Construction Compliance Requirements

Performance hierarchy

The NCC is a performance-based code and has requirements for Class 2 to 9 Type C building projects. Its fundamental principle is to develop innovative solutions by regulating building outcomes instead of providing quantitative measures of compliance.
This fundamental principle is guided by what you call a 'performance hierarchy' or a hierarchy of guidance and code compliance levels, as seen in the figure below:

The Governing Requirements (also known as General Requirements of the NCC) are outlined in Section A of Volume One, Section 1 of Volume Two and Section A of Volume Three. These provide the rules and instructions for using and complying with the NCC, including the following: 

• interpretation of the NCC
• referenced documents such as Australian Standards
• acceptance of design and construction (such as evidence of suitability and other related documentation)
• classification of buildings.

The following short video introduces the NCC as a performance-based code and discusses compliance methods:
 

Relevant Performance Requirements

Building classifications determine the Performance Requirements that you must follow in any given project. Some of the Performance Requirements are only applicable to certain building classifications. Always check with the NCC or an Appropriate Authority if you are unsure which requirements you have to apply to your building. 

The Performance Requirements sit at the top of the compliance hierarchy. These are requirements that state the minimum level of performance for buildings, plumbing, and drainage installations. Performance Requirements are qualitative statements that describe the needs of building occupants. 

Structure

A building, during construction or use, must be able to sustain damage. At the same time, the structural system as a whole should remain stable. It must avoid causing damage to other properties.

A building must also be able to perform adequately against extreme or frequently repeated design actions.

Examples of design loads are as follows:

• Permanent actions: Often  referred to as deadload, a good example is a tiled roof, compared to a tin roof has a greater deadload on the building structure.
• Imposed actions (or loads arising from occupancy in use) refers to the stress the occupants may put onto the structure, through slamming doors for example.
• Actions from weather: Depending on the location of a dwelling weather needs to be considered in the structural design, a high wind or cyclonic environment will required addition structural requirements, as will a dwelling that is subjected to heavy snow.

More information regarding structural requirements can be found in NCC Volume One, Part B1 Structural provisions: BP1.1 Structural reliability.

The NCC states that structural behaviours should not cause any type of amenity loss. It defines structural behaviours as elements such as deflections, creep, settlement, and vibration. It expects that the building adheres to a specific set of performance attributes concerning structural reliability. For example, a building is expected to withstand extreme wind or rain effects but is not expected to withstand the impact of a crashing aeroplane. 

Fire protection

A building is required to have elements that will, to the degree necessary, maintain structural stability during a fire. Performance Requirements for fire resistance of buildings relate to the following: 

• structural stability during a fire
• spread of fire
• the spread of fire and smoke in health and residential care buildings
• safe conditions for evacuation
• the behaviour of concrete external walls in a fire
• fire protection of emergency and service equipment as well as openings and penetrations
• fire brigade access.

Access for people with a disability

A building must provide access for people with a disability. This will allow them to approach the building from road boundaries, accessible carparking spaces, and any accessible associated building. Additionally, carparking spaces should be designated and easy to find. A building must also allow people with a disability to access work and public spaces, accommodation and facilities for personal hygiene.

The AS1428 Suite specifies the design requirements for new building work, as required by the Building Code of Australia (BCA) and the Disability (Access to Premises – Buildings) Standards (Premises Standards), to provide access for people with disabilities. Particular attention is given to:

• continuous accessible paths of travel and circulation spaces for people who use wheelchairs
• access and facilities for people with ambulatory disabilities
• access for people with sensory disabilities (such as hearing or vision impairment). For example, tactile signs with raised lettering and/or braille must be displayed in commercial buildings to make the building accessible. Another example is stairs that create a unique challenge for the blind and visually impaired. It can help if the lip of each step is lined with brightly coloured paint or material. This helps the visually impaired determine where each step is located.

Here are some examples of tactile indicators:

There are a number of Standards within the AS1428 Suite that has been developed to ensure compliance in this area, these are as follows:

• AS 1428.1:2021: Design for access and mobility, Part 1: General requirements for access - New building work
• AS 1428.2-1992: Design for access and mobility, Part 2: Enhanced and additional requirements - Buildings and facilities
• AS 1428.2-1992 Rec:2015: Design for access and mobility - Enhanced and additional requirements - Buildings and facilities
• AS 1428.4.2:2018: Design for access and mobility, Part 4.2: Means to assist the orientation of people with vision impairment - Wayfinding signs
• AS 1428.5-2010: Design for access and mobility, Part 5: Communication for people who are deaf or hearing impaired
• AS 1428.5-2010 Rec:2016: Design for access and mobility - Part 5: Communication for people who are deaf or hearing impaired
• AS/NZS 1428.4.1:2009: Design for access and mobility, Part 4.1: Means to assist the orientation of people with vision impairment - Tactile ground surface indicators
• AS/NZS 1428.4.1:2009 AMDT 1: Design for access and mobility, Part 4.1: Means to assist the orientation of people with vision impairment - Tactile ground surface
• AS/NZS 1428.4.1:2009 AMDT 2: Design for access and mobility - Means to assist the orientation of people with vision impairment - Tactile ground surface indicators.

Services and equipment

Fire-fighting equipment

A building must have fire-fighting equipment such as: 

• fire hose reels
• fire extinguishers
• fire hydrants
• automatic fire suppression systems
• fire control centres.

Fire-fighting equipment must also be present even in buildings that are still undergoing construction. Equipment requirements are provided in the next topic. Part E1 of the NCC Volume One specifies the requirements for firefighting equipment within buildings.

Smoke hazard management

A building must have systems for smoke hazard management, such as automatic warning in case occupants are sleeping and safe evacuation routes. These should provide enough time to evacuate. Part E2 of the NCC Volume One specifies the requirements around having smoke management systems within buildings.

Lift installations

Emergency lifts must be installed in:

• a building with an effective height of more than 25m; and 
• a Class 9a building in which patient care areas do not directly access a road or open space. 

The emergency lifts must have stretcher facilities. Signs or other means of emergency alerts must be provided to alert occupants about the use of these lifts during an emergency. 

