Citation and commencement

1. These Regulations may be cited as the Home Energy Efficiency Scheme Regulations 1997 and shall come into force on 1st July 1997.

Interpretation

2. In these Regulations,-

"the 1992 Act" means the Social Security Contributions and Benefits Act 1992(2);

"the 1992 Regulations" means the Home Energy Efficiency Grants Regulations 1992(3);

"area agency" means, except in paragraph (1) of regulation 3 and paragraphs 1 and 3 of Schedule 1, the person or the body of persons for the time being appointed and responsible for the locality in question under that regulation (the administering agency);

"energy advice" means advice on reducing or preventing the wastage of energy in a dwelling;

"materials-only application" means an application in which the applicant does not propose that a registered installer will carry out (or arrange for the carrying out of) the works in respect of which grant is sought;

"registered installer" means a person or body of persons for the time being appointed under paragraph 8 of Schedule 1 in respect of a locality (the network installer);

"works" means any of the works, materials or energy advice specified in regula- tion 5;

"works application" means an application in which the applicant proposes that a registered installer will carry out (or arrange for the carrying out of) the works in respect of which a grant is sought.

Area agencies

3.-(1) The Secretary of State may appoint a person or body of persons, known as an area agency, to perform in any area such functions as he may specify for the purpose of, or otherwise in connection with, the making of grants.

(2) Schedule 1 shall have effect with respect to each area agency.

Persons who may apply for a grant

4.-(1) An application for a grant for works in respect of a dwelling may be entertained from a person who is the householder of the dwelling and lives in the dwelling as his only or main residence and who, at the time the application is made,-

(a)has attained, or lives with his spouse who has attained, the age of 60;

(b)is, or lives with his spouse who is, in receipt of a benefit to which paragraph 2 applies.

(2) This paragraph applies to-

(a)an attendance allowance, that is to say-

(i)an attendance allowance under Part III to the 1992 Act;

(ii)an increase of an allowance which is payable in respect of constant attendance under a scheme under, or having effect under, paragraph 4 of Part I of Schedule 8 to the 1992 Act(4);

(iii)a payment made under article 14, 15, 16, 43 or 44 of the Personal Injuries (Civilians) Scheme 1983(5) or any analogous payment;

(iv)any payment based on need for attendance which is paid with a war disablement pension; or

(v)any payment intended to compensate for the non-payment of a payment, allowance or pension mentioned in any of sub-paragraphs (i) to (iv) of this definition;

(b)a disability living allowance (as provided for in Part III of the 1992 Act), a disability working allowance, council tax benefit, family credit, housing benefit and income support (each as provided for in Part VII of the 1992 Act) and an income-based jobseeker's allowance (within the meaning of the Jobseekers Act 1995(6)); and

(c)a war disablement pension within the meaning of section 139(11) of the Social Security Administration Act 1992(7) or under article 10 of the Naval, Military and Air Forces etc. (Disablement and Death) Service Pensions Order 1983(8), so far as that Order is made otherwise than under the Air Force (Constitution) Act 1917(9), together with-

(i)a mobility supplement under article 26A of the Naval, Military and Air Forces etc. (Disablement and Death) Service Pensions Order 1983(10) (including such a supplement payable by virtue of the application of that article by any other scheme or order) or under article 25A of the Personal Injuries (Civilians) Scheme 1983 (including that article as applied by article 48A of that Scheme)(11), or a payment intended to compensate for the non-payment of such a supplement, or

(ii)a payment under regulations made under paragraph 7(2)(b) of Schedule 8 to the 1992 Act (constant attendance allowance).

(3) For the purposes of this regulation,-

"householder" means a person who, alone or jointly with others, is-

(a)in England and Wales, a freeholder or tenant, and "tenant" includes a sub-tenant and a person who has-

(i)a protected occupancy or a statutory tenancy under the Rent (Agriculture) Act 1976(12);

(ii)a statutory tenancy under the Rent Act 1977(13);

(iii)a secure tenancy under Part IV of the Housing Act 1985(14) or an introductory tenancy under Chapter I of Part V of the Housing Act 1996(15);

(iv)a licence to occupy which meets the conditions in paragraph 12(a) and (b) of Schedule 1 to the Housing Act 1985(16) (almshouse licences); or

(v)an assured agricultural occupancy under Part I of the Housing Act 1988(17); and

(b)in Scotland, an owner or tenant and "owner" includes any person who under the Lands Clauses Acts(18) would be enabled to sell and convey land to the promoters of an undertaking, and "tenant" includes a sub-tenant and a person who-

(i)is a statutory tenant under section 3(1) of the Rent (Scotland) Act 1984(19);

(ii)has entered into a contract to which Part VII of that Act applies;

(iii)has a licence to occupy a dwelling which, if the dwelling were situated in England and Wales, would meet the conditions in paragraph 12(a) and (b) of Schedule 1 to the Housing Act 1985 (almshouse licences); or

(iv)is a cottar within the meaning of section 12(5) of the Crofters (Scotland) Act 1993(20); and

• "spouse" includes a person with whom the applicant lives as husband or wife.

