The Energy Savings Opportunity Scheme Regulations 2014

PART 4 U.K. ESOS Assessments

CHAPTER 1 U.K. General

Duty to carry out ESOS assessment U.K.

20.  A responsible undertaking must carry out an ESOS assessment, which includes an energy audit, in accordance with this Part.

Role of the lead assessor U.K.

21.—(1) A responsible undertaking must—

(a) appoint at least one lead assessor for the purposes of the ESOS assessment,

(b) provide any appointed lead assessor with a copy of the evidence pack maintained in accordance with regulation 28 in relation to any previous ESOS assessment in relation to the participant,

(c) ensure that the ESOS assessment is reviewed by a lead assessor.

(2) In reviewing an ESOS assessment the lead assessor must—

(a) consider whether the ESOS assessment meets the requirements of these Regulations, and

(b) notify the responsible undertaking accordingly.

[F1 (3) This regulation does not apply in relation to a participant whose total energy consumption as calculated in accordance with Chapter 2 is less than 40,000 kWh of energy.]

Textual Amendments

F1 Reg. 21(3) inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 9

[F2 Estimates U.K.

21A.— (1) Where a responsible undertaking uses an estimate in accordance with these Regulations it must record details of the method used to make the estimate.

(2) Where a responsible undertaking uses an estimate in accordance with regulations 23(7), 25A(2), 25B(3) or 26(7)(b) it must—

(a) notify the scheme administrator that an estimate was used, and

(b) record in the evidence pack, the reasons why an estimate was used.]

Textual Amendments

F2 Reg. 21A inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 10

CHAPTER 2 U.K. Energy consumption

Duty to calculate total energy consumption U.K.

22.—(1) A responsible undertaking must F3 ... calculate the participant's total energy consumption.

(2) The calculation referred to in paragraph (1) must—

(a) be carried out on or after the qualification date for the compliance period,

(b) subject to paragraph (3), be based on the energy consumption of assets held, and activities carried on, by the participant on the qualification date for that compliance period, and

(c) be based on the participant's energy consumption during the reference period.

(3) A responsible undertaking may elect to exclude from the calculation referred to in paragraph (1) energy consumed by any asset which is no longer held by it, or by any activity which is no longer carried on by it (or, in the case of two or more relevant undertakings complying with the Scheme as one participant, any asset which is no longer held, or any activity which is no longer carried on, by any of those relevant undertakings) on the compliance date.

(4) In these Regulations—

(a) “activities carried on” includes offshore activities,

(b) “assets held” includes offshore installations.

(5) The “reference period”, in relation to a compliance period, means a period of 12 consecutive months which—

(a) begins no more than 12 months before the qualification date, and

(b) ends on or before the compliance date.

Textual Amendments

F3 Words in reg. 22(1) omitted (29.11.2023) by virtue of The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 11

Energy consumption – general U.K.

23.—(1) Subject to regulation 24, the “energy consumption” of a participant means energy that is—

(a) supplied to the participant, and

(b) consumed by assets held, or activities carried on, by the participant

but excludes any energy which is supplied by the participant to another person.

(2) For the purposes of paragraph (1)—

(a) energy is supplied to a participant where—

(i) the participant (or, in the case of two or more relevant undertakings complying with the Scheme as one participant, one or more of them) agrees with a person (“S”) that S will supply energy to the participant, and the participant is supplied with energy further to that agreement,

(ii) two or more relevant undertakings agree with S that S will supply energy to them and they are supplied with energy further to that agreement, and one or more of them agrees to be the participant in relation to some or all of that energy supply, or

(iii) the participant supplies energy, other than surplus heat, to itself, and

(b) energy is supplied by a participant to another person (“R”), where the participant (or, in the case of two or more relevant undertakings complying with the Scheme as one participant, one or more of them) agrees with R that the participant will supply energy to R, and R is supplied with energy further to that agreement,

and the amount of the supply is measured.

