CODE OF CONDUCT FOR

BUILDING SURVEYORS IN VICTORIA

June 2020
THIS PAGE IS INTENTIONALLY BLANK
Contents
INTRODUCTION ................................................................................................................................ 4
Purpose .................................................................................................................................................... 4
Principles of conduct ................................................................................................................................ 4
Rules and examples.................................................................................................................................. 5
Application of the Code............................................................................................................................ 5
Contraventions of the Code ..................................................................................................................... 5
Commencement....................................................................................................................................... 5
Definitions ................................................................................................................................................ 6
CODE OF CONDUCT FOR BUILDING SURVEYORS ................................................................................. 8
1 Act in accordance with the law and in the public interest............................................................... 8
2 Act with integrity, honesty, objectivity and impartiality ............................................................... 10
3 Perform competently and within the required level of expertise and experience ....................... 14
4 Act independently .......................................................................................................................... 18
5 Avoid conflicts of interest .............................................................................................................. 21
6 Document and maintain records ................................................................................................... 23
7 Communicate promptly and effectively ........................................................................................ 25
8 Provide a complaint handling process and address issues of non-compliance ............................. 26
INTRODUCTION
The Building Act 1993 (Building Act) enables the Victorian Building Authority (VBA) to make and
approve codes of conduct for building practitioners.

Under Division 2, Part 11 of the Building Act, the VBA may prepare codes of conduct for different
categories or classes of building practitioners registered under the Building Act. The definition of
building practitioner in section 3(1) of the Building Act includes a building surveyor.

The VBA has prepared this Code of Conduct for Building Surveyors (Code) under section 177A(1)(a) of
the Building Act.

The Code supports the VBA’s functions and objectives as outlined in the Building Act and the Building
Regulations 2018 (Regulations).

Purpose

The Code establishes principles and rules for professional conduct and outlines the standards building
surveyors in Victoria must, as a minimum, adhere to when providing building surveying services.

The principles and rules in the Code are based on conduct that promotes public safety and competence
in the building and construction industry. Adherence to the principles and rules provides a framework
to promote public trust and confidence in the building surveying profession.

The Code is also an important document to assist owners, developers and builders understand and
respect the duties and obligations of building surveyors.

The VBA or any member of the Victorian community is entitled to expect that registered building
surveyors will conduct themselves in a way that meets or exceeds these principles and rules.

Principles of conduct

The Code contains eight (8) core principles that building surveyors must adhere to when providing
building surveying services:

1. Act in accordance with the law and in the public interest

2. Act with integrity, honesty, objectivity and impartiality

3. Perform competently and within the required level of expertise and experience

4. Act independently

5. Avoid conflicts of interest

6. Document and maintain records

7. Communicate promptly and effectively

8. Provide a complaint handling process and address issues of non-compliance.

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Rules and examples

Each core principle has rules of conduct that elaborate on each principle to help building surveyors
understand their obligations and apply the Code.

Where applicable, guidance is provided by way of practical examples or notes. These examples and
notes are not exhaustive and are not intended to provide guidance on every circumstance or situation.

Application of the Code

The Code applies to all registered building surveyors in Victoria, including (but not limited to) relevant
building surveyors, municipal building surveyors, private building surveyors and bodies corporate
registered as building surveyors.

Building surveyors may perform statutory functions by administering various provisions under the
Building Act and Regulations. Building surveyors may also act as a consultant building surveyor for
parties who rely on their expertise and registration as a building surveyor.

The Code applies to a registered building surveyor when providing building surveying services including
when they are:

 appointed as a municipal building surveyor

 acting as a delegate of a municipal building surveyor
 appointed as a relevant building surveyor
 assisting a relevant building surveyor to perform their functions
 employed by the VBA or other government body as a building surveyor, and
 providing services or undertaking work relying on their registration as a building surveyor or
because they are registered as a building surveyor.

Unless otherwise expressly stated, each principle or rule of conduct in the Code applies to all registered
building surveyors in Victoria.

The Code does not limit a building surveyor’s functions, responsibilities and liabilities under the Building
Act, Regulations or any other legislation, regulation, code or standards applicable to building surveyors,
including the National Construction Code (NCC), referenced Australian Standards and other documents.

The Code should be read in conjunction with the Building Act and Regulations and any other code of
conduct approved by the VBA. If there is any inconsistency between the Code and the legislation, the
legislation prevails.

Contraventions of the Code

Section 177D of the Building Act provides that building surveyors must comply with an approved Code.

Disciplinary action may be taken by the VBA against a registered building surveyor who fails to comply
with the Code. Disciplinary action is defined in section 178 of the Building Act. A range of actions and
penalties may apply to a registered building surveyor for contraventions of the Code.

Commencement
The Code comes into effect on 1 January 2021.

