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URL: http://www.bailii.org/uk/legis/num_reg/2004/20042541.html
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| Made | 22nd September 2004 | ||
| Coming into force | 21st October 2004 |
The Gas and Electricity Markets Authority[1], in exercise of the powers conferred upon it by sections 6A(2), (3) and (6) and 60 of the Electricity Act 1989[2] hereby make the following Regulations:
Citation, commencement and transitional provision
1. - (1) These Regulations may be cited as the Electricity (Applications for Licences, Modification of an Area and Extensions and Restrictions of Licences) Regulations 2004 and shall come into force on 21st October 2004.
(2) Where an original application is outstanding at the date these Regulations come into force -
-
(a) the applicant shall provide to the Authority any information required by these Regulations in addition to the information included in the original application or a statement to the effect that it reasonably believes that no further information would be required by the Authority; and
(b) if the applicant provides the information referred to in sub-paragraph (a), the original application will be taken to be an application under these Regulations.
Revocation
2.
Subject to Regulation 1, the Electricity (Applications for Licences and Extensions and Restrictions of Licences) Regulations 2001[3] and the Electricity (Applications for Licences and Extensions and Restrictions of Licences) (Amendment) Regulations 2003[4] are hereby revoked.
Interpretation
3.
- (1) In these Regulations -
-
"the 2000 Act" means the Utilities Act 2000[5];
-
"the 2004 Act" means the Energy Act 2004[6];
-
"the Act" means the Electricity Act 1989;
-
"application" means an application for a licence, an application for a modification of an area of a licence, an application for an extension of a licence or an application for a restriction of a licence under the Act; and references to an application in respect of a licence shall be construed accordingly;
-
"the Authority" means the Gas and Electricity Markets Authority established by section 1 of the 2000 Act;
-
"distribution licence" means a licence granted or to be granted under section 6(1)(c) of the Act;
-
"domestic premises" means premises used wholly or mainly for domestic purposes;
-
"extension" in relation to a supply licence, means an extension of the licence under section 6(4) of the Act and, in relation to a distribution licence, means an extension of the licence under section 6(6) of the Act;
-
"generation licence" means a licence granted or to be granted under section 6(1)(a) of the Act;
-
"modification of an area" in relation to a transmission licence, means a modification of an area of the licence under section 6(6B) of the Act;
-
"original application" means an application made under the Electricity (Applications for Licences and Extensions and Restrictions of Licences) Regulations 2001 as amended by the Electricity (Applications for Licences and Extensions and Restrictions of Licences) (Amendment) Regulations 2003;
-
"restriction" in relation to a supply licence, means a restriction of the licence under section 6(4) of the Act and, in relation to a distribution licence, means a restriction of the licence under section 6(6) of the Act, and, only in relation to a transmission licence for the purpose of Regulation 8(4) and Part II of Schedule 2 of these Regulations, means a modification of an area of the licence under section 6(6B) of the Act by a restriction of the area of the licence;
-
"supply licence" means a licence granted or to be granted under section 6(1)(d) of the Act;
-
"transmission licence" means a licence granted or to be granted under section 6(1)(b) of the Act; and
-
"ultimate holding company" means a holding company (within the meaning of sections 736, 736A and 736B of the Companies Act 1985[7]) of the licensee which is not itself a subsidiary of another company; which is in the position to control, or exercise significant influence over, a policy of the licensee by virtue of rights under contractual arrangements or rights of ownership which are held by the company or of which the company is a beneficiary.
(2) In these Regulations, unless the context otherwise requires, a reference to a standard condition is a reference to a standard condition in relation to licences under sections 6(1)(a), (b), (c) and (d) of the Act which is determined under section 33(1) of the 2000 Act or section 137(1) of the 2004 Act, subject to such modifications of the standard conditions made under Part I of the Act, the 2000 Act, or the 2004 Act after the determination under those sections.
(3) Unless the context otherwise requires, other expressions appearing in these Regulations shall have the same meaning, if any, as they have in Part I of the Act.
(4) In these Regulations, unless the context otherwise requires -
-
(a) any reference to a numbered regulation or Schedule is a reference to the regulation or Schedule bearing that number in these Regulations; and
(b) any reference to a numbered paragraph is a reference to the paragraph bearing that number in the regulation in which the reference occurs.
