1. The DESKTOP AUDIT
And
How to Pass the Audit

2. Or
How to Not Fail it.....

3. Introduction and Aims of this Module.
This module is designed to give guidance to Energy Assessors in avoiding the many pitfalls that could lead to failing a Desk Top Audit.
And to ensure that they have the required evidence to support them if there is a legal challenge, in the future, in regard to an EPC.
Although this CPD is aimed at the Domestic Assessor, it provides sound guidance, to all assessors.
Despite the quality requirements issued by DCLG/DECC, the Accreditation Bodies (AB) interpret these requirements in different ways. And differ from AB to AB
As such, this module takes the “Party Line” and meets the current DCLG/DECC quality/auditing requirements, SOR v3.2 issued June 2012.

4. Quality Audit – Definition
Quality audits are performed to verify conformance to standards through review of objective evidence (The Energy Assessor).
A system of quality audits may also be required to verify the effectiveness of a quality management system (The Accreditation Body/Scheme Operator)
So it is not only the Energy Assessor that is under a quality regime through an auditing process, but also the Accreditation Bodies.
These standards are set by DCLG/DECC.

5. Or anything that changes ANY detail shown on the EPC.
A Defective EPC.
An EPC is deemed “Defective” if:
The cumulative error is more than 5 SAP points.
The EPC band is wrong (Not regarded as a “Fail” but the DEA has to issue a “corrected” EPC).
An error in the description of the property.
For example:
The property is detached, not semi detached.
Does have secondary heating when non is recorded.
Or anything that changes ANY detail shown on the EPC.

6. PLANING & PREPERATION When does the Auditing Process start?
Before you even arrive at the property, as the way to pass an Audit is with
PLANING & PREPERATION
The 5 “P”s
Prior Planing Prevents Poor Performance.
Performance can be adversely affected by;
Not being able to find the property.
Not having all your equipment with you.
Not having charged batteries in your Disto, iPad or camera.
Any of the above can cause you embarrassment, mild panic, stress and so distract you.
That is when mistakes are likely to be made in not collecting the required data to support your report.

7. Top Tip: Check that the Date/Time on your camera is correct.
Prior Planing Prevents Stress/Distraction
Research the property. This will give you the location, travel time and the size/complexity of the property. From that you can calculate timings and allow extra time on site if required.
Also;
Have spare batteries/charger.
Have a back up plan if your iPad goes down.
Have a back up plan if your camera goes down.
Have a back up plan if your measuring devise goes down.
Did you leave your ruler/tape measure in the loft of the property you last surveyed?
Plan for that too?
Top Tip: Check that the Date/Time on your camera is correct.

8. For those that are “Pen & Paper”
Have You Collected and Recorded all the Data?
Having a “Check List” is a good way of ensuring this.
Are your Site Notes legible?
Site Notes need to be legible, not only for you to read and calculate from in a couple of hours time or by an Auditor in a few days time, but also up to 15 years later.
Top Tip: Site Notes written in pencil do not fade with time and are still legible even if the Paper gets wet. Biro/ink is not so robust.
For those rainy days there is A4 size Waterproof Paper available And is printable.
Site Notes - Example

9. Living Room Dining Kitchen Utility Hall WC* Porch Study Landing
Year of Build
Int/Ext Dims …
Lights
LEL
Rads
TRV
Rm Stat
Sec Heating.
Open
Chim
Glazing
S/D/2ndry
(Size)
Pre/
Post
2002
Floor
S/ST/SC
Room Height
(M)
Wall
(mm)
SB/C/
SY/TIM L O F T
Living Room
Dining
Kitchen
Utility
Hall
WC*
Porch
Study
Landing
Bedroom
Bath (B/MS)*
Boiler GC
Norm
Con
Comb
Con/ BB
OF/
BF/FF
HWC
Spray/
Jacket MM
Therm
Elec Mtr
Single
Duel
Other
House
Bung/Flat D
S/D ET MT

10. Have you taken ALL the Photographic Evidence Required?
Failing to gather this evidence this is one of the most common reasons to fail an Audit.
The minimum requirements can be found in SOR v3.2 Appendix 5 Table 1
Having a “Check List” is a good way in ensuring you have taken all the photographs.

11. Front/Rear/Side
Wall Thickness/Suspended Floors
Boiler & Any Secondary heating
Programmer
TRV
Room Stat
HWC with Thermostat
Cylinder Stat
Electric Meter/Gas Meter, Oil/LPG
Flue
Loft Insulation/Cavity Wall Insulation
Conservatory Separation
Glazing
LEL

12. Difficulty in Collecting Data - Photographic Evidence.
On some occasions you may not be able to;
Access a loft (locked, restricted opening, floor unfit to support a ladder, over a stairwell).
Open a locked window to measure a revel .
Open a locked door to access the rear of the property.
Open a locked electricity meter cupboard.
Record in your Site Notes and take a photograph showing this.
Top Tip;
For lofts - Include your ladder in the photo. That proves that you did not access due to you not having a set of ladders.
Locked doors/windows – Write on some paper “Locked” and include that in the photo of the door/window/ cupboard.

