Issuing and amending compliance schedules

When is a compliance schedule required?

A compliance schedule is required for a building that:

• is not wholly a single household unit (for example, includes commercial and industrial buildings but not stand-alone houses) AND contains one or more specified systems (including cable cars)
• is wholly a single household unit AND has a cable car attached to it or servicing it.

What is a specified system?

The Building Act defines a specified system as a system or feature that is:

• contained in, or attached to, a building
• contributes to the proper functioning of the building (for example, a sprinkler system)
• declared by the Governor-General, by Order in Council, to be a specified system for the purpose of this Act
• includes a cable car.

Regulation 4 and Schedule 1 of the Building (Specified Systems, Change the Use, and Earthquake-prone Buildings) Regulations 2005 list the specified systems. They are:

1. Automatic systems for fire suppression (for example, sprinkler systems).
2. Automatic or manual emergency warning systems for fire or other dangers (other than a warning system for fire that is entirely within a household unit and serves only that unit).
3. Electromagnetic or automatic doors or windows (for example, ones that close on fire alarm activation).
4. Emergency lighting systems.
5. Escape route pressurisation systems.
6. Riser mains for use by fire services.
7. Automatic backflow preventers connected to a potable water supply.
8. Lifts, escalators, travellators, or other systems for moving people or goods within buildings.
9. Mechanical ventilation or air conditioning systems.
10. Building maintenance units providing access to exterior and interior walls of buildings.
11. Laboratory fume cupboards.
12. Audio loops or other assistive listening systems.
13. Smoke control systems.
14. Emergency power systems for, or signs relating to, a system or feature specified in any of clauses 1 to 13.
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:

1. systems for communicating spoken information intended to facilitate evacuation
2. final exits (as defined by clause A2 of the Building Code)
3. fire separations (as so defined)
4. signs for communicating information intended to facilitate evacuation
5. smoke separations (as so defined).

How should a compliance schedule be obtained?

For new buildings, an application should be made as part of the building consent application (where the new building will contain specified systems). The compliance schedule will be issued by the building consent authority to the building owner with the code compliance certificate.

For existing buildings that have specified system(s) but for some reason don’t already have a compliance schedule, the owner must apply to the appropriate territorial authority for the issue of a compliance schedule.

An application for a compliance schedule should include the following information:

• a list of each specified system in the proposed building
• a detailed description of each specified system – it is good practice to include marked-up plans showing the location and extent of the specified systems
• the performance standards of each specified system
• the proposed inspection, maintenance and reporting procedures for each specified system.

Issue of a compliance schedule

A compliance schedule will be issued by:

• the building consent authority, with the code compliance certificate when an application has been made as part of a building consent
• the territorial authority, when no building consent application is required.

A building consent authority and territorial authority may charge for the issue of the compliance schedule.  

Content of a compliance schedule

Every compliance schedule issued should contain:

• a list of each specified system in the building
• a detailed description of each specified system
• the performance standards of each specified system
• the proposed inspection, maintenance and reporting procedures for each specified system.

Each building’s compliance schedule will be different, depending on the systems present, the performance standards for those systems, and how those systems will be monitored and maintained to ensure they will continue to function. This should all be specified in the compliance schedule.

The compliance schedule has flexibility to reflect that, as systems age, monitoring and maintenance requirements change.

Amendments to compliance schedules

An amendment to a compliance schedule may be required for several reasons during the life of a building. The amendment application will be processed by either the territorial authority or building consent authority depending on why the amendment is required.

An amendment must be applied for by a building owner in the following cases and will be actioned by:

• the building consent authority, where a building consent is required that affects a specified system (for example, where a system is being added, altered or removed)
• the territorial authority, where a change to the Act or regulations results in the compliance schedule no longer complying or where a change is needed to ensure the specified system continue to perform to the performance standards.

An amendment to a compliance schedule may also be initiated in the following cases:

• by the building owner – they may apply to the territorial authority for an amendment for any reason (for example, to change owner or building details)
• by the territorial authority – they may amend the compliance schedule, without the application from an owner, where they consider an amendment is required to ensure that a specified system stated in the compliance schedule is performing, and will continue to perform, to the performance standards for that system (for example, specified systems need to be included and/or deleted as a result of an on-site BWoF audit)
• by the IQP – they may make recommendations that the compliance schedule be amended to ensure that the specified systems stated in the compliance schedule are performing, and will continue to perform, to the performance standards for those systems. The building owner must attach these recommendations to the BWoF when it is submitted to the territorial authority.

In the latter two cases, before amending the compliance schedule, the territorial must first:

• advise the owner of its intention to do so
• and give the owner a reasonable opportunity to make submissions on the matter
• and consider those submissions.

If the territorial authority amends a compliance schedule, give written notice of the amendment to the owner and attach a copy of the amended compliance schedule.

An application for an amendment to a compliance schedule must be on Form 11 from the Building (Forms) Regulations 2004. 

Other useful information

When issuing a building consent, a building consent authority must state the specified system that the compliance schedule must cover and the performance standards for those specified systems.

Building consent authorities that are not territorial authorities have five days after issuing a compliance schedule to notify the territorial authority.