Attachments of Operations & Monitoring Committee Meeting

ASSESSMENT OBSERVATIONS

Regulation 6A Notification requirements

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and had been effectively implemented.

Regulation 7 Performing Building Control Functions

Regulation 7(2)(a): providing consumer information

Non-compliance? Y/N	Yes
Non-compliance number/s:	GNC 1. Resolved during assessment
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements except the following: · Procedures (Public Information) was not sufficiently clear that Consent holders must apply for Code Compliance Certificate once work was complete. Resolved during assessment. · Procedures (Public Information) did not reference the BCA’s Complaints process when discussing Code Compliance Certificates. Resolved during assessment.

Regulation 7(2)(b)-(c), and 7(2)(d)(i): receiving, checking and recording applications

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented. Comment. In one instance a vetting officer had allowed an incomplete application to be accepted as the applicant had tried to submit the application on two previous occasions and the vetting officer appeared to consider that the BCO could address the absence of required documents.

Regulations 7(2)(d)(ii): assessing applications

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented.

Regulations 7(2)(d)( iii): allocating applications

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented.

Regulation 7(2)(d)(iv): processing building consent applications and

Regulation 7(2)(e): planning inspections

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 2. To be resolved
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed all requirements. · Implementation was not effective where the BCA was not revising Specified Systems appropriately when considering s112. · Implementation was not effective when compiling Draft Compliance Schedules and amending Compliance Schedules as required during processing. Specifically, the BCA was not ensuring there were appropriate Specified Systems and Performance Standards. GNC 2. To be resolved. Comment. In one record the BCA had recorded commentary against Code Clauses rather than Conditions of the Certificate when processing a National Multiple Use Approval under s30A-H. Other than the previous findings procedures were effectively implemented including appropriate planning of inspections during processing.

Regulation 7(2)(d)(v): granting and issuing consents

Non-compliance? Y/N	Yes
Non-compliance number/s:	GNC 3. To be resolved.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Compliance with Form 5 Procedures addressed requirements except the following: · Procedures (Form 5) did not advise the Consent holder of the BCA’s entitlement to undertake site inspections under s 90 of the Act. Resolved during assessment. · Implementation was not effective where the BCA was compiling a Draft Compliance Schedule as a result of the building work. Specifically the BCA was not ensuring appropriate Specified Systems and performance standards were recorded on the Form 5 or attachment. · Similarly implementation was not effective where the BCA was compiling an amended Compliance Schedule as a result of an the building work. Specifically the BCA was not ensuring appropriate Specified Systems and performance standards were recorded on the Form 5 or attachment. GNC 3. To be resolved. Other than the previous findings current procedures were effectively implemented. Lapsing Procedures addressed requirements and were effectively implemented Compliance with statutory timeframes The BCA had a period of five months during the previous 24 months where they had not been compliant with the requirement to process Consents within 20 working days however, the BCA had re-established compliance in recent months.

Regulation 7(2)(e): planning, performing and managing inspections

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Inspections were effectively planned as part of processing. Procedures addressed requirements and were effectively implemented.

Regulation 7(2)(f): code compliance certificates, compliance schedules and notices to fix

