DATE: 14/04/2014 v1.1
Welcome
CONTENTS
EPC Audit Requirements
Frequently Asked
Questions:
 Changing your Details
 Cancelling Incorrect
EPCs
Scheme News:
 ECO Update
 Park Homes
 Landmark Fee
Reduction
 RdSAP Update
(October 2014)
Software News:
 RSAP+ Desktop
Update
 GDTracker Release
 SurveyManager+
Release
to the RSAP+ Technical Bulletin – April 2014
This technical bulletin has been written for all Stroma Certification
members who use our RSAP+ software package. This includes Domestic
Energy Assessors (DEAs) and Green Deal Advisors (GDAs). (To aid members
in identifying which information within this document is relevant to them, a
colour code has been adopted for the title bars – please see Key below.)
A key point of focus for this bulletin is the auditing requirements for DEAs,
why they are important and how to comply with them. The bulletin also
includes news on new software features, scheme updates, and advice on
some frequently asked questions being raised through Technical Support.
Key
Sections titled in orange are relevant to both DEA and GDA activity
Sections titled in green are relevant to GDA activity only
Sections titled in grey are relevant to DEA activity only
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
EPC Audit Requirements and How to Pass
In this section, we will be addressing the topic of
EPC audits:
For further guidance on Audits, please download
the DEA Monitoring Procedure:

What an audit is;

When are they requested; and
http://files.stroma.com/EMP3 - EA Monitoring
Procedure - DEA v1.14.pdf

What is required from each scheme member
upon receiving an audit request.
Frequency of Requests
Random Audits
What is an audit and what is its purpose?
An audit is a Quality Assurance Assessment (QAA)
check of an assessor’s EPC result, i.e. the EPC that
they have produced. These are requested at
certain times of a year and under certain
conditions on a certain percentage of all EPCs
lodged.
There are two types of audit – Random and
Targeted – which are discussed later in this
bulletin.
An audit is often considered to be a way of the
scheme to ‘catch out’ the assessor, but Stroma
Certification has always considered the audit
process as a fantastic learning tool, which can
help each member understand where they are
making mistakes and how to avoid making those
mistakes in the future.
However, failure to supply evidence for an EPC
survey could result in suspension until such
evidence is provided. It is therefore very
important that you always respond to an audit
request within the timescales set.
DCLG have asked that all Schemes shall require
their members to provide sufficient material to
their Scheme so that the EPC can be recreated by
an independent Quality Assurance Auditor
without the need for access to the Energy
Assessor’s RdSAP input data file.
Evidence provided by an Energy Assessor shall be
such that an independent assessor can be
reasonably certain it relates to a particular EPC.
Audits can be called for a number of reasons, as
displayed in the table below for our Scheme
Operating Requirements. As part of an ongoing
process of quality assurance, Stroma Certification
is required to carry out desk-based audits for a
minimum of 2% of all lodged EPCs.
Assessor Group
Minimum No.
of Audits
New members
(< 6 months)
1 audit in the
first 30 days of
membership;
or
Either new to
the scheme,
new to the
qualification or
rejoining the
scheme after a
break in
membership
Members who
are inactive for 2
years will
automatically
revert to this
status
Existing
members (> 6
months)
% of Member’s
Lodged EPCs
5%
First available
certificate
lodged.
Minimum of 1
audit per
quarter
Minimum of 1
audit per
quarter
1%
5 audits in a 6
month period
10%
Have been with
the scheme for
more than 6
months
Members
returning from
suspension
(for 6 months
following
return)
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
EPC Audit Requirements and How to Pass [Continued]
Clarification of the Calendar Year, Half Year and
Quarter Periods
For the purposes of the QAA Policy:
The Calendar Year:
1st January to December 31st
Half Year (2 periods in a calendar year):
1st January to June 30th; and
1st July to December 31st
Quarter (4 periods in a calendar year):
1st January to 31st March;
1st April to June 30th;
1st July to September 30th; and
1st October to 31st December
Targeted Audits
If a scheme member is found during the random
auditing process to have produced an EPC that is
outside the acceptance bands as detailed in
Section 4.0 of the Monitoring Procedure, Stroma
Certification will provide feedback to the scheme
member, and the following steps will be taken.
The audited EPC will be cancelled from the
Landmark register by Stroma Certification and an
amended certificate must be created by the
assessor, which must be provided to Stroma
Certification for checking. It must then be reissued to the client and lodged on the register by
the energy assessor within 10 working days of the
audit fail notification.
Stroma Certification will then carry out additional
audits of two further EPCs lodged by the scheme
member. Where possible, this will include one
EPC from the 30 day period before the date on
which feedback was given on the failed audit, and
one from the 30 day period after this date. If that
is not possible, both EPCs will be taken from the
30 day period following feedback, or if that is not
possible, the next two lodged EPCs will be
audited.
The table of minimum requirements is from
Appendix 5, Table 1: Minimum Evidence
Requirements on Page 46 of the latest Scheme
Operating Requirements, which are available
from:
http://files.stroma.com/120627 - Scheme
Operating Requirements - DEA.pdf
A floor plan should be included. The minimum
requirements for the floor plan are it should
cover all levels, and should contain annotations
with measurement, areas and HLP shown.
Site notes: Paper or electronic file. Within these
site notes, you must record anything you use to
support a decision you have made, a reflective
thought, or amending recommendations.
Anything which can’t be proven through evidence
must be noted here.
Minimum photographic requirements:

