Sterling Accreditation Energy Assessor Guidance Auditing of Display Energy Certificates. Practices and Procedures Manual

Transcription

1 Sterling Accreditation Energy Assessor Guidance Auditing of Display Energy Certificates Practices and Procedures Manual

2 Version 1.1 The Sterling Accreditation quality auditing manual has been created to support Energy Assessors (EAs) with reasonable guidance on their obligations from a scheme perspective and what information is required to complete a Display Energy Certificate audit and what the critical areas a scheme should review when auditing. The Sterling quality auditing guidance should be used by all assessors as a final quality check before lodging their DECs. You will see further on in this document the ramifications of failing a quality audit and all EA s need to be extremely diligent in ensuring that their work is of the highest standard. The first part of the auditing process is the request for information. The data required usually comes in the form of the site notes, the xml, site plans, photo s including Arial view, correspondence between the EA and the client and if possible a completed risk assessment. The detailed information is outlined below makes up the audit pack so you need to ensure the forgone contains all of the relevant details highlighted. Minimum Evidence Requirements Associated with the audit of DECs and Advisory Reports REQUIRED EVIDENCE DEC (Where site visit is required) Data file, and / or software data collection forms Site Notes Design Floor Plan, elevations, Sections, hand drawn schematics. Arial view of building from Google maps (or link to this) or similar that clearly identifies the building and allows a sense of site dimensions. Photographs of all external elevations: front, rear and side(s) Supplementary calculations undertaken by the assessor outside of the DEC software. COMMENTRY The QA will require project file used by an EA to re-calculate the DEC. The EA shall provide within the site notes anything used in support of creating the DEC. Site notes shall be dated and signed. The design floor plans need to be clear enough to allow the QA to recalculate the floor area Individual assessors are responsible for ensuring that they comply with any terms and conditions attached to the use of such material. Where the Energy Assessor believes that photographs are not practically achievable, but a particular element / energy using device is present, site notes shall explain why the photographic evidence is not available. The QAA shall form a view as to whether the claim is reasonable. In this regard the QA assessor needs to record reasons why the absence of photographic evidence has been accepted to allow a review by DCLG. Photographs shall be dated within the image to avoid the use of stock images. Electronic files will only be acceptable if there is a secure means of dating the file. Will be required to be evidenced in the site notes Energy information from client. Shall include all energy sources, energy units used, and be of sufficient detail that the QAA can undertake a sense check of the data. Page 2 of 12

3 Occupancy Hours Separable energy use Benchmarking evidence Evidence which can demonstrate extended occupancy hours. This needs to be evidenced in a manner which is additional to site notes. An example would be a photograph of opening hours. Evidence which can demonstrate separable energy use. This needs to be evidenced in a manner which is additional to site notes. Photograph of activity associated with separable energy use, and documentation associated with energy use in this area would be examples. Can be provided through the combination of photographs and site notes. Possible check is Google maps (or similar). DEC (Where site visit is not required) Data file, and / or software data collection forms, relating to information used by an EA to calculate the DEC. No change in use, occupancy hours, separable energy use, building dimensions. Justification from EA as to why there has been no change in these areas. Proof that the EA visited the building previously. This shall include requesting information associated with the DEC where the EA claimed to have visited the building. Checks as per the case with site visit Energy information, site information Advisory Reports Evidence associated with building and services Evidence required to justify the suppression or inclusion of additional recommendations Evidence of site visits Site schematic, site notes detailing key systems. Photographs as necessary. Signed and dated site notes. Photographs of building and services. Page 3 of 12

4 When auditing a Display Energy Certificate, Sterling QA Assessors will check all inputs and supporting evidence. The inputs will be recorded on the QA audit report. If the EA has assessed a report that is out of the norm or is unusual in its makeup you need to ensure that your site notes are fully annotated with all of the information required for the QA to understand your methodology and approach to the audit. Ensure that you have enough quality date stamped photographs to support your report. The QAA shall work through the EA s assessment using the evidence provided by the EA for each data entry field required by the software. For each data field where the QAA believes that there is a need to change the data, the QAA shall list the data fields considered to be incorrect, and shall then change the input data for each data field in all relevant elements and then recalculate the DEC rating. The QAA shall note the variance in the DEC rating arising from any change, and shall record the variance as a positive value in each case whether the variance is negative or positive, as well as the reason for the change. The QAA shall then reset the field(s) in question to the EA s original value. The QAA shall then move to the next entry field and repeat testing When all entry fields have been checked the QAA shall add all the differences to arrive at the cumulative error in the DEC rating. Schemes shall not make use of truncation or rounding within their calculation processes, eg 4.4 cannot become 4, where software provides a more accurate outcome. The rating error shall be judged to be correct if the absolute rating is within either 5% of the rating calculated by the QAA, or within 5 absolute points. In all other instances the DEC, shall be judged to be defective. Page 4 of 12

