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Statutory Instruments

2007 No. 991

building AND Buildings, ENGLAND AND WALES

The Energy Performance of Buildings (Certificates and Inspections) (England and Wales) Regulations 2007

Made

23rd March 2007

Laid before Parliament

29th March 2007

Coming into force in accordance with regulation

The Secretary of State is a Minister designated(1) for the purposes of section 2(2) of the European Communities Act 1972(2) in relation to measures relating to the energy performance of buildings.

In accordance with section 14(3) of the Building Act 1984(3) she has consulted the Building Regulations Advisory Committee and such other bodies as appear to her to be representative of the interests concerned.

The Secretary of State makes the following Regulations in exercise of the powers conferred by section 2(2) of the European Communities Act 1972 and by sections 1(1), 8(6), 35 and 47 of, and paragraphs 1, 2, 4, 7, 8 and 10 of Schedule 1 to, the Building Act 1984(4).

Modifications etc. (not altering text)

C2Regulations: power to amend conferred (21.3.2012 for specified purposes, 28.1.2013 in so far as not already in force) by Energy Act 2011 (c. 16), ss. 9(2), 121(1) (with ss. 40, 41); S.I. 2012/873, art. 3(1)(b)(2); S.I. 2013/125, art. 2(b)

PART 1E+WIntroductory

Citation, application, extent and commencementE+W

1.—(1) These Regulations may be cited as the Energy Performance of Buildings (Certificates and Inspections) (England and Wales) Regulations 2007.

(2) Subject to regulation 4, and notwithstanding section 4 of the Building Act 1984(5), these Regulations, other than regulation 8, apply to all buildings including buildings which are exempt from building regulations by virtue of that section.

(3) These Regulations extend to England and Wales.

(4) Each provision of these Regulations mentioned in column 3 of the Table in Schedule 1 shall come into force on the date mentioned in column 2 of that Table, for the purposes mentioned in column 4.

Commencement Information

I1Reg. 1 in force at 19.4.2007, see reg. 1(4), Sch. 1

InterpretationE+W

2.—(1) In these Regulations—

“accreditation scheme” means a scheme approved by the Secretary of State in accordance with—

(a)

regulation 25; or

(b)

regulation [F130 of the Building Regulations 2010];

“advisory report” means a report issued by an energy assessor pursuant to regulation 19;

“air-conditioning system” means a combination of all the components required to provide a form of air treatment in which the temperature is controlled or can be lowered, and includes systems which combine such air treatment with the control of ventilation, humidity and air cleanliness;

“asset rating” means a numerical indicator of the amount of energy estimated to meet the different needs associated with a standardised use of a building, calculated according to the methodology approved by the Secretary of State pursuant to regulation [F224 of the Building Regulations 2010];

[F3“authorised recipient” means—

(a)

either House of Parliament (or a member or officer thereof);

(b)

a government department;

(c)

a person or body (other than a government department or the Welsh Ministers) to which section 6 of the National Audit Act 1983(1) applies;

(d)

the Welsh Ministers;

(e)

the National Assembly for Wales;

(f)

the Scottish Parliament, the Scottish Executive, an office-holder in the Scottish Administration or a Scottish Public Authority;

(g)

the Northern Ireland Assembly or a Northern Ireland Department;

(h)

a county council, district council or parish council in England;

(i)

a London borough council;

(j)

the Common Council of the City of London;

(k)

the Greater London Authority;

(l)

a local authority within the meaning of section 61 of the Local Government in Scotland Act 2003;

(m)

a local authority within the meaning of section 175 of the Local Government (Wales) Measure 2011;

(n)

a council of a district or borough within the meaning of the Local Government Act (Northern Ireland) 1972;

(o)

a university, including a university college (or any institution in the nature of a college in a university) or a school or hall of a university;

(p)

a provider of higher education as defined in section 579(1) of the Education Act 1996(7) (“the 1996 Act”) (other than one mentioned in paragraph (o) above);

(q)

a provider of further education as defined in section 2(3) to (5) of the 1996 Act;

(r)

a charity whose purposes include—

(i)

the conduct of research into the earth’s climate or environment or research into the construction, design or use of buildings, or

(ii)

the promotion of energy efficiency in buildings;

(s)

a registered provider of social housing;

(t)

a person who operates an accreditation scheme approved by the Secretary of State under regulation 25;

(u)

a green deal relevant person;

(v)

the holder of a licence under section 6(1)(c) or (d) of the Electricity Act 1989(9) (distribution and supply licences) which has been modified by the Secretary of State under section 41(1) of the Energy Act 2008 (power to amend licence conditions etc: feed-in tariffs); and

(w)

a person (other than a natural person) who is certificated under the scheme known as the “Microgeneration Certification Scheme,]

“building” means a roofed construction having walls, for which energy is used to condition the indoor climate, and a reference to a building includes a reference to a part of building which has been designed or altered to be used separately;

[F4“bulk access data” means any data entered onto a register as required by regulation 31(2);]

“display energy certificate” means a certificate which complies with regulation 17;

“dwelling” means a building or part of a building occupied or intended to be occupied as a separate dwelling;

“energy assessor” means an individual who is a member of an accreditation scheme;

“energy performance certificate” means a certificate which complies with regulation 11(1) of these Regulations or regulation [F529 of the Building Regulations 2010];

[F6“general access data” means information that is required by these Regulations to be included in an energy performance certificate, a display energy certificate or an inspection report, or is included in a recommendation report or an advisory report;]

[F6“green deal relevant person” means a person who, after the coming into force of framework regulations made under section 3(1) of the Energy Act 2011—

(a)

is authorised by the Secretary of State to act as a green deal provider pursuant to those regulations,

(b)

is a body specified or authorised for the purposes of subsection (1)(a) of that section, or

(c)

operates a scheme for the purpose of assessing whether persons are qualified to act as advisors in relation to green deal plans;]

[F6“green deal plan” means an energy plan which is a green deal plan in accordance with section 1(3) of the Energy Act 2011;]

F7...

“inspection report” means a report issued by an energy assessor in accordance with regulation 22(1);

[F8“keeper of the register” means the Secretary of State, or the person keeping a register on the Secretary of State’s behalf;]

“penalty charge notice” means a notice given pursuant to regulation 40;

[F9“personal data” has the meaning given in section 1(1) of the Data Protection Act 1998(12);]

“recommendation report” means the recommendation report required by regulation 10, and includes a report issued by an energy assessor for the purposes of regulation [F1029(5) of the Building Regulations 2010] F11...;

[F12“register” means a register required to be maintained under regulation 31;]

“relevant person” means—

(a)

in relation to a building which is to be sold, the seller;

(b)

in relation to a building which is to be rented out, the prospective landlord;

(c)

in relation to a building in circumstances where regulation 9 applies, the person responsible for carrying out the construction work; and

(d)

in relation to an air-conditioning system, the person who has control of the operation of the system.

F13...

(2) Unless otherwise defined in these Regulations, terms used in these Regulations have the same meaning as in European Parliament and Council Directive 2002/91/EC on the energy performance of buildings(6).

Textual Amendments

Commencement Information

I2Reg. 2 in force at 19.4.2007, see reg. 1(4), Sch. 1

Meaning of “prospective buyer or tenant”E+W

3.  A person becomes a prospective buyer or tenant in relation to a building when he—

(a)requests any information about the building from the relevant person or his agent for the purpose of deciding whether to buy or rent the building;

(b)makes a request to view the building for the purpose of deciding whether to buy or rent the building; or

(c)makes an offer, whether oral or written, to buy or rent the building.

Commencement Information

I3Reg. 3 in force at 19.4.2007, see reg. 1(4), Sch. 1

PART 2E+WDuties relating to energy performance certificates

Application of Part 2E+W

4.—(1) This Part does not apply to—

(a)buildings which are used primarily or solely as places of worship;

(b)temporary buildings with a planned time of use of two years or less, industrial sites, workshops and non-residential agricultural buildings with low energy demand;

(c)stand-alone buildings with a total useful floor area of less than 50m2 which are not dwellings.

(2) Nothing in this Part requires an energy performance certificate to be given or made available to a prospective buyer or tenant at any time before the construction of the building has been completed.

Commencement Information

I4Reg. 4 in force at 19.4.2007, see reg. 1(4), Sch. 1

Energy performance certificates on sale and rentE+W

5.—(1) Subject to regulation 7, this regulation applies where a building is to be sold or rented out.

(2) The relevant person shall make available free of charge a valid energy performance certificate to any prospective buyer or tenant—

(a)at the earliest opportunity; and

(b)in any event F14..., no later than whichever is the earlier of—

(i)in the case of a person who requests information about the building, the time at which the relevant person first makes available any information in writing about the building to the person; or

(ii)in the case of a person who makes a request to view the building, the time at which the person views the building.

