Compliance Schedules and BWOFs

Compliance Schedules

The purpose of this guidance information is to help building owners and managers of commercial, industrial or communal (public use) buildings understand their responsibilities under the Building Act 2004 as they relate to compliance schedules (list of specified systems) and building warrants of fitness. Residential properties do not require a compliance schedule, unless it has a cable car installed. For more detailed information refer to MBIE's Compliance Schedule Handbook.

The Building Act 2004 (the Act) outlines Council’s responsibilities in respect to enforcing the provisions of the Act and promoting and protecting the public’s health and safety. Council’s role is to educate, monitor and work with building owners, managers and independent qualified persons (IQPs) to ensure that the purposes and principles of the Act are achieved.

Section 7

Plans and specifications means the drawings, specifications, and other personal documents according to which a building is proposed to be constructed, altered, demolished or removed; and includes the:-

specified systems that the application for building consent considers will be required to be included in the compliance schedule under section 100; and
the proposed procedures for inspection and routine maintenance for the purposes of the compliance schedule for those specified systems

Section 45.1 (g)

An application for a building consent must be accompanied by either one of the following:

if a compliance schedule is required as a result of the building work, a list of all specified systems for the building; or
if an amendment to an existing compliance schedule is required as a result of the building work, a list of all specified systems that are being:-
altered in the course of the building work
added to the building in the course of the building work
removed from the building in the course of the building work

Section 51.1(c and d)

A building consent or an amendment to a building consent, must state:

the specified systems that are covered by the compliance schedule, and
the performance standards for the specified systems that are required by the Building Code

Specified systems

A specified system is a system or feature that is contained within a building for the primary purpose of maintaining health or life safety of building users i.e. fire alarm, sprinkler, mechanical ventilation system, etc.

Requirements for specified systems are set out in the 1st Schedule of the 2005/032 Building (Specified Systems, Change the Use, and Earthquake-prone Buildings) Regulations 2005. Where one or more of these systems exist in a building, a compliance schedule is required.

A compliance schedule is an inventory or list of specified systems, contained within a building and states the performance standards which must be met:

inspection, testing and maintenance procedures
the frequency of inspections, and
who should perform those inspections

A compliance schedule is usually included with an application for building consent; however, it may also be applied for when an application is made for a certificate of acceptance or a certificate for public use.

The application form for building consent must identify the specified systems that are going in the building and sufficient information to enable the BCA to check compliance of the system. This includes information about the system, its location and the performance standards.

Information required	Example
The name of the specified system	SS/1 Automatic Systems for Fire Suppression
The type of system	Type 6 automatic sprinkler system
The location of the system in the building	Throughout the building
The Make and Model of the system
The Performance Standard	NZS4512:2010 Fire detection and alarm systems in buildings

A specified system is a life-saving system or feature, which is in or attached to a building. They are identified in the following list.

SS1/1 Automatic Systems for Fire Suppression
SS1/2 Automatic Systems for Fire Suppression
SS2/1 Automatic or Manual Emergency Warning Systems for fire or other dangers
SS2/2 Automatic or manual emergency warning systems for fire or other dangers
SS3/1 Automatic doors
SS3/2 Access controlled doors
SS3/3 Interfaced fire or smoke doors or windows
SS4 Emergency lighting systems
SS5 Escape route pressurisation system
SS6 Riser mains for fire service use
SS7 Automatic Back-flow Preventer Connected to a Potable Water Supply
SS8/1 Passenger Carrying Lifts
SS8/2 Service Lifts
SS8/3 Escalators and Moving Walkways
SS9 Mechanical Ventilation or Air Conditioning Systems
SS10 Building Maintenance Units for Providing Access to the Exterior and Interior Walls of Buildings
SS11 Laboratory Fume Cupboards
SS12/1 Audio Loops
SS12/2 FM Radio Frequency Systems and Infrared Beam Transmission Systems
SS13/1 Mechanical Smoke Control
SS13/2 Natural Smoke Control
SS13/3 Smoke Curtains
SS14/1 Emergency Power Systems
SS14/2 Signs Relating to a System or Feature Specified in any of Clauses 1 to 13.
SS15/1 Systems for Communicating Spoken Information Intended to Facilitate Evacuations
SS15/2 Final Exits
SS15/3 Fire Separation
SS15/4 Signs for Communicating Information Intended to Facilitate Evacuation (Clauses 1-6, 9 and 13)
SS15/5 Smoke Separations
SS16 Cable Car

Performance Standards provide extensive information about a particular system, including:-

 The scope, definitions and legislative requirements

 Workmanship, competency and qualifications of designers and installers (if applicable),

 Performance requirements of the system

 Testing procedures and environments

 Commissioning certificates and certificates of completion

 Frequency of inspection, maintenance and reporting procedures

Published Standards

There are many standards available to designers; it is important that the performance standard covers the design as well as the maintenance and inspection requirements for the specified system.

