Make Net Zero Energy Refurbishments for Houses a Mass Market Reality
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Make Net Zero Energy Refurbishments
for Houses a Mass Market Reality
Deliverable 3.1
National, Regional and Local Regulatory
Context for E=0 Refurbishments
Submitted: 27th February 2017
This project has received funding from the European
Union’s Horizon 2020 research and innovation programme
under grant agreement No 696186
1. Introduction
The Transition Zero project has received funding from the European Union’s Horizon 2020 research
and innovation programme under grant agreement No 696186 to make Net Zero Energy (E=0)
refurbishments a market reality in the UK, France and The Netherlands. The project aims to
facilitate commitments for 5,000 houses in the British and French market and building a pipeline of
additional demand. Transition Zero will achieve this through creating a viable refurbishment
proposition for social housing organizations, financiers and governments, enabling them to tune
their financing products and regulations. It will challenge the construction sector to start an
ambitious innovation process to deliver the proposition. Taken together, this massive demand, the
security that there will be finance available and an enabling regulatory environment will de-risk the
innovation investment for the builders. The project works through establishing a Transition Zero
market development team in each of the participating countries.
Work package 3 is about enabling regulation – possibilities within the existing regulatory framework
in each country and improvements to accelerate market update of E=0 solutions.
This deliverable, D3.1 looks at the national, regional and local regulatory context for E=0
refurbishments, including barriers and ways in which they may be overcome in the UK and France.
It should be noted that this paper reflects only the author’s view and that the Agency (EASME) and
the Commission are not responsible for any use that may be made of the information it contains.
2. United Kingdom
Assessment of national regulatory framework
The purpose of this assessment is to establish how Energiesprong solutions can be implemented
within the existing regulatory framework; this is relevant to the early market demonstrators.
Building on this assessment recommendations have been developed (paper D3.3) to improve the
regulatory framework for a wider roll out of the Energiesprong scheme (volume market).
Challenges of developing Energiesprong in the UK
While Energiesprong UK is being supported by a group of leading housing providers, construction
companies, trade bodies and expert partners it faces a series of challenges to successfully transfer
the Dutch business model to the UK. The social housing sector is currently experiencing considerable
financial constraints, particularly with cuts to social housing rents announced in the July 2015
Budget. In the Netherlands housing providers are generally able to borrow money at a cheaper rate
than their counterparts in the UK. These factors, in addition to the extension of Right to
Buy/Voluntary Right to Buy and forced Council House sales, have created some potential barriers to
social housing providers making the type of long term investment decisions involved in
Energiesprong.
There are also some practical challenges to developing Energiesprong in the UK. Energiesprong will
need to ensure that changes to the exterior of buildings often included in the schemes are not
prohibited by planning laws. There is a need to develop a usable contract between social housing
providers and their tenants which will become the energy service plan. Successful implementation of
long term performance-warranted near-zero energy refurbishments will also require a radically
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186
different approach in the construction sector and its supply chain. Finally, the Netherlands has a
system of net metering which allows any energy generated to be exchanged with the national grid at
no transaction cost, which is what the net-zero energy system is based on. It will therefore be
necessary to find an adapted solution in the UK, possibly based on FiTs and most likely including
energy storage. The current Energiesprong UK business model takes these market conditions into
consideration.
In order to overcome the practical challenges involved in developing the scheme in the UK and to
recognize the long term potential to not only become self-sufficient but to deliver retrofits on a mass
scale, the UK Government could provide additional yearly funding to the project. National and local
government will further need to engage with the Energiesprong project to remove and mitigate any
planning, regulatory and financial barriers to its development, with local authorities and local
enterprise partnerships as potential partners for demonstration projects.
1. Energy regulation
UK feed-in model
Historically, solar PV has had a special role in meeting the UK’s renewable energy targets and has
been the technology that has allowed individuals and businesses to participate in the renewable
energy mix on a small scale. Although the cost of solar PV has fallen sharply over the last few years
and the installed capacity has increased beyond projections, when viewed from a public accounting
perspective and looking at the current feed-in rates, it is still a relatively expensive option compared
with other renewable energy (or other CO2 saving) alternatives.
However, this could be changed if solar PV-based generation were linked to significant energy
efficiency measures. For example, by reducing a home’s energy consumption by 12-14 MWh per
year through improved energy efficiency while, at the same time, generating 5-7 MWh renewable
energy, there’s a double advantage and the share (percentage) of renewable energy grows much
faster than by simply adding generation.
At the moment, the UK feed-in model for decentralised generation is not geared to encouraging
owners to invest in solutions that future-proof their buildings. The UK is unique among EU Member
States in that its policy links feed-in tariffs to the energy efficiency of buildings. As such, the current
policy is more advanced than the rest of Europe but its operation does not achieve the best result. It
produces a strong incentive to generate renewable energy, but is less of a stimulus for demand
reduction.
As energy consumption relating to heating and hot water in buildings is, on average, five times
greater than the energy used for lighting and plug load, the question therefore is how to create
incentives for homeowners that achieve the double long-term objective of demand reduction and
renewable generation, and does so cost-effectively for the government.
On-going budget constraints and an in-depth review of public spending provide an opportunity to
radically overhaul the current system and make government policy work in a smarter way. By
incentivising integrated efficiency measures and renewable generation in combination, both the
building owner and the government get much more value for their money. Such a combination
drives innovation to create a future-proof building stock and, at the same time, secures a scalable
economic opportunity for the UK refurbishment market.
