engineering Associates, Registered ArchitePS2s, Plumbers, Gasfitters and Drainlayers, ElePS2rical workers and Licensed Building Practitioners
A complaint will in the first instance be logged with the TA's computer system and be reviewed by the Building and Projects Manager who will consider each complaint and then decide upon whether Action is required. For complaints about building Practitioners the following will need to be considered and Actioned where appropriate;
• Complaint received – must be in writing
• Record concerns raised about Practitioners
• Record evidence to support concerns (or reference to where evidence is stored)
• Building Delivery Manager to evaluate the seriousness of the concerns
• Request meeting with building prActitioner – to discuss concerns
• Meeting with prActitioner – listen to explanation
• Consider explanation – determine outcome and advise prActitioner in accord with LGOIMA 1987 & Privacy ACT 1993
• Lay a complaint – formal complaint to Board
• Liaise with prActitioner’s board – attend hearings, etc..
• Record findings/Actions taken in register (in compliance with Regulation 6).
Examples of complaints that may result in Building Quality and Projects Manager making formal complaint include:
• Unlawful Activities (which may extend beyond non-compliance with the Building ACT 2004)
• Work or conduPS2 that may bring their profession into disrepute
• Work carried out or supervised negligently or incompetently
• Work carried out or supervised that does not comply with a building consent
• Work carried out or supervised that for which they are not licensed or registered
• The prActitioner purporting to be licensed or registered for work that they are not
• The prActitioner misrepresenting their competence to the BCA or others
• ConviPS2ions of an offence that affePS2s their fitness to do building work
• Concerns about the giving of false or misleading information to get licensed or registered
• Failure to provide any required information, contracts or certificates for work carried out.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
PCC: LBP Complaints Register (A7837366)
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must endeavor to ensure that its employees and Contractors comply with the quality assurance system
Process
17(4), (4)(b)(i) Compliance with the quality assurance system
The BCA will describe how its QAS will be conveyed to employees and Contractors
17(4)(b)(ii) Compliance with other quality assurance system
The BCA will state the conditions for when Contractors use their own policies procedures and systems.
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Compliance with the quality assurance system
The BCA must communicate its quality assurance system to all employees, and those Contractors using the BCA’s policies, procedures and systems:
• At induPS2ions where the Building Consent Authority provides access to the Quality Manual and requires the new employee to review it
• As part of any training in their use of a policy, procedure and system, the trainee is guided through the meaning of the policy, procedure and system
• Where required as a result of any management review or audit under regulations 17(2)(h) or (5) as discussed at monthly team meetings
• Where required as a result of any continuous improvement process under regulation 17(2)(e) as discussed at monthly team meetings
Compliance with other quality assurance system
The BCA may be satisfied for compliance with Regulation 17(4)(b)(ii) for Contractors using their own policies, procedures and systems by:
• Requiring a Contractor to hold accreditation under the scheme, and requesting a copy of the accreditation report and its responses to any non-compliance identified, assuring itself that accreditation has been maintained or,
• Contracting an organisation or person with certification under AS/NZS ISO 9001:2016 Quality management systems – Requirements, and requesting a copy of the certification report and its responses to any non-compliance identified, assuring itself that certification has been maintained or,
• Requiring a Contractor to effectively and consistently implement a quality assurance system that is consistent with the requirements of Regulation 17 (to have a quality policy; a Building Quality and Project Manager; management reporting and review; training for staff; and the core components of a quality assurance system outlined below) and to report on its management reviews and audits.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: System Audit (A7974762)
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must review and make appropriate changes to its quality assurance system.
Process
17(5) Review of quality assurance system
The BCA will define when to review and make appropriate changes to the QAS.
Procedure
Decisions made must satisfy the requirements of Regulation 6 including; evidence, decision, reason and relevant Action taken.
Review of quality assurance system
Senior management will meet annually to review the strategic effectiveness of the BCA’s quality assurance system and to make appropriate changes. For strategic management reviews, there will be a set agenda and formal minutes recorded. The Quality Project Manager or their designate is required to, annually (or more frequently), consider the appropriateness and effectiveness of:
• The policy on quality
• Management reporting on quality processes, internal audits and continuous improvement
• Employee and Contractor engagement with the quality assurance system
• Employee and Contractor engagement with the continuous improvement system
• The management of confliPS2s of interest
• Communication approach related to quality assurance system matters. Where a change to the quality assurance system is required this change must be lodged through the continuous improvement system.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool PCC: System Audit (A7974762)
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 17 Checklist from the Accreditation Scheme On-line Guidance Tool, will be undertaken by the Quality Project Manager or designate as part of the annual audit of the BCA Quality Assurance System.