(3) In this regulation “surplus heat” means heat generated as a by-product of an industrial process carried on by the participant (or, in the case of two or more relevant undertakings complying with the Scheme as one participant, carried on by one or more of them).

(4) Subject to regulation 24(3) and (4), the energy consumption of a participant—

(a) in the case of an offshore undertaking, excludes energy which is consumed by the participant outside the United Kingdom and offshore area,

(b) in any other case, excludes energy which is consumed by the participant outside the United Kingdom.

(5) In this regulation energy supplied or consumed is “measured” where—

(a) the amount of energy is measured in energy measurement units, or

(b) the cost of the energy is measured (“energy spend”).

(6) In calculating measured energy supplied or consumed for the purposes of this Chapter, a responsible undertaking must base that calculation—

(a) (except in the case of energy supplied by the participant to another person) on only one of the methods set out in paragraph (5), and

(b) where reasonably practicable, on verifiable data.

(7) Where verifiable data is not available for all of the reference period—

(a) the calculation may be based on reasonable estimates of the amount of energy consumed, or the energy spend F4 ...

F5 (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F4 Word in reg. 23(7)(a) omitted (29.11.2023) by virtue of The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 12(a)

F5 Reg. 23(7)(b) omitted (29.11.2023) by virtue of The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 12(b)

Energy consumption - transport U.K.

24.—(1) In relation to energy consumed for the purposes of transport, the energy consumption of a participant also includes energy that is—

(a) supplied to an individual who is authorised by the participant (or, in the case of two or more relevant undertakings complying with the Scheme as one participant, authorised by one or more of them) to receive the supply of energy for the purposes of transport, and

(b) consumed for the purposes of transport by that individual in the course of their employment by, or acting on the business of, the participant.

(2) For the purposes of these Regulations—

(a) “energy consumed for the purposes of transport” means energy used by a road going vehicle, a vessel, an aircraft or a train,

(b) “aircraft” means a self-propelled machine that can move through the air other than against the earth's surface,

(c) “road going vehicle” means any vehicle—

(i) in respect of which a vehicle licence is required under the Vehicle Excise and Registration Act 1994 M1 , or

(ii) which is an exempt vehicle under that Act,

(d) “train” has the meaning given in section 83 of the Railways Act 1993 M2 , and

(e) “vessel” means any boat or ship which is self-propelled and operates in or under water.

(3) The energy consumption of a participant includes energy which is consumed for the purposes of transport by an aircraft or a vessel during the course of any journey which—

(a) starts,

(b) ends, or

(c) both starts and ends

within the United Kingdom.

(4) Notwithstanding regulation 23(4), a participant may elect to include—

(a) energy consumed for the purposes of transport by an aircraft or a vessel, during the course of a journey which both starts, and ends, outside the United Kingdom,

(b) energy consumed outside the United Kingdom for the purposes of transport by a road going vehicle or a train.

Marginal Citations

M1 1994 c. 22.

M2 1993 c. 43, to which there are amendments not relevant to these Regulations.

Identification of areas of significant energy consumption U.K.

25.—(1) After calculating the participant's total energy consumption in accordance with this Chapter, the responsible undertaking may elect to identify the participant's “ areas of significant energy consumption” for the purposes of [F6 Chapters 2A and 3] of this Part.

(2) In these Regulations a participant's “areas of significant energy consumption” means those assets held, or activities carried on, by the participant which together account for not less than [F7 95%] of the participant's total energy consumption—

(a) measured in energy measurement units, or

(b) measured by energy spend.

[F8 (3) Where the responsible undertaking elects to identify the participant’s areas of significant energy consumption, the responsible undertaking must calculate the participant’s significant energy consumption.

(4) In these Regulations “significant energy consumption,” in relation to a participant, means the amount of the participant’s total energy consumption that is accounted for by the participant’s areas of significant energy consumption.]

