Key findings of the review

17 - Accompanying personnel during inspections

Purpose

To assess the effectiveness of inspectors' building control processes, how they use the Council's inspection methodology, the level of building compliance achieved, and how inspectors interact on site with consent applicants and builder/contractors.

Background

The inspection processes and the effectiveness of the inspectors are critical to the overall effectiveness of the building control process. This section of the review involved accompanying Council inspectors during their normal inspection workload. Observations from the Department often reinforce observations made during the case studies.

Initial review

The 2004 review identified the following key findings.

• There were limitations in the overall level of inspectors' technical knowledge, particularly around internal moisture, plumbing and drainage, and weathertightness detailing.
• Plumbing and drainage inspectors were overlooking issues during inspections and were giving inadequate attention to approved drawings, specifications and details of installation.
• Inspection workloads were too high, with field staff often having insufficient time on site to undertake a thorough inspection.
• Inspectors needed to confirm all site instructions in writing and record such instructions in the Council's file.
• A number of issues were still outstanding from a review of the Council undertaken in 2002. This included concerns relating to the level of technical knowledge of staff, staff workloads and the need for better systems to document and track inspection processes.

Recommendation made to the Council	Action taken by the Council before the follow-up review
Note the current workload pressures and the consequent increased risk of inspection error.	Using processing contractors had increased the number of technical staff and range of expertise available to the Council.Technical knowledge in relation to plumbing and drainage had improved.The Council was relying on its processing contractors to have sound processes and procedural tools.
Note that the general level of technical knowledge needs to be improved, using an ongoing professional development programme.	Ensure plumbing and drainage inspectors have adequate technical knowledge, and ensure due attention is being given to approved drawings, specifications and details of installation.
Enhance its procedures underpinning its inspection work, including: reviewing the inspection booking system to ensure inspection staff are given the support they need to manage workflows properly developing a comprehensive inspection checklist to ensure Code compliance is achieved and the process is documented ensuring appropriate record-keeping of inspection findings, including how the inspector was satisfied on reasonable grounds that the work was Code compliant undertaking audits of its inspections to determine if Code compliance was demonstrated consider developing a more effective and efficient system for recording inspections (eg, pre-printed triplicate inspection books).

Follow-up review

Consent statistics showed that the number of consents being issued by the Council had fallen since the initial review. However, the total value of consented building work had increased.

Since the initial review, the Council had employed contractors to undertake the majority of its building control work, including conducting inspections. This had resulted in an increase in the number of technical staff and range of expertise available to the Council.

The Department found that while inspection workloads are still high, the Council and its contractors appeared to have an appropriate number of inspection staff. While the Council had increased its organisational technical competency through the changes to its organisational structure, general technical knowledge still varied between staff.

The Department found that inspections by the Council's contractors generally followed a methodical approach, with inspectors referring to checklists, plans and specifications on site. Outcomes of inspections were generally being adequately recorded, with clear statements on what was inspected or approved being provided. However, some case studies undertaken revealed that records of inspections were not always being transferred or recorded in the Council's public property file.

The Department found the level of quality and detail in the contractors' inspection checklists varied significantly and that the Council would benefit from providing its processing contractors with more specific details on the minimum level of information that should be contained in these checklists.

The Council's processing contractors used varying methods of recording inspections, ranging from simple paper-based recording systems to computer tablets (currently being implemented with one contractor). It was also noted during inspections that technical knowledge in relation to plumbing and drainage had improved.

All processing contractors undertook varying levels of inspection audits. These ranged from simple observation of inspection records to review of on-site inspections. However, the Department identified that the Council only undertook a ‘health check' once a building consent file had been forwarded from a contractor recommending the issue of a code compliance certificate.

The Department considered that the Council needed to conduct regular and comprehensive audits and peer reviews of inspections undertaken by its contractors.

Recommendations made to the Council	Response from the Council
Improve inspection methods by providing guidance to its processing contractors stipulating the minimum level of information that should be contained in inspection checklists (this could be achieved through the issuing of a practice note or contractual mechanisms).	Processing contractor checklists will be reviewed following accreditation as a building consent authority.Ongoing weekly meetings with each processing contractor and regular joint meetings provide an opportunity for continuous process improvement.
Improve inspection methods by conducting regular audits of contractors' inspection work to ensure compliance with the Building Code is being consistently achieved and all relevant information is being documented and recorded.	As previously noted, inspection audits are proposed and will be instituted prior to 2010.

Conclusion

The Department notes the improvements in inspection methodology and the Council's new structure and capacity to undertake this work. However, the Council still needs to continue to improve inspection methods consistent with the recommendations. The Department strongly recommends that the planned internal audits of inspection work are implemented as soon as possible.