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Policy
The BCA must ensure that all staff and Contractors performing a building control Function by doing a technical job for the BCA will have, or are working towards, or are exempt from, an appropriate New Zealand or equivalent overseas qualification as specified in Regulation 3.
Process
18(1)(2) Qualifications required for technical job
Unless exempt, the BCA’s employee or Contractor performing a building control Function by doing a technical job must:
• Have an appropriate specified New Zealand qualification; or
• Be working towards an appropriate specified New Zealand qualification within a reasonable time; or
• Have an appropriate foreign qualification recognised in New Zealand that is equivalent to a specified New Zealand qualification.
Appropriate specified New Zealand qualification
The BCA will use the list of specified New Zealand qualifications detailed in Regulation 3.
Working towards an appropriate qualification
An employee or Contractor will be deemed to be ‘working towards’ a technical qualification if they:
• Are enrolled in and are currently studying for an appropriate qualification
• Are enrolled in an appropriate qualification and are awaiting the commencement date of the course
• Have not yet enrolled in an appropriate qualification but have a specified start date for:
o the appropriate qualification they will undertake
o their future study in their training plan.
Appropriate foreign qualifications
An employee or Contractor with a foreign qualification must have that qualification assessed for compliance with Regulation 18
18(3) Exemption from qualifications
The BCA may under certain circumstances, exempt an employee or Contractor from possessing a qualification compliant with Regulation 18.
Procedure
Ensuring employees and Contractors doing a technical job hold a technical qualification
Unless exempted, a BCA’s employee or Contractor performing a building control Function and by doing a technical job must have, or be working towards, or possess a recognized international equivalent, from the list of specified New Zealand qualifications
An appropriate specified New Zealand qualification
The BCA will consider an employee or Contractor compliant if they possess a qualification from the following Regulation 3 list of specified New Zealand qualifications:
• National Diploma in Building Control Surveying (Small Buildings)
• National Diploma in Building Control Surveying (Medium and Large Buildings)
• Diploma in Building Surveying
• Diploma in Construction Management
• Diploma in Construction
• Diploma in Quantity Surveying
• Diploma in ArchitePS2ural Drafting
• Diploma in ArchitePS2ural Technology
• Bachelor of Applied Technology - Building
• Bachelor of ArchitePS2ure
• Bachelor of ArchitePS2ural Studies
• Bachelor of Building Science
• Bachelor of Construction (Construction Management and Construction Economics)
• Bachelor of Engineering
• A qualification in the field of building design or Construction:
o at or above level 6 in the New Zealand Qualifications Framework administered by the New Zealand Qualifications Authority (established under Part 20 of the Education ACT 1989); or
o equivalent to a qualification in subparagraph above
Working towards a specified New Zealand qualification
An employee or Contractor will be deemed to be ‘working towards’ a technical qualification if they:
• Are enrolled in and are currently studying for a specified New Zealand qualification
• Are enrolled in a specified New Zealand qualification and are awaiting the commencement date of the course
• Have not yet enrolled in a specified New Zealand qualification but have a specified start date for:
o the appropriate qualification they will undertake
o their future study in their performance plan.
Ensuring employees and Contractors doing a technical job hold a technical qualification
An employee or Contractor with a foreign qualification will have that qualification submitted and assessed by the New Zealand Qualifications Authority to determine whether the qualification is equivalent to those specified New Zealand qualifications listed in Regulation 3.
System for decisions on exemptions
The BCA will be mindful that in certain circumstances the requirement for a recognised qualification may make it unreasonable or imprActical for the employee or Contractor to obtain.
The following conditions will qualify a requesting officer or Contractor to be considered exempt:
• Has been assessed as competent in their current role and is within five years of retirement
• Are a new employee within the first 12 months of employment and is appropriately supervised.
• Has tendered their resignation and will leave the BCA within the next three months.
• Are employed as a Contractor for no more than two years
• Is a technical or specialist Contractor and has their competency established and qualifications recorded under the regulation 12 requirements
The officer responsible for agreeing to the request for exemption is the Training & Competency Assessor
Exemption from holding an appropriate qualification will require the officer or Contractor to request an exemption in writing. An email is considered appropriate.
