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BSCP 65: Registration of Parties and Exit Procedures

v 22.0
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Balancing and Settlement Code

BSC PROCEDURE

Registration of Parties and Exit Procedures

BSCP65

Version 22.0

Date: 29 June 2023

BSC PROCEDURE 65 relating to REGISTRATION OF PARTIES AND EXIT PROCEDURES

1. Reference is made to the Balancing and Settlement Code and, in particular, to the definition of “BSC Procedure” in Section X, Annex X-1 thereof.

2. This is BSC Procedure 65, Version 22.0 relating to registration of Parties and Exit Procedures.

3. This BSC Procedure is effective from 29 June 2023

4. This BSC Procedure has been approved by the Panel.

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All other rights of the copyright owner not expressly dealt with above are reserved.

No representation, warranty or guarantee is made that the information in this document is accurate or complete. While care is taken in the collection and provision of this information, Elexon Limited shall not be liable for any errors, omissions, misstatements or mistakes in any information or damages resulting from the use of this information or action taken in reliance on it.

AMENDMENT RECORD

Version

Date

Description of Changes

Changes Included

Mods/ Panel/ Committee Refs

1.0

Code Effective Date

Updated to version 1.0

n/a

n/a

2.0

30/11/00

Work outstanding at Go Active, resolution of inconsistencies, inclusion of consultation comments

209, 186, 229, 243

08/009

3.0

13/08/02

Change Proposal for BSC Systems Release 2

CP508, 661, 546, 726

ISG16/166

ISG18/193

SVG17/208

SVG19/233

4.0

24/06/03

Incorporates changes for CVA Programme June 03 Release

CP821

P106

5.0

01/08/03

Incorporates changes for P62

P62, P106 additional changes

6.0

19/02/04

Incorporates changes for CVA Programme P127 interim release

P127

ISG37/419

SVG37/465

7.0

30/06/04

Change Proposals for the CVA Programme June 04 Release

CP971

ISG40/003

SVG40/004

8.0

03/11/04

Changes for CVA Nov04 Release

CP502, CP974, P98

ISG40/003

ISG40/004

SVG40/004

9.0

23/02/05

CVA Programme Feb 05 Release

BETTA 6.3, P159

78/007

10.0

02/11/05

CVA Programme November 05 Release

CP1128

ISG54/002

11.0

22/02/07

February 07 Release

CP1160

CP1176

ISG/66/06

SVG/66/06

ISG/68/002

SVG/67/002

12.0

23/08/07

P197 Release

P197

13.0

04/11/10

November 10 Release

CP1328

ISG112/01

SVG112/03

CP1331

ISG112/01

SVG112/03

14.0

25/02/16

February 2016 Release

P318 Self Governance

ISG176/01

SVG179/02

15.0

23/02/17

February 2017 Release

P343 Self Governance

P259/04

16.0

28/02/19

February 2019 Release

P344

Panel 284C/01

February 2019 Release

CP1510

ISG211/06

SVG214/02

17.0

29/03/19

29 March 2019 Standalone Release

P369

Panel 285/12

18.0

16/06/20

16 June 2020 Standalone Release

P405 Self-Governance

P302/08

19.0

25/02/21

February 2021 Release

P414

P309/08

20.0

01/09/21

1 September 2021 Non-Standard Release

P420

P316/05

21.0

03/11/22

November 2022 Release

CP1570

SVG259/03 and ISG257/01

22.0

29/06/23

June 2023 Release

CP1580

Panel 338/04

1 Introduction

1.1 Purpose and Scope of the Procedure

This BSCP defines the key interfaces, interdependencies and timetable for the Registration of Parties in the Central Registration Service (CRS) and Exit Procedures.

Specifically it covers:

(a) Party Registration;

(b) Changes to Party Registration Data, including registration and deregistration of participation capacities;

(c) Withdrawal from the Code;

(d) Expulsion from the Code;

(e) Requests for additional Supplier IDs;

(f) Requests to remove additional Supplier IDs

(g) Party Novation.

The relationship of this BSCP to other processes under the Code is illustrated in the Accession and Registration Route Map at the end of Section 1.5 (see Figure 1).

Where a Party has access to the Self-Service Gateway and an equivalent online form is provided, the Party may use the online form as an alternative to the paper forms defined in this BSCP.

Where a Party has provided data using the Self-Service Gateway, BSCCo may use the service to validate and confirm the input data or to request additional data. Where this is the case, these online transactions will represent a valid equivalent to the transactions defined in this BSCP.

Please note that there will not always be a one-to-one equivalence between the data collected via the Self-Service Gateway and the paper forms defined in this BSCP. For example, data collected in one paper form, may be collected by more than one online form. Conversely, a single online form may collect data from more than one paper form.

All references to the provision of information using BSCP forms in this Procedure, should be construed as provision either by a paper form (including an electronic version of the form provided via email) or via the Self-Service Gateway. References to the CRA, including checks performed by the CRA, may include the Self-Service Gateway as applicable.

1.2 Main Users of this Procedure and their Responsibilities

This BSCP should be used by the following:

(a) Parties;

(b) BSCCo;

(c) The Authority (in the event of expulsion or withdrawal of a Party from the Code);

(d) The Panel (in the event of expulsion or withdrawal of a Party from the Code);

(e) The National Electricity Transmission System Operator (NETSO) (in respect to Party registration and withdrawals);

(f) Central Registration Agent (CRA);

(g) The Funds Administration Agent (FAA) (in respect of fund administration requirements for new Trading Parties).

1.3 Balancing and Settlement Provisions

This BSCP should be read in conjunction with the Code and in particular Section A.

In the event of an inconsistency between the provisions of this BSCP and the Code, the provisions of the Code shall prevail.

1.4 Associated BSC Procedures

(a) This procedure interfaces with the following BSCPs:

BSCP01

Overview of Trading Arrangements

BSCP15

BM Unit Registration

BSCP20

Registration of Metering Systems for Central Volume Allocation

BSCP31

Registration of Trading Units

BSCP38

Authorisations

BSCP68

Transfer Registration of Metering Systems between CMRS and SMRS

BSCP70

CVA Qualification Testing for Parties and Party Agents

BSCP71

Submission of ECVNs and MRVNs

BSCP75

Registration of Meter Aggregation Rules for Volume Allocation Units

BSCP301

Clearing, Invoicing and Payment

BSCP501

Supplier Meter Registration Service

BSCP507

Supplier Volume Allocation Standing Data Changes

BSCP509

Changes to Market Domain Data

BSCP515

Licensed Distribution

BSCP537

Qualification Processes for SVA Parties, SVA Party Agents and CVA MOAs

BSCP550

Shared SVA Meter Arrangement of Half Hourly Import and Export Active Energy

BSCP602

SVA Metering System and Asset Metering System Register

(b) Other Documents:

Communication Requirements Document

1.5 Description of the Registration Route Map

This BSCP covers the registration process for new Party Applicants up to the achieved status of “Registered Party” as detailed in the Accession and Registration Route Map, Figure 1 (at end of this Section). After completing the processes in Section 4.1, a new Party registering in accordance with this BSCP will not have the ability to trade, only to receive reports from BSCCo and BSC Agents.

Trading Party or LDSO1 status is awarded to a registered Party providing they have also completed other applicable registrations or Entry Processes. These processes are detailed in the following BSCPs:

BSCP15

BM Unit Registration

BSCP20

Registration of Metering Systems for Central Volume Allocation

BSCP71

Submission of ECVNs and MVRNs

BSCP501

Supplier Meter Registration Service

BSCP509

Changes to Market Domain Data

BSCP515

Licensed Distribution

1.5.1 Physical Trading Party Branch of Route Map

After a Party has registered their BM Units, Metering Systems and the associated Aggregation Rules that Party is then able to trade in the Balancing Mechanism, but could not submit its contract position to the ECVAA. In this scenario if the Party were to Import or Export energy at volumes outside the balancing mechanism and without supporting contract notification, it would pay imbalance charges on the Metered Volumes.

After registration of BM Units, Metering Systems and Aggregation Rules the Party then appoints MVRNAs and ECVNAs. The Party is then able to fully participate in contracted Export or Import of energy at Boundary Points and participate in the Balancing Mechanism.

1.5.2 Non-Physical Trading Party Branch of Route Map

If a Party appoints a MVRNA or ECVNA without registering any BM Units, the Party is able to trade contracts for energy, i.e. buy and sell energy, but not Export or Import energy at Boundary Points, as the Party is not responsible for any Metering Systems.

