Implementationof the EPBD in

1. Introduction

This report provides information about theimplementation of the Energy Performanceof Buildings Directive (EPBD) in Scotland. Itupdates the previous UK‐wide reportspublished in 2010 and 2012. Theimplementation of the EPBD in the otherthree UK jurisdictions (England, Wales andNorthern Ireland) is addressed in separatereports.

The implementation of the EPBD inScotland is the responsibility of the LocalGovernment and Communities Directorate,Building Standards Division. The mainlegislation transposing the EPBD inScotland includes:

> the Building (Scotland) Regulations* 2004;

> the Energy Performance of Buildings(Scotland) Regulations* 2008.

This report introduces the most recentrequirements. It also addressescertification and inspection of systemsincluding quality control mechanisms, thetraining of Qualified Experts (EnergyAssessors), information campaigns,incentives and subsidies. For more detailsplease visit the referenced websites orcontact the responsible institution.

(*) This is the main Regulation. Subsequentamendments must also be considered, theyinclude:

> the Building (Miscellaneous Amendment)(Scotland) Regulations 2013;

> the Building (Scotland) AmendmentRegulations 2012 (SSI** 2012/209);

> the Building (Scotland) AmendmentRegulations 2011;

> the Building (Scotland) AmendmentRegulations 2010;

> the Building (Scotland) AmendmentRegulations 2009;

> the Building (Scotland) AmendmentRegulations 2008;

> the Building (Scotland) AmendmentRegulations 2007;

> the Building (Scotland) AmendmentRegulations 2006;

> the Building Standards AdvisoryCommittee (Scotland) Regulations 2004;

> the Energy Performance of Buildings(Scotland) Amendment Regulations 2013;

> the Energy Performance of Buildings(Scotland) Amendment (No. 3)Regulations 2012;

> the Energy Performance of Buildings(Scotland) Amendment Regulations 2012(SSI** 2012/190);

> the Energy Performance of Buildings(Scotland) Amendment (No. 2)Regulations 2012 (SSI** 2012/208);

> the Energy Performance of Building(Scotland) Regulations 2008.

“The Sullivan Report, A Low CarbonBuilding Standards Strategy for Scotland”,first published in 2007, and its updateshave also steered work to reduce energyuse and carbon dioxide emissions frombuildings in Scotland.

(**) SSI = Scottish Statutory Instrument.

AUTHORSLionel Delorme,AECOM

Anne‐Marie Hughes,Local Governmentand CommunitiesDirectorate(Scotland)

NATIONAL WEBSITEwww.scotland.gov.uk/Topics/Built­Environment/Building/Building­standards

theUnited KingdomSTATUS IN DECEMBER 2014

Scotland

2. Current status ofImplementation of the EPBD

I. ENERGY PERFORMANCEREQUIREMENTS

I.i. Progress and current status

In 2013, the Scottish Governmentreconvened to revisit therecommendations for stagedimprovements in energy standards for2010 and 2013. Following a consultationexercise and in consideration of theeconomic impact and timing of thechanges, a Ministerial announcement wasmade to defer the 2013 energy standardswithin Building Regulations until October2015. It was recommended thatsubsequent reviews of energy standardsfor achieving Nearly Zero Energy newBuildings should be aligned with theDirective 2010/31/EU requirement forNearly Zero‐Energy Buildings (NZEBs) from2019, where practical.

Minimum energy performancerequirements, for new buildings and forwork to existing buildings, are set out inthe Building (Scotland) Regulations 2004(as amended). Technical Handbooksprovide guidance on achieving the

standards set in the Regulations. Thesestandards were reviewed and improved in2002, 2007 and 2010 (Figures 1 and 2,where 2002 standards are used as thebaseline). Following recent review, thelatest updates of the TechnicalHandbooks[1] were to be published in late2014, setting out the changes to BuildingRegulations and guidance that will comeinto force on 1 October 2015. TheseTechnical Handbooks are the documentsmost commonly used by building sectorprofessionals rather than the Regulationsthemselves.

Scotland is continuing to make significantprogress towards the EPBD requirementfor new buildings to achieve ‘nearly zero‐energy’. In late 2014, proposals wereexpected to be put forward for furtherreview of Building Regulations to meetthe requirements of EPBD Article 9, i.e.,all new buildings (occupied/owned bypublic authorities) to be NZEB from 2019,and for all other buildings from 2021. TheGovernment will investigate whetherrecommendations for further reduction incarbon dioxide (CO2) emissions will alsodeliver ‘nearly zero‐energy’ newbuildings.