In their current format, UK feed-in tariffs for solar PV and the RHI are relatively expensive options,
and they provide limited potential for market transformation. Cost-effectiveness and innovation
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186(and thus economic opportunity) would be better achieved through the development and
application of comprehensive refurbishment packages that achieve very high efficiency standards
(10 kW) as soon as possible to avoid hitting the budget cap BUT…
2. Replace it with a targeted feed-in scheme and RHI for energy renovations resulting
inSecondary economic effects
Our suggested approach also makes sense from a government budgetary perspective. Investment in
net zero homes generates greater domestic economic activity compared to other investments in
renewable energy sources (such as wind and biomass). This is based on the fact that raw materials
for wind and biomass make up a larger share of the cost – and are mostly imported – whereas the
development and installation of net zero homes solutions uses a much larger share of domestic
labour (as evidenced by the Dutch implementation of Energiesprong solutions).
Tax revenues from a net zero refurbishment approach is therefore positive and immediate, e.g. VAT
and corporation tax, coupled with increased domestic employment (income tax benefit and
economic growth). This is particularly the case in the UK where taxation on energy is lower than
taxation on labour (which is remarkable in itself when thinking about what behaviour a government
would like to stimulate).
National Grid connection
A related issue is the connection to the National Grid. Systems below 3.68kW can be installed and
connected to the National Grid only requiring a notification of the DNO; larger systems (3.68+kW)
require approval by the DNO which will be based on a network study to ensure that the local grid
network can take the extra power. Any upgrades to the local grid are chargeable to the generator -
these can be quite significant if a safety limit or tipping point is reached that requires new cabling,
switchgear or transformer capacity. Any changes to the national grid required given higher
aggregated levels of distributed generation will be socialised across all consumers.
Time-of-Use tariffs
Potential future time-of-use tariffs may lead to uncertainty in bill payments. Solar PV panels will
produce most electricity during the daytime when electricity prices are lower. If there is a wide
adoption of time-of-use tariffs, this will result in energy bills increasing for those with Energiesprong
retrofits. Providers should start to include plausible time-of-use tariffs in their modelling to
determine what the impact will be on customers. Long term B-2-B contracts, for example with
communal energy providers, could be used to reduce the impact of time-of-use tariffs.
ECO: Help to Heat
The Energy Company Obligation (ECO) is a programme to deliver energy efficiency measures in
homes across Great Britain in order to reduce carbon emissions and improve the ability of low
income and vulnerable consumers to heat their homes to comfortable levels.
Following a consultation in June 2016 the UK government took the following key policy
decisions:
An 18 month extension to the ECO scheme (April 2017 – September 2018).
Introduction of a more simplified and targeted scheme. The Affordable Warmth Group will
be increased to around 4.7m rather than 4m (in consultation) households. This will include
more households who are in fuel poverty, and those on lower incomes, who may be
struggling to meet heating and other bills;
Eligibility for certain measures under Affordable Warmth will be extended to social housing
in EPC bands E, F or G;
Local authorities will have a role in determining eligible homes, following the introduction of
the ‘flexible eligibility’ mechanism, which suppliers can use for up to 10% of their Affordable
Warmth obligation;
The requirement to deliver a minimum level of solid wall insulation will be increased from
the proposed equivalent (in consultation) of 17,000 measures per year to 21,000 per year;
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186 Rural delivery will be protected as 15% of Carbon Emission Reduction Obligation will be
delivered in rural areas.
Administration will be simplified. ‘Deemed scores’ will be introduced in place of the current
Standard Assessment Procedure (SAP) methodology
From an Energiesprong UK perspective some of these decisions are helpful to support a volume
market for E=0 retrofits. However, the short extension time provides little certainty to industry and
housing providers in developing a scalable retrofit market.
The key to developing a successful retrofit market that will attract investment and innovation is
certainty and consistency. By their very nature retrofit programmes can take a long time to develop
and deliver and any changes or threat of changes prevents these programmes being planned. If the
UK Department for Business, Energy & Industrial Strategy (BEIS) would put in place a clear obligation
programme of at least four years, with low administration costs and does not make any further
changes then the market will respond accordingly and deliver innovative, effective solutions that will
maximise the impact of the supplier obligation.
The exclusion of ‘D’ rated properties in social housing means a very significant proportion of the
housing stock is cut off completely from ECO funding.
In reviewing the stats there are over 6 million ‘E – G’ and nearly double the number (11.8million) at
‘D’. Many ‘D’ properties will have reached a point where it is very difficult to improve further and
without support for solutions that address these middle-performing harder to treat properties the
market will not be encouraged to develop solutions for a significant proportion of the market. We
understand policy affordability constraints but if ‘D’ properties cannot be included would urge
Government to use a SAP score of 60 or below rather than cut off completely such a large
proportion of housing stock. An alternative approach could be to link ECO funding to deep retrofits,
irrespective of EPC rating band, e.g. a proportion of the overall ECO allocation could be made
available for properties that achieve a minimum improvement of 35 SAP points from any baseline.