Front Elevation

Rear Elevation

Side Elevation (if property is detached/semidetached)

Cavity Wall Insulation – evidence

Roof construction

Openings – windows/chimneys (if these
aren’t clear on previous photographs)

Primary Heating System (showing key
features also)

Secondary Heating System

Loft insulation – showing depth of insulation

Evidence of wall thickness

Conservatory – photographic evidence of
separation
Required where relevant:

Heating System controls
Minimum Requirements

Hot water cylinder and stat
The minimum requirements for audit are defined
in the opposite column. The requirements can
change, but Stroma Certification will give you
plenty of notice in the event of this happening.

Electricity and gas meters

LPG Cylinder

Fixed low energy light fittings
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
EPC Audit Requirements and How to Pass [Continued]


Any other feature of the building or limitation
whose presence or absence may be
reasonably considered likely to affect the SAP
rating
Any other feature which supports a claim in
the report that could be queried or be the
subject of a complaint
Where you cannot practically achieve
photographic evidence of a specific element, but
it is present, this should be recorded in your site
notes along with an explanation as to why it was
not achievable. Schemes reserve the right to
investigate misuse of this option, should this
occur.
All photographic evidence should be datestamped to prove that the photo relates to the
property being assessed and enable the
assessment date to be verified. If this is not
possible, electronic files (e.g. JPG) are
acceptable as long as we can securely ascertain
the dates from the file properties.
Photographs embedded in files (e.g. Word, PDF)
should be date-stamped within the image, and
the master images must be retained by you in
case Stroma Certification or the CLG wishes to
inspect them.
If inspection is possible but it is not possible to
obtain evidence of a particular element, this must
be noted in the site notes. Schemes reserve the
right to investigate misuse of this, should this
occur.
If any other evidence is available to justify the
inclusion or suppression of recommendations,
such as guarantees or building control notices,
then evidence of this should also be supplied.
Documentary Evidence
Documentary evidence is defined in convention
9.02 as follows:
“Acceptable documentary evidence includes
certificates, warranties, guarantees, building
regulation submissions and official letters from
the applicable Registered Social Landlord (RSL).
The assessor must be confident, and able to
demonstrate, that any documentation relates to
the actual property being assessed and that
there is no physical evidence to the contrary.”
Documentary evidence is required to overwrite
any U-values, and to enter loft insulation/wall
insulation/floor insulation if these cannot be
visually inspected. If documentary evidence does
not meet the above requirements, then it cannot
be accepted.
Responding to a Request
You will receive all requests by email, no matter
what system you lodge on. If you lodge with
Etech, we will automatically retrieve your
uploaded evidence from their servers. If you wish
to submit extra information pertaining to the
survey, you should reply to the request email
with the extra evidence.
Similarly, if you lodge on any other system, we
will check on OSA 15 to see if you have uploaded
the information for audit onto that system.
For both of the above, we allow a cooling off
period to ensure that you get an opportunity to
submit any extra information you haven’t
uploaded, or have missed off your upload to OSA
15. After this cooling off period, we will attempt
to retrieve the information from OSA 15. If there
is anything missing from the submission from
OSA 15 or Etech, we will let you know as soon as
we realise this.
We will always check OSA 15 or Etech for
uploaded documents before we make our calls