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Definitions

All terms in the Building Act apply to this Code. For the purposes of this Code, the following terms are
defined:
applicant means the owner or agent of an owner who has applied for a building permit
under section 17 of the Building Act.

building surveyor means a building surveyor registered in Victoria and includes a municipal
building surveyor or delegate, private building surveyor, relevant building
surveyor, body corporate registered building surveyor as defined in section
3(1) of the Building Act, consultant building surveyor, employee building
surveyor, or nominee director of a registered body corporate building
surveyor [section 171B(3) of the Building Act].

building surveying services includes services or work of a building surveyor in performing functions as the
relevant building surveyor or municipal building surveyor, or other services or
work undertaken as a building surveyor including when acting as a consultant
building surveyor.
client when a building surveyor performs functions or provides services as the relevant
building surveyor, means the applicant.
when providing any other services as a building surveyor, means the person to
whom a building surveyor gives advice or provides services but does not include
an employer.
confidential information includes any information identified as, or that could reasonably be expected to
be considered as, confidential that is acquired by a building surveyor in the
course of providing building surveying services.
conflict of interest includes circumstances where a building surveyor could be influenced or could
reasonably be perceived to be influenced by a private or business interest when
carrying out a statutory function or when required to act in the public interest. A
conflict of interest may be actual, potential or perceived.
consultant building surveyor means a building surveyor that provides an expert report, opinion or assessment
about a design, building work or a building for which they are not the relevant
building surveyor whether or not that report, opinion or assessment may be
used in legal proceedings and includes work done by building surveyors as
employees.
informed consent means consent given willingly by a party who may be affected by a conflict of
interest, having shown the party understands the facts and implications of the
conflict of interest including that the conflict of interest may affect the ability of
the building surveyor to act fully in the public interest or the party affected by
the conflict of interest.
public interest includes, in the context of building work and buildings, public confidence in the
built environment, occupant health, safety and amenity, and economic benefits
associated with innovative, compliant and safe buildings. Acting in the public
interest requires putting the public interest ahead of private interests and the
interests of clients, colleagues and other practitioners.

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relevant parties include adjoining owners, emergency services, relevant authorities, local
councils, reporting authorities, consultants, other building surveyors and
building practitioners.
Acronyms
In this Code the following acronyms apply:
NCC National Construction Code
VBA Victorian Building Authority

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CODE OF CONDUCT FOR BUILDING SURVEYORS

1 Act in accordance with the law and in the public interest

A building surveyor must act in accordance with the Building Act, Regulations and any other relevant
laws, codes or standards operating in Victoria and the Commonwealth as applicable and in the public
interest.
To meet this principle, you must:
1.1 Act in the public interest when providing building surveying services.
This includes:
1.1.1 Acting in ways that are consistent with the purposes and objectives of the Building Act
and Regulations and the public interest.
1.1.2 Ensuring that when in doubt as to the possible interpretation of legislation, the NCC or
standards, you prefer the interpretation that best serves the objectives of the
legislation and the public interest, rather than your interests or that of an applicant,
client or other practitioners.

Example of acting in the public interest:

When in doubt, for example, when assessing the rise in storey of a multi-storey residential
building for the purposes of determining if domestic building insurance is required, you should
always favour an interpretation that is in the public interest – in this case, the need for
domestic building insurance to protect the rights of consumers who purchase sole occupancy
units in that residential building.
Example of not acting in the public interest:
As a consultant building surveyor you propose a performance solution which will enable cost
savings during construction but will cause increasing maintenance costs for future owners who
are not involved at the construction stage. You do not raise these issues in your advice about
the performance solution.

1.2 Act in a manner that engenders confidence in, and respect, for the building surveying
profession.
This includes:
1.2.1 Acting within the context of the legislative framework and complying with relevant laws
as applicable to you in your role as a building surveyor including, for example, the
Occupational Health and Safety Act 2004, the Australian Consumer Law, planning laws
and the Local Government Act 1989.
1.2.2 When acting as a relevant building surveyor or a municipal building surveyor,
understanding and complying with the requirements of the Independent Broad-based
Anti-corruption Commission Act 2011.
1.2.3 Ensuring you are aware of legislative and regulatory changes, reforms or other
directions or decisions (for example, a Ministerial Guideline or Order) that could affect
your statutory functions and how you provide building surveying services.
Note: This includes compliance with prescribed insurance under the Building Act and
Regulations (including any Ministerial Order) when carrying out your statutory
functions.

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 Examples of engendering confidence in and respect for the building surveying profession:

• You are engaged by an owners’ corporation as a consultant building surveyor to inspect

and report on alleged defects in a five storey, 35 apartment building. You form the opinion
that 80 per cent of the building is clad in aluminium composite panelling which you suspect
has a 100 per cent polyethylene core. The fire indicator panel shows unresolved faults, the
building has a single staircase which is not fire isolated and when inspecting inside sole
occupancy units you observe that smoke detectors have been disconnected by occupants.
The building is not sprinkler protected. You prepare an interim report as quickly as possible
and advise your client that you have concerns for the safety of occupants and that if they
do not provide your report to the VBA and the relevant municipal building surveyor without
delay, you will be obliged to do so.
• You have issued a building permit for a new single dwelling. The owner later tells you that
the roof has been constructed to a greater height than shown on the building permit
approved plans and they have applied for amended endorsed plans to the planning permit.
It will take several months for the application for an amended planning permit to be
determined and the roof has already been tiled but the on-site stormwater drainage
system has yet to be connected to the legal point of discharge. You tell the owner the work
contravenes the Building Act and issue them with a building order to stop work. However,
you exempt the drainage work from the order to allow connection to the legal point of
discharge as it is in the interests of safety and will prevent deterioration of the building or
nuisance to nearby properties.

1.3 Not engage in conduct that might bring the building surveying profession or the building and
construction industry into disrepute.
This includes:
1.3.1 Supporting and upholding the reputation of building surveyors and the industry in
general.
1.3.2 Not acting in a way that falls short of the standard of professional conduct expected by
the profession.

