The Electricity and Gas (Market Integrity and Transparency) (Enforcement etc.) Regulations (Northern Ireland) 2013

Deemed service

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• (1) A relevant document which is given by the Authority to any person in accordance with this Schedule is to be treated as having been received on the day shown in the table below.

• (2) Where a relevant document is given by fax, that document is to be treated as having been received on the deemed day of receipt of the fax, determined in accordance with sub-paragraph (1), regardless of whether the Authority has sent a copy of that document in accordance with sub-paragraph (2) of paragraph 5.

Service on the Authority

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• (1) For the purposes of any provision under these Regulations which requires a person (“the sender”) to give a document to the Authority before the end of a specified period, the sender is to be regarded as having complied with that requirement (irrespective of the day on which the document is in fact received by the Authority if it is sent by post, fax or other electronic means) if the sender sends the document to the Authority in accordance with any applicable directions before the end of the specified period or, where no such directions apply, if the sender—

• (a) delivers the document to an employee of the Authority with responsibility for the matter to which the document relates before the end of the specified period;

• (b) leaves the document at the Authority's published address before the end of the specified period, and obtains a time stamped receipt;

• (c) posts the document to the Authority's published address before the final day of the specified period;

• (d) sends the document to the Authority by fax before the end of the specified period, provided that the sender has also sent or subsequently sends a copy of that document in accordance with sub-paragraph (2); or

• (e) sends the document to the Authority by other electronic means of communication before the end of the specified period, and obtains electronic confirmation of receipt.

• (2) The sender may give a relevant document to the Authority by fax only if by the end of the business day following the day on which the sender did so, the sender sends a copy of that document to the Authority by any method other than fax.

• (3) For the purposes of this paragraph—

• (a) “post” means—

• (i) where the sender is located in the United Kingdom, sending that document pre-paid by a postal service which seeks to deliver documents by post within the United Kingdom no later than the next working day in all or the majority of cases, and

• (ii) where the sender is located outside the United Kingdom, sending that document pre-paid by a postal service which seeks to deliver documents by post in the fastest time which is reasonable in the circumstances;

• (b) “applicable direction” means any direction given by the Authority under these Regulations which specifies the manner in which the relevant document in question is to be given.

Electronic service on the Authority

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Where a relevant document which is to be given to the Authority is given by fax or other electronic means it must be sent to a fax number, email address or other electronic identification—

• (a) which has been notified to the sender by the Authority as the appropriate number, address or other electronic identification for the purpose of receiving relevant documents of the kind in question, or

• (b) in all other cases, which has been published by the Authority for the purpose of receiving relevant documents.

SCHEDULE 3 — Transitory provision

1

This Schedule has effect until the Authority has issued a statement under regulation 27.

2

In exercising, or deciding whether to exercise, its power under regulation 26 in the case of any particular behaviour, paragraphs 3 to 5 apply.

3

The Authority must have regard to—

• (a) the seriousness of the failure in question in relation to the nature of the requirement not complied with;

• (b) the behaviour of the person, including—

• (i) the extent to which the behaviour was deliberate or reckless;

• (ii) whether the person believed, on reasonable grounds, that the behaviour did not fall within regulation 26(1)(a) or (b);

• (iii) whether the person took all reasonable precautions and exercised due diligence to avoid behaving in a way which fell within regulation 26(1)(a) or (b); and

• (c) whether the person on whom the penalty is to be imposed is an individual.

4

The Authority must have regard to paragraph 3.1 to 7.2 of the statement of policy published by the Authority under section 46 of the Energy (Northern Ireland) Order 2003 in April 2008 titled ‘Statement of Policy with respect to Financial Penalties’ read with the modifications set out in paragraph 5.

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• (1) For references to “licence holder” or “licensee” read “person concerned”.

• (2) In Paragraph 3.1—

• (i) after the word “Order” insert “ [or the Electricity and Gas (Market Transparency and Integrity) (Enforcement etc) Regulations (Northern Ireland) 2013] ”;

• (ii) in the first sentence, after the word “requirement” insert “ [or a REMIT requirement or requirement imposed by or under regulation 8] ” and,

• (iii) in the second sentence after the second and third reference to “or requirement” insert “ [or a REMIT requirement or requirement imposed by or under regulation 8] ”.

• (3) In paragraph 4.1 after the word “requirement” insert “ [or a REMIT requirement or requirement imposed by or under regulation 8] ”.

• (4) Reference to the Authority's principal objective and duties in Paragraph 4.3 is to be disregarded.

• (5) Paragraph 3.2, the second sentence in Paragraph 7.2 and Paragraph 7.3 are to be disregarded.

Signed

Sealed with the Official Seal of the Department of Enterprise, Trade and Investment on 2nd August 2013

A F Hepper — A senior officer of the

Explanatory note

(This note is not part of the Regulations)

Footnotes

Editorial notes