High risk buildings - verification during construction: compliance plan approach - background and implementation

8. The Compliance Plan

The aim of the compliance plan is to ensure that compliance with building regulations has been planned, managed and evidenced, and that the verifier has been able to complete their planned reasonable inquiry as a minimum, with full transparency.

Currently the Construction Compliance and Notification Plan (CCNP) is created and issued by the verifier along with an approved building warrant. The CCNP identifies the inspection stages that the verifier requires to be notified, so that they can inspect and check the project at different stages.

The new CP approach changes this process for HRBs. The CP will detail the measures that will be in place to control the work on site and the necessary evidence collated to deliver a compliant building. This will include the verifiers access requirements for inspection and other evidence considered required by the verifier.

After the legislative change is implemented, the CP will be submitted by the CPM to the verifier for provisional agreement at a prewarrant stage. The verifier will not have to accept the CP, as proposed, at this stage. Where insufficient information has been provided or if there is a need for changes to the proposed inspection stages or evidence provided, the verifier will require the CP to be amended.

The ‘agreed in principle CP’ will then be considered again at the building warrant application stage and once content the verifier will issue the CP with the approved building warrant.

At the completion of the project, the CP would need to be fully discharged before the verifier can consider acceptance of a completion certificate. Fully discharged would mean that all planned actions have been carried out successfully as planned, or that deviations have been suitably reassessed and equivalent actions carried out successfully.

Through the CP, the verifier will set their expectations for their statutory duty of reasonable inquiry into the compliance certifying statement on the completion certificate. If that plan is frustrated, alternatives which give an equal level of assurance to the verifier must be undertaken and recorded on the CP.

The Compliance Plan will also assist the verifier when considering any temporary occupation or use requested and provide evidence and information when seeking to take enforcement action against those who seek to allow occupation of their building without the verifier's approval.

If the verifier has not been notified of stages as required by the CP, it would be expected that alternatives, including disruptive works such as the opening up of areas for physical inspection would be required of the contractor, the cost of these works to be borne by the project and not the verifier.

Since one of the prime reasons for the Act is securing the health, safety, welfare and convenience of persons in or about buildings and of others who may be affected by buildings or matters connected with buildings, transparency is in the public interest.

The CP must be placed within the part 2 statutory building standards register at the following key stages, meaning there should be 5 different versions on the register for any completed HRB project in scope.

• Prewarrant submission of CP
• Approval in principle of CP
• Submission of CP with building warrant application
• Approval or CP with building warrant, and with any amendment to warrant of required
• Completed CP at completion certificate submission acceptance