14. For lofts - Include your ladder in the photo
For lofts - Include your ladder in the photo. In this case – Restricted access – Ladder to wide to go into loft – Narrow access precluded head & Shoulder access too.

15. Photographic Evidence – The Home Owner - Refusal.
It is rare but not unknown, for a Home Owner to not allow you to take photographs. In such a case it is unlikely that the owner will be willing to sign anything, let alone to say they have refused to allow you to take photographs.
Hopefully you will be “allowed” to take external photos.
Try to take a photo of the front of the property, to include your ladder/work bag/clipboard.
And showing the house number/name
This is evidence that you were there and equipped to do the survey.
The fact you have taken a photograph proves you had a camera too!
Inform your AB ASAP by phone
and in writing ( /letter).
Attach the /letter and any
reply to your Site Notes.

16. “A Picture Paints a Thousand Words”.
Photographs.
“A Picture Paints a Thousand Words”.
Having a camera that is both optical and digital zoom is an advantage as is a macro setting for documents/boiler ID Plates. A Gas Certificates can also help identify a boiler.
Setting the camera to 3 mega pixels provides a good quality picture. .

17. Photographs.
Top Tip: It can be worth your time in going through the photographs before calculating an EPC.
This is especially true if you have surveyed a few houses that day or are writing up a property the next day. .

18. Photographic Evidence.
Top Tips .

19. Taking a photo of the property with an external door open proves you had access. And including a photo showing the house number/name is further evidence.

20. And with your ladder included, even better........
Door open
House Number
Ladder

21. Photo showing you measuring the wall thickness
Photo showing you measuring the wall thickness. Set the camera on “Macro” so the display (Measurement) can be read. Note: Those are “indoor” shoes to protect the home owners carpets and is very much appreciated by the customer!

22. A DEA only has one pair of hands so a photo showing you measuring the wall thickness without being able to hold a clipboard too!. Set the camera on “Macro” so the display (Measurement) can be read.

23. If you cannot measure the wall thicknes and have to resort to taking an external and an internal measurement, take a photograph of you measuring one of them.

24. Loft insulation. Set the camera on “Macro” so the measurement can be read.
Note: Having one hand holding the ruler and the other holding the camera is contrary to Health & Safety advice in having 3 points of contact whilst on a ladder.
For more information:

25. Tape measures can be “unruly”, small print (Difficult to photograph) and again, having one hand holding the tape measure and the other holding the camera is contrary to Health & Safety advice in having 3 points of contact whilst on a ladder.

26. The correct way with you having 3 points of contact on the ladder.

27. Taking a photograph of two different cavity drill entry holes could be useful should an Auditor question such evidence by only taking a picture of just one entry hole.
It could be claimed that it was for a water pipe or old hole for condensing pipe, cable TV etc?

28. Some entry holes can be BIG...

29. It could be deemed as a repair to the wall?
As cavity insulation can be inserted by taking out some mortar or even a brick.
It could be deemed as a repair to the wall?
Taking a picture of two/three insertion points would provide more evidence as to Retro Cavity Fill.

30. Lost or forgotten your ruler/tape measure?
It happens!
An alternative......

31. Note: The use of “Bank” photographs will not only be an audit FAIL but will also result in
SUSPENSION.
Camera gone down?
Having to use a another camera/mobile phone with no date/time facility?
Including that Day’s newspaper (showing the date) in the photographs may be acceptable as date evidence.
…....But at least you cannot be accused of using “Bank” photographs and be suspended?

33. Forgotten to take a photograph?
If you return to the property to take the missing photo (an LEL?) the date/time will be different to the other photos. So take a picture of the front of the property also. This will prove you were there and not using a “Bank” photograph.
Record this revisit in your Site Notes.
This is also applicable if a return visit is required to record installation of PV/Solar systems or any other improvements.

34. This revisit was required to show installation of PV
This revisit was required to show installation of PV. (The farm house did not attain a Band “D” Rating, for FIT, on initial assessment). With PV it did.
1st visit
2nd visit
PV on barn to power the farm and the farm house. Other evidence recorded to prove this.