The current ECO arrangement encourages a piecemeal approach to installing energy efficiency
measures that will not meet the speed and aspirations of Government’s carbon budgets without
£billions of further subsidies and significant policy intervention. In the Netherlands the Government
tackled this issue by encouraging the development of mass-market affordable whole-house retrofits
called ‘Energiesprong’. Energiesprong UK has been established to bring this approach to the UK,
however, the policy landscape is less favourable and the rapid innovation required to improve
solutions and reduce costs would benefit from support, both financial and by means of a clear policy
signal. A move to consumer-focussed outcomes rather than on particular technologies and
standards would be a next logical step for a progressive Government committed to innovation and
consumers.
Energiesprong UK recommendations (ECO):
Building on the policy direction outlined in the ECO consultation document Energiesprong
UK would encourage BEIS to accelerate deployment of radical deep retrofits in the UK. To
facilitate this, deep retrofits could be defined as:
1. Improving a home by more than 35 SAP points
2. Demonstrating by simply providing a 'before' and 'after' EPC using RdSAP
3. Require that more than 50% of property elements are the maximum 5 stars (on
EPC) with all a minimum of 4 stars (with the exception of floors) to guard against
unintended consequences of a single measure such as PV being deployed in very
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186large quantities and ‘gaming’ the intent
4. Deemed scores based on modelled examples taking all measures into account
(fabric, heating, lighting, renewables) across the key archetypes: terraced, semi,
flat, detached homes
5. Energiesprong solutions will offer a performance warranty which could in time be
used in place of measure lifetimes. However, to encourage innovation and until
the performance warranty has been tested in the UK market, we suggest that
deemed scores are based on an aggregate lifetime of all the measures installed,
this would equate to approximately 200tCO2 per property
6. Allow funding to combine with RHI, FIT etc.
7. Make available to private, private landlords and social housing
2. Building regulations
Energy efficiency
The fabric of a building consists of a number of ‘thermal elements’ usually the walls, roof, and floor
plus any doors and windows, all of which will allow the building to lose heat at a greater or lesser
extent depending on how they are constructed. The thermal performance, or measure, of any
element is measured as its u-value.
UK Building Regulations include specific sections (Part L) relating to energy efficiency, in particular
‘Approved Document L1A: Conservation of fuel and power in new dwellings’ and ‘Approved
Document L1B: Conservation of fuel and power in existing dwellings’ which provides guidance for
compliance with the Building Regulations for building work carried out in England.
Any significant renovation to a thermal element, such as a new layer of cladding or rendering of the
external surface of a wall, or dry lining the internal surface of a wall, is defined under Building
Regulations as ‘controllable works’. This means that before the insulation works can go ahead a
Building Regulation application must be submitted to the Local Authority Building Control
Department with the appropriate fee. A competent person scheme can self-certify the work to
satisfy the Building Regulations.
Part L of the UK Building Regulations set out minimum standards for insulation values, the allowable
area of windows, doors and other opening, air permeability of the structure, the heating efficiency
and the insulation and controls for heating appliances and systems together with hot water storage
and lighting efficiency. If also sets out requirements for SAP (Standard Assessment Procedure)
calculation and Carbon Emission Targets for dwellings.
According to the definition Energiesprong retrofits classify as major renovation (the renovation of a
building where more than 25% of the surface area of the building envelope undergoes renovation).
As such compliance with the existing UK Building Regulation is required.
Given the high energy performance requirements of an E=0 retrofit there is no issue with
compliance on existing building regulations. However, given the set standards there is equally little
incentive for housing providers to invest in better performing properties, including for new
dwellings.
Local Planning Authorities are no longer allowed in England to introduce energy efficiency standards
that go over and above current Building Regulations; the only exception to this is the Greater London
Authority which therefore presents an opportunity for Energiesprong new build trials to much higher
and performance-assured energy standards.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 6961863. Planning & Highway Regulations
The English Planning System
The Planning System in England is underpinned by Acts of Parliament which are passed, revoked,
amended over the years. The National Planning Policy Framework produced by the UK Government
in 2012 provides the current summary framework of national planning policies – it is a consolidation
of Parliamentary policy statements, circulars and guidance notes covering a wide range of planning
matters.
National Planning Policy Statements are produced by Government in relation to nationally significant
infrastructure for specific sectors – energy, transport, water, waste etc. They set out the national
level Government objectives for the development of infrastructure in a particular sector – recent
example is fracking.
Other National level legislation (Acts) as they relate to Planning are the Climate Change Act, the
Energy Act, and other Government climate change or energy related strategies which are
consolidated within the National Planning Policy Framework.
At the regional level, Regional Spatial Planning was abolished in 2012 with the Greater London
Authority the only regional spatial planning authority remaining.
Locally, planning functions are exercised by local authorities i.e. Metropolitan Councils, Unitary
Authorities, Boroughs and District Councils with neighbourhood planning also taking place in some
areas. Local planning authorities have to prepare Local Plans which set out a vision and a framework
for the future development of the area, addressing needs and opportunities in relation to housing,
the economy, community facilities and infrastructure – as well as a basis for safeguarding the
environment, adapting to climate change and securing good design. The local planning authority
then determines planning applications in accordance with the policies contained in the local plan.
To be effective plans need to be kept up-to-date. Policies will age at different rates depending on
local circumstances, and the local planning authority should review the relevance of the Local Plan at
regular intervals to assess whether some or all of it may need updating. Most Local Plans are likely to
require updating in whole or in part at least every 5 years.