1.5.3 Not Shown in Route Map

To avoid over-complication the route map does not show the options available to communicate with the NETSO that affect a Party’s ability to submit Bids and Offers, and BM Unit Physical Notifications. These are addressed in BSCP15.

This BSCP does not indicate the timescales required to complete the associated procedures to achieve the participation capacity of a Trading Party (including a Supplier). Completion of the associated BSCPs may take between one and four months, depending on the participation capacity, the type of trading required, and the capacity and complexity of the systems being commissioned. Party Applicants should read the associated BSCPs to ensure that they begin the process sufficiently early to achieve their desired participation capacity.

complex image of process

1.6 Supplier IDs

1.6.1 Increasing the Number of Supplier IDs

Parties may increase their number of Supplier IDs by:

(a) Requesting additional Supplier IDs. A maximum of 2 operational additional Supplier IDs can be requested per Party using this BSCP.

(b) Gaining Panel approval. If the maximum number of Supplier IDs has been reached, the decision to grant the request is at the Panel’s discretion based on:

    • Any prevailing system constraints

    • Use of the Supplier ID is for innovative purpose within the market

(c) Merger and/or acquisition. The number of Supplier IDs obtained in this way is unlimited; however these Supplier IDs will be obtained through the Transfer of Supplier ID process (Change of SVA BM Unit Ownership) under BSCP15.

1.6.2 Removal of Supplier IDs

Any Party wishing to remove one or more of its Supplier IDs will use this BSCP, however a Supplier’s last remaining Supplier ID can only be removed by following the process in BSCP15 (Deregistration of Supplier BM Units following cessation of Supplier) and deregistering the Supplier Role using form BSCP65/01 or the Self-Service Gateway in accordance with the ‘Changes to Party Registration Data’ process in this BSCP.

2 Acronyms and Definitions

2.1 List of Acronyms

Acronyms used in this Procedure are:

AMVLP

Asset Metering Virtual Lead Party

BMRA

Balancing Mechanism Reporting Agent

CRA

Central Registration Agent

CRD

Communications Requirement Document

CRS

Central Registration Service

DSO

Distribution System Operator

ECVAA

Energy Contract Volume Aggregation Agent

ECVNA

Energy Contract Volume Notification Agent

FAA

Funds Administration Agent

IA

Interconnector Administrator

IEA

Interconnector Error Administrator

IU

Interconnector User

LDSO

Licensed Distribution System Operator

MDD

Market Domain Data

MVRNA

Metered Volume Reallocation Notification Agent

NETSO

National Electricity Transmission System Operator as the holder of the Transmission Licence and any reference to “NETSO”, “NGESO”, “National Grid Company” or “NGC” in the Code or any Subsidiary Document shall have the same meaning.

REC

Retail Energy Code

SAA

Settlement Administration Agent

SMRA

Supplier Meter Registration Agent

SVA

Supplier Volume Allocation

VLP

Virtual Lead Party

WD

Working Day

2.2 List of Definitions

CVA Qualification

Recognition that a BSC Party or Party Agent has satisfied the Communication requirements specified under Section O of the BSC, and that these systems have been tested according to the Communication Requirements Document.

CVA Qualification Statement

Certificate of CVA Qualification issued by BSCCo on completion of CVA Qualification.

CVA Qualification Tests/ CVA Qualification Test

Tests undertaken by a Qualifying CVA Participant. The tests provide the appropriate level of assurance that the necessary communications links between the Qualifying Participant and BSC Agents will function correctly under operational conditions.

Self-Service Gateway

An online portal, accessible through the BSC Website, that allows authorised users to provide and maintain registration data, including (but not limited to) the data defined in this BSCP.

Waiver

Recognition that a Qualifying CVA Participant is sharing facilities with another Participant who has previously satisfied the relevant CVA Qualification requirements, and as such that CVA Qualification Tests would be duplicated if undertaken by the Qualifying Participant.

All other terms are as defined in the Code.

3 This section is not in use

4 Interface and Timetable Information

4.1 Party Registration

A Party Applicant can apply to be registered immediately after an application for Accession is lodged with the BSCCo. However, Registration is not made effective until the Party Applicant has acceded and completed CVA Qualification testing in accordance with BSCP70 and set up Authorised Persons in accordance with BSCP38.

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.1.1

After Party Applicant lodges application for Accession with BSCCo

Submit Party registration application and register authorised persons in accordance with BSCP382.

If required participation capacity is ‘Supplier’ or ‘DSO’ register Market Participant ID and associated Market Domain Data in accordance with BSCP5093.

If required participation capacity is ‘Supplier’ CRA advises Party to register Base BM units in accordance with BSCP15

Party Applicant

CRA

Party Registration Application Form (BSCP65/01) or its online equivalent

CRA-I001 (input) BSC Party Registration Data or its online equivalent

BSCP38

Letter, fax, post, email, Self-Service Gateway

4.1.2

At least 10 WD before an applicant becomes a Trading Party

Complete and submit Funds Accession Form using BSCP301 or its online equivalent.

Party Applicant

FAA

BSCP301 Funds Accession Form or its online equivalent

Fax, post, email, Self-Service Gateway

4.1.3

Within 1 WD of receipt of form in 4.1.1 or its online equivalent

Request Accession & CVA Qualification status (and Party Details) from BSCCo for each application.

Where the Party applicant is a 'Supplier' or 'LDSO' ensure the MDD Coordinator has received information required to register Market Participant ID and associated Market Domain Data in accordance with BSCP509.

CRA

BSCCo

Fax, email, Self-Service Gateway

4.1.4

At the same time as 4.1.3

Advise Party of the need to finalise the provisions for banking details with the FAA before the Party Registration is effective.

CRA

Party

BSCP301

Fax, email, phone, Self-Service Gateway

4.1.5

Within 1 WD of 4.1.3

BSCCo confirms accession, Qualification status and Party details

BSCCo

CRA

Email, Self-Service Gateway

4.1.6

Within 1 WD of receiving notice from BSCCo in 4.1.5

Enter Party Registration Data, allocate registration ID to Party, notify Party of successful registration and allocate Production and Consumption Energy Accounts, as required.

CRA sends registration reports.

If Party’s intended participation capacity is “Supplier”, register Base BM Units using registration information provided through BSCP15.

CRA

Party

BSC Agents

NETSO

BSCCo

CRA-I014 (Registration Report)

CRA-I013 (Authentication Report)

CRA-I020 (Operations Registration Report)

Fax, email, electronic

4.2 Changes to Registration Data - Registration of Additional Participation Capacity/Role

This process is not to be used for registration of a new Party, please use the process in Section 4.1 instead. This process must be only used for subsequent changes following initial Party registration.

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.2.1

As determined by Party

Party submits completed Party Change of Registration Details Form or its online equivalent.

Party

CRA

Change of Registration Details Form (BSCP65/01) or its online equivalent or;

CRA-I001 (Party Registration Data) or its online equivalent

Fax, email, Self-Service Gateway

4.2.2

Within 1 WD of receipt of information from 4.2.1

CRA checks revised data:

If required participation capacity is 'Supplier' or 'LDSO' CRA advises Party to register Market Participant ID and associated Market Domain Data in accordance with BSCP5094.

If required participation capacity is ‘Supplier’ CRA advises Party to register Base BM units in accordance with BSCP15.

CRA

Party

Fax, email, electronic Self-Service Gateway

4.2.3

Within 1 WD of receipt of information from 4.2.1.

CRA confirms Accession, Qualification status and Party details with BSCCo.

Where Party has not completed necessary CVA Qualification testing, CRA advises Party to follow the necessary process in BSCP70.

CRA

BSCCo

Party

Internal process

4.2.4

Following 4.2.3

If advised, Party to qualify in accordance with BSCP70.

If required participation capacity is 'Supplier' or 'LDSO' register Market Participant ID and associated Market Domain Data.

If required participation capacity is ‘Supplier’ register base BM units.

Party

BSCP70

BSCP509

BSCP15

4.2.5

Within 1 WD of receiving notice from BSCCo that the Party Applicant has completed necessary CVA Qualification testing

CRA updates Party registration details and notifies Party of successful registration5.

CRA sends registration reports.

CRA

Registered Party

NETSO

BSCCo

BSC Agents

CRA-I014 (Registration Report) or its online equivalent

CRA-I020 (Operations Registration Report) or its online equivalent

CRA-I013 (Authentication Report) or its online equivalent

Fax, email, electronic

4.3 Changes to Registration Data - Deregistration of Participation Capacity/Role

This process should be used by:

(a) A Withdrawing Party to deregister all participation capacities, including that of BSC Party;

(b) A Party that wishes to change participation capacities (in conjunction with Section 4.2 of this procedure).

