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    (4) Where, in relation to an application to which paragraph (1) applies, the applicant, before the coming into force of these Regulations, published a notice of the application in accordance with the regulations in force at the time the application was made, the requirements of these Regulations as regards publication shall be taken to have been met.

Interpretation
     3.  - (1) In these Regulations - 

"the 2000 Act" means the Utilities Act 2000[4];

"the 2004 Act" means the Energy Act 2004[5];

"the Act" means the Electricity Act 1989;

"application" means an application for a licence, or for a modification 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 grante or to be granted under section 6(1)(a) of the Act;

"interconnector licence" means a licence granted or to be granted under section 6(1)(e) 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;

"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 to these Regulations, unless 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[6]) 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 - 

(a) in relation to a distribution licence, a generation licence, a supply licence or a transmission licence, to a standard condition which is determined under section 33(1) of the 2000 Act or section 137(1) of the 2004 Act; or

(b) in relation to an interconnector licence, to a standard condition which is determined under section 146(1) of the 2004 Act,

subject to any 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) 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; and

(e) an application in respect of an interconnector licence shall be accompanied by the information and documents specified in Part 5 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 4 of Schedule 1, the obligation imposed by paragraph (2)(a) above shall be modified accordingly.

Application fees
     7.  - (1) Subject to paragraph (2), the prescribed fee in relation to an application of the description specified in the first column of the Table in Schedule 3 shall be 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, the prescribed fee shall be the higher or highest such fee.

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 prescribed manner of publication for that purpose shall be 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) 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.

John Neilson
A member of the Authority Department

8th November 2004

(a) 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).

(b) where the applicant is a body corporate, - 


(i) the jurisdiction under which it is incorporated.

(ii) if applicable, its registered number.

(iii) 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.

(c) where the applicant is neither a body corporate nor a sole trader, the name(s) and address(es) of the person or persons in whom effective control of the applicant rests.

(d) where any person (other than a person whose name is given at paragraph 2(b)(iv) or paragraph 2(c) above) holds 20 per cent or more of any class of the shares[10] of the applicant, 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.

(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).

CRIMINAL OFFENCES

     5. Either - 

(a) give particulars of any criminal convictions of the applicant and any other person specified in paragraph 2(b)(iii), 2(b)(iv), 2(c) or 2(d) (other than for offences under the Road Traffic Offenders Act 1988[13] or convictions in respect of which the person has become rehabilitated under the Rehabilitation of Offenders Act 1974[14]); or

(b) provide a statement that there are no relevant convictions.

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[15].

     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.

(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[17].

MODIFICATION OF AN AREA OF A TRANSMISSION LICENCE

     3. If the application is for a modification of an area of a transmission licence and the modification in question constitutes a restriction of the area, 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.

(a) throughout Great Britain; or

(b) within a specified area or areas 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[19].

     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).

(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 paragraph (2) 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

    (2) For the purposes of paragraph (1)(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.

(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[21] 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.

(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.

[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. 2004/2541.back

[4] 2000 c. 27.back

[5] 2004 c. 20.back

[6] 1985 c. 6.back

[7] Application may not be made on the same form in respect of more than one of these types of licence.back

[8] Application for a modification of an area may only be made in relation to a transmission licence.back

[9] Application may not be made for an extension or restriction of a generation or an interconnector licence.back

[10] Reference to shares - 

(i) in relation to an applicant with share capital, are to allotted 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 share capital, are to interests - 

(a) conferring any right to share in the profits or liability to contribute to the losses of the applicant; and
(b) giving rise to an obligation to contribute to the debts or expenses of the applicant in the event of winding up.back

[11] 1986 c. 44.back

[12] In this sub-paragraph "related person" means - 

(i) in relation to an applicant who is an undertaking within the meaning of section 259 of the Companies Act 1985 ("the principal undertaking"), a parent or subsidiary undertaking of the principle undertaking or a subsidiary undertaking of the parent undertaking of the principal undertaking, in each case within the meaning of section 258 of that Act; and
(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

[13] 1988 c. 53.back

[14] 1974 c. 53.back

[15] 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

[16] 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 in so far 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 - 

(i) with an application made by the applicant in accordance with these Regulations; or
(ii) subsequent to such an application in pursuance of a condition of the applicant's licence.back

[17] 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

[18] 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 - 

(i) with an application made by the applicant in accordance with these Regulations; or
(ii) subsequent to such an application in pursuance of a condition of the applicant's licence.back

[19] 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 other convenient means.back

[20] 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 in so far 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 - 

(i) with an application made by the applicant in accordance with these Regulations; or
(ii) subsequent to such an application in pursuance of a condition of the applicant's licence.back

[21] 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

  © Crown copyright 2004