This review of the local plan is an opportunity to encourage local planning authorities to include
policies which support the deep refurbishment of dwellings using Energiesprong principles. This is
something that we are already working on with one local planning authority and discussing with the
Planning Officer’s Society with a view to encouraging more local planning authorities to take similar
action.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186P1 A diagram setting out the hierarchy of the English Planning System
Permitted Development Rights
Certain types of minor changes can be made to a house without needing to apply for planning
permission. These are called "permitted development rights”. They derive from a general planning
permission granted not by the local authority but by Parliament. These rights do not apply to flats,
maisonettes or other buildings.
The regulations are outlined in the Town and Country Planning (General Permitted Development)
(England) Order 2015 which came into force on 15th April 2015.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186P2 Example of Energiesprong improved homes in the Netherlands (mid and end terrace)
The parts of the Order that relate to the Energiesprong type of improvement are contained in
Schedule 2, Part 1 – “Development within the curtilage of a dwelling house”. Part 1 is sub-divided
into Classes covering various types of development. The relevant Classes in this instance are Class A
and C. Class A outlines permitted development rights for the enlargement, improvement or other
alteration to a house, such as rear or side extensions, new windows and doors. Class C covers
alterations to roofs such as re-roofing.
Class A -External walls, windows and doors
The installation of solid wall insulation (or external wall insulation such as Energiesprong) constitutes
an improvement rather than an enlargement or extension of a dwelling house according to Guidance
Note – “Permitted Development for Householders”1. As materials used in the Energiesprong process
and their depths are similar to that of solid wall insulation i.e. a layer of insulation with an external
façade, it is anticipated that this will be deemed an improvement in the same manner as solid wall
insulation.
Permitted development is subject to a number of conditions. The relevant condition for such
insulation work is A3 (a) which requires that the materials used in the exterior work must be of a
similar appearance to those used in the construction of the existing dwelling house. This is to ensure
that the works result in an appearance that minimises visual impact and is sympathetic to the
existing development. This means that the materials used should be of a similar visual appearance
1
Permitted Development for householders – Technical Guidance– April 2014 (Department for Communities and Local Government) page
11 – materials, page 29 - windows.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186to those in the existing house, but does not mean that they need to be the same materials. For
example:
The external walls should be constructed of materials that provide a similar visual
appearance – for example in terms of colour and style of brick used – to the materials used
in the existing house walls.
Guidance on new or replacement windows states “What is important is that they give a similar visual
appearance to those in the existing house, for example in terms of their overall shape, and the
colour and size of the frames”.
Class C – Alteration to the roof of a house
Class C provides permitted development rights for any other alteration to the roof of a house. The
development is not permitted if it would result in the highest part of the alteration being higher than
the highest part of the original roof.
The examples of Energiesprong improved homes in the Netherlands (Picture P2) show that the
materials used are different from the existing housing, i.e. timber cladding and UPVC boarding in
place of brick. In England, the use of different materials would not be permissible under Permitted
Development and planning permission would need to be sought. Furthermore in this example, not
all the windows are the same dimensions as the existing windows which would again trigger the
need to seek planning permission. Similarly the new roof is higher than the existing roof, requiring
planning permission.
For the early market demonstrators individual planning applications will be prepared. However,
moving on to a volume market an extension of ‘permitted development rights’ would significantly
reduce the risk of Energiesprong schemes being stalled by the Local Planning Authority. This step
change could be achieved by gradually introducing the Energiesprong concept into planning
guidance, both at local and subsequently national level.
Local Development Orders
Part 4 of the 2004 Planning and Compulsorily Purchase Act introduced the right for Local Authorities
to create and apply Local Development Orders (hereafter LDOs) to any area within their jurisdiction.
The purpose of an LDO is to extend the amount and type of development (within defined limits set
by the individual Local Authority) that can be under taken by business and landowners without the
need to submit a planning application. The removal of planning delay and costs for an identified
area, for certain types of development area should encourage physical improvements within the
built environment.
Highway Authorities
If the property does not have a front garden, and is next to the pavement, advice must be sought
from the highway authority (as owner), as highway consent may be required from the authority for
the external cladding to extend across the pavement, considered to be a part of the highway.
Energiesprong UK recommendations (Planning):
1. Extend ‘permitted development rights’ to enable Energiesprong retrofits at scale.
Local development orders could be used as a way of reducing uncertainty in the
planning permission process, as (in the longer term) could extensions to the
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186existing permitted development rights.
2. External cladding beyond the curtilage of a property requires permission from the
owner of the land. A common issue may be where external wall insulation
encroaches upon the highway. A blanket approval (subject to specified standards)
could be sought from the relevant authorities (e.g. council highways
departments); this issue may be particularly relevant to areas with higher urban
densities such as London.
3. Local planning authorities to develop LDOs to encourage Energiesprong retrofits
within their area & include policies supporting deep retrofits using Energiesprong
principles in their developing Local Plans (as these come under review).
4. Mortgageability
In the UK the valuation of homes build using non-traditional methods is often difficult. Historically,
off-site construction methods have not been well received by all banks and building societies
providing mortgages. The necessary increase in house-building in the UK due to demographics and
systemic undersupply should open up a more considered approach to valuing homes built off-site
but there are still perceived risks in the durability of the materials and methods involved.