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.3.1

As determined by Party

Party submits completed Party Change of Registration Details Form or its online equivalent.

Party

CRA

Party Change of Registration Details Form (BSCP65/01) or its online equivalent or;

CRA-I001 (Party Registration Data) or its online equivalent

Fax, email, Self-Service Gateway

4.3.2

Within 1 WD of receipt of information from 4.3.1

CRA checks revised data with BSCCo and verifies/clarifies with Party as required.

Where the capacity to be deregistered is ‘Supplier’ or ‘LDSO’ CRA checks consistency of data with existing records.

CRA

BSCCo

Party

Party Change of Registration Details Form (BSCP65/01) or its online equivalent or;

CRA-I001(Details of change to Party Registration Data) or its online equivalent

Email, fax, electronic, phone, Self-Service Gateway

4.3.3

At the same time as 4.3.2

CRA advises Party of actions required to be undertaken prior to deregistering the role/participation capacity.

CRA

Party

Relevant BSCPs

(BSCP71, BSCP15, BSCP20, BSCP75 etc.)

Fax, email, electronic Self-Service Gateway

4.3.4

After 4.3.3

If deregistration participation capacity is:

(a) “Supplier”, Party updates Market Domain Data in accordance with BSCP5096 and/or;

(b) “Trading Party7”, Party must complete all associated deregistration, and have no ECVNA/MVRNA authorisations or notifications in place after the Effective To Date of the Party role.

Party

(Supplier and/or Trading Party)

BSCP509

4.3.5

Following 4.3.4

Party provides confirmation that all associated deregistration actions for their role/participation capacity are complete.

Party

CRA

Fax, email, Self-Service Gateway

4.3.6

Following 4.3.5

CRA confirms all associated deregistration activities have been completed

CRA

BSCCo

Fax, email, Self-Service Gateway

4.3.7

Within 1 WD of 4.3.6

CRA updates the Party’s registration data on CRS and issues registration reports.

If the Party has:

(a) not requested to withdraw from the Code END PROCESS;

(b) requested to withdraw from the Code refer to Section 4.5 of this BSCP.

CRA

Party

BSC Agents

NETSO

BSCCo

CRA-I014 (Registration Report) or its online equivalent

CRA-I013 (Authentication Report) or its online equivalent

CRA-I020 (Operations Registration Report) or its online equivalent

Fax, email, electronic, Self-Service Gateway

4.4 Changes to Party Registration Data – Changes to Party Name / Contact Details

This process should be followed by a Party where it wishes to apply to CRA to change its Party Registration Data (other than changes to participation capacities). Parties requesting changes to their participation capacities should use Sections 4.2 and 4.3 as appropriate.

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.4.1

As determined by Party

Party submits completed:

(a) Party Change of Registration Details Form or its online equivalent.

(b) Amendments to Funds Accession Details or its online equivalent.

Party

CRA

FAA

Party Change of Registration Details Form (BSCP65/01) or its online equivalent or;

CRA-I001 (Party Registration Data)

BSCP301/04(b) or its online equivalent

Fax, email, Self-Service Gateway

Electronic

4.4.2

Within 1 WD of receipt of information from 4.4.1

CRA checks revised data with BSCCo and verify/clarify with Party if necessary.

If changes include an amendment to the Party name, CRA must first obtain authorisation for this change from BSCCo.

CRA

BSCCo

Party

Party Change of Registration Details Form (BSCP65/01) or its online equivalent or;

Details of changes to Party Registration Data (CRA-I001)

Email / fax/ Self-Service Gateway

4.4.3

Within 2 WD of 4.4.2

CRA updates Party Registration Data.

CRA

Internal process

4.4.4

Within 4 WD of 4.4.3

CRA notifies changed registration details of Party.

CRA

Party

BSC Agents

NETSO

BSCCo

CRA-I014 (Registration Report)

CRA-I013 (Authentication Report)

CRA-I020 (Operations Registration Report)

Fax, email, electronic

4.5 Withdrawal from the Code (Non-Defaulting Party)

A Party may withdraw from the Code providing it is compliant with the criteria for withdrawal defined in Section A 5.1 of the Code. Checks against the provisions in Section A5.1.3 will be carried out at 5pm, 2WDs before the Withdrawal Date (the earliest Withdrawal Date will be after the Final Reconciliation Run for the last Settlement Day traded, and the corresponding Payment Date must have passed) to determine whether or not the Party is prevented from withdrawing from the Code. The Withdrawing Party should allow sufficient time for the completion of deregistrations and terminations as described in Appendix 3 of this document.

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.5.1

At least 28 days before the intended Withdrawal Date

Withdrawing Party completes Withdrawal Notice or its online equivalent and submits to BSCCo.

Withdrawing Party

BSCCo

Completed Withdrawal Notice (BSCP65/03)

Post, fax, email

4.5.2

Within 1 WD of receipt of notice

BSCCo sends Withdrawing Party acknowledgement of receipt of the Withdrawal Notice.

BSCCo

Withdrawing Party

Confirmation of receipt of Withdrawal Notice

Email

4.5.3

At the same time as 4.5.2

BSCCo checks and verifies the Withdrawal Notice, then sends Withdrawing Party an acceptance of the Withdrawal Notice subject to meeting the withdrawal criteria.

BSCCo

Withdrawing Party

Letter confirming acceptance of Withdrawal Notice

Fax, post, email

4.5.4

Within 1 WD of 4.5.3

BSCCo requests withdrawal information.

BSCCo

CRA

CRA-I044 (Request for Withdrawals Checklist) or its online equivalent

Fax, email, Self-Service Gateway

FAA

Details of outstanding liabilities and Credit Cover information

4.5.5

Within 2 WD of 4.5.4

Send the withdrawal information to BSCCo.

CRA

BSCCo

CRA-I047 (Withdrawals Checklist) or its online equivalent

Fax, email, Self-Service Gateway

FAA

FAA-I034 (Outstanding liabilities and Credit Cover information)

4.5.6

Within 1 WD of 4.5.5

Provide relevant withdrawal information.

BSCCo

Withdrawing Party

Exit Checklist - Appendix 3

Fax, email, Self-Service Gateway

4.5.7

After 4.5.6

Withdrawing Party completes relevant actions on the exit checklist, including deregistration of participation capacities in accordance with Section 4.3 of this procedure.

Withdrawing Party

4.5.8

At least 20 days prior to the Withdrawal Date

BSCCo carries out initial checks to identify potential issues preventing withdrawal.

BSCCo

Outstanding BSCCo Charges

Accrued sums payable under the Code paid or waived

Disputes that may result in accrued liabilities

For IA or IEA market roles, details of replacement appointed

Internal process

4.5.9

On same WD as 4.5.8

BSCCo requests information required to carry out initial checks in order to identify potential issues preventing withdrawal8.

BSCCo

CRA

CRA-I044 (Request for Withdrawals Checklist) or its online equivalent

Fax, email, Self-Service Gateway

FAA

Details of outstanding liabilities and Credit Cover information

NETSO

The Authority

REC Code Manager

SVAA

Other information to facilitate the initial checks

4.5.10

Within 5 WD of 4.5.9

Send responses to request for information required to carry out initial checks.

FAA

BSCCo

FAA-I034 (Outstanding liabilities and Credit Cover) or its online equivalent

Fax, email, Self-Service Gateway

CRA and FAA schedule final checks.

CRA

CRA-I047 (Withdrawals Checklist) or its online equivalent

NETSO

Any known issues preventing withdrawal

The Authority9

Licence or Exemption conditions requiring Code compliance

REC Code Manager

Outstanding Metering System registrations

SVAA

Any outstanding issues preventing withdrawal

4.5.11

Within 1 WD of 4.5.10

BSCCo advises Withdrawing Party of any issues identified which will need to be resolved before the final checks.

BSCCo

Withdrawing Party

Outstanding issues preventing withdrawal

Fax, email, Self-Service Gateway

4.5.12

As soon as possible on 2 WD prior to the Withdrawal Date

BSCCo requests information required to carry out final checks.

BSCCo

CRA

CRA-I044 (Request for Withdrawals Checklist) or its online equivalent

Fax, email, Self-Service Gateway

FAA

Details of outstanding liabilities and Credit Cover information

4.5.13

At 5pm, 2 WD prior to the Withdrawal Date

CRA and FAA shall run the reports and send the information to BSCCo within an hour.

