Title: Quidos QA Standards for Retrofit Assessment

Ref: 16.13
Issue: v.1.1
Issued By: Billy Say Date: 26/01/2021
Approved By: David Jones Date: 28/01/2021

Revision History
Issue Issued Approved Reviewed
1.0 17/10/2019 20/10/2019
1.1 26/01/2021 28/01/2021

This document shall apply to all accredited Retrofit Assessors, regardless of National registration,
and supersede any previous copies.

These Standards shall be read in conjunction with the Quidos Code of Conduct and the TrustMark
Framework Operating requirements Annex C.
 1. Overview
As an Accreditation Scheme, we are responsible for ensuring that the quality of work carried
out by our members is of a consistently high standard. In an evolving sector, it is important
that high standards are established and maintained throughout every strand of the industry.
This will help create the credibility of a Retrofit Assessment as an important part of the
Retrofit Project that will result in the cutting of carbon emissions reducing energy
consumption and saving money on fuel costs. It is vital that these high standards are
implemented; both by us as an Accreditation Scheme, and you as an accredited Retrofit
Assessor.

2. Surveillance Audit Requirements

Requests for audit should not be seen as a burden, or be perceived as a punishment. For
those Retrofit Assessors who maintain high standards in their work, QA can be an
opportunity to demonstrate this, or even to develop better practice. By periodic auditing of
our members, we aim to ensure that all Retrofit Assessors can prove themselves capable of
providing the best service to the customer and the industry.

As a general rule, the following minimum surveillance requirements are in place:

• At least 2% of all Retrofit Assessments lodged through the Scheme are audited;
• Each Retrofit Assessor will have their first Assessment audited for each risk path;
• Each Retrofit Assessor will be placed on 5% auditing for the first month or a minimum
of 5 reports (whichever is achieved first);
• Where the assessor has achieved 5 successful consecutive audit ‘pass’ outcomes,
they shall be placed on a minimum 2% auditing rate;
• Each Retrofit Assessor will be subject to further follow-on audits should these audits
fail.

What is being audited?

The retrofit assessment will be audited as per PAS 2035 – Section 8. This will be dependent
on the Risk Path for the project.

• Risk Path A will encompass the requirements of section 8.3

• Risk Path B will encompass the requirements of section 8.4 in addition to 8.3
• Risk Path C will encompass the requirements of section 8.5 in addition to 8.4 and 8.3

Quidos will use the results of assessment visits, previous audits and dispute investigation
(complaints) to inform a risk rating, sample size and frequency of the ongoing audit regime
for each accredited Retrofit assessor.

Audit timescales can be found in Appendix A of this document.

There are other circumstances which would require surveillance checks:

• Customer complaints.

In addition to these requirements, we also undertake auditing on those lodgements that have
been re-lodged following a surveillance auditing failure.

3. Surveillance Audit Evidence

As a practicing member of the Quidos Accreditation Scheme, you are required to keep
detailed records from all Retrofit assessments undertaken.

Whilst on-site, you should be asking yourself one question:

“Would another Retrofit Assessor be able to recreate the

data set fully from this evidence without question?”

If you wouldn’t be able to, the auditor almost certainly wouldn’t either.

In this respect, the most important evidence that you can collect are your site notes. These
give you an opportunity to record your thought process, reasoning for assumptions, and
highlight any limitations or issues whilst carrying out an assessment.

The full details of the required evidence which can be provided for surveillance auditing can
be found in Appendix B of this document.

3.1 Uploading your Evidence

All evidence MUST be uploaded through iQ-Energy, and cannot be submitted by email or
Dropbox to the QA Team. This preserves the audit trail between Retrofit Assessors and
auditors, and makes the Retrofit Assessor solely responsible for management of their data.

The report to be audited will appear in your Control Panel in iQ-Energy with a link to upload.
Alternatively, evidence may be uploaded manually using the Upload Files button in the
Control Panel menu. Just search for the requested report information and upload your files.
Using the Upload Files option is also handy if you need to add further evidence to your
evidence pack after your initial confirmation.
It’s really important that Retrofit Assessors double- and triple-check all files before pressing
the Confirm QA Upload button. Once you press this button, you are confirming that all of the
evidence you have uploaded are sufficient for the auditor to compete the audit. If this is not
the case, it is likely that your audit will fail.

Photographic evidence is of particular importance; ensuring that they are clear and in
context for the purposes required. We request that photographic evidence be uploaded as
separate files, and not pasted into a single document. This enables the surveillance auditors
to check each image thoroughly.

