Sterling Accreditation Energy Assessor Guidance...The Sterling Accreditation quality auditing manual...

Sterling Accreditation Energy Assessor Guidance

Auditing of Air Conditioning Reports

Practices and Procedures Manual

Version 1.1

SQAD 5.6 - Energy Assessor Guidance for Auditing of ACRs v1.1 of 16

The Sterling Accreditation quality auditing manual has been created to support Energy Assessors (EAs) with reasonable guidance on their obligations from a scheme perspective and what information is required to complete an Air Conditioning Report audit and what the critical areas a scheme should review when auditing. The Sterling quality auditing guidance should be used by all assessors as a final quality check before lodging their ACIRs. You will see further on in this document the ramifications of failing a quality audit and all EA’s need to be extremely diligent in ensuring that their work is of the highest standard. The first part of the auditing process is the request for information. The data required usually comes in the form of the site notes, the xml, site plans, photo’s including Arial view, correspondence between the EA and the client and if possible a completed risk assessment. The detailed information is outlined below makes up the audit pack so you need to ensure the forgone contains all of the relevant details highlighted.

Names of individuals who assisted the ACI in preparation of the report and what their roles were

The data file, and or software data collection forms, relating to information used by the Energy Assessor

The lodged Air Conditioning Report

Site photographs (including photos covering all external elevations, front, rear and side where practiable). Photographs supporting identification of existing system component, or practice failures

Signed and dated site Notes

Design floor plan, elevations, sections etc which allows the Cooling Load and the Occupant Density to be recalculated. This should consist of a sketch plan covering all levels, annotated with measurements, areas and HLP. Site notes – paper or electronic file .

Evidence of Zoning

Supplementary calculations undertaken by the assessor

Additional evidence required to justify the inclusion of recomendations

As part of the quality audit and even though it is not mandatory Sterling will request evidence of the health and safety risk assessment and the client covering letter. This does not affect the overall the Air Conditioning Report score but it enables us to check you have a good working practice.


When auditing an Air Conditioning Report, Sterling QA Assessors will check all inputs and supporting evidence. The inputs will be recorded on the QA audit report and will be graded as a minor, significant or major. If the EA has assessed a system that is out of the norm or is unusual in its makeup you need to ensure that your site notes are fully annotated with all of the information required for the QA to understand your methodology and approach to the audit. Ensure that you have enough quality date stamped photographs to support your report. We have detailed the specific areas an auditor would review below and we would recommend you print this document and use it as a final checking tool prior to lodgement.

Sterling Quality Check

Building Information

Is the Building orientation correct against site notes and mapping software (Google maps).

Has the Building location been suitably entered on software?

Do the Services available on site match against photographs of meters

Has the ACI correctly recorded the activity of the building

Executive Summary

Has the ACI correctly filled in the Executive Summary

Building type/details (building benchmark and occupancy profile)

System type/details

Sampling statement in accordance with DCLG guidance

Comments on controls/maintenance/operation

Comments on availability of system documentation (or whether it had to be prepared)

information of relevance to the building/system/inspection/report

AC Recommendation Report (LCI)

Is the recommendation report relevant

Has the ACI edited or implied their own recommendations

Are the recommendations clear to a typical client

Sub System Index

Has the ACI correctly filled in the details relating to the sub systems and numbered them correctly?

Pre Inspection Information

Has the ACI reviewed the Pre Inspection Information and provided copies where applicable


System Identification, Cooling Plant Equipment Inspected

Has the ACI correctly identified the, Unit Identifier, Component Identifier, Manufacturer , Description (type/details), Model/Reference, Serial Number, Year Plant Installed, Rated Cooling Capacity (kW), Refrigerant Type, Refrigerant Charge (kg) Location of Cooling

Has the ACI numbered the Volume ID correctly

Has the ACI numbered the systems ID correctly

Floor & Walls & windows

Confirm construction, glazing types against site notes and photographic evidence.

Conditioned Areas

Have the specific activities been identified for each Conditioned Area.

Is there sufficient evidence to support System allocation to a specific area? i.e. does the outdoor unit match up with the indoor unit)

Has the ACI confirmed the refrigeration plant is operational?