I.ii. Format of nationaltransposition and implementationof existing regulations

Two Technical Handbooks providepractical guidance on complying withBuilding Regulations. Two sections ofthese Technical Handbooks relate to theenergy requirements of the BuildingRegulations: Technical HandbookDomestic (new and existing buildings)and Technical Handbook Non‐domestic(new and existing buildings). Thesehandbooks were last updated in 2014.The handbooks include references tobest practice guides such as Eurocodes(EN). Ten criteria are set for residentialand non‐residential buildings (seebelow). Under particular circumstances(including those allowed by the EPBD),some existing buildings works may beexempted, for example smallconservatories below 50 m2. The tencriteria are:

1. Ensure that the estimated Building CO2Emission Rate (BER) is no greater thanthe Target Emission Rate (TER). Aprovision for photovoltaic panels (as apercentage of floor area) is included in

[1] All Technical Handbooks (including Energy and Sustainability Handbooks) are available atwww.scotland.gov.uk/Topics/Built­Environment/Building/Building­standards/techbooks/techhandbooks

Figure 2:Non­residential Building Regulations improvements (historical and

anticipated) for new buildings in Scotland.

Figure 1:Residential Building

Regulationsimprovements(historical and

anticipated) for newbuildings in Scotland.

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TER calculations for new residentialand non‐residential buildings.

2. Reduce heat losses through theinsulated envelope (including minimumfabric performance values, thermalbridging at junctions and airpermeability standards). Scotland‐specific Accredited Construction Detailsare available and, subject to someexceptions, airtightness testing isrequired.

3. Energy efficient space heating and hotwater systems (including controls,minimum systems performance, etc.).

4. Minimum insulation levels for pipes,ducts and vessels.

5. Energy efficient artificial and displaylighting (for example, a minimum of60 lamp lumens/circuit‐watt in offices)and controls.

6. Reduce overheating (for examplethrough the proportion and orientationof translucent glazing, solarshading/control, thermal mass, etc.)and ensure energy efficient mechanicalventilation and air‐conditioning (AC)(including controls).

7. Commissioning of building services toachieve optimum energy efficiency.

8. Written information for buildingoccupiers on the operation andmaintenance of the building servicesand energy supply systems.

9. The provision of Energy PerformanceCertificates (EPCs).

10. Metering of fuel and power ofseparate buildings/building parts and oftheir various end‐uses.

The Technical Handbooks detail thebuilding specifications to calculated theTarget Emission Rate (TER), and referencethe Scottish Building Services ComplianceGuides which set out recommendedminimum energy efficiency standards.Standards higher than many of therecommended minimum will be requiredto achieve the TER.

For residential buildings, the StandardAssessment Procedure (SAP) 2012 (detailsat www.ncm.bre.co.uk) is themethodology used throughout the UK forproducing EPCs and calculating the energyperformance of residential units todemonstrate compliance with BuildingRegulations. An EPC includes both anEnergy Efficiency (EE) Rating (which takesinto account fuel costs) and anEnvironmental Impact (EI) Rating (whichassigns carbon emissions from fuelsagainst energy used). Both ratings are

based on the energy demand for aresidential building which is calculatedusing the assessor’s inputs that describethe building and a range of standardassumptions on occupancy and use. TheEE Rating calculates energy used forheating, Domestic Hot Water (DHW),lighting and ventilation, and applies fuelcosts to that energy use to give an overallrating for the residential building.Different fuels produce different amountsof CO2 for every kWh of energy used. TheEnvironmental Impact Rating of aresidential unit is calculated by applyingthese ‘carbon factors’ to each of the fuelsused (see Table 1 for examples).

For non‐residential buildings, theSimplified Building Energy Model (SBEM),updated in 2014, must be used (details atwww.ncm.bre.co.uk). SBEM uses an AssetRating, i.e., predicted energyconsumption based on standardconditions. The Government hasdeveloped the SBEM software which isavailable free of charge. Otherproprietary software packages andinterfaces (e.g., Dynamic SimulationModels – DSMs) may be used for morecomplex buildings, providing they havebeen approved by the Government. Thesetools are also used to produce EPCs onconstruction, sale, rent and for display inlarge “public buildings”.

The Technical Handbooks refer to the useof Accredited Construction Details (ACDs)to assist compliance with BuildingRegulations. ACDs focus on providinginsulation continuity at junctions(minimising cold bridging) andairtightness, to assist designers adopting a

Table 1:Carbon emissionfactors, extractedfrom Table 12, SAP2012.

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practical approach to eliminate allreasonably avoidable thermal bridges. Anexample of the Scottish ACDs[2] is given inFigure 3.

Local Authorities administer the BuildingStandards system. They are responsiblefor granting permission for work to bedone (Building Warrant) and for acompleted building to be occupied(Completion Certificate). An EPC(including EE and EI ratings) is required atboth stages where the property isconstructed, as well as when it is sold orrented out. Local Authorities are subjectto regular monitoring and periodicinspection under a performanceframework developed by the ScottishGovernment and launched in May 2012.The intention of the new national KeyPerformance Outcome (KPO) framework isto provide more effective comparisons ofconsistency and quality of customerservice, and service outputs. Formalenforcement notices for non‐compliancewith EPC requirements are not currentlyreported under the framework.

I.iii. Cost­optimal procedure forsetting energy performancerequirements

A UK‐wide cost‐optimal report, coveringScotland, was published in May 2013.Tables 2 to 5 list the results for Scotland.

Please refer to the England report forfurther details.

