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The Green Deal Framework (Disclosure, Acknowledgment, Redress etc.) Regulations 2012

Draft Legislation:

This is a draft item of legislation. This draft has since been made as a UK Statutory Instrument: The Green Deal Framework (Disclosure, Acknowledgment, Redress etc.) Regulations 2012 No. 2079

CHAPTER 1Interpretation, scope, complaints

Interpretation – Part 8

51.  In this Part—

“acknowledgment” means the acknowledgment required—

(a)

to be included in a contract to which section 14(2) applies; or

(b)

to be made in connection with a transaction or arrangement to which chapter 2 of Part 7 of these Regulations applies,

which is in the form specified in the acknowledgment regulations;

“cancellation” means that the Secretary of State requires the relevant person—

(a)

to cancel the liability of the bill payer and any subsequent bill payer to make payments under an energy plan from the effective date; and

(b)

to refund to the bill payer any instalments paid under the plan in respect of a period after that date;

“compensation” means that the Secretary of State requires the improver or the notifier, as applicable, to pay to the relevant person—

(a)

except where paragraph (b) applies, an amount (as a fixed sum or in instalments) representing—

(i)

the indebtedness of the bill payer and any subsequent bill payer under the green deal plan at the effective date less the rebate on early settlement; and

(ii)

a compensatory amount being an amount equal to the cost which the relevant person has incurred as a result of the indebtedness under the green deal plan being discharged at the effective date;

(b)

where regulation 65(4) or 66(3) applies, an amount determined in accordance with that regulation;

“compliance notice” means a notice which complies with regulation 74;

“effective date” means—

(a)

except where paragraph (b) or (c) applies, the date of the breach;

(b)

where the person who was the payee on the date the sanction was imposed was not the payee on the date of the breach, the receipt date;

(c)

where the sanction is in respect of a failure to take a consumer credit modifying step, such date as the Secretary of State considers appropriate;

“eligible complaint” means a complaint made, as applicable, in accordance with regulation 55, 56, 57 or 58;

“enforcement undertaking” means a written undertaking from an authorised person accepted by the Secretary of State in accordance with regulation 54;

“intention notice” means a notice which complies with regulation 72;

“notifier” means—

(a)

the person required to provide the disclosure document to the recipient; or

(b)

the person required to secure that the acknowledgment is—

(i)

included in contracts to which section 14(2) applies; or

(ii)

given in connection with transactions or arrangements to which chapter 2 of Part 7 applies;

“ombudsman” means—

(a)

the Financial Ombudsman Service; or

(b)

the Green Deal Ombudsman;

“owner” has the meaning given in regulation 37 as if paragraph (3)(b) were omitted;

“payee” means the person who is for the time being entitled under a plan to receive instalments under that plan;

“plan” means a green deal plan or an energy plan;

“rebate on early settlement” means rebate of charges for credit within the meaning of section 95 of the 1974 Act(1);

“receipt date” means the earlier of—

(a)

the date on which a complainant makes—

(i)

an eligible complaint; or

(ii)

a complaint in accordance with regulation 60; or

(b)

the date on which the Secretary of State exercises a power conferred by this Part following the receipt of information under regulation 52(1)(c);

“recipient” means the person—

(a)

to whom the disclosure document is required to be provided; and

(b)

from whom an acknowledgment must be obtained,

in accordance with the disclosure and acknowledgment provisions;

“reduction” means that the Secretary of State requires—

(a)

the relevant person to reduce the liability of the bill payer and any subsequent bill payer to make payments under an energy plan from the effective date; and

(b)

the relevant person to refund to the bill payer any instalments paid under that plan in respect of a period after that date;

“relevant member” means any green deal assessor or green deal installer who—

(a)

is included on the membership list of the green deal certification body; and

(b)

is not included on the membership list of any other certification body;

“relevant person” means—

(a)

the green deal provider; or

(b)

where the authorisation of the provider is withdrawn, the payee;

“sanctions notice” means a notice which complies with regulation 78;

“withdrawal” means withdrawal of a person’s authorisation granted under Part 3.