(3) Paragraph (2) does not apply if the relevant person believes on reasonable grounds that the prospective buyer or tenant—

(a)is unlikely to have sufficient means to buy or rent the building;

(b)is not genuinely interested in buying or renting a building of a general description which applies to the building; or

(c)is not a person to whom the relevant person is likely to be prepared to sell or rent out the building.

(4) Nothing in paragraph (3) authorises the doing of anything which constitutes an unlawful act of discrimination.

(5) The relevant person must ensure that a valid energy performance certificate has been given free of charge to the person who ultimately becomes the buyer or tenant.

Textual Amendments

Commencement Information

I5Reg. 5 in force at 1.6.2007 for specified purposes, see reg. 1(4), Sch. 1

I6Reg. 5 in force at 1.10.2007 for specified purposes, see reg. 1(4), Sch. 1

I7Reg. 5 in force at 6.4.2008 for specified purposes, see reg. 1(4), Sch. 1

I8Reg. 5 in force at 1.10.2008 in so far as not already in force, see reg. 1(4), Sch. 1

[F15Energy performance certificates on marketingE+W

5A.—(1)  Subject to regulation 7, this regulation applies where—

(a)a F16... [F17building] is to be sold [F18or rented out]; and

(b)no valid energy performance certificate is available for that [F17building].

(2) Before the [F17building] is put on the market, the [F19relevant person] must secure that an energy performance certificate is commissioned for the [F17building].

(3) Before marketing the [F17building], a person acting on behalf of the [F19relevant person] must be satisfied that an energy performance certificate has been commissioned for the [F17building].

(4) The [F19relevant person] and a person acting on behalf of the [F19relevant person] must use all reasonable efforts to secure that a valid energy performance certificate is obtained for the [F17building] before the end of a period of [F207] days starting with the day on which the [F17building] was first put on the market.

[F21(4A) Where any person subject to the duty in paragraph (4) is unable, despite using all reasonable efforts, to secure that a valid energy performance certificate is obtained for the building before the end of the 7 day period specified in that paragraph, the person shall secure that the certificate is obtained before the end of the period of 21 days immediately following the 7 day period.]

(5) In this regulation—

(a)the market” means the F22... property market in England and Wales;

(b)a F23... [F17building] is put on the market when the fact that it is or may become available for sale [F24or rent] is, with the intention of marketing the [F17building], first made public in England and Wales by or on behalf of the [F19relevant person];

(c)a fact is made public when it is advertised or otherwise communicated (in whatever form and by whatever means) to the public or to a section of the public;

(d)an energy performance certificate is commissioned when a request is made—

(i)which is properly addressed to an energy assessor who is accredited to produce energy performance certificates for the category of building in question, and

(ii)which is in such form, contains all such information and is accompanied by such payment or undertaking to make such payment as is usually necessary to obtain a certificate.]

Textual Amendments

Providing energy information with particularsE+W

6.—(1) Subject to regulation 7, this regulation applies where—

[F25(a)a [F26building] is to be sold [F27or rented out];]

(b)written particulars about the building are prepared for the purpose of providing information about the building to persons who may be interested in buying [F28or renting] F29... the building; and

(c)the written particulars are given to such a person by—

(i)the relevant person; or

(ii)another person on his behalf.

(2) [F30Once a valid energy performance certificate has been obtained for the building, the person] giving the particulars must ensure that—

F31(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)a copy [F32of the first page] of an energy performance certificate for the building is attached to the particulars.

(3) In this regulation—

[F33written particulars” means—

(a)

in relation to a building to be sold, any written description of the property which includes at least two of the following—

(i)

a photograph of the building or any room in the building,

(ii)

a floor plan of the building,

(iii)

the size of the rooms in the building, or

(iv)

the measured area of the building;

(b)

in relation to a building to be rented out, any written description of the property which includes at least two of the following—

(i)

a photograph of the building or any room in the building,

(ii)

a floor plan of the building,

(iii)

the size of the rooms in the building, or

(iv)

the measured area of the building; or

(v)

the proposed rent;

and reference to written particulars or a written description includes particulars or a description given or made available electronically.]

[F34(4)  Where the written particulars are made available and the address of the building is not included in those particulars, the person giving the particulars may, pursuant to paragraph (2), attach a copy of the first page of an energy performance certificate from which the keeper of the register has omitted the address of the building, notwithstanding the requirement to include the address imposed by regulation 11(1)(d)(ii).

(5)  Paragraph (4) does not apply in relation to residential property.

(6)  Paragraph (4) does not permit the omission of the address of the building from an energy performance certificate in any circumstances other than those mentioned in that paragraph.

(7)  In this regulation—

“residential property” means premises in England and Wales consisting of a single dwelling, including ancillary land.]

Textual Amendments

Commencement Information

I9Reg. 6 in force at 1.6.2007, see reg. 1(4), Sch. 1

Buildings to be demolishedE+W

7.—(1) Regulations 5 [F35, 5A] and 6 do not apply in relation to a dwelling which is to be sold or rented out where the relevant person can demonstrate that—

(a)the dwelling is suitable for demolition;

(b)the resulting site is suitable for redevelopment;

(c)all the relevant planning permissions, listed building consents, and conservation area consents exist in relation to the demolition; and

(d)in relation to the redevelopment—

(i)either outline planning permission or planning permission exists, or both; and

(ii)where relevant, listed building consent exists.

(2) Regulation 5 does not apply in relation to any prospective buyer or tenant of a building other than a dwelling which is to be sold or rented out where—

(a)the relevant person can demonstrate that—

(i)the building is to be sold or rented out with vacant possession;

(ii)the building is suitable for demolition; and

(iii)the resulting site is suitable for redevelopment; and

(b)the relevant person believes on reasonable grounds that the prospective buyer or tenant intends to demolish the building.

[F36(2A) Regulations 5A and 6 do not apply in relation to a building other than a dwelling which is to be sold or rented out where the relevant person can demonstrate that—

(a)the building is to be sold or rented out with vacant possession;

(b)the building is suitable for demolition;

(c)the resulting site is suitable for redevelopment;

(d)all the relevant planning permissions, listed building consents and conservation area consents exist in relation to the demolition; and

(e)in relation to the redevelopment—

(i)either outline planning permission or planning permission exists, or both; and

(ii)where relevant, listed building consent exists.]

(3) In this regulation, “outline planning permission” has the same meaning as in article 1(2) of the Town and Country Planning (General Development Procedure) Order 1995(7).

Textual Amendments

Commencement Information

I10Reg. 7(1)(3) in force at 1.6.2007 for specified purposes, see reg. 1(4), Sch. 1

I11Reg. 7(1)(3) in force at 1.10.2007 for specified purposes, see reg. 1(4), Sch. 1

I12Reg. 7(2) in force at 6.4.2008 for specified purposes, see reg. 1(4), Sch. 1

I13Reg. 7 in force at 1.10.2008 in so far as not already in force, see reg. 1(4), Sch. 1

Amendments relating to energy performance certificates on constructionE+W

F378.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Construction of Crown and statutory undertakers’ buildingsE+W

9.—(1) Paragraph (2) applies to all buildings in relation to which the Building Regulations [F382010] do not apply, other than—

(a)buildings which are exempt from those Regulations by virtue of regulation [F3921] of those Regulations;

F40(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F40(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F40(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) When a building is constructed the relevant person shall, no later than five days after the construction work has been completed, give to the owner of the building an energy performance certificate for the building.

Textual Amendments

Commencement Information

I14Reg. 9 in force at 1.10.2007 for specified purposes, see reg. 1(4), Sch. 1

I15Reg. 9 in force at 6.4.2008 in so far as not already in force, see reg. 1(4), Sch. 1

Recommendation reportsE+W

10.—(1) Where a relevant person is under a duty under regulation 5(2), 5(5) or 9(2) to make available or give an energy performance certificate to any person, the certificate must be accompanied by a recommendation report.

(2) A recommendation report is a report containing recommendations for the improvement of the energy performance of the building issued by the energy assessor who issued the energy performance certificate.

Commencement Information

I16Reg. 10 in force at 19.4.2007, see reg. 1(4), Sch. 1

Energy performance certificatesE+W

11.—(1) An energy performance certificate must—

(a)express the asset rating of the building in a way approved by the Secretary of State under regulation [F4124 of the Building Regulations 2010];

(b)include a reference value such as a current legal standard or benchmark;

(c)be issued by an energy assessor who is accredited to produce energy performance certificates for that category of building; and

(d)include the following information—

(i)the reference number under which the certificate has been registered in accordance with regulation 31;

(ii)the address of the building;

(iii)an estimate of the total useful floor area of the building; [F42and]

F43(iv). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F44(v). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(vi)the date on which it was issued [F45.]