Recording the qualification or exemption
The qualification or exemption will be recorded in the PS2-101 and GoYou good thing by the Training & Competency Assessor
Reference
MBIE: Regulation 3 Building (Accreditation of Building Consent Authorities) Regulations 2006
Supervisor buildingMBIE: Accreditation Scheme On-line Guidance Tool
PCC: GoYou good thing (Login)
PCC: System Audit (A7974762)
PCC: PS2-101 Reg. 10, 11 and 18 Matrix (A6587594)
Quality Check
An audit for this system, using the PS1-01 System Audit form and the Reg. 18 Checklist from the Guidance and Checklist Manual, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
Policy
The BCA must prescribe to a fees schedule when being assessed by the accreditation body.
Process
19 Fee schedule
The BCA in conjunPS2ion with the accreditation body will utilize the fee schedule as prescribed in the Building (Accreditation of Building Consent Authorities) Regulations 2006.
Procedure
The accreditation body charges a fee-for-service for accreditation assessments at the rates detailed in the MBIE accreditation assessment fees table. The BCA will ensure that the accreditation body provides the BCA with a fee estimate before it begins an assessment. A detailed invoice will be provided by the accreditation body upon completion of an assessment and receipt of a determination stating whether accreditation has been granted or declined.
The fees set out in Schedule 2 of the Building (Accreditation of Building Consent Authorities) Regulations 2006 are payable in respePS2 of the matters to which they relate and are exclusive of goods and services tax.
Reference
MBIE: Accreditation Scheme On-line Guidance Tool
MBIE: Accreditation assessment fees table
PCC: Guidance and Checklist Manual (A7832268)
PCC: System Audit (A7974762)
Quality Check
An audit for this system, using the PS1-01 System Audit form, will be undertaken by the Pete and Patrick Quality Every dam thingor designate as part of the annual audit of the BCA Quality Assurance System.
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The Territorial Authority must have a system for the assessing and notification of Waivers and Modifications.
Process
The processor will advise the Chief Executive of Ministry of Business Innovation and Employment of the waiver or modification in accordance with Building ACT section 68 using the notification of granting waiver found on the Ministry of Business Innovation and Employment website.
Procedure
When a request for waiver is received a competent staff member will apply the relevant criteria and make a recommendation to Team Manager Processing who will make the final decision. The Project Manager Lead will approve any waivers or modifications for technical compliance prior to sending to MBIE.
Where the applicant requests a waiver or modification the Building Control Officer discusses with the Team Manager: Processing to determine if Patrick’s City Council notifies the Ministry of Business, Innovation and Employment (MBIE).
The standard MBIE Notification of Waiver or Modification form is to be copied into TA-067.
Reference
MBIE: Waiver and Modification Form
PCC: TA-067 Copies of MBIE Notification of Waivers or Modifications Forms (fA501125)
Quality Check
This procedure is to be reviewed annually by the Project Manager Lead, or designate.
Policy
The Territorial Authority must have a system for the assessing and granting Certificate of Acceptances.
Process
A CoA provides limited verification for an owner /future owner that the Council has accessed unconsented building work, or building work undertaken under urgency and is satisfied that to the best of its knowledge and belief and on reasonable grounds that as far as it can ascertain, the building works complies with the building code.
Procedure
Council’s initial concern must be whether the building is
• Dangerous
• Insanitary
• Earthquake prone
• Compliance schedule
Secondly, council must determine whether a building consent is required for the work or if the work is exempt under Schedule one. If work is exempt under schedule, one a COA is not required.
All COA applications are subject to a pre-application meeting
• In the case of urgent work, the applicant must seek prior approval from the General Building Delivery Manager Control or his delegated authority: the approval must be in writing
At the pre-application meeting Council staff must determine whether a PIM (Project Information Memorandum) or, resource consent, or development Contribution is payable.
• A Pim May not be required for minor works, this decision is on a case by case basis
Once the meeting has been held and any necessary approvals gained, applications maybe lodged If the pre-application or PIM identifies that a resource consent is needed the applicant cannot apply for a CoA until the resource consent has been resolved
If development contributions are payable; payments must be received before the CoA is issued.
