BUILDING COMPLIANCE MANAGEMENT

The first IQP company in New Zealand to be accredited for BWOF management nationwide ISIS BUILDING INSPECTIONS LTD BUILDING COMPLIANCE MANAGEMENT A Guide to BWOF Compliance for Building Facilities Managers From Mike Stewart ISIS Technical Manager PO Box 14-675 Panmure, Auckland. Ph: 09 577-1061 Fax: 09-577-1063 E-mail: isis@isis.co.nz www.isis.co.nz February 2010 ISIS Auckland (Central Office) Phone: (09) 577 1061 Fax: (09) 577 1063 Email: isis@isis.co.nz Web: www.isis.co.nz Post: PO Box 14675, Panmure, Auckland 1741 Street: 21 Ti Rakau Drive, Pakuranga, Manukau 2010

BUILDING COMPLIANCE MANAGEMENT BUILDING COMPLIANCE MANAGEMENT Facility and Property Managers Guide to BWOF Compliance 1 - Overall Framework of the Building Compliance system...2 2 - BUILDING WARRANT of FITNESS (BWOF)...3 3 - FORM 12A CERTIFICATE OF COMPLIANCE...5 4 - COMPLIANCE SCHEDULES (CS)...10 5 - OWNER S OBLIGATIONS...14 6 - USE OF A BUILDING...16 7 - CHANGE OF USE...17 8 - Managing New Constructions...18 9 - Certificate Of Public Use (CPU)...19 10 - Purchasing Existing Buildings...19 11 - Records...19 12 - PENALTIES...20 Who Are We?...21 PUBLICATIONS used in compiling this document...22 Checklist for building Warrant of Fitness Compliance: -...23 Page 1 of 23 Manukau 2010 Auckland (Central Office) Phone: (09) 577 1061 Fax: (09) 577 1063 Email: isis@isis.co.nz Web: www.isis.co.nz Post: PO Box 14675, Panmure, Auckland 1741 Street: 21 Ti Rakau Drive, Pakuranga, Manukau 2010

BUILDING COMPLIANCE MANAGEMENT 1 - Overall Framework of the Building Compliance system Buildings containing certain safety and essential systems, known as specified systems, require a compliance schedule. These specified systems ensure a building is safe and healthy for members of the public to enter, occupy or work in. The building owner must ensure continued effective operation of those systems and features and sign an annual building Warrant of Fitness. (BWoF) Under the Building Act 2004, all buildings other than single residential buildings, require a compliance schedule and annual warrant of fitness if they contain any of the following: - (Known as Active Systems ) SS1 Automatic systems for fire suppression - (eg, sprinkler systems). SS2 Automatic or manual emergency warning systems for fire or other dangers. SS3 Electromagnetic or automatic doors or windows ## (Eg, Doors that Control entry or exit, or Close on fire alarm activation). SS4 Emergency lighting systems. SS5 Escape route pressurisation systems. SS6 Riser mains for use by fire services. SS7 Automatic back-flow preventers connected to a potable water supply. SS8 Lifts, escalators, travelators, or other systems for moving people or goods within buildings. SS9 Mechanical ventilation or air-conditioning systems. SS10 Building maintenance units providing access to exterior and interior walls of buildings. SS11 Laboratory fume cupboards. SS12 Audio loops or other assistive listening systems. SS13 Smoke control systems. SS14 Emergency power systems for, or signs relating to, a system or feature specified for any of the above systems or features. SS16 Cable cars (From 2008, all buildings that have a cable car, including single residential buildings, will require a compliance schedule for it. - A single residential building will require a compliance schedule only for the cable car and not for any of the other features listed above.) Also to be included, the following specified systems where they relate to above: SS15 (Known as Passive Systems ) /1 Systems for communicating spoken information intended to facilitate evacuation /2 Final Exits (Means of Escape) /3 Fire separations (includes Fire Doors to Fire Walls) /4 Signs for communicating information intended to facilitate evacuation /5 Smoke separations (includes Smoke Stop Doors to Fire Walls) ##NB: SS 3 Electromagnetic or automatic doors or windows can include Automatic sliding Egress Doors, Access Controlled [security] Doors Automatic Fire Doors, Smoke detector Controlled Roller Shutter Door, Fusible linked (sliding/hinged) Fire Doors or windows, Fusible linked Fire Dampers/Shutters to Fire Walls. The above systems were they are identified in a building are required to be maintained by the Owner under the building warrant of fitness system of the Building Act 2004 Page 2 of 23

BUILDING COMPLIANCE MANAGEMENT 2 - BUILDING WARRANT of FITNESS (BWOF) What is it? Annually on the anniversary of Council issuing the Compliance Schedule, the owner must provide to Council a Warrant of Fitness signed by the owner or owner s representative. A Warrant of Fitness is the owners signed statement to Council that The inspection, maintenance, and reporting procedures of the compliance schedule for the above building have been fully complied with during the 12 months prior to the date stated below. BEFORE SIGNING THE WARRANT OF FITNESS, THE OWNER MUST HAVE: - 1/. ANNUAL REPORT Section 110: Owner must obtain reports on Compliance Schedule (Specified Systems) An owner of a building for which a compliance schedule has been issued must (a) obtain annual written reports relating to the inspection, maintenance, and reporting procedures of the compliance schedule signed by each licensed building practitioner or other person who carried out 1 or more of those procedures; and (b) keep those reports, together with the compliance schedule, for a period of 2 years; 2/. FORM 12A CERTIFICATE OF COMPLIANCE for all the systems identified on the Compliance Schedule or a FORM 12A for each system. Note: A 12A Certificate must have a supporting Annual Report from the maintaining IQP for each system it certifies. 3/. WARRANT OF FITNESS (Form 12) Section 108: Annual building warrant of fitness must (c) have attached to it all certificates, in the prescribed form, issued by a licensed building practitioner (IQP) that, when those certificates are considered together, certify that the inspection, maintenance, and reporting procedures stated in the compliance schedule have been fully complied with during the previous 12 months; 4/. Once these documents are obtained, the owner must send a copy of each Form 12A and an original Warrant of Fitness to the Council on the expiry date. 5/. The Owner must keep Copies of all reports and Form 12A s for 2 years and these records and the compliance schedule must be available for inspection by any Territorial Authority and by any person or organisation with the right to inspect the building under any Act.. (IQP, Fire Service, OSH.) NOTE 1: It is important to respond promptly to requests for information from your IQP Management Company or to requests for approval to undertake repairs from your IQP maintenance Companies to ensure issuing of annual reports and 12a s is not delayed. The Compliance Schedule requires any defects to rectified immediately they are notified. Failure to respond promptly may delay the issuing of the buildings Warrant of Fitness. NOTE 2: It is the Owners responsibility to ensure the IQP engaged is suitably registered for the system he is to maintain and the contract allows the Contractor to undertake the work as specified in the Compliance Schedule. Councils can provide you with a register of IQP s and the specified systems they are registered for Page 3 of 23

