i Form PROCESSES AND PROCEDURES FOR THE ACCEPTANCE OF

i Form 504 PROCESSES AND PROCEDURES FOR THE ACCEPTANCE OF PRODUCER STATEMENTS TO ESTABLISH COMPLIANCE WITH THE REQUIREMENTS OF THE NEW ZEALAND BUILDING CODE ii Form 504 iii Form 504 PART 1 - INTRODUCTION 1 This document set outs the conditions on which Producers Statements or design certificates will be accepted by the Taupo District Council to establish compliance with the Building Code. The conditions have been established on the basis that Producer Statement formats will be uniform and cover a wide range of designs, designers, building types and building elements. 2 The Council is required to: a] Grant building consents if it is satisfied on reasonable grounds that the provisions of the Building Code would be met if the building work was properly completed in accordance with the plans and specifications that accompanied the application Issue Code Compliance Certificates if it is satisfied on reasonable grounds that the building work to which the certificate relates complies with the approved building consent. b] 3 A Producer Statement is defined as any statement supplied by or on behalf of an applicant for a Building Consent or plan certification, or by or on behalf of a person who has been granted a Building Consent that certain work has been or will be carried out in accordance with certain technical specifications. The Council will generally accept Producer Statements to establish compliance with the Building Code subject to the conditions and acceptance criteria set out in these guidelines and that they relate to buildings or elements of building work contained in the ‘Schedule of Buildings/Building work for which the Acceptance of Building Statements will be Considered’. The cost of processing plans and specifications and determining compliance prior to the issue of Code Compliance Certificates will be reduced to reflect lesser involvement by the Council in these activities. There is also potential to significantly reduce the building consent approval time where Producer Statements are provided, particularly where these cover the whole building elements. The Council will audit, on a random basis, a percentage of projects for compliance with the Building Code. The cost of this auditing will be recovered by a small charge levied on all projects where Producer Statements are accepted. Any action or lack of action by the person preparing, or who has undertaken to prepare a Producer Statement, which is likely to result in non-compliance with the Building Code, or with the conditions upon which Producer Statements are agreed to be relied on by the Council to establish compliance with the Building Code will be grounds for : a] The Council to take appropriate action to ensure compliance with the Building Code including the checking of the design and the inspection of the work as if the reliance on a Producer Statement[s] had not been agreed. The reasonable cost of this action to be borne by the applicant. Review of the suitability of the person to prepare Producer Statements in the future. 4 5 6 7 b] 8 Information and conditions on which Producer Statements will generally be accepted are contained in these guidelines. iv Form 504 PART 2 - ACCEPTANCE OF PRODUCER STATEMENTS Where possible the intention of applicants to use Producer Statements should be made known to the Council at the inception of the design phase of the project. This is particularly relevant where the design is to be subject to Producer Statements. 1 a] Approval as an Author of Producer Statements The Council will generally accept producer statements from registered Chartered Professional Engineers working within their fields of expertise. All other non chartered professionals should advise the Council that they wish to register as an author of Producer Statements. The Council’s policy on producer statements is made known to the applicant and the appropriate application form (form 505.) is supplied to the applicant. The decision as to whether to accept producer statements shall be made using appropriate expertise. The Council will have the most appropriate expertise, however, alternative service providers may prove to be appropriate where the Council does not possess the expertise. b] c] 2 a] Checking Applications for Acceptance as Approved Supplier of Producer Statements On receipt of an application for acceptance as an approved supplier of producer statements confirm that the proposed work is listed in the schedule of buildings/building work for which the acceptance of Producer Statements will be considered. If not, approval will not generally be granted. The types of Producer Statements should be determined. Options are: • • • • Producer Statement Design (PS1) Producer Statement Design Review (PS2) Producer Statement Construction (PS3) Producer Statement Construction Review (PS4) The following are factors that the Taupo District Council will consider as part of the assessment to determine the suitability of an application for acceptance as an author of producer