Appendix 1

Section 1
Eligibility criteria to ensuring that those Members of this Certification Scheme are fit and proper persons
1.1 Compliance
Ensuring that members of the scheme are fit and proper persons to undertake energy assessments and that they operate within an appropriate code of conduct.

1.2 Determining whether a person is fit and proper for membership

The requirements call for scheme operators to demonstrate that proper and effective operational, recording and reporting procedures are in place to decide whether applicants are, and members remain, fit and proper persons. These procedures must be applied in a fair and open way that is compliant with legislation

1.3 Method Statement Assessing if an individual is fit and proper!

Having regard to !" published #ppendi$ % and this &cheme in relation to the inspection of e$isting dwellings, 'abian (#ccreditation) !imited will* a) +ake appropriate enquiries, including enquiries of the applicant, other accreditation schemes and the riminal ,ecords -ureau (-asic .isclosure) into the background of applicant E#s in order to make an informed /udgement as to whether the applicant is a fit and proper person b) +ake periodic (annual) enquiries in order to maintain checks and monitoring after membership has been granted. c) #fter making appropriate enquiries, re/ect applications where the applicant or member is considered not to be a fit and proper person d) #fter making appropriate enquiries, revoke membership where the applicant or member is no longer considered to be a fit and proper person e) #pplications will be re/ected and membership will be revoked if an applicant or a member has been convicted or cautioned for a serious arrestable offence including (but not limited to)* f) +urder +anslaughter .eath by reckless driving ,ape 0idnapping 'irearms offences Hostage taking Hi/acking or torture

,e/ect applications or revoke membership if a person has been convicted of offences that are less serious than those listed in paragraph (e) above if these are offences against the person or property, or offences which involve elements or acts of dishonesty, corruption, substantial financial gain or serious loss to anyone (including theft, fraud and deception), which resulted in a prison sentence within the last 1 years. g) 2n all others cases where an offence has been committed, take into account*

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Appendix 1

the relevance of the offence to the role of the E#, the seriousness of that offence whether there is any significant pattern of offending and ho" recently the offence was committed.

This &cheme will respond promptly to enquiries from other accreditation schemes to confirm the membership status and disciplinary record of any former member. # service level of %3 working days will be achieved for this purpose.

1.# $perational% recording and reporting procedures

Every applicant will provide full disclosure on &orm &A'((1 )Application &orm* that includes (but is not limited to) the following and submit the required documents* %. 4. 5. 3. 1. :. ;. 'ull name (including maiden name where appropriate) .ate of -irth 6ational 2nsurance 6umber opy of 7assport and8or photographic driving licence opy of -ank &tatement89tility -ill(s) .etails of residence and proof over past 1 years 7roof of vocational qualification (.iploma in .omestic Energy #ssessment8Home 2nspection) <. opy of recent (no older than 4 months) riminal ,ecords -ureau (-asic .isclosure) ,eport =. .isclosure of all offences8convictions (if any) %>. .isclosure of any other issues that may be material consideration when considering the application including (but not limited to) disqualifications, refusals of applications and other financial and personal matters %%. 7erson and business references %4. 'ee for application of ?%41.>>@vat %5. 'ee for +embership of the &cheme of ?4>>@vat %3. &igned declaration of +embership including agreement to maintain membership requirementsA adhere to odes of onducts etc. &orm &A'((+
)Membership ,eclaration*

2nformation gathered from the #pplication 'orm will be assessed and &orm &A'((3 )-nternal .eport* generated. The ,eport will indicate the following*

%. #cceptance of the #pplication B this will indicate that the required criteria has
been met and the #pplicant will move to the ,egistration stage of the process when &orm &A'((# ).egistration* will be completed 4. +embership will only be offered to applicants who have recognised vocationally qualified. The recognised qualification will be issued by an #warding -ody approved by the Cualifications and urriculum #uthority (C #) and will satisfy the 6ational Dccupational &tandards (6D&) 5. 7rovisional #cceptance of the #pplication B this will indicate that the #pplication has met the required criteria based on the information provided but further information is needed in order to move on to the ,egistration process. The #pplicant will be advised of any deficiencies8shortfalls in the #pplication and what is needed to move on to ,egistration on 'orm &A'((/ )0rovisional
Acceptance*