All photographic evidence must include a date-stamp within the image or retain the
associated metadata created by the camera when taking the photograph. You should ensure
that, if using an image resizing program to aid in image uploading for audit, the metadata
(EXIF) is maintained.

If the photographic evidence is deemed to be of underwhelming quality, the Retrofit Assessor

will be advised that more care is required in future. If it is deemed that the evidence provided
is not of sufficient quality to allow accurate auditing, the assessment cannot be audited,
resulting in an audit failure, with the Retrofit Assessor requiring further follow-on auditing.

As detailed in the Quidos Code of Conduct, it is essential that Retrofit Assessors keep the
records of each Retrofit Assessment both secure and readily accessible. We will not accept
excuses related to missing QA information.

4. Surveillance Auditing Process

Once the evidence has been submitted, it will be audited by a member of our Surveillance
Auditing team. The Surveillance Auditor will review the work and establish whether or not the
Retrofit Assessment is acceptable, providing the Retrofit Assessor with a feedback report
for the audit upon completion.

Evidence Guidance can be found in Appendix B of this document.

4.1 How the report gets audited

 The SA works through the supplied evidence, RdSAP/SAP data entries, RdSAP/SAP
data results, Occupancy Assessment data entries, Occupancy Assessment Results
and the Condition report;
 Using a SA-generated copies of each document, each data input will be reviewed and
amended if necessary to reflect the supplied evidence;
 Where evidence for a data input is omitted or insufficient to back up the assumption,
the appropriate worst-case scenario will be input;
 At each data entry change in either the RdSAP data set, condition report or OA data
set, the report is recalculated and each non-compliance is noted.
 This is repeated until all data inputs have been checked and amended (if necessary);
 The Auditor shall total the number of non-conformities and their type to determine
the audit result.

4.2 The Audit Result

The audit will result in a Pass or Fail outcome. The Auditor shall total the number of non-
conformities and their type to determine the audit result. An audit pass demonstrates that a
Retrofit Assessor can competently and confidently follow the requirements of the PAS 2035
framework.

An audit shall be marked as a fail where 5 or more single minor non-conformities and/or any
single major non-conformity have been identified.

Non-conformities are categorised as follows:

 Minor Non-compliance: No significant impact on the customer or other stakeholders

associated with the non-compliance. The Scheme will inform the member of the
nature of the shortcoming and require evidence of action taken to rectify the non-
compliance.
 Major non-compliance: Compelling evidence that the member has failed to meet the
Framework, in a way that has had a major impact on the customer or other
stakeholders.

The Scheme will consider the following factors when reviewing the impact of the non-
compliance:

 The level of harm which flowed from the non-compliance

 Whether the non-compliance has occurred in other cases
 Whether other bodies have imposed sanctions in relation to the non-compliance
 Whether the member has accepted responsibility for the non-compliance
 Whether the member made a financial benefit from the non-compliance, or intended
to make such a gain for themselves or a commercial partner
 5. Audit Outcomes
Pass
The audit passes with no feedback

Pass with comments

The audit passes, however feedback is given, and this should be read and understood by the
assessor. The report does not need to be replaced, but errors noted should not be replicated
on future assessments.

Fail (Technical)
The audit fails on a technical basis. This will relate to an unacceptable number of minor
and/or major non-conformities in the report.

Where the number of minor non-conformities is 5 or more, the report, or the defective parts
of the report, must be replaced by the Retrofit Assessor.

Where a major non-conformity is present, the Retrofit Assessor shall have their accreditation
immediate suspended until such time as the matter is rectified.

Fail (Evidence)
The audit fails on the basis that the evidence is not supplied, or not sufficient in quality to
allow the audit to be completed. This may cover all or part of the report.

 Where evidence is missing/poor quality but available, this shall be supplied by the
Auditor following feedback and the audit can be reviewed. This evidence must then
be passed onto the Coordinator following audit completion.
 Where evidence is missing and cannot be supplied, the audit remains a fail.
 Where evidence is not sufficient in quality and cannot be supplemented by quality
evidence, the audit remains a fail.

All evidence errors must be acknowledged by the Retrofit Assessor and not replicated in
future reports.

6. Audit Appeals
If you genuinely believe that a Retrofit Assessment has been incorrectly audited against the
evidence supplied, you have the opportunity of lodging an appeal against the decision. Within
the ‘Evidence’ section for the assessment, you will see an Appeal button.

By giving your reasons for appeal, we can review the auditor’s decision and make a
judgement. Audit appeals are never considered by the Surveillance Auditor that completed
the audit. A member of the QA team who was not involved in the audit will consider the
appeal.
When considering an appeal, we will always look at the audit as a whole and review all
evidence and data inputs. This moderates the work of the Surveillance Auditor, and ensures
that the Retrofit Assessor is provided with the best possible feedback. This can mean that
errors which were not initially noted by the Surveillance Auditor could contribute to a
possible failure.

