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 (v1.3)
New rules have been highlighted in blue
| Rule Number |
Rule |
| 23 |
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 |
No main heating system present, but mains gas supply available. |
| 2 |
Main building age band is L |
| 3 |
Heating controls of boiler energy manager |
| 4 |
Overridden U-values for the main building walls |
| 15 |
Wall of any building part that has insulation type unknown |
| 16 |
Floor of any building part that has insulation type unknown |
| 17 |
Non-pitched roof or roof room of any building part has insulation type/thickness ‘unknown’ |
| 6 |
No heating controls present, but main heating system is a gas (incl. LPG) or oil boiler |
| 22 |
Any floor of any building part room height is <1.5m or >4m |
| 8 |
Mechanical ventilation present in property built prior to 2003 (including supply/extract) |
| 21 |
Gas/Oil/LPG boiler main heating system and hot water from electric immersion |
| 11 |
Age band A cavity walls |
| 12 |
No access to main building loft |
| 13 |
No access to HW cylinder |
| 14 |
Multiple lodgements by same assessor on same property within 1 calendar month where SAP rating was F or G but is now E or above |
| 5 |
Dormant - Any building part on any element has insulation type recorded as unknown |
| 9 |
Dormant - Gas boiler main heating system and hot water from electric immersion |
| 10 |
Dormant - Duplicate lodgement of an EPC for the same property within 1 month by the same assessor |
| 7 |
Dormant - Ground floor of main building room height is < 1.5m or >4m |
| 18 |
Dormant - Duplicate lodgement of an EPC for the same property within 7 calendar days by the same assessor |
| 19 |
Dormant - Main building age band K or L |
| 20 |
Dormant - Floor and wall insulation unknown |
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16, St Johns Business Park, Lutterworth, Leicestershire, LE17 4HB
01455 883 250