Form 12 Building Warrant of Fitness IQP and BWOF Management ISIS Building Inspections Limited PO Box 14 675, Panmure, Auckland, Phone (09) 577 1061, Fax (09) 577 1063, Email isis@isis.co.nz, Web Site www.isis.co.nz Compliance Schedule Anniversary Date : 31/05/2010 Legal Description LOT 12 DP34567 2074m2 Street Address 1234 Queen Street, Auckland Known As Smith Tower, Level 1 & above Purpose Group WL Location Within Site Year First Constructed 1910 Highest Fire Hazard Category 2 Maximum Number Of Occupants That Can Safely Use This Building 600 Name Mailing Address PO Box 5678 Smiths Investment Company Shortland Street Auckland 1140 Building Owner Intended Use Office Level/Unit Number Intended Life Of The Building If 50 Years Or Less N/A Property Reference Systems on the Compliance Schedule Compliance Schedule Number 200500106 Automatic Systems for Fire Suppression - Fire Sprinklers Automatic Systems for Fire Suppression - Gas Flood Systems Emergency warning systems for fire or other dangers Automatic Doors Access Controlled Doors Interfaced Fire or Smoke Doors or Windows Emergency Lighting Systems Riser Mains Passenger-Carrying Lifts Mechanical Ventilation or Air conditioning systems Smoke Curtains Signs relating to a specified system in any of specified systems 1-13 Final Exits - Means of Escape from Fire Fire Separations Signs for communicating information intended to facilitate evacuation Reports The Compliance Schedule, Number 200600106, issued by Auckland City Council, is kept at ISIS office 21 Ti Rakau Drive Pakuranga. A copy is kept at ISIS Building Inspections, 21 Ti Rakau Drive, Pakuranga, Auckland, Phone (09) 577 1061, Email isis@isis.co.nz. The inspection, maintenance, and reporting procedures of the Compliance Schedule for the above building have been fully complied with for 12 months prior to the date stated below. Signed by or for and on behalf of the owner: Name Ian Petrie Signed Position ISIS Building Inspections Limited. Approved IQP. Date 31/05/2009 ISIS ID 1212 This certificate is based on the results of inspections performed by ISIS and is authorised by Ian Petrie - IANZ Signatory - 21/05/2009 Form 12 - Issued by Mike Stewart - Checked by Ian Petrie - Issue Date 29/02/2008

BUILDING COMPLIANCE MANAGEMENT 3 - FORM 12A CERTIFICATE OF COMPLIANCE A Form 12A Certificate of Compliance is a form issued by an IQP to verify that the inspection, maintenance and reporting procedures on a compliance schedule for a specified system have been carried out in accordance with the Compliance Schedule during the previous 12 months. There may be a Form 12A for each specified system, or one Form 12A may cover several specified systems. This will depend on the number of IQP's required for a building and what IQP registrations they hold. Whatever the case, when those certificates are considered together, they must certify that the inspection and maintenance procedures stated in the compliance schedule for all specified systems have been fully complied with during the previous 12 months Note 1: The Form 12A cannot be amended or altered to create exceptions from the requirement to fully comply with the inspection, maintenance, and reporting procedures for the previous 12 months. NOTE 2: The IQP Contractor CANNOT PROVIDE a complying Form 12A if, - He has not had a contract to maintain the system for the full 12 months There are defects requiring attention that have been notified to the owner, but for which no authorisation to undertake the repair has been received. The contract does not allow the required frequency / standard of maintenance as defined by the Compliance Schedule. NOTE 3: - The Building Act specifically prohibits a maintainer from requiring a Specified System be upgraded to meet compliance once the Specified System has been installed and certified and accepted by Council. It must only be maintained to the standard to which it was originally installed and approved. WHAT IF A 12A CERTIFICATE CANNOT BE ISSUED? The Act and the Regulations are silent on this. However common practice is that where a 12A certificate cannot be issued, then a written explanation from the Owner supported by a written explanation from an IQP advising what has occurred and what has been done to rectify the non-compliance, must be provided to Council. (Known as a Report in Lieu of a 12A Certificate ) (Auckland Councils have a standard form for this purpose available.) Council may choose to accept this explanation or require alternate action be undertaken. The importance of obtaining a correctly filled out 12A Certificate. Councils now check every 12A Certificate received to ensure it complies with the requirements for a 12A Form as laid out in the Regulations. Apart from the building address, it must detail the legal description, the Compliance Schedule number, the owners name and address, the specified systems it is certifying, the location of the reports, the name, signature and IQP registration number of the IQP signing it, and the date it is signed. Unless the 12a Certificate is correctly completed, Council will reject the BWOF and may serve notice on the Owner for non-compliance. Page 5 of 23