statements: Registration Registration under statute (CPE, AERB) Licensed Building Practitioners (future) Plumbers, Gasfitters and Drainlayers Other Qualifications should relate to the type of work that the author is submitting for approval. The applicant must demonstrate technical competence to the satisfaction of the BCA. This maybe by way of references from peers in his/her industry or an assessment of the person’s work. Length of experience post qualification. The minimum level of professional indemnity insurance required. The BCA should seek confirmation of this from the Design Professional, builder or contractor. Qualifications Technical Competence Experience Insurance v Form 504 Quality Assurance e.g. ISO Certification BCA’s are required to have a system of quality assurance (Accreditation) to demonstrate the robustness of their systems and procedures. Individuals or companies issuing Producer Statements that have quality assurance systems in place supports and adds to the robustness of the statement being made. The BCA will consider conflicts of interest on a case by case basis and determine what constitutes a conflict or financial interest. Professional affiliations are important because membership of most associations requires training and continual professional development. An overview of work history in support of the competency of the person or company making the statement. Conflict or Financial Interest in the Project Professional Affiliations Work History The objective is to ensure that the person has sufficient knowledge, experience and quality control processes in place to prepare Producer Statements on which the Council can rely on in: i] The issue of Building Consents without checking Building specific building elements other than for completeness in the areas concerned or ii] The issue of Code Compliance Certificates without carrying out specific inspections during construction. b] In addition to considerable experience in the area subject to the statement, generally the person will belong to a recognised professional or trade organisation and in some cases, as detailed in the acceptance criteria, membership is required. Discussions with officers from other Companies who have approved similar projects will often be useful as will discussions with referees as nominated by the applicant. The extent of checking is up to the Senior Building Control Officer’s discretion and will be affected to a certain extent by the scale and complexity of the intended projects and the established track record of the person in the area subject to the Producer Statement. The final decision on acceptability rests with the Council’s representative authorised to grant and issue Building Consents. In the case of solid fuel heater installations membership of the Home Heating Association is deemed to demonstrate acceptability of the person to provide a Producer Statement. c] Details of the person’s approval shall be recorded in the register of approved suppliers of Producer Statements 3 a] Establishing Compliance with the Building Code. Where a Producer Statement is supplied by an approved person the Producer Statements provided should be checked to ensure they are on the standard form, completed in full, is signed by the approved person, have no amendments or endorsements and be within the scope of approval previously granted by the Council. To ensure the robustness, effectiveness and consistency of Producer Statements, there are essential features that a Producer Statement must have. When each of these features is present, together with the attributes already described, the result will be an effective and robust system that can be relied upon. An approved format for producer statements is shown on appendix A of this document. The general form and layout of a Producer Statement needs to include: the name of the organisation, the statement must be the original, contain confirmation that the design professional or author is satisfied that the work in question complies with the relevant provisions of the building code, and the following essential features are included. vi Form 504 (i) Designation of Work (What is it for?) For the purposes of obtaining a Building Consent, CCC or compliance Schedule, the type of statement being issued must be designated as either a Design or Construction statement; or For the purposes of obtaining a Certificate of Acceptance (work which has been carried out without a building consent) the type of statement being issued must be designated as Construction without Building Consent (ii) Location (Where is the particular Building Work?) The Producer Statement must uniquely identify (e.g. Property ID number, or Legal description and street address) where the particular building work is taking place or has taken place and must include a physical address and any other information necessary to identify the location of the building work which may also include legal description, unit number and or floor level. (iii) Identification The Producer Statement must contain a unique