and emails to you to request the submission of
the audit.
If you don’t use either of the above systems, then
you should either reply to the audit request email
attaching all the documents, or you can post the
audit to us. One point to bear in mind for posting
audits, is that your photographs must be date
stamped to prove that they relate to the property
being assessed, on the date of assessment.
The audit should be submitted within fifteen
working days; otherwise a suspension could be
imposed onto your account.
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
EPC Audit Requirements and How to Pass [Continued]
Feedback and Next Steps
Changes to Contact Details
Fifteen working days after you submit audit
information, the auditing work will be completed.
Usually, feedback will be issued to you on the day
of auditing (requirements state this can be up to
five working days).
Stroma Certification would like to remind all
Scheme Members that they have a responsibility
to keep their membership up to date; specifically
with regard to their contact details. The audit
administration team has faced repeated issues
when attempting to contact assessors after they
have failed to respond to an audit request. This
has often resulted in a suspension being
imposed, which has prevented the assessor
lodging on other schemes. Avoiding this situation
is favourable for all involved.
If you pass, you will receive an email telling you
so, and feedback will be present should you have
made any minor errors.
If you fail, you will receive an email telling you so,
with structured feedback explaining why the
failure has occurred, and detailing any minor
errors in addition. When you receive an email
notifying you that you have failed, you should relodge the certificate within ten working days of
the feedback email being issued.
In the event of you wishing to appeal, you also
have ten working days to submit this. In an
appeal, you can present further evidence or
extenuating circumstances. If the appeal is
successful, then you will not need to re-lodge the
certificate. If the appeal fails, you will need to relodge the certificate.
For a reminder of how to change your details,
please see the FAQs section of this Technical
Bulletin.
Hints and Tips
The overriding guidance for passing any audit is
that too much evidence is never a bad thing. You
can never have too many photos or notes made
on site. If you are making a judgement call on an
aspect of an assessment, then extra photos and
notes can allow an auditor to understand your
thought process.
Relodging an EPC following an Audit Failure
We have created a guide that covers the
relodgement process following a failed audit. This
process also applies to relodging an EPC that was
lodged in error.
The document covers relodging an EPC using the
Stroma RSAP+ (Desktop) software. The process is
very similar on the Stroma iPad software;
however the screenshot will look slightly
different.
Please follow this link to view the relodgement
document:
https://stromamembers.net/files/comm/docume
nts/RelodgingaFailedAudit.pdf
It is also available to download via the Stroma
Members’ Area.
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
FAQs
Changes to Contact Details
Procedure for Cancelling Incorrect EPCs
Stroma Certification would like to remind all
Scheme Members that they have a responsibility
to keep their membership up to date; specifically
with regard to their contact details.
Please note that Stroma requires the following
information in order to successfully cancel an
EPC:
The procedure for doing so is as follows:
When changing phone number/email address:

Please email [email protected] and
include STRO number

Name of the assessor and Stroma number

EPC data – RRN, Address, Postcode

Reason for cancelation

The RRN for the updated EPC – if replacing a
defective EPC
When changing address:

All cancellations must be made in writing to
[email protected]
Please visit:
www.stroma.com/membership/changedetails
When moving jobs:

You must set up a new account using the
relevant application form. Please visit:
www.stroma.com/membership

If you wish to close an account, please email
[email protected] and include your
STRO number
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
Scheme News
ECO Update: DECC and Ofgem Consultation
The following link will take you to the most up-todate information from Ofgem regarding the
proposed changes to ECO.
https://www.ofgem.gov.uk/publications-andupdates/changes-eco-ofgem-publications
Park Homes – Calculation Methodology for
RdSAP 9.91
EPCs are not required for park homes.
Nevertheless from 3 February 2014 it is
permissible to lodge data for a park home on the
register, provided that the RdSAP assessor has
selected Addendum 13 before submitting the
data for lodgement. Addendum 13 adds the text
“This dwelling is a Park Home” at the end of the
EPC and is the means by which the register can
classify it as a park home.
RdSAP does not contain specific provisions for
assessing park homes. However the underlying
calculation methodology in RdSAP is suitable,
provided that appropriate data is used. Where an
insulation measure is being assessed, the Uvalues for the existing element and for the
improved element are needed for entry into
RdSAP software. The rules on documentary
evidence in the RdSAP conventions apply.
Methodology
The existing park home is surveyed following the
procedures and conventions for RdSAP except
that the following applies:
a. Dwelling type: Bungalow
b. Wall and floor areas: As normal for
RdSAP using internal dimensions
c. Walls: Enter as system built, as built,
known U-value – wall thickness unknown
d. Floor: Enter as suspended timber,
retrofitted, known U-value
e. Roof: Enter as pitched or flat (as
appropriate), known U-value
f.
Window areas: Measure the areas of all
windows.
g. Window U-values. Enter U-value if
known, otherwise select one of the
RdSAP options.
h. Other items: As normal for RdSAP
For U-values for existing park homes, obtain
documentation from the manufacturer.
As previously noted, it is permissible to lodge
data for a park home on the register, provided
that the RdSAP assessor has selected Addendum
13.
For further information on this subject please
follow this link to view the full document:
http://files.stroma.com/RdSAP Assessments for
Park Homes - Feb 2014 (3).pdf
Landmark Fee Reduction
Landmark Issued a Letter to all schemes on 2nd
April informing them of a reduction in the fees
for lodging documents on the Energy
Performance of Buildings Registers.
Fees will be amended from £1.67 to £1.30 for a
domestic lodgement (and from £11.81 to £9.73
for a non-domestic lodgement).
These new fees came into effect on 6th April 2014
when an amendment to the Energy Performance
of Buildings (England and Wales) Regulations
2012 came into force.
DCLG’s letter can be read in full at:
http://files.stroma.com/140402 - Fee changes
letter notification to schemes- Final.pdf
Stroma members will therefore receive 2 invoices
in the month of April 2014, to reflect the change
in Landmark fee.
RdSAP (SAP 2012) Update (October 2014)
Please be aware that RdSAP is set to change in
October 2014. Further information will follow
from Stroma Certification in the coming months
via the Members’ Area and upcoming technical
bulletin.
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
Software News
RSAP+ (Desktop) Update
Bug fixes:
On Thursday 27th March at 2pm there was a new
release of RSAP+ for Desktop (Version 1.1.1.4),
which includes a number of validation
improvements and fixes for reported bugs.

EPC Recommendations on OA Draft fix –
Minor issue affecting a few OAs which didn’t
display EPC recommendations on the
Occupancy Assessment Report has been
resolved.

Room in Roof fix – Room in roof was not
defaulting to Extensions when main building
wasn't present; Room in Roof screen now
defaults to the first extension on the user
interface.

Alternative Wall Settings Not Preserved fix –
Wall Insulation options for Alternative Wall
are no longer affected by the main Wall
Construction type.

Heating Recommendations in Properties
without Heating fix – Heating improvements
are now showing as recommendations when
a property has no heating.

Online Search Causing Forced Closure fix – An
error causing some random RSAP+ crashes
when searching for online surveys has been
resolved.