Textual Amendments

F6 Words in reg. 25(1) substituted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 13(a)

F7 Word in reg. 25(2) substituted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 13(b)

F8 Reg. 25(3)(4) inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 13(c)

[F9 Conversion into kWh units U.K.

25A.— (1) Where a participant’s total energy consumption, or, if applicable, significant energy consumption, as calculated in accordance with this Chapter, is not measured in kWh, the responsible undertaking must convert the participant’s total energy consumption, or significant energy consumption into kWh.

(2) The conversion under paragraph (1) must—

(a) where reasonably practicable, be based on verifiable data, or

(b) otherwise, be based on a reasonable estimate of the amount of energy consumed in kWh.]

Textual Amendments

F9 Reg. 25A inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 14

[F10 Chapter 2A U.K. Calculations related to organisational purposes

Textual Amendments

F10 Pt. 4 Ch. 2A inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 15

Amount of energy consumption related to organisational purposes U.K.

25B.— (1) After calculating the participant’s total energy consumption in accordance with Chapter 2, the responsible undertaking must calculate—

(a) in any case where the responsible undertaking has elected to identify the participant’s areas of significant energy consumption, the amount of the participant’s significant energy consumption that is attributable to each organisational purpose expressed in kWh, or

(b) in any other case, the amount of the participant’s total energy consumption that is attributable to each organisational purpose, expressed in kWh.

(2) When added together, the results of the calculations—

(a) under paragraph (1)(a) must equal the participant’s significant energy consumption, or

(b) under paragraph (1)(b) must equal the participant’s total energy consumption.

(3) The calculations under paragraph (1)(a) or (b) must—

(a) where reasonably practicable, be based on verifiable data, or

(b) otherwise, be based on a reasonable estimate of the amount of the participant’s significant energy consumption or the amount of the participant’s total energy consumption, as the case may be, that is attributable to the organisational purpose.

Energy Intensity Ratio U.K.

25C.— (1) After carrying out the calculations referred to in regulation 25B(1)(a) or (b), the responsible undertaking must calculate at least one energy intensity ratio in relation to each organisational purpose.

(2) Paragraph (1) does not apply in relation to an organisational purpose if the result of the calculation carried out under regulation 25B(1) in respect of the organisational purpose is zero.

(3) In these Regulations, an “energy intensity ratio” in relation to an organisational purpose, is a ratio which expresses A in relation to B, where—

“A” is the result of the calculation carried out under regulation 25B(1) in respect of the organisational purpose, and

“B” is a quantifiable factor associated with assets held, or activities carried out by the participant for the organisational purpose, over the reference period.]

CHAPTER 3 U.K. Energy savings opportunities

Duty to carry out an energy audit U.K.

26.—(1) Subject to Part 6, a responsible undertaking must carry out an energy audit in accordance with this Chapter—

(a) in any case where the responsible undertaking has identified the participant's areas of significant energy consumption, in relation to those areas of significant energy consumption, or

(b) in any other case, in relation to the participant's total energy consumption.

(2) A responsible undertaking may elect to comply with the requirements of paragraph (1) by carrying out two or more energy audits, each relating to a different area of the participant's energy consumption.

(3) So far as reasonably practicable, an energy audit must be based on verifiable data evidencing the participant's energy consumption in relation to its areas of significant energy consumption (or, where paragraph (1)(b) applies, its total energy consumption), measured in energy measurement units, over a 12 month period.

[F11 (3A) An energy audit must include visits to sites that the responsible undertaking considers are representative of how energy is used by the assets held, and activities carried on, by the participant during the 12 month period referred to in paragraph (3).]

(4) Subject to paragraph (5), the 12 month period referred to in paragraph (3) must be a period of 12 consecutive months which—

(a) in relation to the initial compliance period, begins—

(i) no earlier than 6th December 2010, and

(ii) no more than 24 months before the commencement of the energy audit,

(b) in relation to a subsequent compliance period, begins—

(i) no more than 12 months before the start of the compliance period, and

(ii) no more than 24 months before the commencement of the energy audit, and

ends on or before the compliance date for that compliance period.