With the long-term performance warranty Energiesprong should be in a position to address and
overcome these (perceived) risks, however, existing mortgage lenders may not accept Energiesprong
works. Housing providers ready to implement Energiesprong should commence discussions with
mortgage providers to determine whether this may be the case, and to define “template” projects
that would be acceptable. If this is not possible, government intervention may be required to ensure
that lenders accept these types of works.
Energiesprong UK recommendations (Valuation):
1. Valuation guidance (e.g. RICS Green Book for Real Estate Valuation) and mortgage
providers should take into account the performance-assured Energiesprong
retrofit in determining the mortgageability and affordability of repayments based
on total cost of ownership (e.g. Mortgage Market Review)
5. Social housing regulations
An analysis of social housing regulations is provider in paper D2.2 (Financing Options). The main
points for improving the regulatory framework include:
Rent regulation: at present there is no ability for social housing providers to increase the
social housing rent which is regulated and set by the local authority
Right-to-Buy/Voluntary Right-to-Buy: these policies put existing social housing assets at risk
and may pose a significant barrier to invest in energy efficiency improvements of the existing
stock
The main issue in relation to Energiesprong is the ability of the social housing provider to recover
their investment from the Energy Service Plan which addresses the split incentive. Current
restrictions on rent and service charges may prevent the Energy Service Plan being passed through
to tenants using these channels. Recouping the cost through a service charge is an attractive option
(since this can apply both to tenants and leaseholders). For Affordable Rent properties, an increase
in the service charge would need to be matched by a decrease in rent, unless it could be shown that
the market rental value had increased.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186If these barriers cannot be overcome, retrofit costs would need to be recouped through some
combination of rent and/or a separate contract (potentially using the mechanism for long term cost-
recovery associated with the Green Deal).
The principle options assessed to date are:
Warm rent (all-inclusive Classed as senior debt (and Likely timescale beyond
rental model) thus desirable) but subject 2017
to rent cap; would need
negotiation with HCA (social
housing regulator in UK), no
known UK precedent
Service charge Classed as junior debt (so May be applicable to early
may be more difficult to market but questionable
recover); some UK whether it could be used for
precedent single household dwellings
Voluntary contract Classed as junior debt; some Would be applicable to
successful UK examples but early market
for much lower values
Green Deal type charge on Established mechanism but May be applicable to early
the meter requires billing platform market (if existing billing
which is expensive to platform could be used);
operate unless at scale. greater potential for volume
Some restrictions on how market as it also ensures
much could be charged on the charge transfers to the
the meter next tenant
District heating A short term solution which Requires a minimum of 2
would not be subject to dwellings to share the same
electricity market regulation heating system
Summary of legal opinion2 obtained by Energiesprong UK to assess options for the Energy Service
Plan:
“1 Rent
There are difficulties in structuring repayment of the Energy Service Plan through additional rent in
England. This is due to the constraints on rent placed on social landlords pursuant to the Homes and
Communities Agency's Rent Standard (for Registered Providers) and the Welfare Reform and Work
Act 2016.
Developing a rent based model in England would require a change in Government/HCA policy. We
suspect that such a change is unlikely in the short to medium term, given that new rent setting
legislation came into force in April 2016 and runs until April 2020.
There is more flexibility to develop a rent based model in Wales. The Welfare Reform and Work Act
2016 does not apply to Wales, and RSLs (the equivalent of Registered Providers in Wales) have much
greater discretion in relation to their ability to set rent - and are not constrained by the HCAs Rent
Standard. Moreover, we think that the political environment is likely to be materially more receptive
2
Energiesprong UK commissioned Trowers & Hamlins in July 2016 to provide an options paper on the ability
for social housing providers to recover part of their investment through an Energy Service Plan. As this report
was commissioned outside the Transition Zero project it remains property of Energiesprong UK.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186to the Energy Service Plan concept than is the case in England. Successful delivery of a rent-based
model in Wales may make the Government/HCA re-assess the policy in England.
2 Service Charges
Service charges are outside the scope of the Rent Standard and the Welfare Reform and Work Act
2016, except for social housing properties let at an affordable rent. In those cases the total rent and
service charge is capped at 80% of local market rental values. This means that a service charge-based
option is not viable for the social housing market in England (although again there is more flexibility
in Wales).
Aside from rent cap issues, there will be practical difficulties in seeking to recover payments through
the service charge mechanism. Leases and tenancy agreements are unlikely to contain the necessary
rights, which would require the landlord to agree variations with the tenants.
There are also statutory obligations under Section 11 Landlord and Tenant Act 1985 relating to the
fabric of the building, whereby the costs of keeping the building in repair is deemed to be included in
the rent. It is possible to contract out of Section 11 pursuant to Section 12 Landlord and Tenant Act
1985, but this would require a court order.
3 Separate Contracts
Stand-alone contracts relating to supplies/services are common in the UK market, for example
contracts for electricity, gas, telephone and other services (such as internet, cable or satellite
television). There are also more relevant examples relating to energy supply, including district
heating supply contracts (which are usually private contracts between the ESCO and the tenant) and
private wire supply and on-site generated Solar PPA contracts (although consumer-facing private
wire and on-site generated PPAs remain under development). Most of these contracts are unsecured
– relying on simple breach of contract claims and/or suspension of services to secure ongoing
payment.
The key issue with any separate contract is the extent to which payment can be enforced. The
majority of the Energiesprong investment will not be demountable - which makes it more difficult to
address non-payment. This may make a separate contract unattractive to both third party funders
and Registered Providers.
