South Australian Numbered Regulations South Australian Numbered Regulations(1) This regulation does not apply to—
(a) an Accredited Professional—planning level 2 in relation to the performance, exercise of discharge of a function, power or duty as a member of an assessment panel; or
(b) an accredited professional who is an employee of the State or a council (insofar as they are acting within the scope of their employment).
(2) For the purposes of this regulation, a person is a qualified auditor if—
(i) satisfies the Chief Executive that they hold appropriate qualifications, experience and technical skills in planning or building assessment or a related discipline; and
(ii) holds a current approval issued by the Chief Executive for the purposes of this regulation; or
(b) the person is acting under a memorandum of understanding entered into between the Chief Executive and an association or other body in connection with the conduct of audits under this regulation; or
(c) the person is an employee of the State and the Chief Executive considers that the person is suitably qualified to act as a qualified auditor under this regulation.
(3) An approval under subregulation (2)(a), or a memorandum under subregulation (2)(b), may relate to—
(a) planning assessment audits; or
(b) building assessment audits,
(or both) as specified by the Chief Executive.
(4) It is a condition of the accreditation of an accredited professional to which this regulation applies—
(a) that they must have their activities in relation to the assessment of development under the Act audited by a qualified auditor in accordance with this regulation (a "periodic audit"); and
(b) that they must allow a qualified auditor to audit their activities in relation to the assessment of development under the Act if so directed by the accreditation authority.
(5) The purposes of an audit are—
(a) to check whether the processes and procedures associated with the assessment of development, and the granting of any relevant consents, have been undertaken in accordance with the requirements of the Act, and any relevant regulations under the Act; and
(b) to check any other matter determined by the accreditation authority for the purposes of this regulation.
(6) The first periodic audit under subregulation (4)(a) must be completed in relation to an accredited professional—
(a) if the accredited professional is carrying on business as an accredited professional on the commencement of these regulations—within 5 years after that commencement; or
(b) if the accredited professional commences business as an accredited professional after the commencement of these regulations—within 5 years after the date on which the accredited professional commences business.
(7) Thereafter, an accredited professional must ensure that a periodic audit is completed at least once in every 5 years.
(8) An accredited professional must, when applying to continue their accreditation under these regulations, provide, in a manner determined by the accreditation authority, evidence of compliance with this regulation (insofar as may be relevant).
(9) It will be a ground for the cancellation of the accreditation of an accredited professional if—
(a) the accredited professional has not complied with subregulation (6) or (7); or
(b) the accreditation authority considers that the accredited professional has not adequately addressed any matter identified by a qualified auditor during the course of an audit under this regulation.
(10) An audit under this regulation will relate to an antecedent period, not exceeding 5 years, determined to be appropriate by the qualified auditor.
(11) An audit under this regulation may be conducted by—
(a) analysing processes and procedures that have been employed by the accredited professional to ensure compliance with the requirements of the Act and any relevant regulations under the Act; and
(b) examining random or selective samples of documents or other records to check on processes and procedures or to ascertain any other relevant matter; and
(c) conducting interviews of persons who may be able to provide information relevant to the audit; and
(d) taking such other steps or making such other inquiries as the qualified auditor thinks fit.
(12) A qualified auditor must, before finalising a report for the purposes of this regulation, give a copy of the report to the accredited professional to provide a response with a view to correcting any error of fact.
(13) A qualified auditor must report to the accreditation authority any contravention or failure on the part of the accredited professional to comply with the requirements of the Act or any regulations under the Act, or any relevant code or other instrument, in a significant respect or to a significant degree in undertaking assessments identified by the auditor during the course of an audit.
(14) If a qualified auditor provides a report to the accreditation authority under subregulation (13), the accreditation authority may, after taking such action as the accreditation authority thinks fit—
(a) make recommendations to the accredited professional; or
(b) give directions to the accredited professional to rectify any matter, or to take any other action, with a view to preventing the recurrence of any act, failure or irregularity; or
(c) impose conditions on the accreditation of the accredited professional; or
(d) alter the accreditation of the accredited professional to a lower level of accreditation; or
(e) take action under these regulations to cancel or suspend the accredited professional's accreditation.
(a) the accreditation authority makes a recommendation under subregulation (14); and
(b) the accreditation authority subsequently considers that the accredited professional has not, within a period specified by the accreditation authority, taken appropriate action in view of the recommendation,
the accreditation authority may, after consultation with the accredited professional, give directions to the accredited professional.
(16) If—
(a) the accreditation authority gives a direction under subregulation (14) or (15); and
(b) the accreditation authority subsequently considers that the accredited professional has not, within a period specified by the accreditation authority, taken appropriate action to comply with the direction,
the accreditation authority may take action under these regulations to cancel or suspend the accredited professional's accreditation.
(17) Nothing in this regulation limits or affects any other provision made by or under these regulations with respect to the accreditation of an accredited professional.