(5) The 12 month period must be such that no data is used as the basis for energy audits carried out in more than one compliance period.

(6) Where a responsible undertaking elects, in accordance with paragraph (2), to carry out two or more energy audits in relation to different areas of its energy consumption, the participant may use different 12 month periods for each of those audits.

(7) In any case where verifiable data evidencing the participant's energy consumption is not available for a 12 month period in accordance with paragraph (3), the energy audit may be based on—

(a) verifiable data evidencing the participant's energy consumption over a shorter period, provided that the requirements of paragraph (4) are complied with, or

(b) a reasonable estimate of the participant's energy consumption over the 12 month period referred to in paragraph (3).

F12 (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F13 (9) The responsible undertaking must record details of how it has carried out each energy audit in accordance with this Chapter including—

(a) the period during which the energy audit was carried out,

(b) the 12 month period to which the energy audit relates,

(c) as measured in accordance with paragraph (3)—

(i) the participant’s energy consumption in relation to its areas of significant energy consumption, or

(ii) where paragraph (1)(b) applies, the participant’s total energy consumption,

(d) the number of sites at which the participant holds assets, or carries on activities, to which the energy audit relates,

(e) the number of sites visited for the energy audit,

(f) the reasons why the sites visited for the energy audit are considered to be representative of how energy is used by the range of assets held, and activities carried on, by the participant during the 12 month period to which the energy audit relates, and

(g) where paragraph (7)(a) applies, details of the extent to which, and the reasons why, 12 months’ verifiable data was not used.]

Textual Amendments

F11 Reg. 26(3A) inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 16(1)(a)

F12 Reg. 26(8) omitted (29.11.2023) by virtue of The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 16(1)(b)

F13 Reg. 26(9) inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 16(1)(c)

Identification of energy saving opportunities U.K.

27.—(1) An energy audit must, so far as reasonably practicable—

(a) analyse the participant's energy consumption and energy efficiency,

(b) identify any way in which the participant can improve its energy efficiency,

(c) recommend any measure falling within sub-paragraph (b) which is reasonably practicable and cost effective for the participant to implement (an “energy saving opportunity”), F14 ...

[F15 (d) in respect of each energy saving opportunity—

(i) identify the organisational purpose to which the energy saving opportunity most closely relates,

(ii) identify the energy saving category to which the energy saving opportunity most closely relates,

(iii) identify any considerations relevant to the implementation of the energy saving opportunity, including, if applicable—

(aa) any considerations arising from an obligation of any person under Part 3 of the Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015, in relation to any buildings used by the participant, and

(bb) information on any schemes under which grants or public funds from the United Kingdom Government, Scottish Government, Welsh Government or Northern Ireland Government may be available to support implementation of the energy saving opportunity,

(iv) estimate, in pounds, the costs and benefits of implementing the energy saving opportunity,

(v) identify any other non-financial costs and benefits that are not included in the estimate referred to in sub-paragraph (iv),

(vi) estimate the annual reduction in energy spend and the annual reduction in energy consumption which would be achieved as a result of implementing the energy saving opportunity, and

(vii) calculate the payback period for the energy saving opportunity, and]

[F16 (e) recommend a programme for implementation of the energy saving opportunities (if any), including—

(i) a timescale for implementation of the energy saving opportunities,

(ii) the estimated costs and benefits of implementing the programme, and

(iii) the payback period calculated for the programme.]

(2) The analysis required by paragraph (1)(a) must, where appropriate and reasonably practicable, be based on “energy consumption profiles”.

(3) For the purposes of this regulation, “energy consumption profile” means—

(a) a breakdown of the different ways in which energy is consumed by activities carried on, and assets held, by the participant, and

(b) where appropriate, an analysis of any variations in that energy use.