Street Address 1234 Queen Street, Auckland Central, Auckland Known As Smith Building - 456 Fort Street Legal Description LOT 12 DP34567 2074m2 Building Name Smith Tower, Level 1 & above Location Within Site Level/Unit Number Name Mailing Address PO Box 5678 Form 12a Certificate of Compliance Inspection, Maintenance and Reporting Procedures Form 12a Section 108 (3) (c), Building Act 2004 Compliance Schedule Anniversary Date : 31/05/2009 Smiths Investment Company Shortland Street Auckland 1140 Building Owner Specified Systems The inspection, maintenance and reporting procedures of Compliance Schedule 200500106 have been fully complied with during the 12 months prior to the date stated below in relation to the following specified systems: Description of Specified System Compliance Schedule Number 200500106 Automatic Systems for Fire Suppression - Fire Sprinklers Automatic Systems for Fire Suppression - Gas Flood Systems Emergency Warning Systems Automatic Doors Access Controlled Doors Interfaced Fire or Smoke Doors or Windows Emergency Lighting Systems Riser Mains Passenger-Carrying Lifts Mechanical Ventilation or Air Conditioning Systems Smoke Curtains Signs relating to a specified system in any of specified systems 1-13 Final Exits - Means of Escape from fire Fire Separations Signs for communicating information intended to facilitate evacuation Reports The records of inspections and annual reports supporting these certificates are available from building owners IQP warrant of fitness agent ISIS Building Inspections Limited, 21 Ti Rakau Drive, Pakuranga, Auckland, PO Box 14 675, Panmure, Auckland, Phone (09) 577 1061, Fax (09) 577 1063, Email isis@isis.co.nz. The signature below indicates certification and annual reports for all above systems supplied by IQP contractors have been sighted and are available at the location of the owners IQP agent. Name Ian Petrie Signed Position Accredited Inspection Body Signatory For ISIS IQP Reg. No. 64 Date 31/05/2009 Council Auckland City Council ISIS ID 1212 Form 12a Summary - Issued by Mike Stewart - Checked by Ian Petrie - Issue Date 29/02/2008

Procedure for Report in Lieu of Form 12A (Certificate of Compliance) It is recognised that for a number of reasons a form 12A of the Building Regulations 2005 may not be able to be issued for a full 12 month period to satisfy section 108(3)(c) of the Building Act 2004. Attached is an example of a Report in Lieu format that can be used within the Auckland Territorial Authority region. Please note this is not a Building Regulation 2005 document. A Report signed by the Owner on the specified system/ feature in lieu of a form 12A to permit the building warrant of fitness to be issued and then accepted by the respective Authority. The report must contain: 1) A full explanation of why the required inspection, maintenance or reporting procedures have not been carried out for the 12 months prior to the anniversary date of the Compliance Schedule and what corrective action has been undertaken to eliminate any reoccurrence. 2) A statement that any remedial work on the specified system/ feature has been carried and that the specified system/ feature is now in a compliant state and fully operational. 3) A statement that an Independent Qualified Person/Licence Building Practitioner has been and will continue to be engaged to inspect, maintain and report on the specified feature /system. 4) A statement that the ongoing inspection, maintenance and reporting procedures will be carried out to permit a 12A certificate to be issued for that specified system/ feature on the next and subsequent anniversaries of the issued Compliance Schedule. 5) The report must be signed by the Owner or Owners Agent (being a person that is not the Independent Qualified Person/Licence Building Practitioner involved). In addition to the report; 1) The building warrant of fitness supplied must reflect the number of months the warrant has been issued for, and 2) A statement or report must be provided from the Independent Qualified Person supporting the assertion made in item 2 and 3 of the report. A Territorial Authority s records will be noted and any subsequent failure to provide a form 12A for the full 12 month period may result in the building warrant of fitness not being accepted and/or enforcement proceedings commenced. This agreement and process does not in any way preclude any Territorial Authority from taking enforcement action including issuing infringement notices at any time. Should you wish any further information contact your local Council or the Department of Building and Housing. See http://www.dbh.govt.nz/bwof-faqs Ian Godfrey Chairman Auckland Regional Territorial Authorities IQP Approval Group H:\ISIS DATA\CORRESP\COUNCIL\Auckland\Report in Lieu of Form 12A.2008.JUL29.ORIGINAL.doc 1

Report in Lieu of form 12A WOF(number) The Building Street address of building: Legal description of land where building is located: [state legal description as at the date of application and, if the land is proposed to be subdivided, include details of relevant lot numbers and subdivision consent] Building Name/Trading Name: Location of building within site/block number: Level/unit number: The Owner Name of owner Contact person: Mailing address: Street address/registered office: Specified system or feature: Report 1) A full explanation of why the required inspection, maintenance or reporting procedures have not been carried out for the 12 months prior to the anniversary date of the Compliance Schedule and what corrective action has been undertaken to eliminate any reoccurrence. [insert details] 2) A statement that any remedial work on the specified system/ feature has been carried and that the specified system/ feature is now in a compliant state and fully operational. [insert details] 3) A statement that an Independent Qualified Person/Licence Building Practitioner has been and will continue to be engaged to inspect, maintain and report on the specified feature /system. [insert details] H:\ISIS DATA\CORRESP\COUNCIL\Auckland\Report in Lieu of Form 12A.2008.JUL29.ORIGINAL.doc 3