A passenger lift is required for people with a disability if a building is required to be accessible. 

Health and amenity

Damp and weatherproofing

A building must be able to manage rainwater impact on the building and adjoining properties. A rainwater draining system must be provided for the disposal of surface water from a storm. 

The roof and external wall (including openings around windows and doors) must prevent water penetration. A building must also prevent damage from rising damp (moisture from the ground) and overflows from wet areas such as the bathroom, laundry facility or the like.

Sanitary and other facilities

Sanitary and other facilities include personal hygiene facilities, laundry facilities and kitchen facilities. Laundering facilities must have suitable means for the disposal of wastewater. Kitchen facilities must provide means for washing, cooking and preparing food and the sanitary disposal of wastewater. Requirements for laundry and kitchen facilities apply only to the following:

• a Class 2 building or Class 4 part of a building
• a Class 9a healthcare building
• a Class 9b early childhood centre
• a Class 9c building.

For a Class 9a or 9c building containing wards or bedrooms, suitable means of disposal of contaminated water from containers must be provided. 

There must also be systems to control the accumulation of harmful levels of microorganisms in hot water, warm water, and cooling water systems (not applicable to sole-occupancy units).

Ancillary provisions

Ancillary provisions refer to ancillary building structures and components which are not part of the primary purpose of a building but provide the necessary support.

Minor structures and components

Swimming pools must have a:

• drainage that is adequate and does not affect other property or cause illness;
• water recirculation system that incorporates safety measures to avoid injury to a person; and
• barrier with particular consideration to the safety of young children.

Any refrigerated or cooling chamber that is big enough for a person to enter must have a door that can be opened from the inside without a key. It must have adequate dimensions to allow occupants to escape readily. There must also be a means of communication to alert other occupants if there is an emergency.

Vaults that are big enough for a person to enter must have an external indicator that the room is occupied. Vaults must also have internal lighting that can only be controlled from within the room.

Outdoor play spaces in early childhood centres must have barriers that children cannot go through, over or under. 

Energy efficiency 

Energy efficiency refers to the reduction of energy use and consequent greenhouse gas emission reductions. In recent decades, the BCA introduced energy efficiency provisions for housing. It expanded from housing into other building classifications later.  

Buildings need to obtain their energy from low greenhouse intensity sources, onsite renewable sources, or other processes, such as reclaimed energy. A building must also utilise energy efficiently, maintaining levels of thermal performance to comply with energy efficiency requirements. 

Below ground construction methods

The construction of underground structures or below ground structures takes into consideration several factors. This includes soil type and profile, groundwater, construction phase, design requirements and siting. 

There are various methods used when building below ground structures, these include:

• Cut and cover method
• Wall-cover construction method
• Conventional underground tunnelling
• Machine driving
• Open cut methods
• Underground driving methods
• Immersed tube method
• Box jacking

Each method uses slightly different techniques to reduce the amount of ground water that can come into the area during construction as well as ensuring ground water is not able to penetrate the construction when finished. 

The type of ground will also impact the type of below ground construction methods used and have a significant impact on the structural integrity of the structure being built. For example, unstable soil may require more reinforcement and concrete to ensure the structure is structurally sound and meets relevant safety requirements when compared to a structure built in solid ground.

Building material characteristics and limitations

You will find that the different types of building materials will have characteristics, properties, and limitations. The table below will outline examples of building materials that you will encounter and their properties and limitations: 

Component	Characteristic	Property	Limitation
Brick wall	Colour depends on a variety of factors such as type of clay used, firing temperatures, and additives used Made of bricks that are generally rectangular in shape	Good thermal regulation Durable	More expensive than some other options Slower process to install
Brick veneer (or masonry veneer)3	Brick veneer is a wall construction method where the outside face of the wall is brick and the internal is stud frame in either steel or wood	Generally, it is less expensive than double brick The lightweight wall reduces the cost of the structural foundation requirements It is easy to make alterations and renovations to internal walls It is easy to add insulation between the veneer and frame	Doesn’t provide the best level of thermal transmission If the frame is made of timber, there is a higher chance of termite attack It can be noisy
Plasterboard	Made of calcium sulphate dihydrate (gypsum)	Provide insulation	Less resistant to flooding Prone to cracks
Timber frames	Made up of larger beams	Low thermal mass Energy efficient	Sound transmission issues Rots easily
Thermal mass and wall insulation4	in regulating the temperature of your house - or maintaining its 'thermal comfort'. Some materials, such as stone, concrete, earth and brick are all wall-building materials which have a high thermal mass.	Absorbs and stores thermal energy The right kind of wall insulation will not only help to regulate temperature and keep the inside of your house dry but may even have the added bonus of soundproofing.	Thermal mass often needs to be used in conjunction with insulation and passive heating and cooling for it to work well. The wrong type of insulation can work against you by blocking heat when you want to retain it and vice-versa.
Concrete roof tiles5	Concrete tiles are an alternative to terracotta tiles, and are similar in many respects to their terracotta counterparts. They can be made from a mixture of sand, cement and water, and they can either be painted or have colour mixed through before they are cast into their tile shape for a longer lasting finish.	Come in a variety of shapes (or profiles) which can be used to create visually appealing patterns. Concrete tiles have a greater thermal mass, and will therefore store more heat during the day, to be released during the evening. Concrete tiles also offer excellent insulative properties and do a good job of keeping heat and noise under control.	Concrete tiles can also be heavy, however, meaning the load bearing capacity of the supporting walls and foundations may need to be greater for a concrete tile roof. Painted finishes may degrade over time.

Behaviour of structures under stress

When conducting a structural analysis of a building, you can determine the effects of loads on structures and their components. Building structures generally have withstood forces such as stress, strain, compression, bending, and combinations of these forces.

For example, timber exposed to elements such as water, floods, or rain can cause the timber to rot. Moisture can cause a lot of issues in building materials. Australian Standards and other documentation will contain provisions and requirements on ensuring that buildings remain water-resistant and can withstand elements such as physical stress, compression, and exposure.  