(4) For the purposes of paragraph (1)(c), whether a measure is cost effective to implement must be determined by reference to—

(a) the estimated reduction in energy consumption which would be achieved as a result of the measure being implemented, calculated in terms of energy measurement units or energy spend, and

(b) the estimated cost of implementing the measure.

(5) Whenever practicable, the cost of implementing a measure must be based on an analysis of whether the investment in the measure will be economical over its entire life, taking into account the costs of implementing the measure, including the costs of purchase, installation, maintenance, and depreciation.

(6) In any case where the energy audit does not include an analysis based on energy consumption profiles, the responsible undertaking must—

(a) notify the scheme administrator accordingly, and

(b) record details of the alternative method of analysis used and the extent to which, and the reasons why, the energy audit does not include an analysis based on energy consumption profiles.

[F17 (7) In these Regulations—

“payback period” in relation to an energy saving opportunity or programme means the period of time in years calculated as—

where—

• “a” is the estimated cost of implementing the energy saving opportunity or programme, and

• “b” is the estimated reduction in energy costs per year from implementing the energy saving opportunity or programme.]

Textual Amendments

F14 Word in reg. 27(1)(c) omitted (29.11.2023) by virtue of The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 17(1)(a)

F15 Reg. 27(1)(d) substituted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 17(1)(b)

F16 Reg. 27(1)(e) inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 17(1)(c)

F17 Reg. 27(7) inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 17(2)

[F18 Chapter 3A U.K. ESOS Report

Textual Amendments

F18 Pt. 4 Ch. 3A inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 18

ESOS Report U.K.

27A.— (1) A responsible undertaking must produce an ESOS report in relation to each ESOS assessment.

(2) Paragraph (1) does not apply in relation to an ESOS assessment carried out for a compliance period ending on or before 5th December 2019.

(3) The ESOS report must be produced before the compliance date for the compliance period to which the ESOS assessment relates.

(4) In these Regulations, an “ESOS report” is a written record containing—

(a) the information required by paragraph (5),

(b) where the responsible undertaking has conducted an energy audit under Chapter 3, the information required by paragraph (6),

(c) where the participant is deemed to have complied with Chapter 3 by virtue of Part 6, the information required by paragraph (7),

(d) the information specified in column 1 of Tables A, C and E in Schedule 3,

(e) where the responsible undertaking is one of two or more relevant undertakings complying with the Scheme as one participant, the information specified in column 1 of Table B in Schedule 3, and

(f) where a lead assessor is required to be appointed under regulation 21, the information specified in column 1 of Table D in Schedule 3.

(5) An ESOS report must include—

(a) the participant’s total energy consumption,

(b) where the responsible undertaking has elected to identify the participant’s areas of significant energy consumption, the participant’s significant energy consumption, expressed in kWh, and the percentage of the participant’s total energy consumption it represents,

(c) the energy intensity ratios calculated in accordance with regulation 25C, and

(d) an estimate of energy savings achieved by the participant, produced in accordance with regulation 27B(1).

(6) Where a responsible undertaking has conducted an energy audit under Chapter 3, the ESOS report must include in relation to the energy audit—

(a) the information required to be recorded in accordance with sub-paragraphs (a) to (f) of regulation 26(9),

(b) a description of the analysis carried out in accordance with regulation 27(1)(a),

(c) the information referred to in sub-paragraphs (b) to (e) of regulation 27(1),

(d) the sum of all the estimates made in accordance with regulation 27(1)(d)(vi) (annual reductions in energy spend and energy consumption),

(e) for each organisational purpose, the sum of the estimates made in accordance with regulation 27(1)(d)(vi) in respect of energy saving opportunities that are identified in accordance with regulation 27(1)(d)(i) as most closely relating to that organisational purpose, and

(f) for each energy saving category, the sum of the estimates made in accordance with regulation 27(1)(d)(vi) in respect of any energy saving opportunities that are identified in accordance with regulation 27(1)(d)(ii) as most closely relating to that energy saving category.