4) A statement that the ongoing inspection, maintenance and reporting procedures will be carried out to permit a 12A certificate to be issued for that specified system/ feature on the next and subsequent anniversaries of the issued Compliance Schedule. [insert details] In addition to the report i) The building warrant of fitness supplied must reflect the number of months the warrant has been issued for, and ii) A statement or report must be provided from the Independent Qualified Person supporting the assertion made in item 2 and 3 of the report. Note This report must be signed by the Owner or Owners Agent (being a person that is not the IQP/ LBP involved). Signature of owner or owner s agent Full name of owner or owner s agent. [please state which] Date: H:\ISIS DATA\CORRESP\COUNCIL\Auckland\Report in Lieu of Form 12A.2008.JUL29.ORIGINAL.doc 4

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. 4 - COMPLIANCE SCHEDULES (CS) Building Act 2004 Part 2 Sub part 5 section 101 states: Owner must comply with requirement for compliance schedule (1) An owner of a building for which a compliance schedule is required under section 100 must obtain the compliance schedule. A person commits an offence if the person fails to comply with subsection (1). What is it? 1.0 Compliance Schedules A compliance schedule is a document that contains specific information about and procedures for, Specified Systems within a building. What does it contain? Section 103 of the Building Act requires that a compliance schedule must state: (1) - the specified systems that are covered by the compliance schedule the performance standards for the specified systems the inspection, maintenance, and reporting procedures to be followed by LBP s /IQP s [or other persons] in respect of the specified systems to ensure that those systems are capable of, and are, performing to the performance standards; the specified systems that relate to the following: - means of escape from fire safety barriers access and facilities for use by persons with disabilities handheld hose reels for fire-fighting any signs that are required by the Building Code or section 120 of the Building Act. Section 100 of the Building Act states that a compliance schedule is required for a building (except a single household unit) containing any of the prescribed Specified Systems. (currently there are 16 different Specified Systems prescribed.) From 31 March 2008 any building, including a building used wholly as a single household unit, requires a compliance schedule if the building has a cable car attached to it, or servicing it. Household units will only require the compliance schedule for the cable car, not any other specified system. (Any other building with a cable car must include any other specified systems on the compliance schedule.) (2) For the purposes of subsection (1) (c), the inspection, maintenance, and reporting procedures of the compliance schedule may be identified- (a) by description in the compliance schedule; or (b) by reference to- (i) a prescribed acceptable solution or prescribed verification method in a regulation referred to in section 20; or (ii) a compliance document; or a building method or product. Compliance Schedule Statement (CSS) is the interim BWOF for the first 12 months. It is issued with the CS and must be displayed in a prominent place until replaced by a BWOF at the end of the first 12 months. Page 10 of 23

COMPLIANCE SCHEDULE No. 6732 Issued by Manukau City Council 18 March 1994 Section 105, Building Act 2004 Correspondence: Private Bag 76917 Manukau City 2241 New Zealand Telephone: (09) 263-7100 Facismile: (09) 262-5151 DX EP 75557 THE BUILDING Street address of building: 5505 GREAT SOUTH ROAD MANUKAU 2104 Legal description of land where building is located: LOT 3 DP 54321 & LOT 2 DP 543212 & LOT 4 DP 54321 & LOT 5 DP 54321 & DP 69242 & LOT 7 DP 69242 & LOT 8 DP 69242 & LOT 17 DP 69242 & LOT 21 DP Building name: Current lawfully established use: Building Purpose Group Year first constructed: 1974 Highest fire hazard category for building use: Maximum Occupancy: SHOP TIL U DROP OFFICE, SHOPPING CENTRE CL, CM, WL 4 10995 OCCUPANTS TOTAL Building Consent No.: TO BE CONFIRMED THE OWNER Name of owner: SHOPPING CENTRE INVESTMENTS LIMITED Mailing address: PO BOX 12345 MANUKAU, 2014 Street address/ Registered office: 1234 QUEEN STREET, AUCKLAND, 1023 SPECIFIED SYSTEM The following specified systems are covered by the compliance schedule for this building: SS 1/1 - Water Sprinkler Systems SS 2/1 - Automatic or Manual Emergency Warning Systems SS 3/1 - Automatic Door(s) SS 3/2 - Access Controlled Door(s) SS 3/3 - Interfaced fire or smoke door(s) or SS 4 - Emergency Lighting Systems window(s) SS 6 - Riser Mains SS 7 - Automatic Back-Flow Preventers SS 8/1 - Passenger Carrying Lifts SS 8/2 - Service Lifts SS 8/3 - Escalators & Moving Walks SS 9 - Mechanical Ventilation or Air Conditioning Systems SS 13/1 - Mechanical Smoke Control SS 13/5 - Fusible Linked Smoke Ventilators Curtain (Lift Doors) SS 14/2 - Signs for Specified System(s) 1-13 SS 15/2 - Final Exits/Means of Escape SS 15/3 - Fire Separations SS 15/4 - Signs for Communicating Information Intended to Facilitate Evacuation SS 15/5 - Smoke Separations AMENDMENTS

Revision No. Revision Date Revision Comment 3 14/07/2008 Amendment to Compliance Schedule Align Specified Systems to Compliance Schedule Handbook; Add Specified Systems SS3/3 SS8/2 SS13/1 SS13/5 SS15/3 SS15/5, Add Building Purpose Group: CL, Amend Building Conditions from 7589 to 10995 Occupants Total as per Building Consent No.05/0288. 2 02/04/2002 Owner was Smith Investments now Shop Til U Drop Shopping Centres 1 02/11/1998 Add Feature B - Automatic Fire Doors Records Records shall be kept for all the aforementioned systems and features indication: (i) Date of inspection (ii) Type of inspection (iii)any repairs maintenance found to be done (iv)action taken (v)systems acceptability as meeting compliance (vi) Name of person undertaking inspection Records must be kept for a minimum of 2 years The compliance schedule is kept: ON THE PREMISES Signature:... Position: On behalf of: Building Warrant of Fitness Administrator Building Environmental Operations Manukau City Council Date: 18 March 1994