Manner of Application
4.
An application shall be -
-
(a) made in writing, addressed to the Authority and delivered or sent by prepaid post to the Authority at its principal office; and
(b) signed and dated by or on behalf of the applicant, stating, where signed on behalf of the applicant, the capacity of the signatory.
Form of application
5.
An application shall be in the form specified in Schedule 1 or a form to the like effect, and shall contain the information there specified.
Additional information and documents to accompany application
6.
- (1) Subject to paragraphs (2) and (3) -
-
(a) an application in respect of a generation licence shall be accompanied by the information and documents specified in Part 1 of Schedule 2;
(b) an application in respect of a transmission licence shall be accompanied by the information and documents specified in Part 2 of Schedule 2;
(c) an application in respect of a distribution licence shall be accompanied by the information and documents specified in Part 3 of Schedule 2; and
(d) an application in respect of a supply licence shall be accompanied by the information and documents specified in Part 4 of Schedule 2.
(2) The obligation imposed by paragraph 6(1) shall, to the extent that information and documents are specified in Schedule 2 by reference to, or in relation to, a standard condition, apply -
-
(a) subject to paragraph 6(3), in the case of an application for a licence, as if the standard condition in question were to be included and have effect in any licence granted as a result of the application; and
(b) in the case of an application for a modification of an area, or for an extension or restriction of a licence, in relation to such of the standard conditions in question as have been included and have effect in that licence.
(3) Where a modification to any standard condition is requested in accordance with paragraph 3 of Schedule 1, the obligation imposed by paragraph (2)(a) above shall be modified accordingly.
Application fees
7.
- (1) Subject to paragraph (2), each application of the description specified in the first column of the Table in Schedule 3 shall be accompanied by the corresponding fee specified in the second column of that Table.
(2) Where more than one fee would, but for this paragraph, be payable in respect of a particular application, only the higher or highest such fee, as the case may be, shall be payable.
Notice of application
8.
- (1) The period prescribed for the purpose of section 6A(3) of the Act (notice of applications) is ten working days ("the prescribed period").
(2) The applicant shall publish the notice of application within the prescribed period either by -
-
(a) requesting the Authority to place the notice on the website address of the Authority (at "www.ofgem.gov.uk" or such other website address as may be notified to the applicant by the Authority in writing); or
(b) publishing the notice on the website address of the applicant and requesting the Authority to place a link to the applicant's website address on the website address of the Authority (at "www.ofgem.gov.uk" or such other website address as may be notified to the applicant by the Authority in writing).
(3) In the event that it is not practicable to publish the notice of application as specified in paragraph (2) above, the Authority may specify by notice in writing an alternative means of publication.
(4) Where an application is for the restriction of a licence, the applicant shall also ensure that notice of application is published within the prescribed period in such newspapers as are calculated to ensure that the notice is circulated throughout the area to which the proposed restriction relates.
The seal of the Gas and Electricity Markets Authority here affixed is authenticated by the signature of
L.S.
J.S. Neilson,
A member of the Authority
22nd September 2004
1. State -
(1) name and registered address of applicant in full. In the case of a partnership or other joint venture (other than a body corporate), give the names and addresses of each party concerned.
(2) name, address, facsimile number (where applicable), telephone number and electronic mail address (where applicable) of a person to whom correspondence or enquiries concerning the application should be directed.
(3) where the address provided in paragraph 1(1) above is not an address in Great Britain an address in Great Britain for service of documents.
(4) whether the application is in respect of a generation licence, a transmission licence, a distribution licence or a supply licence[8].
(5) whether the application is for a licence, a modification of an area[9], an extension of a licence or a restriction of a licence[10].
(6) the date from which the licence, the modification of an area or extension or restriction is desired to take effect.
2.
State -
(1) whether the applicant is a public limited company, private limited company, overseas company, other body corporate, partnership, unincorporated association, sole trader or other entity (and in the last case give particulars of the legal status).
(2) where the applicant is a body corporate, state -
-
(a) the jurisdiction under which it is incorporated.
(b) if applicable, its registered number.
