Regulation 11 – Training employees
Last updated: 6 July 2017
Building consent authorities must have a system for training employees performing a building control function by doing a technical job.
The objective of the regulation
Regulation 11 of the Building (Accreditation of Building Consent Authorities) Regulations 2006 (the Regulations) requires a building consent authority (BCA) to have a system for training employees performing a building control function by doing a technical job. This is intended to ensure all employees who do a technical job maintain their skills and knowledge.
The regulatory guidance below has been developed to support understanding of the Regulations.
Regulation 11 is available on the Legislation website.
Regulation 11 must be read in conjunction with regulations 5 and 6. The policies and procedures required by regulation 11 must be written and/or electronic, and appropriate for purpose.
A BCA must ensure that the policies, procedures and system required by regulation 11 are consistently and effectively implemented. BCAs must ensure they record the decisions they make under regulation 11, including the reasons for the decisions, as well as the outcomes.
MBIE’s guidance on meeting the accreditation requirement
Checklist for regulation 11 outlines the minimum criteria for compliance.
The policies, procedures and systems required by regulation 11 must, at minimum cover the requirements detailed below. If the accreditation requirements are met through a BCA’s parent organisation’s training system, the accreditation body will require access to that system and to some employees’ training plans for the purposes of an accreditation assessment.
A BCA should advise its employees that their training plans may be shared with an accreditation assessor who will be aware that they are personally sensitive. The assessor and assessment team have an obligation to maintain all confidences.
The Ministry of Business, Innovation and Employment (MBIE) advises that a BCA should link its training system to its capacity and capability map required by regulation 8 of the Regulations and work allocation system required by regulation 9. There should also be a link between the competency assessment required by regulation 10 of the Regulations and a BCA’s training system.
Training needs assessment
There are, broadly, two types of training needs:
- organisational training needs
- individual employee training needs.
Organisational training needs
There is no specific requirement for a BCA to identify its organisational training needs although it would be good practice for a BCA to consider the training needs arising from its:
- capacity and capability mapping required by regulation 8
- quality management system required by regulation 17, which may identify issues
- customer query and complaint systems required by regulations 7(2)(g) and (h) respectively.
Individual employee training needs
A BCA must undertake an annual training needs assessment of employees performing a building control function by doing a technical job. This requirement does not apply to contractors.
An individual employee training needs assessment requires engagement and discussion between a building control official (BCO) and their responsible manager (or other agreed person). The other agreed person may be the person undertaking the BCO’s competency assessment and working with them to complete the required assessment plan, or some other person.
The BCO’s competency assessment decision and record should be used to identify any training needed to maintain current competency. This should include identifying how the BCO can remain up to date with any changes to the Building Act 2004 (the Act) and associated regulations, and any building systems methods or materials that may be relevant to the building control functions they perform.
Although not an accreditation requirement, a training needs assessment could also involve:
- using feedback from the quality management process, customer query or complaint system to identify specific training needs. Where this is the case, the approach should not be ‘disciplinary’ but expressed in terms of the opportunities for learning and building upon a BCO’s capabilities.
- discussing any additional knowledge, skills and experience that the BCO might wish to gain or the BCA might wish the individual to gain. This is not an accreditation requirement but will support the professionalisation of the sector and should support a BCA to build capacity and capability.
Annual training plans and continuous training
The outcome of individual BCO’s training needs assessments must be documented and recorded in an annual training plan. A relevant training mechanism must also be identified and recorded, and any outcome desired from the training must be recorded.
Developing training plans for each BCO performing a building control function by doing a technical job provides an easy mechanism for a BCA to demonstrate compliance with regulations 11(2)(c), (d) and (g) respectively. It can also record where training or study towards a qualification may extend over a calendar year or 12-month period.
A training plan does not need to be a complex document. It may consist of a basic table that records the:
- training need
- training to be undertaken
- outcome desired such as:
- currency to perform a building control function
- a new skill or competency, or ability to use a new tool or system
- timeframe/s in which training will be undertaken
- completion of the training
- outcome consequently achieved such as:
- evidence of maintained or increased skill
- the sharing of new knowledge.