No sanctions without receipt of complaints or information

52.—(1) The Secretary of State must not impose a sanction under this Part unless—

(a)an eligible complaint is referred to the Secretary of State in accordance with regulation 59;

(b)a complaint is made to the Secretary of State under regulation 60; or

(c)information is received by the Secretary of State from—

(i)a person specified in paragraph (3); or

(ii)an authorised person,

in respect of a matter described in paragraph (2).

(2) A matter referred to in paragraph (1) is any of the following—

(a)an improver has breached the consent provision;

(b)a notifier has breached the disclosure and acknowledgment provisions;

(c)an authorised person has breached the relevant requirements;

(d)a relevant person has failed to take a consumer credit modifying step.

(3) The persons specified for the purpose of paragraph (1)(c) are—

(a)the Office of Fair Trading;

(b)the ombudsman.

Sanctions

53.  Subject to chapter 3, the Secretary of State may impose under this Part the sanctions of—

(a)cancellation or reduction on a relevant person;

(b)compensation further to cancellation on an improver or a notifier, as applicable;

(c)a compliance notice on a green deal provider;

(d)a financial penalty on a green deal provider;

(e)suspension on an authorised person other than a green deal provider;

(f)withdrawal on an authorised person.

Enforcement undertakings

54.—(1) Where, in accordance with chapter 3, the Secretary of State would otherwise impose on an authorised person a sanction described in regulation 53(c) to (f) for a breach of the relevant requirements, the Secretary of State may instead accept from that person an enforcement undertaking.

(2) An enforcement undertaking must comply with regulation 82.

Eligible complaints – breach of the consent provision

55.—(1) An eligible complaint in respect of a breach of the consent provision is a complaint—

(a)by a person (“A”) described in paragraph (2) to the green deal provider; and

(b)which the provider is required to handle under the code of practice.

(2) A is a person whose permission or consent would have been required for the installation of an improvement at the property under the green deal plan, had the permission or consent been sought at the time the complaint is made to the green deal provider.

Eligible complaints – breach of the disclosure and acknowledgment provisions

56.  An eligible complaint in respect of a breach of the disclosure and acknowledgment provisions is a complaint—

(a)by the recipient to the green deal provider; and

(b)which the provider is required to handle under the code of practice.

Eligible complaints – breach of the relevant requirements

57.  An eligible complaint in respect of a breach of the relevant requirements is a complaint by the improver or the bill payer—

(a)in relation to a breach by the green deal provider or the green deal installer—

(i)to the green deal provider; and

(ii)which the provider is required to handle under the code of practice; and

(b)in relation to a breach by the green deal assessor—

(i)to the green deal assessor; and

(ii)which the assessor is required to handle under the code of practice.

Eligible complaints – failure to take consumer credit modifying step

58.  An eligible complaint in respect of a failure to take a consumer credit modifying step is a complaint—

(a)by the bill payer to the green deal provider; and

(b)which the provider is required to handle under the code of practice.

Referral of eligible complaints to the Secretary of State

59.—(1) An eligible complaint (except one to which paragraph (2) [or (3)] applies) may only be referred to the Secretary of State by an ombudsman and where—

(a)the complaint has been referred to and considered by the ombudsman in accordance with that ombudsman’s scheme; and

(b)the complaint has not been resolved to the satisfaction of the complainant.

(2) An eligible complaint in respect of the disclosure and acknowledgment provisions may only be referred to the Secretary of State by a green deal provider or a recipient.

Complaints where there is no green deal provider

60.—(1) Paragraph (2) applies where—

(a)under regulation 55, 56, 57 or 58, a complaint is not an eligible complaint unless it is made to a green deal provider; but

(b)the authorisation of that provider is withdrawn at the time the complaint is required to be made under the code of practice.

(2) Where this regulation applies, a complaint which would otherwise have been made to the green deal provider may be made to the Secretary of State.

(1)

1974 c.39; section 95 was amended by SI 2010/1010, regulation 31.

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