http://www.legislation.gov.uk/uksi/2012/2079/part/8/chapter/4/madeThe Green Deal Framework (Disclosure, Acknowledgment, Redress etc.) Regulations 2012Credit licencesAccreditationenKing's Printer of Acts of Parliament2016-06-23ENERGY CONSERVATIONThese Regulations, which apply to Great Britain, establish elements of the framework for the Green Deal energy efficiency scheme which was created by Chapter 1 of Part 1 of the Energy Act 2011 (c. 16.) (“the Act”).PART 8EnforcementCHAPTER 4Notices, procedure and requirements72Requirement to give an intention notice before imposing a sanction1

This regulation applies where under this Part—

a

cancellation or compensation must or may be imposed;

b

the following may be imposed—

i

reduction;

ii

a financial penalty;

iii

suspension;

iv

withdrawal.

2

Before imposing a sanction, the Secretary of State must give notice (an “intention notice”) to any person other than the relevant energy supplier whom the Secretary of State considers to be an affected person, specifying—

a

that the Secretary of State intends to impose the sanction;

b

that affected persons may make written representations and the time limits for such representations;

c

where the Secretary of State intends to suspend or withdraw the authorisation of a green deal certification body, that the relevant members of the certification body may make representations concerning a deferral in accordance with regulation 81; and

d

subject to paragraph (3), those matters which the Secretary of State would be required to include in a sanctions notice, if the sanction is imposed.

3

Where the Secretary of State intends to impose a financial penalty, the intention notice need not include—

a

how payment may be made; and

b

details of the early payment discounts.

4

Where after consideration of any representations the Secretary of State decides to impose the sanction, the Secretary of State must give a sanctions notice in accordance with regulation 78.

5

For the purposes of this regulation, “affected person” means any person whose interests will be directly affected by the imposition of the sanction.

73Additional requirements in relation to compensation1

This regulation applies where the Secretary of State intends to impose compensation on the improver under regulation 65 or the notifier under regulation 66.

2

The Secretary of State may, before serving an intention notice, require the relevant person to provide information on the amount of compensation which would be payable if calculated under paragraph (a) of the definition of compensation in regulation 51.

3

The intention notice must include any requirements which the Secretary of State intends to impose on the improver or the notifier concerning the manner in which and time by which compensation must be paid.

74Compliance notices1

This regulation applies where a compliance notice may be imposed.

2

A compliance notice must specify—

a

the steps which must be taken to eradicate the breach, or the circumstances giving rise to the breach; and

b

the consequences of failure to take such steps.

3

A compliance notice must comply with regulation 78(1) and (2).

75Financial penalties1

This regulation applies where a financial penalty may be imposed.

2

In determining the amount of a financial penalty, the Secretary of State must have regard to the annual turnover and the number of employees of the person on whom the Secretary of State intends to impose the penalty.

3

For each breach, the maximum financial penalty is £50,000.

76Recovery of compensation and financial penalties1

Compensation may be recovered by the relevant person as a debt.

2

A financial penalty may be recovered by the Secretary of State as a debt.

77Notice of decision not to impose a sanction

Where, after giving an intention notice, the Secretary of State decides not to impose a sanction, the Secretary of State must give notice to that effect to any person to whom the intention notice was required to be given.

78Sanctions notices1

A sanctions notice must be given to—

a

any person to whom the Secretary of State is required to give a notice under regulation 72(2); and

b

where cancellation or reduction is imposed—

i

the relevant energy supplier; and

ii

the complainant, if that person is not the bill payer.

2

A sanctions notice must include—

a

the sanction imposed;

b

the person on whom the sanction is imposed;

c

the reason for imposing the sanction; and

d

information on appeals which may be made under regulation 87.

3

A sanctions notice containing cancellation, reduction, suspension or withdrawal must include the date on which the sanction has effect.

4

A sanctions notice containing reduction must include—

a

the total amount of the reduction;

b

how the reduction has been calculated; and

c

the revised amount due under the energy plan.