Extension Alternative Wall Changing Wall
Thickness fix – Alternate Wall settings for
Extensions will no longer affect the Wall
Thickness value.

Green Deal Application Title fix – RSAP+ now
displays the Title correctly on the signature
screen.

"LPG subject to special condition" now reads
"LPG subject to special condition 18" – This
option name now includes the phrase
“condition 18” to reflect the discount for LPG
gas.
Enhanced validation (OA):

The Fuel Bill Information field must be
completed for both Gas and Electricity before
the OA can be completed and lodged.

At least one Main Heating Pattern must be
entered to calculate if a heating system is
present.

At least one Alternative Heating Pattern is
required if a Number of Alternative Days has
been entered.

For Number of Alternative Days, a value of 4
or more will no longer be accepted (as these
would then be considered Main Patterns).
Enhanced validation (EPC):

If Alternative Wall is checked, a Wall Area
greater than 0 must be entered before the
EPC can be completed and lodged.

Alternative Wall now automatically calculates
the Wall Area if Sheltered Wall information
has been entered.

The Alternative Wall Area can no longer be
greater than the area of the building part it
resides in.
RSAP+ automatically checks for new versions
every time it is launched; to download and install
the update, simply follow the onscreen prompts.
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
Software News [Continued]
GDTracker: Important Update for SAMS Users
In order to request more information or organise
a demo, please feel free to contact Stroma
Certification via your account manager. We look
forward to hearing from you.
Survey Manager+: A Workflow and CRM Tool for
Green Deal and ECO Delivery
Stroma Certification would like to advise you of
an upgrade to the current version of your Stroma
Account Management Software (SAMS). We have
now launched GD Tracker, the replacement to
SAMS.
GD Tracker has additional functionality above and
beyond that of SAMS, such as, scheduling and
tracking of assessment appointments and
assessment data. GD Tracker interacts with
Assessor accounts on both the iPad and Windows
software, to allow appointment bookings.
We would like to announce the release of our
new workflow and customer relationship
management tool from Stroma Certification and
Fulgent Technologies: Survey Manager+.
All the functionality that was previously provided
free of charge in SAMS will still be offered in the
same way; however Stroma now offer additional
services as well, with no set up fee or usage fee.
Charges do apply for diary scheduling at £1.50
per appointment. Please note that data storage is
free of charge whilst you maintain membership
with Stroma.
Survey Manager+ provides a holistic Green Deal
and ECO software solution for the GDAOs and
Assessment Companies managing Stromacertified assessors - from lead generation
through to report lodgement and ongoing data
management. It achieves this through seamless
integration with Stroma Certification’s calculation
software, RSAP+, and our Green Deal PreQualification Tool.
Additionally, Stroma Certification is also offering
you the option to build your own data collection
forms, using which you can collect any data set
you require on site (via the iPad) and return this
to your office via your GD Tracker account. This
tool supports a wide range of data types
including photos and video. This functionality
means you can build absolutely any data
collection form you desire (based on volume and
agreed fee) such as a property Inventory or ECO
evidential documentation etc.
Survey Manager+ is a flexible and affordable,
high-quality solution with advanced functionality:
the CRM system is derived from Fulgent
Technology’s award-winning, web-based system
which was designed specifically to manage, CERT
and CESP schemes; Survey Manager+ is therefore
perfectly placed to migrate into managing the
ECO funding streams, of HHCRO, CCRO, and
CERO, via Stroma Certification’s Ofgem-approved
ECO Scoring calculation tool.
Stroma Certification is providing face-to-face
training to ensure a smooth transition to this
software upgrade. We propose scheduling an
appointment with you to run a demonstration
and outline the key features and benefits, with a
view to integrating GD Tracker into your
business.
The software is free of charge to procure, with
core usage charges of just £3 per property.
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]
T: 0845 621 11 11 extension 614 | W: www.stroma.com/certification
E: [email protected]; [email protected]