An example of these forces is provided in the following example of a ceiling structure:

1. Hanging beam
2. Strutting beam
3. Ceiling joists

A downwards force is applied to the hanging beam due to it holding the weight of the ceiling battens. An upwards force is applied by the walls, pushing (or holding) the beam up. The combination of the upwards force at the ends and downwards force in the centre results in a combined bending force.

As the beam bends, the top section of the beam experiences compressive forces and the lower section will be "stretched" as it experiences a tensile force.

The amount the beam bends depends on the material it is made out of and the size of the beam. If a beam has a larger cross section, then the force is spread across a larger area. Stress is a measure of the force per unit area, and different materials have different stress limits. Using a beam with a larger cross section will reduce the stress so it can withstand a larger force.

As an example, to make the beam that can withstand a large force, increase its cross-sectional area or make it out of a stronger material.

Further forces are applied to the stud wall known as a compression force, which is essentially the weight of the ceiling and hanging beam putting downwards pressure on the wall studs. Again, to withstand a heavier ceiling, a larger stud beam could be used. Alternatively, spreading the force over two stud beams would half the stress.

When a force is applied to any object, the object will change size. If the force is a tensile force, the object will stretch slightly. The amount the object stretches (or compresses if a compression force) divided by the original length is called ‘strain’.

Another example is the existence of skyscrapers and high-rise buildings as they are exposed to a variety of elements and factors, and this gives builders a unique challenge to overcome. This is where the study of compression strength vs. tensile strength comes in, because it allows architects and engineers answer the question: how can we build a really tall building that bends rather than breaks? To answer that questions, engineers need to take a look at the tensile strength of specific materials, and this study has allowed engineers to innovate tools (such as stainless steel girders and concrete reinforcing mesh panels) and processes (such as alloy design and cold rolling) that allow us to build higher without sacrificing the stability of a building. 

Compressive strength is the enemy of load-bearing pillars, which is why engineers need to pay attention to how much compressive strength a material possesses in order to choose the right one for a particular part. The wrong material with the wrong compressive strength placed in the wrong location might buckle under compressive stress, which can lead to a collapse.

Tensile strength, on the other hand, refers to the physical property of different building materials and how they can withstand tension (i.e. how a material resists being elongated and/or stretched). Tension strength defines how well a building material (like concrete or alloys) and a part of a building (like exterior walls and elevator shafts) behaves when external forces such as wind and gravity act on it.

Every skyscraper and high-rise are subject to both external forces (like gale winds at higher floors, damage from weather conditions, etc.) and internal forces (like damage from occupants, miscalculations in construction, and the sheer weight of the building and how it acts on the foundations) that ultimately affect the longevity and durability of a particular structure.

To make sure that structures stand the test of time, gravity, and normal wear-and-tear, engineers will choose materials with high-tensile strength. In general, metals such as steel, rebar, and other types of polymers and alloys have the best tensile strength vs. compression strength, although they are much more expensive and relatively harder to source.

Meanwhile, concrete is much cheaper and easier to source, and while it has pretty high compression strength, its tensile strength is not the best. Concrete is very much brittle, which means that, while it's great for low-rise buildings because it doesn’t encounter high winds, it doesn’t stand well against the wind currents on higher floors. Without reinforcement, the concrete would break and shatter when it goes up against strong winds.

To make up for this, engineers use a variety of reinforcement techniques, such as melding steel bars onto to the concrete to give it more tensile strength, or installing counterweights inside the building to give it more balance and stability during high winds. Combined, this allows tall buildings to “sway” when it’s hit with gale winds rather than bending and then breaking altogether.

Of course, if engineers are to reinforce a building, they need to take into account which metals will bond with concrete, be resistant to corrosion such as mild acid, be rust-resistant, and be able to tolerate temperature shifts at higher levels. Reinforcements should also take into account the compression and expansion of concrete when it encounters temperature changes.⁶

This short video explains how physical loads can affect buildings:

Waterproofing

Before commencing construction, a site evaluation must be conducted for a geological assessment and to determine the soil types. This will identify gases and contaminants underground. The evaluation must also look at the water table and its location relative to the building structure. 

When conducting measures concerning waterproofing, it is important to consider the following points:

• Geological assessments
• Soil investigations
• Ground drainage characteristics.

Water ingress

Water ingress refers to the process of outside water seeping into a building. Management of this issue can include the correct selection of concrete mixtures and building resources to prevent water from penetrating the building. 

Structural sufficiency 

Structural sufficiency refers to the standards applicable to the structural integrity of a building. This is specified in the NCC and other codes of practice.

Criteria

There are three different ways to achieve compliance with the NCC Performance Requirements. Each method has its uses and may not always be the most suitable option. Before discussing each type of method in detail, it is important to know what methods exist. There is a performance solution, a deemed-to-satisfy solution and a solution with a combination of both. 

1. A Performance Solution is one of the choices to achieve compliance with the Performance Requirements of the NCC. This is a tailored solution for a given project situation. This solution is flexible in achieving the outcomes and encourages the use of innovation in design and technology.  
2. A Deemed-to-Satisfy (DTS) Solution (also known as a Prescriptive Solution) is a standard way to demonstrate compliance with the Performance Requirements. However, there are times when a DTS Solution to a given problem does not exist or does not apply to certain building designs or situations. Sometimes, a unique or site-specific solution is preferred or necessary. In these instances, a Performance Solution may be developed and used.
3. A DTS Solution is achieved if you follow all relevant DTS Provisions in the NCC. DTS Provisions tell you what, when, and how to do something to meet the Performance Requirements. These include the materials, components, design factors, and construction methods needed to meet the Performance Requirements. 

A Performance Solution is said to have achieved compliance with the NCC if it has complied with all relevant Performance Requirements or demonstrated that it is at least equivalent to DTS provisions.

The use of Performance Solution as a compliance method permits the following:

• flexibility in the design regarding the use of alternative materials and forms of construction or design to meet the DTS Provisions;
• innovation in the use of materials, forms of construction, or design; and
• development of own solutions in response to unique design challenges.