F46(vii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) A certificate which complies with regulation [F4729 of the Building Regulations 2010] is also an energy performance certificate.

(3) [F48An] energy performance certificate is only valid for the purposes of this Part if—

(a)it was issued no more than 10 years before the date on which it is made available; and

(b)no other energy performance certificate for the building has since been obtained by or provided to the relevant person.

F49(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F49(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) An energy performance certificate must not contain any information or data [F50(except for the address of the building)] from which a living individual (other than the energy assessor or his employer) can be identified.

(7) Certification for apartments or units designed or altered for separate use in blocks may be based—

(a)except in the case of a dwelling, on a common certification of the whole building for blocks with a common heating system; or

(b)on the assessment of another representative apartment or unit in the same block.

(8) Where—

(a)a block with a common heating system is divided into parts designed or altered for separate use; and

(b)one or more, but not all, of the parts are dwellings,

certification for those parts which are not dwellings may be based on a common certification of all the parts which are not dwellings.

Textual Amendments

Commencement Information

I17Reg. 11 in force at 19.4.2007, see reg. 1(4), Sch. 1

Production of copies of energy performance certificatesE+W

12.  Where this Part requires a relevant person to give or make available a valid energy performance certificate to any person, it is sufficient for the relevant person to give or make available a copy of a valid certificate.

Commencement Information

I18Reg. 12 in force at 19.4.2007, see reg. 1(4), Sch. 1

Electronic production of energy performance certificatesE+W

13.  Where regulation 5(2), 5(5) or 9(2) requires a valid energy performance certificate to be given or made available to any person, the certificate may be given or made available electronically if the intended recipient consents to receiving the certificate electronically.

Commencement Information

I19Reg. 13 in force at 19.4.2007, see reg. 1(4), Sch. 1

Purposes for which certificates and recommendation reports may be disclosedE+W

F5114.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

PART 3E+WDisplay Energy Certificates

Interpretation of Part 3E+W

15.  In this Part—

“nominated date”, in relation to a display energy certificate, means a date no later than three months after the end of the period over which the operational rating is calculated, which is nominated by the energy assessor who issued the certificate; and

“operational rating” means a numeric indicator of the amount of energy consumed during the occupation of the building over a period of 12 months (unless regulation 18(4) applies) ending no earlier than three months before the nominated date, calculated according to the methodology approved by the Secretary of State for the purposes of regulation [F5224 of the Building Regulations 2010].

Textual Amendments

Commencement Information

I20Reg. 15 in force at 19.4.2007, see reg. 1(4), Sch. 1

Duties relating to display energy certificates and advisory reportsE+W

16.—(1) This regulation applies to buildings with a total useful floor area over 1,000m2 occupied by public authorities and by institutions providing public services to a large number of persons and therefore frequently visited by those persons.

(2) Except where regulation 18(3) applies, on and after [F531st October 2008] every occupier of any building to which this regulation applies must—

(a)have in its possession or control at all times a valid advisory report; and

(b)display at all times a valid display energy certificate in a prominent place clearly visible to the public.

(3) A display energy certificate is valid for a period of 12 months beginning with the nominated date.

(4) An advisory report is valid for a period of seven years beginning with the date it is issued.

Textual Amendments

Commencement Information

I21Reg. 16 in force at 19.4.2007, see reg. 1(4), Sch. 1

Display energy certificatesE+W

17.—(1) A display energy certificate must—

(a)subject to regulation 18, express—

(i)the operational rating; and

(ii)the asset rating,

of the building in ways approved by the Secretary of State under regulation [F5424 of the Building Regulations 2010];

(b)show the operational ratings for the building which were expressed in any certificates displayed by the occupier during the two years before the nominated date;

(c)include a reference value such as a current legal standard or benchmark;

(d)be issued by an energy assessor who is accredited to produce display energy certificates for that category of building;

(e)include the following information—

(i)the reference number under which the certificate has been registered in accordance with regulation 31;

(ii)the address of the building;

(iii)F55... the total useful floor area of the building;

(iv)the name of the energy assessor who issued it;

(v)the name and address of the energy assessor’s employer, or, if he is self-employed, the name under which he trades and his address;

(vi)the date on which it was issued;

(vii)the nominated date; and

(viii)the name of the approved accreditation scheme of which the energy assessor is a member.

Textual Amendments

Commencement Information

I22Reg. 17 in force at 19.4.2007, see reg. 1(4), Sch. 1

Changes in occupier etcE+W

18.—(1) Subject to paragraph (4), regulation 17(1)(a)(i) does not apply in relation to a display energy certificate which is displayed by an occupier of a building at any time before it has been in occupation of the building for 15 months.

(2) Regulation 17(1)(a)(ii) does not apply in relation to a display energy certificate which is displayed by an occupier who—

(a)entered into occupation of the building before [F561st October 2008]; or

(b)entered into occupation on or after that date but did not have an energy performance certificate complying with regulation 11 made available or given to it.

(3) In the period up to and including 3rd January 2009, where neither regulation 17(1)(a)(i) nor (ii) applies in relation to a display energy certificate, the duties in regulation 16(2) do not apply.

(4) Where on 4th January 2009—

(a)the occupier of a building has been in occupation for less than 15 months; and

(b)by virtue of paragraph (2) regulation 17(1)(a)(ii) does not apply,

the operational rating specified for the purposes of regulation 17(1)(a)(i) may be calculated over the period in which the occupier has been in occupation.

Textual Amendments

Commencement Information

I23Reg. 18 in force at 19.4.2007, see reg. 1(4), Sch. 1

Advisory reportsE+W

19.  An advisory report is a report issued by an energy assessor after his assessment of the building, which contains recommendations for improvement of the energy performance of the building.

Commencement Information

I24Reg. 19 in force at 19.4.2007, see reg. 1(4), Sch. 1

PART 4E+WInspection of air-conditioning systems

Application and interpretation of Part 4E+W

20.—(1) This Part applies to air-conditioning systems with an effective rated output of more than 12kW.

(2) Where the relevant person has the power to control the temperature of more than one individual air-conditioning unit in a building, each unit shall be considered to be a component of a single air-conditioning system for the purposes of paragraph (1).

(3) In this Part “effective rated output” means the maximum calorific output specified and guaranteed by the manufacturer of the system as being deliverable during continuous operation while complying with the useful efficiency indicated by the manufacturer.

Commencement Information

I25Reg. 20 in force at 1.1.2008, see reg. 1(4), Sch. 1

Inspections of air-conditioning systemsE+W

21.—(1) It is the duty of the relevant person in relation to an air-conditioning system to which this Part applies to ensure that the system is inspected by an energy assessor at regular intervals not exceeding five years.

(2) The first inspection of the system must take place before the relevant date.

(3) In this regulation “the relevant date”—

(a)where the system is first put into service on or after 1st January 2008, means the last day of the period of five years beginning with the date on which the system is first put into service; and

(b)where paragraph (a) does not apply—

(i)in the case of a system with an effective rated output of more than 250kW, means 4th January 2009; or

(ii)in the case of a system with an effective rated output of more than 12kW, means 4th January 2011.

Commencement Information

I26Reg. 21 in force at 1.1.2008, see reg. 1(4), Sch. 1

ReportsE+W

22.—(1) Where an energy assessor undertakes an inspection of the system he must make a written report of the inspection and give it to the relevant person as soon as practicable after completing the inspection.

(2) The inspection report must include an assessment of the air-conditioning efficiency and the sizing of the system compared to the cooling requirements of the building, and contain appropriate advice on possible improvements to the system, replacement of the system and alternative solutions.

[F57(3) The inspection report must be in a form including the following information—

(a)the reference number under which the report has been registered in accordance with regulation 31;

(b)the address of the building in which the system is located;

(c)the name of the energy assessor;

(d)the name and address of the energy assessor’s employer, or, if such a person is self-employed, the name under which that person trades and their address;

(e)the date on which the inspection occurred and;

(f)the name of the approved accreditation scheme of which the energy assessor is a member.]

Textual Amendments

Commencement Information

I27Reg. 22 in force at 1.1.2008, see reg. 1(4), Sch. 1

Keeping of records etcE+W

23.—(1) The relevant person must keep the most recent inspection report made by an energy assessor pursuant to regulation 22.

(2) Where the relevant person changes, the previous relevant person must give to the new relevant person any inspection report kept by him under this regulation.

Commencement Information

I28Reg. 23 in force at 1.1.2008, see reg. 1(4), Sch. 1

Changes of relevant personE+W

24.  Where on or after 4th January 2011—

(a)the relevant person changes; and

(b)the new relevant person is not given any inspection report,

the new relevant person must ensure that the system is inspected within three months of the day on which he becomes the relevant person.