Notwithstanding the challenges, we consider that a separate contractual arrangement is the most
viable mechanism for the Energy Service Plan. This avoids the complications inherent in the rent and
service charge options. Even where a separate contractual approach is used, we recommend that
landlords contract out of Section 11 Landlord and Tenant Act 1985.”
Energiesprong UK recommendations (Energy Service Plan):
1. Total cost of living/rent flexibilities. Greater flexibility in rent setting, linked to
energy performance and/or establishing a total cost of living (rent + service
charges + energy charge) would increase the investment ability through reduced
risk. In the NL legislation was passed through Parliament that enables Dutch
housing providers to charge the energy plan.
2. A charge attached to the property (using the UK Green Deal legislation) could
decouple the energy plan risk from the housing provider and give an opportunity
to third party investors (on the back of the long term energy performance contract
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 6961863. France
Introduction
Une revue du cadre juridique global dans lequel les opérations de rénovation EnergieSprong devront
s’inscrire a été menée. Cette analyse couvre l’ensemble des aspects d’une rénovation : les aspects
constructifs, la contractualisation, la mise en place du forfait énergie et la gestion des données
personnelles de consommations énergétiques des occupants.
Construction
Autorisations de travaux
Les opérations de rénovation EnergieSprong modifiant l’aspect initial extérieur des constructions,
une déclaration préalable de travaux est obligatoire.
La déclaration préalable de travaux permet à l'administration de vérifier que le projet de
construction respecte bien les règles d'urbanisme en vigueur. Les opérations EnergieSprong devront
être en conformité avec le Droit de l’urbanisme et avec les documents locaux d’urbanisme (Plan
Local de l’Habitat, Plan Local d’Urbanisme et Plan Local d’Urbanisme Intercommunal).
Respect des règles techniques de la construction
Comme toute opération de travaux, les rénovations EnergieSprong devront être en conformité avec
le Code de la Construction et de l’Habitation. En particulier, les points suivants devront être
respectés.
Garantie décennale et responsabilité trentenaire des constructeurs
Pendant les dix ans qui suivent la réception des travaux, la garantie décennale engage la
responsabilité du constructeur pour tous les vices ou malfaçons relatifs à la solidité de l’ouvrage ou
le rendant impropre à l’usage. Il est donc impératif, de la part du maître d’ouvrage, d’obtenir les
attestations d’assurance du constructeur et de s’assurer de leur validité, et ce dès le lancement du
chantier.
En cas de sinistre, la responsabilité trentenaire du constructeur peut être engagée, si une faute
assimilable à une fraude ou à un dol, a été commise, caractérisée par la violation grave par sa nature
ou ses conséquences, de ses obligations contractuelles, commise volontairement et sans qu’il puisse
ignorer les conséquences prévisibles de manquements volontaires aux prescriptions du marché ou
aux règles de l’art.
Respect des Documents Techniques Unifiés (DTU)
Les DTU sont des normes d'exécution ou de mise en œuvre dont le respect est obligatoire dans les
marchés publics. Il est implicite dans les marchés privés par l’obligation de respect des règles de l’art
dont il est le garant et s’applique à chaque corps d’état correspondant dès lors que les documents
du marché sont signés par le maître de l’ouvrage.
Respect des avis techniques
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186L'Avis Technique ou ATec désigne l'avis formulé par un groupe d'experts représentatifs des
professions, appelé Groupe Spécialisé (GS), sur l'aptitude à l'emploi des procédés innovants de
construction ne figurant pas dans le DTU correspondant pour l’application souhaitée. Les Avis
Techniques sont délivrés par la Commission Chargée de Formuler les Avis Techniques (CCFAT)
(article 8 de l'arrêté du 21 mars 2012). Le CSTB, membre de la CCFAT, intervient dans la procédure
d'Avis Technique à plusieurs niveaux :
- Il instruit les demandes d'Avis Technique et les rapporte auprès des Groupes Spécialisés
- Il assure le secrétariat de la CCFAT, enregistre et publie les Avis formulés sur le site
evaluation.cstb.fr.
L’Appréciation Technique d’Expérimentation (ATEx) est une procédure rapide d'évaluation technique
formulée par un groupe d'experts sur tout produit, procédé ou équipement innovant. Cette
évaluation est souvent utilisée soit en préalable à un Avis Technique, car elle permet des premiers
retours d'expérience sur la mise en œuvre d’une innovation, soit pour un chantier précis dans des
conditions de mise en œuvre définies.
Mise en conformité aux normes électriques
Au cours d’une opération de rénovation lourde, les installations électriques doivent être mises aux
normes. La norme NF C 15-100 intitulée Installations électriques à basse tension, de l'Union
technique de l'électricité (UTE), définit les règles à respecter pour garantir la sécurité des
installations et le confort des personnes qui occupent le logement.
Sécurité incendie dans le cadre d’installations photovoltaïques
En France, la conception et la mise en œuvre des installations photovoltaïques sont définies par la
norme NFC 15-100 suite à l’amendement de 2008 élargissant son champ d’application. Le guide UTE
C15-712-1 précise les mesures à mettre en place pour limiter les risques de choc électrique et
d’incendie de panneaux solaires. L’installateur doit respecter ces préconisations afin de réaliser une
installation conforme.