It must also have been assessed according to the relevant Assessment Methods. These are the following:

• Evidence of suitability
• Expert judgement
• Verification methods
• Comparison with Deemed-to-Satisfy Provisions.

To achieve compliance with the NCC, you must comply with the governing requirements and Performance Requirements. 

The Governing Requirements (also known as General Requirements of the NCC) are outlined in Section A of Volume One, Section 1 of Volume Two and Section A of Volume Three. They are also discussed in an earlier section of this topic. 

The NCC gives you a choice on compliance options (also known as compliance solutions) to satisfy the minimum technical requirements for building works set in the Performance Requirements. 

The table below explores each compliance option's definition and the appropriate Assessment Methods to confirm its compliance with the NCC:

Compliance Option	Definition
Performance Solution (known as Alternative Solutions in earlier editions of the Building Code of Australia)	This is a tailored solution for a given project situation. This solution is flexible in achieving the outcomes and encourages the use of innovation in design and technology. Performance Solutions are assessed by one or more of the following Assessment Methods: Evidence of suitability Expert judgement Verification methods Comparison with Deemed-to-Satisfy Provisions
Deemed-to-Satisfy (DTS) Solution (also known as Prescriptive Solution)	A DTS Solution is achieved if you follow all relevant DTS Provisions in the NCC. DTS Provisions tell you what, when, and how to do something to meet the Performance Requirements. These include the materials, components, design factors, and construction methods needed to meet the Performance Requirements. A DTS Solution is assessed using one or both of the following: Evidence of suitability Expert judgement
Combination of Performance Solution and DTS Solution	A combination of the two solutions can be used when satisfying a single Performance Requirement. This is possible when Performance Requirements cover several elements within a building. The Assessment Method to be used depends on which compliance option was applied.

Different Assessment Methods can be used to determine whether a DTS Solution or a Performance Solution achieves the relevant Performance Requirements. These are discussed in the table below.

Assessment Method	Definition
Evidence of suitability	This is also known as 'documentary evidence.' This entails showing evidence that the use of material, plumbing, and drainage product or construction or design meets the Performance Requirements or a DTS Provision. It consists of one or a combination of the following: a CodeMark Australia or CodeMark Certificate of Conformity for Volumes One and Two of NCC (for Volume Three, a WaterMark licence is used instead) a Certificate of Accreditation or a Certificate of Conformity a current certificate issued by a certification body (apart from the two mentioned above) accredited by the Joint Accreditation System of Australia and New Zealand (JAS-ANZ) a report issued by an Accredited Testing Laboratory or a Registered Testing Authority a report or certification from a professional engineer or another appropriately qualified person other documents adequately showing suitability, such as but not limited to Product Technical Statements and detailed manufacturer's specifications Any documentary evidence submitted must be a complete copy of the original certificate, report, or document. IMPORTANT TO NOTE: The evidence of suitability varies slightly in each volume of the NCC. You must refer to the relevant volume for clarifications as to what is required.
Verification methods	Commonly, Verification Methods include quantifiable or predetermined acceptable criteria that the given compliance option must achieve. There are different forms of Verification Methods, including: Tests – verifies that a product or system reaches the required performance level using a technical procedure. It can be conducted either onsite or in a laboratory. Inspections (or inspection reports) – typically a visual examination conducted by appropriately qualified persons to confirm that a specific component is constructed or installed according to the Performance Requirements. Calculations – include analytical methods or mathematical methods. The methods to be used are not limited to those listed in the NCC. Other methods, such as overseas codes or standards (e.g. ISO Standards), can also be used as long as an Appropriate Authority approves them.
Expert judgement	An expert can either be a person or an organisation with the necessary skills and experience to make a judgement concerning NCC compliance. The legal definition of an expert varies per State and Territories. In cases where you are unsure who qualifies as an expert, you must consult with an Appropriate Authority. The Appropriate Authority may refer to the following questions in deciding if a person or organisation can be recognised as an expert: Does the person or organisation have current and relevant qualifications and experience? Does the person or organisation have the experience that is appropriate to the given situation? Does the person or organisation have the appropriate level of expertise consistent with the degree of complexity needed for the project? Expert judgement documentation varies in complexity. It can range from a simple email explanation to a fully developed technical paper.
Comparison with DTS Provisions	This method applies to Performance Solutions. It involves doing a comparative analysis to determine whether Performance Solutions provide the superior or same level of health, safety, amenity, or sustainability as using the DTS provisions. A defined benchmark must be provided to the building surveyor. This is done by subjecting both the DTS Solution and Performance Solution to the same level of analysis using the same methodology.

All Assessment Methods must be documented to demonstrate that a compliance option complies with the relevant DTS Provision or Performance Requirement. You will need additional documentation, depending on the Assessment Method used. However, at the minimum, the documentation should show the following:

• the process of the Assessment Method used
• evidence that the option complies with the relevant DTS Provision or Performance Requirement

An Appropriate Authority's responsibility is to determine what level of detail is required when documenting Assessment Methods.

Compliance monitoring

The Australian Building and Construction Commission (ABCC) is responsible for promoting understanding and enforcing compliance within Australia's building and construction industry. 

Compliance checking is done by Australian Building and Construction (ABC) inspectors. They make enquiries and obtain evidence by using their powers to do the following:

• enter premises
• inspect and create copies of any relevant record or document found on the premises or a computer on the premises
• interview any person
• require, with prior notice, inspection of records or documents.

You must ensure that ABC Inspectors are not hindered or obstructed in performing their tasks. 

ABC Inspectors monitor your compliance by conducting desktop audits, field audits, and site inspections. The table below explains how each one is conducted.