Commencement Information

I29Reg. 24 in force at 1.1.2008, see reg. 1(4), Sch. 1

PART 5E+WEnergy Assessors

Accreditation schemesE+W

25.—(1) An energy assessor must be a member of an accreditation scheme approved by the Secretary of State.

(2) The terms of approval of any accreditation scheme may be limited in relation to—

(a)the categories of building for which members may produce certificates; and

(b)the types of air-conditioning systems members may inspect.

(3) Before approving an accreditation scheme the Secretary of State must be satisfied that the scheme contains adequate provision—

(a)for ensuring that members of the scheme carry out consistent and accurate energy assessments in an independent manner;

(b)for ensuring that members of the scheme are fit and proper persons who are qualified (by their education, training and experience) to carry out energy assessments;

(c)for requiring members of the scheme to prepare energy performance certificates, recommendation reports, display energy certificates [F58, advisory reports and inspection reports] using a standard form for each type of document;

(d)for ensuring that a code is produced and published as regards the conduct required of its members;

(e)for indemnity arrangements in relation to relevant persons and prospective or actual buyers or tenants;

(f)for facilitating the resolution of complaints against members of the scheme;

(g)for requiring energy performance certificates, recommendation reports, display energy certificates [F59, advisory reports and inspection reports] produced by members of the scheme to be entered on the relevant register maintained by the Secretary of State pursuant to regulation 31; and

(h)for the keeping of a register of the members of the scheme.

Textual Amendments

Commencement Information

I30Reg. 25 in force at 19.4.2007, see reg. 1(4), Sch. 1

Related party disclosuresE+W

26.  An energy assessor must include in an energy performance certificate [F60or inspection report] a declaration of any personal or business relationship (other than in relation to producing the certificate [F60or inspection report]) that he has with—

(a)the person who commissioned the certificate [F60or inspection report];

(b)any person on whose behalf the certificate [F60or inspection report] was commissioned; and

(c)any person who he believes—

(i)has or may have a personal or business relationship with a person referred to in paragraph (a) or (b); or

(ii)has or may have an interest in the building.

Textual Amendments

Commencement Information

I31Reg. 26 in force at 19.4.2007, see reg. 1(4), Sch. 1

Duty of careE+W

27.—(1) Energy assessors must carry out energy assessments with reasonable care and skill.

(2) The duty imposed by paragraph (1) shall be enforceable by the following persons—

(a)the relevant person;

(b)in the case of an energy performance certificate and recommendation report, any prospective or actual buyer or tenant during the period of validity of the certificate; and

(c)in the case of a display energy certificate and advisory report, the occupier of the building.

(3) Any cause of action arising in relation to the duty imposed by paragraph (1) is deemed not to be an action founded on tort for the purposes of the Limitation Act 1980(8).

Commencement Information

I32Reg. 27 in force at 19.4.2007, see reg. 1(4), Sch. 1

Right to copy documentsE+W

28.  Any person may, for the purpose of complying with any duty imposed by these Regulations, copy or issue a copy of any document produced by an energy assessor.

Commencement Information

I33Reg. 28 in force at 19.4.2007, see reg. 1(4), Sch. 1

Meaning of energy assessmentE+W

29.  In this Part, a reference to “energy assessment” includes a reference to—

(a)the preparation and issuing of energy performance certificates;

(b)the preparation and issuing of recommendation reports;

(c)the preparation and issuing of display energy certificates;

(d)the preparation and issuing of advisory reports;

(e)the preparation and issuing of inspection reports;

(f)the carrying out of any inspections undertaken for the purposes of preparing any of the documents referred to in paragraphs (a) to (e).

Commencement Information

I34Reg. 29 in force at 19.4.2007, see reg. 1(4), Sch. 1

PART 6E+WRegister of certificates, recommendation reports and advisory reports

Interpretation of Part 6E+W

F6130.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Registration of certificates etcE+W

31.—(1) The Secretary of State shall maintain one or more registers [F62data from which the following documents may be produced]—

(a)energy performance certificates and recommendation reports;

(b)display energy certificates; F63...

(c)advisory reports; [F64and

(d)inspection reports.]

[F65(2) An energy assessor who issues any of the documents referred to in [F66paragraph (1)(a), (b) or (c)] must ensure that F67... the data which, in accordance with the methodology of calculation of the energy performance of buildings approved by the Secretary of State under regulation [F6824 of the Building Regulations 2010], was used to calculate any asset rating or operational rating, and to produce the document, is entered onto the relevant register before the assessor gives the document to the person who requested that it be issued.]

[F69(2A) An energy assessor who issues an inspection report must ensure that [F70the data required by paragraph (2) to be entered in relation to the report] is entered onto the relevant register before the assessor gives the document to the relevant person.]

(3) Each [F71set of data entered onto the register from which a particular document may be produced]—

(a)shall be registered under a unique reference number; and

(b)shall not be altered once registered.

(4) Any F72... data entered onto the register must be kept on the register for a period of at least 20 years beginning on the date on which it is entered onto the register.

Textual Amendments

Commencement Information

I35Reg. 31 in force at 19.4.2007, see reg. 1(4), Sch. 1

[F73Fees for entering data onto registerE+W

32.  The keeper of the register may charge the following fees for entering data onto the register—

(a)for entering data from which an energy performance certificate and recommendation report which relate to a dwelling may be produced, a fee of £1.15;

(b)for entering data from which—

(i)an energy performance certificate and recommendation report which relate to a building other than a dwelling,

(ii)a display energy certificate,

(iii)both a display energy certificate and an advisory report, or

(iv)an inspection report,

may be produced, a fee of £5.36;

(c)for entering data from which a display energy certificate may be produced, a fee of £5.36.]

Textual Amendments

Commencement Information

I36Reg. 32 in force at 19.4.2007, see reg. 1(4), Sch. 1

[F73Disclosure of data: generalE+W

33.—(1) A person keeping a register on the Secretary of State’s behalf must not disclose data that has been entered onto a register to any other person unless the disclosure is in accordance with regulation 34, 35 or 36.

(2) It is an offence for a person to disclose, or permit the disclosure of, data otherwise than in accordance with paragraph (1).

(3) A person guilty of an offence under paragraph (2) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.]

Textual Amendments

Commencement Information

I37Reg. 33 in force at 19.4.2007, see reg. 1(4), Sch. 1

[F73Disclosure of general access dataE+W

34.—(1) The keeper of the register may disclose general access data to any person if the conditions in paragraph (2) are met.

(2) The conditions are that—

(a)a request for disclosure of the data to the person has been made by means of a website operated by the keeper;

(b)the request includes—

(i)the full residential address (excluding the postcode) of the particular building to which the data relates;

(ii)the full postcode of that building, or

(iii)the name of the road or street on which, and the name of the city, town, village or parish in which that building is located;

(c)where the request is for data other than data required to be included in a display energy certificate, there is no opt-out in effect in respect of the data; and

(d)the particular building to which the data relates is not an excluded building.

(3) In this regulation—

(a)an opt-out is in effect in respect of data where—

(i)the owner or occupier of the building to which the data relates has notified the keeper that the data is not to be disclosed,

(ii)the notice was given in writing, or by electronic communication sent to an address or location specified by the keeper for the purpose of the receipt of such notices, and

(iii)the notice has not been withdrawn by the owner or occupier (by the means referred to in this sub-paragraph);

(b)“excluded building” means a building owned, occupied or used from time to time by or for the purposes of—

(i)the Security Service, the Secret Intelligence Service or the Government Communications Headquarters;

(ii)any of the armed forces;

(iii)the Royal Family;

(iv)a prison;

(v)a contracted out prison within the meaning of the Criminal Justice Act 1991; or

(vi)a young offender institution.]

Textual Amendments

Commencement Information

I38Reg. 34 in force at 19.4.2007, see reg. 1(4), Sch. 1

Disclosures whether an energy performance certificate for a building other than a dwelling has been entered on the registerE+W

F7334A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F73Disclosure of bulk access dataE+W

35.—(1) The keeper of the register may disclose—

(a)bulk access data which relates solely to a display energy certificate to any person if the condition in paragraph (2)(c) is met;

(b)other bulk access data to an authorised recipient if all of the conditions in paragraph (2) are met.

(2) The conditions are that—

(a)the authorised recipient has made a request for one or more specific descriptions of data to the keeper;

(b)the request was made in writing, or by electronic communication sent to an address or location specified by the keeper for the purpose of the receipt of such requests;

(c)the authorised recipient (other than one falling within paragraph (a), (b), (d), (e), (f) or (g) of the definition of that term in regulation 2) has paid a fee to the keeper, in the amount determined in accordance with regulation 37;

(d)the data is disclosed in summary form and does not include any information revealing the location of an excluded building (or any information from which the location of such a building can be deduced), or revealing the address or postcode of an identifiable person where an opt-out has effect under regulation 34(3);

(e)the disclosure is made subject to the condition that the data is to be used by the recipient solely for one or more of the purposes described in Part 1 of Schedule 2; and

(f)the disclosure is made subject to the conditions set out in Part 2 of that Schedule.