5

A sanctions notice containing a financial penalty must include—

a

the amount of the penalty;

b

the period within which payment must be made;

c

how payment may be made;

d

details of the early payment discounts; and

e

the consequences of non-payment.

6

A sanctions notice containing suspension must include the date on which the suspension ceases to have effect.

79Proportionality requirement

Any sanction imposed under this chapter must be proportionate to the breach in relation to which it is imposed.

80Updating the register

Where the Secretary of State imposes suspension or withdrawal on an authorised person, the Secretary of State must update the relevant registers such that—

a

the information in paragraphs 6 and 8 of Schedule 1 is included on the register of the person whose authorisation has been suspended or withdrawn; and

b

subject to regulation 81, in the case of a green deal certification body, the information in paragraphs 6 and 8 of Schedule 1 is included in respect of the persons on its membership list.

81Deferring updating the register1

The Secretary of State may defer updating the register in respect of a relevant member of a green deal certification body whose authorisation is suspended or withdrawn (a “deferral”).

2

A deferral may be—

a

for such period as the Secretary of State considers necessary to enable the relevant member to obtain certification from another green deal certification body;

b

on such terms and subject to such conditions as the Secretary of State thinks fit.

3

The Secretary of State must give the relevant member notice of the deferral and the terms and conditions to which it is subject.