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 4. To be resolved.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	Yes
	2
	R1, R2
	0
	-
Observations and comments, including good practice and performance
Application for a code compliance certificate Procedures addressed requirements except for the following: · Procedures did not discuss what happens if an application is complete. Resolved during assessment. The BCA is recommended (R1) to ensure all Form 6’s include (where relevant) the statement that the Specified Systems (according to the installer) are capable of performing to the Performance Standards set out in the Consent. Other than the previous findings current procedures were effectively implemented. Code compliance certificates Procedures addressed requirements except the following: · Procedures did not sufficiently address the requirement to refuse a CCC. Resolved during assessment. · Implementation was not effective where the BCA was not ensuring Specified Systems on the Compliance Schedule with the Code Compliance Certificates where accurate according to those on the Form 5. GNC 4. To be resolved. Other than the previous findings procedures were effectively implemented. 24 month CCC decision Procedures addressed requirements. · Implementation was not effective where the BCA had 409 Consents in their system where there had been no application for CCC at 24 months and the BCA had not made a decision to issue not issue a CCC as required. GNC 4. To be resolved. The BCA is recommended (R2) to specify in procedures the requirement to issue CCCs within 20 working days of a Consent reaching 24 months where there had been no application for CCC. For current/recent Consents the BCA were making decisions to issue/ not issue CCCs at 24 months Compliance with statutory timeframes. Procedures addressed requirements except the following: · Procedures did not discuss the requirement to issue CCC within 20 working days of application. Resolved during assessment The BCA’s statistics indicated they had been fully compliant with the requirement to issue CCC’s within 20 working days in all of the previous 24 months. However because there were 409 Consents in the system where the BCA had not made the decision at 24 months the statistics may not be accurate. This should have been raised during the assessment as a finding. As it wasn’t it is included as a comment to the BCA to include all Consents in those statistics to ensure reporting on the 20 day clock is accurate. Compliance schedules Procedures were appropriate. · Implementation was not effective where the BCA was not issuing CCCs compliant with s103 of the Act. Specifically, Specified Systems and Performance Standards were not appropriate. GNC 4. To be resolved. Notices to fix Procedures addressed requirements and were effectively implemented. Comment: In one instance a Notice To Fix required the Consent holder to engage an engineer to do a dangerous building assessment when this should be done by the Territorial Authority.

Regulation 7(2)(g): customer inquiries

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented.

Regulation 7(2)(h): customer complaints

Non-compliance? Y/N	Yes
Non-compliance number/s:	GNC 5. Resolved during assessment.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements except the following: · Procedures (Public Information) did not address the requirement to ensure the BCA Complaints process was referenced in the section that discussed Code Compliance Certificates. Resolved during assessment. · Implementation was not effective where the BCA was unable to differentiate (for review purposes) between complaints about Building Consent Authority as opposed to Territorial Authority functions. Resolved during assessment. Other than the previous findings current procedures were effectively implemented.

Regulation 8 Ensuring enough employees and contractors

Regulation 8(1): forecasting workflow

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 6. To be resolved
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	Yes
	0
	-
	1
	A1
Observations and comments, including good practice and performance
Procedures did not discuss the following: · Procedures did not specify that the BCA would review the work flow over the previous two years when projecting forward workflow. · Procedures did not prompt the review of the availability of Technical Leadership and Specialist Technical expertise when projecting forward workflow. · Procedures did not prompt the BCA to review known internal and external factors when projecting forward workflow. · Procedures did not prompt the BCA to consider the different categories of work the BCA would perform when projecting forward workflow. GNC 6. To be resolved. The BCA is advised (A1) to consider including a prompt to review the amount of work it intends to perform for other BCA’s (if applicable) when projecting forward workflow. Despite the previous findings the BCA was performing this function effectively.

Regulation 8(2): identifying and addressing capacity and capability needs

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 7. To be resolved
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures did not discuss the following: · Procedures did not prompt the recording of the availability of Technical Leadership and Specialist Technical expertise when projecting forward workflow. GNC 7. To be resolved Despite the previous finding the BCA was performing this function effectively.

Regulation 9 Allocating work

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented.

Regulation 10 Establishing and assessing competency of employees

Regulation 10(1) and (3): assessing prospective employees

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements. There had been no need to implement them in the previous 24 months.

Regulation 10(2) and (3): assessing employees performing building control functions

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 8. To be resolved
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	Yes
	1
	R3
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements. 10(3)(d) · Implementation was not effective where in one assessment the BCA had not ensured the Competency Assessment records provided evidence of Com 2 and Com 3 site inspections. Neither did the assessment include a technical discussion to demonstrate understanding of the significant features of Com 2 and Com 3 applications. GNC 8. To be resolved. The BCA is recommended (R3) to ensure the Competency Assessments of Site Inspectors include clear record of the competency of the Site Inspector to collate and prepare Form 7 (CCC). A discussion with the Competency Assessor clarified that the Assessor had reviewed this required competency. Other than the previous finding and recommendation Competency Assessments were appropriate Comment: In the most recent example of Competency Assessment for a Processing BCO the assessment did include clear record of the Processing BCO’s competency to collate and prepare a Form 5. (Consent).