(3) The keeper of the register may refuse to disclose information under paragraph (1)(b) where the person who requests the disclosure has previously failed to comply with a condition of the kind referred to in paragraph (2)(e) or (f).

(4) In this regulation “excluded building” has the same meaning as in regulation 34.]

Textual Amendments

Commencement Information

I39Reg. 35 in force at 19.4.2007, see reg. 1(4), Sch. 1

Disclosures to energy assessors in relation to dwellingsE+W

F7335A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Disclosures to the Energy Saving Trust LimitedE+W

F7335B.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F73Disclosure of general access and bulk access dataE+W

36.—(1) The keeper of the register may disclose general access data or bulk access data—

(a)to an enforcement authority for the purposes of their duty under regulation 38(2);

(b)to a local authority for the purposes of their duty under section 91 of the Building Act 1984;

(c)to an approved inspector for the purposes of the inspector’s functions under Part 2 of the Building Act 1984; or

(d)for the purpose of—

(i)the prevention or detection of crime;

(ii)the apprehension or prosecution of alleged offenders;

(iii)any proceedings in a court or tribunal; or

(iv)complying with an order of a court or tribunal.

(2) A person keeping a register on the Secretary of State’s behalf may disclose general access data or bulk access data to the Secretary of State for the purpose of enabling the Secretary of State to carry out any function under or in connection with these Regulations, or for statistical or research purposes.]

Textual Amendments

Commencement Information

I40Reg. 36 in force at 19.4.2007, see reg. 1(4), Sch. 1

Disclosures to approved inspectorsE+W

F7336A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F73Fee for disclosure of bulk access dataE+W

37.—(1) The amount of the fee referred to in regulation 35(2)(c) is the sum of—

(a)the number of small data packs requested multiplied by one penny (1p);

(b)the number of medium data packs requested multiplied by five pence (5p); and

(b)the number of large data packs requested multiplied by ten pence (10p).

(2) In this regulation, “small data pack”, “medium data pack” and “large data pack” have the meanings given in Schedule 3.]

Textual Amendments

Commencement Information

I41Reg. 37 in force at 19.4.2007, see reg. 1(4), Sch. 1

PART 7E+WEnforcement

Enforcement authoritiesE+W

38.—(1) Every local weights and measures authority is an enforcement authority for the purposes of this Part.

(2) It is the duty of each enforcement authority to enforce in their area the duties under regulations 5(2), 5(5), [F745A(2), 5A(3), 5A(4),] [F755A(4A),] 6(2), 9(2), 10, 16(2), 21(1), 23, 24 and 39(4).

Textual Amendments

Commencement Information

I42Reg. 38 in force at 1.6.2007, see reg. 1(4)Sch. 1

Power to require production of documentsE+W

39.—(1) An authorised officer of an enforcement authority may require a person who appears to him to be or to have been subject to any of the duties under regulation 5, 9(2), 10, 16(2), 21(1), or 23 to produce for inspection a copy of—

(a)a valid energy performance certificate and recommendation report;

(b)an advisory report; and

(c)an inspection report.

[F76(1A) An authorised officer of an enforcement authority may require a person who appears to him to have been subject to the duty under regulation 5A(3) to produce for inspection a copy of any request made in accordance with regulation 5A(5)(d).]

(2) [F77The powers conferred by paragraphs (1) and (1A) include] power to take copies of any document produced for inspection.

(3) A requirement under this regulation may not be imposed more than six months after the last day on which the person concerned was subject to such a duty in relation to the building.

(4) It is the duty of a person subject to such a requirement to comply with it within the period of seven days beginning with the day after that on which it is imposed.

(5) A person is not required to comply with such a requirement if he has a reasonable excuse for not complying with the requirement.

Textual Amendments

Commencement Information

I43Reg. 39 in force at 1.6.2007, see reg. 1(4)Sch. 1

Penalty charge noticesE+W

40.—(1) An authorised officer of an enforcement authority may, if he believes that a person has committed a breach of any duty under regulation 5(2), 5(5), [F785A(2), 5A(3), 5A(4),] [F795A(4A),] 6(2), 9(2), 10, 16(2), 21(1), 23, 24 or 39(4) give a penalty charge notice to that person.

(2) A penalty charge notice may not be given after the end of the period of six months beginning with the day (or in the case of a continuing breach the last day) on which the breach of duty was committed.

(3) A penalty charge notice must—

(a)state the officer’s belief that the person has committed a breach of duty;

(b)give such particulars of the circumstances as may be necessary to give reasonable notice of the breach of duty;

(c)require that person, within a period specified in the notice—

(i)to pay a penalty charge specified in the notice; or

(ii)to give notice to the enforcement authority that he wishes the authority to review the notice;

(d)state the effect of regulation 46;

(e)specify the person to whom and the address at which the penalty charge may be paid and the method or methods by which payment may be made; and

(f)specify the person to whom and the address at which a notice requesting a review may be sent (and to which any representations relating to the review may be addressed).

(4) The period specified under regulation 40(3)(c) must not be less than 28 days beginning with the day after that on which the penalty charge notice was given.

(5) The enforcement authority may extend the period for complying in any particular case if they consider it appropriate to do so.

(6) The enforcement authority may, if they consider that the penalty charge notice ought not to have been given, give the recipient a notice withdrawing the penalty charge notice.

(7) The enforcement authority must withdraw a penalty charge notice where the recipient can demonstrate that—

(a)he took all reasonable steps and exercised all due diligence to avoid breaching the duty; or

(b)regulation F80... 42 applies.

Textual Amendments

Commencement Information

I44Reg. 40 in force at 1.6.2007, see reg. 1(4)Sch. 1

Penalties under Housing Act 2004E+W

F8141.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Defence where energy performance certificate unobtainableE+W

42.—(1) A relevant person shall not be liable to a penalty charge notice for a breach of the duty imposed by regulation 5 where he can demonstrate that—

(a)[F82he is not a person to whom the duty under regulation 5A(2) applies and] he made a request for an energy performance certificate at least 14 days before the relevant time, and despite all reasonable efforts and enquiries by the relevant person, he did not have in his possession or control a valid energy performance certificate at the relevant time; or

(b)in the case of a failure to make available an energy performance certificate to a prospective tenant—

(i)the prospective tenant was seeking to rent out the building due to an emergency which required the tenant’s urgent relocation;

(ii)at the relevant time the relevant person did not have in his possession or control a valid energy performance certificate;

(iii)there was insufficient time in which the relevant person could reasonably have been expected to obtain a certificate before renting out the building to the prospective tenant; and

(iv)the relevant person has given a valid energy performance certificate to the tenant as soon as reasonably practicable after renting out the building.

[F83(1A) A [F84relevant person] shall not be liable to a penalty charge notice for a breach of the duty imposed by regulation 5 where he can demonstrate that—

(a)he is a person to whom the duty under regulation 5A(2) applies;

(b)he complied with that duty; and

(c)despite all reasonable efforts and enquiries by the [F85relevant person] he did not have in his possession or control a valid energy performance certificate at the relevant time.]

(2) In paragraph (1)(a) the reference to a request is to a request properly addressed to a person who usually provides or is likely to provide an energy performance certificate for the category of building in question and which includes such payment or an undertaking to make such payment as is usually necessary to obtain an energy performance certificate.

(3) In this regulation “relevant time” means the point in time by which the relevant person is required to have made an energy performance certificate available to a prospective buyer or tenant by virtue of regulation 5(2).

Textual Amendments

Commencement Information

I45Reg. 42 in force at 1.6.2007, see reg. 1(4)Sch. 1

Penalty amountE+W

43.—(1) The penalty charge specified in the notice shall be—

(a)in relation to a breach of a duty under regulation 5(2), 5(5), [F865A(2), 5A(3), 5A(4),] [F875A(4A),] 6(2), 9(2) or 10—

(i)where the building is a dwelling, £200;

(ii)where the building is not a dwelling, calculated in accordance with the formula in paragraph (2);

(b)in relation to a breach of a duty under regulation 16(2)(a), £1000;

(c)in relation to a breach of a duty under regulation 16(2)(b), £500;

(d)in relation to a breach of a duty under regulation 21(1), 23(1), 23(2) or 24, £300; and

(e)in relation to a breach of a duty under regulation 39(4), £200.

