Stroma Certification DEA Audit Masterclassfiles.stroma.com/...2015/dea-audit-masterclass-cpd.pdf · © Stroma Certification 2015 ... Welcome to Stroma’s CPD session providing a

© Stroma Certification 2015 | Version 1.0 © Stroma Certification 2015 | Version 1.0 | Page 1

Part of our 3 day Ecobuild CPD Programme Stroma Certification: Renewable Heat Incentive RHI

Stroma Certification

DEA Audit Masterclass Presented by Andy Parkin



Welcome

RHI

Welcome to Stroma’s CPD session providing a DEA Audit Masterclass

During this presentation we will cover:

1. The importance of audits

2. The importance of evidence

3. How does the audit process work?

4. Evidence requirements

5. Common audit failure points

6. How to prevent a fail (not avoid a fail)



Stroma DEA Certification…

RHI

We are the industry leader for DEA certification with more than 50% of

all lodgements done using Stroma Certification software.

We achieve this by demanding the highest standards from our

members who are regularly audited.

We provide industry approved

RSAP+ software to help lodgements.

Competitive lodgement fees for all members.



The importance of audits



Helps to drive standards

Identifies common mistakes across the scheme

Identifies errors on the EPC so that they can be corrected on the

register

Acts as a learning tool for DEAs to prevent repeat mistakes or

misconceptions

Why are audits important?



The importance of evidence



The importance of good evidence

Site notes, floor plans, photos…

Supports the findings of the EPC

Supports the DEA at audit

Supports the DEA if a complaint is received

Useful for historical reference

When returning to the property

Or similar property on the same site



Consequences of poor or missing evidence

FAILED AUDIT

Resulting in further audits

Disciplinary action (over a time period)

Not possible to resolve a complaint

Could have financial implications

Could have time or resource implications



All evidence must be kept for 15 years

All evidence must be retrievable during this time

All evidence must be backed up

To allow retrieval in the event of fire, theft or flood

Lost evidence is a common reason for audit failure

Not an acceptable reason!

Key points



How does the audit process work?



What is an audit?

When are they requested?

What is required from each scheme member following an audit

request?

Audit process



An audit is a quality assurance assessment (QAA) check of an assessor’s EPC result

(i.e. the EPC that they have produced). These are requested at certain times of a

year and under certain conditions on a certain percentage of all EPCs lodged.

An audit is wrongly considered to be a way for the scheme operator to ‘catch out’ the

assessor.

Stroma have always considered the audit process to be a fantastic learning tool,

which can help each member understand where they are making mistakes and how

to avoid making those mistakes in the future. Evidence provided by an Energy

Assessor shall be such that an independent assessor can be reasonably certain it

relates to a particular EPC.

It is very important to note, however, that failure to supply evidence for an EPC

survey could result in suspension until such evidence is provided. It is therefore very important that you always respond to an

audit request within the timescales set.

What is an audit and what is their purpose?



1. Random Audits

2. Targeted Audits

Two types of audit



Audits can be called for a number of reasons, as

displayed in the table (next slide) for our Scheme

Operating Requirements.

As part of an ongoing quality assurance process Stroma

Certification is required to carry out desk based audits

for a minimum of 2% of all lodged EPCs.

Random Audits



Assessor Group Minimum Audits Required % of Member’s

Lodged EPCs

New members (< 6 months)

Either new to the scheme, new to the

qualification or rejoining the scheme after

a break in membership

Note that members who are inactive for a

period of 2 years will automatically revert

to this status

1 audit in the first 30 days of membership or,

First available certificate lodged.

Minimum of 1 audit per quarter*

5%

Existing members (> 6 months)

Have been with the scheme for more than

6 months

Minimum of 1 audit per quarter

1%

Members returning from suspension (for 6

months following return from suspension)

5 audits in a 6 month period

10%

Audit levels



Audits requests must be satisfied within 15 working days.

Audits will be completed within 15 working days of receipt.

If the audit fails, the DEA has 10 working days to appeal or replace

the certificate.