Purposes for which a grant may be approved

5.-(1) A works application for a grant may be approved for not more than one of the following purposes-

(a)to provide insulation in any accessible roof space in the dwelling, including the insulation of any cold water tank and any water supply, overflow and expansion pipes in such a space;

(b)to provide insulation between the internal and external leaves of cavity walls of the dwelling;

(c)to improve the energy efficiency of any space or water heating system installed in the dwelling;

(d)to provide draught proofing to or in the dwelling together with additional means of ventilation for any rooms which would otherwise be inadequately ventilated after such provision.

(2) Where a works application is approved for one of the purposes set out in paragraph (1), grant may also be approved for the provision of any of the following-

(a)energy advice;

(b)energy efficient lamps;

(c)insulation to any water heating system or part of such system installed in the dwelling.

(3) A materials-only application for a grant may be approved for any of the following-

(a)the provision of insulation in any accessible roof space in the dwelling, including the insulation of any cold water tank and any water supply, overflow and expansion pipes in such a space;

(b)the provision of energy efficient lamps;

(c)the provision of insulation to any water heating system or part of such system installed in the dwelling,

save that no grant shall be made for purpose (b) or (c) alone.

(4) No application shall be approved unless the dwelling and the subject-matter of each category of works mentioned in the application meets such conditions as may be specified from time to time by the area agency with the consent of the Secretary of State.

(5) All works shall comply with such standards as to materials, workmanship, and energy-efficiency performance of the subject-matter of the works as may be laid down from time to time by the area agency with the consent of the Secretary of State.

(6) For the purposes of this regulation, "roof space" means space between the roof of a dwelling and the ceiling of any room used or availble for use for the purpose of living accommodation, that space not being wholly separated from the roof by any other room.

Calculation of amount of grant

6.-(1) An area agency shall not pay a total amount of grant in respect of an application exceeding-

(a)in the case of a works application, the amount properly charged for the works carried out or £315, whichever is the lesser, and

(b)in the case of a materials-only application, the amount properly charged for the materials purchased for and used in the works carried out or £160, whichever is the lesser.

(2) Subject to paragraph (1), an area agency shall have power, with the consent of the Secretary of State, to specify-

(a)a maximum amount of grant which may be paid, and

(b)a grant-calculation basis, expressed in terms of amounts per unit of measurement,

for any category or combination of categories of works.

(3) Where the applicant qualifies for grant by virtue only of sub-paragraph (a) of regulation 4(1), the maximum amount of grant and the grant-calculation basis applicable to any category of works, and the maximum amount of grant payable in respect of the application, shall be one-quarter of the amount or basis which would otherwise apply.

Applications for grant

7.-(1) A works application for a grant shall be made for preliminary vetting to the registered installer (or one of the registered installers) for the locality in question who, in accordance with regulation 8, shall forward the application to the area agency.

(2) A materials-only application shall be made to the area agency.

(3) An application shall be in writing, signed either by the applicant or by a person specified or of a description specified by the area agency and shall be in such form, subject to paragraph (4), as is laid down by the area agency.

(4) A form of application shall contain such particulars as may be specified from time to time by the area agency with the consent of the Secretary of State and shall include-

(a)particulars of the works in respect of which the grant is sought;

(b)a statement of the criteria of eligibility set out in regulation 4 which are fulfilled by the applicant;

(c)(i)in the case of a works application, the name of the proposed registered installer, and a declaration signed by or on behalf of that registered installer that any necessary permission for the works has been obtained; and

(ii)in the case of a materials-only application, a statement that any necessary permission for the works has been obtained;

(d)a statement that reasonable access to the dwelling in respect of which the application is made will be given to a representative of the area agency to inspect the dwelling and the works;

(e)a statement that neither the applicant nor, to his knowledge, any other person has applied, or proposes to apply, for grant or assistance in respect of any of the works which are comprised in the application, or any works having the same or substantially the same purpose, under any of the following provisions or arrangements:-

(i)the Homes Insulation Act 1978(21);

(ii)section 521 of the Housing Act 1985(22);

(iii)Part XIII of the Housing (Scotland) Act 1987(23);

(iv)Part VIII of the Local Government and Housing Act 1989(24);

(v)Chapter I or III of Part I of the Housing Grants, Construction and Regeneration Act 1996(25);

(vi)a scheme operated by the Energy Saving Trust using monies paid under section 153(1) of the Environmental Protection Act 1990(26);

• and

(f)a statement that neither the applicant nor, to his knowledge, any other person has received or applied for grant or assistance under section 15 of the Social Security Act 1990(27) in respect of the dwelling which is the subject of the application.