(2) Subject to the minimum and maximum penalty charges prescribed by paragraph (3), the penalty charge for the purposes of paragraph (1)(a)(ii) shall be—

(a)where the building constitutes a hereditament, 12.5% of the rateable value of the hereditament;

(b)where no other building (other than a building which is exempt from Part 2 by virtue of regulation 4(1)(b) or 4(1)(c)) forms a part of the same hereditament, 12.5% of the rateable value of the hereditament of which the building forms a part;

(c)where the building comprises more than one hereditament, 12.5% of the sum of the rateable values of each hereditament that comprise the building; and

(d)where—

(i)one or more buildings (other than a building which is exempt from Part 2 by virtue of regulation 4(1)(b) or 4(1)(c)) form part of the same hereditament; or

(ii)the building is not, or does not form part of, a hereditament which appears on a local non-domestic rating list at the relevant time,

£750.

(3) The minimum and maximum penalty charges for the purposes of paragraph (2) are £500 and £5000 respectively.

(4) In this regulation—

“hereditament” means a hereditament which, pursuant to section 42 of the Local Government Finance Act 1988(9), is shown on a local non-domestic rating list in force at the relevant time;

“local non-domestic rating list” means a local non-domestic rating list maintained in accordance with section 41 of the Local Government Finance Act 1988(10);

“rateable value” means the rateable value shown for a hereditament on a local non-domestic rating list at the relevant time; and

“relevant time” means the time at which the penalty charge notice is given.

Textual Amendments

Commencement Information

I46Reg. 43 in force at 1.6.2007, see reg. 1(4)Sch. 1

ReviewsE+W

44.—(1) If, within the period specified under regulation 40(3)(c) (or that period as extended under regulation 40(5)), the recipient of the penalty charge notice gives notice to the enforcement authority requesting a review, the authority shall—

(a)consider any representations made by the recipient and all other circumstances of the case;

(b)decide whether to confirm or withdraw the notice; and

(c)give notice of their decision to the recipient.

(2) A notice confirming the penalty charge notice must also state the effect of regulations 45 and 46.

(3) If the authority are not satisfied that—

(a)the recipient committed the breach of duty specified in the notice;

(b)the notice was given within the time allowed by regulation 40(2) and complies with the other requirements imposed by these Regulations; and

(c)in the circumstances of the case it was appropriate for a penalty charge notice to be given to the recipient,

they shall withdraw the penalty charge notice.

Commencement Information

I47Reg. 44 in force at 1.6.2007, see reg. 1(4)Sch. 1

Appeal to the county courtE+W

45.—(1) If after a review the penalty charge notice is confirmed by the enforcement authority, the recipient may, within the period of 28 days beginning with the day after that on which the notice under regulation 44(1)(c) is given, appeal to the county court against the penalty charge notice.

(2) The county court may extend the period for appealing against the notice.

(3) Such an appeal must be on one (or more) of the following grounds—

(a)that the recipient did not commit the breach of duty specified in the penalty charge notice;

(b)that the notice was not given within the time allowed by regulation 40(2) or does not comply with any other requirement imposed by these Regulations; or

(c)that in the circumstances of the case it was inappropriate for the notice to be given to the recipient.

(4) An appeal against a penalty charge notice shall be by way of a rehearing; and the court shall either uphold the notice or quash it.

(5) If the penalty charge notice is withdrawn or quashed, the authority shall repay any amount previously paid as a penalty charge in pursuance of the notice.

Commencement Information

I48Reg. 45 in force at 1.6.2007, see reg. 1(4)Sch. 1

Recovery of penalty chargesE+W

46.—(1) The amount of the penalty charge is recoverable from the recipient of the penalty charge notice as a debt owed to the authority unless—

(a)the notice has been withdrawn or quashed; or

(b)the charge has been paid.

(2) Proceedings for the recovery of the penalty charge notice may not be commenced before the end of the period mentioned in regulation 44(1).

(3) If within that period the recipient of the penalty charge notice gives notice to the authority that he wishes the authority to review the penalty charge notice, such proceedings may not be commenced—

(a)before the end of the period mentioned in 45(1); and

(b)where the recipient appeals against the penalty charge notice, before the end of the period of 28 days beginning with the day on which the appeal is withdrawn or determined.

(4) In proceedings for the recovery of the penalty charge, a certificate which—

(a)purports to be signed by or on behalf of the person having responsibility for the financial affairs of the enforcement authority; and

(b)states that payment of the penalty charge was or was not received by a date specified in the certificate,

is evidence of the facts stated.

Commencement Information

I49Reg. 46 in force at 1.6.2007, see reg. 1(4)Sch. 1

Service of documentsE+W

47.—(1) A penalty charge notice and any other notice mentioned in this Part may be given by post.

(2) Any such notice may be given—

(a)in the case of a body corporate, to the secretary or clerk of that body; and

(b)in the case of a partnership, to any partner or to a person having control or management of the partnership business.

Commencement Information

I50Reg. 47 in force at 1.6.2007, see reg. 1(4)Sch. 1

Offences relating to enforcement officersE+W

48.—(1) A person who obstructs an officer of an enforcement authority acting in pursuance of regulation 39 is guilty of an offence.

(2) A person who, not being an authorised officer of an enforcement authority, purports to act as such in pursuance of this Part is guilty of an offence.

(3) A person guilty of an offence under this regulation is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

Commencement Information

I51Reg. 48 in force at 1.6.2007, see reg. 1(4)Sch. 1

PART 8E+WMiscellaneous

Application to the CrownE+W

49.—(1) Subject to paragraph (2), these Regulations, other than regulations 8 and 50(2)(a), bind the Crown.

(2) No act or omission by or on behalf of the Crown shall constitute an offence or make the Crown liable to a penalty charge notice under these Regulations, but the High Court may, on the application of an enforcement authority, declare unlawful any act or omission of the Crown which constitutes a contravention of these Regulations.

Commencement Information

I52Reg. 49 in force at 19.4.2007, see reg. 1(4), Sch. 1

Duty to cooperateE+W

50.—(1) This regulation applies where these Regulations impose a duty on a person to—

(a)make available, give or display an energy performance certificate or a display energy certificate in relation to a building; or

(b)ensure an air-conditioning system is inspected.

(2) It shall be the duty of every person with an interest in, or in occupation of, the building to—

(a)allow such access to any energy assessor appointed by the person referred to in paragraph (1) (“the responsible person”) as is reasonably necessary to inspect the building for the purposes of—

(i)preparing an energy performance certificate and recommendation report;

(ii)preparing a display energy certificate or advisory report; or

(iii)inspecting an air-conditioning system; and

(b)cooperate with the responsible person so far as is reasonably necessary to enable him to comply with the duty referred to in paragraph (1).

Commencement Information

I53Reg. 50 in force at 19.4.2007, see reg. 1(4), Sch. 1

[F88Transitional arrangements – property on market at commencementE+W

51.—(1) Subject to paragraphs (7) to (9), regulation 5 does not impose any duty in relation to a building to which this regulation applies.

(2) This regulation applies to a building where—

(a)the building is not one in respect of which a duty under section 155(1) or 159(2) of the Housing Act 2004 applies to any person;

(b)the building is put on the market by or on behalf of a relevant person before the commencement date;

(c)action taken at any time before the commencement date by or on behalf of the relevant person, made public the fact that the building was on the market;

(d)such action was taken with the intention of selling or letting the building before the commencement date;

(e)such action was sustained to a reasonable extent after it was put on the market and until the commencement date; and

(f)on the commencement date, the building remains on the market.

(3) A building is put on the market when the fact that the building is or may be available for sale or rent is, with the intention of marketing the building on the property market in England and Wales, first made public in England and Wales by or on behalf of the relevant person.

(4) A fact is made public when it is advertised or otherwise communicated (in whatever form and by whatever means) to the public or to a section of the public.

(5) Where paragraph (1) applies, when contracts are entered into for the sale or rental of the building, the relevant person must, if it has not already been done—

(a)make a request which complies with regulation 42(2) for an energy performance certificate as soon as reasonably practicable;

(b)make all reasonable efforts to obtain an energy performance certificate as soon as reasonably practicable; and

(c)when an energy performance certificate is obtained, ensure that it is given free of charge to the person who has bought or rented the building.

(6) Where paragraph (5) applies, all the provisions of these Regulations, except regulations 5(2) and 5(5) shall have effect in relation to the duty imposed by paragraph (5) as if it were a duty under regulation 5(2) or 5(5).

(7) Subject to paragraphs (8) and (9), this regulation, other than this paragraph, ceases to apply to a building—

(a)when it is taken off the market, or

(b)on 1st October 2008 [F89for any dwelling; or]

[F90(c)on 4th January 2009 for any building other than a dwelling,]

whichever occurs first.