Type of Compliance Monitoring	Description
Desktop audits	Conducted when documentary evidence is sufficient to assess compliance. Desktop audits are done in response to an NCC report or notification. Compliance with a specific NCC requirement is done by requesting documents from any of the following: a code-covered entity – an entity that has submitted an expression of interest (EOI) or tender for Commonwealth-funded building work on or after 2 December 2016 funding entities – either a corporate or non-corporate Commonwealth entity  When subjected to a desktop audit, you will be given 14 to 21 business days to produce the requested documents. You may also be asked to discuss or provide further documentation, as necessary.
Field audits	Field audits check compliance with the NCC using a combination of: documentary evidence observations onsite interviews with relevant witnesses These are undertaken: in response to an NCC report or notification; following a site inspection; to check compliance with voluntary rectification measures; and where documentary evidence alone does not suffice to determine compliance. Typically, an ABC inspector will contact you a week before conducting the field audit. They will walk you through the audit process and schedule a date and time for the visit. They may also contact relevant parties to discuss onsite practices pertinent to the audit process.
Site inspections	Unlike field audits, site inspections are conducted without prior notice from the ABC inspector. Similar to field audits, the ABC inspector conducts the following to check for compliance: review documentation conduct a site walk interview relevant people onsite If previous compliance activities have already been conducted, the implementation of rectification measures will also be checked.

Once the reports from the field audits, desktop audits, and site inspections have been analysed, the ABCC will then assess if there has been any breach in NCC compliance. You will be notified of any breaches. If appropriate, you will also be allowed to rectify the matter voluntarily. However, note that not all breaches can be satisfactorily rectified.

All building work in Australia must comply with the NCC, no matter how complex or extensive the project may be. This is to make sure that buildings remain safe and durable. However, there are times when non-compliance happens for several reasons, such as the use of non-conforming or non-complying building products. These products are defined as such: 

• Non-conforming building products (NCBPs) are building products that do not meet the required standards or are not fit for their intended use. NCBPs contain false or misleading claims with the intent to deceive those that intend to use them. An example would be labelling or marketing a combustible building product as non-combustible.
• Non-compliant products (NCP) are products used in situations where they do not comply with the NCC requirements, other relevant laws or Australian Standards. An example would be using a combustible building product in a situation where a non-combustible product is required.

To make it simple, NCBPs are inferior products, whereas NCPs are products that are incorrectly used. A product can be both non-conforming and non-compliant. 

Non-compliance can cause a lot of issues for your building project. One issue is related to the quality of your project. Failure to use suitable building products can lead to building defects and affects the durability of your building.

Another non-compliance issue is related to the safety of the occupants. The NCC requirements are put in place to protect the occupants of the buildings you construct. As such, non-compliance can endanger building occupants, occupants of adjoining buildings, and even passers-by. In the worst-case scenario, it can cause injury or even death. 

NCC non-compliance penalties differ depending on the severity of the case and the state or territory legislation. Formal warnings may be issued for minor non-compliance, and more significant non-compliance may result in prosecution and substantial fines.

Perhaps the greatest example of a non-compliance in recent times is the external cladding that has been used in various high-rise buildings throughout Australia. The Lacrosse Building that caught fire in 2014 in Melbourne highlighted the issue in relation to combustible cladding which has now affected buildings across Australia, the article Is Australia headed for a cladding crisis goes into deeper explanation. 
In summary, a non-compliant building product was used in a way that doesn’t comply with the NCC’s requirements. This action now presents a risk for the entire structure that will become very expensive to resolve.

Remedial work for non-compliant buildings

Non-compliance does not always mean that an existing building is already unsuitable for its original purpose or that building elements are already unusable. Technical requirements change over time to make way for changes in the building and construction industry.

Sometimes, these changes result in less conservative requirements. Subsequently, existing buildings and elements can surpass current requirements. 
To determine whether an existing building complies with the current requirements and whether there is a need for remedial work to address any identified deficiencies, you may follow the steps outlined below: 

Step 1: Discover documentation relating to the existing building

Finding relevant documentation about the original characteristics of an existing building must be done to understand the extent of work that you may have to do.

Examples of relevant documentation include:

• building approval records
• architectural design plans and working drawing
• structural design plans
• building services plans
• construction specifications
• building maintenance records
• heritage listings
• planning controls and records

These documents can be sourced from the following:

• building's owner
• building designer

relevant Appropriate Authority and local government authority (note that documentation from these sources is often limited)

Step 2: Site inspections and building characteristics

The building characteristics are features and qualities that are distinct from the physical structure of the building. The characteristics are not to be confused with a building's limited capabilities or restrictions.

Even if you already have complete documentation, you must not assume that this will match the actual characteristics of the existing building. Hence, you must still conduct onsite inspections to confirm.

When conducting onsite inspections, take note of the characteristics of the building connected to the current requirements. For example, if the current fire safety requirements have changed, the fire safety elements in your building should be documented.

There are various ways to go about doing this. In some cases, a simple visual inspection will suffice. For instance, you can easily see if the correct type of fire detector has been installed.

Other times, you may have to deconstruct and dismantle certain parts of the building to see the characteristics of the elements. This is necessary when you must determine the extent of insulation in ceiling spaces or inspect pipes underground. In doing these kinds of activities, always get the consent of the building owner or representative first. 

The inspection results must be appropriately documented in the form of written documents and/or photographs. 

Step 3: Identify potential deficiencies

Using the documentation from the previous step, determine whether the level of performance of the characteristics of an existing building complies with current Performance Requirements. If the level does not comply, then this will be identified as a 'potential deficiency.'

In this step, it is also essential to identify the existing building's inherent strengths. You will need to determine whether these strengths are enough to compensate for the inherent weaknesses of the building. If not, then this weakness will be identified as a 'potential deficiency.' 

To understand this better, consider a building with a lower level of passive fire protection (inherent weakness) but a higher level of active fire protection (inherent strength). After an assessment, you determined that the higher level of active fire protection compensated for the lower level of passive fire protection. This compensation means the building meets the requirements for fire safety. Since this is the case, the lower level of passive fire protection will not be considered a potential deficiency. 

By the end of this step, you must have documentation of the comparison between the expected performance of the existing building and the current Performance Requirements. The documentation should also include any identified potential deficiencies. 

If you were able to confirm that all the characteristics comply with the relevant Performance Requirements, then there is no longer a need for any further analysis. However, if you found potential deficiencies, then you must proceed to the supplementary process outlined in Step 4. 