(7) Where the participant is deemed to have complied with Chapter 3 by virtue of Part 6, an ESOS report must include—

(a) where compliance is by virtue of regulation 33 (compliance with ISO 50001), information on which assets held, or activities carried on by the participant fall under the certified energy management system,

(b) where compliance is by virtue of regulation 34 (display energy certificates and green deal assessments), information on which assets held, or activities carried on by the participant are connected to a building referred to in regulation 34(1),

(c) the percentage of the participant’s total energy consumption that falls within regulation 33(2) or 34(2),

(d) any way in which the participant can improve its energy efficiency that is recommended to the participant through its method of deemed compliance with Chapter 3 (“an energy saving measure”),

(e) to the extent that the participant has obtained the information through its method of deemed compliance with Chapter 3—

(i) the organisational purpose and the energy saving category to which each energy saving measure most closely relates,

(ii) the estimated annual reduction in energy spend and energy consumption from implementing each energy saving measure,

(iii) the sum of all the estimates made in accordance with paragraph (ii),

(iv) for each organisation purpose, the sum of the estimates made in accordance with paragraph (ii) in respect of any energy saving measures that are identified in accordance with paragraph (i) as most closely relating to that organisational purpose, and

(v) for each energy saving category, the sum of the estimates made in accordance with paragraph (ii) in respect of any energy saving measures that are identified in accordance with paragraph (i) as most closely relating to that energy saving category,

(f) considerations relevant to the implementation of each energy saving measure, including, if applicable—

(i) any considerations arising from an obligation of any person under Part 3 of the Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015, in relation to any buildings used by the participant, and

(ii) information on any existing schemes under which grants or public funds from the United Kingdom Government, Scottish Government, Welsh Government or Northern Ireland Government may be available to support implementation of the energy saving measure, and

(g) a programme, including a timescale, for implementation of the energy saving measures (if any).

(8) In this regulation—

(a) references to a participant’s method of deemed compliance with Chapter 3 mean—

(i) where compliance is by virtue of regulation 33, the certified energy management system referred to in that regulation,

(ii) where compliance is by virtue of regulation 34(1)(a), the display energy certificate referred to in that regulation,

(iii) where compliance is by virtue of regulation 34(1)(b), the qualifying Green Deal assessment referred to in that regulation.

(b) references to a participant’s total energy consumption are references to the participant’s total energy consumption, in kWh, as calculated in accordance with Chapter 2.

Energy savings since the previous compliance date U.K.

27B.— (1) In preparation of an ESOS report under regulation 27A, a responsible undertaking must produce an estimate of energy savings achieved by the participant in the period beginning immediately after the previous compliance date and ending on the compliance date for the compliance period to which the ESOS report relates.

(2) The responsible undertaking must also—

(a) estimate the proportion of the energy savings referred to in paragraph (1) that most closely relates to each organisational purpose,

(b) identify, where reasonably practicable, the measures implemented by the participant to achieve the energy savings referred to in paragraph (1), and

(c) for each measure identified in accordance with sub-paragraph (b)—

(i) identify the energy saving category to which the measure most closely relates, and

(ii) calculate the payback period for the measure.

(3) Paragraph (2)(c) does not apply to a measure unless the energy saving category to which the measure most closely relates, and the payback period for the measure, has been previously identified and calculated, as the case may be, in an energy audit under Chapter 3.

(4) In this regulation, “payback period” has the same meaning in relation to a measure as it has in regulation 27(7) in relation to an energy saving opportunity or programme.

Disclosure of information to group undertaking U.K.

27C.— (1) Subject to paragraphs (2) and (3), where there is any group undertaking in relation to the responsible undertaking on the qualification date for the compliance period to which the ESOS report relates, the responsible undertaking must disclose to the group undertaking those parts of the ESOS report and the evidence pack relevant to the group undertaking.

(2) The responsible undertaking is not required to disclose any part of the evidence pack to the group undertaking unless the participant is deemed to have complied with Chapter 3 by virtue of Part 6.

