Contractors Quality Assurance and Disciplinary Procedure FAQ
When does the new QADP come into effect?
The new QADP comes into effect immediately from the date of notification.
What has changed?
The QADP has been subject to a comprehensive review. The revised QADP introduces a new method of evaluating Contractor Performance. The revised method moves away from simple penalty points accumulation to a more equitable Risk Based analysis of a Contractor’s performance generally over a 6 month period (unless SEAI has other concerns). The new approach is intended to be fair to all, while taking full account of the volume of works undertaken by each Contractor and the volume of works which are to be audited.
Have the Technical and Administrative Non-Compliances Changed?
Yes there have been changes to the non-compliances. The revisions implemented are intended to clarify definitions and reflect the appropriate severity (1,2 or 3) of the various non-compliances. For the full list of non-compliances please refer to the Appendices in the QADP document.
What is the new approach?
The revised method moves away from simple penalty point allocation to a new approach which takes account of the volume of activity being undertaken, level of inspections and the severity of non-compliances identified in particular properties. SEAI will carry out evaluations on each Contractor’s audit results for the previous six months to determine the:
- % of properties as a proportion of inspected properties which pass inspection (Sev 3 or no issues)
- Average gross penalty points for failed properties, across all issues identified.
What is a ‘passed house’ and what is a ‘failed house’?
A passed house, is a house where the only non-compliances detected are a severity 3 administrative or technical non-compliance.
What is meant by the gross average penalty points?
The gross points are the sum of all points attaching to all non-compliances (administrative and technical). The average penalty points are derived from the gross penalty points divided across the number of properties which have failed.
What are the performance categories?
Performance categories will help SEAI establish the risk of frequent non-compliances.
There are four performance categories as follows:
- GREEN: good performance / low risk
- YELLOW: medium performance / moderate risk
- ORANGE: poor performance / high risk
- RED: very poor performance / very high risk
What standard should a contractor be trying to achieve?
A contractor should be striving to be in the green zone, as this reflects a contractor who has a high standard of work in accordance with the requirements of the Better Energy Homes Scheme. The intention of the revised scheme is to provide contractors not already in the green zone with guidance which will assist them to improve their work standards, reputation and competitiveness.
What happens when an evaluation has happened?
All inspection results in the previous six months will be evaluated and Contractors will be regularly advised of their evaluation results. Once a contractor is identified as being in a zone, other than Green, then:
They will receive written notification of corrective actions they must implement to improve performance e.g. attend a mandatory workshop, watch instruction videos, read technical newsletters or good practice notes etc.
They will be given a specified time period in which to undertake the actions.
After the prescribed time has elapsed SEAI will re-evaluate the Contractor’s performance, looking specifically at properties undertaken in the intervening period.
Where a contractor’s performance shows no improvement, sanctions will be implemented.
What are the sanctions?
The table below sets out the specific actions, warnings and sanctions applying to each zone.
How many times can I expect to be audited / inspected?
Each and every active Contractor can expect to be audited several times in any one year, and those Contractors who undertake higher volumes of work can expect higher numbers of audits. If you are in a non-green zone, it is highly likely that the frequency of inspections will increase.
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How often will an evaluation / review occur?
SEAI will undertake evaluations on a regular basis probably quarterly but at SEAI’s discretion may be more or less frequently. Contractors will be advised of their evaluation results.
Questions on Penalty Points and how they will be applied?
Will my points from the old system be brought forward to the new system?
Penalty Points accrued in the last six months will be reviewed under the revised method to assess Contractor’s current performance, helping SEAI identify likely poorer performing contractors which may be subject to higher scrutiny.
I received Penalty Points which were transferred from a breach that I carried out prior to Feb 2011. Will these Penalty Points still apply?
Under the revised method to assess Contractor’s performance, each Contractor’s audit results for the previous six months will be evaluated. Therefore as the QADP was re-released in November 2011, Penalty Points applied on or before 31st March 2011 will not be considered. Note this is a rolling evaluation system, so if an evaluation takes place on 20th December 2011, only Penalty Points applied from 20th April onwards will be considered in the first evaluation.
