Guidelines for certification bodies certifying Green Deal Advisor Services

Transcription

1 Guidelines for certification bodies certifying Green Deal Advisor Services Introduction 1. This document has been developed on behalf of the Department of Energy and Climate Change (DECC) to provide guidance for the certification of Green Deal Advisor Services. 2. This document has been produced exclusively in connection with the Green Deal, which is a market framework based on the key principle that some energy efficiency related changes to properties pay for themselves, in effect, through the resulting savings on fuel bills. The Energy Act 2011 creates a financing mechanism that will allow the installation of energy efficiency measures in both domestic and non-domestic properties at no upfront cost. Note that in the Energy Act 2011, the associated regulations and in the Green Deal Code of Practice the Green Deal Advisor is known as the Green Deal assessor. 3. Before agreeing to provide certification against the Specification for Green Deal Advisor Services Certification Bodies must first achieve UKAS accreditation against and have received authorisation from the Green Deal Oversight Body/Secretary of State (see Appendix 1). Scope 4. This document is intended primarily for UKAS Accredited Certification Bodies certifying Green Deal Advisor Services against the Specification for Green Deal Advisor Services and should be used in conjunction with that Specification. Terms and Definitions Organisation: Company of any size that is providing Green Deal Advisor Services. Green Deal Advisor: An employee or subcontractor of an Organisation delivering Green Deal Advisor Services, authorised to carry out Green Deal assessments. Referred to as the green deal assessor in the Framework Regulations and Code of Practice. Green Deal Oversight Body: The body acting on behalf of the DECC Secretary of State in the management of the Green Deal scheme [DN: To be appointed]. 1

2 Certification Body: A body accredited by UKAS against BS EN to deliver certification against the Specification for Green Deal Advisor Services. Specification: Specification for the provision of Green Deal Advisor Services. Customer: Property owner, landlord and / or tenant of a building who has requested Green Deal Advisor Services. Note: Further definitions are available in the Specification References Specification for Green Deal Advisor Services ISO 9001 Quality management systems - requirements BS EN General Requirements for bodies operating product certification systems General Guidance Application and Maintenance 5. In addition to the requirements of BS EN the Certification Body shall capture the following information at initial application from the Organisation: The name of the Organisation s primary contact responsible for applying for and maintaining certification Names of the Green Deal Advisors operating under the Organisation Whether the Organisation or any of their employee have been suspended from or refused any certification previously. 6. The Certification Body shall complete a re-certification audit of the Organisation on an annual basis. Part of this process shall include a review of the details provided by the Organisation at the initial application or last annual recertification, whichever was the more recent, to maintain the accuracy of the data. Certification & Compliance 7. Green Deal Advisors will be unable to practice until the Organisation they operate through is certified under the Green Deal Advisor Services Specification. As such at the initial application the Organisation will not have fully implemented all the required procedures. 8. The Certification Body shall therefore grant certification based on: 2

3 Fulfilment of the requirements in section 1 A review of the Organisation s procedures and relevant documents as required from sections 2 & 3 9. A higher rate of witnessed assessments shall be completed following first certification being granted. The Certification Body shall have a documented procedure in place which stipulates a minimum percentage sample of Green Deal Advisors to be assessed. The Certification Body shall also request a review of the implementation of the Organisation s procedures related to section 2 before the annual re-certification where this is deemed necessary. Certification Records 10. The Certification Body shall maintain the following records for each certified Organisation: A list of all Green Deal Advisors associated with the Organisation including those employed or subcontracted. The expiry dates of any documents submitted as part of an Organisations application i.e. ISO 9001 certification, insurance policies. Section 1: Eligibility Criteria Authorisation as a DEA/NDEA in England and Wales or to produce Energy Performance Certificates in Scotland 11. The Certification Body shall verify that all Green Deal Advisors hold current valid membership with an Energy Performance Building Directive (EPBD) Accreditation Scheme (in England and Wales) or, if in Scotland that they have obtained membership of an Approved Organisation, appointed by Scottish Ministers in the production of domestic Energy Performance Certificates. 12. Where an Organisation requests to expand the scope of their certification by employing a new Green Deal Advisor the Certification Body shall verify that the new Advisor holds a current valid membership with an EPBD Scheme or Approved Organisation as described in paragraph 11. Qualification as Green Deal Advisor 13. The Certification Body shall have a procedure in place which stipulates the percentage sample of employee records to be audited at initial application and 3