(3) To the extent that disclosure of those parts of the ESOS report or the evidence pack relevant to the group undertaking is prohibited by law—

(a) paragraph (1) does not apply, and

(b) the responsible undertaking must notify the scheme administrator using the Notification System identifying—

(i) the parts of the ESOS report or the evidence pack that the responsible undertaking is prohibited from disclosing to the group undertaking, and

(ii) the reasons why the responsible undertaking considers that disclosure of those parts of the ESOS report or the evidence pack is prohibited by law.

(4) For the purposes of this regulation, the parts of an ESOS report and evidence pack relevant to a group undertaking are those parts identifying—

(a) where the responsible undertaking has conducted an energy audit under Chapter 3—

(i) any energy saving opportunity which relates to energy consumed, assets held, or activities carried on by the group undertaking,

(ii) the estimated costs and benefits of implementing any such energy saving opportunity,

(iii) any considerations relevant to the implementation of any such energy saving opportunity, and

(iv) any analysis of energy consumption and energy efficiency carried out in accordance with regulation 27(1)(a), including any energy consumption profiles produced in accordance with regulation 27(2) and (3) which relates to energy consumed, assets held, or activities carried on by the group undertaking, and

(b) where the participant is deemed to have complied with Chapter 3 by virtue of Part 6—

(i) where compliance is by virtue of regulation 33, any information under an ISO50001 energy management system as defined in that regulation relating to energy reviews which may relate to such group undertaking,

(ii) where compliance is by virtue of regulation 34, any display energy certificate as defined in that regulation which may relate to such group undertaking,

(iii) documented outputs of qualifying Green Deal assessments as defined in regulation 34 which may relate to such group undertaking,

(iv) any energy saving measure which relates to energy consumed, assets held, or activities carried on, by the group undertaking, and

(v) any considerations relevant to the implementation of any such energy saving measure.]

CHAPTER 4 U.K. Records

Evidence packs U.K.

28.—(1) A responsible undertaking must maintain a written record in relation to each ESOS assessment carried out by it (the “evidence pack”) which includes—

(a) records of any data used for the purposes of—

(i) the calculation of total energy consumption under Chapter 2 of this Part,

(ii) the identification of areas of significant energy consumption under regulation 25,

(iii) the energy audit under Chapter 3 of this Part, including in particular the identification of energy saving opportunities under regulation 27,

(b) evidence of the certification of any certified energy management system, and any display energy certificate or qualifying Green Deal assessment, relied on by the participant in accordance with Part 6,

(c) any agreement made in accordance with regulation 19(3), or paragraph 2, 4, 6, 7 [F19 , 7A, 7B] or 11 of Schedule 2,

(d) the notification given by the lead assessor under regulation 21(2)(b), F20 ...

(e) any information recorded [F21 in accordance with regulation 21A(1), 27(6)(b), 34A(5)(b) or 34B(5)(b)],

[F22 (f) any ESOS report,

(g) the information notified to the scheme administrator in accordance with regulation 29,

(h) any ESOS action plan, and

(i) any ESOS progress update.]

[F23 (2) The evidence pack must be kept—

(a) in relation to the initial compliance period, until at least 5th June 2024, and

(b) in relation to any other compliance period, for at least two subsequent compliance periods following the compliance period to which it relates.]

Textual Amendments

F19 Words in reg. 28(1)(c) inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 19(1)(a)

F20 Word in reg. 28(1)(d) omitted (29.11.2023) by virtue of The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 19(1)(b)

F21 Words in reg. 28(1)(e) substituted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 19(1)(c)

F22 Reg. 28(1)(f)-(i) inserted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 19(1)(d)

F23 Reg. 28(2) substituted (29.11.2023) by The Energy Savings Opportunity Scheme (Amendment) Regulations 2023 (S.I. 2023/1182), regs. 1(2), 19(2)