Has the ACI confirmed the area around the refrigeration plant clear of obstructions & debris?

Did the ACI evidence in the report that the general condition of refrigeration and any associated central plant in good order?

Has the ACI inspected and evidenced that the condenser is placed clear from warm air discharge louvers?

Are compressors operational or can they be brought into operation?

Has the ACI evidenced that the heat rejection plant is operational?

Has the ACI evidenced that the condenser and heat exchangers are undamaged/ un-corroded and clean?

Did the ACI inspect the area around the heat rejection plant to ensure it was clear of obstructions & debris?

Has the ACI evidenced the condenser free of any possibility of air recirculation?

Has the ACI evidenced that the insulation on circulation pipe work well fitted and in good order?

Refrigerant Type

Has the ACI Correctly recorded the Refrigerant Type

Has the ACI recorded the presence of documents on site relating to F-GAS compliance and if the condenser units carried any information plates relating to this?

Were the units on site of sufficient size to warrant compliance?


Regular Maintenance

Has the ACI recorded evidence of regular maintenance?

If not have they provided a recommendation?

Has the ACI recorded evidence for lack of maintenance such as blocked filters

Cooling Load Calculations

Has the correct rule of thumb been applied

Have detailed calculations been carried out.

Has current guidance on lighting been observed and has this been factored in to the cooling load calculations?

Metering

Has the ACI recorded information regarding metering of A/C plant

Has the ACI added recommendations regarding metering

Refrigeration leaks

Has the assessor commented with regards to Refrigeration leakage

Refrigeration temperatures

Has the ACI taken and recorded the Refrigeration temperatures

Are the recorded temperatures in the range of what would be expected?

Has the assessor correctly commented on the method of Refrigeration capacity control?

Terminal Units

Has the ACI numbered the Terminal Unit ID correctly

Has the ACI correctly recorded the Terminal Unit details

Has the ACI correctly matched the Terminal Units to the relevant Cooling Plant

Has the ACI correctly recorded details such as condition of Insulation, Unit Condition, Grilles and Air Flow and Diffuser positions

System Controls

Has the ACI numbered the System Controls correctly

Has the ACI allocated the controls to the relevant system and numbered them accordingly

Has the ACI indentified the specific control zones

Has the time of day and the on and off periods been noted and compared to actual time

Has the ACI recorded the set points of the controls and commented on them in relation to the zone activity


Photographic Records

Does the photographic evidence support the use of the building, the different activities for each different Conditioned Area including lighting HVAC Identification plates and controls (Set Points).

Has the ACI provided external photo evidence of the position of outdoor units, Plant Rooms, walls, windows and roof type?

Is there photographic evidence of lighting and heat emitting equipment that could affect the cooling load

Are the photos labelled and date stamped or the electronic file date stamped?

Are photographs sufficient to complete the audit process, on average a minimum of 25 pictures should be used. (A complex level 4 system will require considerably more)

Site notes & description

Has the ACI used a pro-forma?

Have the site notes collected the right amount of information.

Are the site notes legible?

Are the site notes logical?

Do the Site Notes reflect the particular building and systems?

Drawings provided (CI)

Do the drawings reflect the Conditioned Area?

Are the drawings legible?

Are the drawings measured to CLG standard?

Supervised Work

Has the ACI recorded that they have supervised the work of others collecting information associated with the ACIR?

Grammatical Errors

Is the report free of more than 6 grammatical errors per ten pages of the report?

Is the report free of more than 6 spelling mistakes per ten pages of the report?

Is the report free of more than 20 blank findings per ten pages of the report?


Level 4 Complex Systems (only)

Air Handling Systems

Has the ACI numbered the AHU ID correctly

Has the ACI correctly recorded the Air Handling System

Has the ACI correctly matched the AHU to the relevant Cooling Plant

Has the ACI correctly recorded the Specific Fan Power and shown SFP calculations

Has the ACI correctly recorded details such as condition of filters and heat exchangers, Fan Rotation and control, Heat Recovery, Air leakage and location of air inlets?