Regulation 11 Training employees doing a technical job

Regulation 11(1) and (2)(a)-(d),(f) and (g): the training system

Non-compliance? Y/N	Yes
Non-compliance number/s:	GNC 9. Resolved during assessment.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	Yes
	2
	R4, R5.
	0
	-
Observations and comments, including good practice and performance.
Procedures addressed most requirements. 11(2)(b) · Procedures (Training Plans) did not address the requirement to clearly record the identified Training Need. Resolved during assessment. Current procedures were effectively implemented. The BCA is recommended (R4) to make as a clearer heading on the Training Plans “Outcome desired” The BCA is recommended (R5) to make as a clearer heading on the Training Plans “Application shall be monitored by the following”.

Regulation 11(2)(e): supervising employees doing a technical job under training

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented.

Regulation 12 Choosing and using contractors

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 10. Resolved during assessment. GNC 11. To be resolved.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed most requirements. 12(2)(b) · Procedures did not prompt the BCA to consider the scope of services and deliverables for different types of contracts. Resolved during assessment. · Procedures did not discuss the rules and criteria that may apply when considering a new contract. For example the Territorial Authority procurement policy. Resolved during assessment. 12(2)(e) Contractor Performance · Implementation was not effective where the BCA was not reviewing contractor performance against the defined standards in the contracts. To be resolved. GNC 11. To be resolved. Other than the previous findings current procedures were effectively implemented.

Regulation 13 Ensuring technical leadership

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 12. To be resolved within five working days.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements. · Implementation was not effective where the BCA did not have records to support one of the Technical Leaders. GNC 12. To be resolved within five working days. 14/11/2019 CLEARED

Regulation 14 Ensuring necessary (technical) resources

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented.

Regulation 15 Keeping organisational records

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 13. Resolved during assessment GNC 14. To be resolved.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
15(1)(b)(ii) Relationships with External Organisations. Procedures addressed most requirements. · Procedures did not address the requirement to clarify that the BCA was part of a larger organisation. Resolved during assessment. 15(2)(d) Powers Procedures addressed most requirements. · Procedures and their implementation did not address the requirement to delegate Powers to perform s45A(3) and s95A functions. GNC 14. To be resolved. Comment: In two instances the BCA had issued Notices to Fix by an individual without the delegated power to issue them. The BCA had realised this and it was no longer happening.

Regulation 16 Filing applications for building consent

Non-compliance? Y/N	Yes
Non-compliance number/s:	GNC 15. Resolved during assessment
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
· Procedures did not address the requirement to ensure records as specified in the MBIE Guidance were retained by the BCA. Resolved during assessment. Despite the previous finding, in Consent files reviewed during this assessment, all relevant documents were available.

Regulation 17 Assuring quality

Regulations 17(1) and (2)(a): A quality assurance system that covers management and operations

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
The BCA had a Quality System in place that covered management and operations. Where omissions were found they are addressed under their relevant regulation.

Regulation 17(2)(b) and (3): A policy on quality and a quality manager

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 16. To be resolved.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
17(2)(b) Quality Policy Procedures addressed most requirements. · Procedures (Quality Policy) did not specify a commitment to Continuous Improvement. GNC 16. To be resolved. 17(3) Quality Manager. Procedures addressed requirements.

Regulation 17(2)(d) and 17(5): Management reporting and review, including of the quality system

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNCs 17 and 18. To be resolved.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
17(2)(d) Management review and reporting. · Procedures and their implementation did not prompt the BCA to undertake reporting against their Quality Policy Objectives. · Procedures and their implementation did not specify the frequency of management reports. · Procedures and their implementation did not clarify the content of the management report at a higher level. GNC 17. To be resolved. Current procedures were effectively implemented. 17(5) Review of effectiveness of Quality System. · Procedures and their implementation did not prompt the review of the effectiveness of Internal Audit and Continuous Improvement processes. · Procedures and their implementation did not prompt the review of the effectiveness of employee and contractor engagement with the Quality Assurance System · Procedures and their implementation did not prompt the review of the effectiveness of employee and contractor engagement with the Continuous Improvement System. · Procedures did not address the requirement to consider the effectiveness of the Conflict of Interest System. · Procedures and their implementation did not prompt the BCA to consider the effectiveness of the BCA’s communication with respect to the Quality Assurance System. · Procedures and their implementation did not prompt the BCA to review the effectiveness of the BCA’s processes for making changes to the Quality Assurance System. GNC 18. To be resolved. Current procedures were effectively implemented.