35. Calculations.
Recording your calculations in a clear and orderly format reaps benefits;
Firstly, it will help you in not making errors.
Secondly, it portrays you as a “methodical person”.
We are human, not Robots, so if you have made a calculating error,
by showing that you are methodical could be taken into account on an Audit.
Thirdly, if Audited, clear and easily understood calculations are much appreciated
by the Auditor. Unclear notes are frustrating for an Auditor.
“Unreadable” notes could lead the Auditor into making a “miscalculation”
and so then question your findings.
This could lead to a protracted situation requiring you to prove that you are correct.

36. Calculations Layout. M2 Grnd Main 10.94 x 7.50 = 82.05
78.60 +
Bay Window
0.5 x ( ) x 0.54 = 1.34
Total = 79.94
HLP
73.16
Keep the Decimal Points in a column.
Miss these Lines
off.....
Get distracted.
You could do this...

37. Calculations.
Do not always “trust” the reading on your Calculator.
It is very easy and a common mistake to press x instead of + .
When adding, multiplying etc, “round up” the figures in your head to double check.
Heat Loss Perimeters.
Count the number of walls and check that against the number of measurements
you have written down.
Floor areas. Is the top floor area larger than the ground floor?
Is that correct?
Is the HLP of the ground floor different to the top floor?
Is that correct?

38. Build Date of a property/Extension – Evidence.
This can be a difficult one. Although the build date does not appear on the EPC, care should still be taken, as an Auditor can query your evidence or ask for more proof.
The most “Solid” evidence/proof is a copy of Title/Deeds/Planning Permission or Building Control documents.

39. Other Evidence.
The use of Table S3 in BRE’s RdSAP 2009 version 9.90 (March 2011) can also help in the date of build. If you use this table in your assumption, enter this in your Site Notes.

40. Age Band A B C D E F G H I,J,K Stone as built 0.50 0.45 0.42
Stone with int or ext insulation *
0.57
0.52
0.49
Solid Brick
As Built
0.22
0.24
0.25
0.27
0.30
With int/ext insulation
0.29
0.31
0.32
0.34
0.37
Cavity **
0.26
Timber Frame
0.15
With Int insulation
0.20
Cob
0.54
0.56
0.59
Cob With int/ext insulation
0.61
0.64
System Build
System Build With int/ext insulation
*Scotland add 0.20m for A & B
And 0.10m for
other Bands **
Scotland
Add 0.05m
BRE
SAP 2009
Page 112
Table S3
V9.90
Mar 2011

41. A printable table can be obtained at

42. It is also worth checking that the address & Dwelling Type is correct.
Before Lodging the EPC.
Check the Draft Copy before lodging.
Despite you inputting all the data, sometimes the software does not record it/upload it correctly.
One of the “favourites” is the HWC Thermostat.
A BIG fail there!
The few minuets taken to check the Draft EPC can save you from failing an Audit
And save you time/money in having to lodge a “corrected” EPC.
It is also worth checking that the address & Dwelling Type is correct.

43. They are to be kept secure under the Data Protection Act 1998.
Data Storage & Retrieval
Records/Site Notes/Photographs are required to be stored and retrievable for up to 10 years
(IAW SORs v3.2.).
Note: Some Operating Schemes may have additional requirements i.e. NHER/SAVA require records to be stored for 15 years.
This is not only for Quality Auditing requirements but also for any legal challenges to an EPC's accuracy.
Whatever system or media used, ensure that your Records/Site Notes are;
SAFE, SECURE and RETRIEVABLE.
They are to be kept secure under the Data Protection Act 1998.

44. And Treat
EVERY
Survey
as if it
WILL be Audited.

45. THE Quality Assurance Audit.

46. Quality Assurance Audits – Random Sampling Requirements.
A DEA must have at least one EPC checked per quarter and at least 1% of their EPC's per year
A new DEA must have one EPC checked in their first month and at least 5% in the first 6 months.
A DEA not lodging an EPC in any previous 6 month period will be deemed as a new DEA.
Overall at least 2% of EPC's must be randomly sampled for audit.

47. So ensure you know your Scheme requirements.
Quality Assurance Audits – Response Times.
The SOR requirement is within 15 working days.
The response time does vary between the Scheme Operators.
For example: NHER require uploaded evidence within 3 working days.
Failure to provide evidence in the required time scale can lead to:
SUSPENSION by your Scheme.
So ensure you know your Scheme requirements.

48. Institutes and Interest Groups:
Further reading:
The Construction of Houses.
Duncan Marshall & Derek Worthing.
ISBN X
Inspections and Reports on Dwellings. Assessing Age.
Ian A Melville & Ian A Gordon
ISBN
Institutes and Interest Groups:
Institute of Domestic Energy Assessors (IDEA).
Open to all disciplines of Energy Assessors.
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