Audit program—building certifiers

Officers of the QBCC’s Certification Unit may conduct audits on building certifiers licensed in Queensland. Section 133 of the Building Act 1975 (Building Act) provides the regulatory instrument for QBCC’s to carry out audits. 

While conducting the audit, we may work with the building certifier to educate them on their responsibilities. This helps to support building certifiers in maintaining a high level of compliance and professional standard. 

In general, the program undertakes a review of the building certifiers functions through three areas:

1. building certifier’s assessment, 
2. inspectorial, and 
3. administrative processes.

These audits may also assess whether the certifier’s functions have been carried in accordance with relevant statutory requirements, for example:

• Building Act 1975
• Building Regulation 2021 (Building Regulation)
• Planning Act 2016
• Queensland Development Code
• Local planning instruments
• Building Code of Australia (BCA)
• Australian Standards
• Code of conduct for building certifiers

In addition, QBCC Officers may also check:

• decision notices imposed with conditions;
• compliance with the BCA or any other building assessment provision;
• administrative processes, including document lodgement and recordkeeping;
• certificates of inspection, final inspection certificates and certificates of occupation; and
• competent person registers.

Audits may review all areas of interest, or focus on particular key areas of the highest risk of harm (for example Queensland Fire Department referrals for buildings over 500m2), or where intelligence suggests there is non-compliance currently prevalent in industry. 

We carry out two types of audits:

• Assessment audits (also known as an administration or desk top audit) - assessment audits specifically involve the auditing of building certifier’s files (approval and inspection documents) and their administrative procedures to identify compliance with legislative requirements. These audits do not require a site visit.
• Technical audits (also known as a site audit) - technical audits specifically involve conducting an inspection on-site of building work under construction. This audit relates to building certifier approval documentation as required under Section 133 of the Act. Audits are conducted on all classes of buildings. 

As noted, building certifiers can expect to be audited at least once in each 3-year period.  However, other criteria may be considered for additional or prioritised audits to occur.

Audit selection is based on criteria including:

1. Risk 
2. Location 
3. Random selection
4. Licensee history, including recently being granted a building certifier’s licence in Queensland 

The audit program is focused on identifying issues associated with building certification functions. It also aims to promote the obligations that building certifiers have to comply with regulatory requirements and to minimise harm or loss to the community that may happen as a result of non-compliance. 

After conducting an audit, we must decide whether or not the building certifier has engaged in unsatisfactory conduct or professional misconduct. We will provide an Information Notice to the building certifier. 

The information notice will include the following:

• the decision
• material considered  
• reasons for the decision
• review rights available.

If a building certifier is employed or has been appointed by someone else to perform building or private certifying functions, we must give the building certifier’s employer or appointor a copy of the information notice.

Unsatisfactory Audit

If issues have been identified during the audit, we may, under section 204 of the Building Act, make the decision that a building certifier has engaged in unsatisfactory conduct. Where this has been determined you have 28 days to apply for a review (it is a ‘reviewable decision’). This review can be done independently through either the:

• QBCC Internal Review Unit (IRU)
• Queensland Civil and Administrative Tribunal (QCAT).

Satisfactory Audit

We may make the decision that the building certifier’s conduct was satisfactory but make recommendations for improvement and/or rectification of low-risk areas of concern. If considered necessary, a re-audit may be carried out to ensure practice improvement.