Regulation 17(4): Compliance with a quality assurance system

Non-compliance? Y/N	Yes
Non-compliance number/s:	GNC 19. Resolved during assessment.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
· Procedures 17(2)(d), 17(2)(h) and 17(5) did not require the BCA to communicate Quality Assurance matters as an outcome of any relevant finding from those reviews. Resolved during assessment. · Procedure 17(2)(e) did not require the BCA to communicate Quality Assurance matters as an outcome of any relevant Continuous Improvement. Resolved during assessment. Despite the previous findings the BCA was actively communicating QA matters as an integral part of their processes.

Regulation 17(2)(c): Ensuring operation within any scope of accreditation

Non-compliance? Y/N	Not Applicable
Non-compliance number/s:
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:




Observations and comments, including good practice and performance
Not Applicable

Regulation 17(2)(e) Supporting continuous improvement

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	Yes
	0
	-
	2
	A2, A3.
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented. The BCA is advised (A2) to consider bundling related findings into one CIR in their Continuous Improvement System. The BCA is advised (A3) to consider bundling non-urgent procedural changes into one CIR in their Continuous Improvement System.

Regulation 17(2) (h): Undertaking annual audits

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 20. To be resolved.
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	Yes
	1
	R6
	0
	-
Observations and comments, including good practice and performance
· Procedures (Internal Audit Schedule) and their implementation did not address the requirement to internally audit all Building Control Functions and their supporting regulations in every 12 month period. Specifically, the BCA was not auditing all non-technical functions. GNC 20. To be resolved. The BCA is recommended (R6) to revise/shorten the defined period of time within which the BCA would take action in response to an audit finding. At present it could be up to 12 months.

Regulation 17(2)(i): Identifying and managing conflicts of interest

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	Yes
	0
	-
	1
	A4
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented. The BCA is advised (A4) to consider referencing their Conflict of Interest procedure somewhere in the QMS contents page.

Regulation 17(2)(j): Communicating with internal and external persons

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements and were effectively implemented.

Regulation 17(3A): Complaints about building practitioners

Non-compliance? Y/N	No
Non-compliance number/s:	-
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
Procedures addressed requirements. There had been no need to implement them in the previous two years.

Regulation 18 Technical qualifications

Non-compliance? Y/N	Yes - See Record of Non-compliance for details
Non-compliance number/s:	GNC 21. To be resolved
Opportunities for improvement? Y/N Number of recommendations: Recommendation number/s: Number of advisory notes: Advisory note number/s:	No
	0
	-
	0
	-
Observations and comments, including good practice and performance
· Procedures did not address requirements as there were four exemptions to the requirement to achieve qualifications that were not described in the MBIE Guidance. Specifically: A new employee within 36 months of employment Due to the health of an employee Due to the personal circumstances of an employee The employee being a Building Technician processing Solid Fuel Heaters. GNC 21. To be resolved. Despite the previous finding implementation of the requirement to hold appropriate qualifications had been effective and the outcomes were compliant.