Works applications: duties of registered installer

8.-(1) Where a works application complying with regulation 7 has been received by a registered installer, the registered installer shall consider whether there appears to be eligiblity for grant and compliance with any conditions applicable under regulation 5(4) to the dwelling and the subject-matter of the proposed works.

(2) If not satisfied that there is eligibility for grant and compliance with any applicable conditions, the registered installer shall so notify the applicant in writing and shall forward the application promptly to the area agency for determination.

(3) If satisfied that there is eligibility for grant and compliance with any applicable conditions, the registered installer shall decide whether, pending determination of the application by the area agency, he is prepared to carry out the works on the basis that, except in a case where the application for grant is not approved or the claim not paid by the area agency by reason of a material misrepresentation, the applicant shall be liable to pay in respect of the works only such amount as has been agreed in writing between the applicant and the registered installer before the making of the application as representing the amount by which the full cost of the works exceeds the amount of grant applied for.

(4) If the registered installer is so prepared, he shall-

(a)promptly notify the applicant in writing that he is prepared to carry out the works on the basis that, subject to the liability of the applicant as described in paragraph (3), he will, in the event that the area agency do not approve the application, make no claim against the applicant for the cost of that part of the works which would have been grant-aided had a grant been made; and

(b)when the works have been completed, promptly send the application to the area agency for determination, endorsed with-

(i)a claim for payment complying with regulation 10(2), and

(ii)a signed and dated certificate that the applicant's eligibility for grant, and the compliance of the dwelling as a whole and of the subject-matter of the proposed works with any conditions applicable under regulation 5(4), have been verified in accordance with such requirements as may be laid down from time to time by the area agency.

(5) If the registered installer is not so prepared, he shall promptly send the application to the area agency for determination and notify the applicant in writing that he is awaiting determination of the application by the area agency.

(6) In a case to which paragraph (2) or (5) applies, and where the area agency have approved and returned the application to the registered installer pursuant to regulation 9(4)(b)(ii), when the registered installer has completed the works, he shall promptly return the application, endorsed with a claim for payment complying with regulation 10(2), to the area agency.

(7) For the purposes of this regulation, "material misrepresentation" means any representation made by or on behalf of the applicant in respect of any of the matters relating to eligibility for grant which is false in a material particular.

Works applications: approval by area agency

9.-(1) This regulation applies where an area agency receives a works application made in accordance with regulation 7 and forwarded by a registered installer in accordance with paragraph (2), (4) or (5) of regulation 8.

(2) The area agency shall not approve an application to which paragraph (1) refers unless they are satisfied-

(a)that the applicant is eligible for grant,

(b)that any applicable conditions under regulation 5(4) are complied with, and

(c)that a contract for the carrying out of the works which contains terms specified by the area agency (and no other terms)-

(i)in the case of an application forwarded under regulation 8(4), has been entered into, and

(ii)in any other case, will be entered into,

between the applicant and the registered installer.

(3) If the area agency are satisfied as to the matters set out in paragraph (2), they shall determine whether there are or are likely to be sufficient funds to make payment of the grant.

(4) Where the area agency approve the application, they shall promptly-

(a)in the case of an application received pursuant to regulation 8(4)(b), notify the registered installer of the approval; and

(b)in the case of an application received pursuant to regulation 8(2) or (5),-

(i)notify the applicant and the registered installer of the approval, and

(ii)return the application to the registered installer.

(5) Where an area agency refuse the application, they shall promptly notify the applicant and the registered installer in writing of their refusal and of the reasons for their refusal.

Works applications: payment of grant by area agency

10.-(1) An area agency shall not pay a grant in respect of a works application unless-

(a)the works in respect of which the grant was approved have been completed by the registered installer specified in the application, or by another registered installer approved by the area agency for the purpose of carrying out those works;

(b)a claim in respect of those works complying with paragraph (2) accompanies the application; and

(c)in a case in which the area agency have inspected the dwelling, they are satisfied that the works comply with the standards (if any) applicable under regulation 5(5)-

(i)in a case to which regulation 8(4) applies, as at the date when the application was received by the registered installer, and

(ii)in any other case, as at the date when the application was received by the area agency.