(8) Notwithstanding paragraph (7)(a), this regulation does apply to a building in cases where, after the building has been taken off the market, it is put back on the market on or after the commencement date—

(a)after the seller or prospective landlord had accepted an offer to buy or rent the building; and

(b)within 28 days of that offer being withdrawn or its acceptance repudiated.

[F91(9) Notwithstanding paragraph 7(b) and (c), where a contract for the sale or rent of a building to which this regulation applies has been entered into before—

(a)1st October 2008 in a case where paragraph 7(b) applies, or

(b)4th January 2009 in a case where paragraph 7(c) applies,

paragraph (5) shall continue to apply in relation to that transaction.]

(10) In this regulation, “commencement date” means the date set out in column 2 of the table in Schedule 1 for the coming into force of regulation 5 in relation to the building.]

Textual Amendments

Ruth Kelly

Secretary of State

Department for Communities and Local Government

23rd March 2007

Regulation 1(4)

SCHEDULE 1E+WCommencement

Commencement Information

I54Sch. 1 in force at 19.4.2007, see reg. 1(4), Sch. 1

Date on which the provision comes into forceProvisionPurpose for which the provision comes into force
1.19th April 2007Regulations 1, 2, 3, 4, 10, 11, 12, 13, 14, 15 to 19 (Part 3), 25 to 29 (Part 5), 30 to 37 (Part 6), 49 and 50, Schedule 1 and paragraph 1(7) of Schedule 2.All purposes.
2.19th April 2007Paragraph 1(1) of Schedule 2.So far as it relates to—
(a) paragraph 1(7); and
(b) paragraph 1(8), so far as that paragraph inserts regulations 17F to 17J,
of that Schedule.
3.19th April 2007Paragraph 1(8) of Schedule 2.So far as it inserts regulations 17F to 17J.
4.19th April 2007Regulation 8.So far as it relates to paragraphs 1 to 3 of this Table.
5.1st June 2007Regulations 5, 7(1), and 7(3).So far as each provision relates to any building which is to be sold or rented out in circumstances where [F92a duty under] section 155(1) or 159(2) of the Housing Act 2004 [F93applies to] on any person in relation to that building, other than a building which was constructed at a time when regulation 17C of the Building Regulations 2000 applied to the work.
6.1st June 2007Regulation 6 and regulations 38 to 48 (Part 7).All purposes.
7.1st October 2007Regulations 5, 7(1), and 7(3).So far as each provision relates to any building which was constructed at a time when regulation 17C of the Building Regulations 2000 applied to the work, which is to be sold or rented out in circumstances where [F94a duty under] section 155(1) or 159(2) of the Housing Act 2004 [F95applies to] any person in relation to that building.
8. [F961st January 2008 Regulations 20 to 24 (Part 4).All purposes.
9. 6th April 2008 Paragraphs 1(2)(b), 1(5), 1(9)(a) and 1(10)(a) of Schedule 2 and for these purposes only regulation 8 and paragraph 1(1) of that Schedule.All purposes
10.6th April 2008Regulations 8 and 9 and paragraphs 1(1), 1(2)(a), 1(3), 1(4), 1(6), 1(8), 1(9)(b), 1(10)(b) and 2 of Schedule 2.So far as any provision relates to any dwelling.
11.6th April 2008Regulations 5, 7(2), 8 and 9 and paragraphs 1(1), 1(2)(a), 1(3), 1(4), 1(6), 1(8), 1(9)(b), 1(10)(b) and 2 of Schedule 2.So far as each provision relates to any building with a total useful floor area over 10,000m2, other than a dwelling.
12.1st July 2008Regulations 5, 7(2), 8 and 9 and paragraphs 1(1), 1(2)(a), 1(3), 1(4), 1(6), 1(8), 1(9)(b), 1(10)(b) and 2 of Schedule 2.So far as each provision relates to any building with a total useful floor area over 2,500m2, other than a dwelling.
13.1st October 2008Regulations 5, [F977], 8 and 9 and paragraphs 1(1), 1(2)(a), 1(3), 1(4), 1(6), 1(8), 1(9)(b), 1(10)(b) and 2 of Schedule 2.For all remaining purposes.]

Textual Amendments

Regulation 35(2)(e)

[F98SCHEDULE 2E+W

Textual Amendments

PART 1E+W

The purposes areE+W

1.  Promoting energy efficiency improvements (as defined in section 2 of the Energy Act 2011) (“energy efficiency improvements”) in relation to buildings.

2.  Conducting research into, or developing or analysing policy (or policy proposals) in relation to, the energy efficiency of buildings.

3.  Conducting research into the effectiveness or impact of energy efficiency improvements.

4.  Identifying geographic areas where the energy efficiency of buildings is low relative to other areas, or conducting research into the extent, causes or consequences of such lower levels of efficiency.

5.   Promoting and marketing energy efficiency improvements that may be made pursuant to a green deal plan.

6.   Identifying and analysing the impact of carbon emissions on the environment resulting from buildings with low levels of energy efficiency.

7.   Determining whether energy efficiency improvements that may be made pursuant to a green deal plan have or have not been made in respect of a particular building or buildings.

Regulation 35(2)(f)

PART 2E+W

The conditions areE+W

1.  The authorised recipient is, until the data is deleted from the authorised recipient’s records and systems (so that the personal data is no longer accessible by any means by the authorised recipient) a data controller within the meaning of section 1(1) of the Data Protection Act 1998 in relation to the information disclosed.

2.  The authorised recipient must not—

(a) disclose any personal data contained in or derived from data disclosed to them under regulation 35 to any other person without the consent of the person who is the subject of the data;

(b) use such personal data in order to contact an individual for the purpose of marketing or promoting products or services which do not relate to energy efficiency.

3.  The authorised recipient must not make contact with any person (“the subject”) whose identity or contact details (or both) have become known to the authorised recipient from data disclosed to the authorised recipient under regulation 35 unless—

(a) the authorised recipient advises the subject, at the time contact is first made that—

(i)their identity or contact details (or both) have been obtained from the keeper of the register under that regulation, and

(i)the subject is entitled to refuse to receive any further communications from the authorised recipient; and

(b) the first contact with the subject is made by means of written communication (including electronic communication) only.

4.  The authorised recipient must not make further contact with a person if the person has informed the authorised recipient that they do not wish to receive any further communications from the authorised recipient.

5.   If the authorised recipient has on three separate occasions made contact with a person (“the subject”) whose identity or contact details (or both) have become known to the authorised recipient from data disclosed to them under regulation 35 and received no response from the subject within fourteen days of the date of the third contact, the authorised recipient—

(a) must not attempt to contact the person again; and

(b) must, as soon as reasonably practicable (and in any event within fourteen days of the receipt of a request made by or on behalf of the subject to do so) delete any personal data contained in or derived from data disclosed to the authorised recipient under regulation 35 from its records and systems (so that the personal data is no longer accessible by any means by the authorised recipient).

6.  The authorised recipient must, as soon as reasonably practicable (and in any event within fourteen days of the receipt of a request made by or on behalf of the subject to do so) delete any personal data contained in or derived from data disclosed to the authorised recipient under regulation 35 from its records and systems (so that the personal data is no longer accessible by any means by the authorised recipient) if the person who is the subject of the data requests the authorised recipient to do so.

7.   The authorised recipient must ensure that its officers and employees comply with the conditions in paragraphs 1 to 7 above.]

SCHEDULE 3E+W

Regulation 37

[F98PART 1E+W

ENERGY PERFORMANCE CERTIFICATESE+W

1.  For data from which an Energy Performance Certificate for a residential property (as defined in regulation 6(7)) may be produced:E+W

(a) a small data pack means a set of data containing the following information concerning the property: the address (including the postcode), the energy rating, the potential energy rating, the energy efficiency, the potential energy efficiency, the property type, the inspection date, the region, local authority area, constituency and county where it is located and the date the data was entered onto the register.

(b) A medium data pack means a set of data containing the data described in paragraph 1 (a), together with the following additional information concerning the property: the transaction type, the current environment impact, the potential environment impact, the current energy consumption, the potential energy consumption, the current Co2 emissions, the current Co2 emissions per floor area, the potential Co2 emissions, the current lighting cost, the potential lighting cost, the current heating cost, the potential heating cost, the current hot water cost, the potential hot water cost, the total floor area, the energy tariff, whether the property is connected to the gas network, the floor level, whether the property is on the top floor (for flats), if the property is a flat not on the top floor the storey count for the property, the overall dimensions and size of the building, the type of heating controls, the proportion of windows which are multi-glazed, the types of glazing and the area glazed, the number of extensions to the property, the number of habitable rooms, the number of heated rooms, the proportion of low energy light bulbs and the number of open fireplaces.