We would strongly advise Retrofit Assessors to make appeals within 5-working days of the
audit feedback.

Once your appeal has been submitted, we will aim to resolve the appeal within 5 working
days, however we will always prioritise appeals following the failure of follow-on audits.

The appeal feedback is the final and binding decision of the QA Team and will not be reconsidered
unless compelling additional evidence is provided. Auditing appeals will not be taken further once
a response has been given.

7. Failure Consequences
7.1 Resolving an audit failure
7.1.1 Relodgement
In the event that the Retrofit Assessment is declared defective, it will need to be cancelled
and re-lodged. They must also inform the Retrofit Coordinator so the Data Warehouse can
be updated with the correct information within 5 working days – Retrofit Assessor must also
confirm this action with the Scheme. The onus is on the Retrofit Assessor themselves to do
this, using the audit feedback summary as guidance.

Defective Retrofit Assessments shall always be cancelled by the Retrofit Assessor.

Cancellations shall be processed through iQ-Energy, giving the Scheme Reference Number
to be cancelled, the Scheme Reference number of the replacement Retrofit Assessment, and
the reason for cancellation. The QA team will occasionally process cancellations following
audit failure, but the expectation shall always be on the Retrofit Assessor to cancel.

7.1.2 Additional Evidence

If you provide further evidence which would prove the Retrofit Assessment correct, you will
not have to confirm a replacement, however it would still be classified as an audit failure.

Although this might seem harsh, we expect Retrofit Assessors to be professional in their
operation, particularly in ensuring the collection of sufficient evidence to prove the Retrofit
Assessment to be an accurate reflection of the dwelling. If this is not the case, we cannot
turn a blind eye and are obliged to use a follow-on audit as a sanction.

From the date of failure, Retrofit Assessors will also have 5-working days within which to
appeal against the audit decision.
 7.2 Follow-on Auditing
Should a Retrofit Assessor fail an audit, they will be subject to an additional follow-on audit.
This is to be confident that the Retrofit Assessor is following all the requirements of the
PAS2035 methodology.

Where a Retrofit Assessor passes the follow-on audit, they will continue on the 5%
requirement until they have reach 5 consecutive passes.

If the Retrofit Assessor fails the follow-on audit, they will be subject to a suspension pending
the completion of remedial action. Once the remedial action is completed, the Retrofit
assessor will have their suspension lifted but be subject to 5% heightened QA for 6 months.

The remedial action will be in the form of a questionnaire, which will be selected by the QA
team based on the issues which has caused the Retrofit Assessor fail their audits.

Should a Retrofit Assessor continually fail audits and be seen to not taking the advice of
Quidos, a site visit audit made be necessary.

If the failures persist after this, Quidos shall have to take further disciplinary action, which
may include revocation of accreditation.

8. Additional Help and Advice

The QA and Tech Support team is always available to aid Retrofit Assessors with any queries
they might have about the auditing process.

The best way to contact the QA team is through the Quidos Support Log. This can be found
by logging onto http://support.quidos.co.uk; alternatively, you can send an email which will
log a support ticket to [email protected].

The telephone helpdesk service should only be used for URGENT telephone queries, such as
an assessor on-site with a complex query which requires resolving.

The overuse of support channels may lead us to question your competency as a Retrofit
Assessor, requiring additional auditing.
APPENDIX A: Auditing Time Limits

Max. Time
From: To: Exceptions Sanctions
Limit

Scheme first Evidence 5 working day

Suspension if
requests audit uploaded to iQ- 5 Working Days extension for
failure to upload 1
evidence Energy illness, hols, etc

Evidence Auditing 10 Working Circumstances

received completed Days beyond our control

Audit feedback Lodgement of Suspension if not

Appeals received
(failure) replacement re-lodged and
5 Working Days within 5 working
Retrofit Coordinator not
days
Assessment informed.

Audit feedback We request all audit appeals to be

(failure) Appeal deadline 5 Working Days submitted within 5 working days from
the date of feedback receipt

Follow on Evidence 5 working day

Suspension if
request 2
uploaded to iQ- 5 Working Days extension for
failure to upload 3
Energy illness, hols, etc

Follow-on audit Where a follow-on audit fails, the Retrofit Assessor shall be suspended
feedback immediately pending the completion of remedial action.

(failure) Any appeals for follow-on audits are fast-tracked.