identifier. It is suggested that a number and a date be appended. (iv) Description of Work (What is the particular building work?) A clear description of the work covered by the statement identifying all or part of the work to be covered by the Producer Statement, as the case may be. Design – If the Producer Statement is for design work, the description of proposed work must explicitly reference the plans and specifications (including calculations). Example: Engineered design beams (1-5) as shown on Sheet S17 dated 11.11.04. Construction – If the Producer Statement is for construction work, the description of completed work must explicitly reference plans and specifications and supporting documentation (e.g. construction observation, monitoring, inspection or supervision reports). Example: Foundation detail ‘B’ as shown on Sheet S12 dated 11.11.04 as modified by site instruction #27 dated 10.12.05. (v) Specific Reference to Building Code or Building Consent (What parts of the Building Code or building Consent are claimed?) Design: Must state which relevant performances of the building code will be met, not just reference the clause(s) generally. Example: Retaining Wall Rather than say the design complies with E2, the statement must nominate the specific performances within that clause that will be met e.g. Ground Moisture will not cause undue damage or dampness – E.2.3.3 If the designer is claiming compliance with B2 then there must be a specific performance claim, in the case above, B.2.3.1(a); for example “The tanking will have an indefinite life of not less than 50 years.” Construction: Must state which conditions of the building consent have been met. Using the example above: The tanking system applied to the back of the retaining wall has been constructed in accordance with the Building Consent Plans. A Building Code reference should be included to identify the element of the Building Code to which the Producer Statement applies. (vi) Justification to support Claim (What is the basis of the claim?) vii Form 504 • Design: • The Producer must state the basis for any claims made in the Producer Statement together with any documentation relied upon. • Standards referenced • Principles on which the statement is made • Technical Publications, e.g. BRANZ Manufacturer’s literature (Note that Manufacturer’s literature is continually evolving and the most up-to-date version needs to be referenced). Construction: The Producer must state the basis for any claims made in the Producer Statement, together with any documentation relied upon. Inspection and monitoring visits need to be scheduled, any warranties listed, and manufacturer’s specifications must be referenced. Unauthorised Building Work: (where there is no consent and the statement is in support of a COA ). The Producer Statement needs to state the basis of the claims for compliance made for the building work. The basis for code performances claimed needs to be given. Depending on the circumstances, the basis may be conformance with the Approved Documents, certain design principles, or may be based on authoritative technical documents. (vii) Conditions on the Producer Statement: Design only The Producer Statement must state any limitations or conditions on the statement’s validity. This only applies to Producer Statements for Design as there can be no conditions placed on a statement that relates to completed building work. (viii) Inspection Requirements (What is the basis of the claim?) If the design is based on assumptions these must be clearly identified and referenced so that verification can be assessed and confirmed on site. If inspections are necessary, these must be noted. A separate list of the required inspections and who will perform these must be provided; this will be listed as a condition(s) of the Building Consent. (ix) Date, Signature and Name (Who is the Producer?) Date, signature, written identification of the person issuing the statement, their qualifications and a statement of their current professional insurance provisions must appear on the statement. b] Where the Producer Statement relates to construction compliance it is necessary to identify the minimum level of documented periodic review inspections required from the chart. This should be included in the inspection attached to the building consent and included as a condition of consent. Where a Producer Statements for materials and proprietary products is provided, individual consideration of each case on its merits is required. Applicant’s plans must be accompanied by; the Producer Statements, Design and Design Review Producer Statements as appropriate and the usual plans, specifications, structural calculations that would be included in a Building Consent application etc. Producer Statements must be on the form approved by the Council and not contain any alterations or qualification. The application should be checked for completeness and that all work is either covered by a Producer Statement or work not so covered is clearly identified as requiring Council