3. ,e/ection of the #pplication B The #pplicant does not meet the criteria for fit
and proper person and will be informed for the reason for re/ection on 'orm
&A'((1 ).e2ection*

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1. Ehen 'orm

&A'((# ).egistration* has been completed, the applicants name and details will be entered onto the ,egister of +embers and &orm &A'((3 )Certificate of Membership* will be issued. :. #t the same time, the applicants name will be added to the online register that is available on www.fabiancertification.com ;. The online register will be maintained with a listing of all current members. The register will be accessible to anyone who wishes to establish the legitimacy of any member claiming to be an accredited member <. The online register will be maintained to include a list of members who have voluntarily or otherwise left. The register will be accessible to anyone who wishes to establish the legitimacy of any member claiming to have been an accredited member =. # copy of the ,egister of +embers will be forwarded to the &ecretary of &tate on the last day of each month %>. #ll members will have to complete 'orm &A'((4 )Annual .evie"* by every anniversary (annual) of their registration requesting full disclosure of changes that may have occurred since they submitted &orm &A'((1 )Application &orm* with the latest riminal ,ecords -ureau (-asic .isclosure) ,eport. &orm &A'((4 will include a request for information relating to all claims and complaints that have been received and outcome. The member will also be required to pay the annual review of ?%1>@vat. %%. The members application for review will be considered to ensure they remain fit and proper. Dnce it is determined that the member remains fit and proper, &orm &A'((5 ).ene"al*

%4. Ehere there are issues relating to renewal,

&orm &A'((5 )0rovisional .evie"*

will enable the member to continue practicing but will be required to provide further information within %3 days that will satisfy the &cheme of their remaining fit and proper. #fter satisfactory review of any further requests, 'orm '#->>= will be issued. Ehere there are problems, members may be suspended and &orm &A'(1( )Suspension 6otice* issued or revoked and &orm &A'(11 ).evocation* issued 1./ Code of Conduct This document is the ode of 7ractice (the ode) for .omestic Energy #ssessors that must be followed by all +embers of this #ccreditation &cheme. 2t sets out the standards of conduct that is e$pected of all +embers and comprises part of the wider requirements of +embers that includes registration, renewal and disciplinary procedures. #.% This ode of onduct establishes obligations on all +embers of this #ccreditation &cheme and may be different from codes of ethics or other standards published elsewhere. Ehere the obligations conflict with obligation in law, then the law will take precedence. #.4 +embers should recognise and acknowledge their duty to the wider responsibilities that their role and responsibility owes to those affected by their work and way in which this is carried out. +embers will be required to maintain and continually improve their skills and standards and act with integrity and honesty. #.4 2n recognising their obligations to their customers as well as the public and businesses that may rely on their work, +embers will be required to remain informed on issues affecting their roles and responsibilities and as knowledgeable e$perts in their field, assist this #ccreditation &cheme to eliminate practices that may bring into disrepute the profession of .omestic Energy #ssessors.