5 The area's the QA will review the following points whilst completing the audit: Evidence pack Has the EA provided all the relevant data required to audit the DEC as outlined in the QAA manual. If not contact the Sterling office to review if there is enough information to proceed with the audit. Site Notes Energy use calculations Separate energy use Has the EA used a site notes pro forma? Are the site notes clear and legible? Has the EA provided all the information used to create the DEC and AR where applicable? Are the site notes signed and dated? Is the energy data and energy use calculation within 2.5% of the QAA assessment? Has the EA provided a sample of the energy data to be sense checked. Has the EA provided any calculations and supporting evidence, are the calculations within 1% of the QA calculation? Has the EA evidenced the primary fuel source and entered it correctly into OR calc? Has the EA selected the correct carbon emissions factor? Has the EA provided the evidence to justify separate energy use and meets the requirements of TM46? This can be evidenced by use of a photograph of the activity of the separate energy use Is the separate energy use entry within 1% of the QAA calculations Occupancy hours Floor Measurements Has the EA provided adequate evidence to justify the extended occupancy hours? This can be evidenced either in the site note or by taking a photograph of the opening hours Is the extended occupancy hours entry within 1% of the QAA check? Are the design floor plans drawn to scale? Do they show the correct elevations and sections which allow the floor area to be calculated? Is the floor area within 2.5% of the QAA assessment? Benchmark Conventions check Photographic records Site Visited Description of Building and Services Impact and costs Advisory report Addition / removal of recommendations Has the correct benchmark selection been made? Has the EA applied the latest DEC conventions? Has the EA provided photographs which have been dated? Has the EA provided adequate photographs of sufficient quality to enable the DEC to be audited? Has the EA evidenced that they have visited site? If no site visit was required due to a DEC renewal has the EA evidenced that there was no change in use, occupancy hours, separable energy use and building dimensions? Is the description of the building accurate? Are the services recorded correctly on the AR? Are the impact ratings and cost s reflective of the report? Has the EA provided the supporting advisory report? Has the EA removed incorrect recommendations and are the recommendations made appropriate for the building? Page 5 of 12

6 Audit escalation process 1. The audit process starts with recognising an audit requirement in line with the current Scheme operating requirements (SOR) which came into force on the 1st July As soon as the Sterling audit team request evidence from the assessor, the countdown process starts for the assessor to provide the complete evidence pack. (Unless individual arrangements are made with the Sterling Audit Team, the maximum period for supply of information from the Energy Assessor is fifteen days. 3. If evidence is not provided within the required period, the Sterling audit team will contact the assessor and advise that failure to supply information could result in membership suspension. If the Energy Assessor is able to provide mitigating circumstance as to the delay in sending data through the Audit Team may offer an extension to this period. The extension period is a maximum of 5 days 4. If evidence is not provided the Sterling Audit team then the EA will be suspended immediately. The suspension can only be lifted if the EA provides a reasonable and compelling reason case as to why the information is not available. Where suspension is lifted the Scheme shall undertake two further audits from the subsequent 30 days following the date of the initial call for audit, or the next 3 DECs lodged if this time period is exceeded 5. The Sterling audit team will complete the audit within 15 days from reciept of the evidence pack 6. The Sterling Audit team will provide feedback to the EA within 5 days from completion of the audit 7. If the audit is a pass the Sterling audit team write out to the assessor with a full audit report including comments where applicable. All QA audit reports are held online in the members reporting area for your reference. 8. In the event the Audit fails, the Sterling audit team write out to the assessor with a full audit report detailing the reasons behind the failure.. The EA will correct the certificate and relodge it on the database within 10 days of receipt of notification from the Sterling Audit team unless the EA appeals formally then the appeals mechanism will be implemented. 9. If an audit fails the Sterling audit team write out to the assessor to request further two evidence packs for QA in accordance with the SOR 10. If evidence is not provided within the required period the EA will be suspended immediately. The suspension can only be lifted if the EA provides a reasonable and compelling reason case as to why the information is not available. Where suspension is lifted the Scheme shall undertake two further audits from the subsequent 30 days following the date of the initial call for audit, or the next 3 DEC s lodged if this time period is exceeded 11. If both additional QA audit s pass, no further action will be taken by the audit team, until required by the SOR. The Sterling audit team write out to the assessor with audit pass reports, including comments where applicable. All QA audit reports are held online in the members reporting area for your reference. 12. If the assessor fails one of the two additional audits triggered by the initial audit failure the audit team will have to make a judgement as to the appropriate remedial action based on the seriousness of the fail, the Sterling audit team write out to the assessor to confirm next actions in accordance with the SOR. Page 6 of 12

