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 (v1.7) –Â 1st January 2025
New rules and changes since v1.6 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 | 32 | Overridden U-values for any building part (windows and doors not included). |
| 5 | 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. |
| 6 | 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. |
| 7 | 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 |
| 8 | 33 | Multiple lodgements by assessors on the same scheme on same property within 12 calendar months where SAP rating was C but is now D. |
| 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 –Â 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 |
| NA | 24 | Dormant – Overridden U-values for all building parts |
| NA | 27 | Dormant – 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. |