I.iv. Action plan for progressiontowards Nearly Zero­EnergyBuildings (NZEBs)

National application of the NZEBdefinition

The UK national plan titled “Increasingthe number of Nearly Zero EnergyBuildings” covers all four jurisdictions:England, Wales, Northern Ireland andScotland. Please refer to the Englandreport for details.

In Scotland, the Climate Change(Scotland) Act 2009 creates a statutoryframework to deliver greenhouse gasemissions reductions. The Act sets aninterim target of a 42% reduction inemissions (compared to 1990) by 2020,and an 80% reduction target for 2050. TheScottish Government’s “Low CarbonScotland: Meeting the EmissionsReductions Targets 2010 ‐ 2022” (dated2011) sets out how Scotland can deliverits 42% target. This includes successiveimprovements in new‐build energystandards through changes to the BuildingRegulations (see Figures 1 and 2 forhistorical trends).

NZEB statistics are not maintained at theScottish or UK levels.

[2] www.scotland.gov.uk/topics/built­environment/building/building­standards

Figure 3:Illustration from ACD

for pitched roof.Extracted from ACDsfor masonry external

wall insulation.

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I.v. Implementation of the EnergyEfficiency Directive (EED)regarding building renovationand the exemplary role of publicbuildingsThe UK Department of Energy & ClimateChange (DECC) is responsible for thetransposition of the Energy EfficiencyDirective (EED) which will mostly beimplemented on a UK‐wide basis. In anumber of areas, where the DevolvedAdministrations in Northern Ireland, Walesand Scotland have responsibility forimplementation, they have opted topursue a UK‐wide approach, though insome areas implementation will beundertaken by the DevolvedAdministrations.

The UK National Energy Efficiency ActionPlan (NEEAP) was published in April 2014.It includes a Building Renovation Strategyin compliance with Article 4 of the EED.The Scottish policies and programmes todeliver this strategy include:

> the Sustainable Housing Strategy whichsets targets for 2020 on insulation,boiler efficiency, and uptake ofrenewable heat for space and waterheating;

> the Home Energy Efficiency Programmesfor Scotland (HEEPS) which includesinsulation programmes;

> the Energy Company Obligation (ECO)(to obligate larger energy suppliers todeliver energy efficiency measures toresidential premises);

> Section 63 of the Climate Change(Scotland) Act 2009 which requires non‐residential building owners to improveenergy performance and reduceemissions.

The UK decided to implement thealternative approach allowed for byArticle 5(6) and notified the Commissionof the alternative measures that will beadopted to achieve an equivalentimprovement in the energy performanceof the buildings within the CentralGovernment estate, which includesCentral Government buildings in England,and buildings for UK‐wide Governmentdepartments and in the DevolvedAdministrations. Alternative measuresinclude behavioural change, facilitiesmanagement, estate management,installing energy efficient InformationTechnology (IT) hardware, and installingenergy efficient technology.

Each year the Scottish Governmentpublishes an assessment of progress

towards improving the energy efficiencyand wider sustainability of buildings withinthe civil estate in Scotland[3]. TheGovernment has also updated itsEnvironmental Policy[4] which sets out itscommitment to continuous improvement.Targets for the future performance of thecivil estate, and actions necessary for their

[3] See www.scotland.gov.uk/Topics/Government/sustainabilityperformance/reporting/climatechangeact[4] www.gov.uk/government/uploads/system/uploads/attachment_data/file/307993/uk_national_energy_efficiency_action_plan.pdf

Table 2:New residential units. Comparison table between current requirementsand cost­optimal for Scotland.

Table 3:Existing residential units. Comparison table between currentrequirements and cost­optimal for Scotland.

Table 4:New non­residential buildings. Comparison table between currentrequirements and cost­optimal for Scotland.

Table 5:Existing non­residential buildings. Comparison table between currentrequirements and cost­optimal for Scotland.

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delivery, are embedded in an updatedCarbon Management Plan that will bepublished in late 2014. The CarbonManagement Plan is expected to save27.5 GWh by 2020. Over the last threeyears, 1.5 ₤ million (ca. 2 M€) has beenspent on energy efficiency projects inScotland including voltage optimisation,lighting upgrades, building managementsystems, and building fabric improvements.

The NEEAP[5] includes further details ofother initiatives for all UK jurisdictions.

II. REQUIREMENTS FORTECHNICAL BUILDINGSYSTEMS (TBS)

II.i. Coverage of heating,domestic hot water,air­conditioning and largeventilation systemsThe 2013 Domestic and Non‐domesticBuilding Services Compliance Guides,developed by the UK Government tosupport the English Building Regulations,have been adopted by Scotland. The twoguides are referenced in the 2014 ScottishTechnical Handbooks. Please refer to theEngland report for details.

Scotland published its own 2015 Domesticand Non‐domestic Building ServicesCompliance Guides (Figure 4) for use fromOctober 2015 in Scotland only with the2015 Technical Handbooks. Selectedextracts from the Non‐domestic Guide areincluded in Table 6.

The Technical Handbooks, which supportthe Building Regulations, includeminimum HVAC system efficiencies andreference the 2013 UK and 2015 ScottishBuilding Services Compliance Guides.