Some Standards are suitable for design, inspection and maintenance whereas others are only suitable for the design and you need to pick a different standard for the inspection and maintenance. A good example of this is AS/NZS2293 which comes in 3 parts. The design may be in accordance with Part 1 whereas inspections and maintenance of the system will be to Part 2.

Unique Number and Year Name of Standard Part

ASNZS2293.1-2005 Emergency Escape Lighting and exit signs for buildings Part 1

System Design, Installation and Operation

ASNZS2293.2-2019 Emergency Escape Lighting and exit signs for buildings Part 2

Routine service and maintenance

ASNZS2293.3-2018 Emergency Escape Lighting and exit signs for buildings Part 3

Emergency luminaires and exit signs

When referencing a published standard, you must provide full details of the standard including the unique number and part, the year and the name of the standard.

Note: Some standards are sponsored by MBIE and can be accessed for free on the Standards NZ website www.standards.govt.nz

NZ Building Code Clauses

Designers can also choose to use one of the NZ Building Code (NZBC) clauses as a performance standard. However, if referencing a NZBC Clause, the Designer must identify the relevant sections and sub-sections of the particular clause referenced. The Designer must also identify the inspection and maintenance requirements for the system because the NZBC does not provide this level of information. For this reason, we recommend that you use a published Standard.

NZBC Clause Section Sub-section (identify which sub-sections apply)

Clause F8 Signs F8.1 (a); (b); (c);

Clause F8 Signs F8.2 (a); (b); (c); (d)

Clause F8 Signs F8.3.1

Clause F8 Signs F8.3.2

Clause F8 Signs F8.3.3 (a); (b);

When referencing a code clause, you must provide full details of the clause including the version, amendment number and the date the clause came into effect.

Note: NZBC clauses can be found on the MBIE website: https://www.building.govt.nz/building-code-compliance/building-code-and-handbooks/

Signage

Signage is required to be identified for most specified systems. If you have specified systems 1-13, then you must identify signage requirements under SS14; furthermore, if you have specified systems 1-6, 9 and 13 then you must also identify signage requirements under SS15.

A compliance schedule is issued at the same time as the code compliance certificate; along with a compliance schedule statement. In the case of an application for a certificate for public use, an interim compliance schedule will be issued. Note that it is an offence to use or occupy public premises, which have not had a code compliance certificate issued, unless a certificate for public use has been issued.

The compliance schedule is issued by Council, when it is satisfied that all specified systems are operational.

Specified systems are life saving features contained within or attached to a building. For this reason, suitably qualified personnel must install them. In all cases, documentation detailing the make, model and exact location of the system will be required; the latter must be in the form of an as-built plan. Installers and technicians will need to provide Technical Statements / Producer Statements covering the installation, testing and commissioning of each system they have installed.

In some cases, specified systems must also be inspected by third parties who will verify that the system has been installed, tested and commissioned in accordance with the Performance Standard. The third party will need to provide a Certificate of Compliance / Producer Statement Construction Review.

Certificates of Compliance are required for:

Automatic Systems for Fire Suppression i.e. sprinklers; and
Automatic or Manual Emergency Warning Systems i.e. fire alarms

Producer Statement Construction Review is required for:

Escape route pressurisation system
Lifts, escalators, travelators or other systems for moving people or goods within buildings
Mechanical Ventilation or Air Conditioning Systems
Smoke Control Systems

FNDC recognise the importance of specified systems and have introduced a new inspection for all building work that requires a compliance schedule. This inspection will take place prior to the final inspection; the sole focus of this inspection is to check specified systems are operational and to collect information (i.e. the make, model and location of each system) and any supporting documentation (i.e. Certificates of Completion, Producer Statements, etc).

If you make any changes to a specified system including changing the Performance Standard you must make an application for an amendment to the building consent.

The purpose of an amendment is to ensure:-

future owners, IQPs, etc are aware of the change
consent documentation is updated including the fire report
council records can be relied upon

When the compliance schedule is issued, a compliance schedule statement is also issued. The compliance schedule statement must be kept and displayed in a visible location such as the lobby or reception area of the building. Council must agree to the location of the statement. The compliance schedule statement verifies that the specified system(s) nominated on the compliance schedule are operational and fit for purpose for the first 12 months of the buildings life.

The compliance schedule statement is valid for one year and must be replaced by a Building Warrant of Fitness (BWOF) on, or before the anniversary date of the issue of the compliance schedule statement.

If an interim compliance schedule is issued, this will be replaced by a final compliance schedule when the building work is complete and the CCC is issued. The final compliance schedule is effective from the date that the interim compliance schedule was issued as systems will already have commenced their maintenance, inspection and reporting regimes.