System or feature SS 1/1 Water Sprinkler Systems Inspection, Maintenance and Reporting Procedures A. INSPECTIONS Automatic sprinkler systems shall be inspected regularly to ensure continued effective operation. Content of the inspection shall be in accordance with the following referenced standards as appropriate for the installation: (i) NZS 4541 (ii) NZS 4515 (iii) Factory Mutual (iv) NFPA 25 Frequency of inspection is dependent upon the type of installation and shall be weekly, monthly, annually, 2 yearly and 4 yearly as prescribed in the relevant referenced Standard. B. MAINTENANCE Automatic sprinkler systems and fire alarms shall be maintained in accordance with the appropriate standard referenced above. Planned preventative maintenance and responsive maintenance shall be carried out in accordance with the nominated performance and inspection Standard or document, and to ensure the system will operate as required in the event of a fire. Defects that directly have an effect on the performance of the system shall be remedied immediately they become apparent. C. PERSONS RESPONSIBLE All inspection and maintenance procedures shall be undertaken by independent qualified persons. Revised 22/02/06 Revised 01/08/07

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. 5 - OWNER S OBLIGATIONS Section 101 of the Building Act provides that the owner of a building for which a compliance schedule is required under section 100 must obtain one. Failure to do so is an offence carrying a fine of up to $20,000, and a further $2,000 for every day the offence is continued. The owner is responsible for being aware of any specified system installed in their building and ensuring it is listed on a compliance schedule. (Compliance Schedule handbook) (NB: Tenants must advise you of any changes before they make the change.) Owners of a building for which a compliance schedule has been issued also have a responsibility to ensure: each of the specified systems are performing and will continue to perform to the performance standards for that system they provide the territorial authority with an annual BWOF on the anniversary of the issue of the compliance schedule, accompanied by Form 12A(s) from an IQP for each specified system and any recommendations to amend the compliance schedule by an IQP the compliance schedule is kept at the place stated on the schedule and agreed to by the owner and the territorial authority the compliance schedule is available for inspection by any person or organisation with the right to inspect the building under any Act This means the owner is legally obliged to ensure that: all necessary inspections, maintenance and reporting are done by an appropriately qualified person records of all Owners and Contractors inspections and maintenance are kept and is available for inspection and audit by Council at all times the building is maintained in a safe and sanitary condition at all times the compliance schedule is readily available for inspection by authorised persons a current building warrant of fitness is prepared and displayed. any defects are rectified immediately they are notified to the owner (or owners agent) they obtain an annual report from the maintainer of each Specified System they obtain a 12A certificate of compliance, or certificates of compliance, that when considered together cover all Specified Systems identified on the buildings compliance schedule. Tenants and the owner The building owner s responsibilities are clear, whether or not others tenant the building. The owner, however, can delegate those responsibilities to an employee of the owner or to someone else under a contract or a lease. While the owner can delegate the signing / responsibility of the Warrant of Fitness to another person in a lease, (eg: tenant,) in the first instance the Council will always prosecute the Owner for a breach of the Building Act. The assigning of responsibility is a matter between the Owner and the person assigned and it would be a matter for the Owner to take a civil action for breach of Lease or Contract in the event action was taken against the owner. Council may also take additional action against any other parties. An owner, and anyone acting on the owner s behalf in signing a building warrant of fitness, is liable for making any false statement in the warrant. Page 14 of 23

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. People employed by the owner In most instances the owner will engage specialists for the design and construction or maintenance of all or part of any proposed building work. Such specialists can be architects, engineers, design drafting agencies, builders, plumbers and electricians etc. For systems with compliance schedule procedures, typical specialists can be building maintenance companies, lift engineers and electricians who are appropriately qualified. (ie: Hold IQP / LBP registration for that specified system.) The owner can choose whom to employ to do the work or give advice. If, however, the Act is breached the owner is likely to be fully liable, but any agents of the owner do not necessarily escape liability. Safeguarding owner s investment The Building Act is not concerned with the appearance of completed building work, contractual matters between the owner and builder, (apart from the introduction of mandatory warranties for residential building work), nor with protection of capital investment. BCA's (Building Consent Authorities / Councils) check for compliance with the Building Act and Regulations (including the Building Code) that are concerned with safeguarding the health and safety of people. Only when Code compliance may be affected or the Building Act breached, may Inspections consider finish and quality if this is considered an issue. Changing IQP contractors half way through a BWOF Year. The Act requires the Owner to obtain an Annual report and a 12A for each Specified System from an IQP, which must be attached to the BWOF sent to Councils. If you change IQP s mid BWOF year, ensure you get a report of the status of the Specified System and a 12A or Report in Lieu of a 12A for the system from the outgoing IQP before they go off the job. Write a suitable clause into their contract before you sign it, requiring them to supply such documents on termination of the contract by either party. The new contractor will only be able to report on the reminder of the year and supply a 12A or a Report in Lieu of a 12A for the period they have been contracted. Having other contractors undertake remedials. When a maintaining IQP contractor identifies remedials, they must advise the owner immediately and arrange with the owner to rectify the defects as soon a practically possible. If you decide that you can have the remedials done by another contractor, be aware: - 1/. The repairs must be done to the required standard for the system being maintained. 2/. Once completed, the repairing contractor must advise the maintaining IQP contractor the repairs are complete and what was done to undertake the repairs. This is because it is still the original maintaining IQP contractor that must provide the 12A Certificate of Compliance for the system at BWOF renewal time. (He must be satisfied the repairs undertaken have restored the system to full compliance.) 3/. On systems like Sprinklers the third party Inspection body (eg: FPIS) must be advised and be satisfied the repairs are compliant. While it is good business to economise where you can, this solution may prove more costly and time consuming especially if undertaken near BWOF expiry date. Page 15 of 23