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 2
Breach of regulatory requirement:	Regulation 7(2)(d)(iv)
Finding:	General Non-compliance
Finding details:	· Implementation was not effective where the BCA was not revising Specified Systems appropriately when considering s112. · Implementation was not effective when compiling Draft Compliance Schedules or amending Compliance Schedules where required during processing. Specifically the BCA was not ensuring there were appropriate Specified Systems and Performance Standards
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 3
Breach of regulatory requirement:	Regulation 7(2)(v)
Finding:	General Non-compliance
Finding details:	· Implementation was not effective where the BCA was compiling a Draft Compliance Schedule as a result of the building work. Specifically the BCA was not ensuring appropriate Specified Systems and Performance Standards were recorded on the Form 5 or attachment. · Similarly implementation was not effective where the BCA was compiling an amended Compliance Schedule as a result of an the building work. Specifically the BCA was not ensuring appropriate Specified Systems and Performance Standards were recorded on the Form 5 or attachment
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 4
Breach of regulatory requirement:	Regulation 7(2)(f)
Finding:	General Non-compliance
Finding details:	Code compliance certificates · Implementation was not effective where the BCA was not ensuring Specified Systems on the Compliance Schedule when issuing Code Compliance Certificates where accurate according to those on the Form 5. 24 month CCC decision · Implementation was not effective where the BCA had 409 Consents in their system where there had been no application for CCC at 24 months and the BCA had not made a decision to issue not issue a CCC as required. · The BCA was not managing the 20 day clock for applications at 24 months. Compliance schedules · Implementation was not effective where the BCA was not issuing CCCs compliant with s103 of the Act. Specifically Specified Systems and Performance Standards were not appropriate
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 6
Breach of regulatory requirement:	Regulation 8(1)
Finding:	General Non-compliance
Finding details:	· Procedures did not specify that the BCA would review the work flow over the previous two years when projecting forward workflow. · Procedures did not prompt the review of availability of Technical Leadership and Specialist Technical expertise when projecting forward workflow. · Procedures did not prompt the BCA to review known internal and external factors when projecting forward workflow. · Procedures did not prompt the BCA to consider the different categories of work the BCA would perform when projecting forward workflow.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 7
Breach of regulatory requirement:	Regulation 8(2)
Finding:	General Non-compliance
Finding details:	· Procedures did not prompt the recording of the availability of Technical Leadership and Specialist Technical expertise when projecting forward workflow.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 8
Breach of regulatory requirement:	Regulation 10(3)(d)
Finding:	General Non-compliance
Finding details:	· Implementation was not effective where the BCA had not ensured the Competency Assessment records in one assessment did not provide evidence of Com 2 and Com 3 site inspections. Nor did the assessment include a technical discussion to demonstrate understanding of the significant features of Com 2 and Com 3 applications.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 11
Breach of regulatory requirement:	Regulation 12(2)(e)
Finding:	General Non-compliance
Finding details:	· Implementation was not effective where the BCA was not reviewing contractor performance against the defined standards in the contracts.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 12
Breach of regulatory requirement:	Regulation 13
Finding:	General Non-compliance
Finding details:	· Implementation was not effective where the BCA did not have records to support the appointment of one of the Technical Leaders
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	Within five working days
	Due by:	Accepted by IANZ:
Plan of action from BCA:	13/11/2019	13/11/2019
Evidence of implementation from BCA:	14/11/2019	14/11/2019
EVIDENCE
Plan of action: To be provided by BCA	Our plan to clear this GNC is to update the Processing Staff Competency Totals table to reflect who the Technical Leaders are. In this case we will limit Melanie to Technical Leader for Res 1 consents only. We will also update the QSM to refer to the Processing Staff Competency Totals table instead of the BCA Organisational Chart.
Evidence of implementation: To be provided by BCA	Reviewed deemed appropriate
Non-compliance cleared? Y/N	Yes
Signed:
Date:	14/11/2019

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 14
Breach of regulatory requirement:	Regulation 15
Finding:	General Non-compliance
Finding details:	· Procedures and their implementation did not address the requirement to delegate Powers to perform s45A(3) and s95A functions.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 16
Breach of regulatory requirement:	Regulation 17(2)(b)
Finding:	General Non-compliance
Finding details:	· Procedures (Quality Policy) did not specify a commitment to Continuous Improvement.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 17
Breach of regulatory requirement:	Regulation 17(2)(d)
Finding:	General Non-compliance
Finding details:	· Procedures and their implementation did not prompt the BCA to undertake reporting against their Quality Policy Objectives. · Procedures and their implementation did not specify the frequency of management reports. · Procedures and their implementation did not clarify the content of the management report at a higher level.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 18
Breach of regulatory requirement:	Regulation 17(5)
Finding:	General Non-compliance
Finding details:	· Procedures and their implementation did not prompt the review of the effectiveness of Internal Audit and Continuous Improvement processes. · Procedures and their implementation did not prompt the review of the effectiveness of employee and contractor engagement with the Quality Assurance System · Procedures and their implementation did not prompt the review of the effectiveness of employee and contractor engagement with the Continuous Improvement System. · Procedures did not address the requirement to consider the effectiveness of the Conflict of Interest System. · Procedures and their implementation did not prompt the BCA to consider the effectiveness of the BCA’s communication with respect to the Quality Assurance System. · Procedures and their implementation did not prompt the BCA to review the effectiveness of the BCA’s processes for making changes to the Quality Assurance System.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 20
Breach of regulatory requirement:	Regulation 17(2)(h)
Finding:	General Non-compliance
Finding details:	· Procedures (Internal Audit Schedule) and their implementation did not address the requirement to internally audit all Building Control Functions and their supporting regulations in every 12 month period. Specifically, the BCA was not auditing all non-technical functions.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