FAA

BSCCo

FAA-I034 (Outstanding Liabilities and Credit Cover)

Fax, email, Self-Service Gateway

CRA

CRA-I047 (Withdrawals Checklist) or its online equivalent

4.5.14

Immediately after 4.5.13

BSCCo checks whether the Withdrawing Party is prevented from withdrawing under Section A.5.1.3 of the Code.

If the checks confirm the Withdrawing Party is not prevented from withdrawing go to step 4.5.15.

If the checks confirm the Withdrawing Party is prevented from withdrawing go to steps 4.5.17.

BSCCo

Internal process

4.5.15

Immediately after 4.5.14

BSCCo confirms that the Withdrawing Party can withdraw from the Code on the date specified on the Withdrawal Notice.

BSCCo

Withdrawing Party

Letter of formal notification that Withdrawal will proceed on the specified Withdrawal Date

Fax, email, Self-Service Gateway

Followed by post

4.5.16

Following 4.5.15 and prior to the Party’s Withdrawal Date

BSCCo advises of the Withdrawing Party’s impending withdrawal from the Code.

END PROCESS.

BSCCo

All Parties

BSC Agents

NETSO

The Panel

The Authority

Notification of withdrawal of Party from the Code

Email

4.5.17

Immediately after 4.5.14

BSCCo confirms that the Withdrawal Notice shall be of no effect and specifies the provisions in Section A5.1.3 which prevent it from withdrawing.

BSCCo

Withdrawing Party

Letter of formal notification that the Party cannot withdraw from the Code on the specified date and why

Fax, email

Followed by post

4.5A Withdrawal from the Code (Transferring Party ID)

A Party may withdraw from the Code by way of transferring their Party ID, providing it is compliant with the criteria defined in Section A5.1 of the Code. Checks against the provisions in Section A5.1.3 (d)-(g), will be carried out by BSCCo and subject to Panel approval. Following the transfer the Transferee will need complete the withdrawal process in BSCP65, Section 4.5.

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.5A.1

At least 28 days before the intended Withdrawal Date

Withdrawing Applicant completes Withdrawal Notice or its online equivalent and submits to BSCCo.

Withdrawing Applicant

BSCCo

Completed Withdrawal Notice (BSCP65/03A Part 1).

Post, fax, email

4.5A.2

At least 28 days before the intended Withdrawal Date

Transferee completes Withdrawal Notice or its online equivalent and submits to BSCCo.

Transferee

BSCCo

Completed Withdrawal Notice (BSCP65/03A Part 2).

Post, fax, email

4.5A.3

Within 1 WD of receipt of notice

BSCCo validates the documents

BSCCo

Ensure Transferee is registered in the same role.

4.5A.4

Within 1 WD of receipt of notice

BSCCo sends Withdrawing Applicant acknowledgement of receipt of the Withdrawal Notice.

BSCCo

Withdrawing Applicant

Confirmation of receipt of Withdrawal Notice

Email

4.5A.5

Following 4.5A.4

BSCCo liaises with withdrawing Applicant to prepare an application to be presented to the Panel for decision

BSCCo

Withdrawing Applicant

Panel meeting date

BSCCo paper day deadlines

Supporting information required for

Panel decision

Fax, Email

4.5A.6

Panel meeting date

BSCCo presents the Withdrawing Applicant’s application to the Panel for decision.

BSCCo

Panel

Novation Applicant’s application

Panel meeting

4.5A.7

On same day as

Panel meeting

BSCCo informs Withdrawing Party of Panel’s decision.

If Panel:

(a) approves the application, BSCCo shall execute and deliver a Novation Agreement in line with the Panel decision.10 11

(b) requests further information. The Novation Applicant must, with help of BSCCo, prepare for another Panel presentation (including further input from the PAB, if requested by the Panel).

(c) rejects the application, a decision of the Panel shall be final and binding on the Withdrawing Applicant and the Withdrawing Applicant shall have no right of appeal.

BSCCo

Withdrawing Applicant

Transferring Party

Panel Decision

Post, fax, email

4.5A.8

On same day as

Panel meeting

If Panel approves the application, BSCCo advises of the successful Withdrawal.

BSCCo

Withdrawal Applicant

Panel Members

BSC Parties

The Authority

BSC Agents

Panel Decision

Name of the Withdrawal Applicant

Name of the Transferring Party

Participation capacities (if any) notified by the Party Applicant in its Party Details

Email

4.5A.9

Within 14months

Party to proceed to Withdrawal from the Code (Non-Defaulting Party) in Section 4.5

Party

Completed Withdrawal Notice (BSCP65/03)

Post, fax, email

4.6 Withdrawal from the Code (Defaulting Party)

Pursuant to Section A5.1.5 of the Code Parties in Default solely by virtue of Section H3.1.1(g) may withdraw from the Code, providing they have also satisfied the other criteria for withdrawal stipulated in Section A5.1 of the Code. Such Parties are also entitled to apply to the Panel to request that the Base Monthly Charge accrued between the date of submission of the Withdrawal Notice and the Withdrawal Date need not be settled prior to the Party’s withdrawal from the Code. Parties wishing to have an application presented to the Panel in respect of the Base Monthly Charge should indicate this on the Withdrawal Notice Form (BSCP65/03).

Refer to Appendix 3 for checklist of actions to be carried out in conjunction with this process.

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.6.1

At least 28 days before the intended Withdrawal Date12

Withdrawing Party completes Withdrawal Notice and submits to BSCCo.

Withdrawing Party

BSCCo

Completed Withdrawal Notice (BSCP65/03)

Post, fax, email

4.6.2

Within 1 WD of receipt of notice

BSCCo sends Withdrawing Party acknowledgement of receipt of the Withdrawal Notice.

BSCCo

Withdrawing Party

Confirmation of receipt of Withdrawal Notice

Email

4.6.3

At the same time as 4.6.2

BSCCo checks and verifies the Withdrawal Notice and if Party:

(a) is compliant, then BSCCo sends an acceptance of the Withdrawal Notice subject to meeting withdrawal criteria or;

(b) is not compliant, (including in Default but not solely by virtue of Section H 3.1.1 (g) of the Code), then BSCCo advises Withdrawing Party. END PROCESS.

Where Party wishes to submit an application to the Panel in respect of Base Monthly Charge amounts payable prior to withdrawal:

perform steps 4.6.4 – 4.6.6 in parallel to this process.

Otherwise proceed to step 4.6.7.

BSCCo

Withdrawing Party

Letter confirming acceptance of Withdrawal Notice

Or

Advice of non-compliance with Section A 5.1.5

Fax, post, email

4.6.4

Following 4.6.3

BSCCo liaises with Withdrawing Party to prepare an application to be presented at the Panel Meeting for decision.

BSCCo

Withdrawing Party

Panel meeting date

BSCCo paper day deadlines

Supporting information required for Panel application

Fax, email

4.6.5

Panel Meeting Date

Present Party’s application to the Panel for decision.

BSCCo

Panel

Panel application and amount payable

Panel meeting

4.6.6

Within 1 WD of Panel Meeting

Inform Party of Panel’s decision. If Panel:

(a) approves application, BSCCo amends invoicing process in respect of Base Monthly Charges or;

(b) refuses application, Party remains liable to settle Base Monthly Charges prior to final compliance checks.

BSCCo

Withdrawing Party

Panel Decision

Fax, email

4.6.7

Within 1 WD of 4.6.3

BSCCo requests Party withdrawal information.

BSCCo

CRA

FAA

CRA-I044 (Request for Withdrawals Checklist) or its online equivalent

Details of outstanding liabilities and Credit Cover information

Fax, email, Self-Service Gateway

4.6.8

Within 2 WD of 4.6.7

Send withdrawal information to BSCCo.

CRA

FAA

BSCCo

CRA-I047 (Withdrawals Checklist) or its online equivalent

FAA-I034 (Outstanding Liabilities and Credit Cover information) or its online equivalent

Fax, email, Self-Service Gateway

4.6.9

Within 1 WD of 4.6.8

Provide relevant withdrawal information.

BSCCo

Withdrawing Party

Exit Checklist - Appendix 3

Fax, email, Self-Service Gateway

4.6.10

After 4.6.9

Withdrawing Party completes relevant actions on exit checklist, including deregistration of participation capacities in accordance with Section 4.3 of this procedure.