Terminal Units

Has the ACI numbered the Terminal Unit ID correctly

Has the ACI correctly recorded the Terminal Unit details

Has the ACI correctly matched the Terminal Units to the relevant Cooling Plant

Has the ACI correctly recorded details such as condition of Insulation, Unit Condition, Grilles and Air Flow and Diffuser positions

Inspection Certificate

Have the site details been correctly recorded on the Certificate

Has the ACI correctly recorded details of the F-Gas Compliance, Total Effective Rated Output, Treated Floor Area and Total Estimated Refrigerant Charge?

Has the ACI correctly recorded details of all the subsystems on site?


Air Conditioning Reports are deemed to be defective and should be replaced when any one of the following conditions is met:

MINOR OMISSION. Where a single error, or fewer than 4 single errors of similar magnitude, shall lead to the ACIR audit being marked as a “pass”. For each error the EA shall be given feedback including what they need to do to ensure that the errors do not reoccur in future. Examples:

Omission of ONE item of required additional evidence (these will be listed later)

Additional evidence incomplete (eg photos provided but not labelled)

Essential basic inspection information not compiled adequately either before or on completion of the inspection.

Essential basic inspection information does not justify selection of components for sampling.

The number of components inspected meets the minimum sampling number but a larger sample would have given a more representative sample.

Naming convention is used in an unusual manner which is not clearly explained

On average between 3 and 6 spelling mistakes per 10 pages of report (one incorrect spelling that occurs 8 times is classed as 8 spelling mistakes).

On average between 3 and 6 grammatical errors per 10 pages of report.

On average 1 to 2 queries on the use of technical language per 10 pages of report

On average less than 20 blank “Findings” or “Notes and Recommendations” per 10 pages of report.

SIGNIFICANT OMISSION. Where a single error, or fewer than 2 single errors of similar magnitude, shall lead to the ACIR audit being marked as a “pass” only where the EA has not previously received feedback in the previous year regarding each error. In other instances the ACIR audit shall be marked as a “fail”. For each error the EA shall be given feedback including what they need to do to ensure that the errors do not reoccur in future. Examples:

Omission of TWO or more items of required additional evidence.

Executive Summary omits a required piece of information (ie building description, use and description of each AC sub system).

The number of components inspected is below the number required to meet the minimum Sampling requirements.

The naming convention is used incorrectly.

The cooling assessment calculation is incorrect in a way which affects the conclusion drawn.

The SFP calculation is incorrect in a way which affects the conclusion drawn.

MAJOR OMISSION. Where a single error shall result in the ACIR audit being marked as a fail. Examples:

Essential advice and information is not provided eg advice regarding R22 is not given even though it is present in some components.

Omits basic energy saving advice relating to the sub systems inspected.

Provides incorrect energy saving advice relating to the sub system inspected.

Fails to advise on significant issues identified during inspection eg refrigerant leaks, Legionella risk, unsafe equipment etc.


Audit escalation process

1. The audit process starts with recognising an audit requirement in line with the current

Scheme operating requirements (SOR) which came into force on the 1st April 2012.

2. As soon as the Sterling audit team request evidence from the assessor, the countdown

process starts for the assessor to provide the complete evidence pack. (Unless individual

arrangements are made with the Sterling Audit Team, the maximum period for supply of

information from the Energy Assessor is fifteen days.

3. If evidence is not provided within the required period, the Sterling audit team will contact

the assessor and advise that failure to supply information could result in membership

suspension. If the Energy Assessor is able to provide mitigating circumstance as to the delay

in sending data through the Audit Team may offer an extension to this period. The

extension period is a maximum of 5 days

4. If evidence is not provided the Sterling Audit team then the EA will be suspended

immediately. The suspension can only be lifted if the EA provides a reasonable and

compelling reason case as to why the information is not available. Where suspension is

lifted the Scheme shall undertake two further audits from the subsequent 30 days following

the date of the initial call for audit, or the next 3 ACIRs lodged if this time period is exceeded

5. The Sterling audit team will complete the audit within 15 days from reciept of the evidence

pack

6. The Sterling Audit team will provide feedback to the EA within 5 days from completion of the

audit

7. If the audit is a pass the Sterling audit team write out to the assessor with a full audit report

including comments where applicable. All QA audit reports are held online in the members

reporting area for your reference.