- how the application of the training will be monitored and reviewed
Example of possible individual training plan
|Training plan [INSERT BCO NAME HERE]|
|Training need||Outcome desired||Training agreed||Timeframe
|Competency and skills maintenance|
|Competency and skills building|
Types of training
The following types of training and continued professional development are examples of what might be included in a training plan. The table also highlights the type of training need they might address. It shows how training individual employees will consistently be of organisation-wide benefit; especially where the employee is then able to share their new skill or experience with other team members.
Possible types of training
|Training||Skill maintenance||Skill building||Organisational benefit|
|‘Buddying’ to enable on-the-job training with support and/or supervision||✔||✔|
|Coaching or mentoring (by a manager, technical leader or competent staff)||✔||✔||✔|
|Team meeting sessions on a:
• policy, procedure or system
• component of the Building Code
|E-courses or e-learning, such as on a policy, procedure or system||✔||✔||✔|
|Technical reading, for example, Codewords, Build, Progressive Building, Straight-up||✔||✔||✔|
|Regularly reviewing determinations||✔||✔||✔|
|Technical seminars run by MBIE, BRANZ or other professional organisations||✔||✔||✔|
|Attendance at professional organisation seminars and conferences||✔||✔||✔|
|Vehicle training or driver safety courses||✔||✔|
|Equipment training in the use of specialist equipment||✔||✔|
|Manufacturer’s training (such as an external course on a specific product)||✔||✔||✔|
|Communication and/or conflict resolution training||✔||✔|
|Cultural diversity training||✔||✔|
|Secondments or acting opportunities (within the BCA or with another BCA)||✔||✔|
|Study towards formal qualifications, such as those listed at Regulation 18||✔||✔||✔|
|Study to gain specific skills such as communication skills or IT skills||✔||✔|
Ensuring that employees receive the agreed training
A BCO’s training plan must include the timeframe in which training will be undertaken, and record whether it has been completed. Monitoring training undertaken may be as simple as appropriately timed alerts in the responsible manager’s (or other agreed person’s) diary to follow up; as long as it is systematic.
A BCA’s system should include a mechanism for recording any reason as to why any agreed training is missed. This may be due to (amongst other reasons):
- changes rendering the training unnecessary
- the training outcome being achieved through an alternative mechanism which is recorded
- agreed training no longer being available (possibly due to rescheduling).
Where agreed training to support skills maintenance is no longer available, an alternative should be agreed.
Monitoring and reviewing the application of training
A BCO and their manager (or other agreed person) must agree and record how the application of any training will be monitored and reviewed. This may be through (amongst other mechanisms):
- completion of an induction checklist, or e-learning module
- feedback from the BCO’s buddy, mentor or coach
- results of quizzes about technical readings or seminars
- short presentations on learnings from professional organisation seminars or conferences
- the receipt and record of any training certificate
- supervision of the application of the training, through direct observation and peer review
- reviewing and recording samples of decisions, decision records and files.
The list above is not exhaustive. On a case-by-case basis the BCO and their manager (or other agreed person) may agree criteria or measures that are appropriate to the outcome they are seeking to achieve.
A record of training outcomes should be retained to contribute to the BCO’s next annual competency assessment as required by regulation 10. A record of training undertaken is a core component of the assessment process.
Supervising employees under training
Regulation 9 enables a BCA to allocate work to employees in training if they are supervised and their work is peer reviewed. It requires that the BCA records to whom it has allocated work, when the work has been completed and the outcome. A BCA must ensure that it appropriately supervises BCOs performing building control work by doing a technical job when they are under training.
Recording qualifications, training completed and relevant known experience
Regulation 10 should result in the production of a competency assessment decision and record of a BCO’s:
- training completed
- relevant known experience.
Recording training, experience and qualifications must be met through the completion of part 1 of the National BCA competency assessment plan or other decision record.
Approach to contractors
Regulation 11 does not apply to contractors as they are not in an employment relationship with a BCA. A BCA may choose to train contractors but this is not an accreditation requirement.
The Building Act 2004 is available on the Legislation website.
National BCA competency assessment system has further information.
Technical job and contractor definitions can be found in the glossary.