Withdrawing Party

4.6.11

At least 20 days prior to the Withdrawal Date

BSCCo carries out initial checks to identify potential issues preventing withdrawal.

BSCCo

Outstanding BSCCo Charges

Accrued sums payable under the Code paid or waived

Disputes that may result in accrued liabilities

For IA or IEA market roles, details of replacement appointed

Internal process

4.6.12

On same WD as 4.6.11

BSCCo requests information required to carry out initial checks in order to identify potential issues preventing withdrawal13.

BSCCo

CRA

FAA

NETSO

The Authority

REC Code Manager

SVAA

CRA-I044 (Request for Withdrawals Checklist) or its online equivalent

Details of outstanding liabilities and Credit Cover information

Other information to facilitate the initial checks

Fax, email, Self-Service Gateway

4.6.13

Within 5 WD of 4.6.12

Send responses to request for information required to carry out initial checks.

FAA

BSCCo

FAA-I034 (Outstanding liabilities and Credit Cover) or its online equivalent

Fax, email or its online equivalent

CRA and FAA schedule final checks.

CRA

CRA-I047 (Withdrawals Checklist) or its online equivalent

NETSO

Any known issues preventing withdrawal

The Authority14

Licence or Exemption conditions requiring Code compliance

REC Code Manager

Outstanding Metering System registrations

SVAA

Any outstanding issues preventing withdrawal

4.6.14

Within 1 WD of 4.6.13

BSCCo advises Withdrawing Party of any issues identified which will need to be resolved before the final checks.

BSCCo

Withdrawing Party

Outstanding issues preventing withdrawal

Fax, email

4.6.15

15 WD prior to Withdrawal Date and after 4.6.2

To retrieve any Credit Cover in place the Withdrawing Party must request minimum eligible amount of Credit Cover calculation, in accordance with BSCP30115.

Withdrawing Party

BSCP301

4.6.16

As soon as possible on 2 WD prior to the Withdrawal Date

BSCCo requests information required to carry out final checks.

BSCCo

CRA

CRA-I044 (Request for Withdrawals Checklist) or its online equivalent

Fax, email, Self-Service Gateway

FAA

Details of outstanding liabilities and Credit Cover information

4.6.17

At 5pm, 2 WD prior to the Withdrawal Date

CRA and FAA shall run the reports and send the information to BSCCo within an hour.

FAA

BSCCo

FAA-I034 (Outstanding Liabilities and Credit Cover) or its online equivalent

Fax, email, Self-Service Gateway

CRA

CRA-I047 (Withdrawals Checklist) or its online equivalent

4.6.18

Immediately after 4.6.17

BSCCo checks whether the Withdrawing Party is prevented from withdrawing under Sections A.5.1.3 and A5.1.5 of the Code:

If the checks confirm the Withdrawing Party is not prevented from withdrawing go to step 4.6.19.

If the checks confirm the Withdrawing Party is prevented from withdrawing go to steps 4.6.21.

BSCCo

Internal process

4.6.19

Immediately after 4.6.18

BSCCo confirms that the Withdrawing Party can withdraw from the Code on the date specified on the Withdrawal Notice.

BSCCo

Withdrawing Party

Letter of formal notification that Withdrawal will proceed on the specified Withdrawal Date.

Fax, email, post

4.6.20

Following 4.6.19 and prior to the Party’s Withdrawal Date

BSCCo advises of the Withdrawing Party’s impending withdrawal from the Code.

END PROCESS.

BSCCo

All Parties

BSC Agents

NETSO

The Panel

The Authority

Notification of withdrawal of Party from the Code

Email

4.6.21

After 4.6.18

BSCCo confirms that the Withdrawal Notice shall be of no effect and specifies the provisions in Section A5.1.3 which prevent it from withdrawing.

BSCCo

Withdrawing Party

Letter of formal notification that the Party cannot withdraw from the Code on the specified date and why.

Fax, email, post

4.7 Expulsion from acceded status

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.7.1

At initial Panel Meeting

Advise BSCCo to gather performance assurance or other information on a Party that is in contravention of the provisions of the Code.

Panel

BSCCo

Request for performance assurance or other information

Meeting minutes

4.7.2

5 days ahead of second Panel meeting

Provides relevant information to Panel.

BSCCo

Panel

Relevant information

Meeting paper

4.7.3

At second Panel meeting

Make initial decision re its intention to expel Party, providing grounds for expulsion.

Panel

Meeting minutes

4.7.4

Second Panel meeting + 1 WD

Acting on behalf of the Panel, notify Authority and each other Party of intention to expel Party and requests written representations to be forwarded.

BSCCo

Parties and Authority

Notice of intention to expel Party, requests for written representations

Written

4.7.5

Second Panel meeting + 20 WD

Collate any representations made by Parties or the Authority and present to Panel.

BSCCo

Panel

Collation of representations from Authority and Parties

Meeting Paper

4.7.6

At third Panel meeting

Make final decision re intention to expel Party and advise BSCCo in minutes stating effective date and grounds for expulsion.

Panel

BSCCo

Minuted request to BSCCo to forward Expulsion Notice if required

Meeting minutes

4.7.7

Third Panel meeting + 1 WD

Forwards Expulsion Notice to Party, stating effective date and grounds for expulsion.

BSCCo

Party

Expulsion Notice

Email, post, fax

4.7.8

Third Panel meeting + 1 WD

Advises all Parties and BSC Agents.

BSCCo

All Parties

BSC Agents

NETSO

The Authority

Notification of expulsion

Email, post, fax

4.8 Request for Additional Supplier ID(s)

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.8.1

As determined by the Party

Request additional Supplier ID(s).

Liaise with the Market Domain Data Coordinator to agree provisional unique Supplier ID and Register MDD Changes as per BSCP509.

Party

CRA

BSCCo

Form BSCP65/05 (Part A) or its online equivalent. With an Effective From Date, which is on or after, the next MDD Go Live date

Fax, post, email, Self-Service Gateway

4.8.2

Within 1 WD of receipt of information from 4.8.1

Validate request and:

(a) establish if the Supplier ID limit has been exceeded (see 1.6.1);

(b) ensure the Party is in Central Systems and Qualified in the role of Supplier;

(c) validate password / signature;

(d) liaise with the MDD Co-ordinator to ensure Party has agreed a unique Supplier ID and that MDD has been updated via BSCP509.

CRA

BSCCo

Internal process.

4.8.3

If Supplier ID limit is reached (if not proceed to 4.8.6)

BSCCo liaises with the Party to prepare an application to be presented at the Panel Meeting for decision.

BSCCo

Party

Form BSCP65/05 (Part A) or its online equivalent

Panel meeting date

BSCCo paper day deadlines

Supporting information required for Panel application

Fax, email, Self-Service Gateway

4.8.4

Panel meeting date

BSCCo presents the Party’s application to the Panel for decision.

BSCCo

Panel

Party’s application

Panel meeting

4.8.5

Following 4.8.4

Notify CRA of the Panel decision. The decision of the Panel shall be final and binding.

BSCCo

CRA

Panel decision

Fax, email, Self-Service Gateway

4.8.6

If request rejected

Within 2 WD of receipt of form

Notify Party of reason for rejection.

CRA

Party

Form BSCP65/05 (Part B) or its online equivalent

Reason for rejection.

Fax, email, Self-Service Gateway

4.8.7

If request accepted

Within 2 WD of receipt of form

Notify Party of acceptance.

Continue as per: Notification of new Supplier ID, in BSCP15.

CRA

Party

Form BSCP65/05 (Part B) or its online equivalent

Acknowledgement

Register MDD Changes as per BSCP509

Fax, email, Self-Service Gateway

4.9 Request to Remove Additional Supplier ID(s)

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.9.1

As determined by the Party

Request to remove additional Supplier ID(s).

Register MDD Changes as per BSCP509.

Deregister SVA Standing Data as per BSCP507 (where appropriate).

Party

CRA

Form BSCP65/05 or its online equivalent. With an Effective To Date, which is on or after, the next MDD Go Live date

Fax, post, email, Self-Service Gateway

4.9.2

At the same time as 4.9.1

Deregister the additional Supplier ID(s) in MDD in accordance with BSCP509.

Deregister SVA Standing Data as per BSCP507 (where appropriate).

Deregister BM Units in accordance with BSCP15.

Party

Party

Party

BSCCo

BSCCo

CRA

Fax, post, email, Self-Service Gateway

4.9.3

Within 1 WD of receipt of information from 4.9.1

Validate request and:

(a) validate password / signature;

(b) liaise with the MDD Co-ordinator to ensure that necessary updates to MDD have been made;

(c) ensure this request is not for the final Supplier ID16.