Examples of conduct that would bring the building surveying profession into disrepute:
• You allow another person to use your building surveying registration without carrying out
the building surveying services yourself or adequately supervising these services to a
professional standard.
• You are appointed to issue a building permit for a dwelling extension and on conducting a
mandatory inspection you observe an existing swimming pool at the site with no barrier.
You fail to make enquiries as to whether there is another relevant building surveyor
appointed for the construction of a swimming pool barrier, or bring the matter to the
attention of the municipal building surveyor or the VBA so that enforcement action can be
considered.
• You become aware that building work for which you are appointed as the relevant building
surveyor does not comply with the deemed to satisfy requirements of the NCC as
documented in the building permit. You agree with the builder that you will treat the non-
compliance as a performance solution and no rectification or amended design documents
will be required. You take no steps to determine whether the owner is aware of the non-
compliance or the decision not to require rectification or amended design documentation.

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2 Act with integrity, honesty, objectivity and impartiality

A building surveyor must act with integrity, honesty, objectivity and impartiality in all professional
and business relationships and activities.
To meet this principle, you must:
2.1 Be open, fair and transparent in all your dealings as a building surveyor.
This includes:
2.1.1 Respecting others and acting appropriately and professionally in the course of providing
building surveying services.
2.1.2 Providing applicants or clients to whom you charge fees, with unambiguous information
about your terms for engagement, the fees for the engagement and the circumstances
when additional fees may be charged. Where requested, also providing an itemised list
of fees and charges.
Note: Schedule 2 of the Building Act provides that an application for a building or
occupancy permit to a private building surveyor must be accompanied by the fees
determined by the private building surveyor. This enables the private building surveyor
to collect payment before assessing the building permit application and to collect any
outstanding fees for additional services allowable under their fee arrangement before
assessing the application for an occupancy permit. This is intended to enable
independent decision making without fear of not getting paid. It also distinguishes the
independent role of the relevant building surveyor from the role that other professionals
might have on a project.

Example of ensuring you are open, fair and transparent in your dealings with others:
An owner appoints you as the relevant building surveyor for the construction of a second storey
on their Class 1a dwelling. They provide plans for three (3) bedrooms, a living area, two (2)
bathrooms and a separate kitchen and entry with no connection to the existing ground floor
dwelling part. You query the intended use and are told by the owner they plan to rent it out to
students. You advise the owner that they must speak to their Council about the need for a
planning permit and that a Class 1 building cannot be located above or below another dwelling
or another Class of building, other than a private garage. The owner asks if they can add a
lockable door to connect the existing ground and proposed first floor parts and have the work
approved as an addition to the Class 1a dwelling and that they will sort out the rest later. You
say no as the plans will need to show the building is to be used as a single Class 1a dwelling and
also advise an occupancy permit can then only be issued for a single Class 1a dwelling. The
owner applies to the VBA to have your appointment terminated. You provide the VBA with
information about what has occurred and recommend that your appointment is not
terminated.

2.2 Be polite, courteous, appropriate and professional in all your dealings as a building surveyor.
This includes:
2.2.1 Responding courteously and professionally to the VBA, clients and relevant parties
including during a dispute and providing other parties with a fair opportunity to
respond.

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 2.2.2 Informing other building surveyors of any matters that may affect them including if:
• a dual appointment has occurred, or
• a different building surveyor is appointed to issue a permit for building work at the
site (for example, fit out work), when there is another building surveyor who issued
the permit for the base building.
2.3 Not engage in fraudulent, misleading, dishonest, corrupt, criminal or improper conduct.
This includes:
2.3.1 Ensuring you act with honesty, integrity and promote adherence to strong ethical
principles.

Example of failing to act with honesty and integrity:

You are investigated by the VBA about a building for which you were the relevant building
surveyor. It is alleged that you approved the use of a product without considering evidence of
suitability as required by the NCC. You present the VBA with a CodeMark certificate for the
product that was current at the time the product was installed and say or imply that you
relied on the certificate at the time when in fact you were not aware of the certificate and you
had not had any regard to it at the relevant time.

2.3.2 Notifying the VBA within 14 days of any of the probity matters set out in the Building
Act or Regulations, occurring.
Note: Sections 171D and 171E of the Building Act and regulation 263A of the
Regulations set out personal and financial probity matters that require disclosure within
14 days of occurrence. These include, for example:
 a conviction or a finding of guilt (whether in Victoria or elsewhere) for fraud,
dishonesty, drug trafficking or violence punishable by imprisonment for six months
or more
 conviction or a finding of guilt of an offence under any law regulating building work
or building practitioners
 suspension or cancellation of a registration or licence or other authorisation for any
reason other than a failure to renew the same, and
 an insurer declines, cancels or imposes special conditions on professional indemnity
insurance (or other indemnity insurance) for work as a building practitioner in
Victoria or other state or territory.

2.3.3 Notifying the VBA where you have a reasonable suspicion that fraudulent practices or a
significant departure from approved documentation has occurred.
Note: A significant departure from approved documentation would be one that could
endanger the safety of occupants or the general public. For example, the use of a lower
quality concrete which is not rated to sustain the required load.
Note: A suspicion would be reasonable when it is supported by evidence, even if the
evidence is not conclusive. For example, falsified product data test sheets, unapproved
changes to a building’s structural design or product substitution could support a
reasonable suspicion. Where a client or other building practitioner rectifies non-
compliance raised by the building surveyor, this is not required to be reported to the
regulator.

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 2.3.4 Ensuring you do not:
(a) disclose confidential information obtained while providing building surveying
services except where consent has been obtained for disclosure or there is a legal
or professional duty to disclose the confidential information, or
(b) use confidential information for your own, or someone else’s advantage.