Timescales



Clarification of the calendar year (3 and 6 month periods)

For the purposes of the QAA Policy:

The calendar year is 1st January to December 31st

Quarter (4 periods in a calendar year) 1st January to 31st March, 1st

April to June 30th, 1st July to September 30th and 1st October to 31st

December

Timescales



If a scheme member is found to have produced an EPC that is outside

the acceptable tolerances, the following steps will be taken:

The audited EPC must be cancelled from the Landmark register and

an amended certificate must be created by the assessor.

This must be provided to Stroma Certification for re-audit. It must be

re-issued to the client and lodged on the register by the energy

assessor within 10 days of the audit fail notification.

Stroma Certification will carry out additional audits

of 2 further EPCs lodged by the

scheme member.

Targeted Audits



Evidence requirements



Evidence requirements are set out in Appendix 5, Table 1 of the

Scheme Operating Requirements.

The purpose of evidence is to allow the auditor to replicate the EPC

result.

If the result is outside of the tolerances allowed, then the audit fails.

Evidence requirements



Minimum Photographic Requirements:

Front Elevation

Rear Elevation

Side Elevation (if property is detached/semi-detached)

Cavity Wall Insulation – evidence

Roof construction

Openings – windows/chimneys (if these aren’t clear on previous photographs)

Primary Heating System (showing key features also)

Secondary Heating System

Loft insulation – showing depth of insulation

Evidence of wall thickness

Conservatory – photographic evidence of separation

Evidence requirements - Photos



Where relevant:

Heating System controls

Hot water cylinder and stat

Electricity and gas meters

LPG Cylinder

Fixed low energy light fittings

Any other feature of the building or limitation whose presence or

absence may be reasonably considered likely to affect the SAP rating

Any other feature which supports a claim in the report that could be

queried or be the subject of a complaint

Other evidence requirements



All photographic evidence should be dated within the image, to

prove that they relate to the property being assessed, on the date of

assessment.

If this is not possible, electronic files (e.g. .jpg) are acceptable as

long as we can securely ascertain the dates from the file.

Photographs embedded in files (e.g. WORD, PDF) should be dated

within the image, with the master images being retained by the DEA.

Key point – Date Stamps



Documentary evidence is defined in convention 9.02:

It is required to overwrite any U-values and to enter loft insulation/wall

insulation/floor insulation if these cannot be visually inspected. If

documentary evidence does not meet the above requirements, then it

cannot be accepted.

Documentary evidence



Initial Audit findings from RdSAP 9.92 EPC Audits

In light of the recent launch of RdSAP 9.92 methodology

and software, the audit process has moved on to cover

the new data points and evidence requirements.

We will now examine the new evidence requirements for

RdSAP 9.92 data entry. These have been ordered to

reflect the potential to result in a failed EPC at audit.

Evidence requirements – RdSAP 9.92 additions



New Data Point Evidence Requirement Fail Area - with Reason

MCS Installed Heating

System

Heat pump MCS install - should be proven by a photograph of the

MCS certificate

Highly likely to result in a failed audit as this has a

large impact on the efficiency of the heating system.

Care should therefore be taken when dealing with

ASHPs and GSHP etc. MCS should be obtained

wherever possible.

Use of Additional

Database for Heating

Selection (Community,

HHR Storage Heaters,

TTZC TRVs, Weather

Compensators etc.)

Selections from heating database - must be proven by suitable

documentary or photographic evidence and be covered in site

notes. This is similar to evidence required when selecting a boiler

or other heating system present in the PCDF.

Highly likely to result in a failed audit. If evidence

isn’t provided to prove the presence of database

choice then the non-database method will be

chosen by the auditor. This will most likely result in

statement inaccuracies and SAP point variances.

PV Connected to Mains

Meter

This section should be adequately shown on site notes and via

photo of electric meter or via a schematic of PV wiring (normally

located by consumer unit, meter or inverter after PV installed).