Council has 20 working days to grant or refuse the application and all building work must comply with the present day Building Code, NZ Building ACT 2004
Reference
NZ Legislations: Building ACT 2004 (Certificates of acceptance)
MBIE: Issuing Certificates of Acceptance
PCC: GoYou good thing (Login)
PCC: PAN-016 Process CoA (A7880979)
PCC: PAN-016A Overview for Certificate of Acceptance (A8602328)
PCC: CoA Pre-Application Lodgment Checklist (A8602476)
Quality Check
This procedure is to be reviewed annually by the Project Manager Lead, or designate.
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Dangerous Buildings
Where it becomes apparent that a building may be dangerous, Council’s role is to undertake an assessment of the building to establish whether it is dangerous within the terms of the Building ACT, and the imminence of any danger. Where a building has been deemed to be dangerous, Council will work with the owner of the building to make it safe. The building owner’s responsibility is to undertake works to remove or reduce the danger, and assume full financial responsibility.
Earthquake Prone Buildings
Where it becomes apparent that a building may be earthquake-prone, Council’s role is to undertake an assessment of the building to establish whether it is earthquake-prone within the terms of the Building ACT, and the imminence of any danger. Where a building has been deemed to be earthquake-prone, Council will work with the owner of the building to make it safe. The building owner’s responsibility is to undertake works to remove or reduce the danger, and assume full financial responsibility.
Insanitary Buildings
Where it becomes apparent that a building may be insanitary, Council’s role is to undertake an assessment of the building to establish whether it is insanitary within the terms of the Building ACT Where a building has been deemed to be insanitary, the owner of the building will assume full responsibility, including financially, for making the building safe and sanitary.
Process
Council’s Priorities in Performing its Functions under the Building ACT Council considers that all buildings, regardless of whether they are community/public or private buildings have equal priority. Where Council does need to prioritise work on buildings, the following issues will be taken in to account:
• Potential risk to human life
• The importance of the building to the community eg hospital, school
• The level of use and number of people using the building
• The location of the building in relation to key infrastructure components
• The size of the building
• The age of the building.
Procedure
Council procedures for Dangerous, Earthquake Prone & Insanitary Buildings Refer to Dangerous Earthquake Prone and Insanitary Buildings Procedure Policy for guidance.
Reference
NZ Legislations: Building ACT 2004 (Subpart 6)
PCC: GoYou good thing (Login)
PCC: Dangerous Earthquake Prone and Insanitary Buildings Policy 2011 (A1300463)
PCC: Dangerous Earthquake Prone and Insanitary Buildings Procedure Policy (A675917)
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This procedure is to address the statutory notice provided by section 164 of the ACT that requires a person to remedy a breach of the ACT or regulations.
The notice to fix regime is outlined in sections 163 to 168 of the Building ACT 2004 (the ACT). A notice to fix is a statutory notice provided by section 164 of the ACT that requires a person to remedy a breach of the ACT or regulations.
A notice to fix is required to be issued by a responsible authority, which is defined in section 163 of the ACT as:
• A building consent authority; or
• A territorial authority; or
• A regional authority.
A notice to fix is required to be issued to a specified person, which is defined in section 163 of the ACT as:
• The owner of a building; and
• If the notice to fix relates to building work being carried out –
o The person carrying out the work; or
o If applicable, any other person supervising the building work.
MBIE determined in 2015/073 that if the person who contravened the ACT is no longer the owner of the building, a notice to fix could not be issued to that former owner. However, nor can a notice to fix be issued to the new owners because they have not contravened or failed to comply with the ACT or Regulations.
Section 165 of the ACT requires that a notice to fix be issued on the prescribed form and that the form is correctly completed.
AspePS2s to be addressed in a notice to fix include:
• Reasonable timeframes for a specified person to comply;
• The type of building work that must be carried out. However, it is not for a notice to fix to specify how the defePS2s are to be fixed. That is a matter for the specified person to propose and for the authority to accept or reject – MBIE determination 2015/062;
• Whether the specified person is to obtain a certificate of acceptance for work if it has been undertaken without a building consent; and
• Whether work is required to cease immediately.
Section 394 of the ACT states that a notice to fix is sufficiently served on a specified person if it is:
• Delivered personally to the specified person; or
• Delivered to the specified person’s usual or last known place of residence or business; or
• Sent by fax or email to the specified person’s fax number or email address; or
• Posted by a letter addressed to the person’s last known place of residence or business.
