OCDEA Smart Rules 

A smart audit is a ‘risk based’ audit based on pre-defined set of criteria as shown in the table below.

Information about Smart Auditing

  • Smart audits are designed to find potentially defective Energy Certificates.
  • Smart audit selection will focus on the data items, and associated evidence, relevant to the smart rule(s) that the lodgement has triggered.
  • If a smart audit fails for a reason other than the smart audit rule that it triggered then, where possible, the subsequent follow on audit will be based on the same criteria that caused the fail.
  • If an Energy Certificate is called for a smart audit and triggered multiple smart audit rules, then it will be audited against them all but only counted as one smart audit. 
  • Should a member pass a smart audit, but, in a subsequent month, trigger the same smart audit rule, they will not need to be audited as they have already demonstrated their competence on the issue.

Current Smart Rules (v1.1) 
New rules added since Sept 2019 have been highlighted in blue

Rule Number

Rule

4

Any occurrence of 2 or more EPC lodgements for the same UPRN within a 3-calendar month period made by assessors from the same scheme.

1

Energy Certificate lodged on same UPRN within 1 day (when none are marked as not for issue)

2

Energy Certificate lodged on same UPRN within calendar month (when first is not transaction type FITs)

3

Dormant - Energy Certificate lodged on same UPRN within 3 calendar months (when none are marked as not for issue)

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