(2) Subject to paragraph (3), a claim for payment of a grant arising out of a works application shall be in such form as is specified by the area agency and shall be endorsed upon the form of application (if any) specified by the area agency for that description of works application.

(3) The claim for payment shall contain such particulars as may be specified by the area agency and shall include signed and dated declarations as follows:-

(a)by the applicant (or a person specified or of a description specified by the area agency) and the registered installer, that the works have been carried out;

(b)by the registered installer, that the works were not started before notice was given to the applicant in accordance with paragraph (4)(a) of regulation 8 or, in a case to which paragraph (2) or (5) of that regulation applies, to the applicant and the registered installer in accordance with regulation 9(4)(b)(i); and

(c)by the registered installer, that the works comply with the standards (if any) applicable under regulation 5(5)-

(i)in a case to which regulation 8(4) applies, as at the date when the application was received by the registered installer, and

(ii)in any other case, as at the date when the application was received by the area agency.

(4) Where the conditions for payment are satisfied, the area agency shall, within a reasonable time after the conditions for payment have been satisfied, pay the grant on behalf of the applicant to the registered installer.

(5) Where the registered installer specified in the application has carried out the works but the condition set out in paragraph (1)(c) is not satisfied and the applicant arranges for another registered installer ("the second installer") to complete the works so that that condition is satisfied, the area agency shall, within a reasonable time of that condition and the other conditions for payment having been satisfied,-

(a)pay to the second installer the lesser of-

(i)the amount properly charged for the works done by him, and

(ii)the amount of grant calculated as required under regulation 6 for the works in question at the time they were carried out; and

(b)pay to the registered installer specified in the application any balance after deducting the amount paid to the second installer from the amount of the grant calculated as required under regulation 6.

Materials-only applications: approval by area agency

11.-(1) An area agency shall not approve a materials-only application unless they are satisfied-

(a)that the applicant is eligible for grant, and

(b)that there is compliance with any conditions applicable under regulation 5(4) to the dwelling and the subject-matter of the proposed works.

(2) The area agency shall give prompt written notification to the applicant as to whether the application has been approved and, if the application is refused, they shall at the same time notify him of their reasons for the refusal.

Materials-only applications: payment of grant by area agency

12.-(1) An area agency shall not pay a grant in respect of a materials-only application unless-

(a)the works in respect of which the grant was approved have been completed;

(b)a claim in respect of those works and complying with paragraph (2) has been made to the area agency;

(c)the claim has been made within such period from the date on which the grant was approved as the area agency may specify; and

(d)in any case where the area agency have inspected the dwelling, they are satisfied that the works comply with the standards (if any) applicable under regulation 5(5) as at the date when the application was made.

(2) A claim for payment of a grant arising out of a materials-only application shall be made in such form as may be required by the area agency and shall contain a declaration signed and dated by the applicant or a person specified (or of a description specified) by the area agency that-

(a)the works have been carried out; and

(b)the works comply with the standards (if any) applicable under regulation 5(5) as at the date when the application was made.

(3) Where the conditions for payment are satisfied, the area agency shall, within a reasonable time after the conditions have been satisfied, pay the grant to the applicant, provided that if the applicant so requests in writing the area agency may pay the grant to any person or body of persons authorised by him to receive the payment.

Area agencies' powers of specification

13. An area agency's powers of specification for the purposes of any of the following provisions of these Regulations, that is to say-

(a)regulation 5(4) (conditions for works);

(b)regulation 5(5) (standards of works);

(c)regulation 6(2) (maximum amount of grant, and grant-calculation basis, for any category or categories of works);

(d)regulation 7(3) (persons competent to sign works application on behalf of applicant, and form of works application);

(e)regulation 7(4) (particulars to be contained in works application);

(f)regulation 10(2) (works applications: form of, and particulars to be contained in, claim for payment of grant);

(g)regulation 12(2) (materials-only applications: form of, and particulars to be contained in, claim for payment of grant),

may be exercised either in relation to their area generally or in relation to particular cases or descriptions of case, including different areas.

Revocations and transitional provisions

14.-(1) Subject to paragraph (2), the Regulations listed in Schedule 2 are hereby revoked.

