GD CAP01 Accepted Approach to
Installer Surveillance Evaluation
Version 2.0
GD CAP01 Accepted Approach to Installer Surveillance Evaluation
Version 2.0
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Table of Contents
TABLE OF CONTENTS ............................................................................................. 2
OVERVIEW OF COMMONLY AGREED POSITIONS ................................................ 4
CONTEXT .................................................................................................................. 5
CURRENT REQUIREMENTS .................................................................................... 6
COMMONLY AGREED POSITION ............................................................................ 7
DOCUMENT CONTROL ............................................................................................ 9
GD CAP01 Accepted Approach to Installer Surveillance Evaluation
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GD CAP01 Accepted Approach to Installer Surveillance Evaluation
Applies to
Green Deal Installer Certification Bodies
Agreed by
Green Deal Installer Certification Bodies
Date of approval
22nd November 2013
Date of implementation
2nd December 2013
Date of withdrawal
n/a
Other relevant
documents
PAS 2030: 2012 Edition 2 and PAS 2031: 2012
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Overview of Commonly Agreed Positions
A Commonly Agreed Position (CAP) represents an approach agreed by the stakeholders
to whom it applies, or agreed on their behalf by the relevant Green Deal ORB Stakeholder
Forum. CAPs are clarifications as to how affected parties have agreed to interpret and
comply with requirements of Green Deal legislation, governance and standards. In some
circumstances they may introduce requirements that are additional to those documents,
and in such circumstances the CAP will be included in the scope of the audit by the
relevant certifying, accrediting or authorising body/ bodies. Where such a CAP is agreed
the relevant agreeing body should also recommend to the appropriate governing body
changes to the relevant legislation, governance or standards to reflect the CAP.
A CAP may be withdrawn by DECC or the GD ORB, who will usually consult the relevant
stakeholders or stakeholder forum before doing so.
For the avoidance of doubt, in any circumstance where a CAP may contradict relevant
legislation and/or governance of standards documents, those original documents shall
take precedence over the CAP.
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Context
PAS 2031 states: ‘Surveillance evaluation of certified EEM installation service processes
and deliveries shall be undertaken at intervals not exceeding 16 months’. At the Green
Deal Certification Body Forum (GD CBF03) held on 24 April 2013, a question was raised
as to whether an Installer’s certification should be withdrawn if they did not carry out any
work under Green Deal, even if it was PAS 2030 work under ECO. It was noted that this
was not necessarily compulsory, because the wording as it stands would allow for
‘analogous’ work to be assessed, but members questioned whether this was acceptable to
UKAS.
The purpose of this Commonly Agreed Position (CAP) is to clarify surveillance
requirements under the Green Deal.
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Current Requirements
PAS 2030 states that ‘compliance with this PAS requires that for each installation, the
Installation Company has to meet all the requirements of Clauses 1 to 8 of PAS 2030
together with all those set out in the Annex relevant to each measure to be installed.’
PAS 2031 outlines the surveillance requirements for installation service process/ delivery
evaluation:
 The certification body shall review and evaluate not less than 1% per annum
(minimum of 1) of the installer’s recorded installation processes in relation to each of
the measures for which the installer has been certificated, to establish whether or not
they comply with the requirements of Clauses and Sub-clauses 4, 5.1 to 5.6, 5.8 and
7 and the relevant measure-specific Annex(es) of PAS 2030.
 The certification body shall undertake on-site evaluation of not less than 1% per
annum (minimum of 1) of the installer’s installations in relation to, and representative
of, the range of the measures for which the installer has been certificated, ensuring
that each measure type is evaluated at least once in any three-year period to
establish whether or not they are being carried out in accordance with Clause 4 and
the relevant measure-specific Annex(es) of PAS 2030.
The surveillance evaluation of PAS 2030 certified Installers is conducted in line with the
requirements of PAS 2031 section 5.2 (outlined above). With respect to those scheme
requirements, the following applies:
 A Green Deal Installer must be PAS 2030 certified and therefore is subject to PAS
2031 surveillance evaluation requirements in order to maintain its certification.
 As PAS 2030 does not differentiate installations carried out under the Green Deal or
ECO (but it includes additional specific references in relation to requirements under
the Green Deal), the sample of 1% per annum includes all installations carried out
under PAS 2030 certification whether under the Green Deal or other arrangements.
 The method for determining whether an installation was carried out under PAS 2030
is set out in PAS 2030 Clause 7 – Claims of Conformity.
 Where the installation has been carried out by a PAS 2030 certified installer under the
Green Deal, the Certification Body shall ensure that the additional Green Deal specific
requirements are captured within the installation service process/ delivery evaluation.
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Commonly Agreed Position
1. If a certified installer has carried out one or more PAS 2030 installation(s) under the
Green Deal during the relevant period, then in selecting installations to audit the
Certification Body will ensure it includes in its sampling a proportionate sample of Green
Deal installations. For example, if an installation company has completed 1,000 PAS
2030 installations in the period, 400 of which are Green Deal, and it the Certification
Body is sampling 1% of the total (i.e. 10), it should ensure that its sample includes also
at least 1% Green Deal installations (i.e.at least 4 from the 400).
2. If a certified Installer has not carried out any installation under Green Deal in the period,
but has done a number of (or at least one) installation(s) during the relevant period for
which conformity to PAS 2030 is claimed, those installations are subject to surveillance
evaluation. This can be used as evidence towards renewing the installation company’s
certification, in lieu of being able to carry out surveillance on Green Deal installations.
3. In circumstances where the Installer has carried out no installations during the relevant
period for which conformity to PAS 2030 is claimed, and where the company has in the
period completed analogous installations, the Certification Body shall do the following:
3.1. For EEMs for which the Installer is certified, but not carried out any installations
under PAS 2030, review a sufficient sample of the analogous installations such that
the Certification Body believes it appropriate to maintain the certification;
3.2. Require the Installer to notify the Certification Body as soon as it is contracted to
carry out an installation of such EEMs for which conformity to PAS 2030 is intended
to be claimed, giving the Certification Body the opportunity to use that work as the
sample for its inspection;
3.3. Make all reasonable efforts to assess the Installer’s compliance with PAS 2030 for
the notified work as soon as possible; and
3.4. Repeat the above for each EEM within the scope of the Installer’s certification,
recognising that it is acceptable for multiple EEMs to be present and assessed on
one installation.
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4. In circumstances where the Installer has carried out no installations under PAS 2030
during the relevant period, and where the Installer has in the period completed no
analogous installations, the surveillance may proceed on the basis of a desktop review
of capability at the Company’s office, subject to:
4.1. The Company agreeing to notify the Certification Body as soon as it is contracted to
carry out analogous work or to carry out installation of such EEMs, for which
conformity to PAS 2030 is intended to be claimed. When such installation work goes
ahead, an additional site assessment shall be required
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Document Control
Version Date
V 0.1
23/10/13
Reason for
Change
First draft
V 0.2
13/11/13
Second draft for GD
CB Forum
ratification
V 1.0
2/12/13
Publish and
implement
V 2.0
23/04/2014 Reference added
Change made by
Change Details
GD ORB
First draft
Clause numbering
corrected and
implementation date
added
Approved for
publication
Reference to a
capability study
added to section 4.
GD CB Forum
GD CB Forum
GD CB Forum
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