Information about Smart Auditing
A smart audit is a ‘risk based’ audit based on pre-defined set of criteria as shown in the table below.
- 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.
Smart Rules (v1.6) – Implementation date is from 1st November 2022
New rules and changes have been highlighted in blue
|
Priority No. |
Rule No |
Rule |
| 1 | 31 | Multiple lodgements on the same property by assessors from the same scheme within 12 calendar months where the SAP rating has dropped by two bands or more |
| 2 | 1 | No main heating system present, but mains gas supply available. |
| 3 | 3 | Heating controls of boiler energy manager |
| 4 | 24 | Overridden U-values for all building parts |
| 5 | 27 | Any occurrence of 2 or more EPC lodgements for the same address within a 3 calendar month period made by assessors from the same scheme. |
| 6 | 30 | Multiple lodgements by assessors on the same scheme on same property within 12 calendar months where SAP rating was A-D but is now E or lower. |
| 7 | 29 | Multiple lodgements by same assessor on same property within 12 calendar months where SAP rating was F or G but is now E or above. |
| 8 | 28 | Multiple lodgements on same property within 1 calendar month where SAP rating was E or lower and is now C or above by assessors from the same scheme |
| 9 | 8 | Mechanical ventilation present in property built prior to 2003 (including supply/extract) |
| 10 | 15 | Wall of any building part that has insulation type unknown |
| 11 | 16 | Floor of any building part that has insulation type unknown |
| 12 | 25 | Non-pitched roof of any building part has insulation type/thickness ‘unknown’ |
| 13 | 26 | Room in the roof of any building part that has insulation type unknown |
| 14 | 22 | Any floor of any building part room height is <1.5m or >4m |
| 15 | 6 | No heating controls present, but main heating system is a gas (incl. LPG) or oil boiler |
| 16 | 2 | Main building age band is L |
| 17 | 21 | Gas/Oil/LPG boiler main heating system and hot water from electric immersion |
| 18 | 11 | Age band A cavity walls |
| 19 | 12 | No access to main building loft |
| 20 | 13 | No access to HW cylinder |
| NA | 5 | Dormant – Any building part on any element has insulation type recorded as unknown |
| NA | 9 | Gas boiler main heating system and hot water from electric immersion |
| NA | 10 | Dormant – Duplicate lodgement of an EPC for the same property within 1 month by the same assessor |
| NA | 7 | Dormant- Ground floor of main building room height is <1.5m or >4m |
| NA | 18 | Dormant- Duplicate lodgement of an EPC for the same property within 7 calendar days by the same assessor |
| NA | 19 | Dormant- Main building age band K or L |
| NA | 20 | Dormant- Floor and wall insulation unknown |
| NA | 17 | Dormant – Non-pitched roof or roof room of any building part has insulation type/thickness ‘unknown’ |
| NA | 4 | Dormant – Overridden U-values for the main building walls |
| NA | 23 | Dormant – 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. |
| NA | 14 | Dormant – 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 |