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#5. +embers shall preserve confidential information that they may come across and shall not knowingly during, or following completion or termination of their obligations with clients* a) reveal clients confidential information b) use confidential information to the disadvantage of clients c) use confidential information for the +embers own direct or indirect benefit This does not prevent +embers disclosing any information if required to do so to the appropriate authorities in cases where criminal activities are suspected or by ordered by the ourts. #.3 +embers shall cooperate with this #ccreditation &cheme in all matters including those related to, but not limited to, investigations, discipline, dismissal of +embers and other commissions relating to conduct pre/udicing the professional status and reputation of .omestic Energy #ssessors. #.1 +embers shall place the integrity of the profession of .omestic Energy #ssessors and the interests of clients above their own personal interests. #:. +embers owe a responsibility to the government. 2n this respect, a member should always bear in mind the member is governed by the law, regulations, and decisions that make up their field of professional practice. They should ensure they are upFtoFdate with all statutory requirements and regulations as they are published, amended and8or updated from time to time. #.; +embers play an important role in shaping the attitude of the public towards voluntary compliance with the applicable laws. They should ensure that they maintain public confidence in the roles and responsibilities they are required to undertake. 0ersonal and 0rofessional Standards -.% 2nspectors shall only perform services and e$press opinions based on genuine conviction and only within their areas of education, training, and e$perience. They shall remain familiar and maintain minimal skills as set out in the 6ational Dccupational &tandards for .omestic Energy #ssessors. -.4 +embers shall be ob/ective in their reporting and not knowingly understate or overstate the significance of reported information that will be presented in Energy 7erformance ertificates. -.5 +embers must not unlawfully or un/ustifiably discriminate against any individual in their practice. They must not discriminate against any individual on the basis of gender, race or disability or allow their views of the lifestyle, culture, belief, colour, gender, se$uality or age of others to pre/udice their professional practice and relationships. -.3 +embers shall perform services only in areas of their competence. +embers shall undertake to perform assignments only when qualified by education or e$perience and shall use particular care and good /udgment to achieve and maintain independence and ob/ectivity. -.: +embers shall use particular care in determining applicable any fiduciary duty and shall comply with such duty as to those persons and interests to whom it is owed. -.; # member shall not (%) commit a criminal act that upon conviction materially reflects adversely on his honesty, trustworthiness or fitness as a financial analyst in other respects, or (4) engage in conduct involving dishonesty, fraud, deceit or misrepresentation.

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-.< +embers will use reasonable care and e$ercise independent professional /udgment when conducting assessments and making recommendations, taking actions, and engaging in any professional activities. -.= +embers must use reasonable care and /udgment to achieve and maintain independence and ob/ectivity in their professional activities. +embers must not offer, solicit, or accept any gift, benefit, compensation, or consideration that could be construed to or to compromise their own independence and ob/ectivity. Confidentiality 7 Conflicts of -nterest .% +embers shall disclose to customers and clients all material conflict of interest that could reasonably be e$pected to impair their ability to render unbiased and ob/ective advice. +embers must ensure that such disclosures are prominent, are delivered in plain language, and communicate the relevant information effectively. .4 +embers shall disclose to their employer(s) all matters that could reasonably be e$pected to interfere with their duty to the employer, or with their ability to render unbiased and ob/ective advice. .5 +embers shall also comply with all requirements as to disclosure of conflicts of interest imposed in law and by rules and regulations of organisations governing the activities of .omestic Energy #ssessors activities and shall comply with any prohibitions on their activities if a conflict of interest e$ists. .3 +embers must disclose to their employer, clients, and prospective clients, as appropriate, any compensation, consideration, or benefit received from, or paid to, others for the recommendation of products or services. +embers shall not accept compensation from more than one party for the same services, or for services pertaining to the same pro/ect, unless the circumstances are fully disclosed to and agreed to, by all interested parties. .1 +embers shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties dealing with their clients or employers in connection with work for which they have recommended without disclosure and agreement with clients. -nsurance +embers must ensure that all Energy 7erformance ertificates undertaken by them are covered by adequate and appropriate indemnity insurance cover. 7rofessional indemnity insurance (722) policies provide cover for practitioners against claims for professional negligence or loss through fraud or dishonesty. ..% 722 should provide cover in respect of all civil liability incurred in connection with the conduct of a firms business by the partners (or members and designated members of a limited liability partnership), directors or employees, and '"2 must include cover against any acts of fraud or dishonesty by any partner, director or employee in respect of money or goods held in trust by a firm. The detailed provisions for professional indemnity insurance are set out in the "7,s. ..4 7ractitioners are required to provide details of their 722 and '"2 policies when applying for, or renewing, certificates8licences. 7ractitioners must keep records of insurance claims made under the policies, and these records, and the policy itself, may be inspected by # #. ..5 Those ceasing to practise must make arrangements for the continued e$istence of 722 and '"2 for a period of si$ years. This is due to the fact that claims can be made at a later date for work undertaken whilst a member was in practice.

