UK Statutory Instrument SI 2014 United Kingdom

Energy Savings Opportunity Scheme Regulations 2014

These Regulations are made under section 2(2) of the European Communities Act 1972 and implement Article 8(4), (5) and (6) of Directive 2012/27/EU of the European Parliament and of the Council on energy efficiency, and come into force on [ ] July 2014.

Read it on legislation.gov.uk (opens in a new tab)
Enforced by
Environment Agency
Status
Amended (in force with amendments)
Penalty ceiling
Prosecution 2 of 44 obligations carry a fine up to £45,000. 5 carry different penalties and 37 have no criminal penalty — flagged in the list below.

Does it bind you?

Business-side roles with duties under this instrument.

Any Person33 Director or Officer2 Trustee1

Plus 8 duties on the regulator, Crown ministers and public bodies — folded into the section list below.

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Any Person — also bound by 2684 other Acts
Director or Officer — also bound by 482 other Acts
Companies Act 2006 126 duties
Trustee — also bound by 120 other Acts
Charities Act 2011 27 duties

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

Part 4

ESOS Assessments

3 of 3 sections shown
s.025 Energy Intensity Ratio Regulated
  • Calculate energy intensity ratio for each organisational purposeAny Person
s.027 ESOS Report Regulated
  • Prepare and submit an ESOS report for each compliance periodAny Person
s.027 Energy savings since the previous compliance date Regulated
  • Report your energy savings since the last compliance dateAny Person
Part 6

ESOS action plan and ESOS progress update

1 of 1 section shown
s.034 ESOS action plan Regulated
  • Produce and submit an ESOS action plan following notificationAny Person
Schedules

Schedules

10 of 54 shown
s.sch002 Groups of undertakings (opens in a new tab) Regulated
  • Decide how your corporate group or franchise will comply with ESOSAny Person
s.sch002 Determinations Regulated
Other duties (1) — Crown / regulator
  • Compliance body must determine membership status and notify undertakings within 10 daysStatutory regulator
s.sch002 Change of group Regulated
  • Agree new compliance arrangements if you leave your group before the deadlineAny Person
s.sch002 Any undertaking which is a member of a highest parent... Regulated
  • Comply with ESOS action plan duties if you leave your groupAny Person
s.sch002 Any undertaking which is a member of a highest parent... Regulated
  • Submit your own ESOS progress update if you leave a group without agreementAny Person
s.sch003 Information to be included in ESOS report, to be notified to scheme administrator and to be published by scheme administrator (opens in a new tab) Regulated
  • Submit energy audit data and contact details to the Scheme AdministratorAny Person
s.sch004 Appeals procedure (opens in a new tab) Regulated
  • Appeal an ESOS enforcement notice or penaltyAny Person
s.sch004 The Scottish Ministers must appoint an independent person to hear... Regulated
Other duties (1) — Crown / regulator
  • Scottish Ministers must appoint independent appeal-hearing personCrown / Minister / Government department
s.sch005 (1) Part 3 applies with the following modifications. Regulated
  • Treat each trust as a separate obligation under the ESOS schemeAny Person
s.sch005 (1) Part 4 applies with the following modifications. Regulated
  • Calculate energy consumption of relevant trust assets for ESOSAny Person
44 other schedules
s.sch001 Relevant undertakings (opens in a new tab)
s.sch001 Large undertakings, and small or medium undertakings
s.sch001 The number of persons employed by an undertaking on the...
s.sch001 Change of status
s.sch001 In paragraph 1— “ amount A ” means— where the...
s.sch001 Financial thresholds
s.sch001 Any conversion into euro of the annual turnover or the...
s.sch001 Paragraph 3 does not apply in respect of a qualification...
s.sch001 In this Schedule “turnover” has the meaning given in section...
s.sch001 In relation to an undertaking the directors of which are...
s.sch001 In relation to an undertaking the directors of which are...
s.sch001 In relation to an undertaking where individual accounts are not...
s.sch001 Employee threshold
s.sch001 For the purposes of this Schedule, a person is employed...
s.sch002 Aggregation
s.sch002 Compliance of franchise undertakings as a group
s.sch002 Where paragraph 10 applies, those franchise undertakings must agree in...
s.sch002 In these Regulations— (a) a “franchise agreement” exists where one...
s.sch002 Where paragraph 1 applies, all the highest parents in those...
s.sch002 Disaggregation
s.sch002 An undertaking may only comply with the Scheme other than...
s.sch002 Where an undertaking complies as an individual participant in accordance...
s.sch002 Where two or more undertakings comply as one participant in...
s.sch002 Where paragraph 7(a) or (b) applies, the undertaking must use...
s.sch002 Where paragraph 7(c) applies, the undertaking is the responsible undertaking...
s.sch004 This Part applies to appeals against determinations made, and enforcement...
s.sch004 The Planning Appeals Commission must as soon as is reasonably...
s.sch004 An appellant may withdraw an appeal by notifying the Planning...
s.sch004 Notice of appeal in accordance with paragraph 9 is to...
s.sch004 The Planning Appeals Commission must determine the appeal and paragraphs...
s.sch004 The Planning Appeals Commission must determine the process for determining...
s.sch004 An appeal under this Part must be accompanied by a...
s.sch004 The standard of proof to be applied by the Planning...
s.sch004 A person who wishes to appeal to the Scottish Ministers...
s.sch004 The Scottish Ministers must as soon as is reasonably practicable...
s.sch004 An appellant may withdraw an appeal by notifying the Scottish...
s.sch004 Notice of appeal in accordance with paragraph 3 is to...
s.sch004 The standard of proof to be applied by the Scottish...
s.sch004 This Part applies to appeals against determinations made, and enforcement...
s.sch004 A person who wishes to appeal to the Planning Appeals...
s.sch005 Modification of the application of these Regulations in relation to certain relevant trust assets (opens in a new tab)
s.sch005 (1) Part 6 applies with the following modifications.
s.sch005 (1) Part 6 applies with the following modifications—
s.sch005 (1) Schedule 3 applies with the following modifications—
s.003 Duty to review Regulated
Other duties (1) — Crown / regulator
  • Secretary of State must review the Energy Savings Opportunity SchemeCrown / Minister / Government department
s.007 Co-operation and sharing of information Regulated
Other duties (1) — Crown / regulator
  • Compliance bodies must cooperate and share informationStatutory regulator
s.008 Notification System Regulated
Other duties (1) — Crown / regulator
  • Environment Agency must provide a system for ESOS notificationsStatutory regulator
s.009 Provision of information to the Secretary of State Regulated
Other duties (1) — Crown / regulator
  • Scheme administrator must provide ESOS information to the Secretary of StateStatutory regulator
s.010 Publication of information Regulated
Other duties (1) — Crown / regulator
  • Environment Agency must publish ESOS compliance and action plan dataStatutory regulator
s.012 Approval bodies and approved registers Regulated
  • Maintain approved registers of energy assessors and oversee competenciesAny Person
s.013 Reviews of approval Regulated
Other duties (1) — Crown / regulator
  • Environment Agency must review lead assessor approval bodies and registersStatutory regulator
s.017 Participants Regulated
  • Comply with ESOS as a group or individual participantAny Person
s.020 Duty to carry out ESOS assessment Regulated
  • Carry out an ESOS energy assessmentAny Person
s.021 Role of the lead assessor Regulated
  • Appoint a lead assessor for ESOS assessment and ensure reviewAny Person
s.022 Duty to calculate total energy consumption Regulated
  • Calculate your business's total energy consumption for ESOSAny Person
s.023 Energy consumption – general Regulated
  • Calculate your energy consumption using one method and verifiable dataAny Person
s.026 Duty to carry out an energy audit Regulated
  • Carry out a mandatory energy auditAny Person
s.028 Evidence packs Prosecution
  • Maintain an ESOS evidence packAny Person