RECORD OF NON-COMPLIANCE

Non-compliance number:	GNC 21
Breach of regulatory requirement:	Regulation 18
Finding:	General Non-compliance
Finding details:	· Procedures did not address requirements to hold a qualification as there were four exemptions to the requirement to achieve qualifications that were not described in the MBIE Guidance. Specifically: · A new employee within 36 months of employment · Due to the health of an employee · Due to the personal circumstances of an employee · The employee being a Building Technician processing Solid Fuel Heaters.
BCA Actions required:	Please analyse the cause of the above finding and then develop and implement an action plan to address the finding. Please provide the action plan to IANZ for acceptance, along with details of the records of the evidence that will be supplied to address the non-compliance, by the date indicated below (Plan of action from BCA). Once the action plan has been accepted and implemented please provide complete evidence to demonstrate that the findings have been addressed no later than the date indicated below (Evidence of implementation from BCA).
IMPORTANT DATES
Non-compliance to be cleared by:	27/03/2020
	Due by:	Accepted by IANZ:
Plan of action from BCA:	27/01/2020
Evidence of implementation from BCA:	13/03/2020
EVIDENCE
Plan of action: To be provided by BCA
Evidence of implementation: To be provided by BCA
Non-compliance cleared? Y/N
Signed:
Date:

SUMMARY OF RECOMMENDATIONS

Recommendations are intended to assist your BCA to maintain compliance with the Regulations. They are not conditions for accreditation but a failure to make changes may result in non-compliance with the Regulations in the future.

It is recommended that:

R1 The BCA ensure all Form 6’s include (where relevant) the statement that the Specified Systems (according to the installer) are capable of performing to the Performance Standards set out in the Consent.

R2 The BCA specify in procedures the requirement to issue CCCs within 20 working days of a Consent reaching 24 months where there had been no application for CCC.

R3 The BCA ensure the Competency Assessments of Site Inspectors include clear record of the competency of the Site Inspector to collate and prepare Form 7 (CCC). A discussion with the Competency Assessor clarified that the Assessor had reviewed this required competency.

R4 The BCA make as a clearer heading on the Training Plans “Outcome desired”

R5 The BCA make as a clearer heading on the Training Plans “Application shall be monitored by the following”.

R6 The BCA revise/shorten the defined period of time within which the BCA would take action in response to an audit finding. At present it could be up to 12 months.

SUMMARY TABLE OF NON-COMPLIANCE

The following table summarises the non-compliance identified with the accreditation requirements in your BCA’s accreditation assessment. Where a non-compliance has been identified, a Record of Non-compliance template has been prepared detailing the issue, and to enable you to detail your proposed corrective actions to IANZ. You must update and return a template for each non-compliance identified.

Regulatory requirement	Non-compliance (Serious / General)	Non-compliance identification number	Breach of regulation 5/6? (Enter Yes where applicable)						Resolved On-site? Yes/No	Date Non-compliance to be cleared by (DD/MM/YYYY) N/A where NC is resolved on-site	Date Non-compliance cleared (DD/MM/YYYY)	Number of		Brief comment (to get to the heart of the issue)
Regulatory requirement	Non-compliance (Serious / General)	Non-compliance identification number	5(a)	5(b)	5(c)	6(b)	6(c)	6(d)	Resolved On-site? Yes/No		Date Non-compliance cleared (DD/MM/YYYY)	Recommendations	Advisory notes	Brief comment (to get to the heart of the issue)