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..3 ,esponsibility for obtaining adequate cover lies with an individual practitioner and may be effected with any reputable insurance company or underwriter. Advertising 6o other form of advertising can be more effective than +embers conducting themselves in a professional manner that will earn them a reputation of trust and endorse their abilities. The &cheme recognises that +embers will wish to advertise professional attainment as well as services that are offered. However, +embers must ensure that the following requirements are satisfied* E.% +embers shall not falsify or permit misrepresentation of their academic or professional qualifications or e$perience. E.4 +embers may advertise professional services in a way that does not contain misleading language or is in any other manner that is derogatory to the profession of .omestic Energy #ssessors. E.5 The &cheme requires +embers to advertise truthfully and honestly services offered and e$pertise advertised. They shall always comply with national standards and must be legal. #ll advertisement shall always include the +embers !icence 6umber issued by the &cheme and must include the +embers name as well as trading8company name and telephone number. E.3 +embers shall advertise any change of trading circumstances including address, telephone and other contact details. E.1 +embers must not knowingly make any misrepresentations relating to their professional services, recommendations, actions, or other professional activities. E.: #dvertising, marketing, and promotion of +embers services or qualifications shall not be fraudulent, false, deceptive, or misleading. E.; +embers shall report any incidents of substantive and willful violations of other +embers of this ode to the &cheme. Complaints 0rocedure '.% .omestic Energy #ssessors must participate in a complaints handling system as prescribed by the #ccreditation &cheme. %5.4 .omestic Energy #ssessors must ensure that* %5.4.% complaints are initially acknowledged in writing, and the acknowledgement sets out a likely timescale for resolving the complaintA %5.4.4 there is a named individual who is responsible for complaints and who has the authority to resolve complaints, if appropriateA and %5.4.5 complainants are informed that if they want to take their complaint further, the complaint can be referred to a #ccreditation &cheme complaints handling process. 'or the purposes of this policy, a complaint is deemed to be a clear e$pression of dissatisfaction with any aspect of the service provided by 2T &ervices. The policy is applicable to both internal and e$ternal customers of the 9niversity. onfidentiality will be observed wherever possible, but we cannot respond to anonymous complaints &hould you have a complaint, you should take it up with the person or section dealing with your particular issue in the first instance. This can be done in person, by telephone, eFmail, fa$ or letter. +ost complaints can be dealt with satisfactorily in this informal way, within a short timescale.

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Ehen any complaint is logged with 2T &ervices a unique reference number (ticket number) should be provided by the 2T &ervices staff member (automatically for email). This is a formal reference with 2T &ervices for your call and under which all dealings on your call will be logged. This reference number may be the same reference number given for the initial service requestA this will keep the details of the service request and the complaint together. &hould you find that your complaint has not been dealt with to your satisfaction, the person dealing with your complaint will be able to give you the name of a more senior person, who you can contact. Ehen contacting this person, you should provide them with as much information as possible about the nature of the complaint. 7lease supply as many of the following details as possible* any 2T &ervices ticket number you have when the issue first arose, referring to any communication you have already had on the matter specify in what way the contact with the original section in 2T &ervices has failed to provide a satisfactory response. Ee will endeavour to provide a response within %> working days of receiving your complaint, or, if the matter is particularly comple$, you will be given an indication of how the matter will be taken forward, and when it is e$pected to be resolved. C0,8999 ".% Engineers shall continue their professional development throughout their careers, and shall provide opportunities for the professional development of those engineers under their supervision. Engineers should keep current in their specialty fields by engaging in professional practice, participating in continuing education courses, reading in the technical literature, and attending professional meetings and seminars. 0ublicity ,easonable access should be made available for those wishing to study this ode of H.% +embers must make this ode available to a member of the public upon request. onduct.

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