(c) A large data pack means a set of data containing the data described in paragraphs 1(a) and (b), together with any additional data entered onto register pursuant to regulation 31 from which an Energy Performance Certificate (or any information contained within such a Certificate) may be produced in relation to the property.

2.  For data from which an Energy Performance Certificate for a property other than a residential property may be produced:E+W

(a) a small data pack means a set of data containing the following information concerning the property: the address (including the postcode), the energy rating, the potential energy rating, the energy efficiency, the potential energy efficiency, the property type, the inspection date, the region, local authority area, constituency and county where it is located and the date the data was entered onto the register.

(b) A medium data pack means a set of data containing the data described in paragraph 2 (a), together with the following additional information concerning the property: the transaction type, the benchmark against other new build or existing properties as appropriate, whether the property is a level 3, 4 or 5 building, the main heating fuel, the other fuel description, whether the property is air-conditioned, whether the property has specialised energy requirements, the renewable sources of energy (if any) used by the property and the floor area.

(c) A large data pack means a set of data containing the data described in paragraphs 2(a) and (b), together with together with any additional data entered onto register pursuant to regulation 31 from which an Energy Performance Certificate (or any information contained within such a Certificate) may be produced in relation to the property.

PART 2E+W

DISPLAY ENERGY CERTIFICATESE+W

3.  For data from which a Display Energy Certificate may be produced:E+W

(a) a small data pack means a set of data containing the following information concerning the property in question: the address (including the postcode), the energy rating, the proportion of Co2 emissions attributable to electricity used in the property, the proportion of Co2 emissions from energy used to heat the property, the proportion of Co2 emissions from renewables used in the property, the property type, the inspection date, the region, local authority area, constituency and county where it is located and the date the data was entered onto the register.

(b) A medium data pack means a set of data containing the data described in paragraph 3 (a), together with the following additional information concerning the property: the benchmark against other new build or existing properties as appropriate, whether the property is a level 3, 4 or 5 building, the main heating fuel, the other fuel description, whether the building is air-conditioned, whether the building has specialised energy requirements, the sources of renewable energy (if any) used by the property, the floor area and the building level.

(c) A large data pack means a set of data containing the data described in paragraphs 3(a) and (b), together with any additional data entered onto register pursuant to regulation 31 from which a Display Energy Certificate (or any information contained within such a Certificate) may be produced in relation to the property in question.

PART 3E+W

AIR-CONDITIONING INSPECTION REPORTSE+W

4.  For data from which an inspection report may be produced:E+W

(a) a small data pack means a set of data containing the following information concerning the property in question: the address (including the postcode), the property type, the inspection date, the region, local authority area, constituency and county where it is located and the date the data was entered onto the register.

(b) A medium data pack means a set of data containing the data described in paragraph 4 (a), together with the following additional information: the name of the equipment owner, their telephone number, the name of their organisation, the owner’s address (including the town, city or parish and postcode), the person responsible for the operation of the air-conditioning equipment, the operator’s employer, the operator’s address (including the town, city or parish and postcode) and the name of the building.

(c) A large data pack means a set of data containing the data described in paragraphs 4(a) and (b), together with any additional data entered onto register pursuant to regulation 31 from which the inspection report (or any information contained within the report) may be produced.]

EXPLANATORY NOTE

(This note is not part of the Regulations)

These Regulations implement in England and Wales articles 7 (energy performance certificates), 9 (air-conditioning system inspections) and 10 (energy assessors) of the Energy Performance of Buildings Directive, OJ No L 1, 4.1.2004 (“the Directive”) which lays down requirements for the production of energy performance certificates when buildings are constructed, sold or rented out, display of certificates in large public buildings, and regular inspections of air-conditioning systems.

Part 2 of these Regulations implements articles 7(1) and (2) of the Directive, and requires the production of energy performance certificates when buildings are constructed, sold or rented out. In particular:

(1) Sellers and prospective landlords are required to make available energy performance certificates to prospective buyers and tenants at the earliest opportunity (regulation 5).

(2) Where the Housing Act 2004 imposes a duty on sellers or their agents to have a home information pack, sellers and their agents must ensure that energy performance information is included in any written particulars of the dwelling for sale (regulation 6).

(3) Regulation 8 and Schedule 2 amend the Building Regulations 2000 and the Building (Approved Inspectors etc) Regulations 2000. In addition to various consequential amendments, regulation 17E is inserted into the Building Regulations 2000. It requires energy performance certificates to be produced when buildings are constructed. Paragraph 1(5) of Schedule 2 revokes regulation 16 of those Regulations. Paragraph 2(2) of Schedule 2 substitutes regulation 12 of the Building (Approved Inspectors etc) Regulations 2000. The regulations that are revoked and substituted (which each required an energy rating for new dwellings) are superseded by the requirement to produce an energy performance certificate. Regulation 9 requires certificates for those buildings to which the Building Regulations 2000 do not apply.

(4) Schedule 2 also amends regulation 17A of the Building Regulations 2000, which implemented article 3 of the Directive. The amendment requires the Secretary of State to approve a methodology of calculation of the energy performance of buildings and ways in which the energy performance of a building shall be expressed.

(5) Energy performance certificates must be accompanied by recommendations for the improvement of the energy performance of the building (regulation 10).

(6) Regulation 11 sets out the minimum requirements for energy performance certificates. In particular, certificates must be no more than 10 years old, except in circumstances where the Housing Act 2004 requires a home information pack, in which case a certificate is only valid if it is less than three months old at the first point of marketing, as that term is defined in the Home Information Pack Regulations 2007.

(7) Regulation 14 imposes restrictions on the circumstances in which certificates and recommendations may be disclosed, and creates an offence for unlawful disclosure.

Part 3 implements article 7(3) of the Directive. In particular, occupiers of large buildings occupied by public authorities and by institutions providing public services to a large number of persons must display a display energy certificate, and obtain an advisory report containing recommendations for the improvement of the energy performance of the building (regulation 16).

Part 4 implements article 9 of the Directive. In particular, the person who has control of the operation of an air-conditioning system with an “effective rated output” (defined in regulation 20(3)) of at least 12 kW must ensure the system is inspected at regular intervals not exceeding 5 years (regulation 21).

Part 5 implements article 10 of the Directive. Energy assessors who produce certificates or inspect air-conditioning systems must be members of an accreditation scheme approved by the Secretary of State (regulation 25).

Part 6 requires certain documents produced by energy assessors to be entered onto a register maintained by the Secretary of State. Regulations 34 to 37 set out who may access the register.

Part 7 deals with enforcement and makes provision for enforcement by way of civil penalties. Regulation 38 imposes a duty on local weights and measures authorities to enforce the duties relating to certificates and air-conditioning inspections. Regulation 40 empowers enforcement authorities to issue penalty charge notices for any breach.

Regulation 49 makes provision to bind the Crown. Regulation 50 imposes a general duty to co-operate with and allow reasonable access to any person who is under a duty relating to certificates or inspections.

A transposition note setting out how these Regulations implement the Directive, and a full regulatory impact assessment of the effect that this instrument will have on the costs of business and the voluntary sector, is available from the Department for Communities and Local Government website or from the Sustainable Buildings Division of that Department (Tel: 020 7944 5755; Fax: 020 7944 5719; email: enquiries.br@communities.gsi.gov.uk.). Copies are also annexed to the Explanatory Memorandum which is available alongside the instrument on the OPSI website at www.opsi.gov.uk.

(4)

Section 1(1) was amended by the Sustainable and Secure Buildings Act 2004 (c.22), section 1(1) and (2); section 47 was amended by section 8(2) of that Act and S.I. 1996/1905; paragraph 7 of Schedule 1 was amended by section 3(1) and (5) of that Act, there are other amendments to that paragraph but none is relevant; paragraph 8 of Schedule 1 was amended by section 3(1) and (7) of that Act.

(5)

Section 4(1)(a)(i) to (iv) was substituted by the Education Act 1996 (c.56) , Schedule 37, paragraph 59; section 4(1)(a)(ii) was substituted (in relation to England) by the Education Act 2002 (c.32), Schedule 21, paragraph 6; section 4(1)(a)(iii) and (iv) were repealed by the School Standards Framework Act 1998 (c.31), Schedule 31; section 4(1)(b) was amended by the Airports Act 1986 (c.31), Schedule 6; section 4(1)(c) was inserted by S.I. 2001/4050; there are other amending Acts but these are not relevant to these Regulations.

(6)

OJ No L 1, 4.1.2003, p65.

(7)

S.I. 1995/419, there are amendments not relevant to these Regulations.

(9)

1988 c. 41; amended by the Local Government and Housing Act 1989 (c.42), Schedule 5, paragraph 20.

(10)

There are amendments but none is relevant to these Regulations.