Accès aux personnes à mobilité réduite
À l’occasion de travaux de rénovation ou d’un chantier de réhabilitation dans un bâtiment
d’habitation collectif, certaines règles d’accessibilité doivent être respectées par obligation légale.
Si le coût des travaux est supérieur ou égal à 80% de la valeur du bâtiment, toutes les parties
communes du bâtiment, ainsi que les lieux privatifs et les logements concernés par les
travaux, doivent respecter l’ensemble des dispositions prévues dans le cas des logements
collectifs neufs (décret n°2006-555 du 17 Mai 2006)
Si le coût des travaux est inférieur à 80% de la valeur du bâtiment, seuls les éléments
changés ou ajoutés doivent répondre aux dispositions techniques applicables aux bâtiments
neufs
L’adaptation d’un logement individuel ne relève en revanche d’aucune réglementation.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186Contractualisation
Un groupe de travail est dédié à la définition du cadre contractuel adapté aux rénovations
EnergieSprong. L’objectif est de définir un marché et des procédures répondant aux critères
suivants :
Critères pour le projet EnergieSprong
Rapidité de déclenchement et maîtrise du calendrier
Faisabilité d’inclure une forme d’« Open Innovation »
Possibilité d’allotir les marchés afin d’assurer une diversité des constructeurs pour favoriser
la recherche et l’émulation
Critères pour les bailleurs sociaux
Souplesse de procédure et de définition du marché
Possibilité de procédure commune à l’ensemble des bailleurs
Possibilité de dialogue pour préciser les besoins
Critères pour les constructeurs
Processus de R&D concrétisés par des marchés de travaux
Visibilité sur le potentiel marché futur (amortissement frais R&D, facilité de
contractualisation)
Coopération entre les bailleurs
Dans le cadre de la phase expérimentale du déploiement du projet EnergieSprong en France, il
apparaît nécessaire de « massifier » le volume de bâtiments objet de l’expérimentation :
Afin de créer une référence qui pourra avoir un effet levier ;
Afin de susciter la concurrence et de bénéficier d’offres économiquement plus avantageuses
(mutualisation des coûts et délais) ;
Cela implique que plusieurs bailleurs participent à l’expérimentation, pour une partie de leurs
bâtiments.
Cette coopération de bailleurs devra pouvoir être mise en place sans mise en concurrence préalable.
Plusieurs formes de coopérations sont envisageables, avec différents degrés d’intégration des
Bailleurs. Les Bailleurs peuvent notamment :
Organiser des procédures formalisées de publicité et de mise en concurrence parallèlement
et relatives à leurs besoins respectifs, en cherchant à désigner une entreprise identique.
Constituer un groupement de commande afin de désigner ensemble une entreprise unique à
l’issue d’une procédure formalisée de publicité et de mise en concurrence.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186 Recourir à la co-maîtrise d’ouvrage. Un maître d’ouvrage unique est alors chargé d’exercer
les compétences relevant de la maîtrise d’ouvrage pour l’ensemble de l’opération.
Mettre en place une coopération institutionnalisée qui consiste à créer une structure ad hoc
chargée de réaliser un objet commun.
Véhicule contractuel
Au terme d’une analyse spécifique, il apparaît que, compte tenu du périmètre des prestations du
titulaire (qui s’étend à l’entretien, à la maintenance et au gros entretien-renouvellement (GER)), le
marché public global de performance, défini par l’article 34 de l’ordonnance n°2015-899 du 23 juillet
2015 relative aux marchés publics paraît susceptible d’offrir le cadre juridique le plus adapté au
projet EnergieSprong.
Procédures de passation
Pour le projet EnergieSprong, plusieurs procédures de passation sont envisageables :
Le dialogue compétitif,
La procédure concurrentielle avec négociation,
Un partenariat d’innovation,
Une procédure adaptée.
La ou les procédures les plus adaptées dépendent du stade d’avancement du projet. Deux scénarios
possibles ont été retenus pour adapter la procédure de passation aux différentes phases du projet,
en fonction de l’issue de la phase test :
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186Procédures adaptées - Opérations pilotes
Rappel : Les marchés publics doivent être passés en lots séparés mais dans le cas d’un
contrat de performance globale il est possible de déroger à l’allotissement
Le montant des travaux ne doit pas dépasser le seuil limite de 5 225 000 € HT pour rester
dans le cadre d’une procédure adaptée
Un écrit est obligatoire au-dessus de 25 K€ HT, mais sa forme est libre
La rédaction d’un cahier des charges est facultative mais fortement recommandée
La publicité dépend du montant des travaux :
o X < 25 K€ HT : publicité facultative
o 25 K€ HT ≤ X < 90 K€ HT : publicité adaptée - libre choix des supports
o 90 K€ HT ≤ X ≤ 5 225 K€ HT : publication au BOAMP ou dans un journal habilité à
recevoir des annonces légales (Jal) (publicité complémentaire possible dans une
publication spécialisée correspondant au secteur économique)
Le règlement de la consultation peut se limiter aux caractéristiques principales de la
procédure et du choix de l’offre (pas d’exigences relatives aux mentions devant figurer dans
le règlement de la consultation)
L’acheteur est libre de déterminer les délais de remise des candidatures et des offres, et les
modalités de mise en concurrence
L’acheteur devra être en mesure de prouver la réalité de la consultation et de veiller à ce
que la sollicitation directe des opérateurs intervienne concomitamment
L’acheteur peut décider de limiter le nombre des candidats admis à présenter une offre, il
doit alors les informer sur les critères de sélection
La séance de négociations est une étape facultative : l’acheteur peut négocier avec les
candidats ayant présenté une offre mais n’est pas obligé
La négociation doit être menée avec tous les candidats ayant remis une offre, sauf si le
règlement de la consultation ou les documents en tenant lieu précise que la négociation ne
sera menée qu’avec un nombre limité de candidats
o Dans ce cas, l’acheteur doit indiquer les critères sur le fondement desquels il
sélectionnera les candidats admis à négocier, en indiquant leur nombre (aucun texte
ne fixe un nombre minimum ou maximum de candidats à retenir pour les
négociations)
o Les critères de sélections devront bien entendu être non discriminatoires et liés à
l'objet du marché relatifs à la capacité professionnelles, techniques et financières
des candidats
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186o Ces critères doivent être mentionnés dès l'engagement de la procédure d'attribution
du marché public (dans l'avis d'appel à concurrence ou le cahier des charges tenu à
la disposition des candidats)
Contrat de Performance Energétique
En France il existe un cadre réglementaire définissant les contrats de performance énergétique
(CPE).