Step 4: Evaluate potential deficiencies

This step aims to assess whether potential deficiencies can be considered actual deficiencies. To do this, apply the appropriate Assessment Methods that will be explored later in this topic.

Before starting with the assessment, you must first specify the goals of upgrading an existing building because this would determine the extent of remedial work that you have to do. Some examples of goals are: 

• to comply with an Order issued by a regulatory authority
• to voluntarily upgrade a building to comply with the NCC
• to ensure the safety of building occupants

Step 5: Alleviate actual deficiencies

Following the identification of actual deficiencies in Step 4, appropriate counter measures must be applied. You may choose among the compliance solutions in the NCC; in choosing the appropriate compliance solution, consider other relevant legislation that you need to follow.

Once you have documented and determined the non-conforming construction methods and deficiencies, it is important to discuss them with design and building and construction professionals. These include a wide range of cohorts, and these details will be discussed in the next section.

Stakeholders

Stakeholders are individuals who:

• are actively involved with the work of the project; or
• have something to gain or lose (either directly or indirectly and short-term or long-term) from the project. 

Not all stakeholders have the ability to affect the decisions of the project directly. Therefore, it is crucial that you correctly identify the key stakeholders who can influence the project and to what extent. These are the people you have to work and discuss options with primarily. Key stakeholders can be classified as either internal or external.

Internal stakeholders include:

• top management
• project team members
• project team manager
• clients

On the other hand, external stakeholders include: 

• the appropriate authority
• government authorities
• outsourced project team members such as contractors, subcontractors, and subject matter experts (SMEs)
• suppliers

Top management

Choices on budget, specifications, suppliers, and approach to solutions heavily depend on the overall priorities and strategies of the organisation set by the top management.

Top management refers to the president, vice-president, directors, divisions, executive board members, and other such individuals. They direct the strategy and development of an organisation. They are responsible for approving in-depth plans and major milestones during the project's planning and design phases. 

It may not be necessary to report every minor detail of the compliance option development to them. You will have to coordinate procuring the required information and how often you need to report. At the very least, they must be kept informed of project risks, potential impacts, and major decisions at all times.

Effective communication with top management is the key to obtaining their support. This will expand your options and make it easier to hire better staff and obtain more resources for your project.

The project team

The project team is composed of individuals dedicated to working on the project, including those that are 'borrowed' on a part-time basis (for example, individuals working on another project at the time). The team includes, but are not limited to, the following:

• architects
• engineers
• design specialists
• building design professionals
• trade practitioners.

The team mostly has the technical knowledge and expertise. Their input will be required on cost, buildability, health and safety, and other technical aspects of the project. They will help assess options and determine which ones may have to be eliminated to make way for the optimal one.  

Project manager

The project manager is responsible for leading the project team and ensuring that they are equipped with the necessary resources to complete the project. They are responsible for guiding the discussions within the project team and handling any disputes and disagreements. 

Clients

Clients are the individuals, companies, or government entities who commissioned the building project. They hold the power to accept or reject your chosen solution. They also affect crucial decisions of the project, such as specifications, deadlines, and budgets. As such, you must always address their concerns and issues and keep them informed of any development. When considering options for the project, their preferences and needs must always be taken into consideration. 

Appropriate authority

You need to familiarise yourself with all the relevant requirements. You may engage the appropriate authority for expert advice on compliance issues and identify if a project can meet the NCC Performance Requirements.
If they deem that your proposed option (or parts of it) is non-compliant, you will have to either make the necessary changes or entirely consider other options. This can potentially have significant impacts on your deadlines and budget.  
However, note that the appropriate authority can only provide advice. They cannot personally be engaged in developing compliance options to avoid possible conflicts of interest. 

Government authorities

Government authorities are responsible for regulating the building and construction industry. They promote and enforce relevant building codes and standards and investigate alleged non-compliance. Generally, they are the ones who handle the permits and licences that you have to obtain before you can begin construction.

The government authorities you are expected to coordinate with include the following: 

• state and territory planning and design authorities
• federal government agencies related to planning, environment, and safety such as the Australian Building Codes Board and the Department of Industry, Innovation and Science
• appropriate approval authority including building surveyors

Aside from the ones mentioned, there may also be other state or territory government authorities you have to consider. 

Outsourced project team members

In some cases, expertise and resources are unavailable internally. Hence, work is given to individuals outside of the construction firm. This includes, but are not limited to, the following:

• construction management foremen
• network consultants
• electricians
• carpenters
• architects 
• subject matter experts (SMEs)
• contractors
• subcontractors
• anyone who is not an employee of the construction firm.

Outsourced members can supplement the needs and skills of the project team. They can expand your options as new perspectives and knowledge are exchanged. 

Suppliers

Construction projects also depend on suppliers for construction materials such as timber, nails, bricks and mortar. In the planning phase of developing compliance options, the role of suppliers is mainly limited to providing price quotations. These quotations can significantly affect your choices, but they are not the only thing you have to think about. There is also a wide range of factors that you must consider, including quality, reliability, service, and suitability to the client's needs. You must avoid dealing with suppliers that provide non-conforming and non-compliant building products because this can lead to safety issues within your project. Choosing the right suppliers must be done strategically to ensure the success of the project.

Communication methods

Identifying and understanding the different means of communication available to you is vital in developing strategies to engage with design, building, and construction professionals. The means of communication that you choose must be suitable for the information that you wish to convey.

Emails

• Electronic means of communication that tend to be more formal
• Optimal for sending files and detailed information

Face-to-face verbal communication

• Includes delivery of instructions from one person to another, discussions during meetings and face-to-face negotiations.
• During informal discussion, it is common for both parties to make notes to remember the points discussed or actions that are required.
• During important meetings or discussions formal records of the discussion may be required, these are referred to as minutes of a meeting. 