II.ii. Regulation of systemperformance, distinct fromproduct or whole buildingperformanceThe commissioning of TBS is specificallyaddressed in the Technical Handbooks tohelp ensure HVAC systems arecommissioned to achieve optimum energyefficiency. The Technical Handbooksreference relevant industry guidance,including the CIBSE Commissioning Codesand BSRIA Commissioning Guides.

II.iii. Applicability to new,replacement and upgradedsystems in existing buildingsThe Technical Handbooks include specificrequirements for residential and non‐residential buildings, they also referencethe relevant Domestic and Non‐domesticBuilding Services Compliance Guides.

In non‐residential buildings, undercertain circumstances (e.g., where newwork to an existing building includes theprovision of new fixed building servicesor extends the capacity of existing fixedbuilding services), the existing fixedbuilding services must be improved tomeet the current performancerecommendations given in the TechnicalHandbook.

II.iv. Provisions for installation,dimensioning, adjustment andcontrolThe Technical Handbooks include specificrequirements on controls andcommissioning of building servicessystems. The handbooks also referencethe relevant Domestic and Non‐domesticBuilding Services Compliance Guides.

II.v. Encouragement of intelligentmeteringRequirements for the metering of energyuse within buildings are included in theTechnical Handbook for non‐domesticbuildings. The overall aim is that eachbuilding or part of a building designed fordifferent occupation is fitted with fueland power meters. Sub‐metering shouldbe provided to allow monitoring of fueland power consumption to the variousend uses (heating, lighting, low carbonequipment, etc.). The handbookreferences industry best practice for theinstallation of sub‐meters, i.e., CIBSETM 39 Building Energy Metering.Automatic meter reading is referenced asa good practice measure, but it is notmandated.

Figure 4:Domestic and Non­

domestic BuildingServices ComplianceGuides for Scotland,

2015 Editions.

Table 6:Selected examples of

recommendedminimum energy

efficiency standards.Non­domestic

Building ServicesCompliance Guide for

Scotland, TheScottish Government,

2015 Edition.

[5] www.gov.uk/government/uploads/system/uploads/attachment_data/file/307993/uk_national_energy_efficiency_action_plan.pdf

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There are no metering/sub‐meteringrequirements for new and existingresidential buildings in the DomesticTechnical Handbook. The metering ofincoming utilities in residential buildingsis a matter reserved to the UKGovernment, i.e., it is addressed at theUK level, not by the DevolvedAdministrations such as Scotland. Utilitiesproviders (e.g., gas companies) providemeters to enable correct charging for fuelused by residential customers. SeeEngland report for more details.

II.vi. Encouragement of activeenergy­saving control(automation, control andmonitoring)

Provisions are included in both theDomestic and Non‐domestic TechnicalHandbooks for TBS to be controlled toachieve optimum energy efficiency. From2015, the Scottish Building Regulationswill give credit for the installation ofautomated monitoring systems in newnon‐residential buildings where theBuilding Emission Rate may be reduced by5% in buildings that feature AutomaticMonitoring and Targeting (AMT) withalarms for out of range values.

III. ENERGY PERFORMANCECERTIFICATES (EPCs)REQUIREMENTS

III.i. Progress and current statuson sale or rental of buildings

Overview and administration system

The overarching systems in place toproduce EPCs in Scotland are identicalacross all building sectors and broadlysimilar to those implemented in Englandand Wales.

The Scottish Government entered intoprotocols with a number of “ApprovedOrganisations” to deliver EPCs.Regulations require ApprovedOrganisations to “ensure that membersare fit and proper persons who arequalified by their education, training andexperience to carry out the preparationand issuing of EPCs”. Members ofApproved Organisations prepare and issueEPCs (and other regulatory outputs) whichmust be created using Government‐approved calculation methodologies andsoftware tools.

Under an agreed Operating Framework,Approved Organisations have specific

Quality Assurance (QA) responsibilities,for example maintaining a register ofassessors and checking at least 2% of EPCsproduced by assessors for accuracy.Assessor members of these organisationsmust comply with the terms andconditions of the Framework. From 2014,each Approved Organisation will beaudited by the Government to ensurecompliance with the OperatingFramework requirements.

All EPCs must be produced from datarecorded on the Scottish EPC Register[6]

which holds both residential and non‐residential EPCs data. EPCs may beretrieved from the register by members ofthe public using the EPC’s unique ReportReference Number (RRN). The Building(Scotland) Regulations require that theEPC is ‘affixed’ to the building, associatedguidance suggests that the EPC be locatedin a boiler or meter cupboard.

How flats are certified in apartmentbuildings

> New residential units: An EPC must beproduced for each building unit (in thesame building) which may be soldseparately, for example each apartmentin an apartment block must be providedwith an individual EPC on completion ofthe construction works.

> Existing residential units: Certificationfor individual apartments/units may bebased on the assessment of anotherrepresentative apartment/unit in thesame block. The data used in thecalculation must be verified by a visit toeach apartment/unit to be certified.Dependent upon the quality andcomprehensiveness of the existing data,such visit may not be as exhaustive as afull survey but would require theassessor to verify any data items thatare either unrecorded or potentiallysubject to change. Supporting evidenceis required to demonstrate theapartment/unit is representative.Alternatively, individual EPCs for eachapartment/unit may also be produced.