6(A)(1)
6(A)(2)
Regulation 7
7(1)
7(2)(a)	General	GNC 1	yes	yes					Yes					· Procedures (Public Information) was not sufficiently clear that Consent holders must apply for Code Compliance Certificate once work was complete. · Procedures (Public Information) did not reference the BCA’s Complaints process when discussing Code Compliance Certificates.
7(2)(b)
7(2)(c)
7(2)(d)(i)
7(2)(d)(ii)
7(2)(d)(iii)
7(2)(d)(iv)	General	GNC 2			Yes				No	27/03/2020				· Implementation was not effective where the BCA was not revising Specified Systems appropriately when considering s112. · Implementation was not effective when compiling and amending Compliance Schedules where required during processing. Specifically the BCA was not ensuring there were appropriate Specified Systems and Performance Standards.
7(2)(d)(v)	General	GNC 3	Yes	Yes	Yes				No	27/03/2020				· Procedures (Form 5) did not advise the Consent holder of the BCA’s entitlement to undertake site inspections under s 90 of the Act. · Implementation was not effective where the BCA was compiling a Compliance Schedule as a result of the building work. Specifically the BCA was not ensuring appropriate Specified Systems were recorded on the Form 5 or attachment. · Implementation was not effective where the BCA was compiling a Compliance Schedule as a result of the building work. Specifically the BCA was not ensuring appropriate Performance Standards were recorded on the Form 5 or attachment. · Similarly implementation was not effective where the BCA was compiling an amended Compliance Schedule as a result of an the building work. Specifically the BCA was not ensuring appropriate Specified Systems were recorded on the Form 5 or attachment. · Similarly implementation was not effective where the BCA was compiling an amended Compliance Schedule as a result of the building work. Specifically the BCA was not ensuring appropriate Performance Standards were recorded on the Form 5 or attachment.
7(2)(e)
7(2)(f)	General	GNC 4	Yes	Yes	Yes				No	27/03/2020		2		· Procedures did not discuss what happens if an application is complete. Code compliance certificates · Procedures did not discuss sufficiently address the requirement to refuse a CCC. · Implementation was not effective where the BCA was not ensuring Specified Systems on the Compliance Schedule with the Code Compliance Certificates where accurate according to those on the Form 5. 24 month CCC decision · Implementation was not effective where the BCA had 409 Consents in their system where there had been no application for CCC at 24 months and the BCA had not made a decision to issue not issue a CCC as required. Compliance with statutory timeframes. · Procedures did not discuss the requirement to issue CCC within 20 working days of application.
7(2)(g)
7(2)(h)	General	GNC 5	Yes	Yes	Yes				Yes					· Procedures (Public Information) did not address the requirement to ensure the BCA Complaints process was referenced in the section that discussed Code Compliance Certificates. · Implementation was not effective where the BCA was unable to differentiate (for review purposes) between complaints about Building Consent Authority as opposed to Territorial Authority functions.
Regulation 8
8(1)	General	GNC 6	Yes	Yes					No	27/03/2020			1	· Procedures did not specify that the BCA would review the work flow over the previous two years when projecting forward workflow. · Procedures did not prompt the review of availability of Technical Leadership and Specialist Technical expertise when projecting forward workflow. · Procedures did not prompt the BCA to review known internal and external factors when projecting forward workflow. · Procedures did not prompt the BCA to consider the different categories of work the BCA would perform when projecting forward workflow.
8(2)	General	GNC 7	Yes	Yes					No	27/03/2020				· Procedures did not prompt the recording of the availability of Technical Leadership and Specialist Technical expertise when projecting forward workflow.
Regulation 9
9
Regulation 10
10(1)
10(2)
10(3)(a)
10(3)(b)
10(3)(c)
10(3)(d)	General	GNC 8			Yes				No	27/03/2020		1		· Implementation was not effective where the BCA had not ensured the Competency Assessment records in one assessment did not provide evidence of Com 2 and Com 3 site inspections. Nor did the assessment include a technical discussion to demonstrate understanding of the significant features of Com 2 and Com 3 applications.