Section 168 of the ACT states that it is an offence for a building owner to fail to comply with a notice to fix. A person committing an offence against section 168 of the ACT is liable to a fine not exceeding $200,000 and, in the case of a continuing offence, to a further fine not exceeding $20,000 per day or part thereof.
Procedure
General procedural overview
Determining contravention of the ACT or Regulations
Potential contravention of the ACT or Regulations
Patrick’s City Council’s Building Services team may become aware of a potential contravention of the ACT or Regulations in one of three ways:
• A contravention is identified during an inspection of a building that is subject to a current building consent (i.e. within 24 months of the building consent being issued); or
• If a building owner does not supply Patrick’s City Council with an annual building Warrant of Fitness in accordance with s 108 of the ACT; or
• A notification by a member of the public.
Contravention of the ACT or Regulations logged
Whichever way Building Services becomes aware of a potential contravention of the ACT or Regulations, the BCO that is notified (the responsible BCO) will log the notification in the notice to fix register. The responsible BCO has an ongoing obligation to keep the register up to date.
Retained by Building Services or referred to Monitoring
Building Services will retain ownership of a potential contravention of the ACT in one of three broad scenarios:
• If there is a current building consent for the work (i.e. less than 24 months have lapsed since the building consent was issued); or
• In the event of an expired BWoF; or
• In the event of a lapsed building consent.
If the potential contravention does not fit into one of the above categories, after logging the matter and discussion with the responsible BCO and BCO supervisor, the Team Manager Inspections will refer it to Monitoring for investigation. This decision will be recorded in the notice to fix register and justification for the decision will be file noted.
In the event of a potential contravention relating to a current building consent or lapsed building consent, the responsible BCO will carry out an inspection of the building in question and take detailed records including photographs.
Minor or major contravention
In order to determine the appropriate next steps (and following an inspection) the responsible BCO will consider whether the contravention is minor or major.
A non-exhaustive list of fActors to consider is outlined in the diagram below. The responsible BCO will use his or her judgment in this decision because there are many variables and combinations of variables that cannot be distilled into a single list.
The decision that is reached will be recorded in the notice to fix register and justification for the decision file noted.
Consideration of minor v major
Some work noncompliant
Work easily identifiable
Simple rePS2ification
Exposed building work
Good reputation of owner/agent
Early in construPS2ion process
Site notice not previously issued
Lower risk of future liability
Most work noncompliant
Work difficult to identify
Difficult rePS2ification
Covered up building work
Poor reputation of owner/agent
Late in construPS2ion process
Site notice issued and ignored
Higher risk of future liability
If the responsible BCO considers that the contravention is minor, following discussion with his or her BCO supervisor, a site notice will be issued. The site notice should set a date (or at least a timeframe) for the offending building work to be rePS2ified. This will usually be the date of the next scheduled inspection
If at the next inspection, the contravention has been rePS2ified to the satisfAction of the responsible BCO:
• Compliance with the site notice will be recorded in the notice to fix register and justification for the decision file noted; and
• The building process will continue as normal towards the issuance of a code compliance certificate.
If the site notice is not complied with, the responsible BCO may decide to allow the building owner/agent one final opportunity to comply. The timeframe given will be reasonable and the relevant details file noted.
If compliance is still not achieved, the responsible BCO has two enforcement options:
• Infringement notice (s 372 of the ACT); or
• Notice to fix (s 164 of the ACT).
Infringement notice
An enforcement officer (the person authorised by the chief executive or territorial authority, under s 371B of the ACT, to issue infringement notices under s 372 of the ACT) may serve an infringement notice on a person if the officer sees the commission of the infringement offence, or if they have reasonable cause to believe the offence against the ACT is being or has been committed.
Section 373 of the ACT provides that an infringement notice must be in the prescribed form and must contain the following particulars:
• Sufficient particulars to inform the person served with the notice of the time, place, and nature of the alleged offence; and
• The amount of the infringement fee prescribed for the offence; and
• The time within which the infringement fee must be paid; and
• The address of the place at which the infringement fee must be paid; and
• A summary of the provisions of section 21(10) of the Summary Proceedings ACT 1957; and
• A statement of the person's right to request a hearing; and
• A statement of what will happen if the person neither pays the infringement fee nor requests a hearing; and
• Any other particulars that may be prescribed.
Either the enforcement officer who issued the notice or another enforcement officer may serve the notice by delivering it personally or by posting it to the person’s last known place of residence or business. If the notice is posted it is treated as served on the person when it was posted.