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<chapter eId="part-8-chapter-4">
<num>CHAPTER 4</num>
<heading>Notices, procedure and requirements</heading>
<hcontainer name="regulation" eId="regulation-72">
<num>72</num>
<heading>Requirement to give an intention notice before imposing a sanction</heading>
<paragraph eId="regulation-72-1">
<num>1</num>
<intro>
<p>This regulation applies where under this Part—</p>
</intro>
<subparagraph eId="regulation-72-1-a">
<num>a</num>
<content>
<p>cancellation or compensation must or may be imposed;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-72-1-b">
<num>b</num>
<intro>
<p>the following may be imposed—</p>
</intro>
<clause eId="regulation-72-1-b-i">
<num>i</num>
<content>
<p>reduction;</p>
</content>
</clause>
<clause eId="regulation-72-1-b-ii">
<num>ii</num>
<content>
<p>a financial penalty;</p>
</content>
</clause>
<clause eId="regulation-72-1-b-iii">
<num>iii</num>
<content>
<p>suspension;</p>
</content>
</clause>
<clause eId="regulation-72-1-b-iv">
<num>iv</num>
<content>
<p>withdrawal.</p>
</content>
</clause>
</subparagraph>
</paragraph>
<paragraph eId="regulation-72-2">
<num>2</num>
<intro>
<p>Before imposing a sanction, the Secretary of State must give notice (an “intention notice”) to any person other than the relevant energy supplier whom the Secretary of State considers to be an affected person, specifying—</p>
</intro>
<subparagraph eId="regulation-72-2-a">
<num>a</num>
<content>
<p>that the Secretary of State intends to impose the sanction;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-72-2-b">
<num>b</num>
<content>
<p>that affected persons may make written representations and the time limits for such representations;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-72-2-c">
<num>c</num>
<content>
<p>where the Secretary of State intends to suspend or withdraw the authorisation of a green deal certification body, that the relevant members of the certification body may make representations concerning a deferral in accordance with regulation 81; and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-72-2-d">
<num>d</num>
<content>
<p>subject to paragraph (3), those matters which the Secretary of State would be required to include in a sanctions notice, if the sanction is imposed.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-72-3">
<num>3</num>
<intro>
<p>Where the Secretary of State intends to impose a financial penalty, the intention notice need not include—</p>
</intro>
<subparagraph eId="regulation-72-3-a">
<num>a</num>
<content>
<p>how payment may be made; and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-72-3-b">
<num>b</num>
<content>
<p>details of the early payment discounts.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-72-4">
<num>4</num>
<content>
<p>Where after consideration of any representations the Secretary of State decides to impose the sanction, the Secretary of State must give a sanctions notice in accordance with regulation 78.</p>
</content>
</paragraph>
<paragraph eId="regulation-72-5">
<num>5</num>
<content>
<p>For the purposes of this regulation, “affected person” means any person whose interests will be directly affected by the imposition of the sanction.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-73">
<num>73</num>
<heading>Additional requirements in relation to compensation</heading>
<paragraph eId="regulation-73-1">
<num>1</num>
<content>
<p>This regulation applies where the Secretary of State intends to impose compensation on the improver under regulation 65 or the notifier under regulation 66.</p>
</content>
</paragraph>
<paragraph eId="regulation-73-2">
<num>2</num>
<content>
<p>The Secretary of State may, before serving an intention notice, require the relevant person to provide information on the amount of compensation which would be payable if calculated under paragraph (a) of the definition of compensation in regulation 51.</p>
</content>
</paragraph>
<paragraph eId="regulation-73-3">
<num>3</num>
<content>
<p>The intention notice must include any requirements which the Secretary of State intends to impose on the improver or the notifier concerning the manner in which and time by which compensation must be paid.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-74">
<num>74</num>
<heading>Compliance notices</heading>
<paragraph eId="regulation-74-1">
<num>1</num>
<content>
<p>This regulation applies where a compliance notice may be imposed.</p>
</content>
</paragraph>
<paragraph eId="regulation-74-2">
<num>2</num>
<intro>
<p>A compliance notice must specify—</p>
</intro>
<subparagraph eId="regulation-74-2-a">
<num>a</num>
<content>
<p>the steps which must be taken to eradicate the breach, or the circumstances giving rise to the breach; and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-74-2-b">
<num>b</num>
<content>
<p>the consequences of failure to take such steps.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-74-3">
<num>3</num>
<content>
<p>A compliance notice must comply with regulation 78(1) and (2).</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-75">
<num>75</num>
<heading>Financial penalties</heading>
<paragraph eId="regulation-75-1">
<num>1</num>
<content>
<p>This regulation applies where a financial penalty may be imposed.</p>
</content>
</paragraph>
<paragraph eId="regulation-75-2">
<num>2</num>
<content>
<p>In determining the amount of a financial penalty, the Secretary of State must have regard to the annual turnover and the number of employees of the person on whom the Secretary of State intends to impose the penalty.</p>
</content>
</paragraph>
<paragraph eId="regulation-75-3">
<num>3</num>
<content>
<p>For each breach, the maximum financial penalty is £50,000.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-76">
<num>76</num>
<heading>Recovery of compensation and financial penalties</heading>
<paragraph eId="regulation-76-1">
<num>1</num>
<content>