Aujourd’hui, ces contrats passés entre des opérateurs professionnels du bâtiment et des
consommateurs finaux visent à réduire les consommations énergétiques du bâtiment et à garantir
une performance avec un pourcentage de réduction des consommations. Seuls des labels
volontaires existent pour définir un niveau E = 0 ou positif (exemple : label BEPOS).
La directive CE 2006/32 du 5 avril 2006, relative à l’efficacité énergétique dans les utilisations finales
et aux services énergétiques, définit le CPE comme « un accord contractuel entre le bénéficiaire et le
fournisseur (normalement une Société de Services Énergétiques) d’une mesure visant à améliorer
l’efficacité énergétique, selon lequel des investissements dans cette mesure sont consentis afin de
parvenir à un niveau d’amélioration de l’efficacité énergétique qui est contractuellement défini. »
Le CPE peut porter, soit sur un bâtiment, soit sur un parc de bâtiments, et inclure des travaux sur le
bâti, sur les systèmes de production, de distribution et régulation du chauffage, de la climatisation,
de l’éclairage, de l’eau chaude sanitaire (plus généralement sur l’amélioration de l’efficacité
énergétique de tout équipement ou système producteur, ou consommateur d’énergie), comprendre
des actions sur l’exploitation/maintenance, sur le comportement des usagers etc.
Open innovation
Un point d’attention particulier a été identifié concernant la pratique de « l’Open Innovation ». Il
s’agira de l’encourager tout en respectant le Droit de la Concurrence, et en étant vigilant à ne pas
produire de situations apparentées à une entente illicite, une concurrence déloyale ou un abus de
position dominante.
Tarifs réglementés
L’atteinte de l’objectif de performance E=0 (en net) des rénovations EnergieSprong suppose la
production d’énergie renouvelable locale permettant de compenser la consommation résiduelle
d’énergie des occupants après la rénovation de leur logement. L’énergie produite peut être destinée
à l’autoconsommation ou à la revente sur le réseau. Le schéma d’achat/revente d’énergie optimal
fait l’objet de réflexions au sein d’un groupe de travail dédié, et dépend en partie de la
réglementation sur le prix de rachat de l’électricité et sur la réglementation concernant
l’autoconsommation. La production d’énergie photovoltaïque est, à l’heure actuelle, l’option pré-
sentie pour assurer la production d’énergie sur site.
Obligation de rachat de l’électricité photovoltaïque
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186En France, la loi du 10 février 2000 instaure le principe de l’obligation d’achat de l’électricité
photovoltaïque et a été transcrite dans les articles du code de l’énergie L314-1 et suivants. Les
arrêtés fixent le niveau de tarif d’achat et les conditions d’éligibilité.
Ces tarifs d’achat diffèrent en fonction du type d’installation photovoltaïque :
- Installation intégrée au bâti (IAB),
- Installation en intégration simplifiée au bâti (ISB).
Pour bénéficier du tarif de rachat IAB, les modules ou films photovoltaïques doivent constituer
l’élément principal assurant la fonction d’étanchéité de la toiture du bâtiment.
Les tarifs de vente de l’électricité photovoltaïque pour la période du 1 janvier 2017 au 31 mars 2017
sont les suivants :
- Intégration au bâti : 0-9 kWc = 23,54 cts€/kWh (23,90 cts€/kWh au trimestre précédent)
- Intégration simplifiée au bâti :
o 0-36 kW = 12,38 cts€/kWh (12,49 cts€/kWh au trimestre précédent)
o 36-100 kW = 11,76 cts€/kWh (11,86 cts€/kWh le trimestre précédent)
Ce tarif de rachat de l’électricité photovoltaïque par EDF est fixe pendant 20 ans (incluant une
formule d’indexation du tarif de rachat fonction de deux indices de l’INSEE, évolution du cours de la
vie…).
Source : Photovoltaïque Info
On observe une tendance à la décroissance des tarifs de rachat de l’électricité photovoltaïque qu’il
s’agit de prendre en compte dans le modèle économique des rénovations EnergieSprong.
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This project has received funding from the European Union’s Horizon 2020
research and innovation programme under grant agreement No 696186You can also read