(c) the full names and addresses of its current directors (including any shadow directors within the meaning of section 741 of the Companies Act 1985) or, where applicable, the corresponding officers.
(d) the name and registered office of any ultimate holding company and its current directors (within the meaning of sections 736, 736A and 736B of the Companies Act 1985) of the applicant and the name and registered or principal office of any parent undertaking (within the meaning of section 258 of the Companies Act 1985) of the applicant.
(3) where the applicant is neither a body corporate nor a sole trader, give the name(s) and address(es) of the person or persons in whom effective control of the applicant rests.
(4) where any person (other than a person whose name is given at paragraph 2(2)(d) or paragraph 2(3) above) holds 20 per cent or more of any class of the shares[11] of the applicant, give the name and address of each such person, specifying in each case the number of shares so held and the percentage of the aggregate number of shares of that class represented thereby.
(5) give particulars of any licences under the Act or the Gas Act 1986[12] held, applied for (whether or not successfully) or intended to be applied for by the applicant or (so far as is known to the applicant) by any person who is a related person in relation to the applicant[13].
3. If the application is for a licence describe -
-
(a) any modification requested to any of the standard conditions for the type of licence for the purposes of section 8A(2) of the Act; and
(b) the grounds on which the applicant believes that -
-
(i) any such modification is requisite to meet the circumstances of the particular case; and
(ii) any such modification is such that -
-
(aa) the licence holder would not be unduly disadvantaged in competing with other holders of licences of that type; and
(bb) no other holder of a licence of the same type would be unduly disadvantaged in competing with other holders of such licences (including the applicant).
4. Either -
-
(a) give particulars of any criminal convictions of the applicant and any other person specified in paragraph 2(2)(c), 2(2)(d), 2(3) or 2(4) (other than for offences under the Road Traffic Offenders Act 1988[14] or convictions in respect of which the person has become rehabilitated under the Rehabilitation of Offenders Act 1974[15]); or
(b) provide a statement that there are no relevant convictions.
1. A generation licence may authorise the holder to operate -
-
(a) throughout Great Britain; or
(b) within a specified area or areas or at specified premises.
Please specify which of (a) or (b) is applicable, and in the case of (b) provide a sufficient description adequately specifying the area or premises to which the application relates[16].
2.
A statement of the extent (if any) to which the applicant considers it necessary for powers under Schedule 3 (compulsory acquisition of land etc) and under Schedule 4 (other powers etc) to the Act to be given through the licence for which he is applying.
1. Provide a brief description of the activities that the applicant intends to carry out with respect to the transmission of electricity.
2. Provide a sufficient description of -
-
(a) the area to which the application relates; and
(b) where different to the area in sub-paragraph (a), the area in which the applicant intends to carry out activities under a transmission licence[18].
3.
If the application is for a modification of an area of a transmission licence, also provide details of any of the following persons who may be affected by the application -
-
(a) any person authorised by a licence granted under section 6(1) of the Act or an exemption granted under section 5(1) of the Act;
(b) any person directly connected to the applicant's transmission system; and
(c) any other person who may reasonably be affected by the restriction which is the subject of the application.
1. A distribution licence may authorise the holder to operate -
-
(a) throughout Great Britain; or
(b) within a specified area or areas or at specified premises.
Please specify which of (a) or (b) is applicable, and in the case of (b) provide a sufficient description adequately specifying the area(s) or premises to which the application relates[20].
2.
Provide a statement of the extent (if any) to which the applicant considers it necessary for powers under Schedule 3 (compulsory acquisition of land etc.) and under Schedule 4 (other powers etc.) to the Act to be given through the licence for which he is applying.
3.
Provide particulars of the applicant's proposed arrangements for compliance with the applicable requirements of standard conditions 6 (Safety and Security of Supplies Enquiry Service), 8 (Provisions Relating to the Connection of Metering Equipment), 17 (Provision of Services for Persons who are of Pensionable Age, Disabled or Chronically Sick), 18 (Provision of Services for Persons who are Blind or Deaf), 19 (Code of Practice on Procedures with Respect to Site Access), and 21 (Complaint Handling Procedure).