Examples of dishonest, misleading or improper conduct:

• You approve a mandatory stage of inspection when work that did not comply with the
Building Act or Regulations was identified and that work has not been re-inspected or
confirmed as having been completed after issuing a direction to fix to the builder.
• You receive a phone message from an adjoining owner complaining about overlooking and
overshadowing to their property from a building under construction for which you have
issued a building permit. You do not respond as you have a certificate from the
draftsperson saying that all siting requirements have been met. Two (2) weeks later the
municipal building surveyor writes to you passing on a complaint from the same adjoining
owner and later calls you to follow up on his letter. You tell the municipal building surveyor
that you have reviewed the plans and they are compliant with siting requirements, and
that you have spoken to the adjoining owner. You have not done either of these things
because you choose to rely on the certificate that says the plans are compliant.
• An owner applies to you for a building permit to construct a four (4) storey, fifteen (15)
unit development with a basement carpark. The designer calls you asking whether he
needs to include sprinklers in the basement. You send the designer a copy of a fire
engineering report for a performance solution you approved on another job which
provided for a basement not to have sprinklers.

2.4 Not exert undue influence, intimidate, bully, harass or pressure any person.
This includes:
2.4.1 Not using your position to obtain an improper advantage in the exercise of your
functions or when providing building surveying services.

Examples of using undue influence and improper conduct:

 You are the relevant building surveyor for a three (3) storey, twelve (12) unit
development. You have required protection work notices to be issued to adjoining
owners. As part of the proposed protection work the builder intends to use a crane to
bring building materials onto the site. An adjoining owner calls your office to ask about
the proposed use of the crane over their home. The owner is worried about the safety of
their family if building materials are dropped onto the home. You tell the adjoining owner
that they have no choice but to accept the use of the crane and you do not advise them to
seek their own advice on the matter.

 You refuse to issue an occupancy permit for a site that has met all requirements until you
are paid fees not previously explained or agreed with the applicant.

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2.5 When performing statutory functions, ensure all decisions and resulting enforcement and
actions are reasonable, fair and appropriate.
This includes:
2.5.1 Always taking action where non-compliance is found on a building site by considering
whether it is appropriate to issue a direction to fix, notice or order, or referring a matter
of danger to life or property to the municipal building surveyor to consider the issue of an
emergency order.
2.5.2 As the municipal building surveyor, making sure you are proactive and take prompt
enforcement action when you consider there is a danger to life or property in your local
council area.
2.5.3 Making every effort to ensure that both the contents and service of, emergency orders,
building notices, building orders, building orders to stop work and building orders for
minor work are correct.
Note: Errors can cause the order to be unenforceable should the matter come before the
courts or be referred to the VBA for further action.

Examples of reasonable, fair and appropriate decisions:

• You set a realistic amount for guarantees or bonds under section 22 of the Building Act (up to
the maximum set in regulation 48 of the Regulations), to cover the cost of completing the
work.
Note: If you set an unrealistically low amount, the VBA may commence an investigation.
• You carry out a final inspection on a three (3) storey, eight (8) unit development and find
various problems including that the smoke detection system failed the commissioning test
done that morning. The developer is desperate to get the occupancy permit as settlements for
the units are pending. The builder is desperate for the occupancy permit so that he can get
paid. They ask you to issue the occupancy permit and promise to fix the smoke detection
system in the next couple of weeks. You refuse. You determine that the building is not suitable
for occupation. You issue a written direction to fix the non-compliances within seven (7) days.
• You are called to carry out a frame inspection for a new dwelling and discover that you were
not called to inspect before the concrete pour for the slab. The builder offers to provide you
with a statutory declaration saying that the steel and form work were compliant. You refuse
the offer and instead issue a building order to stop work and require testing and x-rays of the
slab to confirm compliance before allowing the work to continue.
• As the municipal building surveyor, you receive information about unsafe building work on a
property in your local council area. You check council records and discover no building permit
has been lodged. You immediately drive out to the property and find deep excavations along
the boundary that pose a safety risk to the adjoining dwelling and its occupants. You issue an
emergency order to the owner of the property to cease all excavations and to make safe the
adjoining dwelling within 48 hours. You commence prosecution and/or refer the builder
responsible for the excavations to the VBA for carrying out building work without a building
permit.

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3 Perform competently and within the required level of expertise and experience

A building surveyor must have suitable skills, knowledge, experience and competence to provide
building surveying services to a professional standard.
To meet this principle, you must:
3.1 Ensure that you do not perform any work that is outside your area of expertise or experience
unless under the direct supervision of a building surveyor who holds the required expertise or
experience.
This includes:
3.1.1 Providing building surveying services competently and within the requirements or
conditions of your registration and capacity.
Note: If you are unclear as to whether you can carry out a function you should seek
guidance from the VBA or your professional body.
3.1.2 Maintaining a level of competency that is commensurate with your level of registration
and experience. Even if inexperienced, an appropriate level of competency is required.
3.1.3 Not misleading relevant parties or giving incorrect information about your skills,
qualifications, and experience. This includes ensuring that you only advertise your
services that are within the scope of your registration, skills, qualifications and
experience.
3.1.4 Requiring that aspects of a design or performance solution that are complex and
beyond your ability to substantively assess, are the subject of independent technical
expertise or advice.
3.1.5 Where required, seeking technical expertise from appropriately qualified persons to
assist you with your work.

