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.
Current Smart Rules
Rule Number | Rule |
1 | Energy Certificate lodged on same UPRN within 1 day (when none are marked as not for issue) |
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. |
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) |