Format and content of the EPC

> Residential buildings: The EPC providesan asset rating (i.e., a calculatedenergy rating) of the current andpotential energy efficiency of thebuilding on a scale from A to G (Figure5). A is very efficient and G is the leastefficient. This asset rating is based onthe characteristics of the building itself,its services, a standardised occupancy

[6] www.scottishepcregister.org.uk

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profile and the building’s energyconsumption cost. The average EnergyEfficiency (EE) rating for a residentialbuilding in Scotland is band D (61).The EPC also includes an EnvironmentalImpact rating, which shows the effect ofa residential unit on the environment interms of CO2 emissions (Figure 6). Theaverage Environmental Impact (EI)rating for a residential building inScotland is band D (59).The first page of the EPC for new andexisting residential buildings is shown inFigure 7. The EPC includes a list of cost‐effective recommendations specific tothe residential unit to improve the

energy efficiency of the building, andindicates the potential Energy Efficiencyand Environmental Impact ratings if allcost‐effective measures wereimplemented.

> Non‐residential buildings: The first pageof the EPC for non‐residential buildingsis shown in Figure 8. Energyperformance is shown as a single CO2‐based asset rating against an A to Gscale, but differs significantly from theother UK EPCs as the banding is basedon absolute CO2 emissions, rather thanthe relative approach adopted inEngland and Wales (i.e., “actualbuilding” vs “reference/notionalbuilding”). Absolute primary anddelivered energy consumptions areshown on the EPC. The non‐residentialEPC includes one benchmark, theenergy rating if the property wereconstructed to the Building Regulationsapplicable at the time of theassessment (Figure 9). Cost‐effectiverecommendations are included in theaccompanying Recommendations Reportand are categorised as:• short term ‐ payback less than three

years;• medium term ‐ payback between

three and seven years;• long term ‐ payback more than seven

years.Other recommendations may also beprovided, based on the assessor’sinspection.

EPC activity levels

Until October 2012, only EPCs for existingresidential units were recorded on theScottish central register, the Home EnergyEfficiency Database (HEED). EPCs for newresidential units were submitted to LocalAuthorities as part of the Building Warrantprocess, and EPCs for existing non‐residential units were not recorded. Anew Scottish register has been developedand, as of January 2013, EPCs for allbuilding types (new and existing,residential and non‐residential) have beenrecorded. The number of EPCs reported inTables 7 and 8 and Figures 10 and 11reflects these historical arrangements.

Asset rating‐based EPCs are produced forbuildings on construction, sale, rent andfor display in large public buildings. Bothresidential and non‐residential EPCs arevalid for 10 years. EPCs become legallyvalid after the data used to produce themhave been recorded on the centralregister.

Figure 5:Example of

residential EnergyEfficiency bands,

asset ratings, currentand potential ratings.

Figure 6:Example of

residential EPCEnvironmental

Impact Ratings,current and potential

ratings.

Figure 7:First page of

residential EPC[7].

[7] www.scotland.gov.uk/Resource/0041/00414384.pdf

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EPCs that are recorded on the Scottishcentral register are only accessible tobuilding owners and their agents who haveaccess to the EPC unique ReportReference Number (RRN). Historical datato July 2014 is included in Tables 7 and 8,Figures 10 and 11.

Typical EPC costs

The cost of EPCs varies greatly. Indicativestarting costs, i.e., lowest market costs(based on internet search in July 2014)are comparable to England and Wales:

> for residential buildings: from 35 ₤ to60 ₤ (ca. 44 € to 75 €);

> for non‐residential buildings: from129 ₤ to 150 ₤ (ca. 160 € to 190 €).

The above costs include the registrationfee payable each time an EPC is recordedon the Scottish register. The fee forregistering a residential EPC is maximum1.15 ₤ (ca. 1.5 €) and 5.36 ₤ (ca.7.25 €) for a non‐residential EPC record.

Assessor corps

The Scottish Government worked withthose delivering EPBD services to producean Operating Framework for ApprovedOrganisations. The Framework requiresApproved Organisations to reference theUK National Occupational Standards (NOS)when establishing requirements for EnergyAssessors to deliver EPCs. The NOS specify

the qualifications and skills EnergyAssessors should meet to be accredited toproduce regulatory outputs. These aredescribed in the England report. However,only four types of registration (instead ofeight for the rest of the UK) are available

Figure 8:First page of non­residential EPC[8].

Table 7:Residential EPCs toJuly 2014, Scotland.

Table 8:Non­residential EPCsto July 2014,Scotland.

Figure 10: Residential EPCs to July 2014,Scotland. Percentages by EPC band.

Figure 11: Non­residential EPCs to July 2014,Scotland. Percentages by EPC band.

Figure 9:Non­residential EPCbenchmark.

