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POLOKWANEMUNICIPALITY

SBU: HOUSING AND BUILDING INSPECTIONS

POLICIES AND PROCEDURES IN THE MANAGEMENT OF BUILDINGINSPECTORATE ACTIVITIES.

Docs: #481761

POLICIES AND PROCEDURES IN THE MANAGEMENT OF BUILDING INSPECTORATE ACTIVITIES.

TABLE OF CONTENTS.Pg.

  1. INTRODUCTION.2

2.PROBLEM STATEMENT.2

3.POLICY OBJECTIVES.3

4.LEGISLATION AND POLICY PERSPECTIVE.3

5.STATUS QUO ANALYSIS (WEAKNESSES AND RISKS).3

6.STRATEGIES AND PROGRAMS.7

7.RESOURCE IMPLICATIONS.16

8.EXTERNAL/INTERNAL FACTORS.17

9.MONITORING AND EVALUATION.17

10.RECOMMENDATIONS FOR IMPLEMENTATION.18

11. IMPLEMENTATION CONDITIONS.25

1.INTRODUCTION

Polokwane Municipalityis one ofthe fastest, growing cities in the country. Major developments of late have been experienced that include amongst others a Provincial Stadium, Regional Shopping center and other major Commercial developments currently being built within the Municipal boundaries of Polokwane.

The Municipality currently consists of 37 wards. 11 of these wards are based in the urban areas and 26 are based in the rural communities. Although developments are taking place in both the urban and rural communities the largest extent is predominantly found within the Spatial Development Area (SDA) 1. These developments include commercial and high density residential developments.

Approximately 2500 applications are lodged at the Municipality for building plan approval per annum and between 1500 and 4000 Low income housing projects applications are received per annum.

2. PROBLEM STATEMENT

The rapid pace at which developments take place together with various constraints pertaining to internal challenges and in cases deficiencies has highlighted a serious point of concern regarding risks towards the Municipality. Over a period of note the Polokwane Municipality has been engaged in several Court cases with developers regarding certain developments.

During these processes, various weaknesses were identified within the operational procedures and control of workflow with regards to administration cycles within the Municipality.

In the light of the above it is important that these weaknesses are identified and that certain strategies, policies and procedural guidelines be introduced in order to ensure that administrative procedures are effectively managed and controlled in line with Statutory and Legislative guidelines.

In an attempt to design a policy and procedural manual it is important that one establish and research as to what risks exist within the Municipality and possible loopholes within the approval processes.In as much as the risk areas that have been identified it is also necessary to research risk control factors and means of securing the processes as well as to equip the SBU with adequate and secure document recording and routing programs.

As part of the research various areas of concern relate to:

  • Recording of communication and/or of information and discussions between the developers and the Municipality.
  • Control with respect to whether applications are dealt with according to the correct procedures.
  • Acknowledgement of applications that are submitted.
  • Timeframes for the circulation and processing of the applications.
  • Date/time recordings of discussions and or feedback communication between the Municipality and the developer.
  • Corruption activitieswithin the system.
  • Internal communication between other SBU’s.
  • Inspections.

It is for this reason and that control measures and procedures need to be implemented in order to not only minimize and restrict administrative errors but also to set clear guidelines as to which processes are to be followed with regard to the workflow of documentation and enforce stringent control measures in the likelihood of corrupt activities.

3. POLICY OBJECTIVES

The policy aims to set a clear directive on the guidelines and procedures as to which processes are to be followed with regard to the workflow of documentation. It also aims to enhance service delivery by ensuring effective processing of applications without plans being lost or delayed. Through this entire process the Policy also attempts to ensure that accurate recording of documentation is made on all applications in order to minimize administrative errors specifically where matters are referred to in legal disputes.

4 LEGISLATION AND POLICY PERSPECTIVE

The following legislative requirements are used by the SBU on a daily basis in the application and enforcement of the Act on National Building Regulations and Building Standards (Act 103 of 1977) as well as in the evaluation and approval of building plans, hoarding, demolition and other applications in terms of the following:

  • The National Building Regulations Act (Act 103 of 1977)
  • Act on architects (Act 35 of 1970)
  • The Polokwane Seshego Perskebult Town Planning Scheme
  • Polokwane building by-laws

5.STATUS QUO ANALYSIS (WEAKNESSES AND RISKS)

Currently the SBU is experiencing various challenges in relation to day to day operations. Weaknesses and risks in various aspects of operations have been identified and correctivemeasures and procedures are discussed in broader context herein:

5.1Recording of applications

All applications that are made to the Municipality are to be accurately recorded insofar the specific application, dates times and client information. Where lacking, additional application forms as well as continuous review and evaluation of the forms needs to be conducted on an annual basis. In all of the areas there is a need to acknowledge receipt of the applications as well as to have an effective recording thereof.

5.2Communication.

In order to enhance service delivery and protect the interest of both the developer and the Municipality it is proposed that, in as much as previously discussed herein with respect to the recording of information, there should also be a way in which communication between the client and Municipality is accurately recorded.