10(3)(e)
10(3)(f)
Regulation 11
11(1)
11(2)(a)
11(2)(b)	General	GNC 9	Yes	Yes					Yes			2		· Procedures (Training Plans) did not address the requirement to clearly record the identified Training Need.
11(2)(c)
11(2)(d)
11(2)(e)
11(2)(f)
11(2)(g)
Regulation 12
12(1)
12(2)(a)
12(2)(b)	General	GNC 10	Yes	Yes					Yes					· Procedures did not prompt the BCA to consider the scope of services and deliverables for different types of contracts. Resolved during assessment. · Procedures did not discuss the rules and criteria that may apply when considering a new contract. For example the Territorial Authority procurement policy.
12(2)(c)
12(2)(d)
12(2)(e)	General	GNC 11			Yes				No	27/03/2020				· Implementation was not effective where the BCA was not reviewing contractor performance against the defined standards in the contracts.
12(2)(f)
Regulation 13
13(a)	General	GNC 12			Yes				No	Within 5 working days	14/11/2019			· Implementation was not effective where the BCA did not have records to support one of the Technical Leaders.
13(b)
Regulation 14
14
Regulation 15
15(1)(a)
15(1)(b)	General	GNC 13	Yes	Yes					Yes					· Procedures did not address the requirement to clarify that the BCA was part of a larger organisation.
15(2)	General	GNC 14	Yes	Yes	Yes				No	27/03/2019				· Procedures and their implementation did not address the requirement to delegate Powers to perform s45A(3) and s95A functions.
Regulation 16
16(1)	General	GNC 15	Yes	Yes					Yes					· Procedures did not address the requirement to ensure records as specified in the MBIE Guidance were retained by the BCA.
16(2)(a)
16(2)(b)
16(2)(c)
Regulation 17
17(1)
17(2)(a)
17(2)(b)	General	GNC 16	Yes	Yes					No	27/03/2020				· Procedures (Quality Policy) did not specify a commitment to Continuous Improvement.
17(2)(c)
17(2)(d)	General	GNC 17	Yes	Yes	Yes				No	27/03/2020				· Procedures and their implementation did not prompt the BCA to undertake reporting against their Quality Policy Objectives. · Procedures and their implementation did not specify the frequency of management reports. · Procedures and their implementation did not clarify the content of the management report at a higher level.
17(2)(e)													2
17(2)(h)	General	GNC 20	Yes	Yes	Yes				No	27/03/2020		1		· Procedures (Internal Audit Schedule) and their implementation did not address the requirement to internally audit all Building Control Functions and their supporting regulations in every 12 month period. Specifically, the BCA was not auditing all non-technical functions.
17(2)(i)													1
17(2)(j)
17(3)
17(3A)
17(4)(a)	General	GNC 19	Yes	Yes					Yes					· Procedures 17(2)(d), 17(2)(h) and 17(5) did not require the BCA to communicate Quality Assurance matters as an outcome of any relevant finding from those reviews. · Procedure 17(2)(e) did not require the BCA to communicate Quality Assurance matters as an outcome of any relevant Continuous Improvement. ·
17(4)(b)
17(5)(a)	General	GNC 18	Yes	Yes	Yes				No	27/03/2020				· Procedures and their implementation did not prompt the review of the effectiveness of Internal Audit and Continuous Improvement processes. · Procedures and their implementation did not prompt the review of the effectiveness of employee and contractor engagement with the Quality Assurance System · Procedures and their implementation did not prompt the review of the effectiveness of employee and contractor engagement with the Continuous Improvement System. · Procedures did not address the requirement to consider the effectiveness of the Conflict of Interest System. · Procedures and their implementation did not prompt the BCA to consider the effectiveness of the BCA’s communication with respect to the Quality Assurance System. · Procedures and their implementation did not prompt the BCA to review the effectiveness of the BCA’s processes for making changes to the Quality Assurance System.
17(5)(b)
Regulation 18
18(1)(a)
18(1)(b)
18(1)(c)
18(3)(a)	General	GNC 21	Yes	Yes					No	27/03/2020				· Procedures did not address requirements as there were four exemptions to the requirement to achieve qualifications that were not described in the MBIE Guidance. Specifically: A new employee within 36 months of employment Due to the health of an employee Due to the personal circumstances of an employee The employee being a Building Technician processing Solid Fuel Heaters.
18(3)(b)

Hastings District Council

Lyndon Road East, Hastings