(1)    These Regulations may be cited as the Electricity (Applications for Licences, Modifications of an Area and Extensions and Restrictions of Licences) Regulations 2007 and shall come into force on 1st August 2007.

(2)    The Electricity (Applications for Licences, Modifications of an Area and Extensions and Restrictions of Licences) (No 2) Regulations 2004 (“the 2004 Regulations”) are revoked.

(1)    Where an application has been made under the 2004 Regulations but at the date upon which these Regulations come into force the application has neither been granted nor refused, the application shall be treated thereafter as having been made under these Regulations.

(2)    An application to which paragraph (1) applies which conformed to the requirements of the 2004 Regulations in force at the time it was made and was accompanied by the fee prescribed under those regulations shall not be treated as defective by virtue only of failure in any respect to comply with these Regulations.

(3)    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 2004 Regulations, the requirements of these Regulations as regards publication shall be taken to have been met.

(1)    In these Regulations—

“the 2000 Act” means the Utilities Act 2000;

“the 2004 Act” means the Energy Act 2004;

“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 granted 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, in relation to a transmission licence, 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;

“signed” includes signed in a manner which would for the purposes of section 7 of the Electronic Communications Act 2000 be an electronic signature;

“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) 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.

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 or sent by electronic mail to an address specified by the Authority; 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.

An application shall be made in the form specified in Schedule 1 or a form to the like effect, and shall contain the information there specified.

(1)    Subject to paragraphs (2) and (3)—

(a)    an application in respect of a transmission licence shall be accompanied by the information and documents specified in Part 1 of Schedule 2;

(b)    an application in respect of a distribution licence shall be accompanied by the information and documents specified in Part 2 of Schedule 2;

(c)    an application in respect of a supply licence shall be accompanied by the information and documents specified in Part 3 of Schedule 2; and

(d)    an application in respect of an interconnector licence shall be accompanied by the information and documents specified in Part 4 of Schedule 2.

(2)    The obligation imposed by paragraph (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 (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) shall be modified accordingly.

(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.

(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

Sarah Harrison

A member of the Authority For and by the Gas and Electricity Markets Authority

10th July 2007

General Particulars

1

State—

(a)    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..........................................................................................................................
……………………………………………………………………………………………
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(b)    name, address, facsimile number (where applicable), telephone number and electronic mail address (where applicable) of person to whom correspondence or enquiries concerning the application should be directed…………………………………………….
………………………………………………………………………………………………
………………………………………………………………………………………………

(c)    where the address provided in paragraph 1(a) is not an address in Great Britain an address in Great Britain for service of documents…………………………………………
………………………………………………………………………………………………
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(d)    whether the application is in respect of a generation licence, a transmission licence, a distribution licence, a supply licence or an interconnector licence(a)……………………...
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(e)    whether the application is for a licence, a modification of an area^(b), an extension of a licence or a restriction of a licence^(c).................................................................................
………………………………………………………………………………………………

(f)    the date from which the licence, the modification of an area or extension or restriction is desired to take effect……………………………………………………………………….......................
............................................................................................................................................

2

State—

(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 home 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……………………………………………..
……………………………………………………………………………………..
…………………………………………………………………………………..…
…………………………………………………………………………………..….

(iv)    the name and registered office of any ultimate holding company of the applicant and its current directors (within the meaning of sections 736, 736A and 736B of the Companies Act 1985) 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………………………………………………………………………….….
……………………………………………………………………………………….
……………………………………………………………………………………….

(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)) holds 20 per cent or more of any class of the shares^(d) 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…………………………………………………………………….
………………………………………………………………………………………….

3

Give particulars of any licences under the Act or the Gas Act 1986^(e) 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^(f) in relation to the applicant……………….…..
………………………………………………………………………………………………….….

4

If the application is for a licence—

(a)    provide details of 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)    state 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 no holder of such a licence would be unduly disadvantaged in competing with other holders of such licences (including the applicant)—

(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).

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^(g) of convictions in respect of which the person has become rehabilitated under the Rehabilitation of Offenders Act 1974^(h)); or

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

(a) Application may not be made on the same form in respect of more than one of these types of licence.

(b) Application for a modification of an area may only be made in relation to a transmission licence.

(c) Application may not be made for an extension or restriction of a generation or an interconnector licence.

(d) References 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 or the applicant; and

(iii) in relation to an applicant without share capital, are to interests—

(aa) conferring any right to share in the profits or liability to contribute to the losses of the applicant: and

(bb) giving rise to an obligation to contribute to the debts or expenses of the applicant in the event of winding up.

(e) 1986 c 44

(f) In this 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 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 (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).

(g) 1988 c 53

(h) 1974 53

These Regulations set out the information and other documents that are required to be submitted with applications for generation, transmission, distribution, supply and interconnector 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 1st August 2007. Regulation 1 provides for the citation, commencement and revokes the previous Regulations. Regulation 2 makes transitional provisions for applications made but not determined before these Regulations come into force.

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:

—transmission licences, at Part 1;

—distribution licences, at Part 2;

—supply licences, at Part 3; and

—interconnector 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 request that the notice of the application is published on the Ofgem website or to publish it on 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.