4. If the application is for a restriction of a licence provide -
-
(a) an estimate of the total number of premises to which the applicant distributes electricity at the time of the application and to which the applicant would cease to distribute electricity if the application were acceded to ("relevant premises");
(b) unless there are, at the date of the application, no relevant consumers (within the meaning set out in sub-paragraph (c) below) in relation to the applicant, a description of the applicant's proposed arrangements to ensure compliance with section 16 of the Act (ensuring the connection of all such relevant consumers is maintained); and
(c) for the purposes of sub-paragraph (b), a person is a relevant consumer if -
-
(i) immediately before the restriction takes effect, he is connected to the distribution system of the holder of the licence; and
(ii) his premises are to be excluded from the licence by the restriction.
1. A supply licence may authorise the holder to supply electricity -
-
(a) to any premises;
(b) only to premises specified in the licence, or to premises of a description so specified; or
(c) only to any premises situated in a specified area, or to premises of a specified description which are so situated (section 6(3) of the Act).
Please specify which of (a), (b) or (c) above is applicable. Provide a sufficient description adequately specifying[22] the premises or a description of the premises and the location of the premises intended to be supplied, and, in the case of an application that relates to (c) above, also the specified area. Also state whether the application relates to domestic premises.
2. Provide particulars of the applicant's proposed arrangements for compliance with the applicable requirements of standard conditions 7 (Duty of Offer Terms for Meter Provision), 24 (Code of Practice on Procedures with Respect to Site Access), 25 (Efficient Use of Electricity), 35 (Code of Practice on Payment of Bills and Guidance for Dealing with Customers in Difficulty), 36 (Code of Practice on the Use of Prepayment Meters), 37 (Provision of Services for Persons who are of Pensionable Age or Disabled or Chronically Sick), 38 (Provision of Services for Persons who are Blind or Deaf), 39 (Complaint Handling Procedure), and 43 (Contractual Terms - Methods of Payment).
3. Provide particulars of the applicant's proposed arrangements for compliance with the applicable requirements of standard condition 7 (Duty to Offer Terms for Meter Provision).
4. If the application is for a restriction of a licence provide -
-
(a) an estimate of the total number of premises to which the applicant supplies electricity at the time of the application and which the applicant would cease to supply if the application were acceded to ("relevant premises"); and
(b) unless there are, at the date of the application, no relevant consumers (within the meaning set out in sub-paragraph (c) below) in relation to the applicant, a description of the applicant's proposed arrangements under standard condition 22A (Restriction or Revocation: Securing Continuity of Supply) for -
-
(i) ensuring continuity of supply for all such relevant consumers; and
(ii) in the case of each such consumer who is supplied with electricity in pursuance of a contract (which does not include any contract which, by virtue of paragraph 3 of Schedule 6 to the Act, is deemed to have been made), securing such continuity on the same terms as nearly as may be as the terms of the contract.
(c) For the purposes of sub-paragraph (b), a person is a relevant consumer if -
-
(i) immediately before the restriction takes effect, he is being supplied with electricity by the holder of the licence; and
(ii) his premises are to be excluded from the licence by the restriction.
| Description of application | Fee payable £ |
| Generation | |
|
1.
Application for licence |
450 |
| Transmission | |
|
2.
Application for licence |
450 |
|
3.
Application for modification of an area |
225 |
| Distribution | |
|
4.
Application for a licence |
1,250 |
|
5.
Application for extension or restriction |
125 |
| Supply | |
|
6.
Application for licence not including authorisation to supplyelectricity to domestic premises |
450 |
|
7.
Application for licence including authorisation to supply electricityto domestic premises |
1,150 |
|
8.
Application for extension of a licence so as to include authorisationto supply electricity to domestic premises |
1,000 |
|
9.
Application for any other extension or restriction |
400 |
(This note is not part of the Regulations)
These Regulations set out the information and other documents that are required to be submitted with applications for electricity generation, transmission, distribution and supply licences (and for modifications of an area of transmission licences and extensions, or restrictions of supply and distribution licences) under the Electricity Act 1989, as amended by the Utilities Act 2000 and the Energy Act 2004. They specify the form and manner of such applications. These Regulations also set out the manner in which notices of applications are to be published.