(2) Those Regulations shall continue to apply-

(a)in any case where an application for a grant was made to a network installer (within the meaning of the 1992 Regulations) before 1st July 1997; and

(b)in any case where an application for a grant was made to the administering agency for the area (within the meaning of the 1992 Regulations) before 1st July 1997 if a grant in respect of that application was approved before that date.

Regulation 3(2)

SCHEDULE 1AREA AGENCIES

Duties, powers and funding

1. The appointment of, or the conferring of functions upon, an area agency may be effected in whole or in part by or under a written contract entered into between the Secretary of State and the area agency.

2. The Secretary of State may include such terms and conditions in any contract pursuant to paragraph 1 as he sees fit.

3. The following provisions are without prejudice to such duties and powers as the Secretary of State may confer on an area agency by contract pursuant to paragraphs 1 and 2.

4. The Secretary of State may allocate to an area agency sums which are to be available to the agency in any period for the purpose of making grants in that period, and may re-allocate any sums so allocated.

5. Nothing in these Regulations shall require the Secretary of State to allocate any sums to an area agency.

6. The Secretary of State may make arrangements, or authorise an area agency to make arrangements, for the agency to receive in any period sums from a third party for the purpose of making grants in that period.

7. No area agency shall allocate amounts or approve grants unless money for that purpose has been made available to them by the Secretary of State or by a third party in accordance with arrangements made or approved under paragraph 4 or 6.

Duties and powers with reference to registered installers

8. An area agency shall, in accordance with criteria laid down from time to time by the Secretary of State (whether in the written contract provided for in paragraphs 1 and 2, or otherwise),-

(a)determine the extent of each locality within their area;

(b)invite applications for appointment as the registered installer, or one of the registered installers, for each locality so determined;

(c)appoint as the registered installer (or one of the registered installers) for each locality, a person or body of persons capable of carrying out (or arranging for the carrying-out of) the works specified in regulation 5; and

(d)establish procedures for supervising the functions of, and for verifying claims made and grant monies received or paid out, and information supplied by, the registered installers in their area.

9. An area agency may require a registered installer to submit a written estimate of the works which, in his opinion, he is likely to carry out in his locality during any future period.

10. An area agency may, in respect of any future period, allocate to a registered installer an amount which is to be the total sum, or that registered installer's share of the total sum, available for grants in respect of works to be carried out in the locality during that period pursuant to works applications.

11. An area agency may terminate or suspend the appointment of a registered installer for reasonable cause.

Regulation 14(1)

SCHEDULE 2REVOCATIONS

Explanatory Note

(This note is not part of the Regulations)

These Regulations provide for the making of grants for the improvement of energy efficiency in dwellings occupied by persons on low income or elderly persons; for the appointment of area agencies to administer the making of grants; and for the appointment of registered installers capable of carrying out the works for which grants may be made. The Regulations revoke and re-enact the Home Energy Efficiency Grants Regulations 1992 (S.I. 1992/483, as amended) with further amendments, among which are the following:-

• a wider set of purposes for which grant may be made (regulation 5);

• within the overall maximum grant per application, an area agency have power-with the Secretary of State's consent-to set maxima and a grant-calculation basis for any purpose or combination of purposes (regulation 6);

• the eligible dwellings do not include "buildings in multiple occupation" (regulation 5);

• where works (as opposed to materials only) are grant-aided, they must be carried out by a registered installer (regulations 7, 9 and 10).

Regulation 3 and Schedule 1 provide for the appointment of, and conferring of functions upon, area agencies by the Secretary of State; and for their duties and powers in respect of the appointment and supervision of registered installers and the allocation of amounts of money to be available for the installers' work (by way of works grants) and for materials-only grants.

Regulations 4 to 6 govern eligibility for grant. Regulation 4 makes provision for the persons who can apply for a grant; regulation 5 lays down the purpose for which, and the conditions upon which, a grant may be approved; and regulation 6 provides grant maxima per application and the power for area agencies to specify grant maxima, and grant-calculation bases, for categories of works.

Regulations 7 to 12 provide for the handling of applications. Regulation 7 lays down the persons to whom an application must be made, and general rules as to the form and contents of applications; regulations 8 to 10 provide for the handling of, and payment of grant in relation to, applications where the works are to be carried out by a registered installer (termed "works applications" in the Regulations); and regulations 11 and 12 govern the handling of, and payment of grant in relation to, other applications ("materials-only applications").

Regulation 13 is a procedural provision clarifying how the various powers of specification which are conferred on area agencies by the Regulations may be exercised.

Regulation 14 contains revocations and transitional provisions.