Fine up to £5,000

s.029 Notification of compliance Prosecution
  • Notify the Environment Agency of ESOS complianceAny Person

Fine up to £45,000

s.030 Responsible officers Regulated
  • Appoint responsible officers for ESOS assessmentsDirector or Officer
s.031 Confirmation to be given by responsible officer Regulated
  • Ensure a responsible officer signs off your ESOS compliance notificationDirector or Officer
s.034 Display Energy Certificates and Green Deal Assessments Regulated
  • Use existing energy certificates to satisfy ESOS requirementsAny Person
s.037 Other information Regulated
  • Notify the scheme administrator of any breaches of the ESOS RegulationsAny Person
s.039 Penalty notices Prosecution
  • Breach of Energy Savings Opportunity Scheme (ESOS) regulationsAny Person

Unlimited fine

s.041 Effect of publication penalty Regulated
  • Public naming and shaming for energy audit failuresAny Person
s.045 Failure to undertake an energy audit Prosecution
  • Fail to carry out a required energy auditAny Person

Fine up to £90,000

s.046 Failure to comply with notice Prosecution
  • Fail to comply with an ESOS enforcement or penalty noticeAny Person

Fine up to £45,000

s.047 False or misleading statement Prosecution
  • Provide false or misleading informationAny Person

Fine up to £50,000

s.053 Participants and responsible undertakings in relation to relevant trust assets Regulated
  • Establish responsibility for ESOS compliance regarding trust assetsTrustee
s.amount of energy consumption related to organisati Amount of energy consumption related to organisational purposes Regulated
  • Calculate and categorise energy consumption by organisational purposeAny Person
s.conversion into kwh units Conversion into kWh units Regulated
  • Convert energy consumption data into kWh unitsAny Person
s.disclosure of information to group undertaking Disclosure of information to group undertaking Regulated
  • Share relevant ESOS report and evidence pack sections with group companiesAny Person
s.esos progress update ESOS progress update Regulated
  • Submit ESOS progress updates on energy saving actionsAny Person
s.estimates Estimates Regulated
  • Record estimation methods and notify the scheme administratorAny Person
32 other provisions
s.001 Citation and commencement
s.002 Interpretation
s.004 Compliance periods
s.005 Scheme administrator
s.006 Compliance bodies
s.011 Lead assessors
s.014 Appeals
s.015 Relevant undertakings
s.016 Excluded undertakings
s.018 Role of the responsible undertaking
s.019 Determination of the responsible undertaking
s.024 Energy consumption - transport
s.025 Identification of areas of significant energy consumption
s.027 Identification of energy saving opportunities
s.032 Energy consumption not subject to audit
s.033 Compliance with ISO 50001
s.035 Compliance notices
s.036 Inspection
s.038 Enforcement notices
s.040 Effect and recovery of financial penalty
s.042 Discretion in waiving, imposition and modification of civil penalties
s.043 Failure to notify
s.044 Failure to maintain records
s.048 Appeals
s.049 Effect of an appeal
s.050 Determination of an appeal
s.051 Service of documents
s.052 Relevant trust assets
s.energy intensity ratio Energy Intensity Ratio
s.energy savings since the previous compliance date Energy savings since the previous compliance date
s.esos action plan ESOS action plan
s.esos report ESOS Report

Help complying

Guvnor’s practical routes through this instrument.

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2 more guides that reference this instrument
Run a heat network or steam supply business SECR and ESOS - energy and carbon reporting

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.