1
Where a surveillance audit is uploaded after the specified timescale without extension or a ‘reasonable or compelling’ reason for late
upload, the surveillance audit will be reviewed as normal for errors, but will fail automatically for insufficient evidence.

2
Follow-on audits from random failures will be selected from the next month’s audit selections.

3
Follow-on audits are requested for upload within 5 working days in order to quickly follow up on a previous auditing failure.
APPENDIX B: Evidence Collection Guidance
For audit, Retrofit Assessors are required to supply sufficient evidence for the auditor to be
able to replicate the Assessment without question.

The following list is suggested guidance for what Retrofit Assessors should be collecting
whilst on-site undertaking an assessment. The provision of a detailed floorplan and detailed
set of site notes and data collection forms can give more detail than a single photo out of
context.

Evidence for Upload Notes

RdSAP/SAP Dataset A copy of the RdSAP Dataset to be
provide. (SAP Score, SAP Rating,
Running costs estimate, CO2
estimate)

Occupancy Assessment Occupant data as well as estimated

costs, recommendations and level of
savings possible

Condition Report The physical state of the dwelling at

the time of the assessment related to
the features that may inhibit the
performance of any future energy
efficiency measures, typically
containing photographic evidence and
a written description.
Energy Report

Traditional Buildings Assessment A copy of the additional assessment

required for traditional buildings.
REPORTS

Ventilation Risk Assessment For risk paths B and C this is required.

Can be part of the condition report.

Advice Any advice given has to be evidence

in a document and reasoning
provided.

Dwelling dimensions (detailed floor plan) This is to support the dimensions

(floor area) which are required to be
uploaded to the data warehouse and
to support the RdSAP dataset.

Site Notes Written description of anything that

would support your decision-making,
thoughts, or amendments to
recommendations (property age,
construction, heating system notes,
etc.)

Additional Evidence Anything you feel appropriate for the

Retrofit Coordinator to be aware of.
 Evidence for Upload Notes
Elevations, Openings & Construction All dwelling elevations; wall, loft and
floor construction; open fires, doors,
windows, whole-house ventilation,
conservatory.
Glazing details Multiple glazing, glazing
manufacturing date, glazing gap,
Wall Insulation Clear evidence of insulation (i.e. drill
pattern); certification
Floor Insulation
Loft Insulation Full loft space covered; measured in
context (solid ruler against thickness)
Space Heating System Boiler identification plate, all heating
controls, fuel tank (LPG/Oil)
Secondary Heating Open fire, fixed room heaters; solid
fuel options
RdSAP Evidence

Water Heating System Cylinder size, insulation thickness,

presence of cylinderstat
Multi-rate electricity meter Taken to confirm tariff
Additional features Other feature of the building whose
presence or absence may be
reasonably considered likely to affect
the SAP rating (e.g. showers,
renewables, FGHRS)
Limitations Evidence that inspection of a
particular element is impractical;
either photographic or written in site
notes
Documentary Evidence Any other evidence collected as part
of the assessment, including such
evidence as required by Conventions
(insulation certificates, MCS, FENSA,
building control sign-off, u-value
calculations)
Dwelling Heritage Photographic/Documentary
Dwelling Condition

Architectural Features Photographic/Documentary

Dwelling Structure Photographic/Documentary

Dwelling Construction and Condition Photographic/Documentary

Dwelling Improvement Suitability Documentary

Thermal Transmittances (U-Value) Documentary

Moisture Properties for Main Building Elements Documentary

Appraisal
Dwelling

Dwelling Improvement Suitability Documentary

 Evidence for Upload Notes
Construction Defects Photographic/Documentary
Defects
Structural Defects Photographic/Documentary

Leakage Photographic/Documentary

Ventilation Photographic/Documentary

Heating Photographic/Documentary
Building Services

Hot Water Photographic/Documentary

Lighting Systems Photographic/Documentary

Heating Controls Photographic/Documentary

Building Services Locations Photographic/Documentary

Building Services Condition Photographic/Documentary

Planning Constraints Documentary

Listed Status Documentary

Constraints
Planning

Protected/Historical Status Documentary

Conservation Constraints Documentary

Tree Preservation Constraints Documentary

Elevation Photographic/Documentary
Site Constraints

Exposure Photographic/Documentary

Access Photographic/Documentary

Right of Light Photographic/Documentary

Adjoining Property Consideration Photographic/Documentary

Current Measures Documentary

Measures

Proposed Measures Documentary

Air Permeability Documentary - from appropriate

person
Additional Tests

Structural Engineer’s Report Documentary – from appropriate

person

Relevant In-situ Tests Documentary – from appropriate

person

Remember the Auditor needs to be able to repeat this process using the photographic and
documentary evidence provided.