Video conference

• Includes discussions made over video-calling software and smartphone applications
• Typically used when it is not possible to have face-to-face verbal communication due to distance and other logistical reasons

Two-way radio

• Also called walkie-talkies
• Effective for monitoring large project sites or multi-level building projects

Telephone contacts

• Refer to discussions made over the telephone
• Similar to video conference, this is typically used when you need to communicate with people in another location

Choosing a compliance option

Performance Solutions and DTS Solutions each have their own advantages and disadvantages depending on the situation they would be applied to. To come up with performance solutions to apply to your project, you have to consider several factors. 

Cost of development

Performance Solutions need more resources to develop compared to DTS Solutions. This is because Performance Solutions, especially novel ones, usually require further testing and research. This translates to additional costs, which can make the development of Performance Solutions expensive. 

In deciding whether the development of Performance Solutions is worth investing in, consider both the long-term and short-term outcomes. Calculate if the savings you would get from the efficiency of Performance Solutions can offset the development costs. If this is the case, Performance Solutions may be worth considering for your project. 

Risks and consequences

In assessing the risks and consequences of your options, consider the following:

• characteristics of the occupants that would be affected — due consideration must be given to younger occupants, older occupants, and people with disabilities
• Fire Safety Engineering principles
• principles of accessible building design
• structural design principles of a building

If the risks or consequences of Performance Solutions' failure are greater, you may need to reconsider using a DTS Solution or adjust accordingly. 

Client requests

There are cases where using DTS Solutions cannot meet the client's expectations, which makes the use of Performance Solutions the better option. 

For example, there is a renovation of a school building in Queensland required to meet building requirements. The client requested that the renovation focus on improving the building's fire safety features because the building had a previous fire accident. 

DTS Provision states that it must be used for energy efficiency in the building. However, applying the DTS Solution to the building would compromise the client's goal to focus most of its resources on fire safety. 

Given this, a Performance Solution was designed. Construction materials that promote fire safety and energy efficiency are used to satisfy the NCC requirements on energy efficiency and meet the client's request simultaneously. 

Existing spatial limitations

Sometimes, you are constrained by the spatial limitations of your building. Consider the DTS Provision regarding the height of a habitable room (excluding the kitchen) which states that the height must not be less than 2.4 metres. You may not be able to comply with these for several reasons. You may be working on a heritage building with rooms lower than the height required, and trying to renovate may affect the building's integrity. Another reason is that the ceiling may have an irregular shape.

A Performance Solution may be more suitable than a DTS Solution in cases where it is difficult to overcome the existing spatial limitations within your building. 

Other considerations

Aside from the factors mentioned above, there are other considerations that you need to take note of when choosing the compliance option for your project. These include:

• relevant Commonwealth, State and Territory building legislation and Australian Standards
• Commonwealth anti-discrimination legislation
• construction methods and buildability factors
• heritage and environmental controls
• occupational health and safety (OHS/WHS) policies and procedures.

The process of applying the assessment methods described earlier involve a series of steps. The circumstances and situation will determine the type of assessment method to use. The following is a walk through each method and how to apply these in a given situation. 

Evidence of suitability method

To use this assessment method, the builder is required to make a list of all the certifications and building paperwork from the different bodies and testing authorities. The purpose of this is to provide evidence to support a proposed performance solution. Documentation may include the following: 

• A CodeMark Australia or CodeMark Certificate of Conformity
• A current Certificate of Accreditation
• A report from an Accredited Testing Laboratory
• A certificate from a professional engineer or other appropriately qualified person
• Any other form of documentary evidence that adequately demonstrates suitability.

Expert judgment method

Is the process of using expert judgement and will involve finding a qualified individual to determine if a job specification meets the NCC's Performance Requirements. Generally, builders will use this method if it is difficult to assess or conduct calculations on the building work. An expert may be an engineer or someone with a lot of experience in the field. A letter or certification from them outlining their opinion should be obtained for submission to the relevant authority.

Verification methods

The process of applying verification methods will involve conducting inspections, tests, and audits to ensure that a solution complies with NCC's Performance Requirements. The NCC prescribes where verification methods can be used, for example, 2.1 in the NCC Volume Two refers to weather proofing. Keeping accurate records is important when working through a verification method for later reference. 

Comparison method

The process of comparing DTS Provisions and proposed building work or solution involves the builder conducting an assessment that will satisfy the NCC's Performance Requirements. The builder may need to demonstrate that the alternative solution will meet each of the requirements and that the result would be similar to the DTS Provisions.

This type of assessment method can be applied by gathering reports from the appropriate bodies and testing authorities. Other evidence includes certificates of conformity and accreditation, as well as certificates issued by certification bodies.

CERTIFICATE OF CONFORMITY

A Certificate of Conformity is a certificate that states an item or product meets the relevant standard. An independent review must be conducted to issue that certificate; however, it is up to the State, Territory or relevant authority to accept these certificates as suitable evidence.

CODEMARK OR CODEMARK AUSTRALIA

Under the CodeMark or CodeMark Australia schemes, only certification bodies accredited by the Joint Accreditation System of Australia and New Zealand (JAS-ANZ) can issue Certificates of Conformity. 

The CodeMark and CodeMark Australia schemes provide a nationally accepted process for demonstrating compliance with the NCC. Using the following schemes helps to: 

• streamline and fast-track building approvals;
• support the use of new or innovative building products and systems; and 
• avoid having to repeat the assessment of products and systems with proven NCC compliance.

This is the most rigorous option for proving NCC compliance. It is usually used for materials or products that have high consequences for failure. 

CERTIFICATE OF ACCREDITATION

This certificate is issued by a state or territory accreditation authority under the relevant state or territory building legislation.

The Certificate of Accreditation contains the following:

• verification that the properties and performance of a building component can fulfil specific requirements of the NCC
• any conditions and limitations on the use of the building component

A building component is an individual element, subsystem or subassembly combined or mixed with other components to produce a more complex object.

If you already have a Certificate of Accreditation and want to use it in another jurisdiction, you must first get the Appropriate Authority’s approval.

CERTIFICATE ISSUED BY A CERTIFICATION BODY

The JAS-ANZ accredits certification bodies or conformity assessment bodies (CABs). CABs can issue certificates under an industry-operated building product certification scheme. 