checking and/or inspection. The extent of work to be checked and/or inspected by the Council must be included as a condition of issuing the Building Certificate and be listed on the site inspection sheet. c] d] e] On being satisfied that all documentation has been provided, that all work covered by Producer Statements has been prepared by approved persons within their scope and that work not covered has been checked for compliance, a Building Consent may be issued. viii Form 504 4 a] Issue of Code Compliance Certificates The applicant is required to submit the agreed Construction and/or Construction Review Producer Statement[s] with advice of completion of building work. Producer Statements must be on the form approved by the Council and must not contain any alterations or qualification. Check that all required statements have been provided and that any inspections deemed necessary by Council have been carried out and confirm compliance as required by the Building Code. Provided all the Producer Statement[s] are in order, and other necessary checks indicate compliance, a Code Compliance Certificate may be issued. b] c] 5 Auditing Compliance with the Building Code Where Producer Statements are to be Relied On. Auditing procedures should be in accordance with Part 3 titled ‘Auditing Procedures Where the Use of Producer Statements is Intended to Establish Compliance with the Building Code’. a] ix Form 504 PART 3 - AUDITING PRODUCERSTATEMENTS 1 Introduction The purpose of auditing compliance standards, where Producer Statements are accepted to establish compliance with the Building Code, is to ensure on reasonable grounds that the design documentation or work as constructed complies with the code. The policy established is that a maximum of 5% of projects subject to Producer Statements will be audited for compliance. This auditing will generally be the same level of checking that would be carried out by Council personnel or Contracted Agents on a project not subject to Producer Statements. In some cases random auditing will be carried out on: a] b] Elements of a design; and Individual stages of projects subject to Producer Statements, by way of inspections as requested by the Council. Projects to be audited will be selected by the Council representative and approved signatory responsible for the issue of the consent, or the assessment of compliance during construction as appropriate. 2 Auditing Procedures (Peer Reviewing) a] Design Phase [Pre-Consent Issue] Auditing of the design for compliance pre consent issue is necessary whether a Design Review is required or not. The percentage of projects to be audited is up to 5% and this should be of a percentage of similar projects eg specific design of detached dwellings up to and including 3 storeys in height, small commercial buildings, plumbing installations to detached dwellings etc. The relevant Council representative will select projects for full audit and the client should be advised that the application is to be audited. For other projects subject to Producer Statements the applicant will not be advised of the audit of elements of a design. The full audit should involve checking the applications to the same extent as if they had been made without the use of Producer Statements. Any non-compliance in the design should be addressed in the usual manner and the issue of an apparently incorrect Producer Statement taken up with the designer by the Technical Manager. It would be necessary to re-assess the suitability of the particular designer and/or the design reviewer to prepare Producer Statements and decide whether statements from these persons would be acceptable in the future. b] Construction Compliance Phase [Post-consent issue] The percentage of projects to be audited is up to 5% and this should be of a percentage of similar projects eg construction of detached dwellings up to and including 3 storeys in height, small commercial buildings, plumbing installations to detached dwellings, installation of solid fuel heaters etc. The relevant Council representative will select projects for full audit and the client should be advised that construction compliance is to be audited. For other projects subject to Producer Statements the client will not be advised of random inspections of individual stages of construction. Where a project has been selected for audit this should be clearly annotated on the site inspection sheet and client file to enable inspections to be booked when notification that work is ready for inspection is received. [The owner or person undertaking the work is required to give the Council notice that building work is ready for inspection] x Form 504 The full audit should involve inspecting the authorised work to the same extent as if the consent had been issued without the use of Producer Statements. Any non-compliance noted should be addressed in the usual manner and the issue of an apparent incorrect Producer Statement taken up with the Constructor or Construction Reviewer by the team leader. It would be necessary to