Highly likely to result in failure. Whilst it is safe to

assume that most PV systems are connect to the

mains electric via the meter (in order to obtain the

FIT), you will need to show that the system is

connected, the SAP rating will be highly affected

resulting in a fail of the EPC.

RdSAP 9.92 considerations (High Risk)




Party Wall Length On floor plan and in calculations

Potentially. Incorrect length could result in SAP

rating change in some properties (mid-terrace

will be particularly affected if party wall isn’t

solid). This doesn’t affect the statements or

recommendations on the EPC.

Party Wall Construction

Party Wall identification should be covered. This needs to be

present in site notes and suitable photographic evidence to

support identification of construction type or supporting the

use of 'unable to identify'.

Potentially. Incorrect identification could result in

SAP rating change in some properties (mid-

terrace will be particularly affected if party wall

isn’t solid). This doesn’t affect the statements or

recommendations on the EPC.

Glazing Gap

Existing photo used from proof of multiple glazing can be

used, as long as the photo shows the extent of the glazing

gap. Documentary evidence may exist to prove actual gap.

No requirement to buy and use specific measuring device.

Extent of glazing, including type and percentage of multiple

glazing should be covered in site notes or on Floor Plan.

Could result in a fail for recommendation and

statement variance on the EPC. If the data

entered should be DG, Pre-2002 (2003

Scot/2006 NI) or unknown date and 12mm gap,

then this will promote a glazing upgrade

recommendation.

RdSAP 9.92 considerations (Medium Risk)




Heating System

Pump Age

Heat pump age - needs to be supported by suitable

photographic evidence showing EIR label. Unknown

should be used if the pump cannot be located (located

in the boiler).

Unlikely to cause a fail on its own, but could

contribute to a fail if identified incorrectly,

but will have some impact on the rating due

to efficiency gains or losses in the heating

system.

Heating System Flow

Temperature

Flow temperature - needs to be supported with suitable

documentary evidence. A MCS certificate or heating

system design spec would be adequate. Unknown

should be used in the absence of documentary

evidence.

Unlikely to cause a fail on its own, but could

contribute to a fail if identified incorrectly,

but will have some impact on the rating due

to efficiency gains or losses in the heating

system.

RdSAP 9.92 considerations (Low Risk)



Common audit failures – Why do audits fail?



Heating Systems: Secondary Heating Type

Photos : Date Stamps

Age & Dimensions: Calculation

Heating Systems: Boiler Identification

Roof Construction: Insulation Thickness

Roof Construction: Insulation

Photos: Missing

Wall Construction: Insulation

Wall Construction: Wall Thickness

Heating Systems: Heating Controls

Common audit failure reasons



Another common audit failure reason is non-submission of evidence.

This is broken down as:

No evidence submitted at all within the timescales

Insufficient evidence submitted:

As per the minimum evidence in the SOR

EPC audit could be started

i.e. no floor plan, no heating system photos

Evidence non-submission



How to prevent a fail (not avoid a fail)



Spend enough time on site to gather relevant evidence

Use of an appropriate camera (time and date stamps)

Develop a routine

Ensure all data, notes, photos, plans are stored and backed up

straightaway

Use of software to assist?

Techniques for passing audit



Stroma’s iPad software performs all of these functions and more.

Stroma’s iPad and desktop

applications are linked.

Stroma’s iPad software links to Tracker software which integrates

into client applications:

Transfer of docs, site notes etc

Appointments can be sent from client to iPad user

Introducing RSAP+ iPad software



RSAP+ software demonstration



You can view the following documents on

the members area: CPD on audit failure points

Latest technical bulletin (Feb 2015)

Conclusions…



Please send your questions to [email protected]

mailto:[email protected]



0845 621 11 11 [email protected]

www.stroma.com

Thank you for your time

mailto:[email protected]

Documents

Stroma Certification DEA Audit Masterclassfiles.stroma.com/...2015/dea-audit-masterclass-cpd.pdf · © Stroma Certification 2015 ... Welcome to Stroma’s CPD session providing a