CRA

Form BSCP65/05 or its online equivalent

Internal process.

4.9.4

If request rejected.

Within 2 WD of receipt of information from 4.9.1

Notify Party of reason for rejection.

CRA

Party

Form BSCP65/05 (Part B) or its online equivalent

Reason for rejection

Fax, email, Self-Service Gateway.

4.9.5

If request accepted.

Within 2 WD of receipt of information from 4.9.1

Notify Party of acceptance.

CRA

Party

Form BSCP65/05 (Part B) or its online equivalent

Acknowledgement

Fax, email, Self-Service Gateway

4.9.6

Within 1 WD of receipt of 4.9.5

Enter Effective To Date for all Supplier BM Units for that Supplier ID.

CRA

Supplier BM Units for that Supplier ID with the Effective To Date

Internal process

4.9.7

Within 1 WD of 4.9.6

Inform the NETSO, BSCCo, Party and BSC Agents of the BM Units Effective To Date.

CRA

BSCCo

NETSO

BSC Agents

Party

CRA-I020 (Operations Registration Report)

CRA-I015 (BM Unit and GSP Group Registration Data)

CRA-I014 (Registration Report to Party) containing Supplier name, Supplier ID, Effective To Date, BM Unit IDs

Electronic

Email to BSCCo

4.10 Party Novation

Application by a person wishing to be admitted as a Party to the Framework Agreement by novation (a "Novation Applicant") to transfer the BSC Party ID and any authorisations and qualifications obtained under the Code from an existing Party (a "Transferring Party") to the Novation Applicant, and to release the Transferring Party under the provisions of BSC Section A, paragraph 5.3.

Novation shall be in accordance with BSC Section A.

REF

WHEN

ACTION

FROM

TO

INPUT INFORMATION REQUIRED

MEDIUM

4.10.1

As determined by the Novation Applicant

Novation Applicant submits completed Novation Application Form.

Novation Applicant

BSCCo

Completed Novation Application Form (BSCP65/06a)

Two Novation Agreements (one if provided via email) signed but not dated by the Novation Applicant and Transferring Party (BSCP65/06b)

Confirmation of payment of Novation Fee

Post, email, fax

4.10.2

Within 1 WD of receipt of information in 4.10.1

BSCCo confirms receipt of BSCP65/06.

BSCCo

Novation Applicant

Transferring Party

Confirmation of receipt of Novation Application form and Novation Agreement

Confirmation of receiving Novation Fee

Fax, email

4.10.3

Within 5 WD of receipt of information in 4.10.1

BSCCo advises of the application for Novation.

BSCCo

Panel Members

BSC Parties

The Authority

BSC Agents

Intended Novation Date

Name of the Novation Applicant

Name of the Transferring Party

Participation capacities (if any) notified by the Novation Applicant in its Party Details

Email

4.10.4

Following 4.10.3

BSCCo liaises with Novation Applicant to prepare an application to be presented at the Performance Assurance Board (PAB) meeting for recommendation.

BSCCo

Novation Applicant

PAB meeting date

BSCCo paper day deadlines

Supporting information required for

PAB recommendation

Fax, Email

4.10.5

PAB meeting date

BSCCo presents the Novation Applicant’s application to the PAB for recommendation.

BSCCo

PAB

PAB meeting paper including supporting information required for PAB recommendation

PAB

meeting

4.10.6

Following 4.10.5

BSCCo liaises with the Novation Applicant to prepare an application to be presented at the Panel Meeting for decision.

BSCCo

Novation Applicant

Panel meeting date

BSCCo paper day deadlines

PAB recommendation

Supporting information required for

Panel application

Fax, Email

4.10.7

Panel meeting date

BSCCo presents the Novation Applicant’s application to the Panel for decision.

BSCCo

Panel

Novation Applicant’s application

Panel meeting

4.10.8

On same day as

Panel meeting

BSCCo informs Novation Applicant of Panel’s decision.

If Panel:

(a) approves the application, BSCCo shall execute and deliver a Novation Agreement in line with the Panel decision.17

(b) requests further information. The Novation Applicant must, with help of BSCCo, prepare for another Panel presentation (including further input from the PAB, if requested by the Panel).

(c) rejects the application, a decision of the Panel shall be final and binding on the Novation Applicant and the Novation Applicant shall have no right of appeal.

BSCCo

Novation Applicant

Transferring Party

Panel Decision

If applicable, BSCCo countersigned copy of the Novation Agreement

Fax, Email, post

4.10.9

On same day as

Panel meeting

If Panel approves the application, BSCCo advises of the successful Novation Agreement.

BSCCo

Novation Applicant

Panel Members

BSC Parties

The Authority

BSC Agents

Panel Decision

Name of the Novation Applicant

Name of the Transferring Party

Participation capacities (if any) notified by the Party Applicant in its Party Details

Email

5 Appendices – Summary of Forms

5.1 BSCP65/01 Party Registration Application / Change of Registration Details Form

5.2 No longer used

5.3 BSCP65/03 Withdrawal Notice Form

5.4 BSCP65/04 Expulsion Notice Form

5.5 BSCP65/05 Request for/ Removal of Additional Supplier ID

5.6 BSCP65/06a Novation Application Form

5.7 BSCP65/06b Agreement of Novation of Contract

5.1 BSCP65/01 Party Registration Application / Change of Registration Details Form*

Page 1 of 3

* Delete as appropriate

BSCP65/01

To: CRA

Date Sent:

From: Requesting Participant Details

Party ID:

Name of Sender:

Contact email address:

Our Ref:

Contact Tel. No.

Name of Authorised Signatory:

Authorised Signature:

Password:

Action Description (Tick one box Only)

Register

Amend Registration

Party Name

Party Name (Enter * if data has changed18)

Effective From Date for new Party name19

Page 2 of 3

Participation Capacity Details*

Tick one Participation Capacity only. Please complete separate forms for each participation capacity or category that applies.

Effective From Date DD/MM/YY

Effective To Date

DD/MM/YY

Enter ‘*’ if data has changed

Trading Party#

Distribution System Operator

Interconnector Administrator

Interconnector Error Administrator

NETSO

Supplier

Virtual Lead Party

Asset Metering Virtual Lead Party

# categories of Trading Parties

Please specify the Trading Party role in which you wish to register

Effective From Date DD/MM/YY

Effective To Date

DD/MM/YY

Enter ‘*’ if data has changed

Generator

Non-physical Trader

Interconnector User

Page 3 of 3

BSCP65/01

Market Participant ID (Only required If Role of Supplier or Licensed Distribution System Operator is requested)

Address Details

Enter ‘*’ if data has changed

Address Line 1

2

3

4

5

6

7

8

9

Postcode

Office Telephone Number

Office Fax Number

Email Address

Contact Name

Interconnector Error Administrator Details (Only Required if Role of Interconnector Error Administrator is requested)

Interconnector ID

Effective From Date

Effective To Date

5.2 No longer used

5.3 BSCP65/03 Withdrawal Notice Form

Withdrawal Notice Form BSCP65/03

This form gives notice that the Party referred to within intends to withdraw from the Code

To: BSCCo

Date Sent:

From: Requesting Participant Details

Party Name:

Party ID:

Name of Sender:

Contact email address:

Our Ref:

Contact Tel. No.

Name of Authorised Signatory:

Authorised Signature

Password:

A Party will be prevented from withdrawing from the Code if it is not compliant with the criteria for withdrawal stipulated in Section A5.1 of the Code. Checks against the provisions in Section A5.1.3 will be carried out by BSCCo at 5pm, 2WDs prior to the Withdrawal Date specified on this Withdrawal Notice to determine whether or not the Party is prevented from withdrawing. In order to withdraw, when the checks are carried out:

    • There must be no sums accrued or payable under the Code by your company (whether or not due for payment and whether or not the subject of a dispute) which remain (in whole or in part) to be paid unconditionally by your company.

    • The Final Reconciliation Settlement Run must have been carried out in relation to the last day on which you traded, and the corresponding Payment Date passed.

    • The company must not be registered under the Code (and/or the REC) in respect of any Metering Systems or BM Units.

    • The company must not be subject to any Licence conditions and/or Exemption conditions by virtue of which it is required to be a Party and/or to comply with the Code or which would otherwise be infringed if your company withdrew from the Code.