re-assess the suitability of the particular Constructor and/or the Construction Reviewer to prepare Producer Statements and decide whether statements from these persons would be acceptable in the future. xi Form 504 PART 4 - SCHEDULE OF BUILDINGS/BUILDING WORK FOR WHICH THE ACCEPTANCE OF PRODUCER STATEMENTS TO ESTABLISH COMPLIANCE WITH THE BUILDING CODE WILL BE CONSIDERED. (The peer review requirements identified in the following schedule are in addition to the audit procedures identified previously.) DESIGN PHASE Specific Engineering Design 1. These require peer review for all projects except: a] Specifically designed structural elements of housing, commercial, and industrial buildings not exceeding three storeys in height NOTE : Must include all specifically designed elements. Retaining walls not subject to surcharge from buildings and where no part of the structure of the wall is within a safe slope relative to the boundary of the site and the retained height does not exceed 4 metres. [A safe slope is deemed to be 45 degrees unless this is known to be inappropriate]. Outbuildings within Classified Use - Housing. swimming pools, carports, garages etc]. [Outbuildings in residential areas, includes private b] c] d] 2 3 Conservatories forming part of Detached or Multi-Unit Dwellings. Submitted by a Chartered Engineer with demonstrated competence in the relevant design discipline. All documents depicting the work subject to the Producer Statement to be signed by the chartered engineer. Detached Dwellings [Non specific design 1 Submitted by a designer with demonstrated competence in the design of the type of dwelling subject to the Producer Statement. Fire Safety Provisions 1 These require peer review for all projects except those that involve housing, commercial, and industrial buildings not exceeding three storeys in height Are designed in accordance with the acceptable solutions. Submitted by a registered Fire Engineer with demonstrated competence in the relevant design discipline 2 3 Other structures [Non specific design including building envelopes, and architectural design]. 1. Requires peer review unless agreement to the contrary is reached with the Council. 2 Submitted by a designer with demonstrated competence in the design of the building or building element. All documents depicting the work subject to the Producer Statement to be signed by the designer. 3 Design of Prefabricated Elements 1 Requires peer review unless agreement to the contrary is reached with the Council. 2 Submitted by a designer with demonstrated competence in the relevant design discipline. xii Form 504 3 All documents depicting the work subject to the Producer Statement to be signed by the designer. Design of Automatic Sprinkler Systems 1 Design and Producer Statement to be prepared by a Sprinkler Contractor listed in the current Insurance Council of New Zealand Approval Register [approved for the installation of sprinklers to the relevant standard ie NZS 4541 or NZS 4515]. Producer Statement to be accompanied by confirmation that the Insurance Council of NZ have approved the design parameters. 2 Full as-built documentation and a Producer Statement from to be submitted by the applicant prior to the issue of a Code Compliance Certificate. Emergency Warning Systems for Fire [Excluding Type One] 1 Design to be prepared by a designer with demonstrated competence in the relevant design discipline. Emergency Warning Systems for Fire [Type One] 1 Producer Statement to be prepared by a designer with demonstrated competence in the scale and type of project subject to the Producer Statement. Geotechnical Assessments 1 Requires peer review, unless agreement to the contrary is reached with the Council. 2 Submitted by a chartered engineer experienced in the field of geotechnical engineering. Emergency Lighting Systems 1 Producer Statement to be prepared by a designer with demonstrated competence in the scale and type of project subject to the Producer Statement. Lifts and Escalators 1 Producer Statement to be prepared by a designer with demonstrated competence in the design, manufacturing, installation and servicing of lifts and escalators, who is certified to ISO 9002 or an equivalent standard. 2 3 Designer to be represented on the technical committee of the NZ Lift and Escalator Association. All equipment to meet the requirements of an acceptable solution promulgated by the Department of Building and Housing and nominated by the designer. Requires peer review unless agreement to the contrary is reached with the Council. 4 Mechanical Ventilation and Air Condit ioning Systems 1 Design to be prepared by a designer with demonstrated competence in the relevant design discipline and scale and type of project subject to the Producer Statement. 2 Requires peer review unless agreement to the contrary is reached with the Council. xiii Form 504 CONSTRUCTION PHASE Glazing Systems 1 To be submitted by a member of the NZ Safety Glass Association. Solid Fuel Heaters 1 To be submitted by a member of the NZ Home Heating Association, membership to be confirmed to the satisfaction of the Council. 