Example of performing work outside your area of expertise or experience:

You have an unlimited building surveying registration and have only undertaken building
surveying work for Class 1 and Class 10 buildings over the last ten (10) years. You have been
approached to undertake work for a high-rise Class 2 building. While this may be within your
registration, you have inadequate experience in more recent construction methods and
complexity involved in a high-rise Class 2 building. You should refuse the engagement and
undertake professional studies and training to upskill and increase your expertise in more
complex constructions before accepting such an engagement.
3.2 Take reasonable steps to ensure that any reports or advice you rely on for work outside of
your area of expertise or experience have been completed honestly, independently (as
required), competently and to a professional standard by an appropriately qualified person.
This includes:
3.2.1 Assuring yourself that any report or advice you intend to rely on is prepared by an
appropriately registered and qualified person and that it is independent (if required),
reliable and accurate.
3.2.2 Where you are told by an applicant or client that a product has been tested or certified
to an applicable standard, obtaining a copy of the test report or certification and
confirming that the product was tested to, and passed, the standard relevant to the
intended use of the product.

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 3.2.3 As the relevant building surveyor:
(a) keeping records of qualifications or otherwise documenting how you have
determined that the person you will rely on is competent to issue the certificate or
undertake the design or inspection
(b) ensuring the building permit clearly stipulates that any conditions or limitations
included on a test, report or certificate for a product must be met and that due
regard will be had to confirming compliance with conditions or limitations during
the inspection of the work, and
(c) reviewing any certificate of compliance received to ensure it is accurate, applies to
the appropriate inspection(s) or purpose for which it has been issued, and is signed
by a prescribed person with relevant expertise.

Examples of inappropriate conduct:

• You ask a structural engineer for a certificate for their inspection of steel framing. The
certificate is received and filed without review. It is later found that the certificate is signed
by a graduate engineer and refers to an inspection of footings only, and the certificate
referenced a superseded standard.
• You allow the builder and engineer to organise inspections on structural matters between
themselves and leave it to them to notify you at a later stage. You do not require all
notifications at the completion of a mandatory stage to be made to you nor cause an
inspection to be done in accordance with the Building Act. You do not ask about details of
any inspections, if any problems were identified by the engineer, if the builder and engineer
agreed to variations to the building work, or if any re-inspections were conducted. Instead
you just ask for and accept a certificate of compliance from the engineer just prior to
issuing the occupancy permit.
• You do not check that the Nationwide Housing Energy Rating (NatHERS) certificate for
energy assessment provided for a single Class 1a or Class 2 building has been carried out by
an energy assessor with suitable qualifications and experience in the use of the NatHERS
software or that the current approved software is being used.

3.3 Exercise due care, skill and diligence at all times.

This includes:
3.3.1 Only accepting appointments to be the relevant building surveyor for as many projects
as you can properly review and apply the required attention.
3.3.2 Considering all relevant facts, evidence and circumstances before making any decisions
and basing your decisions on reasonable judgment.

Example of exercising due care, skill and diligence:

Where non-compliance is found on a building site you must determine as the relevant
building surveyor whether it is appropriate to issue a direction to fix, notice or order, or
referring a matter of danger to life or property to the local municipal building surveyor to
consider the issuance of an emergency order.

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3.4 Continue to maintain and update your professional competencies, including keeping your
knowledge of current legislation, best practices and effective processes and procedures
updated.
This includes:
3.4.1 Undertaking education or continuing professional development activities to keep
informed of all relevant developments in building design, legislative changes and
industry practices.

3.5 When performing statutory functions, ensure any person you engage or employ to assist you
has the necessary skills, knowledge and experience and is appropriately qualified and
performs their work competently and to a professional standard including meeting
requirements of this Code as applicable.
This includes:

3.5.1 Making sure your employees or other persons engaged to assist in undertaking
statutory functions have the necessary skills, knowledge and experience and hold
appropriate qualifications for the work they undertake on your behalf.
3.5.2 Having systems of audit and quality control in place to ensure all work is performed to a
professional standard and meets the requirements of this Code as applicable.
Note: Under section 128 of the Building Act, a municipal or private building surveyor is not liable
for anything done or omitted to be done in ‘good faith’ in reliance on a certificate given by a
registered building practitioner under section 238 of the Building Act. Good faith does not mean
blind acceptance. The building surveyor must review the certificate and consider whether the
person providing it had the skills and experience to do so.

Examples of inappropriate conduct:

• Not adequately or appropriately supervising unregistered staff who may work for you.
• Not adequately ascertaining the qualifications, registration and experience of a building
inspector who is inspecting building work on your behalf.
• Accepting a statutory declaration in lieu of a mandatory inspection.

3.6 Have effective procedures in place to ensure your business or if in a Council, the building
section you manage, are run competently including:
(a) effective and appropriate supervision of your employees or contractors
(b) for body corporate building surveyors, appropriate delegations to the designated
building surveyor relative to their experience, expertise, qualifications and
registration, or
(c) adequate resources to enable proper performance of your functions.
This includes:
3.6.1 If managing a Council’s building section, a company, partnership or firm you should
have effective processes in place to manage relevant parties, your workload and
priorities, and any enforcement action.

© State of Victoria, Victorian Building Authority 2020 Page 16 of 26

 3.6.2 As a municipal building surveyor, where applicable for clause 3.6(a), effectively
supervising and approving the work of your delegates, or raising concerns to Council
management as appropriate about any lack of resources in a timely manner.

3.7 Have effective procedures in place to ensure the completion of your work in case of an
inability to practice due to reasons such as absence, incapacity, registration lapsing,
suspension or retirement.
This includes:
3.7.1 As a private building surveyor, having arrangements in place to allow an applicant to
seamlessly transfer their building permit to another building surveyor in case of your
inability to practice for example, because you have a prolonged illness or you are due to
retire or any other reason.