    • If an Interconnector Administrator or an Interconnector Error Administrator, a replacement Interconnector Administrator or Interconnector Error Administrator (as the case may) must have been appointed and agreed to act in your place.

Please complete if an Interconnector Administrator or an Interconnector Error Administrator:

Please give the name of the company that will act in your place.

Please complete if a Defaulting Party wishing to Withdraw from the code:

Is your company in Default solely by virtue of Section H3.1.1(g)?

In order to withdraw, your answer must be YES to this question.

YES/NO

Do you wish to request that the Panel determine whether or not it is necessary for the Base Monthly Charge (accruing after the date of this Withdrawal Notice20) to be paid as an accrued debt before your company can withdraw from the Code?

YES/NO

Withdrawal Date:

What date (the Effective Date) would you wish the withdrawal of your company from the Code to take effect?

The Effective Date must be at least 28 days from the date of this Withdrawal Notice. Subject to compliance with the requirements in Section A 5.1 you will cease to be a Party to the Code effective from the end of the Withdrawal Date specified on this form.

5.3A BSCP65/03A Withdrawal Notice (Transferring Party ID)

Part 1 (to be completed by the Party ID Transferor21 BSCP65/03A

This form gives notice that the Party referred to within intends to withdraw from the Code

To: BSCCo

Date Sent:

From: Requesting Participant Details

Party Name:

Party ID:

Name of Sender:

Contact email address:

Our Ref:

Contact Tel. No.

Name of Authorised Signatory:

Authorised Signature

Password:

A Party will be prevented from withdrawing from the Code by way of transferring their Party ID, if it is not compliant with the criteria set out in paragraphs 5.1.3 (d) to (g) of Section A. Checks against the provisions in Section A5.1.3 will be carried out by BSCCo and subject to Panel approval. Following the transfer the Transferee will need complete the withdrawal process in BSCP65, Section 4.5.

Please take this as notification that Party ID_______________________ (8 alphanumeric ID)

Will be transferred from Party:

Please give the name of the company that will be transferring the Party ID:

To Party:

Please give the name of the company that the Party ID will be transferred to:

Please confirm that you are not a Defaulting Party wishing to Withdraw from the Code:

Is your company in Default solely by virtue of Section H3.1.1(g)?

In order to withdraw, your answer must be No to this question.

YES/NO

Withdrawal Date:

What date (the Effective Date) would you wish the withdrawal of your company from the Code to take effect?

The Effective Date must be at least 28 days from the date of this Withdrawal Notice. Subject to compliance with the requirements in Section A5.1 you will cease to be a Party to the Code effective from the end of the Withdrawal Date specified on this form.

BSCP65/03A Withdrawal Notice (Transferring Party ID)

Part 2 (to be completed by the Party ID Transferee22 BSCP65/03A

This form gives notice that the Party referred to within intends to withdraw from the Code

To: BSCCo

Date Sent:

From: Requesting Participant Details

Party Name:

Party ID:

Name of Sender:

Contact email address:

Our Ref:

Contact Tel. No.

Name of Authorised Signatory:

Authorised Signature

Password:

Following the transfer the Transferee will need complete the withdrawal process in BSCP65, Section 4.5.

Please take this as notification that Party ID_______________________ (8 alphanumeric ID)

Will be transferred from Party:

Please give the name of the company that will be transferring the Party ID:

To Party:

Please give the name of the company that the Party ID will be transferred to:

We confirm that we consent to the transfer of the Transferring Party ID to us with effect from the Withdrawal Date of the Withdrawing Party and we acknowledge that with effect from such date we will be responsible for:

(a) the Party ID of the Withdrawing Party;

(b) all of the outstanding obligations and liabilities (whether actual, contingent, accrued or otherwise) of the Withdrawing Party referred to in paragraphs 5.1.3 (a) to (c); and

(c) to the extent applicable, any rights and liabilities (whether actual, contingent, accrued or otherwise) in respect of any Credit Cover deposited in cash by the Withdrawing Party with the BSC Clearer pursuant to Section M.

5.4 BSCP65/04 Expulsion Notice Form

Expulsion Notice Form BSCP65/04

Please be advised that >>>>>>>>>>>>>>>>>>> has been expelled from the Code by order of the Panel.

The grounds for expulsion are as follows:

1.

2.

3.

The expulsion will take effect from23:

(date)

Your attention is drawn to Section A of the Code which states your company’s ongoing obligations

Signature:

Name:

Position:

Chair Panel

5.5 BSCP65/05 Request for/ Removal of Additional Supplier ID*24

* Delete as appropriate

part A

To: CRA

Date Sent:

From: Requesting Party Details

Party ID:

Name of Sender:

Contact email address:

Our Ref:

Contact Tel. No.

Name of Authorised Signatory:

Authorised Signature:

Password:

BSC Party Details

Participation Capacity:

Additional Supplier ID / SVAA Market Participant ID:

(Please enter 4 alpha char. ID)

Is required / Is no longer required *

Effective From / To *:

(The Effective From/To date should be on or after the MDD ‘go live’ date)

Will this Additional Supplier ID take you over your Supplier ID limit?25

Yes/No

If yes, describe the reason for the Additional Supplier ID

Declaration

(To be completed when used to deregister a Supplier ID)

I certify that:

No SVA Metering Systems are associated with this Supplier ID;

This is not the final Supplier ID; and

No SVAA Standing Data is associated with this Supplier ID.

Authorised Signature: ______________________

part B Acknowledgement from CRA

Request Accepted / Rejected: (Delete as applicable)

Name:

Signature:

Date:

5.6 BSCP65/06a Novation Application Form

Page 1 of 2

"Novation Applicant" Person wishing to be admitted as a Party to the Framework Agreement by Novation*†

To: BSCCo

Date Sent:

From: Requesting Participant Details

Company Name

Company Number

Company Address

VAT registration number if applicable

Name of Sender:

Contact telephone number:

Contact email address:

* As registered in Companies House or equivalent

† The BSC Panel may request further company details

Transferring PartyParty wishing to transfer its rights and obligations under its Accession Agreement

Party ID:

Party Agent ID:

Party and Party Agent Roles:

Novation Date:

What date (the Novation Date) would you wish the Novation Agreement to take effect?

The Novation Date must be at least 28 days from the date of this Novation Application. Subject to BSC Panel review, the Novation Applicant shall be admitted as a party to the Framework Agreement and BSCCo shall forthwith date, execute and deliver a Novation Agreement, duly executed by the Novation Applicant.

Page 2 of 2

Describe the reason for the Novation Agreement

Provide details and timings of any changes to systems; personnel; customer growth or other changes as a result of this Novation Application

To be signed by Novation Applicant

I confirm that the Party Details of such Novation Applicant stated in this form are complete and accurate in all material respects:

SIGNED FOR AND ON BEHALF OF

[INSERT NAME OF NOVATION APPLICANT]

By: ________________________________________________________________________

Print Name _________________________________

Position ____________________________________

5.7 BSCP65/06b Agreement of Novation of a Contract

Dated

------------

AGREEMENT of novation of a contract

between

Continuing Party

and

Outgoing Party

and

Incoming Party

THIS AGREEMENT (“Agreement”) is dated [DATE]

Parties

    1. Elexon Limited, registered in England (number 3782949) whose registered office is at 4th Floor, 350 Euston Road, London, NW1 3AW, on its own behalf and on behalf of all the other parties to the BSC Framework Agreement (Continuing Party).

    2. [FULL COMPANY NAME] incorporated and registered in [England and Wales] with company number [NUMBER] whose registered office is at [REGISTERED OFFICE ADDRESS] (Outgoing Party).

    3. [FULL COMPANY NAME] incorporated and registered in [England and Wales] with company number [NUMBER] whose registered office is at [REGISTERED OFFICE ADDRESS] (Incoming Party).

Background

    1. The Continuing Party and the Outgoing Party are Party to an Accession Agreement, a copy of which is annexed to this Agreement (Contract), by which the Outgoing Party was admitted as an additional Party under the Framework Agreement.

    2. The Outgoing Party wishes to transfer its rights and obligations under the Contract to the Incoming Party.

    3. The Continuing Party has agreed to release the Outgoing Party from liability for any failure by the Outgoing Party to perform its obligations under the Contract before the Effective Date, provided that the Incoming Party assumes liability for those failures in the Outgoing Party's place.

    4. The parties have therefore agreed to novate the Outgoing Party's rights, obligations and liabilities under the Contract to the Incoming Party on the terms of this Agreement with effect from the date the Continuing Party dates and signs this Agreement (Effective Date).