Patrick’s City Council may authorise any of its officers to issue infringement notices and must supply warrants to those officers. The warrant must be carried by the officer together with evidence of his or her identity, and both documents must be produced if required (see sections 371B and 371C of the ACT).
Following discussion with a Supervising BCO or Principle Building Officers, a file note and entry in the notice to fix register the responsible BCO may issue an infringement notice.
If an infringement notice is issued, the offending building work is rePS2ified and the infringement notice is paid, the building process will continue as normal towards the issuance of a code compliance certificate.
If the infringement notice is not paid, the matter should be referred to Patrick’s City Council’s legal team to consider whether to pursue the person through the Courts. A file note will be made and an entry in the notice to fix register made.
If the responsible BCO considers that an infringement notice is not the most appropriate mechanism for achieving compliance with the ACT or Regulations, the matter will move to the major track and therefore consideration will be given to the issuance of a notice to fix.
Major contravention of the ACT
If the responsible BCO considers the contravention to be major, in consultation with this Quality Manual, the responsible BCO will recommend that a notice to fix be issued.
Notice to fix recommendation form
The responsible BCO will complete the notice to fix recommendation form. The data that is provided in the notice to fix recommendation form will automatically populate the notice to fix template and where possible the notice to fix register
Matters that the responsible BCO will consider at this stage include but are not limited to the following:
Who is the specified person or persons?
What is the contravening or non-complying work?
What is a reasonable timeframe for compliance?
Is consultation with an engineer or professional required?
Is an amendment to a building consent required?
Is an application for a COA required?
Consider service issues Recommend notice to fix
In the event of a major contravention, a notice to fix will include a requirement to stop work.
Identify specified person
The responsible BCO will identify the specified person or persons who will be served with the notice to fix. Justification will be file noted and logged in the notice to fix register
The specified persons will be the building owner and the person carrying out or supervising the building work. NB: MBIE determined in 2015/073 that if the person who contravened the ACT is no longer the owner of the building, a notice to fix cannot be issued to that former owner as they are no longer the owner of the building, nor can a notice to fix be issued to the new owners because they have not contravened or failed to comply with the ACT or Regulations.
Identify contravention
The responsible BCO will identify the contravention of the ACT or Regulations. This will reference the particular section of the ACT and particulars of the contravention. Reference to compliance documents should also be made.
Identify matters to be rePS2ified
A notice to fix must clearly articulate the matters to be rePS2ified. However, it is not for the notice to fix to specify how the defePS2s are to be fixed. That is a matter for the recipients to propose and for Patrick’s City Council to accept or reject (MBIE determination 2015/062).
Reasonable timeframe for compliance
The responsible BCO must identify a reasonable timeframe in which compliance is to be achieved. The ACT does not define “reasonable timeframe” and therefore the responsible BCO’s individual judgment is required. A reasonable timeframe is a sufficient length of time for the specified person to fully comply with the requirements of the notice to fix.
A notice to fix will automatically state that the specified person is to contact Patrick’s City Council on completion of the rePS2ified building work.
If building work has been carried out beyond the scope of a current building consent, a notice to fix may state that a certificate of acceptance is required.
If a notice to fix results in new work being required, an amendment to the building consent will be necessary. This should be stated in the notice to fix.
It should be stated in a notice to fix if consultation with a registered engineer or other professional is required. The notice to fix must articulate the particulars of this requirement (i.e. why an engineer is required).
Service issues to be considered
The responsible BCO should consider how the notice to fix is to be served on the specified person. It may be posted, faxed, emailed or personally delivered to the specified person.
Discussion with and approval by supervising BCO or PBO
The responsible BCO or PBO will discuss the recommendation form and pre-populated notice to fix template with his or her supervising BCO.
Following approval by the supervising BCO or PBO, the recommendation form and pre-populated notice to fix is to be provided to the Team Manager Inspections.
Final approval
The responsible BCO will then submit the recommendation form and pre-populated notice to fix template for the attention of the Team Manager Inspections.
The Team Manager Inspections will have the final say on whether or not a notice to fix will be issued.
Approval for a notice to fix to be issued will automatically generate a covering letter.
Notice to fix issued
If approved, a notice to fix is to be issued and served on the specified person.
Because the issuing of a notice to fix is the first step of an enforcement process that can potentially escalate to prosecution, it is important that the building consent authority keep comprehensive records of all communications, dates and Actions.