7 13. If the assessor fails both audits triggered by the initial failure then the assessors is automatically suspended until it is clear what remedial action is needed to be taken to correct the lack of knowledge. Membership to Sterling will only be reinstated following evidence from the EA that remedial actions have been completed. 14. In the event a QA Assessor can demonstrate that the two consecutive failures in the follow on audits were minor in nature and knowledge can be easily rectified by the EA undertaking self learning, the EA will be released from suspension. On return from suspension the Audit Team will subject the assessor to whichever is the greater of: a. 10% clear auditing regime for a period of 6 months subject to at least 5 Display Energy Certificate being assessed during the period; or an audit of 5 clear Display Energy Certificate within the 6 month period following a return to lodgement. Should 6 months be insufficient to generate 5 Display Energy Certificate then the scheme should select the first available Display Energy Certificates. b. The next 5 DEC s lodged 15. All incorrect Display Energy Certificates must be corrected and re-lodged within 10 days of receipt of the Sterling failed audit letter. Failure to re-lodge a failed DEC within 10 days from initial notice will mean immediate suspension of membership. All schemes will be notified in-line with CLG Guidance and the EA will be subject to a disciplinary comittee 16. Following re-lodgement of the failed DEC the EA will provide the audit team with the evidence required to complete a full audit on the re-lodged certificate. All the requirements and timescales will apply to re-lodged certificates Page 7 of 12

8 Member Appeal Procedure If the Scheme Member wishes to appeal against one or more elements of the Sterling Accreditation audit process; they may, within 28 days seek to appeal any such decision by giving written notice (See form below ) that they wish to refer the matter to the Sterling Accreditation appeals committee and to state the reasons for the appeal and providing any relevant documentation. The Sterling Accreditation appeals committee will consist of three members of the Sterling auditing team, at least one of whom is a senior member and one who will be an accredited Energy Assessor qualified to the relevant strand to the enquiry. The Appeals Committee will duly consider the Appeal and reach a decision based on evidence / interviews as appropriate. The Appeals Committee will respond within 14 days of the receipt of the Notice of Appeal. If the Scheme Member wishes to appeal against one or more elements of the Sterling Accreditation Appeals Committee s hearing; or Sterling Accreditation s decision under the audit Procedure they may, within 28 days of that decision seek to appeal any such decision by giving written notice that they wish to refer the matter to the Sterling Accreditation independent Appeals Committee and to state the reasons for the appeal and providing any relevant documentation on the Sterling member appeals form. The Sterling Accreditation Appeals Committee consists of three members of the Institute of Civil Engineers mediation committee, at least one of whom is a senior member. The three members should not have any working relationship with the Scheme Member and should not have been involved in the original decision in any way. If, for whatever reason, it is not possible to construct a Committee based on these criteria, the matter will be referred to the Chartered Institute of Arbitrators, for the appointment of a single arbitrator for final resolution. Page 8 of 12

9 The Appeals Committee will duly consider the Appeal and reach a decision based on evidence / interviews as appropriate The Appeals Committee will respond within four weeks of the receipt of the Notice of Appeal. All decisions made by either the Disciplinary Committee or the Appeal Committee is held securely and centrally, together with any relevant documentation, for fifteen years for future audit purposes. Member Appeal Form Introduction Each Member has the opportunity to appeal against the decision within four weeks of the original notification. All Appeals will be received and vetted by the Sterling Audit Team and passed to the Senior Quality Auditor for further appraisal. For further details, please see the Sterling Disciplinary and Appeal Procedure document. The following template should be used for Member Appeals:- Page 9 of 12

10 Question Response Date of Appeal Name and ID of Appealing Member Contact Details Of Appealing Member Address Postcode Telephone No Home: Mobile: Address(es) Availability for feedback : Preferred Means of Contact ( /phone/letter): If phone, preferred Time: Page 10 of 12

11 Brief description of Nature of Appeal Full details of the Appeal Please be as detailed as possible, giving the reasons for Appeal and any facts which might assist your appeal. Attach any evidence which is relevant to this appeal. (Continue on extra paper if required) Page 11 of 12

12 Sterling Office Use Only Date Appeal Form Received Sterling Appeal Handler Current Status Escalation Resolution Resolution Date Response Date Page 12 of 12