  • Enquiries are conducted by means of client queries at the front helpdesk.
  • Majority of enquiries are telephonic as to the status of application or the requesting of inspections.

Although it may be not possible to record every enquiry information such as status updates and general enquiries it is vital that requests for shortcomings and rectifications need to be communicated to the clients and to be effectively recorded.

5.3Archives and safekeeping of documents.

As identified and discussed with regards to the recording of information it is also noted that the archiving of the plans and access to files needs to be restricted over and above current measures that are in place. Security in this area needs to be implemented due to the fact that:

  • Information and plans can easily be disclosed to persons that may have conflict of interest in such information.
  • Files and plans can be removed from the offices by internal staff members.
  • Information and plans can be tampered with.

5.4 Scanning of documents.

All building plans and documents are filed in the archives in the building section. There is a great need for an additional means of back-up recording of the documents and plans.

  • Electronic recording of documents needs to be implemented in order to ensure that the Municipality will have a back-up system of records in the event of a fire.
  • Files can be lost or be deliberately removed from the Municipal archives.
  • Files can be altered and tampered with prompting a risk specifically relating to matters of litigation.

5.5Access to information.

As indicated in 5.3 herein above it is also vitally essential that certain measures be put in place that will restrict the access and disclosure of any information to members of the public.

Such measures are to be in line with the Policy on Access to information and staff members are to be informed of this Policy. It has to be clearly indicated that the wrongful disclosure of information is to be seen as a severe risk to the Municipality and that such conduct is to be dealt with accordingly.

5.6Plan copies.

The Municipality engages the use of a service provider to provide an A0 plan copier to the Municipality. One of the problems experienced is that:

  • The services of the service providers are unreliable.
  • Copiers experience mechanical breakdowns and the Municipality cannot render the service.
  • Clients and in cases over a long period of time.

Service level agreements are to be engaged between the service provider and the Municipality and in the event that the service agreements are not met the service provider should be held liable for penalties wherein the service is not rendered within 48 hours of report.

5.7Plan approval database/GIS.

During the period 2000 to 2006a building control database was linked to the GIS of the Municipality.In August 2006 the GIS system of the Municipality crashed. Various service providers had been appointed over a number of years in attempt to rectify the database according to the needs. The functions of the database included amongst others the following:

  • All applications are registered in the database.
  • The database is also linked to the financial system of the Municipality.
  • Plan approval and construction activity is recorded during the development phase.
  • Occupation certificates are generated once all processes had been followed.
  • The database gathers the owner details and address directly from the financial system.
  • Automatically generates contravention notices.

Currently the GIS system is not only dysfunctional but still does not address the needs of the SBU with regard to the database.

5.8Legal Processes.

Building inspectors are trained and qualified Peace Officers in that on appointment they undergo a Law enforcement course. Notices are issued to offenders for non-compliance to the Act on National Building Regulations and Building Standards. Compliance is enforced as follows:

  • First notice (7 days).
  • Second notice (7 days)
  • Final notice. (7 days)
  • The matter is forward to Secretariat and Legal services for further action.

In general the Municipality obtains approximately 75 % compliance. The challenge thereafter is that notices are referred to Legal Services for further action and it does not go further. The delay in reaction time also poses a risk to the Municipality.

5.9Building Control Officer.

The Act on National Building Regulations states that the Local Authority shall appoint a Building Control Officer who shall report and account to the Council regarding building plans and activities within its jurisdiction. Over a number of years the appointment of the building control officer has been under question and this has created a serious risk to the Municipality specifically in matters of dispute and litigation.

5.10 Evaluation and approval of applications.

In as much as what will be discussed as a risk in workflow procedures not being followed, there is a serious risk in erroneous approval of applications and building plans lodged to the Municipality for approval. In some cases approvals have been granted with respect to building plans, inspections and certificates of occupancy and whereas the approval is in contradiction to the Act on Building Regulations and building Standards and/or the Town planning scheme. These risks include:

  • Approval of plans wherein land use rights are not obtained.
  • Approval of plans wherein special consents and/or building line relaxation has not been approved.
  • Approval of inspections whereas the standard of work or the use of materials is in contradiction to the Act.
  • Approval of Occupation certificates whereas compliance to the Act has not been maintained.
  • The issuing of fraudulent Certificates.

5.11Workflow.

Although weaknesses have been identified within the workflow process, it must be noted that the current workflow process does address the desired outcome in as much as the circulation of documents for approval. Yet in this process it is discovered that opportunities exist in which certain building plans or applications could be expedited whilst others are delayed and/or intentionally lost or misplaced from time to time.

The processes need to be outlined in so much as to prescribe the procedures so as to ensure that staff members are bound to the policy.