[8] www.scotland.gov.uk/Resource/0041/00414385.pdf

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to would‐be Energy Assessors dependingon the type of the assessed building(residential or non‐residential) andwhether the building is existing or new(Table 9). Continued ProfessionalDevelopment (CPD) is required by theOperating Framework. A minimum numberof CPD hours per year is not specified bythe Scottish Government, but a minimumlevel of CPD hours is usually specified byeach Approved Organisation.

Compliance levels by sector

Compliance is the responsibility of LocalAuthorities. The Scottish Governmentdoes not monitor or hold centralcompliance data.

Enforcement with building owners andreal estate actors

Local Authorities are the enforcementauthorities in their respectivejurisdictions. They have the powers torequire building owners to produce copiesof the EPC for inspection and to takecopies if necessary. Failing to include theEPC rating in commercial media (whenmarketing a property) can also result inenforcement actions and penalties forbuilding owners. Penalties depend on thetype of building:

> for residential units the penalty is500 ₤ (ca. 625 €);

> in any other case, the penalty is1,000 ₤ (ca. 1,250 €).

Local Authorities can also considercriminal action.

At the time of writing this report, theScottish Government has no statisticalinformation detailing enforcementproceedings or penalties paid for non‐

compliance since the coming into force ofthe EPC requirements in 2008.Government is aware that complaintshave been investigated and, whereappropriate, EPCs obtained.

Quality Assurance (QA) of EPCs

From January 2013, the ScottishGovernment requires ApprovedOrganisations to undertake samplechecking of a statistically representativesample of EPCs as outlined in theOperating Framework. In effect, samplechecking repeats the calculation processusing data recorded (on the Scottishcentral register) to verify the outcomereported and to confirm that sufficientevidence was gathered and correctprocesses were used. For example, theOperating Framework requires ApprovedOrganisations to undertake QA of at least2% of the total number of EPCs producedby their Energy Assessors. Otherrequirements apply with regard to thefrequency of checks (depending on thelevel of activity of assessors), theaccuracy target from the QA (e.g., 95%of assessed EPCs within ±5%), etc. TheOperating Framework also establishesthe requirements for ScottishGovernment audits of ApprovedOrganisations.

In 2013, the total number of EPCsproduced was 252,520 of which6,181 (i.e., 2.45%) were subject to samplechecking. Most sample checks are desk‐based, i.e., no building site visit.Assessors' outputs are checked at leastevery six months, poor performance canlead to targeted auditing, retraining andultimately suspension, or being struck off.Approved Organisations who fail to meetthe terms of their protocol agreementcould ultimately have their agreementterminated by the Scottish Government.

III.ii. Progress and current statuson public and large buildingsvisited by the public

Overview

Unlike other UK jurisdictions, in Scotlandthe asset rating EPC (produced onconstruction, sale and rent) is also usedfor display in “public buildings”, ratherthan the operational rating (i.e.,measured energy rating) Display EnergyCertificate used in England, Wales, andNorthern Ireland.

From January 2013, the requirement todisplay an EPC applies to two categoriesof larger non‐residential buildings whichare frequently visited by the public:Note: levels 1 and 2 do not exist.

Table 9:Energy Assessorsqualifications and

numbers.

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> buildings occupied by public authoritieswith a floor area of 500 m² or morewhich are frequently visited bymembers of the public (“publicbuildings”) until 9 July 2015, and 250 m2

or more after this date;> other non‐residential buildings with a

floor area of 500 m² or more which arefrequently visited by members of thepublic.

The key difference between the twocategories is that public buildings mustobtain and display an EPC, while otherlarge buildings, which are frequentlyvisited by members of the public, mustdisplay the EPC only if they have one.

The EPC displayed is the same as the non‐residential EPC produced on construction,sale and rent and described in sectionIII.i.

EPCs are valid for 10 years, but may beupdated before their expiry date, e.g.,after refurbishment works. Activity levelsfor the display of EPCs are not specificallyrecorded. Non‐residential EPCs activitylevels are provided in section III.i.

III.iii. Implementation ofmandatory advertisingrequirementAn EPC must be produced when a newbuilding has been constructed (at thecompletion stage of the building warrantprocess) and if the building owner intendsto sell or rent the building to a newtenant.

For sale or rental, an existing EPC can beused if it is still valid. Otherwise a newEPC must be obtained. The EPC andaccompanying Recommendations Reportmust be available to any prospectivebuyer or tenant. From January 2013, anycommercial advertising of a building forsale or rent must contain the ‘energyperformance indicator’ from the EPC toidentify the rating of the property, e.g.,EPC = C. These responsibilities rest withthe building owner. An enforcementauthority may, if it believes that an ownerhas breached the Regulations,give a penalty charge notice to the owner.The amount payable is 500 ₤ (ca. 675 €)for residential units, or 1,000 ₤(ca. 1,350 €) for non‐residential buildings.

III.iv. Information campaignsGovernment invested in excess of40 million ₤ (ca. 50 M€) in non‐residentialenergy efficiency advice and supportprogrammes since 2007. Governmentcontinues to fund the Energy Saving Trust

to provide advice and support tobusinesses, public sector organisations,and the wider public at large to reduceenergy consumption and associated coststhrough improved energy efficiency andcarbon management.