© State of Victoria, Victorian Building Authority 2020 Page 17 of 26

4 Act independently

A building surveyor must act independently when providing building surveying services.
To meet this principle, you must:
4.1 Avoid situations that a reasonable person may conclude has or could compromise your
impartiality or professional judgement.
This includes:
4.1.1 Ensuring you are free from bias and without prejudice or favour due to an affiliation,
disposition or any material interest.
4.1.2 Not being influenced or controlled by others in matters of opinion or conduct other
than where you act on the expert opinion of suitably qualified building practitioners.
4.1.3 When acting as an expert in a court or tribunal, complying with the obligations imposed
by law on expert witnesses including providing impartial advice to the decision maker to
assist them to understand technical matters on which you hold expertise.
4.1.4 Not being involved in the issuing of protection work notices or disputes between parties
about protection work other than to perform your statutory functions as the relevant
building surveyor during the process. If your decision is the subject of an appeal, you
should attend the appeal if required and represent yourself, and not appear on behalf
of the applicant or any relevant parties.
4.1.5 Only participating in applications for report and consent to the extent required to
perform your functions as the relevant building surveyor. You should not advocate on
behalf of or promote a particular position of the applicant directly with the reporting
authority or if the matter is the subject of an appeal, appear on behalf of the applicant
at the appeal.
4.1.6 Not entering into consultancy or service agreements that would impose obligations
inconsistent with your functions as the relevant building surveyor or that would
compromise your ability to act independently.
4.1.7 Not agreeing to novation of your contract with the owner or developer to a builder or
other party before or during construction. The contract for the building surveying
services provided by the relevant building surveyor must be between the applicant and
the relevant building surveyor.

Examples of what may be, or perceived to compromise independence:

• Having an office in the premises of a builder or developer for which you are performing
work is likely to compromise your independence both in fact and appearance.
• Where you are the relevant building surveyor, if an adjoining owner agrees to protection
work to their property, you must not assume that the proposed protection work is
appropriate. You must review the proposed protection work and:
◦ be satisfied the work is actually protection work
◦ be satisfied the work is appropriate to protect the adjoining property, and
◦ decide on whether to approve or refuse the building permit.

• Wearing shirts or caps with the logo of a building company that is the builder on projects
for which you or your company are the relevant building surveyor.

© State of Victoria, Victorian Building Authority 2020 Page 18 of 26

 • Accepting gifts or hospitality (other than token gifts or hospitality valued at less than $50)
from builders, designers or suppliers who are often engaged on projects for which you are
the relevant building surveyor. As best practice, you may wish to keep a register of gifts or
hospitality so that you can record all gifts or hospitality offered to you, your firm or any of
your employees.

Note: The above example is based on the Victorian Public Service Code of Conduct which
sets a monetary threshold for reporting gifts and benefits at $50 and provides for the
keeping of a gifts and hospitality register.

4.2 Not participate in or give advice on the development of designs or performance solutions for
proposed building work before or after accepting an engagement to be the relevant building
surveyor for that building work.
This includes:
4.2.1 Maintaining a high degree of separation and objectivity from the design process and the
development of design or performance solutions, and not suggesting design or
performance solutions.
4.2.2 Determining through open and frank discussions about your role when you are first
contacted, whether the potential client wishes to engage you to:
(a) provide consultancy services about compliance with the NCC in which case you or
anyone from your firm cannot be appointed as the relevant building surveyor, or
(b) be the relevant building surveyor in which case the potential client becomes the
applicant and will need to seek design advice from another building surveying firm.
Note: If you have been or are likely to be appointed the relevant building surveyor you
can provide advice on requirements in the Building Act, the Regulations or the NCC only,
leaving the design team to make decisions about how their design will achieve
compliance. Advice on deemed to satisfy solutions can be given and the concept of
performance solutions can be discussed but the actual preparation of a performance
solution and any supporting documents, including choosing who undertakes that task,
must be independent of the relevant building surveyor.
4.2.3 If you have already been involved in the design process or provided advice on design
solutions on a project, you must not accept appointment as the relevant building
surveyor for that project.
Note: Section 79(1) of the Building Act makes it an offence to carry out any functions set
out in sections 76 or 77 if the private building surveyor or a related person:
(a) prepared the design of the building or building work, or
(b) is, or within the prescribed period was (which is 12 months), employed or engaged
by the person or body which prepared the design of the building or building work
other than the appointment to carry out a function under section 76, or
(c) has a direct or indirect pecuniary interest in the body which prepared the design of
the building or building work.

© State of Victoria, Victorian Building Authority 2020 Page 19 of 26

 4.2.4 Only assessing and approving performance solutions prepared by others in accordance
with the NCC, and where you hold the appropriate qualifications for the assessment and
approval of performance solutions.
4.2.5 Advertising or promoting your services clearly:
(a) You should state clearly in any promotional or advertising material that building
surveyors from your office cannot act as a consultant building surveyor and a
relevant building surveyor on the same project or for the same developer on
different projects.
(b) If you or your business intends to act as a consultant building surveyor and as a
relevant building surveyor on different projects, you should clearly distinguish
between the services you can provide as a consultant building surveyor and those
that you can provide if appointed as the relevant building surveyor.
4.2.6 Not providing a third-party review of a design for building work (for example, a
compliance certificate under section 238 of the Building Act) for which another building
surveyor in your office is the relevant building surveyor.
4.2.7 When acting as the relevant building surveyor, not arranging for design services to be
performed on behalf of the applicant. If an applicant requires advice from a specialist
designer such as a fire safety engineer, you should not arrange for the design to be
prepared in your office or sub-contract the services of a designer.
Note: However, you may provide the applicant with the names and details of a range of
people not employed by your office that you are aware could provide them with the
required design services.