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. 6 - USE OF A BUILDING A building has a Current, lawfully established use: (Building Regulations) Also known as Classified Uses in the Building Code The Current, lawfully established use is required to be displayed on the BWOF You Cannot Change The USE For Which A Building Or Part Of A Building Is Approved For. ** (Without Consent) (Refer next page) How do I know what a buildings USE is approved for? : Look for the Current, lawfully established use: on the BWOF or Compliance Schedule. - This is also found on any CCC or Consent application and many other forms A building may have multiple Lawfully Established Uses. The Purpose Group that applies to its use can also determine additional information about the use of a building. What is a Purpose Group? : Purpose groups are The classification of spaces within a building according to the activity for which the spaces are used. (Building Code) Purpose Groups and Fire Hazard Categories There is a Table in the Building Code (Table 2.1,), which is used to determine the purpose group appropriate to the activity, and the fire hazard category (FHC) for each activity. When a specific activity is not shown in Table 2.1, the nearest suitable purpose group and fire hazard category must be chosen. (By a Fire engineer) The Fire Hazard Category must be shown on the BWOF and Compliance Schedule Many Councils also include the Purpose Groups on the Compliance Schedule Typical Purpose Groups are: - CS, CM, CL, (Crowd activities where large numbers of people gather Eg: Shops, Malls, Cinema, Churches, Community Halls. Stadiums, etc.) SC, SD, SA, SR, SH, (Sleeping activities. R= residential, A = accommodation etc) WL, WM, WD, (Working spaces manufacturing, warehousing, Banks, Beauty Salons) IA, ID, IE (Spaces where Intermittent activities occur Eg; Car parks & garages) A building may have more than one Purpose Group when more than one activity present. Occupant Load 2.3.1 - The size and location of escape routes and the fire safety precautions applied to them in a building are related to the occupant load. - The occupant load is determined from the purpose group and number of people in each space of the building, A building may have different Occupant Loads for different sections of a building. The Owner must not allow occupants/ tenants to exceed the Occupant Loads for any portion of the building The Occupant Load must be displayed on the Compliance Schedule and BWOF The Purpose Group and Fire Hazard Category and Occupant Load are determined by a Fire Engineer using the table 2.1 of the Building Code and specified in a building Fire Safety Report. Page 16 of 23

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. 7 - CHANGE OF USE You Cannot Change The USE For Which A Building Or Part Of A Building Is Approved For. (Without Consent The Building Act 2004 introduces a new definition for change of use. This determines when a change in a building s use will require upgrading to certain systems and elements. For example, a residential villa becomes a restaurant, a warehouse becomes an apartment, a garage becomes a studio and sleep out, an Office block becomes apartments, (either entirely or even if only one residential caretakers or penthouse apartment is built.). The Building Code requirements may differ from one type of use to another. An owner of a building must give written notice to the council if they propose to change the use of a building, or extend the life of a building with a specified intended life. An owner must also provide notice to the council if they propose to subdivide land in a manner that affects a building. The council will then provide the owner with written notice if it is satisfied the building in its new use complies with provisions in the Building Code relating to: means of escape from fire, protection of other property, sanitary facilities, structural performance, fire-rating performance. access and facilities for people with disabilities. The change must also comply with the other provisions in the Building Code to at least the same extent as before the change of use. If the USE of a building is being changed to include household units where these did not previously exist, the building must then comply as nearly as is reasonably practicable with the Building Code in all respects. This will be assessed by the council. ALTERATIONS TO EXISTING BUILDINGS The Building Act 2004 makes clear that if part of a building is altered, the upgrade provisions are triggered for the whole building. Upgrade provisions relate mostly to means of escape from fire and access and facilities for people with disabilities (if relevant). All other aspects of the building must continue to comply with the Building Code (i.e.: Ventilation must be maintained as previously,) to at least the same extent as before the alteration. Councils have discretion to allow alterations to take place without the building complying with the relevant provisions of the Building Code, but only if it is satisfied that: if the building were to comply with the relevant provisions of the Building Code the alteration would not take place, and the alterations will result in improvements to the means of escape from fire or access and facilities for people with disabilities, and the improvements outweigh any detriment likely to arise as a result of the other non-compliance with the Building Code. Owners contemplating changes to their buildings should seek Council agreement on the extent of upgrading required, or if required before undertaking the change. Council agreement will be dependent on the particular building proposal and should be done at an early stage to avoid delays in obtaining a building consent. Obtain all agreements in writing. NOTE: If you change a building in any way, (eg: move a partition, alter a doorway, change the use of a room,) you are required to apply for Building Consent. The Council will decide if a Consent is actually required. There is no such thing as it s non- structural so a Consent is not required. You may only repair or replace Like with Like without requiring a Consent. Page 17 of 23