These Regulations come into force on 21st October 2004. Regulation 1 provides for the citation, commencement and transitional provisions and Regulation 2 revokes the previous Regulations.
Regulation 3 provides for general interpretation.
Regulation 4 deals with the manner of applications.
Regulation 5 concerns the form of applications, and incorporates Schedule 1 that specifies their form, and the information and documents to accompany them.
Regulation 6 specifies the additional information and documents to accompany applications. It incorporates Schedule 2, which covers, respectively, applications for: - generation licences, at Part 1;
-
- transmission licences, at Part 2;
-
- distribution licences, at Part 3; and
-
- supply licences, at Part 4.
Regulation 7 incorporates Schedule 3, which specifies the fees payable in respect of applications.
Regulation 8 provides for the notice period and publication requirements for applications. It requires applicants to ensure notice of the application is published either on the Ofgem website or their own website. If the application is for a restriction (including a modification of an area of a transmission licence to restrict that area) the applicant must also publish the notice in local newspapers.
Notes:
[1] The Gas and Electricity Markets Authority was established under section 1(1) of the Utilities Act 2000 (c. 27).back
[2] 1989 c. 29: with effect from 1st October 2001, section 30 of the Utilities Act 2000 introduced section 6A into the Electricity Act 1989.back
[3] S.I. 2001/3354: these regulations were amended by S.I. 2003.848.back
[8] Application may not be made on the same form in respect of more than one of these types of licence.back
[9] Application for a modification of an area may only be made in relation to a transmission licence.back
[10] Application may not be made for an extension or restriction of a generation licence.back
[11]
Reference to shares -
(ii) in relation to an applicant with capital but no share capital, are rights to share in the capital of the applicant; and
(iii) in relation to an applicant without capital, are to interests -
(b) giving rise to an obligation to contribute to the debts or expenses of the applicant in the event of winding up.back
[13]
In this sub-paragraph "related person" means -
(ii) in relation to any applicant (including such an undertaking), a connected person of the applicant within the meaning of section 286 of the Taxation of Chargeable Gains Act 1992 (c. 12).back
[16]
The description should enable the areas to be adequately and readily identified by map if the applicant so desires or by any other convenient means.back
[17]
In this part of this Schedule, if the application is for an extension or restriction of a licence, information and documents need only be given insofar as, in any material respect, they differ from or add to the most recent information or documents which were provided in relation to the same requirement -
(ii) subsequent to such an application in pursuance of a condition of the applicant's licence.back
[18]
The description should enable the areas to be adequately and readily identified by map if the applicant so desires or by any other convenient means.back
[19]
In this Part of this Schedule, if the application is for an extension or restriction of a licence, information and documents need only be given insofar as, in any material respect, they differ from or add to the most recent information or documents which were provided in relation to the same requirement -
(ii) subsequent to such an application in pursuance of a condition of the applicant's licence.back
[20]
The description should enable the areas, location or premises concerned to be adequately and readily identified by map if the applicant so desires or by any other convenient means.back
[21]
In this Part of this Schedule, if the application is for an extension or restriction of a licence, information and documents need only be given insofar as, in any material respect, they differ from or add to the most recent information or documents which were provided in relation to the same requirement -
(ii) subsequent to such an application in pursuance of a condition of the applicant's licence.back
[22]
The description should enable the areas, location or premises to be adequately and readily identified by map if the applicant so desires or by any other convenient means.back
(i) in relation to an applicant with share capital, are to allotted shares;
(a) conferring any right to share in the profits or liability to contribute to the losses of the applicant; and
(i) in relation to an applicant who is an undertaking with the meaning of section 259 of the Companies Act 1985 ("the principal undertaking"), a parent or subsidiary undertaking of the principal undertaking or a subsidiary undertaking of a parent undertaking of the principal undertaking, in each case within the meaning of section 258 of that Act; and
(i) with an application made by the applicant in accordance with these Regulations; or
(i) with an application made by the applicant in accordance with these Regulations; or
(i) with an application made by the applicant in accordance with these Regulations; or
[a]
Amended by Correction Slip.
Page 1; footnote (d) should read "S.I. 2003/848".
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ISBN
0 11 049973 5