If I undertake reworks, will the Penalty Points be removed?
No, reworks are mandatory but the sanctioning of Penalty Points remains as a deterrent. Please note that undertaking reworks is not a valid reason to appeal penalty points.
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How are penalty points calculated for the new QADP?
Previously there was a maximum of 3 penalty points per MPRN. Now each and every non-compliance, whether technical or administrative, accrues penalty points and they are combined to give a total number of penalty points for a property. This is the gross penalty points for that property. Your penalty point notification will detail the address for which you got penalty points and the particular non-compliances.
Can I appeal my penalty points?
All penalty points can be appealed. All appeals must be received in writing within 7 days of your penalty point notification. Appeals must outline any evidence to dispute the findings and any mitigating factors that may have affected the outcome. Please note that undertaking reworks is not a valid reason to appeal Penalty Points. A template for penalty point appeals can be downloaded at: http://www.seai.ie/Grants/Better_energy_homes/contractor/Newsletter/HES_QADP_Appeal_Template.pdf
Can you explain why I got penalty points?
Your penalty point notification will detail the address for which you got penalty points and the particular non-compliances.
When and how are penalty points applied?
When a technical or administrative non-compliance is identified the corresponding penalty points will be applied to your profile. A full list of the technical and administrative non-compliances and their corresponding penalty point is in the QADP document which can be downloaded at: http://www.seai.ie/Grants/Better_energy_homes/contractor/Auditing_and_Disciplinary_Process.pdf
Will penalty points apply for the works completed prior to the introduction of the new QADP?
Yes penalty points can be applied for works completed prior to the introduction of the New QADP. This is in accordance with the fact that inspections and attaching endorsements are a fundamental component of scheme registrations and are one of the standing Terms and Conditions. SEAI endeavours to inspect properties installed in the last three months.
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It was a simple mistake on the paperwork. Will penalty points still apply?
Penalty points will still apply but you can appeal these with details of the event. This will be reviewed by the appeals team who will adjudicate on the findings and make a decision. For successful appeals the penalty points will be rolled back (rescinded).
The number of penalty points allocated to some non-compliances has changed and some non-compliances have been removed all together. Will my penalty points be rolled back in line with these changes?
Yes penalty points are being rolled back in line with the revised changes. SEAI are currently undertaking a full review to ensure penalty points are rolled back in line withthe revised changes. Once this process has been completed SEAI will be in a position to carry out evaluations and inform Contractors of their current performance category.
I have taken on new staff members. Will their points from previous employment carry forward to our company profile?
No points from their previous employment will not carry forward. However each company’s profile is treated as a single entity and the points accrued by individual nominated personnel listed on their Better Energy Homes profile are assigned cumulatively even if those staff subsequently leave that organisation. This reflects the fundamental requirement that a company is responsible at all times for the quality of works undertaken by their personnel.
I got penalty points for a job at 1 road, Howth but I did not complete the works at this property. What can I do?
If you believe that Penalty Points have been awarded incorrectly please submit an appeal. Note Penalty Points have been applied on the basis of the contractor named on the grant documentation submitted by the homeowner. All appeals must be received in writing within 7 days of your penalty point notification. Appeals must outline any evidence to dispute the findings and any mitigating factors that may have affected the outcome. A template for penalty point appeals can be downloaded at: http://www.seai.ie/Grants/Better_energy_homes/contractor/Newsletter/HES_QADP_Appeal_Template.pdf
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Questions on Deregistration
Can I receive penalty points when I am deregistered?
Yes non-compliances which are identified either through inspections or desk audits for work carried out prior to deregistration will be accrued against the Company’s profile.
Do you still get deregistered after you reach 10 penalty points?
The disciplinary sanction where Contractors risked deregistration after accruing 10 penalty points or more in any two year period no longer applies and is replaced by this new penalty point evaluation and performance assessment method (see earlier FAQs).
Will my penalty points be removed after deregistration?
Penalty points will always remain on a Company’s record, however evaluations will only take into account the previous six months.
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