SOP Private Provider Audit Procedure

Standard Operating Private Provider Audit Procedure

Purpose and Scope

The purpose of this audit procedure is to ensure that private providers operating within the jurisdiction comply with the intent of the Florida Building Code, safeguarding public safety and ensuring quality and compliance in construction practices. This procedure provides clear guidelines for conducting audits with maximum flexibility to utilize modern technology and innovative methods

Audit Criteria

  1. Compliance with Florida Building Code: Verification that inspections and plan reviews conducted by private providers adhere to all applicable requirements of the Florida Building Code.
  2. Accuracy of Documentation: Confirmation that private provider reports, certifications, and related documents are accurate, complete, and filed in a timely manner.
  3. Field Performance: On-site verification of private provider inspection activities to ensure alignment with submitted documentation and code requirements.
  4. Public Safety: Identification of any conditions posing an immediate threat to public safety and welfare.

Audit Process

A. Initiation of Audit

  • Audits will be conducted randomly. No private provider or private provider firm will be audited more than four times in a year unless a written determination is made by the local building official regarding an immediate threat to public safety and welfare, or as indicated below.
  • If an audit uncovers significant deficiencies that indicate the private provider inspector did not carry out their duties in good faith, that audit will not count toward the annual limit of four audits. Such findings must be clearly documented in the audit report.
  • The initiation of additional audits requires written communication to the private provider or firm specifying the reasons for the audit.
  • If an audit is performed and the deficiency notice is not posted by the private provider, the audit will assume that no deficiencies were found by the private provider inspector. The private provider may not submit the deficiency notice after the audit process has been started.

B. Use of Technology and Resources

To ensure audits are comprehensive and efficient, the following tools and methodologies may be employed:

  1. Drones: For high-resolution aerial inspections of structures and inaccessible areas.
  2. Cameras: Including traditional, 360-degree, and infrared cameras to detect structural defects, energy inefficiencies, or compliance issues.
  3. Remote Monitoring Systems: Use of live feeds or recorded data for real-time inspection analysis.
  4. Expert Consultants: Engagement of specialized human resources for technical evaluation as needed.
  5. Any Other Resourse: This list is not meant to limit the tools available for the local jurisdiction to carry out their audit process. There may be other tools or resources the local authority may use to enhance the audit capabilities.

C. Audit Execution

  1. Pre-Audit Review: Collect and review submitted documentation from the private provider, including plans, inspection reports, and certifications.
  2. Field Verification: Conduct on-site inspections utilizing available technologies and resources to confirm compliance.
  3. Stakeholder Engagement: Communicate with the private provider to clarify discrepancies or obtain additional information.
  4. Evaluation of Findings: Assess findings against established audit criteria to identify areas of noncompliance.

D. Reporting and Communication

  1. Draft Findings: Prepare detailed findings of the audit, highlighting any noncompliance with the Florida Building Code.
  2. Provider Response: Allow the private provider to review and respond to the draft findings.
  3. Final Report: Issue a final audit report that includes:
    1. Purpose and scope of the audit
    2. Criteria used
    3. Summary of the audit process
    4. Detailed findings of noncompliance
    5. Recommendations for corrective action, if necessary
  4. Publication: Ensure audit results for the prior two quarters are publicly available online and in printed form at agency buildings.

Addressing Noncompliance

  • Areas of noncompliance will be documented with supporting evidence.
  • The private provider will be notified in writing and given an opportunity to address and rectify the issues.
  • Follow-up audits may be conducted to ensure corrective actions are implemented.

Objections and Appeals

  • Private providers may submit written objections to audit findings within 15 business days of receiving the final report.
  • The agency will review objections and, if necessary, revise findings or provide further clarification.

Record Keeping

  • Maintain records of all audits, findings, and correspondence for a minimum of five years.
  • Ensure transparency and accessibility of audit results as required by Florida House Bill 267.

Updates and Revisions

  • This procedure will be reviewed annually to incorporate advancements in technology and changes to the Florida Building Code.

Revisions will be made publicly available online and in printed form.

 

Revised December 31, 2024

  • Printer-friendly version