8. In the event the Audit fails, the Sterling audit team write out to the assessor with a full audit

report detailing the reasons behind the failure. . The EA will correct the certificate and re-

lodge it on the database within 10 days of receipt of notification from the Sterling Audit

team unless the EA appeals formally then the appeals mechanism will be implemented.

9. If an audit fails the Sterling audit team write out to the assessor to request further two

evidence packs for QA in accordance with the SOR

10. If evidence is not provided within the required period the EA will be suspended immediately.

The suspension can only be lifted if the EA provides a reasonable and compelling reason case

as to why the information is not available. Where suspension is lifted the Scheme shall

undertake two further audits from the subsequent 30 days following the date of the initial

call for audit, or the next 3 ACIR’s lodged if this time period is exceeded

11. If both additional QA audit’s pass, no further action will be taken by the audit team, until

required by the SOR. The Sterling audit team write out to the assessor with audit pass

reports, including comments where applicable. All QA audit reports are held online in the

members reporting area for your reference.

12. If the assessor fails one of the two additional audits triggered by the initial audit failure the

audit team will have to make a judgement as to the appropriate remedial action based on


the seriousness of the fail, the Sterling audit team write out to the assessor to confirm next

actions in accordance with the SOR.

13. If the assessor fails both audits triggered by the initial failure then the assessors is

automatically suspended until it is clear what remedial action is needed to be taken to

correct the lack of knowledge. Membership to Sterling will only be reinstated following

evidence from the EA that remedial actions have been completed.

14. In the event a QA Assessor can demonstrate that the two consecutive failures in the follow on audits were minor in nature and knowledge can be easily rectified by the EA undertaking self learning, the EA will be released from suspension. On return from suspension the Audit Team will subject the assessor to whichever is the greater of:

a. 10% clear auditing regime for a period of 6 months subject to at least 5 Air Conditioning Reports being assessed during the period; or an audit of 5 clear Air Conditioning Reports within the 6 month period following a return to lodgement. Should 6 months be insufficient to generate 5 Air Conditioning Reports then the scheme should select the first available Air Conditioning Reports.

b. The next 5 ACIR’s lodged c. All EA’s returning from suspension will be subject to a witness inspection

15. All incorrect Air Conditioning Reports must be corrected and re-lodged within 10 days of receipt of the Sterling failed audit letter. Failure to re-lodge a failed ACIR within 10 days from initial notice will mean immediate suspension of membership. All schemes will be notified in-line with CLG Guidance and the EA will be subject to a disciplinary comittee

16. Following re-lodgement of the failed ACIR the EA will provide the audit team with the evidence required to complete a full audit on the re-lodged certificate. All the requirements and timescales will apply to re-lodged certificates

17. Witnessed inspection. In the case where a witnessed inspection is required the Sterling Audit team will inform the EA that they are required to have the next available audit witnessed. failure for the EA to facilitate a witnessed visit will result in immediate suspension ahead of a disciplinary comittee. The scheme shall revoke membership of the EA in the instance where the scheme, through a review of evidence, comes to a view that the EA has deliberately attempted to prevent an accompanied visit


Witnessed Air Conditioning Inspections

Once an EA is identified as requiring a witnessed air conditioning inspection, the following

section details the approach to witnessed air conditioning inspection, and checks which shall

be undertaken

Sterling will l inform the EA that they are required to have a future air conditioning inspection witnessed, at what Level, and the reasons for the witnessed inspection.

Sterling will require the EA to inform them of their future schedule of air conditioning inspections at the appropriate Level, and shall select one that they wish to witness.

Sterling will require the EA to facilitate the witnessed visit. For an air conditioning inspection which is to be held over a number of days the Scheme QAA shall identify the most appropriate day where it shall witness part of the air conditioning inspection.

The Sterling QAA shall arrange to witness the air conditioning visit, having reviewed information about the particular circumstances of the inspection, the reason for the witnessed visit, and any past audit history of the EA.

The Sterling QAA shall review progress of the air conditioning inspection before their visit, progress of the inspection during the visit, and audit the ACIR arising from the visit .