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. 8 - Managing New Constructions The building Compliance Schedule once it is issued will require the Specified Systems identified to be maintained for the full next 12 months from the date it is issued. Failure to maintain the system for the full 12 months will mean you cannot obtain a complying 12A Certificate and your BWOF will not be fully compliant. Consider Including in the principle construction contract, clauses covering maintenance to the required standard of each Specified System that will be included on the Compliance Schedule during any initial warranty period following commissioning. Once each Specified System is commissioned and certified, it must then be maintained for the next 12 months until the BWOF is renewed. (Even when under warranty.) (Note: A warranty is not a Maintenance Contract. E.g.: if you purchase a new car it is under warranty BUT a condition of the Warranty is that you must maintain the car at the required service intervals. Failure to do so voids the warranty This is similar with a building system except the penalties for not maintaining are a breach of the Building Act and in some circumstance may void your insurance.) Make provision for maintenance contracts to take effect as soon as commissioning of each system is complete. (Not when all the systems are completed.) 1). Has the Code of Compliance Certificate (CCC) been issued before occupying? It is an offence under the building Act to occupy a building until the CCC has been issued A person who owns, occupies, or controls premises to which section 362A applies must not use, or permit the use of, any part of the premises that is affected by building work- (a) If- (i) a building consent is required for the work; but (ii) no building consent has been granted for it; or (b) if a building consent has been granted for the work, but (i) no code compliance has been issued for the work; and (ii) no certificate for public use has been issued under section 363A for the part; If you need to occupy a building that is under consent for construction or renovation, you must apply for a Certificate of Public Use (CPU) and close off all areas under construction / renovation to access of those not actually engaged on the building works. 2). Has the CS & CSS been issued? (Should be issued with the CCC) If the CCC has been issued or a Certificate of Public Use (CPU) has been issued, the Council should have also issued the Compliance Schedule (CS) and Compliance Schedule Statement CSS). The CSS or CPU should be on public display. 3). Has a systems interface test of all Active Specified Systems been undertaken before occupying? The Building Code requires testing of Smoke Control Systems in association with other essential interconnected systems The regulations require: To ensure their effective operation, smoke detection, warning and control systems, and pressurisation systems shall be tested before occupation of the building, and annually thereafter. This is important for multi level buildings and especially important for mixed-use occupancy and those buildings where occupants sleep on the premises. (When there is a Fire Emergency, what happens to the Automatic Fire doors, the Lifts, the Ventilation system, the Access control system, any Emergency Generators if a Power failure occurs simultaneously?) Have you coordinated this test with the Evacuation Scheme provider? Page 18 of 23

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. 9 - Certificate Of Public Use (CPU) A certificate for public use is a new safety provision under the Building Act. It is a tool that can be used to certify that premises or parts of premises affected by building work are safe to be used by the public. Certificates for public use can only be used where a building consent has been granted for the building work but no CCC has yet been issued. Certificates for public use do not relieve the owner of a building from the obligation to apply for a CCC after all the building work has been carried out. 10 - Purchasing Existing Buildings What to do before you take ownership In addition to usual Due Diligence, include a due diligence checks of the BWOF compliance including: - is BWOF current? Is it on display? Where? is there a copy of the Compliance Schedule available? what systems are included on the CS? where are the last two years Annual IQP reports? is Sprinkler survey current and certified When was last Survey report? was the last Emergency Warning system survey free of defects? are the Lift certificates current? Last annual report clear of defects? who are the maintaining IQP s? Are they all current registered IQP s? From the LIM report are all consents closed off and CCC s issued? does the description of the building and any consented alterations match what you are looking at, or have non-consented alterations taken place? Is the building being used for the purpose it is approved for? If you purchase and become the new owner you assume liability to close off any outstanding Consents, rectifying and obtaining any Certificates of Acceptance for any non-consented alterations, and applying for Change Of Use Consent or applying fro a change to the Occupancy Load for the current use of the building. Failure to rectify the above is not only a breach of the Act, but may also affect your insurance in event of a claim. 11 - Records You must keep the following records: a). Owners Daily inspections of Means of Escape (If Purpose Group CS, CM, CL) b). Owners Monthly Inspections for: - Means of escape, - Fire and Smoke Separations - Illuminated Exit Signs - and any other systems or features on the CS included by Council. Eg: - (1991 Act ) o Safety Barriers, o Access and Facilities for Disabled, o Fire Hose Reels) c). Record of all Specified Systems maintenance contractors visits d). Records of any defect found and action taken to rectify any of above. BWOF records must be kept for two years and may be audited by Council at any time. The compliance schedule and records must be available for inspection by any person or organisation who or that has a right to inspect the building under any Act; Page 19 of 23

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. 12 - PENALTIES The Building Act 2004 contains a number of provisions to protect public health and safety that are important for building owners and managers. There is a range of penalties for failing to comply with these provisions. Any person who carries out building work without a building consent could be liable for a fine of up to $100,000 with a further fine not exceeding $10,000 for every day or part of a day during which the offence continues. Exempt work is listed in Schedule 1 of the Act. If a person is the owner of a building for which a compliance schedule is required but no compliance schedule has been obtained, they are liable for a fine of up to $20,000 with a further fine of $2,000 for each day the offence is continued. Building owners can be fined up to $20,000 for failing to display a building warrant of fitness, or displaying of a false or misleading building warrant of fitness. Building owners who fail to give written notice of a change of use commit an offence and are liable to a maximum fine of $5,000. The offence of allowing members of the public to use public premises affected by building work carries a fine of up to $200,000 with a further fine not exceeding $20,000 for every day or part of a day during which the offence has continued. It is also an offence carrying a fine of up to $100,000 to use or permit the use of a building for a use for which is not safe or sanitary or if it has inadequate means of escape from fire. General building offences s 40 Failing to comply with the requirement that building work must be carried out in accordance with a building consent $750 s 42 Failing to apply for a certificate of acceptance for urgent building work as soon as practicable after completion of building work $500 s 101 Failing to comply with the requirement to obtain a compliance schedule $250 s 108(5)(a) Failing to display a building warrant of fitness required to be displayed $250 s 108(5)(b) Displaying a false or misleading building warrant of fitness $1,000 s 108(5)(c) Displaying a building warrant of fitness other than in accordance with section 108 $1,000 s 116B(1)(a) Using, or knowingly permitting the use of, a building for a use for which it is not safe or not sanitary $1,500 s 116B(1)(b) Using, or knowingly permitting the use of, a building that has inadequate means of escape from fire $2,000 s 124 Failing to comply with a notice, within the time stated in the notice, requiring work to be carried out on a dangerous, earthquake-prone, or insanitary building $1,000 s 128 Using or occupying a building, or permitting another person to do so, contrary to a territorial authority's hoarding, fence, or notice $2,000 s 168 Failing to comply with a notice to fix $1,000 s 363 Using, or permitting use of building having no consent or code compliance certificate or certificate for public use for premises for public use $1,500 s 367 Willfully obstructing, hindering, or resisting a person executing powers conferred under the Act or its regulations $500 s 368 Willfully removing or defacing a notice published under the Act or inciting another person to do so $500 Page 20 of 23