The certificates should contain the following key details:

• issuance date of the certification
• duration of validity
• signature of the issuing body
• other relevant information. 

ACCREDITED TESTING LABORATORY REPORTS

An Accredited Testing Laboratory can issue a report certifying that a particular component has been proven suitable by an appropriate test. 

An Accredited Testing Laboratory can be any of the following:

• a testing laboratory accredited by the National Association of Testing Authorities (NATA)
• a laboratory accredited by an organisation with a mutual recognition agreement with NATA
• an organisation recognised as being an Accredited Testing Laboratory under legislation at the time the test was undertaken

PROFESSIONAL ENGINEER OR APPROPRIATELY QUALIFIED PERSON REPORTS

In this option, a certification from professionals and experts can be accepted as long as:

• it has a basis and can be subjected to scrutiny, and
• it references relevant standards, specifications, software, or other publications.

A professional engineer (PE) is an engineer accredited to practise engineering by a state board of registration. The PE licence is the highest level of competence for the engineering profession and marks accomplishment and quality assurance.

An appropriately qualified person is an individual who is able to verify the suitability of a building component for a given application through their experience, qualification, or both. Unless required by applicable law, this individual does not generally need to be licensed or registered by the state or territory authority.

Other Forms Of Documentary Evidence 

This documentation is the least rigorous option and often requires supplemental documentary evidence. Evidence under this option should:

• suitably describe the subject of the document;
• specify the conditions that the statement of verification relies on;
• describe any limitations to the statement of verification;
• refer to the construction and/or installation standards as necessary; and 
• include a reference to any standards, test reports, specifications or other publications used in suitability verification.

Before submitting this as evidence, it must first be approved by the Appropriate Authority as suitable for determining compliance. This is typically used when the consequences of failure are low. 

Effective implementation of the organisation’s Quality Management System (QMS) has numerous benefits to a building project, including:

• clarifying standards and requirements;
• minimising misunderstandings and potential conflict;
• satisfying the client's requirements and instilling confidence in the organisation;
• meeting the organisation’s requirements, including compliance with relevant regulations and provision of products and services in the most cost-effective and resource-efficient manner;
• lowering costs by reducing waste;
• minimising the potential for error; and
• defining, controlling, and improving processes.

All organisations should develop their QMS according to their needs and goals, but the one thing they have in common is that each must maintain documentation of their QMS. Proper documentation serves as the foundation of QMS. It ensures that processes are correctly understood and consistently executed to deliver quality products or services to your clients. Some of the functions that a QMS documentation serves include the following:

• communicating information to relevant people
• providing evidence of conformity
• allowing easy monitoring of processes
• sharing knowledge that can be referred to by others in the future

To guide parties interested in formulating simple or complex Performance Solutions, the ABCB has produced some guidelines to be followed. These guidelines are not mandatory or regulatory. These are only meant to provide general information as to how the process typically goes. In following the ABCB guidelines, the organisational QMS must be considered to achieve quality policies and objectives.

The ABCB guidelines are as follows:

Step 1: Prepare a performance-based design brief

A Performance-Based Design Brief (PBDB) is a document that serves as a record of all the fundamental activities and outcomes of the Performance Solution design process, as agreed during the stakeholder negotiation process. When completed, the PBDB becomes the roadmap for the proposed solution. 

The PBDP must adequately demonstrate that after designing the solutions and conducting assessment methods, the relevant NCC Performance Requirements have been achieved. 

The contents of the final report of the PBDB typically include the following:

• a summary of the proposal, including:
  • building type and function
  • height
  • location of the building
  • an explanation and description of the proposed solution
  • outline of the Performance Requirements that apply
  • the agreed analytical assessment process
  • the agreed acceptance criteria
  • required scope of supporting evidence
  • format and content of the final report
  • acknowledgement of participants

Step 2: Carry out analysis, modelling, or testing

To ensure compliance with the NCC, the proposed Performance Solution must be assessed using the appropriate Assessment Methods specified in the NCC. 

The method of analysis, modelling, or testing must be chosen according to what is appropriate to the complexity of your project. The solution method must be carried out following what is agreed by stakeholders in the PBDB. 

Some of the tools that you can use to evaluate the proposed Performance Solution include the following:

• a comparative or absolute analysis
• qualitative or quantitative analysis
• deterministic or probabilistic analysis
• empirical calculations
• in-situ or testing in a recognised laboratory
• computer-aided modelling

Step 3: Collate and evaluate results

The results from the previous step must be collated for analysis. Results from multiple trials or design scenarios may have to be considered. 

A conclusion for the final report can then be drawn from the analysis of the results. The results must meet the acceptance criteria agreed in the PBDB. In the evaluation, any uncertainties and sensitivities must also be considered. 

If the results are either inconsistent or unable to meet the acceptance criteria, further analysis, modelling, or testing may have to be conducted.

Step 4: Prepare a final report

The final report is mandatory documentation that must clearly demonstrate compliance with the NCC Performance Requirements.

• The final report commonly includes the following content:
  • an overview of the PBDB, including the following:
  • scope of the project
  • relevant stakeholders
  • applicable NCC Performance Requirements
  • approaches and methods of analysis
  • any assumptions made
  • acceptance criteria and safety factors agreed to by stakeholders
• overview and outline of the analysis, modelling, and/or testing carried out, including:
  • method of analysis used
  • calculations and outcomes
  • sensitivities, redundancies and uncertainty studies carried out
  • the results obtained and relevance to the PBDB
• evaluation of results including:
  • comparison of results with acceptance criteria
  • further sensitivity studies undertaken, if any
  • any expert judgement applied and its justification
• conclusion including
  • specifications of the final design that are deemed acceptable
  • the NCC Performance Requirements that were met
  • all limitations to the design and any conditions of use

The documentation must be retained for a minimum 10-year period together with the relevant compliance certificate where applicable. The property owner must also be provided with full copies of the Performance Solution, including the PBDB, plans, results, and the final report. The information contained in the documentation will be used for future works such as repairs, servicing, alteration, and/or maintenance.

The following video from ABCB summarises this 4 step process: