licensing procedure manual may 08 mid size · 2014. 11. 18. · finaltranscript confirming...
TRANSCRIPT
PROCEDURES MANUAL
FOR THE
LICENSING BRANCH
HOME BUILDING SERVICE
OFFICE OF FAIR TRADING
MAY 2008
Reviewed and updated February 2009
INDEX
1. Overview 5 Role of Licensing Branch and O� cers 5
Guarantees of Service/Branch Service Standards 6
2. Assessments 7 Licensing Requirements for Applicants 7
Trade Categories – Individual, Quali� ed Supervisor 13
Building Categories – Individual, Quali� ed Supervisor 18
Company/Partnership 23
Plumbing – Tradesperson Certi� cate 27
Plumbing – Individual, Quali� ed Supervisor 33
Electrical – Individual, Quali� ed Supervisor 40
Restricted Electrical – Quali� ed Supervisor 46
Airconditioning & Refrigeration – Individual, Quali� ed Supervisor 51
Building Consultancy Licence 56
Statements of Practical Experience 62
Mutual Recognition 64
3. Existing Authorities 67 Exceptional Assessment 67
Variation to an Authority – Change in Class-Condition-Restriction 69
Flowchart – Assessment Process 71
Application Assessment Sheet 72
Renewals and Restorations 74
Renewals and Restorations Flow Chart 77
Nominated Quali� ed Supervisor 78
Section 131 Certi� cates 82
Companies – Change in Details 84
Partnership – Change in Details 86
Surrender of an Authority - Deceased Authority 88
Continuing Professional Development 90
Cancellation of an Authority 93
Change of Address 96
4. Fit and Proper 99 Financial History 99
Financial History Flow Chart 108
Unreasonable Number of Complaints, Claims, Compliance Action 109
Unsatis� ed Tribunal Orders 112
Criminal History 115
Policy & Guidelines for Fit and Proper 117
5. Internal Review 127
6. Administration 133 Receipting & Banking 133
Refunds 134
Refund Request Form 135
Dishonoured Cheques 136
Declined Credit Cards 137
Delegations 139
Format of Letters 145
File Notes 146
PAG
E 5
CH
AP
TE
R O
NE
OV
ER
VIE
W
1. Overview
Role of Licensing Branch and O! cers
Role of Home
Building
Licensing
Branch
The Home Building Licensing Branch under delegation:
Assesses applicants’ suitability for a licence, or the renewal of a licence, under the
legislative provisions,
Maintains the public register of licence holders,
Reviews licence holders’ ongoing suitability to continue to hold an authority,
Maintains changes and variations to existing licence holders.
Role of O! cers O! cers are responsible for carrying out the Branch functions as outlined above in
accordance with:
� Legislative, procedural and policy requirements,
� Within guarantee of service standards,
� ethical practices, and
� Department of Commerce’s Code of Conduct.
Con" ict of
Interest
Any o! cer assessing an application (includes new application, renewal & owner-
builder permit where there is a con" ict of interest (For example, the applicant is
personally known to o! cer) must declare their interest to the Team Leader who will
re-assign the matter.
PAG
E 6
CH
AP
TE
R O
NE
OV
ER
VIE
W
Guarantees of Service
New Applications 30 working days
Mutual Recognition 1 calendar month
Renewals/Restorations 14 calendar days
Internal Review 28 calendar days
Branch Service Standards
Response to enquiries 1 business day
Response to general correspondence 10 business days
Ministerial Correspondence As nominated by MECB
Other Service Standards
Receipting of Payments Day of receipt
Processing of Refunds 5 business days
PAG
E 7
CH
AP
TE
R T
WO
AS
SE
SS
ME
NT
S
2. Assessment
Licensing requirements for applicants
À Applications assessed within 30 working days
1. Reference Information
When a Licence
is required
A licence is required to contract, subcontract and/or advertise to carry out:
� all residential building work where the current market value of labour and
materials is more than $1,000 (GST included);
� all electrical wiring work (including domestic, commercial or industrial);
� all plumbing, draining and gasfitting work (including domestic, commercial
or industrial);
� all air conditioning and refrigeration work (except on a self-contained, single
phase plug-in domestic system or an air conditioning system in a motor
vehicle); and
� supply of kit homes where the contract price for the set of building components
is $1,000 or more.
� building consultancy work including the co-ordinating or supervising of
inspections of dwellings and reporting on their condition, or inspection and i
supply of reports in respect of specialist work.
Eligibility to
obtain an
authority
To be eligible for the issue of an authority, the applicant:
1 must be 18 years or over (s.6) (includes individuals, partners and directors);
2 must not be a current trainee or an apprentice;
3 must not be a mentally incapacitated person;
4 must be capable and have relevant qualifications and experience to door
supervise the work; and
5 must be a fit & proper person.
In addition to the eligibility, the applicant must not be:
1 a director/partner or manager in a disqualified business entity within the last
three years (unless the DG is satisfied that the applicant took all reasonable
steps to prevent the conduct that led to the disqualification);
2 currently or in the past three years, a bankrupt or does not have a directorship
or management role in a business entity which is subject to a winding up order
(unless the application is for a Tradesperson Certificate).
PAG
E 8
CH
AP
TE
R T
WO
AS
SE
SS
ME
NT
S
Types of
Authorities
Authorities may be issued as:
Individual contractor licence
Company contractor licence
Partnership contractor licence
Qualified Supervisor Certificate
Tradesperson Certificate (Plumbing only categories)
Tradesperson Certificate (Provisional) - Vetassess applicants only
Building Consultancy Licence
Provisional Tradesperson Certificate (specialist classes)
Class of Work The class of work for which an authority may be issued are prescribed by the Home
Building Act and are listed on the website.
Qualifications The Home Building Act requires the Commissioner to determine acceptable
qualifications for each class. Licensing officers are to assess applications within
these requirements.
Applications that are exceptional in their circumstances may be referred to the
Exceptional Assessment Panel.
Assessment
Criteria
The assessment process looks at the following key areas of information in order to
assess the individual applicant’s eligibility: These are:
Qualifications
Refer to website for the qualifications for building and trade. Specialist classes
(categories) are outlined on individual application forms.
Fit and Proper
Fit and proper encompasses a range of factors used to determine whether an
applicant (or any relevant person to an application) is of a reasonable character. To
determine this, the following criteria is identified in the legislation:
� Compliance History;
� Financial History;
� Criminal History;
� Is not subject to an unsatisfied Tribunal order.
PAG
E 9
CH
AP
TE
R T
WO
AS
SE
SS
ME
NT
S
Additional
Requirements
Companies /
Partnerships
Qualified Supervisor
A company or partnership cannot be issued with a contractor licence unless the
company or partnership has such numbers of nominated supervisors to ensure
that all work for which the contractor licence is required will be done supervised by
qualified individuals.
The class of licence issued to a company/partnership will reflect the class held by
the supervisor/s. Changes to the authority held by the supervisor/s must be reflected
in the company/partnership.
(cl.26(1)(a). Generally speaking one nominated supervisor is adequate for most
instances. This does not preclude a company or a partnership having numerous
nominated supervisors.
Financial History
Each relevant person in relation to an application for an authority is not currently,
or in the last three years, bankrupt or a director or person concerned in the
management of a company that is the subject of a winding up order or for which
a controller or administrator has been appointed (cl.25(1)(xii) and (xiii). Refer to
Financial History Procedure.
2. Procedures
Refer to relevant Procedure depending on type of authority and class of licence as
follows:
Trade Categories – Individual, Qualified Supervisor
Building Categories – Individual, Qualified Supervisor
Company/Partnership
Plumbing – Tradesperson Certificate
Plumbing – Individual, Qualified Supervisor
Electrical – Individual, Qualified Supervisor
Restricted Electrical – Qualified Supervisor
Air conditioning & Refrigeration – Individual, Qualified Supervisor
Tradesperson Certificate (Provisional) - Vetassess applicants only
Building Consultancy Licence
PAG
E 1
0C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Proof of identity
1. Relevant Information
Background From 1 March 2006, individuals applying for a new licence or certificate require proof
of identity (POI). The requirement was introduced to minimise the potential occurrence
of identify fraud across the industry.
Applies to Any individual application for a licence (across all categories).
Any application for a qualified supervisor certificate (across all categories).
A tradesperson’s certificate (issued in plumbing categories and to Vetassess applicants
only).
An individual application for building consultancy licence.
Any variation to class/category of an existing individual or qualified supervisor licence.
An application under Mutual Recognition (to be introduced in 2008).
Exemptions The POI relates to individuals only and does not apply to applications by company or
partnerships.
POI is only required for new or varied class applications and is not required for
renewals.
Evidence
Required for POI
To comply with POI, applicants are required to provide:
� identification from two groups of documents - one document from POI List 1 and
two documents from POI List 2 as described below; and
� a passport quality photograph.
POI List 1 documents are:
� a current Australian photo driver’s licence or other current photo card issued by a
State or Territory Government agency;
� a current Australian passport;
� a current non-Australian passport.
Note: The POI List 1 document must show the day, month, and year of your birth, and
a photograph.
PAG
E 1
1C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
POI List 2 documents are:
� a current Medicare card;
� a current credit card;
� a current passbook or account statement from a bank, building society or credit
union, up to one year old;
� a telephone, gas or electricity bill up to one year old;
� a water rates, council rates or land valuation notice up to one year old;
� a residential tenancy agreement;
� an electoral enrolment card or other evidence of enrolment not more than two
years old;
� a current student Identity card or a certificate or statement of enrolment up to two
years old from an education institution.
Note: One POI List 2 document must show the applicant’s current address.
Lodging an
Application & POI
In order to meet POI requirements, an applicant must visit a Fair Trading Centre or
Government Access Centre to enable checking of their identity.
FTC staff therefore have primary responsibility for ensuring the true identity of an
applicant.
Where an applicant is unable to visit an FTC or GAC due to extenuating circumstances
(ie, they are overseas/interstate), the applicant may lodged copies of the evidence
required certified by an acceptable official as being a true copy of the original. An
acceptable official is:
� Police Officer;
� Clerk of the Court;
� Local Member;
� Australian High Commission/Australian Embassy.
2. Procedure
Online Not Applicable
FTC On lodgement, request applicant supply evidence as outlined above.
Officers are to check the identification as follows:
1. Compare photo identification from POI List 1 with passport photo affixed to the
application for likeness. If substantially different, identification may be refused and
applicant requested to produce further photo identification.
2. Check address on POI List 2 is current and consistent with address provided on
application.
PAG
E 1
2C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
3. Check spellings of name on all identification shown and ensure it is consistent with
spelling of name on application. The application must be made in the legal name
(ie no nicknames, shortened names, middle name first, etc). Any difference
between names on the evidence provided by the applicant will require either:
� provision of further consistent identification, or
� proof of change in name from Registry of Births Deaths and Marriages.
Complete POI information on application form.
Sign application to declare compliance with POI.
HBL On receipt of the application, HBL are to check that POI has been completed and
signed on the application by FTC/GAC officer.
Where POI is not completed, the application must be returned to the applicant and the
applicant requested to visit an FTC or GAC to enable completion of POI.
PAG
E 1
3C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Trade CategoriesIndividual, Qualified Supervisor
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Qualified
Supervisor Certificate
Work Performed Refer to Website
Statements
Of Practical
Experience
Not required for most trade categories as there is no experience pathway for
qualification.
Exceptions being Mechanical Services and Swimming Pool Repairs and Servicing.
Refer to Statements of Practical Experience Procedures.
Qualifications Pathway Evidence Required
1 Certificate III for relevant category
(refer to website)
Final transcript confirming “Eligible to
Receive Certificate”
Certificate issued by RTO or Vetassess
certificate (carpenter, joiner or bricklayer
only)
2 Previous superseded qualifications
relevant to the category
(refer to website)
As above
If previously lodged qualifications are
on file, accept subject to confirmation of
original file.
3 Previously held licence in same category. Nil.
Check GLS records to verify licence
category, and expiry.
4 Mechanical Services only
Licence skills assessment by RTO
Assessment results from RTO
5 Swimming Pool Repairs & Servicing only
- Completion of SPASA course
or
Licence skills assessment by RTO
SPASA certificate showing completion of
course
or
Assessment results from RTO
PAG
E 1
4C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
2. Procedure for Trade Categories – Individual, Qualified Supervisor
Online Not Available
Step 1. Check the application as follows (FTC and HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
Section 2
Details of
Applicant
Applicant has provided full details and these details match POI and qualifications. See
below Assessment Procedures.
Note: Initials not acceptable – name must be in full.
Residential or Business Address must not be a PO Box.
Where no business address provided, residential address to be used as a business.
Section 3
Category of
Work
Ensure category/class has been nominated and is consistent with qualifications
provided.
Check the classes ticked. It is not necessary to tick additional classes if the work done
is already in the primary category/class. For instance, an application for Carpentry
does not need to tick Flooring as this work is already included in the Carpentry scope.
Section 4
Current or
Previous
Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Quals,
Experience
References
Ensure evidence of qualifications as outlined above is provided in either:
- an original document which is copied and cited by the officer as a true copy of the
original;
- a copy of the original document cited by a JP as a true copy of the original.
Where statement of practical experience is required (Mechanical Services and
Swimming Pool Repairs and Servicing only), check the statement as outlined in
References – Statement of Practical Experience Procedures.
Section 6
Experience
History
To be completed by applicant for specific categories as outlined in the application.
Section 7
Financial &
Criminal
History
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant “Application –
Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
PAG
E 1
5C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 8
Home Warranty
Insurance
Applies to Building Applications only.
Section 9
Declaration
& Photograph
Ensure the applicant enters their name in both places. In order to comply with
legal declaration requirements, the applicant must sign and date the declaration.
Applications cannot be processed without a signature.
Check photo is a true likeness of the applicant.
Section 10
Checklist
For completion by the applicant.
Section 11
Office Use
Complete as per POI Procedures
Important: Where there are any discrepancies in identity (ie difference names on
evidence provided) take copies of the evidence used (eg driver’s licence) and attach
to the application.
Section 12
Receipting
Must be completed by officer accepting application.
Step 2. Assessment Procedure –Trade
FTC Refer application to HBL for Assessment.
HBL
Identity of
Applicant
Complete for All Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible to
apply, staff are to pay particular attention to ensuring the identity of the person. Check
the following:
� applicant is 18 years or over (under 18 ineligible to apply);
� is not a trainee or apprentice;
� check names and spelling are identical on application, POI and qualifications;
� application is made in the legal name;
� where there is a difference in name, applicant to provide evidence of name
change. Acceptable evidence is a copy or certified copy of Registry of Births,
Deaths and Marriages document.
If any concerns regarding the identity of the applicant, refer to HBL for further
assessment.
PAG
E 1
6C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Previous
licence history
Complete for All Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications, any
unsatisfied Tribunal orders, compliance action (penalties or breaches) or insurance
claims.
If applicant is under 21 years of age complaint and compliance history does not have
to be checked (unless answer YES to questions in section 7).
Assess as per Unreasonable Number Procedures.
Complete for all declared occurrences and random audits.
Request CAS search for unreasonable number of complaints.
Assess as per Unreasonable Number Procedures.
Fit and Proper Complete for all declared occurrences and random audits.
Check Section 7. Financial and Criminal History for any Yes responses.
If applicant has answered Yes to any question:
� check adequate information provided to assess application;
� undertake additional searches if necessary; and
� send correspondence to obtain additional information if necessary.
Assess as per relevant Fit and Proper Procedures.
Quali! cations Complete for All Applications
Check that correct evidence is provided for relevant qualification pathway.
Check documentation provided is certified by JP or FTC as a true copy of the original.
Check the qualification is provided in the identical name as the applicant. If not,
qualification cannot be accepted for approval. The applicant will need to arrange for
re-issue of qualification under correct name or, provide evidence of a change in name
(eg marriage certificate). This evidence must be an original or a copy certified by a JP.
If previously licensed further qualification documentation is not required.
Complete for random audits
HBL will conduct regular audits of applications to verify the authenticity of
qualifications.
Audits to be conducted in accordance with Policy and Guidelines for Fit and Proper.
Statements
of Practical
Experience
Complete for All Applications
Where required, assess statement in accordance with Statement of Practical
Experience Procedures.
For Mechanical Services and Swimming Pools Repairs and Servicing, if reference
acceptable then send letter of referral to undertake licence assessment if required.
Checklist Complete for All Applications
Complete assessment checklist.
PAG
E 1
7C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Determination Complete for All Applications
Determine application based on all available information and in accordance with HB
Licensing Procedure Manual and legislative requirements.
Complete a recommendation on the checklist.
Where application is unusually complex or there are extenuating circumstances
consider referral to Exceptions Panel as per Exception Assessment Procedures.
Check GLS data Complete for All Applications
Ensure accurate data entry of applicant’s details prior to updating determination in
GLS.
Approved
Application
Approval to be undertaken by a delegated officer.
Update assessment sheet with approval determination.
Complete GLS data as per GLS procedures.
Complete File Records.
Refused
Application
Note: Where an application is refused, OFT must provide all reasons for refusal. For
example, where an applicant does not have sufficient qualifications a full audit of the
application is required before the refusal is made to enable any further grounds to be
identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee in GLS.
Requisitioning
Information
Where additional information/evidence is required, officers are to:
� contact the applicant by telephone in the first instance;
� where the information required is complex, a letter may also be forwarded to the
applicant confirming the information requested by phone. Attach letter to GLS
record;
� note GLS with a record of the contact and the information requested;
� retain the application until the agreed time for supply;
� if information is not provided and/or applicant fails to contact, the application is
refused as per above.
PAG
E 1
8C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Building CategoriesIndividual, Qualified Supervisor
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Building
Consultancy Licence, Qualified Supervisor Certificate or Tradesperson Certificate
Work
Performed
Refer to Website.
Statements
Of Practical
Experience
Required for general building work and swimming pool building.
Exceptions being Prefabricated Metal Framed Home Additions, Structural Landscaping
and Kitchen Bathroom and Laundry Renovations, Supply of Kit Homes
Qualifications Pathway Evidence Required
1 Certificate for relevant category (refer to
website)
Final Transcript confirming “Eligible to
Receive Certificate”
Certificate Issued by RTO as above.
2 Previous superseded qualifications relevant
to the category (refer to website) As above
3 Previously held licence in same category
expiring not more than 2 years ago.
Nil
Check GLS records to verify licence
category, and expiry.
4 Supply of Kit Home Nil qualifications required
5 Swimming Pool Builder Nil qualifications required
2. Procedure
Online Not Available
Step 1. Check the application as follows (FTC and HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
PAG
E 1
9C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 2
Details of
Applicant
Applicant has provided full details.
Note: Initials not acceptable – name must be in full.
Residential or Business Address must not be a PO Box.
Where no business address provided, residential address to be used as business.
Section 3
Category/
Class of Work
Ensure category/class has been nominated and is consistent with qualifications
provided.
Check the classes ticked. It is not necessary to tick additional classes if the work
done is already included in the primary category/class. For instance, an application
for general building work does not need to also tick any trade category as this work is
already included building.
Section 4
Current or
Previous Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Quals,
Experience
Statements
of Practical
Experience
Ensure evidence of qualifications as outlined above is provided as either:
- an original document which is copied and cited by the officer as a true copy of the
original;
- a copy of the original document cited by a JP as a true copy of the original.
Where a statement of practical experience is required (general building work and
swimming pool building only), check the statement as outlined in References –
Statement of Practical Experience Procedures.
Section 6
Experience
History
To be completed by applicant for Building and Swimming Pool Building only.
Section 7
Financial &
Criminal
History
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant
“Application – Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
Section 8
Home Warranty
Insurance
Applies to all Building Applications. Must either supply Certificate of Eligibility or
Certificate of Home Warranty Insurance or exemption will automatically be granted and
condition placed on licence.
PAG
E 2
0C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 9
Declaration
& Photograph
Ensure the applicant enters their name in both places and signs. Applications cannot
be processed without a signature.
Check photo is a true likeness of the applicant.
Section 10
Checklist
For completion by the applicant.
Section 11
O! ce Use
Complete as per POI Procedures.
Important: Where there are any discrepancies in identify (ie different names on
evidence provided) take copies of the evidence used (eg drivers licence) and attach to
the application.
Section 12
Receipting
Must be completed by officer accepting application.
Step 2. Assessment Procedure – Building
FTC Refer application to HBL for Assessment
HBL
Identity of
Applicant
Complete for all Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible to
apply, staff are to pay particular attention to ensuring the identity of the person. Check
the following:
� applicant is 18 years or over (under 18 ineligible to apply);
� is not a trainee or apprentice;
� check names and spelling are identical on application, POI and qualifications;
� application is made in the legal name;
� where there is a difference in the name, applicant to provide evidence of name
change. Acceptable evidence is a copy or certified copy of Registry of Births,
Deaths and Marriages document.
If any concerns regarding the identity of the applicant, refer to HBL senior officer for
further assessment.
PAG
E 2
1C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Previous licence
history
Complete for all Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications, any
unsatisfied Tribunal orders, insurance claims or compliance action. Check CAS for any
adverse entries relating to the applicant.
Assess as per Unreasonable Number Procedures and existing complaints, investigations or
rectification orders.
Fit and Proper Complete for all declared occurrences and random audits.
Check Section 7 of application form for Financial and Criminal History for any Yes
responses.
If applicant has answered Yes to any question:
� check adequate information provided to assess application
� undertake additional searches if necessary
� send correspondence to obtain additional information if necessary
Assess as per relevant Fit and Proper Procedures.
Qualifications Complete for all applications
Check that correct evidence is provided for relevant qualification pathway.
Check documentation provided is certified by JP or FTC as a true copy of the original.
Check the qualification is provided in the identical name as the applicant. If not,
qualification cannot be accepted for approval. The applicant will need to arrange for
re-issue of qualification under correct name or, provide evidence of a change in name
(eg marriage certificate). This evidence must be an original or a copy certified by a JP.
If previously licensed within 2 years of application further qualification documentation
not required.
Complete for Random Audits
HBL will conduct regular audits of applications to verify the authenticity of
qualifications.
Audits to be conducted in accordance with Policy and Guidelines for Fit and Proper.
Statements
of Practical
Experience
Complete for all applications
Where required, assess statement in accordance with Statement of Practical
Experience Procedures.
For Swimming Pool Builder, if reference acceptable then send letter of referral to
undertake licence assessment if required.
Checklist Complete for all applications
Complete assessment checklist
PAG
E 2
2C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Determination Complete for all applications
Determine application based on all available information and in accordance with HB
Licensing Procedure Manual and legislative requirements.
Complete a recommendation on the checklist.
Where application is unusually complex or there are extenuating circumstances
consider referral to Exceptions Panel as per Exception Assessment Procedures.
Check GLS
Data
Complete for all applications
Ensure accurate data entry of applicant’s details prior to updating determination in
GLS
Approved
Application
Approval to be undertaken by a delegated officer
Update assessment sheet with approval determination.
Complete GLS data as per GLS procedures.
Complete File Records.
Refused
Application
Important: Where an application is refused, OFT must provide all reasons for refusal.
For example, where an applicant does not have sufficient qualifications a full audit of
the application is required before the refusal is made to enable any further grounds to
be identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee if no review requested.
If review requested, refer to Internal Review Procedures.
Requisitioning
Information
Where additional information/evidence is required, officers are to:
� contact the applicant by telephone in the first instance;
� where the information required is complex, a letter may also be forwarded to the
applicant confirming the information requested by phone. Attach letter to GLS
record;
� ensure both telephone and mail contact provide a timeframe for responding;
� note GLS with a record of the contact and the information requested as per File
Note Procedures;
� retain the application until the agreed time for supply;
� if information is not provided and/or applicant fails to contact, the application is
refused as per above.
PAG
E 2
3C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Company/Partnership Licence
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Building
Consultancy Licence, Qualified Supervisor Certificate or Tradesperson Certificate
Work
Performed
Depends on the licence/certificate category of nominated qualified supervisor.
Statements
of Practical
Experience
Not relevant.
Quali! cations Qualifications are not required for a company or partnership. The category/class of
work is dependent on the category/class of the nominated supervisor. Assessment
for the purpose of company/partnerships is limited to assessing the supervisor in
accordance with Nominated Qualified Supervisor Procedures.
2. Procedure for Trade Categories – Individual, Qualified Supervisor
Online Not Available
Step 1 - Check the application as follows (FTC & HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
Section 2
Name and
Address
Applicant has provided full details.
Note: Name must be in full.
Business Address must not be a PO Box.
Section 3
Category
of Work
Ensure category has been nominated and is consistent with nominated supervisor.
Check the classes ticked. It is not necessary to tick additional classes if the work
done is already included in the primary category/class. For instance, an application
for general building work does not need to also tick any trade category as this work is
already included in building.
PAG
E 2
4C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 4
Current or
Previous
Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Nominated QS
or Nominated
Person
Ensure that supervisor’s details are completed in full including the supervisor’s
signature and dated declaration.
Note no nominated supervisor required for Supply of Kit Homes.
Section 6(a)
Details of
Company
Directors/
Partnership
Members
Must be completed in full including all directors/member’s full names and date of birth
details.
Section 6(b)
Details of
Company
Directors/
Partnership
Members
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant “Application
– Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
Section 7
Home Warranty
Insurance
Applies to all Building Applications. Must either supply Certificate of Eligibility or
Certificate of Home Warranty Insurance or request an exemption.
Section 8
Declaration
& Photograph
Ensure that declaration is completed and signed by all directors/members and dated.
Applications cannot be processed without a signature.
Section 9
Application
Fee
Where paying by credit card must be fully completed signed and dated by cardholder.
Receipting
Panel
Must be completed by officer accepting application.
PAG
E 2
5C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Step 2 - Assessment Procedures – Company/Partnership
FTC Refer application to HBL for Assessment
HBL
Identity of
Applicant
Complete for All Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible
to apply, staff are to pay particular attention to ensuring the identity of the person/
company. Check the following:
� applicant (Directors and Members) are 18 years or over (under 18 ineligible to
apply); and
� application is made in legal name.
Previous
licence
history
Complete for All Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications, any
unsatisfied Tribunal orders, compliance action (penalties or breaches), or insurance claims.
This includes the company/partnerships’ licence history and all directors/members. Check
CAS for any adverse entries relating to the applicant or parties to the application.
Assess as per Unreasonable Number Procedures and existing complaint, investigations or
rectification orders.
Fit and Proper Complete for all declared occurrences and random audits Check Section 6(b).
Financial and Criminal History for any Yes responses.
If applicant has answered Yes to any question:
� check adequate information provided to assess application;
� undertake additional searches if necessary; and
� send correspondence to obtain additional information if necessary.
Assess as per relevant Fit and Proper Procedures.
Nominated
Supervisor
Complete for All Applications
Check that the nominated supervisor/s is appropriately licensed for category applied
for and meets the requirements as per Nominated Qualified Supervisor Procedures.
ChecklistComplete for All Applications
Complete assessment checklist.
DeterminationComplete for All Applications
Determine whether to request additional information or accept or reject the application.
Check GLS data Complete for All Applications
Ensure accurate data entry of applicant’s details prior to updating determination
in GLS.
PAG
E 2
6C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Approved
Application
Approval to be undertaken by a delegated officer.
Update assessment sheet with approval determination.
Complete GLS data as per GLS procedures.
Complete file records.
Refused
Application
Note: Where an application is refused, OFT must provide all reasons for refusal. For
example, where an applicant does not have sufficient qualifications a full audit of the
application is required before the refusal is made to enable any further grounds to be
identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee in GLS.
Requisitioning InformationWhere additional information/evidence is required, officers are to:
� contact the applicant by telephone in the first instance;
� where the information required is complex, a letter may also be forwarded to the
applicant confirming the information requested by phone. Attach letter to
GLS record;
� note GLS with a record of the contact and the information requested as per File
Note Procedures;
� retain the application until the agreed time for supply;
� if information is not provided and/or applicant fails to contact, the application is
refused as per above.
PAG
E 2
7C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Plumbing CategoriesTradesperson Certificate
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Building
Consultancy Licence, Qualified Supervisor Certificate or Tradesperson Certificate
Work Performed Refer to Website.
Referee
Statements
Required for most categories (refer to website).
Pathway Evidence
Required
Qualification Experience
Plumber and/
or Gasfitter
and Drainer
1. Certificate III Referee’s statement
verifying 4 years general
experience
Final transcript
confirming
“Eligible to Receive
Certificate”
Certificate issued
by RTO
2. Craft Certificate or
Certificate of
Proficiency
N/A
3. Experience only Referee’s statement
verifying 6 years general
experience
Water
Plumber
Referee’s statement
verifying 4 years general
experience
Drainer Referee’s statement
verifying 2 years general
experience
PAG
E 2
8C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Water Plumber
– Fire Protection
Systems
1. Fire Sprinkler Fitting
Course
Referee’s statement
verifying 4 years general
experience
Final transcript
confirming
“Eligible to
Receive
Certificate”
Certificate
issued by RTO
2. Craft Certificate or
Certificate of
Proficiency
N/A
3. Experience only Referee’s statement
verifying 4 years
general experience,
then referral to
undertake an
assessment
Water Plumber
– Mechanical
Services
Experience only Referee’s statement
verifying 4 years
general experience
Water Plumber –
Urban Irrigation
Experience only Referee’s statement
verifying 2 years
general experience
Interstate or
New Zealand
Applicants
Certificate of
Reciprocity
All of the above Previously held licence in same category Nil.
Check GLS
records to
verify licence
category, and
expiry.
PAG
E 2
9C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
2. Procedure for Tradesperson Certificate
Online Not Available
Step 1. Check the application as follows (FTC and HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
Section 2
Details of
Applicant
Applicant has provided full details and these details match POI and qualifications. See
below Assessment Procedures.
Note: Initials not acceptable – name must be in full
Residential or Business Address must not be a PO Box.
Where no business address provided, residential address to be used as a business.
Section 3
Category of
Work
Ensure category/class has been nominated and is consistent with qualifications
provided.
Check the classes ticked. It is not necessary to tick additional classes if the work done
is already in the primary category/class. For instance, an application for Carpentry
does not need to tick Flooring as this work is already included in the Carpentry scope.
Section 4
Current or
Previous
Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Quals,
Experience
References
Ensure evidence of qualifications as outlined above is provided in either:
- an original document which is copied and cited by the
officer as a true copy of the original;
- a copy of the original document cited by a JP as a true
copy of the original.
Where statement of practical experience is required (Mechanical Services and
Swimming Pool Repairs and Servicing only), check the statement as outlined in
References – Statement of Practical Experience Procedures.
Section 6
Experience
History
To be completed by applicant for specific categories as outlined in the application.
Section 7
Financial &
Criminal
History
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant “Application
– Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
PAG
E 3
0C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 8
Home Warranty
Insurance
Applies to Building Applications only.
Section 9
Declaration
& Photograph
Ensure the applicant enters their name in both places. In order to comply with
legal declaration requirements, the applicant must sign and date the declaration.
Applications cannot be processed without a signature.
Check photo is a true likeness of the applicant.
Section 10
Checklist
For completion by the applicant.
Section 11
Office Use
Complete as per POI Procedures
Important: Where there are any discrepancies in identify (ie difference names on
evidence provided) take copies of the evidence used (eg drivers licence) and attach to
the application.
Section 12
Receipting
Must be completed by officer accepting application.
Step 2. Assessment Procedure – Tradespersons Certificate
FTC Refer application to HBL for Assessment.
HBL
Identity of
Applicant
Complete for All Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible to
apply, staff are to pay particular attention to ensuring the identity of the person. Check
the following:
� applicant is 18 years or over (under 18 ineligible to apply);
� is not a trainee or apprentice;
� check names and spelling are identical on application, POI and qualifications;
� application is made in the legal name;
� where there is a difference in name, applicant to provide evidence of name change.
Acceptable evidence is a copy or certified copy of Registry of Births, Deaths and
Marriages document.
If any concerns regarding the identity of the applicant, refer to HBL for further
assessment.
PAG
E 3
1C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Previous
licence
history
Complete for All Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications,
any unsatisfied Tribunal orders, compliance action (penalties or breaches) or insurance
claims.
If applicant is under 21 years of age complaint and compliance history does not have
to be checked (unless answer YES to questions in section 7).
Assess as per Unreasonable Number Procedures.
Complete for all declared occurrences and random audits.
Request CAS search for unreasonable number of complaints.
Assess as per Unreasonable Number Procedures.
Fit and
Proper
Complete for all declared occurrences and random audits.
Check Section 7. Financial and Criminal History for any Yes responses.
If applicant has answered Yes to any question
� check adequate information provided to assess application;
� undertake additional searches if necessary; and
� send correspondence to obtain additional information if necessary.
Assess as per relevant Fit and Proper Procedures.
Qualifications Complete for All Applications
Check that correct evidence is provided for relevant qualification pathway.
Check documentation provided is certified by JP or FTC as a true copy of the original.
Check the qualification is provided in the identical name as the applicant. If not,
qualification cannot be accepted for approval. The applicant will need to arrange for
re-issue of qualification under correct name or, provide evidence of a change in name
(eg marriage certificate). This evidence must be an original or a copy certified by a JP.
If previously licensed further qualification documentation is not required.
Complete for random audits
HBL will conduct regular audits of applications to verify the authenticity of
qualifications.
Audits to be conducted in accordance with Policy and Guidelines for Fit and Proper.
Statements
of Practical
Experience
Complete for All Applications
Where required, assess statement in accordance with Statement of Practical
Experience Procedures.
For Mechanical Services and Swimming Pools Repairs and Servicing, if reference
acceptable then send letter of referral to undertake licence assessment if required.
PAG
E 3
2C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Checklist Complete for All Applications
Complete assessment checklist.
Determination Complete for All Applications
Determine application based on all available information and in accordance with HB
Licensing Procedure Manual and legislative requirements.
Complete a recommendation on the checklist.
Where application is unusually complex or there are extenuating circumstances
consider referral to Exceptions Panel as per Exception Assessment Procedures.
Check GLS
data
Complete for All Applications
Ensure accurate data entry of applicant’s details prior to updating determination in GLS
Approved
Application
Approval to be completed by delegated officer.
Updated on assessment sheet.
Complete GLS data as per GLS procedures.
Complete file records.
Refused
Application
Note: Where an application is refused, OFT must provide all reasons for refusal. For
example, where an applicant does not have sufficient qualifications a full audit of the
application is required before the refusal is made to enable any further grounds to be
identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee in GLS.
Requisitioning
Information
Where additional information/evidence is required, officers are to:
� contact the applicant by telephone in the first instance;
� where the information required is complex, a letter may also be forwarded to the
applicant confirming the information requested by phone. Attach letter to
GLS record;
� note GLS with a record of the contact and the information requested;
� retain the application until the agreed time for supply;
� if information is not provided and/or applicant fails to contact, the application is
refused as per above
PAG
E 3
3C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Plumbing CategoriesIndividual, Quali! ed Supervisor
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Building
Consultancy Licence, Qualified Supervisor Certificate or Tradesperson Certificate
Work
Performed
Refer to Website
Referee
Statements
Required for all plumbing categories except where Craft Certificate or Certificate of
Proficiency acceptable evidence of practical experience.
Qualifications Pathway Evidence Required
Plumbing,
Draining,
Gasfitting
and LP
Gasfitting
Certificate III and Certificate IV (refer to website)
or
Transcript showing completion of required modules
from Certificate III and IV (refer to website)
Final Transcript
confirming
“Eligible
to Receive
Certificate”
Certificate
Issued by RTO
as above.
Plumbing Certificate III and Certificate IV (refer to website)
or
Transcript showing completion of required
modules from Certificate III and IV (refer to website)
Water
Plumbing
Plumbing Water Supply Course
or
Transcript showing completion of required modules
Certificate III and IV (refer to website)
Draining Draining Special Course
or
Transcript showing completion of required modules
Certificate III and IV (refer to website)
PAG
E 3
4C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Gasfitting Transcript showing completion of required modules Certificate III
and IV (refer to website)
LP Gasfitting Liquid Petroleum Gas Installation (Restricted) Course,
or
Transcript showing completion of required modules
Certificate III and IV (refer to website)
Advanced LP
Gasfitting
As for LP Gasfitter
and
Liquid Petroleum Gas Installation (Unrestricted)
Course
Water
Plumbing – Fire
Sprinkler Systems
Fire Sprinkler Fitting Course
Water
Plumbing -
Fire
Protection
Systems
Fire Sprinkler Fitting Course
or
If completed Fire Sprinkler Course 1423 also require
transcript showing completion of module Water
Supply Service II
Water
Plumbing – Urban
Irrigation
Urban Irrigation Systems Course
All categories
above
Previous superseded qualifications relevant to the
category (refer to website).
Previously held licence in same category. Nil
Check GLS
records to
verify licence
category, and
expiry.
Interstate or
New Zealand
applicants
Certificate of Reciprocity
PAG
E 3
5C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
2. Procedure for Plumbing Categories – Individual, Qualified Supervisor
Online Not Available
Step 1. Check the application as follows (FTC and HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
Section 2
Details of
Applicant
Applicant has provided full details and these details match POI and qualifications. See
below Assessment Procedures.
Note: Initials not acceptable – name must be in full.
Residential or Business Address must not be a PO Box.
Where no business address provided, residential address to be used as a business.
Section 3
Category of
Work
Ensure category/class has been nominated and is consistent with qualifications
provided.
Check the classes ticked. It is not necessary to tick additional classes if the work done
is already in the primary category/class. For instance, an application for Plumbing does
not need to tick Roof Plumbing or Water Plumbing as this work is already included in
Plumbing scope.
Section 4
Current or
Previous
Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Quals,
Experience
References
Ensure evidence of qualifications as outlined above is provided in either:
- an original document which is copied and cited by the officer as a true copy of the
original;
- a copy of the original document cited by a JP as a true copy of the original.
Check the statement as outlined in References – Statement of Practical Experience
Procedures.
Section 6
Experience
History
To be completed by applicant for specific categories as outlined in the application.
PAG
E 3
6C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 7
Financial &
Criminal
History
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant
“Application – Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
Section 8
Home Warranty
Insurance
Applies to Building Applications only.
Section 9
Declaration
& Photograph
Ensure the applicant enters their name in both places. In order to comply with
legal declaration requirements, the applicant must sign and date the declaration.
Applications cannot be processed without a signature.
Check photo is a true likeness of the applicant.
Section 10
Checklist
For completion by the applicant.
Section 11
Office Use
Complete as per POI Procedures.
Important: Where there are any discrepancies in identify (ie difference names on
evidence provided) take copies of the evidence used (eg drivers licence) and attach
to the application.
Section 12
Receipting
Must be completed by officer accepting application.
Section 12
Receipting
Must be completed by officer accepting application.
Step 2. Assessment Procedure – Plumbing Categories
FTC Refer application to HBL for Assessment.
HBL
Identity of
Applicant
Complete for All Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible to
apply, staff are to pay particular attention to ensuring the identity of the person. Check
the following:
� applicant is 18 years or over (under 18 ineligible to apply);
� is not a trainee or apprentice;
� check names and spelling are identical on application, POI and qualifications;
� application is made in the legal name;
� where there is a difference in name, applicant to provide evidence of name
change. Acceptable evidence is a copy or certified copy of Registry of Births,
Deaths and Marriages document.
If any concerns regarding the identity of the applicant, refer to HBL for further
assessment.
PAG
E 3
7C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Previous
licence
history
Complete for All Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications,
any unsatisfied Tribunal orders, compliance action (penalties or breaches) or
insurance claims.
If applicant is under 21 years of age complaint and compliance history does not have
to be checked (unless answer YES to questions in section 7).
Assess as per Unreasonable Number Procedures.
Complete for all declared occurrences and random audits.
Request CAS search for unreasonable number of complaints.
Assess as per Unreasonable Number Procedures.
Fit and Proper Complete for all declared occurrences and random audits.
Check Section 7. Financial and Criminal History for any Yes responses.
If applicant has answered Yes to any question
� check adequate information provided to assess application;
� undertake additional searches if necessary; and
� send correspondence to obtain additional information if necessary.
Assess as per relevant Fit and Proper Procedures.
Qualifications Complete for All Applications
Check that correct evidence is provided for relevant qualification pathway.
Check documentation provided is certified by JP or FTC as a true copy of the original.
Check the qualification is provided in the identical name as the applicant. If not,
qualification cannot be accepted for approval. The applicant will need to arrange for
re-issue of qualification under correct name or, provide evidence of a change in name
(eg marriage certificate). This evidence must be an original or a copy certified by a JP.
If previously licensed further qualification documentation is not required.
Complete for random audits
HBL will conduct regular audits of applications to verify the authenticity of
qualifications.
Audits to be conducted in accordance with Policy and Guidelines for Fit and Proper.
Statements
of Practical
Experience
Complete for All Applications
Where required, assess statement in accordance with Statement of Practical
Experience Procedures.
For Mechanical Services and Swimming Pools Repairs and Servicing, if reference
acceptable then send letter of referral to undertake licence assessment if required.
PAG
E 3
8C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Plumber
Drainer,
Gasfitter, LP
Gasfitter
Referee’s statement verifying six years general experience or
if completed an apprenticeship
Craft Certificate or Certificate of Proficiency and
Referee’s statement verifying two years general experience completed after
apprenticeship
Plumber Referee’s statement verifying six years general experience
Water Plumber Referee’s statement verifying four years exclusive experience
Drainer Referee’s statement verifying two years exclusive experience
Gasfitter Referee’s statement verifying four years exclusive experience
LP Gasfitter Referee’s statement verifying two years exclusive experience
Advanced LP
Gasfitter
As per LP Gasfitter plus
Referee’s statement verifying one year experience
Water Plumber
– Fire Sprinkler
Systems
Referee’s statement verifying four years exclusive experience or
Craft Certificate or Certificate of Proficiency
Water Plumber
– Fire
Protection
Systems
Referee’s statement verifying four years exclusive experience or
Craft Certificate or Certificate of Proficiency
Water Plumber
– Urban
Irrigation
Referee’s statement verifying three years exclusive experience
Checklist Complete for All Applications
Complete assessment checklist.
Determination Complete for All Applications
Determine application based on all available information and in accordance with HB
Licensing Procedure Manual and legislative requirements.
Complete a recommendation on the checklist.
Where application is unusually complex or there are extenuating circumstances
consider referral to Exceptions Panel as per Exception Assessment Procedures.
PAG
E 3
9C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Check GLS
data
Complete for All Applications
Ensure accurate data entry of applicant’s details prior to updating determination in
GLS
Approved
Application
Approval to be completed by delegated officer.
Updated on assessment sheet.
Complete GLS data as per GLS procedures.
Complete file records.
Refused
Application
Note: Where an application is refused, OFT must provide all reasons for refusal. For
example, where an applicant does not have sufficient qualifications a full audit of the
application is required before the refusal is made to enable any further grounds to be
identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee in GLS.
Requisitioning
Information
Where additional information/evidence is required, officers are to:
� contact the applicant by telephone in the first instance;
� where the information required is complex, a letter may also be forwarded to
the applicant confirming the information requested by phone. Attach letter to
GLS record;
� note GLS with a record of the contact and the information requested;
� retain the application until the agreed time for supply;
� if information is not provided and/or applicant fails to contact, the application is
refused as per above.
PAG
E 4
0C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Electrical Individual, Qualified Supervisor
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Building
Consultancy Licence, Qualified Supervisor Certificate or Tradesperson Certificate
Work Performed Refer to Website
Referee
Statements
Required for electrical licence.
Exceptions being applicants applying based on stream (ii) of the qualification brochure
for electrical engineers
Qualifications Pathway Evidence Required
Trade Course
Certificate
Holders and other
applicants
1. Certificate III (refer to website), and Final transcript
confirming
“Eligible to
Receive
Certificate”
Certificate
issued by RTO
2. Craft Certificate or Certificate of Proficiency or
Australian Recognised Trade Certificate
Electrical
Engineers
1. Certificate III (refer to website), and
2. Craft Certificate or Australian Recognised Trade Certificate, and
Electrical Engineering Degree/Associate Diploma/Institute of
Engineers Membership
New Zealand
applicants
Certificate of Registration or current licence
All applicants Previously held licence in same category Nil.
Check GLS records
to verify licence
category, and
expiry
PAG
E 4
1C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
2. Procedure for Electrical – Individual, Qualified Supervisor
Online Not Available
Step 1. Check the application as follows (FTC and HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
Section 2
Details of
Applicant
Applicant has provided full details and these details match POI and qualifications. See
below Assessment Procedures.
Note: Initials not acceptable – name must be in full.
Residential or Business Address must not be a PO Box.
Where no business address provided, residential address to be used as a business.
Section 3
Category of
Work
Ensure category/class has been nominated and is consistent with qualifications
provided.
Check the classes ticked. It is not necessary to tick additional classes if the work done
is already in the primary category/class. For instance, an application for Carpentry
does not need to tick Flooring as this work is already included in the Carpentry scope.
Section 4
Current or
Previous
Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Quals,
Experience
References
Ensure evidence of qualifications as outlined above is provided in either:
� an original document which is copied and cited by the officer as a true copy of
the original;
� a copy of the original document cited by a JP as a true copy of the original.
Where statement of practical experience is required (Mechanical Services and
Swimming Pool Repairs and Servicing only), check the statement as outlined in
References – Statement of Practical Experience Procedures.
Section 6
Experience
History
To be completed by applicant for specific categories as outlined in the application.
PAG
E 4
2C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 7
Financial &
Criminal
History
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant “Application –
Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
Section 8
Home Warranty
Insurance
Applies to Building applications only.
Section 9
Declaration
& Photograph
Ensure the applicant enters their name in both places. In order to comply with
legal declaration requirements, the applicant must sign and date the declaration.
Applications cannot be processed without a signature.
Check photo is a true likeness of the applicant.
Section 10
Checklist
For completion by the applicant.
Section 11
Office Use
Complete as per POI Procedures
Important: Where there are any discrepancies in identity (ie difference names on
evidence provided) take copies of the evidence used (eg driver’s licence) and attach
to the application.
Section 12
Receipting
Must be completed by officer accepting application.
Step 2. Assessment Procedure – Electrical
FTC Refer application to HBL for Assessment.
HBL
Identity of
Applicant
Complete for All Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible to
apply, staff are to pay particular attention to ensuring the identity of the person. Check
the following:
� applicant is 18 years or over (under 18 ineligible to apply);
� is not a trainee or apprentice;
� check names and spelling are identical on application, POI and qualifications;
� application is made in the legal name;
� where there is a difference in name, applicant to provide evidence of name
change. Acceptable evidence is a copy or certified copy of Registry of Births,
Deaths and Marriages document.
If any concerns regarding the identity of the applicant, refer to HBL for further
assessment.
PAG
E 4
3C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Previous
licence
history
Complete for All Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications, any
unsatisfied Tribunal orders, compliance action (penalties or breaches) or insurance
claims.
If applicant is under 21 years of age complaint and compliance history does not have
to be checked (unless answer YES to questions in section 7).
Assess as per Unreasonable Number Procedures.
Complete for all declared occurrences and random audits.
Request CAS search for unreasonable number of complaints.
Assess as per Unreasonable Number Procedures.
Fit and Proper Complete for all declared occurrences and random audits.
Check Section 7. Financial and Criminal History for any Yes responses.
If applicant has answered Yes to any question:
� check adequate information provided to assess application;
� undertake additional searches if necessary; and
� send correspondence to obtain additional information if necessary.
Assess as per relevant Fit and Proper Procedures.
Qualifications Complete for All Applications
Check that correct evidence is provided for relevant qualification pathway.
Check documentation provided is certified by JP or FTC as a true copy of the original.
Check the qualification is provided in the identical name as the applicant. If not,
qualification cannot be accepted for approval. The applicant will need to arrange for
re-issue of qualification under correct name or provide evidence of a change in name
(eg marriage certificate). This evidence must be an original or a copy certified by a JP.
If previously licensed further qualification documentation is not required. Applicant will,
however, be assessed and referred for wiring rules testing.
Complete for random audits
HBL will conduct regular audits of applications to verify the authenticity of
qualifications.
Audits to be conducted in accordance with Policy and Guidelines for Fit and Proper.
PAG
E 4
4C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Statements
of Practical
Experience
Complete for All Applications
Where required, assess statement in accordance with Statement of Practical Experience
Procedures. Applicants who have not completed an apprenticeship and trade course
will need to have their practical experience assessed by a member of the HBS Energy &
Utilities Unit. Referrals to the unit must be addressed to the Manager, Energy & Utilities
Unit and submitted via the Coordinator, Licence Assessments. Additionally, licence
assessors may feel that technical expertise is required on some aspect of an application.
For example, the work described in the referee statement may be highly technical or
unusual. These cases may also be referred, at their discretion, by the Coordinator, Licence
Assessment to the Manager, Energy & Utilities Unit for advice.
For Mechanical Services and Swimming Pools Repairs and Servicing, if reference
acceptable then send letter of referral to undertake licence assessment if required.
Checklist Complete for All Applications
Complete assessment checklist.
Determination Complete for All Applications
Determine application based on all available information and in accordance with HB
Licensing Procedure Manual and legislative requirements.
Complete a recommendation on the checklist.
Where application is unusually complex or there are extenuating circumstances
consider referral to Exceptions Panel as per Exception Assessment Procedures.
Check GLS
data
Complete for All Applications
Ensure accurate data entry of applicant’s details prior to updating determination in
GLS.
Approved
Application
Approval to be completed by delegated officer.
Updated on assessment sheet.
Complete GLS data as per GLS procedures.
Complete file records.
Refused
Application
Note: Where an application is refused, OFT must provide all reasons for refusal. For
example, where an applicant does not have sufficient qualifications a full audit of the
application is required before the refusal is made to enable any further grounds to
be identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee in GLS.
PAG
E 4
5C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Requisitioning
Information
Where additional information/evidence is required, officers are to:
� contact the applicant by telephone in the ! rst instance;
� where the information required is complex, a letter may also be forwarded to
the applicant confirming the information requested by phone. Attach letter to
GLS record;
� note GLS with a record of the contact and the information requested;
� retain the application until the agreed time for supply; and
� if information is not provided and/or applicant fails to contact, the application is
refused as per above.
PAG
E 4
6C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Restricted Electrical
Qualified Supervisor
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Building
Consultancy Licence, Qualified Supervisor Certificate or Tradesperson Certificate
Work
Performed
Refer to Website.
Referee
Statements
Require Referee’s Statement and letter from employer.
Qualifications Pathway Evidence Required
1. Transcript showing completion of modules
(refer to website), and
2. Craft Certificate/Trade Certificate/Certificate of
Proficiency/Australian Recognised Trade Certificate
(refer to website).
1. Previous superseded qualifications relevant to
the category.
1. Previously held licence in same category. Nil.
Check GLS
records to
verify licence
category, and
expiry.
2 Procedure for Restricted Electrical
Online Not Available
Step 2. Check the application as follows (FTC and HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
PAG
E 4
7C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 2
Details of
Applicant
Applicant has provided full details and these details match POI and qualifications. See
below Assessment Procedures.
Note: Initials not acceptable – name must be in full.
Residential or Business Address must not be a PO Box.
Where no business address provided, residential address to be used as a business.
Section 3
Category of
Work
Ensure category/class has been nominated and is consistent with qualifications
provided.
Check the classes ticked. It is not necessary to tick additional classes if the work done
is already in the primary category/class. For instance, an application for Carpentry
does not need to tick Flooring as this work is already included in the Carpentry scope.
Section 4
Current or
Previous
Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Quals,
Experience
References
Ensure evidence of qualifications as outlined above is provided in either:
an original document which is copied and cited by the
officer as a true copy of the original;
� a copy of the original document cited by a JP as a true
copy of the original.
Where statement of practical experience is required (Mechanical Services and
Swimming Pool Repairs and Servicing only), check the statement as outlined in
References – Statement of Practical Experience Procedures.
Section 6
Experience
History
To be completed by applicant for specific categories as outlined in the application.
Section 7
Financial &
Criminal
History
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant “Application –
Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
Section 8
Home
Warranty
Insurance
Applies to Building applications only
Section 9
Declaration
&
Photograph
Ensure the applicant enters their name in both places. In order to comply with
legal declaration requirements, the applicant must sign and date the declaration.
Applications cannot be processed without a signature.
Check photo is a true likeness of the applicant.
PAG
E 4
8C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 11
Office Use
Complete as per POI Procedures
Important: Where there are any discrepancies in identity (ie difference names on
evidence provided) take copies of the evidence used (eg driver’s licence) and attach to
the application.
Section 12
Receipting
Must be completed by officer accepting application.
Step 2 - Assessment Procedure – Restricted Electrical
FTC Refer application to HBL for Assessment.
HBL
Identity of
Applicant
Complete for All Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible to
apply, staff are to pay particular attention to ensuring the identity of the person. Check
the following:
� applicant is 18 years or over (under 18 ineligible to apply);
� is not a trainee or apprentice;
� check names and spelling are identical on application, POI and qualifications;
� application is made in the legal name;
� where there is a difference in name, applicant to provide evidence of name
change. Acceptable evidence is a copy or certified copy of Registry of Births,
Deaths and Marriages document.
If any concerns regarding the identity of the applicant, refer to HBL for further
assessment.
Previous
licence
history
Complete for All Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications, any
unsatisfied Tribunal orders, compliance action (penalties or breaches) or insurance
claims.
If applicant is under 21 years of age complaint and compliance history does not have
to be checked (unless answer YES to questions in section 7).
Assess as per Unreasonable Number Procedures.
Complete for all declared occurrences and random audits.
Request CAS search for unreasonable number of complaints.
Assess as per Unreasonable Number Procedures.
PAG
E 4
9C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Fit and Proper Complete for all declared occurrences and random audits.
Check Section 7. Financial and Criminal History for any Yes responses.
If applicant has answered Yes to any question:
� check adequate information provided to assess application;
� undertake additional searches if necessary; and
� send correspondence to obtain additional information if necessary.
Assess as per relevant Fit and Proper Procedures.
Qualifications Complete for All Applications
Check that correct evidence is provided for relevant qualification pathway.
Check documentation provided is certified by JP or FTC as a true copy of the original.
Check the qualification is provided in the identical name as the applicant. If not,
qualification cannot be accepted for approval. The applicant will need to arrange for
re-issue of qualification under correct name or, provide evidence of a change in name
(eg marriage certificate). This evidence must be an original or a copy certified by a JP.
If previously licensed further qualification documentation is not required.
Complete for random audits
HBL will conduct regular audits of applications to verify the authenticity of
qualifications.
Audits to be conducted in accordance with Policy and Guidelines for Fit and Proper.
Statements
of Practical
Experience
Complete for All Applications
Where required, assess statement in accordance with Statement of Practical
Experience Procedures
For Mechanical Services and Swimming Pools Repairs and Servicing, if reference
acceptable then send letter of referral to undertake licence assessment if required.
Checklist Complete for All Applications
Complete assessment checklist.
Determination Complete for All Applications
Determine application based on all available information and in accordance with HB
Licensing Procedure Manual and legislative requirements.
Complete a recommendation on the checklist.
Where application is unusually complex or there are extenuating circumstances
consider referral to Exceptions Panel as per Exception Assessment Procedures.
Check GLS
data
Complete for All Applications
Ensure accurate data entry of applicant’s details prior to updating determination
in GLS
PAG
E 5
0C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Approved
Application
Approval to be completed by delegated officer.
Updated on assessment sheet.
Complete GLS data as per GLS procedures.
Complete file records.
Refused
Application
Note: Where an application is refused, OFT must provide all reasons for refusal. For
example, where an applicant does not have sufficient qualifications a full audit of the
application is required before the refusal is made to enable any further grounds to be
identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee in GLS.
Requisitioning
Information
Where additional information/evidence is required, officers are to:
� contact the applicant by telephone in the first instance;
� where the information required is complex, a letter may also be forwarded to
the applicant confirming the information requested by phone. Attach letter to
GLS record;
� note GLS with a record of the contact and the information requested;
� retain the application until the agreed time for supply; and
� if information is not provided and/or applicant fails to contact, the application is
refused as per above.
PAG
E 5
1C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Air conditioning & Refrigeration CategoriesIndividual, Qualified Supervisor
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Building
Consultancy Licence, Qualified Supervisor Certificate or Tradesperson Certificate
Work
Performed
Refer to Website.
Referee
Statements
Only required for applicants applying based on Mechanical or Electrical Engineering
Qualifications or applications for Cooling Tower only work.
Qualifications Pathway Evidence Required
Air conditioning
and
Refrigeration
(including
associated
electrical work)
1. Craft Certificate or Australian Recognised
Trade Certificate or Certificate of Proficiency,
and
Certificate III (refer website), or
Transcript showing completion of NRE01,
NRE02 and NRE12.
Final transcript
confirming “Eligible to
Receive Certificate”
Certificate issued by
RTO
2. Mechanical or Electrical Engineering Degree,
Diploma or Associate Diploma,
and
Certificate III (refer website), or
Transcript showing completion of NRE01,
NRE02 and NRE12.
Air conditioning
and
Refrigeration
(excl. electrical
work)
Craft Certificate or Australian Recognised Trade
Certificate or Certificate of Proficiency,
and
Mechanical or Electrical Engineering Degree, Diploma or
Associate Diploma.
Air conditioning
(Cooling
Towers only)
Microbial Control Course
All of the
above
Previously held licence in same category Nil.
Check GLS records
to verify category, and
expiry.
PAG
E 5
2C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
2 Procedure for Air conditioning Refrigeration –
Individual, Qualified Supervisor
Online Not Available
Step 1. Check the application as follows (FTC and HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
Section 2
Details of
Applicant
Applicant has provided full details and these details match POI and qualifications. See
below Assessment Procedures.
Note: Initials not acceptable – name must be in full.
Residential or Business Address must not be a PO Box.
Where no business address provided, residential address to be used as a business.
Section 3
Category of
Work
Ensure category/class has been nominated and is consistent with qualifications
provided.
Check the classes ticked. It is not necessary to tick additional classes if the work done
is already in the primary category/class. For instance, an application for Carpentry
does not need to tick Flooring as this work is already included in the Carpentry scope.
Section 4
Current or
Previous
Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Quals,
Experience
References
Ensure evidence of qualifications as outlined above is provided in either:
� an original document which is copied and cited by the officer as a true copy of
the original;
� a copy of the original document cited by a JP as a true copy of the original.
Where statement of practical experience is required (Mechanical Services and
Swimming Pool Repairs and Servicing only), check the statement as outlined in
References – Statement of Practical Experience Procedures.
Section 6
Experience
History
To be completed by applicant for specific categories as outlined in the application.
PAG
E 5
3C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 7
Financial &
Criminal
History
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant
“Application – Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
Section 8
Home
Warranty
Insurance
Applies to Building Applications only.
Section 9
Declaration
&
Photograph
Ensure the applicant enters their name in both places. In order to comply with
legal declaration requirements, the applicant must sign and date the declaration.
Applications cannot be processed without a signature.
Check photo is a true likeness of the applicant.
Section 10
Checklist
For completion by the applicant.
Section 11
Office Use
Complete as per POI Procedures
Important: Where there are any discrepancies in identity (ie difference names on
evidence provided) take copies of the evidence used (eg drivers licence) and attach to
the application.
Section 12
Receipting
Must be completed by officer accepting application.
Step 2. Assessment Procedure –
Airconditioning and Refrigeration
FTC Refer application to HBL for Assessment.
HBL
Identity of
Applicant
Complete for All Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible to
apply, staff are to pay particular attention to ensuring the identity of the person. Check
the following:
� applicant is 18 years or over (under 18 ineligible to apply);
� is not a trainee or apprentice;
� check names and spelling are identical on application, POI and qualifications;
� application is made in the legal name;
� where there is a difference in name, applicant to provide evidence of name
change. Acceptable evidence is a copy or certified copy of Registry of Births,
Deaths and Marriages document.
If any concerns regarding the identity of the applicant, refer to HBL for further
assessment.
PAG
E 5
4C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Previous
licence
history
Complete for All Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications, any
unsatisfied Tribunal orders, compliance action (penalties or breaches) or insurance
claims.
If applicant is under 21 years of age complaint and compliance history does not have
to be checked (unless answer YES to questions in section 7).
Assess as per Unreasonable Number Procedures.
Complete for all declared occurrences and random audits.
Request CAS search for unreasonable number of complaints.
Assess as per Unreasonable Number Procedures.
Fit and Proper Complete for all declared occurrences and random audits.
Check Section 7. Financial and Criminal History for any Yes responses.
If applicant has answered Yes to any question
� check adequate information provided to assess application;
� undertake additional searches if necessary; and
� send correspondence to obtain additional information if necessary.
Assess as per relevant Fit and Proper Procedures.
Qualifications Complete for All Applications
Check that correct evidence is provided for relevant qualification pathway.
Check documentation provided is certified by JP or FTC as a true copy of the original.
Check the qualification is provided in the identical name as the applicant. If not,
qualification cannot be accepted for approval. The applicant will need to arrange for
re-issue of qualification under correct name or, provide evidence of a change in name
(eg marriage certificate). This evidence must be an original or a copy certified by a JP.
If previously licensed further qualification documentation is not required.
Complete for random audits
HBL will conduct regular audits of applications to verify the authenticity of
qualifications.
Audits to be conducted in accordance with Policy and Guidelines for Fit and Proper.
Statements
of Practical
Experience
Complete for All Applications
Where required, assess statement in accordance with Statement of Practical
Experience Procedures.
For Mechanical Services and Swimming Pools Repairs and Servicing, if reference
acceptable then send letter of referral to undertake licence assessment if required.
PAG
E 5
5C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Checklist Complete for All Applications
Complete assessment checklist.
Determination Complete for All Applications
Determine application based on all available information and in accordance with HB
Licensing Procedure Manual and legislative requirements.
Complete a recommendation on the checklist.
Where application is unusually complex or there are extenuating circumstances
consider referral to Exceptions Panel as per Exception Assessment Procedures.
Check GLS
data
Complete for All Applications
Ensure accurate data entry of applicant’s details prior to updating determination in GLS
Approved
Application
Approval to be completed by delegated officer.
Updated on assessment sheet.
Complete GLS data as per GLS procedures.
Complete file records.
Refused
Application
Note: Where an application is refused, OFT must provide all reasons for refusal. For
example, where an applicant does not have sufficient qualifications a full audit of the
application is required before the refusal is made to enable any further grounds to be
identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee in GLS.
Requisitioning
Information
Where additional information/evidence is required, officers are to:
� contact the applicant by telephone in the first instance;
� where the information required is complex, a letter may also be forwarded to
the applicant confirming the information requested by phone. Attach letter to
GLS record;
� note GLS with a record of the contact and the information requested;
� retain the application until the agreed time for supply; and
� if information is not provided and/or applicant fails to contact, the application is
refused as per above.
PAG
E 5
6C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Building Consultancy Licence
¿ 30 Business Days from Receipt of Application
1. Reference Information
Forms Applicants to complete Application Form – Individual – Contractor Licence, Building
Consultancy Licence, Qualified Supervisor Certificate or Tradesperson Certificate
Work
Performed
Refer to Website.
Referee
Statements
Not required if current building licence held. If no current building licence see
requirements for building category.
Qualifications Pathway Evidence Required
In addition to qualification requirements for building,
or a current building licence, applicant must provide:
1. transcript of academic record showing completion
of units of competency (refer to website)
2. previously held licence in same category expiring
not more than three years ago.
Nil.
Check GLS
records to
verify licence
category, and
expiry.
2. Procedure for Building Consultancy
Online Not Available
Step 1. Check the application as follows (FTC and HBL):
Section 1
Type of
Application
A licence type is nominated.
The period of licence is nominated.
PAG
E 5
7C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 2
Details of
Applicant
Applicant has provided full details and these details match POI and qualifications. See
below Assessment Procedures.
Note: Initials not acceptable – name must be in full.
Residential or Business Address must not be a PO Box.
Where no business address provided, residential address to be used as a business.
Section 3
Category of
Work
Ensure category/class has been nominated and is consistent with qualifications
provided.
Check the classes ticked. It is not necessary to tick additional classes if the work done
is already in the primary category/class. For instance, an application for Carpentry
does not need to tick Flooring as this work is already included in the Carpentry scope.
Section 4
Current or
Previous
Licence
Must be completed with Yes or No. Full details must be provided if Yes is ticked.
Section 5
Quals,
Experience
References
Ensure evidence of qualifications as outlined above is provided in either:
� an original document which is copied and cited by the officer as a true copy of
the original;
� a copy of the original document cited by a JP as a true copy of the original.
Where statement of practical experience is required (Mechanical Services and
Swimming Pool Repairs and Servicing only), check the statement as outlined in
References – Statement of Practical Experience Procedures.
Section 6
Experience
History
To be completed by applicant for specific categories as outlined in the application.
PAG
E 5
8C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Section 7
Financial &
Criminal
History
The applicant must answer every question.
Where a ‘yes’ response is given, the applicant should attach the relevant “Application
– Additional Details” form.
Applications may be accepted without additional details, however, this will affect the
turnaround time in assessing the application.
Section 8
Home Warranty
Insurance
Applies to Building Applications only.
Section 9
Declaration
& Photograph
Ensure the applicant enters their name in both places. In order to comply with
legal declaration requirements, the applicant must sign and date the declaration.
Applications cannot be processed without a signature.
Check photo is a true likeness of the applicant.
Section 10
Checklist
For completion by the applicant.
Section 11
Office Use
Complete as per POI Procedures
Important: Where there are any discrepancies in identity (ie difference names on
evidence provided) take copies of the evidence used (eg driver’s licence) and attach
to the application.
Section 12
Receipting
Must be completed by officer accepting application.
PAG
E 5
9C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Step 2. Assessment Procedure – Building Consultancy
FTC Refer application to HBL for Assessment.
HBL
Identity of
Applicant
Complete for All Applications
To minimise the risk of fraudulent applications and ensure the applicant is eligible to
apply, staff are to pay particular attention to ensuring the identity of the person. Check
the following:
� applicant is 18 years or over (under 18 ineligible to apply);
� is not a trainee or apprentice;
� check names and spelling are identical on application, POI and qualifications;
� application is made in the legal name;
� where there is a difference in name, applicant to provide evidence of name change.
Acceptable evidence is a copy or certified copy of Registry of Births, Deaths and
Marriages document.
If any concerns regarding the identity of the applicant, refer to HBL for further
assessment.
Previous
licence
history
Complete for All Applications
Check GLS for previous licences, refusals, cancellations and/or disqualifications, any
unsatisfied Tribunal orders, compliance action (penalties or breaches) or insurance
claims.
If applicant is under 21 years of age complaint and compliance history does not have
to be checked (unless answer YES to questions in section 7).
Assess as per Unreasonable Number Procedures.
Complete for all declared occurrences and random audits.
Request CAS search for unreasonable number of complaints.
Assess as per Unreasonable Number Procedures.
Fit and Proper Complete for all declared occurrences and random audits.
Check Section 7. Financial and Criminal History for any Yes responses.
If applicant has answered Yes to any question
� check adequate information provided to assess application;
� undertake additional searches if necessary; and
� send correspondence to obtain additional information if necessary.
Assess as per relevant Fit and Proper Procedures.
PAG
E 6
0C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Qualifications Complete for All Applications
Check that correct evidence is provided for relevant qualification pathway.
Check documentation provided is certified by JP or FTC as a true copy of
the original.
Check the qualification is provided in the identical name as the applicant. If not,
qualification cannot be accepted for approval. The applicant will need to arrange for
re-issue of qualification under correct name or, provide evidence of a change in name
(eg marriage certificate). This evidence must be an original or a copy certified by a JP.
If previously licensed further qualification documentation is not required.
Complete for random audits
HBL will conduct regular audits of applications to verify the authenticity of
qualifications.
Audits to be conducted in accordance with Policy and Guidelines for Fit and Proper.
Statements
of Practical
Experience
Complete for All Applications
Where required, assess statement in accordance with Statement of Practical
Experience Procedures
For Mechanical Services and Swimming Pools Repairs and Servicing, if reference
acceptable then send letter of referral to undertake licence assessment if required.
Checklist Complete for All Applications
Complete assessment checklist.
Determination Complete for All Applications
Determine application based on all available information and in accordance with HB
Licensing Procedure Manual and legislative requirements.
Complete a recommendation on the checklist.
Where application is unusually complex or there are extenuating circumstances
consider referral to Exceptions Panel as per Exception Assessment Procedures.
Check GLS
data
Complete for All Applications
Ensure accurate data entry of applicant’s details prior to updating determination
in GLS.
Approved
Application
Approval to be completed by delegated officer.
Updated on assessment sheet.
Complete GLS data as per GLS procedures.
Complete file records.
PAG
E 6
1C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Refused
Application
Note: Where an application is refused, OFT must provide all reasons for refusal. For
example, where an applicant does not have sufficient qualifications a full audit of the
application is required before the refusal is made to enable any further grounds to be
identified.
Identify all grounds for refusal on the assessment sheet.
Complete GLS data as per GLS procedures.
Provide letter to applicant confirming refusal, ensuring reasons are clearly stated and
letter attach in GLS.
Resubmit file until end of review period.
Request refund of fixed fee in GLS.
Requisitioning
Information
Where additional information/evidence is required, officers are to:
� contact the applicant by telephone in the first instance;
� where the information required is complex, a letter may also be forwarded
to the applicant confirming the information requested by phone. Attach letter to
GLS record;
� note GLS with a record of the contact and the information requested;
� retain the application until the agreed time for supply; and
� if information is not provided and/or applicant fails to contact, the application is
refused as per above.
PAG
E 6
2C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Experience to do or Supervise the Work
(References – Statement of Practical
Experience)
1. Relevant Information
Legislation Section 26 of the Home Building Act 1989
Clauses 26(1)(b)(i) and 28(1)(b) of the Home Building Regulation 2004
Purpose of a
Referee
Statement
The categories of general building work, swimming pool building; swimming pool
repairs and servicing; mechanical services; and specialist classes (categories) require
evidence of practical experience.
To enable assessment of an applicant’s experience to ensure that the applicant is
a capable person and has the kind of experience to undertake the work as required
under cl.28(1)(b) of the Regulation.
Statements of Practical Experience are required to be completed by the person who is
providing a reference for the applicant.
There is one Statement (Form) that can be used for trade or building classes
(categories). Refer to website.
There are Statements for each of the specialist classes (categories). Refer to website.
The Statements are subject to a current review of forms.
Acceptable
Referee
Must be a person who currently holds, or has previously held, an authority under the
NSW Act (chartered architect; engineers).
A person who currently holds the class of general building.
A person who previously held or currently holds the equivalent class (category) to the
class (category) the applicant is seeking.
A person who employed and/or supervised the applicant and who held the equivalent
class (category) during the period of time that the referee is providing a reference for
the applicant.
Preventing
Fraudulent
Referee
Statements
In addition to meeting the above requirements, an additional check is made in GLS
to ensure the referee is not providing multiple statements unless there are reasonable
grounds such as a supervisor at a large electricity authority.
PAG
E 6
3C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
2. Procedure
Online Not applicable
FTC Not applicable
HBL
Assess
� Check to ensure that the referee has the appropriate class (category) and holds
a valid authority during the period of time which the referee is supplying the
applicant with the reference.
� Check dates of work conducted by applicant to ensure time period meets or
exceeds requirement.
� Check licence record and history of referee to ensure:-
o they have or did hold a licence in an equivalent category/class to that being
applied for;
o the referee’s licence was not subject to unreasonable complaints or
compliance action.
� Check Statement of Practical Experience to ensure Referee has not provided more
than three references in the past two years without good reason. If so, Assessing
officer is to consider whether:
- to contact Referee to establish whether any good reason for the quantity of
reports, or
o to reject report and request an additional report as per “Report not
Acceptable” below;
- enter note in GLS with action taken.
Where an assessing officer is of the view that reports are being fraudulently provided,
matter is to be referred to Team Leader for consideration of further action against the
Referee.
Report
Satisfactory
Continue with the assessment in accordance with the Assessment Procedures.
Report not
Acceptable
Practical experience not demonstrated:
� contact applicant and request additional experience outlining the reasons current
statement not acceptable e.g. practical experience not sufficiently demonstrated,
referee unacceptable;
� make file notes in GLS outlining action taken and information required;
� if no response within reasonable time, contact applicant providing 14 days or
application will be determined and refused on available evidence;
� if no additional evidence or contact, refuse application as per Assessment
Procedures.
PAG
E 6
4C
HA
PT
ER
TW
OA
SS
ES
SM
EN
TS
Mutual Recognition
¿ 1 Calendar Month from Receipt of Application
1. Reference Information
Legislation Mutual Recognition (New South Wales) Act 1992
Trans-Tasman Mutual Recognition 1997
What is Mutual
Recognition
Mutual Recognition means that any individual person holding an occupational licence
or registration in one State/Territory is entitled to a comparable licence or registration
in another state/territory, where available, on lodgement of the proper notification and
payment of the required fee.
Applications are considered under Mutual Recognition Act rather than the Home
Building Act.
Companies
Partnerships
Excluded
Mutual recognition legislation applies only to individuals and the occupations carried
on by them. If it is intended
to contract or operate in New South Wales as a partnership or company a
Contractor Licence must be obtained by completing the application form for a
Contractor Licence - Company/Partnership available from the Office of Fair Trading
(under the Home Building Act).
An application cannot be made under mutual recognition for the issue of a Contractor
Licence in the name of a company or partnership.
However, an employee, member of the partnership or director of the company may,
if the appropriate interstate registration is personally held by that individual, make
application under the mutual recognition legislation for issue of a Qualified Supervisor
Certificate or qualified individual Contractor Licence in order to be proposed as the
nominated supervisor of the company/partnership.
Deemed
Registration
A person who lodges a notice for registration under the mutual recognition legislation
with the required fee is, pending the grant or refusal of ‘substantive registration’, is
taken to be registered. Such registration is called ‘deemed registration’. Deemed
registration in one State does not of itself provide a basis for registration in another
State.
A person’s deemed registration continues until it is cancelled or suspended or
otherwise ceases by way of the Office granting or refusing to grant substantive
registration, subject to any final or interim determination as the result of an appeal.
Deemed registration is not affected by any decision to postpone the granting of
substantive registration.
PAG
E 6
5C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
Commencement
Date of Licence
As mutual recognition provides deemed registration, on approval of a licence the
commencement date will be the date the application was lodged rather than the date
of granting of the licence.
Once registration in this State has been effected, the applicant need not maintain the
licence issued in the home State.
3 Procedure for Trade Categories – Individual, Qualified Supervisor
Online Not Available
FTC/HBS Check application form to ensure it is completed in full, and declaration and
documentation certified by a JP.
Obtain certified copy of licence card.
Enter application details and receipt in GLS as per GLS procedures.
FTC Refer application to HBL for assessment.
HBL Undertake Mutual Recognition check with interstate authority by facsimile (LETTER).
Check Licence Recognition website (www.licencerecognition.gov.au) to determine
equivalent licence categories in NSW.
Where no equivalent NSW category – Consult with Team Leader. Application may be
rejected under Mutual Recognition if no NSW class, substantially save as applicant’s
interstate authority.
Contact interstate regulator and confirm history of complaint and currency of licence.
Home Licence must be current at time of application for registration.
Assess application as per relevant assessment procedures for category of work.
Check previous licence history in GLS.
Complete Mutual Recognition Checklist.
Approval As per Assessment procedures.
Backdate approval to lodgement date.
Refusal Applicants under Mutual Recognition are to be subjected to the same fit and proper
provisions as general applications.
Refusal is processed as per Refusal procedures.
Refunds Refer to Refund Procedures.
PAG
E 6
7C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
3. EXISTING AUTHORITIES
EXCEPTIONAL ASSESSMENT
1. Relevant Information
Legislation Sections 20, 25 and 40 of the Home Building Act 1989
Clauses 26, 28 and 39A of the Home Building Regulations 2004
Purpose To provide expert assessment of applications that are complex or of a contentious
nature.
Panel Applications that fall into this category will be assessed by a Panel comprising of:
Manager Licence Administration (Chair) l
Co-ordinator Assessments l
Co-ordinator Internal Review and Audit l
Co-ordinator Existing Authorities and Document Administration l
Matters to Be
Assessed
Applications for a new authority.
Applications to renew or restore an authority.
Applications for Mutual Recognition registration.
Terms of
Reference
The Panel may determine:
1. the frequency of meeting to discuss matters, taking into consideration legislative
and departmental service standards;
2. type of matters that will go before the Panel;
3. the procedure to enable a matter to be assessed by the Panel; and
4. the administrative functions to be undertaken in addition to:
the determination to be recorded on the licensing file reflecting the reasons for l
the decision and reflecting the reasons if the determination was not unanimous;
Panel members present to sign the determination; and l
determining any additional action such as recording the result separately to l
that on file for statistical and precedent purposes, or ongoing development of
business improvements.
PAG
E 6
8C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
2. Procedure
Online Not applicable
FTC Not applicable
HBL Licensing officers who are dealing with unusually complex matters may refer the
determination to their Co-ordinator for consideration by the Panel.
PAG
E 6
9C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
VARIATION TO AN AUTHORITY CHANGE OF CLASS/CONDITION/RESTRICTION
Applies to: An existing Authority Holder and can be for an individual, a company or a partnership)
1. Reference Information
Legislation Section 7(2) of the Licensing and Registration (Uniform Procedures) Act 2002 specifies
that an application for the amendment of a licence may be made to the relevant
licensing authority by the licensee at any time while the licence is in force.
Section 36(2) of the Licensing and Registration (Uniform Procedures) Act 2002 specifies
that an application for the amendment of registration may be made to the relevant
registration authority by the registered person at any time while registration is in force.
What is it? Downgrade to a class
For example: An existing authority holder no longer wishes to hold the class of building
and wishes to apply for a trade (eg bricklaying; wall and floor tiling)
Upgrade to a class
For example: An existing authority holder with a trade class (eg carpentry) wishes to
upgrade to a building class.
Upgrade to a class by removing a condition/restriction
For example: An existing authority holder with Floor (Timber Floors only) wishes to
have the condition of ‘timber floors only’ removed to be able to undertake all types of
flooring work.
Adding another class
For example: An existing authority holder with carpentry wishes to add the electrical
class.
Same class with the addition of a condition/restriction
For example: An existing authority holder with Building (Kitchen and Bathroom
Renovations) and wants to add another (condition) to Building such as ‘Swimming
Pool Building and Repairs’.
For example: An existing authority holder with Plumbing, Draining and Gasfitting wishes
to add the condition of ‘Restricted Electrical only’.
Removal of a condition/restriction
For example: An existing authority with the class of Building (not to exceed contracts
of $12,000 including GST) wishes to have the condition of ‘not to exceed contracts of
$12,000 including GST’ removed to enable the authority holder to contract for work in
excess of $12,000. This variation does not require an application and fee.
PAG
E 7
0C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
Process Any variation to class, condition or restriction, requires assessment of the applicant’s
qualifications as per Assessment Procedures for the type of category.
What is NOT a
Variation
When a company/partnership that has an existing licence nominates a new supervisor
with the same class as the company/partnership. Refer to Nominated Qualified
Supervisor Procedure.
An existing authority holder has several existing classes, for example, minor trade
work/carpentry and joinery/wall and floor tiling and wishes to remove the minor trade
work from the authority.Refer to GLS Procedures for inactivation of class.
2. Procedure
Online Not available.
FTC/HBL Enter in GLS as per GLS Procedures.
FTC Forward the application to HBL.
HBL Retrieve existing licence holder licensing file.
Assess identity as per Assessment Procedures.
Assess qualifications as per appropriate assessment procedures for the category
arising from the change.
PAGE 71 CHAPTER THREE EXISTING AUTHORITIES
PAG
E 7
2C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
DEPARTMENT OF COMMERCE - OFFICE OF FAIR TRADING
HOME BUILDING SERVICE
APPLICATION ASSESSMENT SHEET
APPLICANT:
APPLICATION NO: TRIM FILE NO:
Section 1
TYPE OF APPLICATION:
INDIVIDUAL CONTRACTOR LICENCE
PARTNERSHIP QUALIFIED SUPERVISOR CERTIFICATE
COMPANY TRADESPERSON CERTIFICATE
VARIATION
CORRECT FEE PAID:
Not Applicable No – Overpayment
Yes No – Underpayment
SEARCHES REQUIRED:
Company (ASIC) Bankruptcy (BSRC)
Police Search (PDSR) Mutual Recogntion Search (MUTU)
HBS History:
Yes No
CTTT Orders Complaints Breaches Insurance Other
Notes:
PREVIOUS FILES:
Files Attached Yes No Not Applicable
Notes/File Numbers:
Actioning Officer:
Name Signature Date
PAG
E 7
3C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
Section 2
PARTICULARS OF APPLICANT/DIRECTORS/PARTNERS/SUPERVISORS:
Yes No Acceptable
Over 18 years of age
Previous Licence Held/Current Licence
Criminal History
Licence Previously Refused/Cancelled
Complaints
Penalty Notices
Disciplinary Action (NTSC)
Insurance Claims History
Outstanding Tribunal Orders
Bankruptcy
Involvement with Failed or Administered Company
If insufficient space attach a separate sheet
COMPANY DOCUMENTS: Not Applicable
Yes No Acceptable
Confirmed Company Name
Confirmed Details of Directors
Notes:
QUALIFICATIONS: Not Applicable
TAFE/RTO/Transcripts of Academic Records: Yes No Curr/Previously Lic Acceptable
Details:
Licence no/Expiry Date/Category:
PAG
E 7
4C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
RENEWALS & RESTORATIONS
À 14 Calendar Days
1. Reference Information
Legislation Section 40 of the Act
Clause 39 of the Regulation
Renewals The Home Building Act, 1989 requires an authority to be renewed after a period not
exceeding three years.
A renewal is a review of the licence holder’s ongoing suitability to maintain their
authority. Accordingly, a renewal will require assessment if there is a change in the
circumstances used to assess the licence holder as ‘Fit & Proper’. These include:
financial position; l
criminal conviction; l
non-compliance with Tribunal orders; l
insurance claims; l
other actions which result in an alert on the licence; and l
where appropriate, that the licence holder has undertaken continuing professional l
development (CPD).
Declarations Licence holders who are required to meet the ‘fit and proper’ requirements and/or
undertake CPD, complete a declaration either by signing the renewal or by lodging
online. In addition to making a declaration, HBL will conduct regular audits of renewals
to identify any false declarations.
Making of a false declaration can be subject to severe penalties and the actions of
the licence holder may be subject to compliance action. It is therefore mandatory that
the licence holder complete the declaration. It is not acceptable for any person to
complete the declaration on their behalf.
CPD Refer to Continuing Professional Development Procedures.
(Continuing Professional Development Procedures.doc)
Restorations A licence holder may restore their authority for up to 3 months from expiry of their
licence. This is calculated as 3 calendar months. If not renewed within this period the
licence is expired and cannot be restored.
Issue of Renewal
Notices
A renewal application is generated automatically 6 weeks prior to the expiry date of
the licence. The application is posted to the nominated postal address. Only one
application is sent.
PAG
E 7
5C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
Re-issue of
Notice
Where an applicant has not received the renewal:
A replacement can be requested in GLS – l Note this will generate the notice from
the external mail house and should only be requested via GLS 14 days or more
before expiry. Less than 14 days print standard renewal letter.
Refunds,
Waivers
Refer to Refund Procedures
2. Procedures
Online Renewals lodged online are automatically receipted (if a fee is payable), updated to
GLS and a card request made.
FTC/HBL On receipt of a renewal application
Check renewal is lodged before expiry date.
If lodged within 3 months of expiry date, restoration of the licence may be effected with
payment of additional fee. Continue to process as per a renewal.
If lodged more than 3 months after expiry date, the licence is considered as expired and
a new application is required.
Receipt in GLS as per GLS procedures.
Check for any change in address. Clarify which addresses are affected (eg residential
and/or place of business and/or postal).
Complete Change of Address details in GLS as per GLS Change in Address
Procedures.
Check declaration:
has been signed by licence holder and l
for any declarations in regard to fit and proper. l
FTC If there is an occurrence declared:
enter application details in GLS. l
do not renew l
refer application to HBL for processing. l
PAG
E 7
6C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
HBL If there is an occurrence declared:
enter application details in GLS l
refer to relevant Fit and Proper Procedures depending on the type of event/s l
declared.
FTC/HBL Check CPD (if applicable) declaration confirms required points achieved.
If no/insufficient points refer to CPD Procedures
FTC/HBL Check GLS for Alerts, CTTT Orders and Insurance Claims.
FTC If any of these occurrences, refer application to HBL Existing Authorities.
Issue receipt to customer (if fee payable)
HBL Refer to HBL Existing Authorities procedures.
FTC/HBL Complete GLS entry as per GLS manual.
FTC Complete lodgement details on renewal application and forward to Licensing.
HBL Complete lodgement details on renewal application and attach with any file records to
licence file.
PAG
E 7
7C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
RENEWALS / RESTORATIONS
No changes No occurrences declared
Online FTC’s
Receipt & enter in GLS
NO: Alerts CTTT Orders Insurance Claims lodged before expiry date
Alert CTTT Order Insurance Claims lodged after expiry date
Change in Details Occurrences Declared
FTC FAX MAIL
Receipt if Fee Payable Receipt if Fee Payable
FTC
Change of Address Only All Other Changes
Enter in GLS Enter in GLS
Check GLS for: • Alerts • CTTT Orders • Insurance Claims
Check GLS for: • Alerts • CTTT Orders • Insurance Claims
Satisfactory Not Satisfactory Process as per Existing Authority Procedures
Renew Cancellation
Licence Holder Notified
Review Cancellation
Decision Overturned
Decision Confirmed
Renewal Granted and Card Issue Requested
FILE
PAG
E 7
8C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
AMENDMENTS
NOMINATED QUALIFIED SUPERVISOR
1. Reference Information
Legislation: Section 22 of the Home Building Act 1989 refers to the cancellation of a company/
partnership if there is no nominated supervisor within 30 calendar days. This period
can be extended upon written request and in special circumstances.
Clause 26(4) of the Home Building Regulation 2004 refers to the need for the
nominated supervisor being appropriately licensed.
Clauses 31, 32 and 36 of the Home Building Regulation 2004 refers to changes to be
notified to HBL within seven days of the change being made.
Clause 26(6) of the Home Building Regulation 2004 refers to dual nominees.
Clause 26(1) of the Home Building Regulation 2004 specifies that the Commissioner
must be satisfied that there are sufficient qualified
supervisors to supervise the amount of work.
What is a
Nominated
Qualified
Supervisor?
To be granted or retain a licence as a partnership or company, a qualified supervisor
must be nominated. (Note: Kit home supply companies do not actually do any
residential building work and are therefore exempted from needing a nominated
qualified supervisor.)
The nominated qualified supervisor must:
be an employee of the contractor licence holder or, a member of the partnership l
or, a director of the corporation which is the contractor licence holder. (Note:
Employee means an employee who is required by the terms of their employment,
to work otherwise than on a casual or temporary basis for their employer. They
cannot be engaged on a contract or sub-contract basis);
hold a supervisor certificate for the same category of work for which the contractor l
has been licensed, or where there is more than one nominated qualified supervisor,
the combined categories are equivalent to the company or partnership’s licence
category; and
not be the nominated qualified supervisor for more than one contractor unless l
the Department is satisfied that special circumstances exist which will ensure
the individual will supervise all work (whether alone or in conjunction with other
nominated supervisors).
PAG
E 7
9C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
Notification of
Change:
A change in the status of a nominated QS must be notified within 7 days. The
notification must be in writing and is generally lodged as follows:
the current nominated QS of a company/partnership provides notification that they l
are no longer the nominated supervisor;
the company/partnership notifies of a change to the nominated QS; l
the company/partnership applies for a renewal of their licence and GLS will not l
allow the renewal because there is no nominated supervisor or the supervisor’s
authority is not current; or the supervisor’s category is not equivalent to the
company/partnership category.
While it is preferable for the change to be notified on Form 10 or by completing
the change notification on a renewal, any written notice can be accepted provided
sufficient details are provided.
Processing
A Change
On notification of a change, the following checks must be undertaken in relation to the
company/partnership which is the contractor licence holder:
that a currently licensed nominated qualified supervisor is retained; l
that the authority of the nominated QS is equivalent to that of the company/ l
partnership (or there are a number of nominated QS’s and their collective
authorities meet the contractor licence holder authority);
that there are sufficient nominated QS to provide reasonable supervision of work l
carried out.
Assessing
Sufficient
number of QS:
To assess whether:
a company/partnership licence holder has a sufficient number of nominated QS or l
there are special circumstances existing which would satisfy the Commissioner that l
a nominated QS can be nominated for more than one company/partnership,
The following criteria should be taken into consideration:
nature of proposed activities (type of work) for the company/partnership/s; l
estimated projected turnover for each organisation; l
approx number of jobs estimated for the next 12 month period; l
other partners/directors/employees involved in carrying out the work and the l
authorities they hold;
proposed arrangements for providing immediate supervision to employees/partners l
who do not hold an authority; and
any other arrangements for carrying out work or special circumstances. l
No nominated
QS
A company/partnership has 30 days from the cessation of a nominated QS in which to
appoint another QS with equivalent classes to the company/partnership licence.
Where no nominated QS is appointed in this time, the company/partnership licence
must be cancelled under the Home Building Act.
PAG
E 8
0C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
Change in
Category/
Class
If the supervisor’s category/class differs from the class held by the company/
partnership then the following options are available to the company/partnership:
nominate a new supervisor that holds the appropriate category/class; or l
the current supervisor may consider upgrading their licence (refer to Variation l
Procedure) (Variations.doc); or
the company/partnership may remove the category/class that is not covered by the l
current supervisor (refer to variation procedure) (Variations.doc); or
if no response is received, the company/partnership will have any category/class l
removed that is not covered by the nominated QS. This removal may result in a
downgrade or cancellation of the licence depending on the QS category/class.
(Refer to Variation Procedures) (Variations.doc).
Review A licence holder may apply for a review and/or appeal to any change or cancellation of
an authority.
PAG
E 8
1C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
2. Procedures
On Line Not available
FTC/HBL On receipt of notification:
Enter in GLS (Receipt if notice received with a Renewal Application)
FTC Forward documents to HBL for processing
HBL Removal/Appointment of a Nominated QS
Check GLS for other nominated QS and ensure number is sufficient. l
Check category of work for remaining/appointed nominated QS is equivalent/ l
sufficient for authority held by contractor licence holder.
If satisfactory, effect change in GLS as per GLS procedures. l
File application on original file. l
No nominated QS
Send letter to company/partnership providing 30 days from vacancy of nominated l
QS to nominate another.
Place Alert on GLS. l
If no nomination, process as per Cancellation Procedures. l
(Cancellation.doc)
Insufficient number of nominated QS
If no remaining nominated QS, send letter (form) to company/partnership advising l
of requirement to nominate a supervisor within 30 days or licence will be cancelled.
If assessed as insufficient number, contact company/partnership seeking further l
information to assist in assessment.
Place Alert on GLS. l
If still unsatisfactory, process as per Cancellation Procedures l
(Cancellation.doc)
Refund Refer to Refund Procedures (refund of application fees.doc)
PAG
E 8
2C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
SECTION 131 CERTIFICATES
1. Reference Information
Legislation Refer to Section 131.0 of the Home Building Act 1989.
Refer to Clause 16 of Schedule 4 of the Home Building Act 1989.
Purpose These Certificates indicate whether an individual or corporation has held; does hold or
has not held an authority issued under the Home Building Act (or previous legislation).
These Certificates are admissible as evidence in court.
Requests Requests are received from members of the public for use in court actions. The
Compliance Branch of HBS and Legal Services Division use Certificates as evidence in
Notice to Show Cause actions and prosecution matters.
Applications Applications must be submitted in writing. For internal use a memo or an email is
sufficient. It is preferable that the public use the form that is available on the website.
Applications can be received by mail or be lodged at a Fair Trading Centre.
Application The public are required to pay an application fee. Refer to the fee
Fee schedule on the website. There is no fee for requests from OFT staff for work related
matters.
GLS GLS is the source of the information that is used to prepare the Certificate. (GLS does
not generate the Certificate. The Certificate is manually prepared at present and a hard
copy of the Certificates are retained. GLS is being enhanced to generate the Certificate
and keep a record of the Certificates issued.)
The Certificate must be authorised (and signed) by a designated senior officer (see
Delegations) and cannot be authorised by the officer preparing the Certificate.
Insurance Services Branch of Home Building Service is responsible for issuing Section
131(h) Certificates under the Act.
PAG
E 8
3C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
2. Procedure
À 24 hrs from lodgement.
Online Not Available.
FTC/HBL Receipt in GLS.
Notification of the application being received and the date received is to be entered
on to GLS using the ‘note’ field. (Refer to GLS procedures). Forward the application
to HBL as a priority because the Certificate is required to be prepared by HBL within
24 hours of receiving the request. Requests should be faxed to: 9895 9956. The
application is noted as being faxed and forwarded to HBL by mail.
HBL If the application is received through a FTC the GLS is to be checked for the date the
application was received and any other information that may have been entered by the
FTC.
The information that is to be used on the Certificate is taken from the GLS. Any
discrepancies or non-sensible data should be brought to the attention of the
supervisor.
The Certificate is prepared in the required format.
Two copies are prepared for signature. One is the original to be sent to the applicant
and the other is to be retained for HBL records.
Delegations – Team Leader (7/8) or above can sign a 131 Certificate.
On approval, the preparation officer forwards the Certificate to the applicant and files
the copy in general file.
The preparation officer completes the process by entering information on the GLS that
the Certificate has been completed and sent to the applicant.
PAG
E 8
4C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
AMENDMENTS
COMPANIES – CHANGE IN DETAILS
1. Reference
Legislation Clause 34 of the Home Building Regulation (Corporation contractor licences).
Applies to A request for changes in company details where:
the ACN number has not changed; or l
director/s is/are removed. l
Note: The company name and directors may change, but as long as the ACN remains
the same, the legal entity of that company also remains the same.
Excludes A company change where the ACN is changed. This action indicates the formation of a
new legal entity and therefore a new application is required.
ASIC The Australian Securities & Investments Commission (ASIC) is the Government body
responsible for registration of companies within Australia.
Information from the records is available via website at www.asic.gov.au. This
information is limited to company name, list of documents lodged such as change in
directors, winding up orders, etc.
More detailed information is available by requesting a search through Intelligence
(Intel) Unit.
Processing a
Change
Notice of change in details must be lodged in writing (Form 11).
A copy of ASIC Form 484 - Change to company details certified by a director of the
company or a Justice of the Peace OR an
ASIC company records extract verifying directorship changes MUST be attached to
verify the change.
Declaration Any additional or new directors are required to complete the declaration on Form 11.
PAG
E 8
5C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
2. Reference Information
Online Not available
FTC/HBL Receive documents and enter on GLS as per GLS procedures.
FTC Send documents to HBL for processing.
HBL Retrieve original file.
Conduct ASIC search through Intel to establish:
the ACN has not changed; l
no record of insolvency for any director; l
notified changes have been recorded with ASIC; and l
company not under administration. l
Where a new director is appointed also conduct Intel searches to establish fit and
proper as per Application Procedures.
(3-Licensing Requirements for Applicants.doc)
If satisfied, process the application and effect changes on GLS.
File application on original file.
If not satisfied with search results then:
notify applicant of issue with application. (Variety of standard letters available l
depending on the issue);
if no response, a reminder may be sent, however if applicant fails to respond, l
assessing officer is to consider whether the issues affects the licence holders
ability to retain a licence;
refer to Cancellation Procedures. l (28-Cancellation of an Authority.doc)
PAG
E 8
6C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
AMENDMENTS
PARTNERSHIPS CHANGE IN DETAILS
1. Reference Information
Legislation Section 22(1)(b) of the Home Building Act 1989 specifies that the Commissioner must
cancel a contractor licence if the holder of the contractor licence is a partnership and
(without the prior approval of the Commissioner given for the purposes of this section)
there is any change in its membership (otherwise than because of death).
Also refer to Clause 33 of the Home Building Regulation (Partnership contractor licences) and the
accompanying note.
Change of
Membership
Adding or removing a partner is a change in the membership of thepartnership and
this is not permitted under the Act. The partnership is to be cancelled and a new
application lodged.
Change of Name
of partner
The name of the partnership can be amended when a changes their name through
marriage or other means. This is not a Partnerchange of membership; it is a change of
name. The partner will need to supply acceptable evidence (eg Marriage Certificate) of
the change of name before Licensing records can be amended. Copies of documents
must be sited as true copies of the originals by a JP or staff member.
Deceased
Partner
The Act allows the partnership to continue if a partner is deceased as the membership
has not changed. A replacement partner will change the membership. Consideration
should also be given to whether the deceased partner was also the nominated
qualified supervisor and if so, a new qualified supervisor must be nominated (refer
Nominated Qualified Supervisor Procedures).
2. Procedure
Online Not available
FTC Request/certify copies of supporting documents e.g. Marriage Certificate, Death l
Certificate.
Receive documents. l
Forward documents to HBL. l
HBL Check change does not involve a change to the membership. l
If so, contact the partnership to advise them that the partnership is to be cancelled l
because the membership has changed. Also advise them of the option to form
another partnership with the new membership and apply for a new licence.
PAG
E 8
7C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
Change of
Name
If there is a change of name of a partner check certified copies of change provided. l
If not, contact the partnership seeking a certified copy of the change of name within l
14 days.
GLS is to be noted (refer to GLS procedures) and the file resubmitted for 14 days. l
If there is a satisfactory response the GLS will be amended to reflect the change of l
name of the partner.
If there is no response, the change of name of the partner will not be done. l
GLS will be noted accordingly. l
Deceased
Partner
If not already provided, HBL requests a copy of the Death Certificate through Intel Unit
to confirm the death of the partner (refer to Surrender of Authority Procedures).
(surrender (including deceased).doc)
If verification is received the GLS will be amended to reflect the death of the partner
(refer to GLS procedures).
Refund of Fees Refer to fee schedule and Refund of Fees Procedures.
(refund of application fees.doc)
PAG
E 8
8C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
SURRENDER OF AN AUTHORITY DECEASED
AUTHORITY HOLDER
1. Relevant Information
Legislation Refer to section 21(7) of the Licensing and Registration (Uniform Procedures) Act 2002
for the surrender of a licence and its subsequent cancellation. (Refer to cancellation
procedures).
Refer to section 50(7) of the Licensing and Registration (Uniform Procedures)
Act 2002 for the surrender of the relevant certificate of registration and its subsequent
cancellation. (Refer to cancellation procedures).
Refer to sections 44(1) and (3) of the Home Building Act 1989 for the return of a
cancelled or varied authority.
Surrender may occur because:
the licensee no longer requires the licence. For example, retirement, illness, no l
longer working in the industry or is deceased; or
the dissolution of a partnership or change to company arrangements; or l
financial insolvency or bankruptcy. l
Note: Companies subject to a winding-up order or liquidation cannot surrender the
licence. Licence must be cancelled. (See Cancellations)
Notification The surrender should be notified in writing and signed by the licence holder; or in the
case of a deceased licence holder the person submitting the notice. Completion of the
surrender form that is available on the website is preferred. The surrender form and the
return of the authority card can be lodged in person at the FTC or to HBL by mail.
Return of Card The authority card should be attached to the Notice to Surrender Form. The surrender
form and the authority card must be placed on the licence file. Where the licence
holder is unable to provide the card they must make a written statement as to the
reasons.
Note: Penalties do exist for non-lodgement of the authority card. Discretion is to be
used as whether it is appropriate to seek compliance from the person surrendering the
authority, for example if the person is surrendering the authority on behalf of a deceased
licence holder.
Deceased
Authority Holder
It is necessary to obtain a certified copy of the Death Certificate either from the
deceased estate or through the Intell Unit. The Death Certificate must be placed on the
licence file.
PAG
E 8
9C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
2. Procedure
Online Not Available
FTC/HBL On receipt of written notice of surrender:
Note: If the person has notified Fair Trading in writing, and it is not on the preferred
form, discretion may be exercised as to whether the notification is acceptable, for
example, clearly states the details of the licence holder and it is signed by the person
surrendering the authority.
Deface the authority card by placing several holes in the card with a standard hole
puncher; and
FTC Forward the form, copy of death certificate (if applicable) and the Authority card or
statement to HBL.
HBL On receipt of surrender:
Refer to GLS for notes/comments entered by FTC.
Retrieve the licence file (see File Records Procedures).
Determine as follows:
ensure all information provided; l
if no death certificate, request a copy through Intelligence Unit (do not contact l
lodging party to request);
if no card returned, check statement that a satisfactory reason has been provided; l
and
send letter confirming cancellation of authority. l
If licence holder does not provide written notice or required details, and does not
respond to requests within a reasonable time, enter a note in GLS outlining action
taken. Do not proceed with surrender. Attach all documents to file and return to
records. Licence will expire if there is no response to the next renewal notice.
Note: Notification of deceased authority holder is to be processed on receipt of death
certificate provided by lodging party or Intelligence search. Return of the card is limited
to one request only. If card is not provided, note GLS with comment.
Refund: Process the refund of the application fee as per Refund Procedures.
PAG
E 9
0C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
CONTINUING PROFESSIONAL
DEVELOPMENT (CPD)
1. Reference Information
Legislation: Refer to Section 40(2D), (E) and (F) of the Home Building Act 1989.
Commissioner Guidelines commencing on 1 January 2008. Refer to website.
CPD applies: To renewal applications for individuals who are licensed or hold a certificate as a
builder or swimming pool builder under the Home Building Act 1989. These licence/
certificate holders are required to undertake Continuing Professional Development
(CPD) each year as a condition of licence renewal.
Transition CPD point system was changed effective 1 January 2008. Builders and pool builders
will switch to the new 12-point CPD system on the date the licence is renewed.
Where a three year licence is held the change will be the anniversary of the date when
the three year licence is commenced (the change date will occur between July and
December 2008). Until the renewal or anniversary date in 2008, builders and pool
builders are required to undertake CPD under the previous arrangements.
Refer to the Commissioner’s guidelines under the heading of ‘Switching over in 2008’
for examples of how the introduction of this new system will operate. Guidelines located
on website.
Non
Compliance
Failure to fulfil CPD requirements may result in the refusal of an application for renewal
under section 40 (2E). An application for restoration of the licence may be made
in the three months after the expiry of the licence and may be granted once CPD
requirements (and any other requirements) have been completed.
During the transitional period, licensees will be able to renew once only without
compliance with CPD. Any further incidents of non-compliance and future incidents will
result in corrective action.
Exemptions In extenuating circumstances, the Commissioner may exempt a licensee from
complying with part or all of the requirements for CPD. The circumstances are limited
and may relate to serious illness or misadventure.
Audit Licensees are responsible for maintaining records of their CPD activities. These
records are subject to audit and failure to comply with the Commissioner’s guidelines
and/or the making of false claims may result in a show cause as to why the licensee
should not have their licence cancelled or suspended.
PAG
E 9
1C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
2. Procedure
On-line To renew on-line the applicant must declare compliance with a number of factors,
including obtaining sufficient CPD points. If an alert is put on GLS that the applicant
has not previously complied with the CPD provisions (or non-compliance with other
provisions), the renewal will not be effected online and the applicant advised to lodge
their renewal through an FTC or HBL.
2.1 Compliance with CPD requirements
HBL/FTC Renew licence/certificate as per Renewal/Restoration Procedures l
(Renewals.doc)
2.2 Non-Compliance with CPD Requirements
HBL/FTC Check GLS for any alert on previous non-compliance with CPD (or other l
occurrence requiring assessment of ongoing suitability to hold an authority.
Receipt and enter in GLS as per GLS procedures manual. l
FTC Forward application to HBL. l
HBL
·
·
·
Place Alert on GLS to indicate non-compliance. l
If first incidence of non-compliance and occurring in 2008: l
issue letter (LETTER X) and l
continue to renew as per Renewal/Restoration Procedures. l
(Renewals.doc)
If previous history of non-compliance or non-compliance occurring later than 2008: l
issue letter (LETTER X) requesting compliance within restoration period. l
If compliance is achieved within 3 months of expiry date, renew application as per l
Renewals/Restorations. (Renewals.doc)
Note compliance with CPD on GLS Alert. l
If compliance not notified by applicant within 3 months of expiry date; cancel l
licence as per Cancellation Procedures.
2.3 Exemptions
Applications to be processed within 7 business days. l
FTC/HBL Applicant to outline reasons for exemption in writing. Enter note in GLS that l
exemption application lodged.
PAG
E 9
2C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
FTC Forward Application to HBL (Communications Branch). l
HBL HBL Communications to consider application and make recommendation to l
Manager, Licence Administration, in accordance with legislation and guidelines.
If exemption approved: l
comment to be placed on GLS to this effect and applicant notified in writing; ¡
and
renewal process to continue as outlined as per Renewal/Restoration ¡
Procedures. (Renewals.doc)
If exemption l not approved:
applicant to be notified in writing and requested to comply; ¡
renewal process to continue as outlined above for non-compliance. ¡
Applicant to be notified of exemption decision within 7 days of receipt of request. l
Applicant to be notified of appeals process (see Internal Review Procedures. l
Payment of
Fees/Refunds
Renewals not accepted refer to Refunds Procedures. l
Renewals that do not comply with CPD until the restoration period will incur l
restoration fees.
Requests for exemptions that are approved are to be charged the applicable fee l
at the time of lodgement of the request. Any request lodged before expiry and
not approved until after the expiry date is to have the additional fee for restoration
waived.
PAG
E 9
3C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
CANCELLATION OF AN AUTHORITY
1. Relevant Information
Legislation Home Building Act 1989
Section 3 refers to the definitions of an ‘authority’ and a ‘contractor licence’.
Section 22 specifies that a contractor licence must be cancelled (subject to clause
39 of the Home Building Regulation 2004) under certain circumstances.
Section 43(1) specifies that an authority may be cancelled because of
misrepresentation (whether fraudulent or not); issued, renewed or restored in error
(whether as a result of such a misrepresentation or not).
Section 43(2) specifies that an authority cancelled under section 43(1) may be
retrospectively restored if the error concerned has been rectified and the authority
holder acted in good faith.
Section 44 refers to the return of a cancelled or varied authority.
Interpretation Act 1987
Sect. 76 refers to any document to be served by post is taken to have been received
on the fourth working day after the letter was posted.
Delegation The Grade 7/8 officer (and above) is required to approve the cancellation of an
authority under the Act. A Grade 3/4 (and above) officer may notify the authority holder
that the authority is cancelled.
Refer to the Instrument of Delegation and Authority by the Commissioner for Fair Trading
Department of Commerce dated 6 December 2007.
When is a
Contractor
Licence
Cancelled
Section 22 of the Act outlines the circumstances that a contractor licence must be
cancelled.
Exception Clause 39 of the Regulation does allow for a contractor licence not to be cancelled
under section 22(1)(c) of the Act (inter alia bankrupt or takes the benefit of any law for
the relief of bankrupt).
It is possible for a condition to be placed on the licence that the holder is not to
contract to do work in excess of $12,000 (inclusive of GST) if it is assessed that there
is no evident risk to the public that the holder will be unable to complete any building
work.
NOTE: Clause 39 does not apply to the classes of general building work and
swimming pool building.
Right of Internal
Review
There is no right of internal review under the Act where a licence is cancelled
under s.22.
PAG
E 9
4C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
2. Procedure
Online Not applicable
FTC Not applicable
HBL File to be retrieved (as per file retrieval procedure)
A brief submission is to be prepared to outline:
Background including (not limited to):
how HBL became aware of the need to cancel the authority; l
legislative support to cancel the authority; l
legislative support to condition a contractor licence (if applicable); and l
other relevant information. l
Recommendation:
seek approval to cancel an authority; l
seek approval to send to the authority holder the attached letter. (LETTER) l
If approval is given to the recommendation:
the letter is to be sent to the authority holder; l
the file is to be resubmitted for four days (as per Interpretation Act); l
after four days the GLS is to be amended to show that the authority has been l
cancelled (as per GLS procedure);
the file is resubmitted to wait for the return of the authority card – if received it is to l
be placed on the file and the file is to be returned to file;
after 14 days if the card is not returned, Compliance Division is to be notified of the l
failure to return the card; and
the file is to be returned to file. l
PAG
E 9
5C
HA
PT
ER
TH
RE
EE
XIS
TIN
G A
UT
HO
RIT
IES
HBL Restoration Of an
authority
File to be retrieved (as per file retrieval procedure)
A brief submission is to be prepared to outline:
Background including (not limited to):
how HBL became aware of the need to restore the authority; l
legislative support to restore the authority; l
legislative support to condition a contractor licence if restored (if applicable); and l
other relevant information. l
Recommendation:
seek approval to restore an authority; l
seek approval to send to the authority holder the attached letter. (LETTER) l
If approval is given to the recommendation:
restore the authority on the GLS (as per GLS procedure). l
PAG
E 9
6C
HA
PT
ER
FO
UR
FIT
AN
D P
RO
PE
R
AMENDMENT TO DETAILS OF AN EXISTING
AUTHORITY HOLDER
CHANGE OF ADDRESS
1. Reference Information
Legislation Refer to Clauses 32, 33, 34 and 35 of the Home Building Regulation 2004 that makes
reference to section 24(1) of the Licensing and Registration (Uniform Procedures)
Act 2002 (as modified by section 19(3)(d) of the Home Building Act 1989).
Refer to Clause 36 of the Home Building Regulation 2004 that makes reference
to specifies that under section 24 (1) of the Licensing and Registration (Uniform
Procedures) Act 2002 (as modified by section 24 (3) (d) of the Home Building
Act 1989).
Refer to Section 120 of the Home Building Act 1989; and Clause 80 of the Home
Building Regulation 2004 that outlines the information in the public register, including
references to the business and residential address of an authority holder.
Requirement
For Address
The Act requires the business address to be displayed on the public register.
When making an application, a residential, business and postal address is requested.
A PO Box is not acceptable for business or residential addresses.
Seven days to
Change
The legislation requires an authority holder is to advise of a change of address within
seven days after the change.
How to Notify
of a Change
An authority holder may advise OFT of their change of address in writing using the
form available on the website or by making amendments to the renewal application.
Change of address can be lodged by mail, counter or fax. Online changes will become
available mid 2008.
These changes may be processed by HBL or Fair Trading Centres.
Priority Amendment to a change of address is a priority because a renewal application is sent
to the authority holder six weeks prior to the expiry date. The renewal application is
generated by GLS.
If the change of address is received after the renewal application is sent to the
applicant, then a further renewal application should be sent to the applicant at the new
address as per the Renewal/Restoration Procedures. (Renewals.doc)
PAG
E 9
7C
HA
PT
ER
FO
UR
FIT
AN
D P
RO
PE
R
2. Procedure
Online Available to change address. (mid 2008)
FTC/HBL Record change in GLS as per GLS procedures.
Where necessary, clarify which address/es is affected by the change. E.g. business,
residential and/or postal.
If lodged within 6 weeks of renewal date, generate a replacement renewal to the new
address.
FTC Forward any written application to HBS.
HBL File application on general file. It is not necessary to attach to the authority holder’s file.
PAG
E 9
9C
HA
PT
ER
FO
UR
FIT
AN
D P
RO
PE
R
4. Fit and Proper
FINANCIAL HISTORY
1. Reference Information
Legislation New Applications – c.25(1)(a)(xii), c.26(2), c.27(2) and c.28(2)
Renewals/Restorations – c.39A (1)(c), c.39A(1A), c.39A(1B), c.39A(3)
The above legislation requires that before issuing an authority or renewal of an
authority, the Commissioner must be satisfied that each relevant person is not:
an undischarged bankrupt; l
a director or person involved in the management of an externally administered l
company (except in a case of voluntary winding up).
Relevant persons are considered to be individuals, any partner, or any director of a
company applying for the authority.
Exemptions An authority may be issued if the Commissioner is satisfied on a number of criteria
which vary depending on the type and category of authority.
Authority Type Building/
Swimming Pool
Building
Trade, Specialist
Other Building
Building
Consultant
Contractor Refused May issue if:
no evident risk to
the public,
and
took all reasonable
steps to avoid the
insolvency.
May issue if:
took all reasonable
steps to avoid the
insolvency.
Supervisor/
Tradesperson
May issue if:
took all reasonable
steps to avoid the
insolvency.
May issue if:
took all reasonable
steps to avoid the
insolvency.
N/A
Assessing
Exemptions
To assess whether the applicant meets these exemptions, the following is to be
taking into consideration:
Took reasonable steps to avoid the insolvency
When did the applicant become aware or should have reasonably become l
aware of the possible insolvency?
What steps did the applicant take, or should have taken upon becoming aware? l
Were those steps reasonable in the circumstances? l
PAG
E 1
00
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Risk to the Public
Is there any risk the applicant is unable to complete existing or future work? Did the l
applicant increase risk to public by continue to trade while insolvent?
Consider how the insolvency occurred, ie as a result of management failures, l
external forces, unforeseen circumstances, etc.
Consider what effect the insolvency had, ie where the failure resulted with work l
incomplete, complaints outstanding or insurance claims being lodged, failure to
pay sub-contractors and suppliers, would be considered a high risk to the public.
Where the insolvency arose due to misadventure, ill health or injury and OFT is l
satisfied this as an isolated incident, the risk to the public may be low.
Issue of
conditioned
authority
In considering an application from an insolvent person related to a licence, the
Commissioner may issue a limited or conditioned authority depending on the category
of licence and the circumstances of their insolvency.
If satisfied that the applicant meets the exemptions above, the applicant may be
issued with a condition authority limited to contracts under $12,000.
Where OFT is not satisfied that there is no risk to the public, consideration may be
given to the issuing of a certificate that requires the applicant to work as an employee:
a qualified supervisor certificate; l
Tradesperson Certificate (plumbing classes only). l
Period of time
for a conditioned
Authority
A conditioned authority will continue until such times as the applicant requests a review
of the conditions.
The review is to be undertaken on the current circumstances of the applicant. Their
financial history is to be considered in accordance with these procedures taking
into account the period of time that has elapsed since the insolvency. Requests for
variation are processed in the same manner as Variation in Category/Class/Restriction
Procedures.
Assessing
Financial status
Financial status is to be considered in accordance with the Policy and Procedures on
Fit and Proper.
The attached assessment sheet and flow chart are to be used by assessing officers to
assist in identify all grounds for consideration and options available for the issuing of
an authority.
Flow Chart
Assessing Bankruptcy Less Than 3 Years
Assessing Bankruptcy More Than 3 Years
Assessing Administration Less Than 3 Years
Assessing Administration More Than 3 Years
Bankruptcy & Qualified Supervisor
Administration & Qualified Supervisor
PAG
E 1
01
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
2. Procedures
Online Not Available
FTC Not available. Refer any documents with declarations as to insolvency to HBL for
assessment.
HBL Request bankruptcy search from ITSA or company search from ASIC through Intel
Request
Search GLS to determine if the person is connected to any other authority.
Complete Financial Assessment sheet to establish:
whether there are any grounds for exemption; l
whether reasonable steps have been taken; l
whether there is a risk to the public; and l
an appropriate determination for the circumstances of the applicant. l
On determining application continue to process as per relevant Assessment
Procedures.
Assessing Bankruptcy Within 3 Years
Background
Qualifications/Experience
Applicant has applied for the category of (insert trade of specialist category). He has submitted:
Certified copy of Craft/Proficiency Certificate;
Certified Trade Course Certificate;
References verifying the required (number of years) in (insert category);
Applicant has therefore met the qualification requirements for (insert category).
Other Matters
The applicant was also previously held an individual contractor licence (insert licence number) from (insert date)
to (insert date) for the category of (insert category). He had one complaint in (insert date) and was listed as
NFA. He had no insurance claims, breaches or CTTT orders. Due to the fact he was licensed for (number of
years) years and had no further issues no further action needs to be taken in relation to this.
PAG
E 1
02
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Issues
Applicant advised on his application form that was bankrupt within the last 3 years. The details are as follows:
applicant was bankrupt from (insert date) until (insert date); l
a letter was sent to the applicant on (insert date) requesting information concerning the bankruptcy. The l
applicant advised as follows:
1. that the bankruptcy resulted from (insert reason);
2. the creditors were:
(name) (amount owed)
(name) (amount owed)
3. applicant took steps to avoid bankruptcy as follows:
(List action taken)
4. Accountant’s report states that:
(provide details).
Recommendation
Applicant has/has not provided sufficient information to demonstrate that there is no evident risk to the public
that the applicant will be unable to complete building contracts and therefore meets/does not meet the
requirements of clause 26(3)(a).
Applicant has demonstrated that he took a number/no of steps to avoid the bankruptcy as detailed above and
therefore meets/does not meet the requirements of clause 26(3)(b).
As the applicant has/has not met all of the above requirements it is recommended that the licence be approved/
approved with condition (clause 26(3A))/refused in accordance clause 25(1)(a)(xiii) and section 25(1)(a) and
25(1A).
Assessing Bankruptcy More Than 3 Years
Background
Qualifications/Experience
Applicant has applied for the category of (insert trade of specialist category). He has submitted:
Certified copy of Craft/Proficiency Certificate;
Certified Trade Course Certificate;
References verifying the required (number of years) in (insert category).
Applicant has therefore met the qualification requirements for (insert category).
Other Matters
The applicant was also previously held an individual contractor licence (insert licence number) from (insert date)
to (insert date) for the category of (insert category). He had one complaint in (insert date) and was listed as
NFA. He had no insurance claims, breaches or CTTT orders. Due to the fact he was licensed for (number of
years) years and had no further issues no further action needs to be taken in relation to this.
PAG
E 1
03
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Issues
Applicant advised on his application form that he is currently bankrupt. The details are as follows:
a letter was sent to the applicant on (insert date) requesting information concerning the bankruptcy. He l
advised as follows:
1. that the bankruptcy resulted from (insert reason)
2. the creditors were:
(name) (amount owed)
(name) (amount owed)
3. applicant took steps to avoid the bankruptcy as follows:
(List action taken)
4. Accountant’s report states that:
(provide details).
Recommendation
Applicant is applying for (insert category) and therefore meets/does not meet the requirement of clause 26(2)(a).
Applicant has/has not provided sufficient information to demonstrate that there is no evident risk to the public
that the applicant will be unable to complete building contracts and therefore meets/does not meet the
requirements of clause 26(2)(b)(ii).
Applicant has demonstrated that he took a number/no of steps to avoid the bankruptcy as detailed above and
therefore meets/does not meet the requirements of clause 26(2)(b)(ii).
As the applicant has/has not met all of the above requirements it is recommended that the licence be approved
with condition (clause 26(2)(c))/refused in accordance clause 25(1)(a)(xii) and section 25(1)(a) and 25(1A).
Assessing Administration Within 3 Years
Background
Qualifications/Experience
Applicant has applied for the category of (insert trade of specialist category). He has submitted:
Certified copy of Craft/Proficiency Certificate;
Certified Trade Course Certificate;
References verifying the required (number of years) in (insert category).
Applicant has therefore met the qualification requirements for (insert category).
Other Matters
The applicant was also previously held an individual contractor licence (insert licence number) from (insert date)
to (insert date) for the category of (insert category). He had one complaint in (insert date) and was listed as
NFA. He had no insurance claims, breaches or CTTT orders. Due to the fact he was licensed for (number of
years) years and had no further issues no further action needs to be taken in relation to this.
PAG
E 1
04
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Issues
Applicant advised on his application form that he was the director of a company under administration within the
last 3 years. The details are as follows:
(insert company name) was licensed from (insert date) until (insert date) for the category of (insert category); l
the company was registered on (insert date) and was placed under administration on (insert date) due to l
(insert reason from ASIC report eg court winding up);
a letter was sent to the applicant on (insert date) requesting information concerning the administration. They l
advised as follows:
1. that the administration resulted from (insert reason);
2. the creditors were:
(name) (amount owed)
(name) (amount owed)
3. applicant took steps to avoid administration as follows:
(List action taken)
4. the liquidator states in his report that the administration resulted from:
(Detail reasons).
5. Accountant’s report states that:
(provide details).
Recommendation
Applicant has/has not provided sufficient information to demonstrate that there is no evident risk to the public
that the applicant will be unable to complete building contracts and therefore meets/does not meet the
requirements of clause 26(3)(a).
Applicant has demonstrated that he took a number/no of steps to avoid the administration as detailed above
and therefore meets/does not meet the requirements of clause 26(3)(b).
As the applicant has/has not met all of the above requirements it is recommended that the licence be approved/
approved with condition (clause 26(3A))/refused in accordance clause 25(1)(a)(xiii) and section 25(1)(a) and
25(1A).
Assessing Administration More Than 3 Years
Background
Qualifications/Experience
Applicant has applied for the category of (insert trade of specialist category). He has submitted:
Certified copy of Craft/Proficiency Certificate;
Certified Trade Course Certificate;
References verifying the required (number of years) in (insert category).
Applicant has therefore met the qualification requirements for (insert category).
PAG
E 1
05
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Other Matters
The applicant was also previously held an individual contractor licence (insert licence number) from (insert date)
to (insert date) for the category of (insert category). He had one complaint in (insert date) and was listed as
NFA. He had no insurance claims, breaches or CTTT orders. Due to the fact he was licensed for (number of
years) years and had no further issues no further action needs to be taken in relation to this.
Issues
Applicant advised on his application form that he is the director of a company under administration. The details
are as follows:
(insert company name) was licensed from (insert date) until (insert date) for the category of (insert category); l
the company was registered on (insert date) and was placed under administration on (insert date) due to l
(insert reason from ASIC report eg court winding up);
a letter was sent to the applicant on (insert date) requesting information concerning the administration. They l
advised as follows:
1. that the administration resulted from (insert reason);
2. the creditors were:
(name) (amount owed)
(name) (amount owed);
3. applicant took steps to avoid administration as follows:
(List action taken);
4. the liquidator states in his report that the administration resulted from:
(Detail reasons);
5. Accountant’s report states that:
(provide details).
Recommendation
Applicant has demonstrated that he took a number/no of steps to avoid the administration as detailed above
and therefore meets/does not meet the requirements of clause 26(3)(b).
As the applicant has/has not met all of the above requirements it is recommended that the certificate be
approved/ refused in accordance clause 25(1)(a)(xii) or (xiii) and section 25(1)(a) and section 25(1A).
Assessing Bankruptcy & Qualified Supervisor
Background
Qualifications/Experience
Applicant has applied for the category of (insert trade of specialist category). He has submitted:
Certified copy of Craft/Proficiency Certificate;
Certified Trade Course Certificate;
References verifying the required (number of years) in (insert category).
Applicant has therefore met the qualification requirements for (insert category).
PAG
E 1
06
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Other Matters
The applicant was also previously held an individual contractor licence (insert licence number) from (insert date)
to (insert date) for the category of (insert category). He had one complaint in (insert date) and was listed as
NFA. He had no insurance claims, breaches or CTTT orders. Due to the fact he was licensed for (number of
years) years and had no further issues no further action needs to be taken in relation to this.
Issues
Applicant advised on his application form that he is/was bankrupt. The details are as follows:
a letter was sent to the applicant on (insert date) requesting information concerning the bankruptcy. The l
applicant advised as follows:
1. that the bankruptcy resulted from (insert reason);
2. the creditors were:
(name) (amount owed);
(name) (amount owed)
3. applicant took steps to avoid bankruptcy as follows:
(List action taken);
4. Accountant’s report states that:
(provide details).
Recommendation
Applicant has demonstrated that he took a number/no of steps to avoid the bankruptcy as detailed above and
therefore meets/does not meet the requirements of clause 26(3)(b).As the applicant has/has not met all of the
above requirements it is recommended that the certificate be approved/ refused in accordance clause 25(1)(a)
(xii) or (xiii) and section 25(1)(a) and section 25(1A).
Assessing Administration and Qualified Supervisor
Background
Qualifications/Experience
Applicant has applied for the category of (insert trade of specialist category). He has submitted:
Certified copy of Craft/Proficiency Certificate;
Certified Trade Course Certificate;
References verifying the required (number of years) in (insert category).
Applicant has therefore met the qualification requirements for (insert category).
Other Matters
The applicant was also previously held an individual contractor licence (insert licence number) from (insert date)
to (insert date) for the category of (insert category). He had one complaint in (insert date) and was listed as
NFA. He had no insurance claims, breaches or CTTT orders. Due to the fact he was licensed for (number of
years) years and had no further issues no further action needs to be taken in relation to this.
PAG
E 1
07
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Issues
Applicant advised on his application form that he is the director of a company under administration. The details
are as follows:
(insert company name) was licensed from (insert date) until (insert date) for the category of (insert category); l
the company was registered on (insert date) and was placed under administration on (insert date) due to l
(insert reason from ASIC report eg court winding up);
a letter was sent to the applicant on (insert date) requesting information concerning the administration. They l
advised as follows:
1. that the administration resulted from (insert reason);
2. the creditors were:
(name) (amount owed);
(name) (amount owed)
3. applicant took steps to avoid administration as follows:
(List action taken);
4. the liquidator states in his report that the administration resulted from:
(Detail reasons);
5. Accountant’s report states that:
(provide details).
Recommendation
Applicant has demonstrated that he took a number/no of steps to avoid the bankruptcy as detailed above and
therefore meets/does not meet the requirements of clause 26(3)(b).
As the applicant has/has not met all of the above requirements it is recommended that the certificate be
approved/ refused in accordance clause 25(1)(a)(xii) or (xiii) and section 25(1)(a) and section 25(1A).
PAG
E 1
08
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Fit & Proper
Financial History Flowchart
Application (New, Renewal)
Building Swimming Pool Building
Current Insolvency < 3 years
Decline May consider trade category
Previous Insolvency > 3 years
Consider whether Reasonable Steps taken Consider whether Risk to the Public
Satisfied on Both Grounds
Not Satisfied on Both Grounds
Not Satisfied on Risk only
Not satisfied on Reasonable Steps only
Approve With or Without a Condition
Decline Decline Consider QSC
PAG
E 1
09
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
UNREASONABLE NUMBER OF COMPLAINTS,
FORMAL CAUTIONS, PENALTY NOTICES,
INSURANCE CLAIMS
1. Reference Information
Legislation The Commissioner must reject an application for:
the l issue of a contractor licence (s.20(1)(a) of the Act);
the l issue of a supervisor or tradesperson certificate (s.25(1)(a) of the Act);
the l renewal or restoration of an authority (s.40(1)(a) of the Act);
if the Commissioner is not satisfied that the applicant is a fit and proper person.
Before an authority is issued (other than an owner-builder permit) or renewed or
restored the Commissioner must be satisfied that each relevant person* in relation to
an application for an authority is not subject to what the Commissioner considers to be
an unreasonable number of:
Complaints cl 25(1)(a)(vii) and cl 39A(1)(f) l
Formal cautions cl 25(1)(a)(viii) and cl 39A(1)(g) l
Penalty notices cl 25(1)(a)(ix) and cl 39A(1)(h) l
Insurance claims cl 25(1)(a)(x) and cl 39A(1)(i) l
Relevant persons are considered to be individuals, any partner, or any director of a
company applying for the authority. Refer to Relevant Person for further information.
Application: The level of complaints, claims and compliance action is reviewed in relation to:
applications; l
renewals/restorations; and l
advice/information received. l
Fit and Proper Unreasonable work history may be used to form part of determining whether a person
is fit and proper to hold an authority under the Act.
Requirements for determining Fit and Proper are dealt with in more detail in the ‘Policy
& Guidelines for Fit and Proper’.
PAG
E 1
10
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Assessing
‘Unreasonable’
Number
There is no finite term for unreasonable number of complaints, insurance claims,
penalty notices, etc. Assessing officers will need to examine the background of
each in accordance with Policy & Guidelines for Fit and Proper in order to make a
determination. The occurrence of a formal caution, penalty notice or complaint history
must be considered in association with all other Fit and Proper provisions.
The following information and thresholds are provided as a guide only in alerting
assessment officers as to when it is necessary to conduct further enquiries.
Complaints
<3 complaints may be disregarded for assessment purposes unless there is evidence
of substantial breaches associated with the complaints or the number of complaints
involves the majority of work undertaken by the licence holder.
>3 complaints will require further enquiry. Assessing officers are to consider:
the nature of the complaints; l
the level of detriment to consumers; l
whether multiple complaints relate the work volume of the licence holder to a single l
issue (ie failure of a building product as opposed to systemic work quality issues;
whether multiple complaints arise from the one residential building ie strata units l
(These matters should be considered as 1 complaint).
Insurance
Assessing officers are to consider the number of insurance claims and when the
insurance claim was made.
When:
Prior to 1 July 2002, insurance claims could be lodged without alternative dispute
resolution resulting in many disputes being lodged direct with the insurer.
From 1 July 2002, insurance became ‘last resort’ which required homeowners to
exhaust all avenues before making a claim. Hence these claims would result from the
contractor’s continual refusal or inability to effect rectification work and as a result must
be considered as a serious impact on the suitability of the applicant.
Number:
In considering the number of claims, assessing officers are to view every claim post
1 July 2002 as serious and requiring further enquiry. Enquiries can be made with
Insurance Services Branch. Information lodged by insurers is limited to statistical
data. However, where a claim is lodged through BIGCorp more detailed information is
available from Insurance Services Branch. In reviewing claims, assessing officers are to
consider:
whether licence holder is insolvent (Process as per Bankruptcy/Liquidation) (insert l
link);
the nature of claims; l
the level of detriment to consumers; l
whether multiple complaints relate to a single issue (ie failure of a building product l
as opposed to systemic work quality issues; and
whether multiple complaints arise from the one residential building ie strata units. l
(These complaints should be lodged by the Owners’ Corporation as one complaint.
However, individual unit owners will from time to time lodge individual complaints
which must be registered in CAS.)
PAG
E 1
11
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Formal Cautions
Formal cautions are issued as a warning to the contractor to comply with the law.
Generally, formal cautions are not issued for major offences. A major offence or non-
compliance with a caution generally results in other compliance action. Accordingly, for
the purpose of assessment, a formal caution may be disregarded provided there is no
other occurrence which might affect fit and proper assessment and there is no history
of formal cautions being issued.
Penalty Notices
Penalty notices are issued for breaches of legislation. For assessment purposes the
following guide may be used:
< 2 penalty notices in any 2 year period may be disregarded for assessment purposes
(unless other occurrences are also under consideration).
> 2 penalty notices in any 2 year period will require further assessment of fit and
proper, including enquiry as to the nature of offence and the contractor’s response, if
any.
2. Procedure
Online Applications not available.
To renew/restore on-line the applicant must declare events or occurrences that would
affect the renewal/restoration of an authority. This includes whether the applicant has
incurred complaints, formal cautions, penalty notices and insurance claims. If an alert
is put on GLS that the applicant has these issues (or other events or occurrences), the
renewal will not be effected online and the applicant advised to lodge their renewal
through an FTC or HBL.
HBL/FTC Receipt application and enter in GLS as per GLS procedures.
Do not accept renewal or grant a licence application where any occurrences have
been declared.
Enter Alert in GLS, if not already present.
FTC Forward application to HBL for further assessment.
HBL Arrange for appropriate searches on history of all complaints, insurance claims, formal
cautions, penalty notices.
Consider these events as outlined above in “Assessing Unreasonable Number” and in
accordance with provisions of the Policy & Guidelines on Fit and Proper.
If determination is unreasonable number, prepare written brief for the Co-ordinator
outlining the reasons for recommending refusal.
On approval by Co-ordinator, notify licence holder in writing of decision and right to
review/appeal.
If determination is a reasonable number, prepare brief for the Co-ordinator’s approval
outlining reasons and recommendation. On approval, continue to assess application or
renew/restore as per relevant procedures.
PAG
E 1
12
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
UNSATISFIED TRIBUNAL ORDERS
1. Reference Information
Legislation Section 40(1)(a) of the Home Building Act 1989 specifies that:
1. the Commissioner must reject an application for:
the l issue of a contractor licence (s.20(1)(a) of the Act);
the l issue of a supervisor or tradesperson certificate (s.25(1)(a) of the Act;.
the l renewal or restoration of an authority (s.40(1)(a) of the Act);
if the Commissioner is not satisfied that the applicant is a fit and proper person.
2. Before an authority is issued (other than an owner-builder permit) the Commissioner
must be satisfied that each relevant person* in relation to an application for an
authority:
is not subject to any order of the Tribunal that has not been satisfied within the l
period required by the Tribunal (cl 25(1)(a)(vi) of the regulation).
This does not prevent the Commissioner from issuing an authority if the l
Commissioner is satisfied that the person has complied with the order of the
Tribunal after the period required by the Tribunal, and has a reasonable excuse for
the failure to comply with the order within that period (cl.25(3) of the regulation).
3. Before an authority is renewed or restored the Commissioner must be satisfied
that each relevant person*:
is not subject to any order of the Tribunal that has not been satisfied with the l
period required by the Tribunal (cl 39A(1)(e) of the regulation.
This does not prevent the Commissioner from issuing an authority if the l
Commissioner is satisfied that the person has complied with the order of the
Tribunal after the period required by the Tribunal, and has a reasonable excuse for
the failure to comply with the order within that period (cl.25(3) of the regulation).
Before an authority is issued (other than an owner-builder permit) or renewed or
restored the Commissioner must be satisfied that each relevant person* in relation to
an application for an authority is not subject to what the Commissioner considers to be
an unreasonable number of:
Complaints cl 25(1)(a)(vii) and cl 39A(1)(f) l
Formal cautions cl 25(1)(a)(viii) and cl 39A(1)(g) l
Penalty notices cl 25(1)(a)(ix) and cl 39A(1)(h) l
Insurance claims cl 25(1)(a)(x) and cl 39A(1)(i) l
Relevant persons are considered to be individuals, any partner, or any director of a
company applying for the authority.
PAG
E 1
13
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Application Unreasonable work history applies to:
applications; l
renewals/restorations; and l
advice/information received. l
CTTT –
What is it
The Consumer, Trader and Tenancy Tribunal deals with disputes and can make legally
binding orders for the payment of money, rectification or work, supply of goods, etc.
The Tribunal is independent of OFT and reports directly to the Minister. It is part of the
home building dispute resolution process. Disputes are negotiated by FTC staff and/or
Building Inspectors. Where resolution cannot be achieved and/or the tradesperson fails
to comply with a rectification order issued by the Inspector, the Tribunal can hear and
determine the dispute and make orders.
How Orders
work
Where the Tribunal makes an order for the payment of money, the order advises the
licence holder they must notify OFT when the order has been complied with. Failure to
comply or notify they have complied will result in an unsatisfied Tribunal order being
placed on the public register.
Fit and Proper The existence of unsatisfied Tribunal orders may be used to form part of determining
whether a person is fit and proper to hold an authority under the Act. Refer to Policy
& Guidelines on Fit and Proper.
Admin Process
for Recording of
Orders
Compliance Division is responsible for entering Tribunal order data on to the GLS.
Generally, a contractor is notified of an unsatisfied order being placed on GLS and
informed that renewal may not be effected if there is no compliance with the order or
no advice received that they have complied.
Assessing
Unsatisfied
Tribunal Orders
Refer to Policy and Guidelines – Fit and Proper.
New applications and renewal/ restoration applications must be refused where there
are outstanding Tribunal orders.
Assessing officers should contact the licence holder to advise that the application
cannot be granted and request compliance with the order within 7 days (or before
expiry of their licence).
Where the order has been complied with, the contractor must notify Compliance
Branch in writing to enable updating of the register. The renewal cannot be granted
until this has been done. Compliance will, in some instances, contact the claimant to
confirm payment of the order.
PAG
E 1
14
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
2. Procedure
Online To renew/restore on-line the applicant must declare compliance with a number of
factors, including that there are no unsatisfied Tribunal orders. If an alert is put on
GLS that the applicant has unsatisfied Tribunal orders (or non-compliance with other
provisions), the renewal will not be effected online and the applicant advised to lodge
their renewal through an FTC or HBL.
HBL/FTC Receipt application and enter details in GLS.
Do not renew or grant the application.
FTC Forward documents to HBL for processing.
HBL Contact the applicant to query the status of the unsatisfied order.
Request order be satisfied and/or written notice provided within 7 days.
Note GLS with action taken. Resub for 7 days.
If order satisfied and public register updated, continue to process application as per
usual procedures.
If no response and/or order remains outstanding, application is refused as per usual
procedures.
Refunds Refer to Refunds.
Payment of Fees For renewal/restoration, an applicant is to be charged the applicable fee as at
lodgement or, where there are unsatisfied orders, as at the date the applicant notifies
OFT of compliance with that order.
Where renewal is not accepted, the renewal fee is to be refunded less the
processing fee.
PAG
E 1
15
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
CRIMINAL HISTORY
1. Relevant Information
Legislation Section 40(1)(a) of the Home Building Act 1989 specifies that the Commissioner must
reject an application for the renewal or restoration of an authority if the Commissioner
is not satisfied that the applicant is a fit and proper person.
Section 40(1A) of the Home Building Act 1989 specifies that without limiting subsection
(1)(a) in determining whether an applicant is fit and proper person to hold a licence the
Commissioner is to consider whether the applicant is of good repute, having regard to
character, honesty and integrity.
Application Criminal history checks apply to:
applications; l
renewals/ restorations; and l
advice/information received. l
Declaration Applicants for a new licence and those renewing a licence are required to make
a declaration as to whether any events or occurrences have occurred that would
adversely affect their application. This declaration includes a statement to confirm or
advise of any criminal proceedings within the past 10 years.
False
Declaration
At times, the criminal history of an applicant is revealed from other
sources other than the applicant’ declaration on the renewal application. HBL
considers an applicant not declaring a criminal history to be serious and, unless
special circumstances exist, the renewal application may be refused.
The making of a false declaration is also an offence under the Crimes Act.
Assessing
Criminal History
Refer to Policy & Guidelines for Fit and Proper for full details.
In general, criminal history is to be assessed with a view to establishing if those
offences:
impede the applicant’s ability to undertake work; l
affects the applicant’s trustworthiness and ability to meet obligations under a l
residential building contract.
And if so, whether the applicant’s reputation, character and honesty are sufficiently
adverse enough to reject their application.
Offences are broadly categorised in the Policy & Guidelines as high, medium and low
in relation to the potential risk a homeowner may be exposed to. High risk offences
will generally result in refusal of a claim. Medium offences may result in refusal while
low risk are disregarded for assessment purposes. Offences requiring assessment
consideration are summarised as follows.
Dishonesty – Considered high risk as to the character, honesty and trustworthiness of
the applicant.
PAG
E 1
16
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Violence – While these are serious offences, they are considered medium.
Consideration should be given as to the circumstances – particularly if the offence
occurred in relation to a building contract/site.
Sex Offences – Considered high risk, however, consideration must be given as to the
nature of the offence and whether there is potential detriment to a homeowner.
It is important to note that residential building work is not considered “child-related
employment” and therefore these offences do not automatically prohibit a person
from obtaining a licence. Consideration must be given to the nature of offences and
the likelihood as to whether the applicant will be involved in work where children are
present and the amount of supervision of the applicant.
All Other Offences – are considered low risk unless there is a history of offences or
some other circumstances which would indicate the person does not have sufficient
character, honesty and trustworthiness to be issued a licence.
2. Procedure
Online Renewals can be renewed on line for a small number of authorities. If an alert is on
GLS the applicant cannot renew on line and must mail in the renewal or visit a FTC.
FTC Accept application and enter in GLS. l
Receipt if appropriate. l
Do not renew or grant the application. l
Refer documents to HBL for processing. l
HBL Enter an Alert in GLS.
Request criminal history search through Intel Branch with authorisation by a delegated
officer.
Review criminal history in accordance with “Assessing Criminal History” above and
Policy & Guidelines – Criminal History.
Where necessary, and appropriate request further information from the applicant.
Assessing officers are to exercise care and discretion when making enquiries and must
consult with supervisor before initiating contact.
Prepare recommendation and forward to Team Leader for approval.
If refused, notify applicant in writing (LetterX) providing information on right for review
and appeal as per refusal procedures.
If granted, process as per usual Renewal/Restoration or Application Procedures.
Refund Refer to Refund Procedures.
PAG
E 1
17
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
POLICY AND GUIDELINES FOR DETERMINING WHO IS A
“FIT AND PROPER PERSON” TO HOLD AN AUTHORITY
UNDER THE HOME BUILDING ACT 1989
1. SCOPE
This policy relates to the application of sections 25, 40 and 56(b) of the Home Building Act 1989 (the Act)
which specify that an authority cannot be granted, renewed or restored unless the applicant is a “fit and proper
person” and that disciplinary action can be taken against a licensee who is not a fit and proper person. It also
takes into consideration decisions of courts and tribunals which have consistently used the words “fit and proper
person”, as a phrase encapsulating one concept, rather than separating considerations of fitness and treating
these as distinct from considerations of propriety.
2. RATIONALE
The Director-General/Commissioner has to consider each applicant’s fitness and propriety as well as a number
of other criteria for the grant of an authority (i.e. applications for and renewals and restorations of authorities)
and whether, when taking disciplinary action, there are any one or more grounds for doing so, as listed in
sections 56-57 of the Act, fitness and propriety being one such ground.
A policy explaining when and how to apply the fit and proper person criteria in licensing and disciplinary
procedures will ensure a consistent and transparent approach in the consideration of licence applications,
improve efficiencies in the regulatory process and enhance industry and homeowner confidence in the NSW
home building licensing system.
3. PURPOSE
To guide Home Building Service officers in making consistent and transparent decisions about whether or
not a “relevant person” is a fit and proper person to hold an authority based on grounds relating to his or her
character, honesty and integrity.
4. DEFINITIONS
“relevant person” s.25 (2) Home Building Act 1989:
(a) the applicant,
(b) if the applicant is a partnership:
(i) every partner of the applicant, and
(ii) if a member of the partnership is a corporation – every director of that corporation,
(c) if the applicant is a corporation – every director of the applicant
“fit and proper person” - There is no definition in the Act or the Home Building Regulations 2004. However the
law fraternity have explored the concept and made decisions from the following perspective.
Legal terminology OE – fita – an adversary of equal power; Lat – proprius – belonging to oneself, suitable.
Suitable, appropriate, and legally eligible. The expression ‘fit and proper’ standing alone, carries no precise
meaning. It takes its meaning from its context: Australian Broadcasting Tribunal v Bond (1990) 170 CLR 321;
94 ALR 11. A legalistic doublets, the words fit and ‘proper’ (in its archaic sense) are treated as synonymous,
although ‘fit’ may also include a moral dimension of honesty. The purpose of the words is to give wide scope for
judgement and allow broad bases for rejection: Capital for Australian Capital Territory Revenue v Alphaone Pty Ltd
(1994) 49 FCR 576; 127 ALR 699. The term can be replaced by ‘fit’ alone.
PAG
E 1
18
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Administrative law The suitability of a person to undertake a particular activity based on a determination of
that person’s previous conduct, character or reputation. The phrase takes its meaning from its context, from
the activities in which the person is or will be engaged and the ends served by those activities: Australian
Broadcasting Tribunal v Bond (1990) 170 CLR 321 at380; 94 ALR 11. In media law, this extends to any aspect
of fitness and propriety that is relevant to the public interest and includes determining the conduct, character
or reputation of a prospective television licence: Australian Broadcasting Tribunal v Bond (1990) 170 CLR 321;
94 ALR 11. A conviction for an offence in an unrelated industry is not to be treated in the same way
as an offence related to the industry. Similarly, personal misconduct, as distinct from professional
misconduct, may well be treated differently in a determination of whether a person is a fit and
proper person to practice in a particular industry or profession: Re New Broadcasting Ltd and Australian
Broadcasting Tribunal (1987) 12 ALD 1; 6 AAR 385.
5. APPLICATION OF S. 20 (1A) OF THE ACT IN DETERMINING WHETHER
AN APPLICANT IS A FIT AND PROPER PERSON.
S. 20 Issue of contractor licences
(1) The Director-General must reject an application for a contractor licence if:
(a) the Director-General is not satisfied that the applicant is a fit and proper person to (1A) Without limiting
subsection (1) (a), in determining whether an applicant is a fit and proper person to hold a licence the Director-
General is to consider whether the applicant is of good repute, having regard to character, honesty and integrity.
The difficulty in applying s.20 is that there is no test or formula to which an officer must conform in making a
judgment about an applicant’s, or an authority holder’s character, honesty and integrity. Case law does however
provide some guidance and it is on the basis of the following court and tribunal decisions that this policy has
been developed.
Other applicable legislation is summarised and available at Attachment A.
5.1 Court and Tribunal Decisions
Outlined below are lessons derived from decisions on what constitutes a Fit and Proper person within the
context of their work practice, professional conduct and criminal history where applicable. A summary of these
court and tribunal decisions can be found at Appendix B.
Fitness and propriety in the context of the work the person is or will be engaged in:
“fitness and propriety” encompasses not only honesty and integrity but also the knowledge and ability l
required to carry out the duties and/or responsibilities of the office or authority holder.
honesty ¡ - to execute the office or responsibility truly without malice, affection or partiality;
knowledge ¡ - to know what the holder of the office or authority ought duly to do; and
ability ¡ - of the holder of the office or authority to execute his tasks and duties diligently and not neglect
his responsibilities.
Hughes & Vale Pty Ltd v The State of New South Wales (1955)
The fit and proper requirement takes its meaning only from activities to be engaged in through the authority. l
New Broadcasting Ltd v Australian Broadcasting Tribunal 1987, Maurice Neville Hinchcliffe v Building Services
Corporation (Commercial Tribunal of NSW 24/07/1997) and Re Brennand Casino Surveillance Authority (1995)
38 ALD 794
Offending conduct must be considered in the light of the activity to be licensed and not at large. That is, a l
different approach would be required for those contracting with the public as against holders of certificates.
This is because those entering into contracts with consumers would need to meet high standards of
trustworthiness and honesty.
Australian Broadcasting Tribunal v Bond 1990
PAG
E 1
19
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Consumers must have confidence in builders in both the standard of work and the honesty of the builder. l
Petracaro v Commissioner Affairs (1994)
Fitness and propriety in the context of HBA compliance and public interest:
While licensees may not fully understand the provisions of legislation, they must be prepared to observe the l
requirements of any legislation governing their profession.
Kioussis v Director General, Department of Fair Trading (2002) NSWADT 2
Even where there is no evidence of dishonesty or bad repute, a record of tardiness or intransigence in l
relation to rectification can mean the licensee is not a fit and proper person.
Obradovic v Commissioner for fair Trading, Office of Fair Trading (2005) NSWADT 140
Another issue to consider is whether offending conduct has or is likely to recur. That is, the indication of l
future conduct based on immediate past behaviour can determine whether the person is fit and proper.
Australian Broadcasting Tribunal v Bond (1990)
Following a period of criminal or improper conduct, subsequent good conduct must be over a sufficient l
period of time to indicate clearly to the community that his/her rehabilitation is complete.
Maio v Superintendent of Licences, New South Wales Police (1987) ASC 55-551 and Massoud v
Commissioner for Fair Trading (2006) NSWADT59
The failure to disclose prior licence refusals or other issues is significant as is the failure to respond truthfully l
and frankly to questions.
Lindfield v Commissioner for Fair Trading (2005) NSW ADT32, Calleia v Commissioner for Fair Trading (2005)
NSW ADT 42
Fitness and propriety in the context of a person’s criminal history:
To be relevant in considering whether the applicant/licensee is a fit and proper person, convictions should l
be for offences involving dishonesty, not general character aspects. Again, this is because general
trustworthiness and honesty would be expected in persons negotiating and discharging contractual
obligations.
Criminal convictions by themselves are not enough to determine a licensee is not a fit and proper person.
Regulators must show the conduct is such that the person is unfit to remain a member of the profession
concerned.
Ziems v Superintendent of Licenses, NSW Police1987
Past improper conduct of the applicant must be considered in light of the activity which is to be licensed and l
not considered at large.
Petracaro v Commissioner of Consumer Affairs (1994) 62 SASR 392 and Corkin v Director General,
Department of Fair Trading (2001)NSWADT 190
Where criminal behaviour has led to previous action against the licensee, subsequent good behaviour must l
be over a sufficient time to indicate rehabilitation so as to allow for re-entry into the profession.
Sakellis v Officer in charge of Police, Paddington District Court March 7, 28 1968 and Maio v Superintendent
of Licenses, NSW Police 1987. ASC 55-551 and Re Habis (The Licensing Court of NSW, 9 July 1998,
unreported)
(Note that clause 28A (2) of the Home Building Regulation 2004 permits the Director-General to decide that
an offence can be ignored because of time lapsed since the offence or the triviality of the offence).
Concealment of criminal convictions in an application form, irrespective of any sentence being served has l
been construed as a lack of endeavour to retrieve good character. Conversely, full disclosure of convictions
and their seriousness has reflected well on an applicant’s honesty and integrity when determinations about
their fitness and propriety have been made.
Re Davis (1947) 75 CLR 409, Law Society of NSW v Foreman 1994 34 NSWLR 408, McEvoy v Director-General
of the Department of Fair Trading (2000) NSWLEC 183, Corkin v Director-General, Department of Fair Trading
(2001) NSWADT 190
PAG
E 1
20
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
CONCLUSIONS AND IMPLEMENTATION:
In determining whether a person is fit and proper to hold an authority:
regard character, honesty, integrity, knowledge and ability in light of the work to be performed or being l
performed under the authority;
regard character, honesty and integrity as particularly important when responding to improper conduct of an l
authority holder whose work involves fulfilment of contractual obligations;
regard recidivistic non-compliance with the Home Building Act as reflective of a person’s lack of fitness to l
hold an authority particularly when that conduct involved dishonesty and/or caused high levels of consumer
detriment;
regard a record of tardiness or intransigence in relation to compliance with statutory warranties as reflective l
of a person’s lack of fitness to hold an authority particularly when there have been numerous complaints and
insurance claims against the contractor (see compliance thresholds);
regard a person who has within the previous 3 years been found guilty of improper conduct and continues l
to involve himself in offences involving dishonesty (see compliance thresholds) as demonstrating a lack of
endeavour to retrieve good character and therefore unfit to hold an authority (see cl. 25 (1) (a) (i));
regard failure to disclose prior action against a licence, breaches of the HBA or improper conduct l
irrespective of compliance with any disciplinary action as being a lack of endeavour to retrieve good
character and therefore unfit to hold an authority;.
regard a person who has within the last 10 years been convicted of a dishonesty crime or a crime of a l
serious nature, which would impede his/her ability to carry out the work under the authority obtained or being
sought, as not of good character and therefore unfit to hold an authority;
regard a person who has within the last 10 years been convicted of numerous dishonesty crimes causing l
serious consumer detriment (see criminal history thresholds) as demonstrating a lack of endeavour to
retrieve good character and therefore unfit to hold an authority; and
regard failure to disclose prior criminal convictions as a lack of endeavour to retrieve good character and l
therefore unfit to hold an authority.
Business Rule:
Never refuse to grant, renew, or restore an authority or suspend or cancel an authority on the sole grounds that
the applicant or authority holder is not a “fit and proper person”. When citing this ground, always convey the
substantive ground(s) as well e.g. unreasonable number of insurance claims.
Appendix A
Part 4 - Home Building Act 1989
s. 20 Issue of contractor licences
(1) The Director-General must reject an application for a contractor licence if:
(a) The Director-General is not satisfied that the applicant is a fit and proper person to hold a contractor
licence, or …
(1A) Without limiting subsection (1) (a), in determining whether a person is a fit and proper person to hold
a licence the Director-General is to consider whether the applicant is of good repute, having regard to
character, honesty and integrity.
PAG
E 1
21
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
(6) Without limiting this section, the Director-General may reject an application for a contractor licence if the
Director-General is of then opinion that it is in the public interest to do so on the following grounds:
(a) an employee or proposed employee of the applicant is disqualified from holding a contractor licence, has
had an application for an authority rejected on a ground relating to his or her character, honesty or integrity
or has had an authority cancelled or suspended on any disciplinary ground,
(b) there are reasonable grounds to believe that the application has been made with the intention of avoiding
disclosure of any relevant past misconduct of the applicant or a close associate of the applicant,
(c) the Director-General considers that a close associate of the applicant who would not be a fit and proper
person to hold a contractor licence exercises a significant influence over the applicant or the operation and
management of the applicant’s business.
s. 32B Issue of building consultancy licences
(1) The Director-General must reject an application for a building consultancy licence if:
(b) The Director-General is not satisfied that the applicant is a fit and proper person to hold a building
consultancy licence, or …
(1A) Without limiting subsection (1) (a), in determining whether a person is a fit and proper person to hold
a licence the Director-General is to consider whether the applicant is of good repute, having regard to
character, honesty and integrity.
s. 40 Renewal or restoration of authorities
(1) The Director-General must reject an application for the renewal or restoration of an authority if:
(a) The Director-General is not satisfied that the applicant is a fit and proper person to hold the authority,
or …
(1A) Without limiting subsection (1) (a), in determining whether an applicant is a fit and proper person to hold
a licence the Director-General is to consider whether the applicant is of good repute, having regard to
character, honesty and integrity.
s. 43 Cancellation because of fraud etc
(1) The Director-General may, by serving on the holder of the authority a written notice setting out the reason for
the cancellation, cancel an authority if:
(a) the authority was issued, renewed or restored because of a misrepresentation (whether fraudulent or not), or
(b) the authority was issued, renewed or restored in error (whether as a result of such a misrepresentation
or not).
(2) The Director-General may, by a further notice served on the holder of an authority cancelled under this
section, retrospectively restore the authority if the Director-General is satisfied:
(a) that the error concerned has been rectified, and
(b) that the holder acted in good faith.
s. 51 Improper conduct: generally
(2) The holder of a contractor licence is guilty of improper conduct if the holder:
(d) employs a person or engages a person under a contract for services knowing the person is disqualified
from holding a contractor licence, has had an application for an authority rejected on a ground relating
to the persons character, honesty or integrity or has had an authority cancelled or suspended on a
PAG
E 1
22
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
disciplinary ground …
(2A) The holder of a contractor licence is guilty of improper conduct if the holder:
(f) employs a person or engages a person to do building consultancy work for the holder knowing the
person is disqualified from holding a contractor licence, has had an application for an authority rejected
on a ground relating to the persons character, honesty or integrity or has had an authority cancelled or
suspended on a disciplinary ground.
s. 54 Improper conduct: members of partnerships or officers of corporations
(1) An individual who is a member of a partnership or an officer of a corporation that is the holder of a contractor
licence or a building consultancy licence is guilty of improper conduct if the holder does any of the things
referred to in section 51 …
s. 56 Grounds for taking disciplinary action against holder of a contractor licence
The Director-General may take disciplinary action under section 62 against the holder of a contractor licence on
any of the following grounds:
(b) That the holder is not a fit and proper person to hold the contractor licence,
(e) in the case of a holder of a contractor licence that is a partnership – that any members of the partnership,
or any of the officers of a corporation that is a member of the partnership, is not a fit and proper person
to be a member of the partnership or an officer of the corporation or has been guilty of improper
conduct, …
Appendix B
Fit and Proper
Legal terminology OE – fita – an adversary of equal power; Lat – proprius – belonging to oneself, suitable.
Suitable, appropriate, and legally eligible. The expression ‘fit and proper’ standing alone, carries no precise
meaning. It takes its meaning from its context: Australian Broadcasting Tribunal v Bond (1990) 170 CLR 321;
94 ALR 11. A legalistic doublet, the words fit and ‘proper’ (in its archaic sense) are treated as synonymous,
although ‘fit’ may also include a moral dimension of honesty. The purpose of the words is to give wide scope for
judgement and allow broad bases for rejection: Capital for Australian Capital Territory Revenue v Alphaone Pty Ltd
(1994) 49 FCR 576; 127 ALR 699. The term can be replaced by ‘fit’ alone.
Administrative law The suitability of a person to undertake a particular activity based on a determination of
that person’s previous conduct, character or reputation. The phrase takes its meaning from its context, from
the activities in which the person is or will be engaged and the ends served by those activities: Australian
Broadcasting Tribunal v Bond (1990) 170 CLR 321 at380; 94 ALR 11. In media law, this extends to any aspect
of fitness and propriety that is relevant to the public interest and includes determining the conduct, character
or reputation of a prospective television licence: Australian Broadcasting Tribunal v Bond (1990) 170 CLR 321;
94 ALR 11. A conviction for an offence in an unrelated industry is not to be treated in the same way as an
offence related to the industry. Similarly, personal misconduct, as distinct from professional misconduct,
may well be treated differently in a determination of whether a person is a fit and proper person
to practice in a particular industry or profession: Re New Broadcasting Ltd and Australian Broadcasting
Tribunal (1987) 12 ALD 1; 6 AAR 385.
PAG
E 1
23
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Fitness and propriety in the context of the work the person is or will be engaged in.
Hughes & Vale Pty Ltd v The State of New South Wales (No 2) (1955)
… “The expression ‘fit and proper person’ is of course familiar enough as traditional words when used with
reference to offices and perhaps vocations. But the very purpose is to give the widest scope for judgment and
indeed rejection. “Fit” (or idoneus”) with respect to an office is said to involve three things, honesty, knowledge
and ability: ‘honesty to execute it truly, without malice, affection or partiality; knowledge to know what he ought
duly to do; and ability as well in estate as in body, that he may intend and execute his office, when need is,
diligently, and not for impotency or poverty neglect it.”
New Broadcasting Ltd v Australian Broadcasting Tribunal 1987
“The requirement that the licensee be a fit and proper person to hold a licence’ looks not to every aspect of
fitness and propriety attaching to a licence but only to such aspects thereof as relate to fitness and propriety to
hold and operate the broadcasting licence.”
Australian Broadcasting Tribunal v Bond (1990)
“The question whether a person is fit and proper is one of value judgement. In that process the seriousness or
otherwise of particular conduct is a matter for evaluation by the decision maker. So too is the weight, if any, to
be given to matters favouring the person whose fitness and propriety are under consideration.”
“…where a person must satisfy a legislative requirement of being a “fit and proper person” in relation to a
licence of some kind, the requirement takes its meaning from the activities which the person is or will be
authorised to engage in by virtue of the licence and the ends to be served by those activities
Maurice Neville Hinchcliffe v Building Services Corporation (Commercial Tribunal of NSW 24/07/1997)
The Tribunal held that the intent of the HBA was consumer protection and the accreditation of a person as a
building contractor or a qualified supervisor meant that such a person of “integrity and honesty”. In that case
the refusal to grant he applicant a qualified supervisor’s certificate related to the manner in which the applicant
had previously conducted his business as a licensed builder. That is, the applicant’s improper conduct directly
related to the activity for which he was seeking a licence.
Re Brennand Casino Surveillance Authority (1995) 38 ALD 794
The Administrative Appeals Tribunal affirmed the decision of the administrator to cancel the applicant’s casino
employee’s licence on the grounds that he was not a fit and proper person. In that case the basis of the
decision was the applicant’s failure to reveal in his licence application that summonses had been issued against
him in respect of certain debts and subsequent failure to respond truthfully and frankly to questions by the
relevant licensing authority abut the debts. The improper conduct of the applicant had a direct bearing on the
activity for which the licence was being sought.
Petracaro v Commissioner of Consumer Affairs (1994) SASR 390
“…It cannot be stressed too strongly that the Act is not pre-occupied with general character aspects, except
to the extent that these may directly be relevant to the clear purposes of the statute, which essentially focus on
the fitness of a person to discharge the responsibilities applicable to a particular type of licence. The statute
is primarily concerned with the protection of the public by ensuring that building work is not carried out by
persons who are not suitably skilled or who are, or are likely to be dishonest with those with whom they enter
into contract. It goes without saying that, in the case of a subcontract bricklayer who usually gives a firm price
to a builder for quite specific work, is to be assessed mainly on his reliability and skill to do the job, whereas in
the case of a category 1 building contractor the public concern must relate not only to technical ability but also
general trustworthiness and honesty in negotiating and discharging contractual obligations.”
PAG
E 1
24
CH
AP
TE
R F
OU
RF
IT A
ND
PR
OP
ER
Fitness and propriety in the context of HBA compliance and public interest
Hughes & Vale Pty Ltd v The State of New South Wales (No 2) (1955)93 CLR 127
…“in relation to ’fit and proper person’ test that its purpose: … is to give the widest scope for judgement
and indeed for rejection. “Fit” (or idoneus”) with respect to an office is said to involve three things, honesty,
knowledge and ability.
Kioussis v Director General, Department of Fair Trading (2002) NSWADT 2
72 The findings adverse to Ms Kioussis in relation to her ability to competently carry out the activities required
of a qualified supervisor are that: she was aware of the incompetence of Venture but did nothing about it,
she used abusive language and engaged in offensive conduct towards clients of Venture, and she has been
fined three times by the Commercial Tribunal in relation to her knowledge of poor workmanship.
73 The findings of the Tribunal that demonstrate that Ms Kioussis does not have sufficient knowledge of the
legislation to carry out those functions are that she appears to have breached s 12 and/or s 13 of the HB
act when constructing the Croydon, Mortlake, Greystances and Padstow Heights properties. Ms Kioussis
admitted her ignorance of these provisions.
74 In all three areas identified above (honesty, competence and knowledge) Ms Kioussis has less than
satisfactory record. I accept that she was young and naïve when she first became a director of Venture
and that her father was an extremely influential character. But it is not the case that Ms Kioussis merely
acquiesced in the misleading and deceptive conduct of Venture. Hunter J’s decision makes it abundantly
clear that she was privy to Venture’s conduct and that she engaged in dishonest and threatening conduct
herself. She acknowledges that she did not look after consumers or supervise tradesmen as well as she
should have. While Ms Kioussis shows some insight into her behaviour, she does not appreciate its gravity.
She was not able to satisfy me that she would not engage in such conduct again.
Maio v Superintendent of Licences, New South Wales Police (1987) ASC 55-551 and Massoud v Commissioner
for Fair Trading (2006) NSWADT59
The Tribunal recognises that a person who has been convicted of a criminal offence or offences can by his
subsequent conduct rehabilitate himself so as to put the past behind him and thus redeem his good character
and so once again be able to claim that he is now a “fit and proper person”. The subsequent conduct must be
over a sufficient period of time to indicate clearly to the community that his rehabilitation is complete.
Australian Broadcasting Tribunal v Bond (1990) 170 CLR 127 at 156 and Obradovic v Commissioner for Fair
Trading, Office of Fair trading (2005) NSWADT 140
…”However, depending on the nature of the activities, the question may be whether improper conduct has
occurred, whether it is likely to occur, whether it can be assumed that it will not occur, or whether the general
community will have confidence that it will not occur. The list is not exhaustive but it does indicate that, in certain
contexts, character (because it provides indication of likely future conduct) or reputation (because it provides
indication of public perception as to likely future conduct) may be sufficient to ground a finding that a person is
not a fit and proper person to undertake the activities in question.”
Hennessey N – Magistrate (Deputy President) said, “In this case Mr Obradovic’s conduct all relates to his
work as a builder. I have found that in several cases Mr Obradovic did not attend promptly even to the defects
for which he acknowledged responsibility. Clients had difficulty contacting him on occasions and some had
great difficulty in getting him to rectify the work. That situation forced several to make formal complaints to
the Commissioner. Mr Obradovic ignored rectification orders when he did not consider himself liable to fix the
defects and blamed “the system” for this perceived injustice. This led to the payment of six insurance claims
and to court proceedings to recover those monies from Mr Obradovic. Although there was no dishonesty or bad
repute, Mr Obradovic’s extreme tardiness and intransigence means that he is not a fit and proper person to hold
a contractor licence.”
PAG
E 1
25
CH
AP
TE
R F
IVE
INT
ER
NA
L R
EV
IEW
Lindfield v Commissioner for Fair Trading (2005) NSW ADT 32
Molony P – Judicial Member said, “I have found that Mr Lindfield has been guilty of dishonest conduct going
back to 1997 and is not fit to hold a contractor licence. He failed to disclose to the Commissioner serious
pending charges going to his honesty and fitness in 1997. He failed to disclose his convictions for those
offences in 2000. He made false declarations on his applications for a contractor licence.“
Calleia v Commissioner for Fair Trading (2005) NSW ADT 42
Hennessy N - Magistrate (Deputy President) affirmed the Commissioner’s decision to refuse Mr Calleia’s
application for a contractor’s licence. One of the grounds for refusal was that Mr Calleia did not disclose on
the application form that in the last three years he had been a director of a company that was the subject of a
winding up order.
Fitness and propriety in the context of a person’s criminal history
Separate guidelines have been produced on the application of certain criminal convictions to licensing decisions
to supplement these guidelines. These are attached as Appendix C.
Ziems v Superintendent of Licences, NSW Police 1987
…the whole approach of a court to a case of personal misconduct must surely be very different from its
approach to a case of professional misconduct.
…The vital question … is whether the conduct of the person concerned, whether it constitutes an offence
against the law or not, has been such as to show that he is unfit to remain a member of the Bar. The fact that
his conduct may have amounted to an offence against the law is of course a matter for consideration but for the
reasons given it is by no means the end of the enquiry.
Petracaro v Commissioner of Consumer Affairs (1994) 62 SASR 392 and Corkin v Director General, Department of
Fair Trading (2001) NSWADT 190
…The statute is primarily concerned with the protection of the public by ensuring that building work is not carried
out by persons who are not suitably skilled or who are, or are likely to be dishonest with those with whom they
enter into contract…
….Past improper conduct of the applicant must be considered in light of the activity which is to be licensed and
not considered at large.
Sakellis v Officer in charge of Police, Paddington District Court March 7, 28 1968
“….I cannot agree with the applicant’s counsel submission that there can be a different standard of honesty in
different occupations. A man is either honest or he is not, and in my view if he is not, he is unfit for any licence of
the present type granted by the public. This is not to say a man convicted once on a crime involving dishonesty
may never again be a fit and proper person to hold a licence, as the cases of McCauley, Lenehan and Davis
make clear.
It seems to me impossible to hold that a man who less than a year ago pleaded guilty to breaking, entering and
stealing his own employer’s goods who is still under a bond in respect of the offence and who is still bound to
submit himself to supervision and guidance of the adult probation officers, can be fit and proper to hold even a
sub-agent’s licence….”
Maio v Superintendent of Licences, New South Wales Police (1987) ASC 55-551
The Tribunal recognises that a person who has been convicted of a criminal offence or offences can by his
subsequent conduct rehabilitate himself so as to put the past behind him and thus redeem his good character
and so once again be able to claim that he is now a “fit and proper person”. The subsequent conduct must be
over a sufficient period of time to indicate clearly to the community that his rehabilitation is complete.
PAG
E 1
26
CH
AP
TE
R F
IVE
INT
ER
NA
L R
EV
IEW
Re Habis (The Licensing Court of NSW, 9 July 1998, unreported)
A Licensing Magistrate refused an application by a person for a certificate of registration as a real estate
salesperson where the applicant had pleaded guilty some nine months previously to stealing money from his
employer. That was the same offence for which the applicant in the present was convicted. The sum stolen in
Habis was a larger amount, namely $8,983. The applicant in that case had pleaded guilty, was sentenced to
100 hours community service and placed upon a bond for two years to be of good behaviour and to accept
the supervision and guidance of the NSW Probation Service. Section 57.8 of the Property Stock and Business
Agent’s Act 1941 provided that a certificate of registration shall not be issued to an applicant who is not of good
fame and character or who is not otherwise a fit and proper person to hold a certificate of registration. The
Licensing Magistrate said:
“The fact that there is less than one year elapsed from the date that the matters were finally disposed of is not a
sufficient period of time to permit Mr Habis to satisfy this Court that he is a person in whom the trust of the Court
can be reposed and a suitable person to be granted or a fit and proper person to be granted the certificate
which he seeks.”
Re Davis (1947) 75 CLR 409, Law Society of NSW v Foreman 1994 34 NSWLR 408, McEvoy v Director-General of
the Department of Fair Trading (2000) NSWLEC 183, Corkin v Director-General, Department of Fair Trading (2001)
NSWADT 190
…intrinsic character is a different matter. A man may be guilty of a grave wrongdoing and may subsequently l
become a man of good character. If the appellant had frankly disclosed to the Board and to the two
solicitors the fact of his conviction, that disclosure would have greatly assisted him in an endeavour to
show that he had retrieved his character. But his failure to make such a disclosure in itself, apart from the
conviction, excludes any possibility of holding that he was in 1946, or had become in 1947, a man of good
character.
…character involves, inter alia, two things: the acceptance of high standards of conduct; and acting in l
accordance with those standards under pressure. Character is tested not by what one does in good times
but in bad.
…the applicant’s failure to disclose the convictions for the two drug offences and the disqualification l
excludes any possibility of holding that, at the time of making his application for registration; he was a
person of good character. …The obligation of complete candour and disclosure is an important element of
good character.
…Mr Corkin did not in any way conceal the fact of his convictions or the seriousness of them. He disclosed l
in his application to the Director-General the fact that he had been convicted… and stated that he had just
been released from gaol after serving 4 years. Had Mr Corkin concealed his convictions in his application
this would have reflected on his honesty and integrity if there was no satisfactory explanation for such
concealment.
PAG
E 1
27
CH
AP
TE
R F
IVE
INT
ER
NA
L R
EV
IEW
Internal Review
INTERNAL REVIEW
À 28 Calendar Days
1. Reference Information
1.1 Administrative Decisions Tribunal
The Administrative Decisions Tribunal Act (ADT) provides that certain decisions made under the Home Building
Act 1989 are subject to review by the Tribunal.
A delegate of the Director-General of the Department will have made a decision on an application. An applicant,
who believes that they have been treated unjustly by a decision to refuse or vary their application, may within 28
days of receipt of the notice of decision, write to the Office requesting an internal review of that decision.
(Section 53 of the Administrative Decisions Tribunal Act 1997).
A written statement of reasons (SOR) must then be prepared and forwarded to the applicant within 28 days.
The internal reviewer may refuse to provide a SOR if they are of the opinion that the applicant is not entitled to
be given a statement, or the request was not made within a reasonable time after the decision was made. A
notice of refusal must also be prepared and forwarded to the applicant within 28 days.
A person may usually only apply to the Tribunal for a review of a decision if an internal review has been, or taken
to be completed. In certain circumstances, however, an application may be allowed even though no internal
review has taken place.
1.2 Internal Review
An internal review is an independent examination of the licence applicant’s application and other supporting
documents that have been submitted to determine whether the correct decision was made in rejecting the
application and / or whether subsequent documents produced would support the grant of an authority.
The Administrative Decisions Tribunal Act 1997 (Section 53), together with the Home Building Act, 1989 (Section
83 (b)) states an applicant is entitled to an internal review.
Section 20 (5) of the Home Building Act 1989, provides that a decision of the Director-General relating to
determining standards or other requirements under subsection (2) cannot be reviewed by the Administrative
Decisions Tribunal in an application for review made under this or any other Act. What this means is while
standards are non reviewable, an applicant may still appeal on the grounds that they meet those standards.
Section 53(1) ADT Act provides that an applicant affected by a decision can apply to the Office for an internal
review of that decision. The application must be in writing, addressed to the Director-General of the Department,
and specify an address in Australia to which a notice of the result may be sent.
Section 53(2)(d) ADT Act provides that an application for internal review must be lodged within 28 days after
receipt of the decision letter or such later date as the administrator may allow. The acceptance of a review
request after the 28 day period has expired is at the discretion of the original decision maker. The request is to
be dealt with on its merits considering the reasons advanced for the delay in lodgement.
PAG
E 1
28
CH
AP
TE
R F
IVE
INT
ER
NA
L R
EV
IEW
Section 53 (3) of the ADT Act provides that the person who deals with the internal review must, “as far as
practicable” be someone who:
was not substantively involved in the process of making the decision under review; l
is an employee of the decision maker or the same agency; and l
is suitably qualified to deal with the issues raised in the application. l
Internal Review Process
The reviewer must:
1. Consider all relevant material. This includes the original file, and any relevant information or material supplied
by the applicant, including new material not considered by (or available to) the original decision maker.
(Section 53(4) of the ADT Act).
2. Prepare a submission to the final decision maker, which provides-
a recommendation for a decision – this can propose to affirm the original decision, vary that decision, or l
set aside and substitute another decision;
a statement of reasons for the decision; and l
a draft letter to the applicant for signature of the Co-ordinator. The file and any relevant papers must l
accompany the SOR and recommendations to enable the Co-ordinator to form their own decision.
In assessing the appeal, the review officer needs to take into consideration relevant policy documents in force at
time of the original decision and not rely solely on current documents. In addition the internal review needs to be
mindful of past Tribunal decisions and standards that have been set. The review officer need also to be mindful
that the applicant may not be fully aware of the standards and requirements they are to meet to be successful in
obtaining an authority for which they have applied for.
For a successful outcome of the review process it is necessary for the review officer to fully inform the applicant
of these standards and assist the applicant to provide the necessary documentation to meet Departmental
assessment criteria.
It is only where it is clear that the applicant does not meet the relevant standards, that an appeal should be
dismissed outright and the reasons why need to be clearly documented in a Statement of Reasons which
accompanies the refusal notification to the applicant.
Section 53(7) provides that the statement of reasons need to cover the following:
1. the findings on material questions of fact, referring to the evidence or other material on which those findings
were based;
2. the final decision maker’s understanding of the applicable law; and
3. the reasoning process that led the final decision maker to the conclusions they made.
PAG
E 1
29
CH
AP
TE
R F
IVE
INT
ER
NA
L R
EV
IEW
The following list some more of the common criteria on which an application may have been rejected. While
in no means is the following an exhaustive list, some examples or scenarios are given to assist the reviewer in
examining information provided according to relevant standards and ADT protocol:
Qualification – l
What are the relevant qualification criteria in force at the time of the application? ¡
Can the applicant’s qualifications be considered the equivalent of or can they be further assessed for ¡
equivalence by an appropriate body such as VETAB, MECAT,RPL etc?
Experience l -
Does the employment history generally align with reference details provided? ¡
Is this consistent with dates on qualification certificates supplied? ¡
Has the applicant supplied corroborating information that can be considered in lieu of a formal ¡
reference?
Financial position - l
Does the legislation allow the issue of a tradesperson’s certificate or a qualified supervisor’s certificate in ¡
lieu of a builder’s licence? (Refer to separate bankruptcy guidelines for assessment.)
Has the applicant taken reasonable steps to avoid the liquidation? ¡
What are reasonable steps? This needs to be assessed on a case by case basis. The ADT have ¡
previously determined that reasonable steps should be based on the applicant’s personal experiences
as compared to a fully qualified liquidation expert.
Criminal conviction - l
Does the criminal record of the applicant demonstrate that they would be a risk to the public? (Refer to ¡
separate guidelines for Criminal History assessment.)
Non-compliance with Tribunal orders - l
Generally, the reviewer has no discretion here as the Regulations state that the Commissioner must ¡
reject the application.
Unreasonable number of insurance claims - l
What is an unreasonable number? ¡
An examination needs to be made of the circumstances leading to the claim; the amount of the claim ¡
and whether the applicant attempted to meet their obligations.
Insurance claims on a strata complex may be recorded individually, however, they are generally viewed ¡
as only 1 claim by the ADT.
Unreasonable number of complaints - l
What is an unreasonable number? ¡
Generally, complaints on their own would not withstand scrutiny at the ADT and the reviewer would have ¡
to argue convincingly why a complaint is both unreasonable and significant enough to preclude the grant
of an authority.
PAG
E 1
30
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
Disqualifications - l
Generally, the reviewer has no discretion here as the Regulations state that the Commissioner must ¡
reject the application.
Qualified Supervisor Certificate - l
Could a QSC be issued in lieu of a full builder’s licence? ¡
Company information - l
Would a company application proceed if a nominated director and / or shareholder was removed from ¡
the ASIC records?
Fit & Proper - l
The question of fitness and proprietary need to be considered in the overall context of the applicant’s ¡
work record.
Refer to separate guidelines for Fit & Proper assessment. ¡
2. Procedures
Applicant Applicants who disagree with the decision of the Commissioner (relating to the grant or
renewal of a licence) may apply for an internal review of that decision.
The application must be in writing, addressed to the Director-General of the
Department, submitted with 28 days of receipt of the original decision and specify an
address in Australia to which a notice of the result may be sent.
FTC FTCs may accept any requests for review and refer direct to Review & Audit Branch
of HBL.
HBL The request for internal review is attached to the relevant licensing file and forwarded
to the Co-ordinator Assessment / Maintenance for preliminary determination if licence
can be granted / renewed. Should the matter involve more complicated considerations
or appear not to meet the relevant standard, the relevant Co-ordinator promptly
forwards the file to internal review.
On receipt of file in internal review, the request is registered and an acknowledgement
letter forwarded to the applicant.
GLS noted as per GLS Manual.
Co-ordinator Review manages the internal review process and determines the eligibility
of the applicant to an internal review.
Contact to be made with the applicant to clarify issues and/ or explain issues which
prevented authority from being issued.
PAG
E 1
31
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
Review Officer undertakes internal review and prepares recommendation sheet for the
approval of the Co-ordinator.
Applicant formally advised of the outcome of internal review. The Co-ordinator is
required to sign off on all Statements of Reasons forwarded to applicants.
Where decision has been overturned, complete GLS entry as per GLS Manual and
issue licence.
Where decision has been varied, complete GLS entry as per GLS Manual and issue
licence.
Where decision has been upheld, complete GLS entry as per GLS Manual and
resubmit file for possible ADT appeal and / eventual refund action.
Where applicant appeals to the ADT, Legal Branch request the relevant licensing
file. The Co-ordinator liaises with Legal regarding appeals and provides necessary
follow-up information requested by Legal. Upon request, the Co-ordinator also attends
Tribunal hearings as an expert witness or to provide on hand assistance to the Legal
Officer.
Complete GLS entry as per GLS Manual.
For overturned decisions, the Co-ordinator liaises with Legal to obtain information
concerning the ADT’s decision and the reasoning behind it. The Co-ordinator
then feeds this information back to the appropriate Co-ordinators in Assessment,
Maintenance and Information Co-ordination for relevant action.
For upheld decisions, upon expiry of appeal periods, prepare refunds as per GLS
Manual and send file to records.
PAG
E 1
33
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
ADMINISTRATION
RECEIPTING AND BANKING
1. Reference Information
Legislation Treasury Directions state that all collections from all sources amounting to $100.00 or
over shall be banked on the day of receipt (TD88/8).
OFT & Commerce Finance and Audit Branch policies and procedures.
Acceptable
Methods of
Payment
Cash Counter
Money Orders Counter, mail
Cheques Counter, mail
Credit Card Counter, fax, online
EFTPOS Counter
Fast Receipts GLS provides the facility for Fast Receipts. However, any payments entered via this
facility are not matched to the document being processed. Therefore the use of Fast
Receipts is limited to the following situations only:
when payment cannot be matched on the GLS; l
for company/partnership contractor licences when the category is different to l
the categories held by the nominated supervisor or the nominated supervisor’s
authority has expired;
when an alert is placed on the authority in GLS and GLS will not allow the renewal l
application to be processed
2. Procedure
Online Renewals lodged online are automatically receipted.
FTC/HBL Receipt as outlined in GLS Procedures Manual.
Banking HBL & FTC – Prepare as per GLS and Banking procedures.
PAG
E 1
34
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
REFUND OF APPLICATION FEES
1. Relevant Information
Legislation Section 51 of the Licensing and Registration (Uniform Procedures) Act 2002 states
that all fees paid in connection with an application that is refused (other than any
processing fee) are to be refunded to the applicant.
Refer also to Section 42 of the Home Building Act 1989.
Refer also to Clause 43 of the Home Building Regulation 2000.
Schedule of
Fees
Refer to website. All fees are GST free
Processing
Fee
All Licensing fees contain a processing fee component.
Retention of
Processing Fee
The processing fee component is deducted from the fee paid when refunding.
Full refund (including the processing fee) requires approval of a Grade 7/8 officer or
above and will be considered where:
misinformation has been given to the applicant; l
the applicant mistakenly pays a fee twice on an application; l
an authority is issued or entered in error. l
Cancelled
Authorities
In general, cancelled authorities are not entitled to a refund. Where the authority has been
granted for 3 years, any unused portion of the authority following the year in which the
cancellation occurred may be refunded. Eg An authority is cancelled in its second year of
renewal and hence the third year only is refunded.
Issue of
Refunds
Refund requests are generated in GLS as per GLS procedures. Processing of the payment is
undertaken by Finance Branch.
Ethical Practice An officer cannot process or approve a refund on any application receipted by them.
2. Procedure
Online Not applicable
FTC Complete Refund Request Form and fax or mail to HBL.
HBL Complete Refund Request Form.
Check request for appropriate reason and amount.
Authorise refund by delegated officer.
Process refund in GLS as per GLS procedures.
PAG
E 1
35
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
REFUND REQUEST FORM
Reference Number: Refundee Name: Refundee Address Post Code: Type of Refund: Whole Application Fee Application Fee minus Processing Component Part or Whole Renewal/Restoration Fee Reason for Refund : Amount Paid: $ Receipt No.(s): Date Paid: REFUND AMOUNT : $
REFUND NUMBER : __________________________
Refund prepared by : Date : Refund batch sheet checked and approved by: Date:
PAG
E 1
36
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
DISHONOURED CHEQUES
1. Relevant Information
Legislation Treasurer’s Directions 140 (Dishonoured Cheques)
Section 43(1) of the Home Building Act 1989.
Dishonoured/
Declined
Is when the bank, used by the State Government to deposit application fees collected
under the Home Building Act 1989, will not honour the payment because of insufficient
funds in the applicant’s bank account.
Notification The Bank notifies Finance Branch of the dishonour which is forwarded to HBL.
Dishonour
Fee
The dishonour fee charged by the bank to OFT is passed on to the applicant. The
applicant is advised that the outstanding application fee and the dishonour fee are
both required to prevent the authority from being cancelled.
Contacting
The Applicant
A letter is sent to the applicant advising them of the dishonoured cheque and providing
them with 14 days to rectify. There is generally no extension of time on this period
unless the applicant has requested an extension due to extenuating circumstances
and this extension is approved by a Team Leader.
2. Procedure
Online Not Applicable
FTC Not Applicable
HBL The term ‘Dishonour Cheque (D/CH)’ is entered on GLS for the applicant.
A report is produced weekly for dishonour cheques.
The term ‘Dishonour Cheque (D/CH) is entered on the GLS application.
GLS is checked to determine if payment has been made in the interim.
If not, notify applicant by letter. The letter is to include:
notice of outstanding application fee; l
notice of dishonour fee to be included with payment; l
options for payment including mail and FTC; l
GLS reference number to be used when making payment to allow for matching of l
receipt;
Time limit of 14 days for payment; and l
notice that application will be cancelled if payment is not received within this time. l
On receipt of payment, receipt in GLS and place documents on appropriate file.
If payment is not received, process as per Cancellation of an Authority Procedures.
PAG
E 1
37
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
DECLINED CREDIT CARDS
1. Relevant Information
Overview HBL and FTC staffs have credit card readers that allow the credit card payment to be
processed immediately. If there is insufficient funds in the applicant’s bank account the
credit card will be declined and the fee for the application cannot be receipted. The
application is declined to be accepted.
Exception On very rare occasions a credit card is accepted when payment is made and
receipted, only for the bank to decline the payment at a later time.
Notification for
Exceptions
The issuing bank will notify OFT in the same method as when a cheque is
dishonoured.
Processing a
Declined Credit
Card
Processing the
Application
The application is held and entered in GLS until payment is received.
If no payment is received within 14 days, the application is declined and the applicant
notified as per procedures.
2. Procedure
Online Not applicable
FTC If card is declined and there is no alternative payment:
return application to customer if not already entered in GLS. No further action l
required;
if entered in GLS, retain application at FTC for up to 14 days awaiting payment. l
If no payment is made, make a note in GLS and forward to HBL for decline.
PAG
E 1
38
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
HBL Contact the applicant by telephone to advise of credit card decline. The applicant is
requested to rectify within 24 hours. Options for rectifying include:
forwarding cheque to HBL; or l
visiting FTC for cash, EFTPOS, credit payment. l
Applicant must be provided with reference number to enable matching of payment
when made.
Note action in GLS
Check GLS around 48 hours later to confirm payment. If no payment, notify applicant
in writing that application will be refused if payment not received within 14 days
(unless the applicant has requested an extension on the grounds of extenuating
circumstances. Such extensions are to be approved by the Team Leader.)
If the payment is received the documents are processed in accordance with relevant
procedure ie assessment, renewal.
If the payment is not received process as per Cancellation of an Authority Procedures.
PAG
E 1
39
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
_______________________________________________Home Building Licensing Procedures Manual
DELEGATIONS
PAG
E 1
40
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
INTERPRETATION:
The summaries of the provisions set out in Schedules One, Two and Three are for information only and do not
limit the scope of the relevant function to be exercised by the delegate or prescribed officer.
Where more than one person is delegated, or authorised to perform a function or to be a prescribed officer to
exercise a function, the delegation or authority is to each person concurrently.
The following abbreviations are used in this instrument:
A General Manager, Home Building Service (SES 4)
B Director, Mediation Services & Compliance (SO 2)
C Director, Licensing (SO 2)
D Director, Insurance Services (SO 2)
E Manager, Home Warranty Insurance Branch (Grade 12)
F Manager, HWI Scheme Board Secretariat (Grade 11/12)
G Manager, Building Investigations Branch (Grade 12)
H Manager, Dispute Resolution and Inspection Branch (Grade 12)
I Manager, Compliance Administration Unit (Grade 11/12)
J Manager, Licensing (Grade 11/12)
K Co-ordinator, Licensing Branch (Clerk Grade 9/10)
L Team Leader, Licensing Branch (Clerk Grade 7/8)
M Senior Licensing Officer (Clerk Grade 5/6)
N Licensing Officer (Clerk Grade 3/4)
PAG
E 1
41
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
SCHEDULE ONE
Home Building Act 1989
Column One Column Two Description
A, B, C, J, K, L, M, N s.20 Approve or reject the issue of a licence including an endorsed
licence
A, B, C, J, K, L, M, N s.21(2)(b) Make an order varying the authority conferred by a contractor
licence
A, B, C, J, K, L s.22(1) & (2) Cancel a contractor licence
A, B, C, J, K, L, M, N s.22(3) Notify licensee of cancellation of contractor licence.
A, B, C, J, K, L, M, N s.22B(2) Notify licensee of requirement to provide documentation or
information
A, B, C, J, K, L s.22B(4) Suspend contractor licence
A, B, C, J, K, L s.22B(6) Revoke suspension of contractor licence
A, B, C, J, K, L, M s.22B(8) Return contractor licence
A, B, C, J, K, L, M, N s.25 Approve or reject the issue of a certificate
A, B, C, J, K, L, M, N s.26 Endorse a contractor licence with supervisor qualification
instead of issuing a supervisor certificate
A, B, C, J, K, L, M, N s.27(3)(b) Make an order varying the authority conferred by a supervisor or
tradesperson certificate
A, B, C, J, K, L, M, N s.31 Reject owner builder permits
A, B, C, J, K, L, M, N s.32B Reject building consultancy licence
A, B, C, J, K, L, M, N s.32C(2)(b) Make an order varying the authority conferred by a building
consultancy licence
A, B, C, J, K, L s.32D Cancel a building consultancy licence
A, B, C, J, K, L, M, N s.34(1) Allow longer than 7 days for an applicant to give written
particulars of any changes in particulars or information
accompanying an application for an authority, or for the
variation, renewal or restoration of an authority.
A, B, C, J, K, L, M, N s.35(1) Require an applicant for a contractor licence, an applicant for
the renewal or restoration of such a licence or a close associate
of the applicant to authorise a person to provide information
or records, or, furnish authorities and consents to obtain
information from other persons.
A, B, C, J, K s.36(1) Make an order imposing conditions on an authority when it is
issued
A, B, C, J, K s.38(3) Cancel the provisional nature of an authority at any time
A, B, C, J, K s.38(4) Cancel a provisional authority at any time
A, B, C, G, J, K s.43(1) Serve a notice of cancellation of the authority because of fraud
A, B, C, J, K s.43(2) Serve a notice of retrospective restoration of the cancelled
authority
A, B, C s.47A Appoint a person to co-ordinate or supervise any work that has
not been completed under any contract entered into by the
holder of an authority if that authority is suspended, cancelled or
surrendered
PAG
E 1
42
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
Column One Column Two Description
A, B, C s.51(3) Be satisfied that the licence holder did all that could reasonably
be required to ensure that a nominated supervisor for the
work would exercise such degree of control over the doing of
the work as would be necessary to prevent the occurrence of
improper conduct
A, B, C s.53(3) Be satisfied that the licence holder used all due diligence to
prevent the occurrence of improper conduct.
A, B, C s.54(3) Be satisfied that improper conduct occurred without an
individual’s knowledge, or that the individual was not in a
position to influence the conduct of others so as to prevent
the occurrence of the improper conduct, or that the individual,
being in such a position, used all due diligence to prevent the
occurrence of the improper conduct.
A, B, C s.56 Take disciplinary action against contractor licence holder
A, B, C s.56A Take disciplinary action against a building consultancy licence
holder
A, B, C s.57 Take disciplinary action against the holder of a supervisor or
registration certificate
A, B, C s.58(2) Approve complaint form
A, B, C s.59 Deal with complaints about the holder of an authority
A, B, C s.60(1) Investigate any residential building work, building consultancy
work or specialist work or any kit home, or the holder of an
authority for the purpose of deciding whether or not to serve a
notice under section 61
A, B, C s.60(2) Request, for the purpose of carrying out an investigation under
s.60(1), information from the Consumer, Trader and Tenancy
Tribunal regarding any building dispute or building claim that
has been, or is being, heard by the Tribunal
A, B, C s.61 Issue a show cause notice
A, B, C s.61A Suspend an authority pending a decision on whether disciplinary
action will be taken
A, B, C s.62 Take specified disciplinary action against the holder of an
authority
A, B, C s.64 Notify the holder of an authority of the decision on disciplinary
action
A, B, C s.65(1) Allow a later time when a decision under s.62 becomes effective
A, B, C s.65(2) Decide when a suspension or cancellation under s.62 becomes
effective
A, B, C s.65(5) Refuse to issue or renew an authority in the period between the
making of a decision under s.62 and the serving of notice on the
person affected by the decision
A, B, C s.66(1) Specify a period for the return of an authority
A, B, C s.66(2) Issue a replacement authority when a variation occurs
A, B, C s.67(2) Extend time for the payment of a monetary penalty
A, B, C s.97(2) Grant an exemption from insurance requirements
A, B, C, D, E, F s.103AC(1) Request information from insurers
A, B, C, G, I s.124(1) Make an order for substituted service
PAG
E 1
43
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
Column One Column Two Description
A, B, C, G s.127(2) Serve a written notice requiring a person to provide information
in writing, produce any document or appear and give
information
SCHEDULE TWO
Home Building Regulation 2004
Column One Column Two Description
A, B, C, J, K, L, M, N cl.25 Be satisfied with the general requirements for issuing an
authority (other than owner builder)
A, B, C, J, K, L, M, N cl.26 Be satisfied with the additional requirements for issuing a
contractor licence
A, B, C, J, K, L, M, N cl.27 Be satisfied with the additional requirements for issuing a
building consultancy licence
A, B, C, J, K, L, M, N cl.28 Be satisfied that the applicant has the additional requirements
for issuing a certificate
A, B, C, J, K, L cl.28A(2) Determine that an offence committed by a person, of the kind
referred to in cl.28A(1)(a) and (b), should be ignored because
of the time that has passed since the offence was committed or
because of the triviality of the acts or omissions giving rise to the
offence.
A, B, C, J, K, L cl.37 Request further details of the changes referred to in cls.31 to 36
inclusive
A, B, C cl.43 Determine fees payable by candidates for examinations and
applicants for the re-marking of the results of such examinations
A, B, C, J, K, L, M cl.45(3) Require owner-builder permit applicant (who has a leasehold
interests in the land concerned) to get the written permission of
the owner to carry out the work for which the permit is required
PAG
E 1
44
CH
AP
TE
R S
IXA
DM
INIS
TR
AT
ION
SCHEDULE THREE
Column One Column Two Description
A, B, C, J, K, L s.131(a) – (e) Sign an evidentiary certificate in respect of any of the matters in
s.131(a) – (e)
A, B, C, E, G, H, J,K,
L
s.131(f) Sign an evidentiary certificate only in respect of the matter in
s.131(f)
A, B, C s.131(h) Sign an evidentiary certificate only in respect of the matter in
s.131(h)
SCHEDULE FOUR
General Manager, Home Building Service
Director, Mediation Services & Compliance
Manager, Building Investigations Branch
Manager, Dispute Resolution and Inspection Branch