Private Provider Audit Procedure

Purpose:

This Standard Operating Procedure (SOP) outlines the procedures for auditing Private Providers conducting plan reviews and inspections under Florida Statute 553.791. The purpose of these audits is to ensure compliance with the Florida Building Code Section 110.5 and Town of Longboat Key Code and Ordinances, and evaluate the performance and processes of Private Providers without unduly hindering construction progress.

Scope:

This SOP applies to all audits conducted by local building enforcement agencies regarding services performed by Private Providers, including but not limited to plan reviews, inspections, and affidavits. Audits assess both the inspection process and progress of the job to ensure compliance with approved documents, permits, and applicable building codes.

According to Florida Statute 553.791(9) the following actions do not constitute an audit and shall not be limited: investigation of complaints reported to the building official and site visits to ensure private providers are performing required inspections.

Definitions:

Audit: the process to confirm that the building code inspection services have been performed by the private provider, including ensuring that the required affidavit for the plan review has been properly completed and submitted with the permit documents and that the minimum mandatory inspections required under the building code have been performed and properly recorded” as per Florida Statute 553.791(1)(b) and Florida Statute 553.791(20)

Private Provider: a person licensed as a building code administrator under part XII of chapter 468, as an engineer under chapter 471, or as an architect under chapter 481.  For purposes of performing inspections under this section for additions and alterations that are limited to 1,000 square feet or less to residential buildings.  The term “Private Provider” also includes a person who holds a standard certificate under part XII of chapter 468 as per Florida Statute 553.791(1)(n) “

Audit Frequency:

General Audits: Each Private Provider or Firm can be audited up to four times per calendar year as per Florida Statute 553.791(20).  These audits are routine evaluations to ensure compliance and verify that processes are followed correctly

General Audit Criteria:

• Determine that the Designated Authorized Representatives (DARs) are vetted with the municipality and ensure they have the proper credentials for the scope of work they are performing on the job.
• Determine that the Private Provider Firm has provided adequate insurance, and their inspections are documented properly in logbooks, and the reports are reflective of the construction’s progression.
• Ensure the Private Provider audits special inspector’s work and threshold logs.
• Ensure that the Private Provider enforces compliance with code requirements, and construction documents.

Audits Initiated by Complaints regarding a Private Provider’s performance can also trigger audits, which may focus on specific issues raised by the complainant.

Pre-Audit Preparation

         Audit Notification: Written notification (via phone, email, or letter) should be provided to the Private Provider before conducting an audit unless immediate safety concerns are present.

Audit Checklist:

• Verify that the affidavit for plan reviews was properly completed and submitted (all points were met).
• Review inspection logs and reports to ensure that all required inspections were conducted in the proper construction sequence.
• Check reports generated by the Private Provider provide sufficient detail to address the work inspected.
• Ensure that necessary safeguards (such as netting or walkways) were in place during construction to protect public safety and adjacent properties.

Inspection Review and Audit Procedure:

Inspection Review: Confirm that all mandatory inspections required by the Florida Building Code were conducted by the Private Provider.  Cross-check inspection reports with actual site progress to assess accuracy.

Procedure:

1. An audit may be performed, as needed, during construction and construction work on the structure may continue, without delay, while the inspection audit is completed.
2. Once a project has been identified as requiring an inspections audit, staff will notify the permit holder.
3. Staff will contact the permit holder and/or their representative to coordinate the required access to the job site.
4. Once on site, staff will begin the audit process.
5. The permit holder and private provider will be notified as soon as practical regarding the audit findings via a completed Audit Report that is uploaded to the record with associated comments added to the inspection summary.
6. If no issues are identified, then the audit process is completed.
7. If discrepancies, omissions, or code violations are identified during the audit, then the parties involved will be notified of the compliance issues requiring correction, along with the associated code references. Any required code compliance corrections and inspections will be the responsibility of the private provider and the permit holder.
8. The Private Provider shall provide a copy of all subsequent inspection reports. Additionally, if the Certificate of Completion was previously generated by the private provider, it would be nullified, and a valid Certificate of Completion must be provided upon completion of any additional inspections.
9. Either the private provider or the permit holder will notify staff once any required corrections have been made.  Staff will then confirm the corrections for compliance, repeating steps 4 through 6 as outlined above.

Audit Results and Reporting:

Audit Report: Within 10 business days of completing the audit, an audit report summarizing scope, findings of noncompliance, corrective action areas, and process improvement recommendations should be prepared.

Communication of Results: Share the audit report with the Private Provider, allowing them 10 business days to respond to findings. If deficiencies are found, the Private Provider must submit a corrective action plan detailing resolution.

Corrective Actions: Upon receipt of a corrective action plan, a follow-up audit or site visit may be scheduled to ensure compliance.

Dispute Resolution:

If a Private Provider disputes the findings of an audit, they may request a review by the local designated building official.  The designated building official must respond within 15 business days.

Compliance with Florida Statute:

All audits must adhere to the requirements of Florida Statute 553.791.

Review and Updates:

This SOP should be reviewed annually and updated to remain consistent with any changes in Florida regulations or local policies regarding Private Provider audits.

Audit Summary:

An Audit, as it relates to Private Providers under Florida Statute 553.791, is a formal review process conducted by a local building enforcement agency.  The audit focuses on evaluating the quality and accuracy of the services provided by a Private Provider, including:

• Review the Private Provider’s completed plan reviews and inspections.
• Ensure that the required affidavits and documentation have been submitted properly.
• Verify compliance with the Florida Building Code through a review of records and documentation.
• Observe the actual conditions of the construction work.
• Verify that construction activities align with approved plans, permits, and building codes.
• Identify any immediate safety issues or potential code violations in real-time.

Note: The Town of Longboat Key, Town of Longboat Key building official and building code enforcement personnel shall be immune from liability to any person or party for any action or inaction by the fee owner of a building, or by a Private Provider or its duly sworn representative in connection with building code inspection services as authorized in Florida Statute 553.791.