4 annual re-certification to verify that all Green Deal Advisors hold current and valid qualifications relevant to the particular Green Deal Advisor Services they deliver. 14. Include APEL route guidance when the policy/process is agreed. Code of Practice 15. The Certification Body shall have a documented procedure in place which stipulates a minimum percentage sample of employee records to be audited at initial application, including to ensure that a written undertaking has been made to abide by the Code of Practice and at annual re-certification to confirm ongoing compliance with the Code of Practice. Authorisation of Green Deal Advisors 16. The Certification Body shall require that the Organisation inform them of any changes (either to the Organisation or individual GDA s) that are material to the provision of Green Deal Advisor Services or to the information held on the register hosted by the Green Deal Oversight Body. 17. Any misuse or unauthorised use of the Green Deal Quality Mark identified by or reported to the Certification Body shall be reported to the Green Deal Oversight Body. Insurance 18. At initial application and annual re-certification the Certification Body shall verify the presence of a valid policy. 19. Sole Trader Organisations may be included under a 3 rd party insurance policy, the Certification Body shall verify the level of cover relating to the Sole Trader with the 3 rd party Organisation or insurer as appropriate. Section 2: Management and Monitoring of the Green Deal Advisor Service General 18. The Certification Body shall verify the presence of an adequate documented health and safety procedure. At annual re-certification the Certification Body shall verify the implementation of the procedure. 4

5 Robust & Credible Management Systems 19. The Certification Body shall conduct an audit of the following procedures as a minimum to verify the presence of a robust & credible management system: Control of Documents Control of Records Internal Audit Contol of non-conforming product Corrective Action Preventative Action 20. Where the Organisation has ISO 9001 certification from an accredited certification body then a procedure audit is not required and the Certification Body shall request a copy of the certificate and verify with the issuing body its validity and scope. 21. As part of the annual re-certification the Certification Body shall conduct an audit of the implementation of these procedures or request an updated ISO 9001 certificate where this is no longer valid. Selection, Work and Continual Professional Development 22. The Certification Body shall have a documented procedure in place which stipulates a minimum percentage sample of Green Deal Advisor Service records to be audited at initial application and annual re-certification to verify that assignment of Green Deal Advisors is relevant to qualification, skills and experience. 23. At the initial application the Certification Body shall review the Organisation s procedure for identifying and organising Continual Professional Development to ensure all elements of the Green Deal Advisor Services Specification are captured. The Certification Body shall verify that the Organisation has made provision for employed and sub-contracted Green Deal Advisors to undertake the required number of hours of Continual Professional Development, a list of approved Continual Professional Development that can count towards hours completed is held by DECC/The Green Deal Oversight Body. 24. Where the Organisation has already implemented the procedure, the Certification Body shall verify its implementation by reviewing a sample of appraisals, training records and any other relevant personnel records as noted in the procedure. 25. At the annual re-certification the Certification Body shall request information from the Organisation regarding any changes to the procedures and review a sample 5

6 of appraisals, training records and any other relevant personnel records as noted in the procedure. 26. Where the Organisation is a Sole Trader the Certification Body shall verify that the need for Continual Professional Development is captured through: Notifications of regulatory and/or software changes from the Green Deal Oversight Body Customer Feedback Management System Internal Audits ISO 9001 external audits (where a certified system is in place) Recommendations from the Certification Body following practical or witnessed assessments Engagement of subcontractors and Green Deal Advisors 27. The Certification Body shall verify that the Organisation applies all their procedures and policies related to Green Deal Advisor Services consistently across all Green Deal Advisors including employees and subcontractors. Green Deal Assessment control - documents, record keeping and information management 28. The Certification Body shall review the mechanisms through which the Organisation records Green Deal Advisor Services delivered and the associated information. The Certification Body shall also verify the Organisation s document retention periods as documented in their Control of Records procedure. Internal Feedback 29. The Certification Body shall review the mechanisms through which the Organisation captures records and responds to feedback from employees and subcontractors. This requirement is not relevant to Sole Traders. Internal Audit and Corrective Action 30. At the initial application the Certification Body shall review the Organisation s documented procedure for auditing Green Deal Advisors and dealing with any resulting corrective actions. At annual re-certification the Certification Body shall verify the implementation of the procedure. 31. Organisations (particularly Sole Traders) may choose to outsource their internal audit function. The Certification Body shall verify that where internal audit is outsourced that the Organisation maintains control of their documented 6