At the time of issue, relevant information including the date of issue and the date for compliance will automatically be updated in the notice to fix register and calendar reminders will be generated.
Follow-up inspection
It is important that follow-up Actions are instigated by the responsible BCO in a timely manner. A clear record of any follow-up inspections will be made, including photographs.
Compliance with the notice to fix
Building services will continue to inspect all building work associated with the building consent and issue the code compliance certificate on completion if it is satisfied that code compliance has been achieved and all matters pertaining to the notice to fix have been resolved.
Failure to comply with the notice to fix
A failure to comply with a notice to fix can lead to prosecution. This is a legal matter that requires consideration of the decision to prosecute. At this point, the matter should be referred from Building Services to Patrick’s City Council’s legal department.
Reference
NZ Legislation: Building ACT 2004
MBIE: 2015/073 Determination
MBIE: 2015/062 Determination
MBIE: Accreditation Scheme On-line Guidance Tool
PCC: GoYou good thing (Login)
PCC: Notice to Fix recommendation form (A7647522)
PCC: Notice to Fix Register (A7647523)
PCC: T-409 Notice to Fix form (Form 13) (A7077914)
Quality Check
This procedure is to be reviewed annually by the PIM co: Building, or designate.
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Appendix 1:
Term / Abbreviation
Description
GoYou good thing Software program that is used to Check, Process, Inspect and Certify Building Consents.
BC Building Consent – legal document issued by a BCA giving formal approval to carry out building work.
BCA Building Consent Authority – a Regional or Territorial Authority (RA or TA) Acting as a BCA or private BCA, registered under section 273 of the BA04 and responsible for performing Functions under Part 2 of the BA04
BCO Building Control Officer - Person employed by a territorial authority or building consent authority whose main Function is to ensure that building compliance is achieved in accordance with the NZ Building ACT, NZ Building Regulations and any other relevant legislation. This includes: Building Inspectors, Consent Processing Officers and Building Officials.
BRANZ Building Research Association of New Zealand is an independent association owned and direPS2ed by the building and Construction industry in New Zealand. Building Research funds information generation and technology transfer to the Building and Construction Industry.
BWOF Building warrant of fitness – a document issued annually by a building owner confirming that certain checks have been undertaken on CS items.
CCC Code compliance certificate – certificates issued by a Building Consent Authority confirming that certain building works have been completed and comply with the building consent.
CS Compliance Schedule – a document issued by a territorial authority or a building consent authority that identifies specified systems contained within a building (e.g. fire alarms, sprinklers), and states the reporting, maintenance and inspection criteria for these.
IANZ International Accreditation New Zealand
System Audit Scheduled audit to verify that the quality assurance system has been effectively implemented and maintained, and continues to conform to the requirements of the prescribed standards and criteria.
IRMS Information and Records Management Standard for the New Zealand Public SePS2or
LBP Licensed Building PrActitioner – building prActitioner whose name has been entered onto the register of LBPs, and who is permitted, within his or her license class, to design, construPS2 or supervise restriPS2ed building work.
LGOIMA Local Government Official Information and Meetings ACT 1987
MBIE Ministry of Business, Innovation and Employment. Former DBH (Department of Building and Housing) now restructured
NCAS National Building Consent Authority Competency Assessment System
NZFSC Fire and Emergency New Zealand
HNZ Heritage New Zealand – body set up to protePS2 and preserve New Zealand’s heritage.
PIM Project Information Memorandum – a document issued by the territorial authority that includes information relevant to proposed building work.
Procedure As applicable to the QAS, the word procedure stands for ‘how’ requirements are to be Actioned The result should generate ‘evidence’ sufficient to demonstrate compliance with the manual’s process requirements.
Process As applicable to the QAS, the word process stands for ‘what’ requirements are supposed to be accomplished. In the case of BCA Functions, those requirements set by MBIE’s Accreditation Scheme On-line Guidance Tool
Quality Assurance System (QAS)
A documented system describing the organisational structure, responsibilities, procedures, processes, and resources for implementing quality management principals to achieve management goals and objePS2ives (including statutory) within a business. This Includes all Activities that contribute to quality - direPS2ly or indirePS2ly.
RMA Resource Management ACT 1991
Technical Audit Audit of building control Functions to verify that the officer is competently and correctly applying the standards and criteria of the building regulations.