Examples of inappropriate conduct:

• You are involved in the initial discussions as a consultant to provide design advice to the
design team. You attend design meetings over several months as planning approvals are
obtained and tenders for builders are prepared. A building surveyor from your office then
accepts an appointment as the relevant building surveyor to issue the building permit for that
same project.
• A building surveyor from your office is the relevant building surveyor on a project. You are a
building surveyor and a registered fire safety engineer. You prepare a fire engineering design
with performance solutions relating to fire performance requirements for the project and the
developer is charged under a separate contract for your work. The relevant building surveyor
approves the performance solution you have prepared.
• Your website says ‘as the relevant building surveyor we can provide you with advice about
cost saving design, negotiating with fire authorities and councils and managing protection
work disputes’.

© State of Victoria, Victorian Building Authority 2020 Page 20 of 26

5 Avoid conflicts of interest

In addition to statutory obligations, a building surveyor must take reasonable steps to avoid
situations that could be an actual, perceived or potential conflict of interest.
Note: Section 79 of the Building Act and regulation 265(b) of the Regulations also deal with conflicts of
interest.
To meet this principle, you must:

5.1 Identify and manage any conflict of interest or significant risk of a conflict of interest.
This includes:
5.1.1 Having policies and procedures in place to detect potential conflicts of interest, for
example, the ability to search your records to ascertain whether your firm or any
employee has been engaged or employed by the person or body preparing the design
for the work for which you may be appointed the relevant building surveyor.
Note: A conflict of interest may be actual, potential or perceived. The perception of
whether a conflict of interest exists is a fundamental consideration when determining if
a conflict exists. A conflict may exist where a reasonable and informed person believes
that such a conflict exists. It may be necessary to avoid a conflict of interest even if this is
only perceived as a conflict of interest, so as to maintain public confidence in your
integrity as a building surveyor.

Examples of conduct that will give rise to a conflict of interest:

• Where you have a family member who is a registered domestic builder and they are
appointed to work on a project for which you have been appointed the relevant building
surveyor.
• Where you are a director of a company that is engaged in building work, such as drafting
or engineering, and an application is made to you to be the relevant building surveyor for
a project which is designed by that company.
Examples of conduct that could give rise to a conflict of interest:
• If you offer to be a consultant building surveyor to a developer when you are already
acting as the relevant building surveyor for another building project by the same
developer.
• Where a builder or developer seeks to influence you to make decisions in their favour for
example, by threatening to take their business elsewhere if you do not agree.
• Where a developer “promises” to provide you with the next job if you issue an occupancy
permit even though the building may not be suitable for occupation.

5.1.2 Having policies and procedures in place to manage and record potential conflicts of
interest, and how you have addressed them.
5.1.3 As a municipal building surveyor, managing conflict by advising the Chief Executive
Officer or other appropriate person, removing yourself from the situation and if
possible, arranging for an alternative staff member or contractor to provide the
functions.

© State of Victoria, Victorian Building Authority 2020 Page 21 of 26

 Examples of conduct where there is a conflict of interest or perceived conflict of interest:
• Where you attend a corporate box of a builder engaged on a project for which you are the
relevant building surveyor to watch the Australian Open tennis without first seeking the
informed consent of the applicant on that project.
• You issue a building permit for building work for a not-for-profit organisation (such as a
charity) when you are an ex-officio member of that organisation.

5.2 Avoid conflicts of interest and not provide building surveying services where there is a conflict
of interest or a significant risk of a conflict of interest.
This includes:
5.2.1 Withdrawing from your engagement to provide building surveying services if a
reasonable person may conclude there is a real risk your impartiality or professional
judgement has been influenced by the conflict of interest.
5.2.2 Not accepting the appointment or, if already appointed, not continuing to act as the
relevant building surveyor if this is a potential contravention of section 79 of the
Building Act.
Note: Contraventions of section 79 of the Building Act are an offence and cannot be
ignored. Often the persons most affected by the conflict of interest are the public or end
users of the building. As they cannot provide informed consent, the conflict must be
avoided.
In limited circumstances, where there is a conflict of interest and section 79 of the
Building Act has not been contravened, you must inform your client in writing
(regulation 265(b) of the Regulations) and may seek their informed consent to your
continued engagement.
5.2.3 Immediately informing your client in writing and withdrawing from providing building
surveying services if you are in contravention of section 79 of the Building Act or you
reasonably believe there is a conflict of interest (not covered by section 79 of the
Building Act) that cannot be managed.

© State of Victoria, Victorian Building Authority 2020 Page 22 of 26

6 Document and maintain records

A building surveyor must document and keep a record of all relevant information collected in the
course of providing building surveying services and any reasons for a decision made as is reasonably
required or expected.
To meet this principle, you must:
6.1 Ensure all advice, opinions, decisions and actions (such as enforcement action) are reasonably
supported by appropriate documentation including findings of fact and references to
evidence or materials relied on.
This includes:
6.1.1 Keeping adequate records, that is, records that are enough to comply with any requests
for information as part of a VBA audit or investigation.
6.1.2 Considering that some or all records collected in the course of providing building
surveying services may need to be provided to third parties as part of future regulatory
or legal processes.
6.1.3 As a relevant building surveyor, keeping records for ten (10) years after the occupancy
permit or certificate of final inspection is issued.
6.1.4 As a municipal building surveyor, complying with your council’s relevant record keeping
policies and procedures and documenting your reasons for decisions.