7 procedure. Any queries should be clarified with the Organisation or body providing the internal audit function as appropriate. Interaction with Customers 32. At the initial application the Certification Body shall review the Organisation s procedure for instructing Green Deal Advisors on dealing with customers. At annual re-certification the Certification Body shall verify the implementation of the procedure. This requirement is not relevant to Sole Traders. 33. At annual re-certification the Certification Body shall where necessary request and assess feedback from customers having received Green Deal Advisor Services from the Organisation. Claims of Conformity 34. The Certification Body shall review the mechanisms through which the Organisation captures information and documentation when claiming conformity with Specification. Management of Complaints 35. At initial application the Certification Body shall verify the presence of an adequate documented complaints procedure. At annual re-certification the Certification Body shall verify the implementation of the procedure. 36. The Certification Body shall have a documented procedure in place to handle complaints about Organisations it has granted certification to. Disciplinary & Appeals Procedures 37. At initial application the Certification Body shall verify the Organisation s documented disciplinary procedure. At annual re-certification the Certification Body shall verify the implementation of the procedure. This requirement is not relevant to Sole Traders. 38. The Certification Body shall also review the procedures in place through which a Green Deal Advisor can appeal against a disciplinary action brought by the Organisation. 7

8 Section 3: Operational Procedures General 39. The Certification Body shall have a documented procedure in place which stipulates a minimum percentage sample of Green Deal Advisor Service records to be audited at initial application and annual re-certification to verify that they have acted with impartiality, in accordance with the Operational Procedures and have allowed sufficient time to conduct assessments. Quality Assurance 40. At annual re-certification the Certification Body shall conduct a witnessed assessment of at least 1 Green Deal Advisor providing the Organisation s Green Deal Advisor Service. The Certification Body shall take a risk based approach when determining the number of assessments to conduct. Preparation for the Green Deal Advisor Service 41. The Certification Body shall review the adequacy of the information provided to the customer by the Organisation about the Green Deal Advisor Service and the mechanisms for providing this information. 42. The Certification Body shall review the Organisation s mechanisms for capturing pre-visit information and how information is stored. The Certification Body shall review any information captured above and beyond the requirement and consider whether the Organisation has assessed it s compliance with all regulatory requirements e.g. Data Protection Act. 43. The Certification Body shall review the process through which the Organisation assigns Green Deal Advisors to specific domestic and non-domestic properties based on their qualifications, knowledge and experience in relation to the information provided by the customer. During the Green Deal Advisor Service 44. The Certification Body shall review the process through which Green Deal Advisors conduct the Green Deal Advisor Service, give information to the customer and record the details of the visit. 45. The Certification Body shall review the mechanisms through which a Green Deal Advisor records that the customer has been informed of all the information given prior to and during the Green Deal visit. 8

9 46. The Certification Body shall verify that Green Deal Advisors employed and sub contracted by the Organisation are using approved software as provided by DECC/the Green Deal Oversight Body. A current list of approved software is featured on the DECC/Green Deal Oversight Body website. (TBC once this is clarified) Producing and lodging the Green Deal Advice Report 47. The Certification Body shall review the processes used by the Organisation to produce, lodge and issue a Green Deal Advice Report (as per Annex D of the Specification) to the customer. In particular the Certification Body shall verify that the Green Deal Report is written clearly, has been internally peer reviewed and has been issued within the Organisation s stated time frame. 48. Sole Traders will not be expected to arrange for peer review of their Green Deal Advice Reports although they may contract this out. Where this function has been contracted out the Certification Body shall verify the terms of the contract with the Organisation or Contractor as appropriate. 49. The Certification Body shall have a documented procedure in place which stipulates a minimum percentage sample of Customer Sign off records to be audited at the full certification and annual re-certification (as per Annex E of the Specification). 9

10 Appendix 1: Expected Authorisation Process 10