The QAA assesses whether practices identified during the witnessed part of the inspection demonstrate that the EA is meeting the requirements of the Code of Conduct.

The QAA shall record the witnessed assessment, and record evidence associated

with any EA transgressions.

After the witnessing element, and following completion of the QA of the ACIR, the

QAA shall provide feedback to the EA. It is the intention to use witnessed visits to

both assess quality, and also provide a degree of training to the EA, if necessary.


Corrective and Disciplinary Measures

Sterling Accreditaion shall impose disciplinary measures in the instances where:

An EA fails to provide all or part of the data required to undertake an ACIR audit within required deadlines.

An EA repeatedly fails to provide evidence of sufficient quality to allow an ACIR to be properly audited

An EA has submitted false evidence such as stock photographs, or falsely claimed to have visited the building.

The results of one or more ACIR audits reveal a lack of understanding, or failure to act in a professional manner, which materially affects the ACIR’s accuracy

Other issues indicate the EA is at unacceptable risk of breaching the Code of Conduct or of producing ACIRs which fail Scheme audits

The EA fails to replace an ACIR when required to do so.

The EA fails to facilitate a witnessed inspection.

Member Appeal Procedure

If the Scheme Member wishes to appeal against one or more elements of the Sterling Accreditation audit process; they may, within 28 days seek to appeal any such decision by giving written notice (See form below ) that they wish to refer the matter to the Sterling Accreditation appeals committee and to state the reasons for the appeal and providing any relevant documentation. The Sterling Accreditation appeals committee will consist of three members of the Sterling auditing team , at least one of whom is a senior member and one who will be an accredited Energy Assessor qualified to the relevant strand to the enquiry. The Appeals Committee will duly consider the Appeal and reach a decision based on evidence / interviews as appropriate. The Appeals Committee will respond within 14 days of the receipt of the Notice of Appeal. If the Scheme Member wishes to appeal against one or more elements of the Sterling Accreditation Appeals Committee’s hearing; or Sterling Accreditation’s decision under the audit Procedure they may, within 28 days of that decision seek to appeal any such decision by giving written notice that they wish to refer the matter to the Sterling Accreditation independent Appeals Committee and to state the reasons for the appeal and providing any relevant documentation on the Sterling member appeals form . The Sterling Accreditation Appeals Committee consists of three members of the Institute of Civil Engineers mediation committee, at least one of whom is a senior member. The three members should not have any working relationship with the Scheme Member and should not have been involved in the original decision in any way. If, for whatever reason, it is not possible to construct a Committee based on these criteria, the matter will be referred to the Chartered Institute of Arbitrators, for the appointment of a single arbitrator for final resolution.


The Appeals Committee will duly consider the Appeal and reach a decision based on evidence / interviews as appropriate The Appeals Committee will respond within four weeks of the receipt of the Notice of Appeal. All decisions made by either the Disciplinary Committee or the Appeal Committee is held securely and centrally, together with any relevant documentation, for fifteen years for future audit purposes. Member Appeal Form Introduction Each Member has the opportunity to appeal against the decision within four weeks of the original

notification.

All Appeals will be received and vetted by the Sterling Audit Team and passed to the Senior Quality

Auditor for further appraisal.

For further details, please see the ‘Sterling Disciplinary and Appeal Procedure’ document.

The following template should be used for Member Appeals:-


Question Response

Date of Appeal

Name and ID of Appealing Member

Contact Details Of Appealing Member

Address

Postcode

Telephone No Home:

Mobile:

Email Address(es)

Availability for feedback :

Preferred Means of Contact

(email/phone/letter):

If phone, preferred Time:


Brief description of Nature of Appeal

Full details of the Appeal

Please be as detailed as possible, giving

the reasons for Appeal and any facts

which might assist your appeal. Attach

any evidence which is relevant to this

appeal.

(Continue on extra paper if required)


Sterling Office Use Only

Date Appeal Form Received

Sterling Appeal Handler

Current Status

Escalation

Resolution

Resolution Date

Response Date

Sterling Accreditation Energy Assessor Guidance...The Sterling Accreditation quality auditing manual...

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