The compliance schedule statement is issued by Council.

Yes; where an application relates to multiple tenancies, which comprises several blocks of shops or units, it may be more appropriate to issue one compliance schedule for each block of shops / units, within the complex. For this scenario to apply, it will depend on the extent and scope of the specified systems installed e.g. if there is one sprinkler system or one alarm system that spans multiple tenancies, a single compliance schedule can be issued for that particular block.

Where there are multiple tenancies, the applicant should advise the preferred option so that compliance schedules can be prepared accordingly. Where multiple compliance schedules are prepared, each one must have its own unique number.

Building Warrant of Fitness

A Building Warrant of Fitness (BWOF) is a certificate issued by the building owner confirming that all of the specified systems contained within the building have been inspected and maintained and are performing in accordance with the compliance schedule. A BWOF verifies that the inspection, maintenance and reporting procedures for all the specified systems within a building have been carried out in accordance with the compliance schedule for the previous 12 months.

Some building consent applications need to be referred to FENZ; this typically involves commercial, industrial or communal residential / non-residential type buildings. We will refer your application to FENZ if it involves a fire design for these types of buildings and the following measures apply:

compliance with clauses C1-6, D1, F6 or F8 of the Code is established other than by compliance with the provisions of an applicable compliance document (e.g. through an Alternative Solution); or
involves a waiver or modification of clauses C1-6, D1, F6 or F8 of the Code;
an alteration, change of use or subdivision that affects fire safety systems including any building work on a specified system relating to fire safety except where the effect is minor (e.g. minor changes and fit-outs are permissible)

Public premises are defined as:

Any building which is open to the public whether for free or payment of a charge, include but are not limited to:

shopping malls
cinemas
marae
camping grounds
garages and workshops
funeral homes
office / retail complexes
rest homes

These buildings cannot be used or occupied until a Code Compliance Certificate (CCC) is issued. This is because public premises will generally have systems within the building which contribute to life-safety and the wellbeing of the building users. These systems are called specified systems. If specified systems are present in the building a Compliance Statement and Compliance Schedule will need to be issued with the CCC.

A Certificate of Public Use may be required for periods of time in which a building may be required to be used before the Code Compliance Certificate is issued. Each application will be considered on a case-by-case basis.

The applicant/designer must also submit a system form for each specified system to be used in the design. These are straightforward and simple to complete and do an effective job of summarising relevant information from documents such as fire reports etc.

Specified systems are listed below and have a link to their required system form:

SS 1 - Automatic systems or fire suppression

SS 2 - Automatic or manual emergency warning systems for fire or other dangers

SS 3.1 – Automatic doors interfaced with other emergency systems

SS 3.2 – Access control doors (swipe card, key pad, sensor-delayed)

SS 3.3 – Interfaced fire or smoke doors or windows

SS 4 – Emergency lighting

SS 5 – Escape route pressurisation systems

SS 6 – Riser mains for use by fire services

SS 7 – Automatic backflow preventers connected to a potable water supply

SS 8.1 – Passenger – carrying lifts

SS 8.2 – Service lifts

SS 8.3 Escalators and moving walkways

SS 9 – Mechanical ventilation systems

SS 10 - Building maintenance units for providing access to buildings (internal or external)

SS 11 - Laboratory fume cupboards

SS 12.1 – Audio loops

SS 12.2 – FM radio frequency systems and infrared beam transmission systems

SS 13.1 – Smoke control systems: Mechanical smoke control

SS13.2 – Smoke control systems: Natural smoke control

SS 13.3 – Smoke control systems: Smoke curtains

SS 14 – Emergency power systems for, or signs relating to, a system or feature specified above

SS 14.1 – Emergency power systems

SS 14.2 – Signs for systems

SS 15 - Any or all of the following systems and features, so long as they form part of a building's means of escape from fire, and so long as those means also contain any or all of the systems or features specified in clauses 1 to 6, 9, and 13:

SS 15.1 - Systems for communicating spoken information intended to facilitate evacuation

SS 15.2 - Final exits

SS 15.3 - Fire separations

SS 15.4 - Signs for communicating information intended to facilitate evacuation

SS 15.5 - Smoke separations

SS – 16 Cable cars

Your designer should provide you with information relating to the performance standards for each specified system contained within the building. These performance standards will identify the inspection, maintenance and reporting procedures required for each system.

compliance with clauses C1-6, D1, F6 or F8 of the Code is established other than by compliance with the provisions of an applicable compliance document (e.g. through an Alternative Solution); or
involves a waiver or modification of clauses C1-6, D1, F6 or F8 of the Code;
an alteration, change of use or subdivision that affects fire safety systems including any building work on a specified system relating to fire safety except where the effect is minor (e.g. minor changes and fit-outs are permissible)