2015 ESOS Guidelines Chapter 7, 8 & 9 – Sign-Off, Compliance & Appeals

This is the final chapter in our series of short posts summarising the quite complex ESOS guidelines (click on ‘Comply with ESOS’ to see the details). This one addresses the legalities to follow to complete your report – and how to appeal if you are not happy with any of the Environment Agency’s decisions.

1. Director Sign-Off

This is by no means an easy ride. Confirmation of the work at individual or lead assessor level locks the company into the penalty cycle in the event there are significant irregularities. By signing off the assessment, the board level director(s) ^# agree that they have

• Reviewed the enterprise’s ESOS recommendations
• Believe the enterprise is within the scope of the scheme
• Believe the enterprise is compliant with the scheme
• Believe the information provided is correct

Having an internal assessor requires a second board-level signature.

2. Compliance

You report compliance on the internet. This is free and you can do it at any time within the deadline. You can dip in and out of the process as many times as you wish, but must use the link in the receipting email. While this is something a board member must do, there is no reason why the lead assessor should not complete the basics. The online compliance notification addresses the following topics:

• The ESOS contact person in the enterprise
• Any aggregation / dis-aggregation during the period
• The names and contact details of the lead assessor
• The proportion of energy consumption per compliance route

The Environment Agency will acknowledge receipt. This does not constitute acceptance. You should keep the ESOS evidence pack in a safe place with at least one backup elsewhere.

3. Compliance & Enforcement Issues

In the event the Environment Agency decides your enterprise has not met ESOS requirements, it may either (a) issue a compliance notice with instructions, or (b) apply one of the following civil penalties:

• A fine of up to £5,000 for failure to maintain records
• A fine of up to £50,000 for failure to undertake an energy audit
• A fine of up to £50,000 for a false or misleading statement

Any enterprise has the right of appeal against government decisions. In the case of ESOS, this is via:

• The First-Tier Tribunal if your enterprise is England, Wales or off-shore based
• The Scottish Minister if your enterprise is based in Scotland
• The Planning Commission if your enterprise is Northern Ireland-based

The notice you appeal against will supply details of the appeal steps to take.

This blog and its companion chapters concerning the ESOS Guidelines as amended 2015 are with compliments of ecoVaro. We are the people who break ESOS data into manageable chunks of information, so that board-level directors have greater confidence in what they sign.