<p>Compensation may be recovered by the relevant person as a debt.</p>
</content>
</paragraph>
<paragraph eId="regulation-76-2">
<num>2</num>
<content>
<p>A financial penalty may be recovered by the Secretary of State as a debt.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-77">
<num>77</num>
<heading>Notice of decision not to impose a sanction</heading>
<content>
<p>Where, after giving an intention notice, the Secretary of State decides not to impose a sanction, the Secretary of State must give notice to that effect to any person to whom the intention notice was required to be given.</p>
</content>
</hcontainer>
<hcontainer name="regulation" eId="regulation-78">
<num>78</num>
<heading>Sanctions notices</heading>
<paragraph eId="regulation-78-1">
<num>1</num>
<intro>
<p>A sanctions notice must be given to—</p>
</intro>
<subparagraph eId="regulation-78-1-a">
<num>a</num>
<content>
<p>any person to whom the Secretary of State is required to give a notice under regulation 72(2); and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-1-b">
<num>b</num>
<intro>
<p>where cancellation or reduction is imposed—</p>
</intro>
<clause eId="regulation-78-1-b-i">
<num>i</num>
<content>
<p>the relevant energy supplier; and</p>
</content>
</clause>
<clause eId="regulation-78-1-b-ii">
<num>ii</num>
<content>
<p>the complainant, if that person is not the bill payer.</p>
</content>
</clause>
</subparagraph>
</paragraph>
<paragraph eId="regulation-78-2">
<num>2</num>
<intro>
<p>A sanctions notice must include—</p>
</intro>
<subparagraph eId="regulation-78-2-a">
<num>a</num>
<content>
<p>the sanction imposed;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-2-b">
<num>b</num>
<content>
<p>the person on whom the sanction is imposed;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-2-c">
<num>c</num>
<content>
<p>the reason for imposing the sanction; and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-2-d">
<num>d</num>
<content>
<p>information on appeals which may be made under regulation 87.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-78-3">
<num>3</num>
<content>
<p>A sanctions notice containing cancellation, reduction, suspension or withdrawal must include the date on which the sanction has effect.</p>
</content>
</paragraph>
<paragraph eId="regulation-78-4">
<num>4</num>
<intro>
<p>A sanctions notice containing reduction must include—</p>
</intro>
<subparagraph eId="regulation-78-4-a">
<num>a</num>
<content>
<p>the total amount of the reduction;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-4-b">
<num>b</num>
<content>
<p>how the reduction has been calculated; and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-4-c">
<num>c</num>
<content>
<p>the revised amount due under the energy plan.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-78-5">
<num>5</num>
<intro>
<p>A sanctions notice containing a financial penalty must include—</p>
</intro>
<subparagraph eId="regulation-78-5-a">
<num>a</num>
<content>
<p>the amount of the penalty;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-5-b">
<num>b</num>
<content>
<p>the period within which payment must be made;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-5-c">
<num>c</num>
<content>
<p>how payment may be made;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-5-d">
<num>d</num>
<content>
<p>details of the early payment discounts; and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-78-5-e">
<num>e</num>
<content>
<p>the consequences of non-payment.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-78-6">
<num>6</num>
<content>
<p>A sanctions notice containing suspension must include the date on which the suspension ceases to have effect.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-79">
<num>79</num>
<heading>Proportionality requirement</heading>
<content>
<p>Any sanction imposed under this chapter must be proportionate to the breach in relation to which it is imposed.</p>
</content>
</hcontainer>
<hcontainer name="regulation" eId="regulation-80">
<num>80</num>
<heading>Updating the register</heading>
<intro>
<p>Where the Secretary of State imposes suspension or withdrawal on an authorised person, the Secretary of State must update the relevant registers such that—</p>
</intro>
<subparagraph eId="regulation-80-a">
<num>a</num>
<content>
<p>the information in paragraphs 6 and 8 of Schedule 1 is included on the register of the person whose authorisation has been suspended or withdrawn; and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-80-b">
<num>b</num>
<content>
<p>subject to regulation 81, in the case of a green deal certification body, the information in paragraphs 6 and 8 of Schedule 1 is included in respect of the persons on its membership list.</p>
</content>
</subparagraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-81">
<num>81</num>
<heading>Deferring updating the register</heading>
<paragraph eId="regulation-81-1">
<num>1</num>
<content>
<p>The Secretary of State may defer updating the register in respect of a relevant member of a green deal certification body whose authorisation is suspended or withdrawn (a “deferral”).</p>
</content>
</paragraph>
<paragraph eId="regulation-81-2">
<num>2</num>
<intro>
<p>A deferral may be—</p>
</intro>
<subparagraph eId="regulation-81-2-a">
<num>a</num>
<content>
<p>for such period as the Secretary of State considers necessary to enable the relevant member to obtain certification from another green deal certification body;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-81-2-b">
<num>b</num>
<content>
<p>on such terms and subject to such conditions as the Secretary of State thinks fit.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-81-3">
<num>3</num>
<content>
<p>The Secretary of State must give the relevant member notice of the deferral and the terms and conditions to which it is subject.</p>
</content>
</paragraph>
</hcontainer>
</chapter>
</part>
</portionBody>
</portion>
</akomaNtoso>