National information campaigns have useda diversity of outlets including website,advertising (through radio, press andinformation leaflets, e.g., Figure 12),targeted seminars, guidance documents,roadshows, and proactive enforcement bya dedicated team. Information is alsoavailable on the Government website[9].

Other Government initiatives to improvethe energy efficiency of buildings havebenefited from publicity campaignssuch as the launch of the Green Deal in2013.

III.v. Coverage of the nationalbuilding stockThis section is adapted from the UKNational Energy Efficiency Action Plan(NEEAP) and gives a statistical overviewof the main features of the building stockin the UK. The UK’s building stock(including Scotland) varies widely both inage and type. The data presented inFigure 13 is taken from the Scottishcentral register of EPCs. EPCs are onlyrequired under specific circumstances sothis is not fully representative of allbuilding types.

The UK has 27 million homes, roughly2.4 million in Scotland across a wide

[9] www.scotland.gov.uk

Figure 12:Guidance leaflet “Anintroduction toEnergy PerformanceCertificates (EPCs)”,Scottish Government.

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range of housing types, including asignificant proportion of older buildings.Figure 13 shows the distribution of ca.1.14 million residential EPCs in Scotlandat the end of 2014.

There are over 1.8 million non‐residentialpremises in the UK, about 200,000 inScotland. Specific data for the energyefficiency rating by building type inScotland is not available.

EPCs recorded in 2013, for new andexisting, residential and non‐residentialbuildings in Scotland was 252,520. Therewas a total of about 12,000 non‐residential EPCs on the Scottish register atJuly 2014.

IV. INSPECTIONREQUIREMENTS – HEATINGAND AIR­CONDITIONING (AC)SYSTEMS

The UK (England, Wales, Scotland andNorthern Ireland) adopted alternativemeasures for heating systems andinspections for Air‐Conditioning (AC)systems. Please refer to the Englandreport for details of the heating systemsmeasures. Scotland‐specific schemesinclude the Energy Assistance Package,which targets fuel poverty and aims toreduce fuel bills and improve the energyefficiency of homes, Home EnergyEfficiency Programmes, and WarmerHomes Scotland.

IV.i. Progress and current statuson AC systems

Overview, technical method andadministration system

The inspections of AC equipment wasphased between January 2011 (forsystems over 250 kW) and January 2013(for systems over 12 kW). In the samebuilding, individual systems each 12 kW or

less, but totalling more than 12 kWtogether, only qualify if they are linked bya central control. Portable systems andAC of processes only (e.g,. computerequipment rather than for occupiers’comfort) do not qualify.

Building owners are subject to acontinuing requirement. This meansinspections are required throughout thelife of a new or existing building, for aslong as it has an AC system. Buildingowners must ensure that installations areinspected by an accredited expert who isa member of a “Protocol Organisation”.Accredited experts issue a report to theoccupier of the building which sets outthe timescales for the next inspection,i.e., three to five years, subject to theefficiency of the system at the time ofthe inspection. There is no requirementfor AC inspection reports to be recordedon a central register.

Arrangements for assurance,registration and promotion ofcompetent persons

The procedures to undertake ACinspections are set out in theGovernment’s General TechnicalHandbook Non‐domestic (section 0). Forthe assessment process and reporting ofadvice, reference is made to theTechnical Memorandum 44 (TM 44)Inspection of Air‐conditioning Systemspublished by the Chartered Institution ofBuilding Services Engineers (CIBSE)[10]. Thehandbook also lists the issues that shouldbe considered in setting an inspectionfrequency greater than five years.

An Operating Framework has beenestablished for organisations that haveentered into a protocol with theGovernment for the inspection of ACsystems in existing buildings. Theframework requires these “ProtocolOrganisations” to reference the UKNational Occupational Standards (NOS),which have been established for ACinspections. NOS set the minimumcompetencies and skills Energy Assessorsmust demonstrate to become accredited.Two levels of competence are available toassessors: “Level 3” for simple/packagedcooling systems, and “Level 4” forcomplex/centralised systems. See Englandreport for details.

Promotional activities

To date, the Government has not runpromotional activities specifically focusedon the inspection of AC systems.

[10] www.cibse.org/Knowledge/CIBSE­TM­(1)/TM44­Inspection­of­Air­Conditioning­Systems

Figure 13:Energy efficiencyrating of Scottish

housing stock (basedon EPC records from2008 to July 2014).

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Enforcement and penalties

Local Authorities are responsible forensuring that building owners havecommissioned an inspection of AC systems(over 12 kW) and that building occupiers arein possession of a valid inspection report.

Local Authorities may serve anenforcement notice where the buildingowner is failing to comply. If the buildingowner has not complied by the datespecified on the enforcement notice, theLocal Authority may carry out such workas is necessary to comply with the noticeand may recover, from the buildingowner, any expenses reasonably incurred.

At the end of 2014, there are no publishedScotland‐wide records of enforcementnotices imposed by Local Authorities fornon‐compliance.