BUILDING WARRANT OF FITNESS MANAGEMENT Prepared for FMANZ: February 2010 Who Are We? ISIS BUILDING INSPECTIONS LTD: ISIS Building Inspections (ISIS) is a successful New Zealand owned and operated company that specialises in partnering building owners in their compliance requirements with the Building Acts 1991 and 2004. Our professional people supply a quality service to enable our clients to have peace of mind when dealing with local councils. We specialise in being the client agent when dealing with building system maintenance contractors. We raised the bar of our qualifications in 1998 by gaining accreditation by International Accreditation New Zealand (IANZ) as an Independent Inspection Body. We were the first inspection company in New Zealand to gain this qualification for the inspection and reporting of building systems. We are registered nationwide as an Independent Qualified Person (IQP/LBP) company for inspection and reporting of building systems. ISIS can manage the IQP inspections, collect the maintainers Annual Reports and Form 12A s from IQP contractors and issue Form 12A s for systems we are registered for. We issue the BWOF signed by us where we have the Owners approval to sign. Where buildings do not have a Compliance Schedule BWOF, ISIS are also available to undertake building system surveys to determine if any Specified Systems have been installed in a building that would require the owner to apply for a Compliance Schedule and BWOF. We can also make application to Council for a Compliance Schedule where required on the Owners behalf. Please contact our office if you wish to engage ISIS for any of the above. P O Box 14 675 Panmure Auckland NZ 21 Ti Rakau Drive Pakuranga Auckland NZ Phone: +64 9 577 1061 Fax: +64 9 577 1063 Email: isis@isis.co.nz More information about us can be found on our web site: www.isis.co.nz Page 21 of 23 Auckland (Central Office) Phone: (09) 577 1061 Fax: (09) 577 1063 Email: isis@isis.co.nz Web: www.isis.co.nz Post: PO Box 14675, Panmure, Auckland 1741 Street: 21 Ti Rakau Drive, Pakuranga, Manukau 2010

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. PUBLICATIONS used in compiling this document Building Act 2004 Building Code Building Regulations 1992 Building (Forms) Regulations 2004 Compliance Schedule Handbook DBH: (Department of Building and Housing) (www.dbh.govt.nz) The DBH web site has information and downloads of Building Regulations, Building Code and amendments to the Building Act. The following relevant documents are currently available for download at no cost from the Department of building and Housing web site www.dbh.govt.nz : - Or http://www.dbh.govt.nz/publications-about-the-building-act-2004 1/. Unit Titles Act Review 2 May 2006 - The 2006 discussion document for the review of the Unit Titles Act: Options for Change is now available at http://www.dbh.govt.nz/unit-titles-review-index 2/. http://www.dbh.govt.nz/determinations - For resolved determinations by the department 3/. Building Code Compliance Documents http://www.dbh.govt.nz/building-code-compliance-documents 4/. Compliance Schedule Handbook http://www.dbh.govt.nz/bcupdate-article-63 5/. Codewords - (This is a periodical publication on Building Act issues) http://www.dbh.govt.nz/codewords-index 6/. also, from BUILDING NETWORKS www.bnets.co.nz You can obtain a number of publications and attend seminars which specialise on BWOF and Consent compliance management. We recommend you obtain a copy of their publication : - Property Managers Guide to Building Law Page 22 of 23

BUILDING WARRANT OF FITNESS MANAGEMENT. Contd.. Checklist for building Warrant of Fitness Compliance: - (Circle answers) 1. Has the building been issued with a Compliance Schedule? YES / NO 2. Is a Copy of the Compliance Schedule available? YES / NO 3. What is the Compliance Schedule number? (If not available, you need to obtain a copy from the Council. It is a requirement of the Building Act that the Owner have a Compliance Schedule available at the building for any Council officer or person authorised under the Act.(IQP) If NO, to #1 above, Does the building require a Compliance Schedule? YES / NO (If unsure, arrange a BWOF Systems Survey from your IQP management Company) 4. System Survey arranged? YES / NO. With: Date: 5. If the building has a Compliance Schedule, 6. What is the Warrant of Fitness Expiry Date? 7. Has a current Warrant Of Fitness been issued? YES / NO 8. Is a current Warrant of Fitness on display in the building? YES / NO 9. Where? 10. Who signed the building Warrant of Fitness? 11. If there is no BWOF, is there a CSS or CPU? If YES, where? YES / NO 12. Have registered IQP /LBP Contractors been appointed to maintain and test the Active specified systems listed on the Compliance Schedule for the Warrant of Fitness? YES / NO System 1: Contractor: System 2: Contractor: System 3: Contractor: System 4: Contractor: (Add additional pages if more than 4 systems shown on the Compliance Schedule.) 13. Who has been engaged to Manage the building Warrant of Fitness and undertake the systems inspections for Passive Systems: - Systems for communicating spoken information intended to facilitate evacuation Final Exits Fire separations Signs for communicating information intended to facilitate evacuation Smoke separations And any other pre 2004 system the Council requires to be inspected. (Ie: Access and Facilities for the Disabled, Safety Barriers, Fire Hose Reels.) 14. Name of IQP / LBP management Company: Page 23 of 23