Examples of documents to be retained include (but are not limited to):

• agreements and records of instructions and meetings
• correspondence
• notes of any inspections of the building or building work or site visits (with dates and
results of inspections)
• product specifications, information or data
• product testing results
• calculations
• records of decisions made and reasons (including those about conflicts of interest)
• copies of independent reports or advice, and certificates of compliance
• any audio or visual recordings, photographs or pictures of inspections
• financial transactions
• certificates for electrical safety, plumbing compliance etc.
• journals, diaries, graphs, plans, drawings or the like.
Examples of documenting reasons for advice, opinions or decisions include:
• The findings of fact, for example if there has been a reliance on test results.
• Any references to evidence or any other materials that were relied on, for example expert
reports, test results, certificates of accreditation, Certificates of Electrical Safety or
assessment methods.
• As a relevant building surveyor when relying on a certificate of compliance from a
competent person, record your justification that the certificate was compliant and that
you consider the person providing the certificate to be competent.
• The actual reasons to justify the advice, opinion or decision made.

© State of Victoria, Victorian Building Authority 2020 Page 23 of 26

6.2 Not destroy or threaten to destroy records except where authorised by law to do so.
6.3 Ensure all copies of permits and documents required under the Building Act and the
Regulations are provided to the relevant council, the VBA or reporting authority (including
WorkSafe, Energy Safe Victoria, Consumer Affairs Victoria or the Australian Consumer and
Competition Commission) given such materials become public records relevant to the subject
property.
6.4 On transfer of your functions as a private building surveyor under the Building Act or in
circumstances where the VBA has consented to the termination of your appointment and a
new building surveyor is appointed, ensure all relevant documentation (digital or hard copy)
is provided to the new building surveyor within a reasonable time or as otherwise directed by
the VBA.

© State of Victoria, Victorian Building Authority 2020 Page 24 of 26

7 Communicate promptly and effectively

A building surveyor must communicate promptly and effectively with their client, the VBA and
relevant parties.
Note: You may need to consider the context of how you communicate promptly and effectively when
taking enforcement action.
To meet this principle, you must:
7.1 Comply with a reasonable request of a client, the VBA or relevant parties (including local
government, fire authorities, WorkSafe, Energy Safe Victoria, Consumer Affairs Victoria or the
Australian Consumer and Competition Commission).
This includes:
7.1.1 Having a system for receiving and managing enquiries about projects for which you are
the relevant building surveyor, a consultant building surveyor, or municipal building
surveyor.
7.1.2 Taking reasonable steps to communicate promptly where required.
7.1.3 Providing clear and concise information and outlining your expectations or any other
expectations (as appropriate) when requested.
7.1.4 Ensuring that you state clearly what you require to be provided or what actions you
require to be undertaken.
7.1.5 Cooperating with the VBA when it seeks documents or information to inform its audits,
investigations or enforcement action.

Examples of inappropriate conduct include:

• Not keeping a client, the VBA or relevant parties updated on the progress or status of an
issue that you are dealing with them on.
• Not responding to correspondence from a client, the VBA or relevant parties promptly or
within a reasonable timeframe.
• Failing to re-direct a complainant to another government body or agency if it is
appropriate to do so.
• Failing to provide the VBA with copies of directions, notices or orders issued by the building
surveyor promptly on lawful request.

7.2 Engage with your clients, the VBA, and relevant parties in a cooperative manner.
This includes:
7.2.1 Being responsive to reasonable and lawful requests for information or documents.
7.2.2 Avoiding placing unreasonable or unjustifiable demands on others.
7.3 Keep your clients or relevant parties informed of any changes to agreed timeframes that are
within your control, your availability to carry out your functions or work and any professional
costs associated with changes to scope.

© State of Victoria, Victorian Building Authority 2020 Page 25 of 26

8 Provide a complaint handling process and address issues of non-compliance

A building surveyor must take reasonable steps to minimise the potential for complaints and have a
process in place to address problems or issues of non-compliance brought to their attention as soon
as possible.
To meet this principle, you must:
8.1 Have a complaints management process for the handling of complaints that explains the
steps you will take to address and resolve a complaint.
This includes:
8.1.1 Considering existing publicly available guidance materials or other material such as the
Australian Standard: Customer satisfaction – Guidelines for complaints handling in
organisations to assist you in developing a complaint handling process.
8.1.2 Ensuring that you keep records of any complaints you have received, and your actions
taken to resolve the complaint.
8.1.3 Responding to complaints within a reasonable time and in a respectful manner.
8.1.4 As a relevant building surveyor, providing your complaints management process to
potential and current applicants, clients or relevant parties on request and including it
on your website.
Note: A municipal building surveyor is required to follow existing Council policies and
procedures in place to deal with complaints.

Examples of what to include in your complaints process:

• Providing details on how a person can make a complaint.
• Detailing how you will resolve a complaint, what actions will be taken and the likely
timeframe in which the complaint may be considered.
• Providing information to relevant parties as to where they may seek additional assistance
or information to resolve their complaint.

8.2 When performing statutory functions, have a process in place to deal with issues of non-
compliance raised by applicants, clients or relevant parties.
This includes:
8.2.1 Enabling relevant parties (for example, adjoining owners) to raise concerns about non-
compliant building work (such as a lack of protection work).
Note: You must not act as an arbiter where there is disagreement between the owner
and an adjoining owner about protection work. If there is a dispute between the parties,
you should refer the parties to Part 10 of the Building Act regarding their appeal rights
and ability to have a dispute considered by the Building Appeals Board.

© State of Victoria, Victorian Building Authority 2020 Page 26 of 26