Quality control of inspection reports

The Operating Framework for ProtocolOrganisations sets out minimumrequirements for the QA of inspectoroutput and process, and for the Audit ofProtocol Organisations by theGovernment. These requirements include:

> ensuring that at least 2% of the totalnumber of inspection reports arechecked for accuracy;

> ensuring that output from activeinspectors is checked at least every sixmonths; all new members should haveoutput checked within the first monthof active membership;

> Protocol Organisations to maintainrecords in a form that allowsGovernment audit of the successfulimplementation of the functions set outin the Operating Framework.

Inspection activity figures

A total of 966 inspection reports wereproduced in 2013. Note that due to theclimate in Scotland, there are relativelyfew large AC systems.

At least 2% of these reports should havebeen randomly selected and checked foraccuracy. The actual number of ACinspection reports controlled in 2013 was26, i.e., 2.7% of the reports produced inthe year.

Impact assessment

The costs of the mandatory inspection ofAC systems over 12 kW and reporting arecomparable to England and Wales costswhich are estimated as follows:

> for a centralised system 600 ₤ (ca.750 €);

> for packaged units 100 ₤ (ca. 125 €).

The principal benefit of AC inspectionswas expected to arise from the improvedefficiency and reduced electricityconsumption of existing and new systemsif the measures recommended in theinspection report were implemented.Benefits are difficult to quantifyaccurately, but very large energy savingsare expected from the replacement ofolder systems. Other benefits such asimproved workplace conditions are alsoexpected.

3. A success story in EPBDimplementation

Integration of the EPC into the Scottish‘Home Report’

In Scotland, the introduction of EPCscoincided with the introduction ofdomestic legislation to providecomprehensive information to potentialpurchasers of marketed residential units.All owners of residential units marketedfor sale have to provide a ‘Home Report’.This is a pack of three documents: a SingleSurvey, an Energy Report (which includesthe EPC) and a Property Questionnaire.The Home Report is provided free ofcharge to prospective home buyers.

The Single Survey contains anassessment by a surveyor of the condition ofthe home, a valuation and an accessibilityaudit for people with particular needs.

The Energy Report contains an assessmentby a surveyor of the energy efficiency ofthe home and its environmental impact. Italso recommends ways to improve itsenergy efficiency. The EPC and theRecommendations Report are providedwith the Energy Report.

The Property Questionnaire is completedby the seller of the home. It containsadditional information about the home,such as Council Tax banding and factoringcosts that will be useful to buyers.

The generation of the EPC as part of thisprocess provides a ‘one‐stop‐shop’ for theseller, in that a building expert provides alldocuments, following just one visit to theproperty and for a fixed fee. This processalso ensures that the EPC rating isavailable for inclusion in the advertisementand ensures a significantly high rate ofcompliance with Energy Performance ofBuildings legislation. The provision of theEPC recommendations with the buildingsurvey also assists potential buyers tomake informed choices in deciding how toimprove the energy efficiency of thebuilding if sale contracts are exchanged.

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4. Conclusions, future plans

The UK is divided into four jurisdictions:England, Wales, Scotland and NorthernIreland. In many instances the mix ofapproaches transposing the requirementsof the Energy Performance of BuildingsDirective (EPBD) differs betweenjurisdictions. In some instances similarapproaches were adopted by two or morejurisdictions. The transposition of theEPBD and associated benefits have beenand continue to be reviewed by each UKjurisdiction as part of their respectiveprogrammes to achieve national energyefficiency objectives and carbon emissionsreduction.

In some instances, these reviews validatedthe current implementation approach, forexample the Display Energy Certificates(DECs) review by CIBSE. Changes have andwill continue to be made to theimplementation instruments wheredeemed appropriate.

In Scotland, since late 2007, therecommendations of “The Sullivan Report,

A Low Carbon Building Standards Strategyfor Scotland” have steered work to reduceenergy use and carbon dioxide emissionsfrom buildings. Amongst therecommendations of the 2013 updatedreport from the Sullivan Panel was thereview of energy standards beyond 2015to be aligned with the EuropeanCommission’s timetable for delivery ofNearly Zero‐Energy new Buildings.

In addition to action to transpose theEPBD, in 2015 Scotland plans tointroduce DECs and the reporting ofoperational energy use as a componentof legislation for the assessment andimprovement of existing non‐residentialbuildings.

The Scottish Government recognises thatthe data recorded on the EnergyPerformance Certificate (EPC) register isa valuable asset, already used in supportof a number of domestic policies andinitiatives. Government plans to publishthis data to support research, modellinguses, and broader carbon and energyefficiency improvements to the buildingstock.

The sole responsibility for the content of this report lies with the authors. It does notnecessarily reflect the opinion of the European Union. Neither the EASME nor theEuropean Commission are responsible for any use that may be made of the informationcontained therein.

The content of this report is included in the book “2016 – Implementing the EnergyPerformance of Buildings Directive (EPBD) Featuring Country Reports”,ISBN 978‐972‐8646‐32‐5, © ADENE 2015

More details on the IEE Programme can be found atec.europa.eu/energy/intelligent

This individual report and the full 2016 book are available atwww.epbd‐ca.eu and www.buildup.eu

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