5.12Other SBU’s

In as much as the manual attempts to address procedural guidelines with respect to the operation of the SBU and the handling of documentation it must be noted that the SBU Housing and Building Inspections relies on comments and recommendations from various other SBU’s in the approval process of applications received. The SBU’s include amongst others:

  • Electrical department
  • Health department
  • Spatial Planning and Land use
  • Roads and Storm water
  • Water and sanitation
  • Fire Department

It is key that the policy be extended to include these SBU’s in an attempt of understanding the procedures and risks as well as the role that each SBU will play in this process and specifically moreover relating to timeframes in which an application must be considered.

6. STRATEGIES AND PROGRAMS

In order to address the above mentioned shortcomings and risks it is proposed that certain strategies and programs be identified and implemented over a period of time.

Key areas of concern that have the highest risk implication are to be addressed immediately in terms of workflow processes and delegation of powers. The programs and processes will, in some cases, have a considerable financial implication. It must be accepted that the SBU is facing huge challenges in this area of operation.

The strategies and programs are identified and discussed as follows:

6.1Recording of applications.

An efficient record keeping system needs to be introduced within the SBU. Some of the programs are based on operational procedures and will not require budgetary expenses. Where programs do require capital budget this will be indicated as well as the risk level rating towards the Municipality.

Program / Risk indicator / Timeframe target / Budget requirement
Necessary forms are to be designed to address all types of applications dealt within the SBU. / High / 01 June 2012 / Nul
Stamp of acknowledgement of receipt to be designed and purchased. / Moderate / Complete / R550-00
Design and implementation of a detailed operational manual. / High / 01 June 2012 / Nul

6.2Client/Municipality communication.

Although the most common and easiest form of communication is by way of open discussions and telephone calls and meetings, there is a need to cultivate a culture or habit within the Municipality of accurately recording communication as to (who/what/ when and why).

  • Verbal discussions must be confirmed by means of e-mail or written communiqué.
  • Develop a process and train staff members.
  • Installation of an Automatic Call Attendant.
  • Status updates which must be sent to the applicant via e-mail or SMS.

From within the above a need has been identified for theinstallation of an Automatic Call Attendant whereby clients will be able to be routed to the correct officials or call centre for status updates on applications as well as to book inspections.The calls may also be recorded for record purposes as well as for quality and training purposes.

It is furthermore recommended that all recordings or status updates with regard to applications be sent to the applicant via e-mail or SMS.

Program / Risk indicator / Timeframe target / Budget requirement
Recording of information (training program) / Moderate / Ongoing / Nul
Installation of Automatic Call Attendant / Moderate / 01December 2012
Installation of SMS program at the Building Section / Moderate / 01December 2012

6.3Archives and safekeeping of documents.

Archiving and safekeeping of documents is essentially the operational core within the Municipality and especially whereas the recording of information regarding approvals and consents by the Municipality. Although the SBU is moving towards the scanning of plans and information, the documents and plans in the archives should be protected from being accessed by any person that does not have interest therein.

Means of securing the archives and information will include the following:

  • The archive area is to be secured with a gated electronic access control system.
  • Only designated staff members will have access to this area.
  • Persons wishing to withdraw plans will be required to sign out the plans but also indicate the reason that they request the plans or information.
  • An accurate recording and document tracking is to be conducted on a weekly basis for plans that have not been returned.

6.4Scanning ofdocuments.

The scanning of documents and building plans needs to receive priority attention. It is proposed that the scanning of the plans be divided into two separate categories or projects but that these projects run concurrently with each other:

  • Backlog scanning (outsource).

In this first category it is proposed that the scanning of all of the building plans to date be outsourced. A service provider will be requested to provide the scanning equipment and staff and physically do the scanning at the Municipality. This would be seen as a capital project and it is estimated that the duration could be over a period of two to three years depending on budgetary constraints.

The program should be placed on the multi year budget as a Capital project. Due to the amount of plans and documents that is currently in the archives it is estimated that it could take between 2 to 3 years to scan and record the information into the system and also to migrate and hyperlink the information into the GIS.

  • Daily scanning (in-house).

During the same period all new building plans submitted on a daily basis need to be scanned into the system. These plans will be scanned in-house by the administrative staff. This process is to be seen as a daily operational procedure. No additional funding will be required to the fact that this will form part of an operational process within the SBU and will be covered by the operational budget.It is also proposed that a scanner be bought or rented by the Municipality so as to enable the SBU to record all new applications on a daily basis.

Program / Risk indicator / Timeframe target / Budget requirement
Scanning of plans and documents (Backlog to be outsourced) / High / Multi-year program (3 years) / R1 Mil/annum
Renting of A0 scanner / High / 01December 2012
Scanning of documents and plans on a daily basis / Moderate / Ongoing / Nul

6.5Access to information.

According to the Policy on Access to Information all requests for information are to be forward to the Building control officer in writing. No information, plans or files will be allowed to leave the Municipality without written consent from the Building Control Officer. Access for plan copies or to view plans by a client must include the following:

  • Letter of consent (form) is to be completed by the owner of the property in question indicating that the plans can be copied or viewed by the Architect or person having interest therein.
  • A copy of the identity document of such owner.
  • Proof of ownership of the property.
  • Reason for disclosure of information.

6.6Plan copies.