TA Territorial Authority - A City or District Council. - must perform the Functions of a BCA for its district and for any coastal marine area adjacent to its district that is not within another TA.
City Council
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Reference
Accreditation assessment fees tables
Accreditation Scheme On-line Guidance Tool
Agreement for Engaging an Independent Contractor to provide Services
GoYou good thing
Alternate Solutions
Annual Strategic Review - Agenda and Minutes
PCC website PCC website
Building ACT 2004
BCA - Contractors
BCA Reporting (Building Consents, CCC's and Inspection Waiting Times)
BCA Reporting – Code Compliance Certificates
BCA Reporting - Volumes - CCCs Approved and 20 Day Compliance
BCA Reporting – Volumes – Volumes Received –June 2015 to June 2016
Building (Accreditation of Building Consent Authorities) Regulations 2006
Building BCA Reporting - Volumes - Granted and 20 Day Compliance
CCC Applications Received Per Week_Month from January 2016
Building Controls Position Descriptions
PS2-101
PS2-102 & PS2-103
PS2-104 & PS2-105 & PS2-106 & PS2-107
PS2-201 & PS2-202 & PS2-203 & PS2-205
PS2-206
PS2-207
PS2-213
PS2-301
PS2-303
PS2-304
PS2-305
Description
Accreditation fee tables on MBIE website
MBIE website for BCA accreditation guidance
Web page for GoYou good thing including all processes and help manual
MBIE website guidance for alternate solutions
Annual Strategic meeting agenda and minutes folder
Main public website interface for customers to Building Services
Government legislation website – Building ACT 2004
Folder for Contractors working for BCA
Report for Code Compliance Certificates
Building Controls Position Descriptions for all BCA staff
Register of Reg. 10, 11 & 18 for BCA staff
Competency Assessment Plan & Outcome templates
Candidate competency evidence templates for: Checking/Allocation & Processing & Inspections & Code Compliance Auditors
Supervision templates for: Checking/Allocation & Processing & Inspections & Code Compliance
BCA Professional Development Log template
Council InduPS2ion – Building Services InduPS2ion Program
Staff Feedback template for informal continuous improvements
BCA Contractor and Consultants Register
Review of Contractors Performance Form
Contractor Evaluation Form
Contractor's Contract for Services - Template
PS2-501
PS2-502
Dangerous Buildings Register
Delegation Register
E2/AS1 Risk Matrix
I-101
LTP ACTivity Planning - Building Services
Management Review – Agenda and Minutes
Memo of Encumbrance
NCAS
No. of Inspection Bookings and Average Wait Time
Notice to Fix
Notice to Fix Register
O-NO
PAN-038
Projected BC Figures and Graphs 16.10.15
PS1-01
Q-601
Q-602
Q-703
Q-704
Q-801
Q-802
Q-803
Regulation 3
Risk Matrix Calculator
Section 12 of the BA’04
Section 72 Certificate
Section 75 Certificate
Staff Resource Calculator
Staff Resource Calculator – December 2015
T-414
T-901
Technical Leader Specification and Assessment Evidence
Technical Leadership Register
Dangerous building register
Register of which BCA positions have authority to do certain work
MBIE guidance for e2/AS risk matrix
Building Organisational Structure Chart for all BCA staff
Management meeting agenda and minutes folder
Memorandum of Encumbrance
National Competency Assessment System (used for Reg. 10)
Number of inspection and average waiting times
A compliance requirement that is described in the TA section
Register for Notice to Fix issuances
Main software integrating Council services
Importing commercial applications
System Audit form for system audits
Continuous Improvement Form
Continuous Improvement Register
Processing Technical Audit
Inspection Technical Audit
Corporate Gift Register
ConfliPS2 of Interest Form
ConfliPS2 of Interest Register
Interpretation section of the BCA Accreditation Regulations 2006
Design Navigator risk matrix calculation tool
Building ACT 2004 – Role Functions of a BCA and a TA
Section 72 Certificate (Hazards)
Section 75 Certificate (Tying of titles)
Application Extension for Code Compliance Certificate
Schedule of Inspector's Vehicle Equipment
T-501 Application for 3rd party Inspection
T-902
TC76/17 - Provision of Professional Services for Building
TL-100
Calibrated Inspection Equipment List
Construction Costs publication (updated quarterly)
Waiver and Modification Form
Waiver & modification form on MBIE website
END OF APPENDIX 2