2 Limited to detached dwellings up to and including 3 storeys. Plumbing Installations 1 To be submitted by a member of the NZ Society of Master Plumbers and Gasfitters. Membership to be confirmed to the satisfaction of the Council. 2 To be limited to detached dwellings up and including 3 storeys. Automatic Sprinkler Systems 1 To be submitted by Sprinkler Contractor listed in the current Insurance Company of NZ Approval Register, supported by a PS confirming certification of final inspection and commissioning from a recognised and experienced organisation in the field of inspecting and commissioning automatic sprinkler systems. NOTE : A suitable organisation is deemed to be the Fire Protection Inspection Services Limited, however, other organisations may be able to establish their suitability. Warning Systems for Fire 1 To be submitted by a Council with demonstrated competence in the installation of warning systems for fire of a type subject to the Producer Statement supported by a PS confirming certification of final inspection and commissioning from a recognised and experienced Council in the field of inspecting and commissioning automatic warning systems for fire. Piling 1 Submitted by the designer or other appropriately experienced and qualified person approved by the Council. Masonry 1 Submitted by a registered Mason [registered by the NZ Masonry Trades Registration Board]. Mechanical Ventilation and Air Conditioning Systems 1 To be submitted by a company with demonstrated competence in the installation of mechanical ventilation and air conditioning systems of the type and scale subject to the Producer Statement. Specialist Coating Systems 1 To be submitted by the applicator. Detached Dwellings up to and Including 3 Storeys 1 Require Producer Statement from Constructor and Construction Reviewer. Retaining Walls 1 Require Producer Statement from Constructor. Outbuildings within Classified Use - Housing [Outbuildings in residential areas - includes private swimming polos, carports, garages etc.] xiv Form 504 1 Require Producer Statement from Constructor. Commercial, Industrial and other Building Work/Buildings not Identified Above] 1 Require Producer Statement from Constructor and Construction Reviewer. MATERIALS AND PROPRIETARY PRODUCTS The acceptance of Producer Statements for materials and proprietary products will be considered individually and the intended use should be discussed at an early stage with Council representatives. GENERAL 1 Where the use of Producer Statements is Council will accept Producer Statements competence of those preparing Producer applicant and given on the Assessment available to the Council. approved to establish compliance with the Building Code the prepared by those persons deemed to be competent. The Statements will be assessed on information provided by the of Competence form, together with any further information 2 . 3 Peer review to be by a person of equivalent competence, not having a professional or financial interest Construction Review to be by a person deemed to be a competent reviewer, not having a professional or financial interest. All Producer Statements, other than for materials or proprietary products, are to be in the form prepared by the Council and no amendments or qualifications are permitted. 4 xv Form 504 APPENDIX A PRODUCER STATEMENT – DESIGN/CONSTRUCTION Statement Number:…………………….………. ISSUED BY: (Suitably Qualified and Approved Author of Producer Statements) TO: (Owner) TO BE SUPPLIED TO: TAUPO DISTRICT COUNCIL PRIVATE BAG 2005 TAUPO has been engaged by (Design Firm, Installer etc) (Owner/Developer, Contractor) to provide requirements of clause(s) All services in respect of the of the New Zealand Building Code on: Part only as specified of the building work. The design/installation has been done in accordance with (respectively) of the approved documents (Verification Method(s)/Acceptable Solutions/Appraisal Certificate) issued by …………………………………………………………………………………………………………….the and the work is to be / which has been constructed on: Street/Road Number: described on (Design Firm) Lot Name: drawings titled DP(S) Town: and numbered has been constructed. on the specifications and other documents according to which the building is to be / As an independent design professional / approved installer / licensed building practitioner…etc and covered by a current policy of Professional Indemnity Insurance to a minimum value of $ (……………………………………), I HERBY CERTIFY that subject to: (i) the site verification of the following assumptions, and (ii) all proprietary products meeting the performance specification requirements, the drawings, specifications, and other documents according to which the building is proposed to be constructed / the building work as completed comply(s) with the relevant provisions of the New Zealand Building Code. Date: (Signature Approved Author of Producer Statements) Registration Number: (Professional Qualifications) Member: (Address) (Professional Organisation)