Agreed terms

1. Novation

1.1 With effect from the Effective Date, and in consideration of the mutual representations, warranties and covenants contained in this Novation Agreement and other good and valuable consideration (the receipt and sufficiency of which are hereby acknowledged by each of the parties), the Outgoing Party transfers all its rights and obligations under the Contract, including its BSC Party ID and any authorisations and qualifications obtained under the Code, to the Incoming Party. The Incoming Party shall enjoy all the rights and benefits of the Outgoing Party under the Contract, including its status as an additional Party under the Framework Agreement and any authorisations and qualifications it has obtained under the Code and which are linked to its status as a Party in the BSC Systems at the time of transfer. From the Effective Date all references to the Outgoing Party in the Contract shall be read and construed as references to the Incoming Party.

1.2 The Incoming Party agrees to perform the Contract and be bound by its terms in every way as if it were the original Party to it in place of the Outgoing Party.

1.3 The Continuing Party agrees to perform the Contract and be bound by its terms in every way as if the Incoming Party were the original Party to it in place of the Outgoing Party.

2. Release Of Obligations And Liabilities

2.1 The Continuing Party and the Outgoing Party release each other from all future obligations to the other under the Contract.

2.2 Each of the Continuing Party and the Outgoing Party releases and discharges the other from all claims and demands under or in connection with the Contract, including without limitation claims for negligence and fraud, whether arising before or on the Effective Date, and in each case whether known or unknown to the releasing Party.

2.3 Each of the Continuing Party and the Incoming Party shall have the right to enforce the Contract and pursue any claims and demands under the Contract against the other with respect to matters arising before, on or after the Effective Date as though the Incoming Party were the original Party to the Contract instead of the Outgoing Party.

3. Governing Law

This Agreement and any dispute or claim arising out of or in connection with it or its subject matter or formation (including non-contractual disputes or claims) shall be governed by and construed in accordance with the law of England and Wales.

4. Jurisdiction

Each Party irrevocably agrees that the courts of England and Wales shall have exclusive jurisdiction to settle any dispute or claim arising out of or in connection with this Agreement or its subject matter or formation (including non-contractual disputes or claims).

5. Severability

If any provision of this Agreement is or becomes invalid, unenforceable or illegal or is declared to be invalid, unenforceable or illegal by any court of competent jurisdiction or by any other Competent Authority (as that term is defined in the BSC), such invalidity, unenforceability or illegality shall not prejudice or affect the remaining provisions of this Agreement, which shall continue in full force.

6. Counterparts

This agreement may be executed in counterparts.

7. Definitions

Terms and expressions defined in the in the Balancing and Settlement Code shall bear the same meanings in this Agreement of Novation, unless the context otherwise requires.

IN WITNESS WHEREOF the parties have executed this Agreement on the respective dates specified below with effect from and including the Effective Date.

Continuing Party

By: ………………………………………

Name:

Title:

Date:

Outgoing Party

By: …………………………………….. …………………………………………..

Name:

Title:

Date:

Incoming Party

By: ………………………………………

Name:

Title:

Date:

Appendix 1 – Participation Capacities

A Party may or will have one or more of the following participation capacities:

(a) The NETSO, being the Party which is the holder of the Transmission Licence;

(b) Distribution System Operator (DSO):

    • Where the Party is (or intends to be) the holder of a Distribution Licence in respect of distribution activities in Great Britain , then they will also be known as a Licensed Distribution System Operator (LDSO) and will be registered as a distributor within Supplier Volume Allocation26;

    • A Party that benefits (or intends to benefit) from an Exemption will only be known as a Distribution System Operator and must provide details of the circumstances that lead to such benefit. Such a Distribution System Operator will not be registered as a distributor27 within Supplier Volume Allocation;

(c) A Trading Party, a Party (other than the NETSO) which holds Energy Accounts e.g. Interconnector Users, a Party responsible for Imports and/or Exports of electricity, a Party which holds Energy Accounts;

(d) Interconnector Error Administrator;

(e) Interconnector Administrator;

(f) Supplier;

(g) Virtual Lead Party. ;

(h) Asset Metering Virtual Lead Party

Appendix 2 - Market Entry Processes

This table indicates the processes relevant to specific participation categories and Trading Party roles. Please also refer to the route map in Section 1.5.

BSCCo will offer advice to Party Applicants in respect of market entry processes.

IA

Interconnector Administrator

IEA

Interconnector Error Administrator

DSO

Distribution System Operator

IU

Interconnector User

VLP

Virtual Lead Party

AMVLP

Asset Metering Virtual Lead Party

Process

Documents & Information

Generator

Supplier

Non Physical Trader

IU

IA

IEA

DSO

VLP / AMVLP

Communication Requirements & Line Acquisition

CRD;

BSC Agent contact details;

Communication Line Request form

CVA Qualification Testing

BSCP70;

CRD

Party registration

BSCP65

Authorisations

BSCP38

Funds accession, banking details & Credit Cover

BSCP301

Primary or Secondary BM Unit registration

BSCP15

Trading Unit registration

BSCP31

CVA Meter Registration

BSCP20

28

Notification Agent Registration & Authorisation

BSCP71

SVA Meter registration

BSCP501

MDD Registration

(Market Participant ID)

BSCP509

SMRA appointment and entry processes

BSCP501

BSCP515

SVA Standing Data changes

BSCP507

SVA Metering System Balancing Services Register

BSCP602

Appendix 3 – Exit Checklist

BP

BSC Party

IA

Interconnector Administrator

IE

Interconnector Error Administrator

TG

Generator

TI

Interconnector User

TN

Non-Physical Trader

TS

Supplier

MV

MVRNA

EN

ECVNA

VLP

Virtual Lead Party

AV

Asset Metering Virtual Lead Party

Action

Documents

Role

BP

IA

IE

TG

TI

TN

TS

MV

EN

VLP / AMVLP

Deregistration of Supplier Participation Capacity, Market Participant IDs and associated Primary or Secondary BM Units

Deregistration of Supplier Role:

Submit BSCP65/01 to request deregistration of the Supplier participation capacity. The Effective To Date of the Supplier role should be same as the Effective To Date of the Supplier BM Units. The BSCP65/01 form must be received, validated and processed at least 15WDs prior to the targeted MDD Go Live date.

BSCP65/01

Deregistration of Market Participant ID in MDD:

Submit BSCP509/01 and related entity forms to the MDD Co-ordinator at least 15WDs prior to the targeted MDD Go Live date.

BSCP509/01

Deregistration or Transfer of Primary SVA BM Units:

Submit a letter to the CRA and BSCCo requesting deregistration of Supplier Primary BM Units, in accordance with BSCP15 at least 30WDs prior to the targeted MDD Go Live date.

This should be done at the same time as the submission of form BSCP65/01 to request deregistration of the participation capacity and at least 30WDs prior to the targeted MDD Go Live date.

Please ensure the Effective To Date on the BSCP15 forms are on or after the targeted MDD Go Live date

Alternatively, transfer the SVA Primary BM Units in accordance with the procedures set out in BSCP15.

BSCP15/4.6

or

Letter (in accordance with BSCP15)

Deregistration of Virtual Lead Party/ Asset Metering Virtual Lead Party Role:

Submit BSCP65/01 to request deregistration of the Virtual Lead Party/ Asset Metering Virtual Lead Party participation capacity.

The Effective To Date of the Virtual Lead Party role should be same as the Effective To Date of the Secondary BM Units.

The BSCP65/01 form must be received, validated and processed in accordance with BSCP15.

Deregistration of Secondary BM Units:

Submit a letter to the CRA and BSCCo requesting deregistration of Secondary BM Units, in accordance with BSCP15.

This should be done at the same time as the submission of form BSCP65/01 to request deregistration of the participation capacity

Deregistration or Change of Primary BM Unit Lead Party (CoPBLP) of BM Units and Metering

Deregister Trading Units in accordance with BSCP31

BSCP31/4.6

46

46

Deregister or Change of Primary BM Unit Lead Party (CoPBLP) BM Units in accordance with BSCP15

BSCP15/4.2 or CoPBLP

Deregister CVA Metering Systems in accordance with BSCP20

BSCP20/4.7

29

Termination of MVRNA/ECVNA Authorisations and deregistration of ECVNA/MVRNA roles (if applicable)

Terminate MVRNA and/or ECVNA authorisations30

BSCP71/03

and/or

BSCP71/04

Deregister ECVNA/MVRNA roles of the Withdrawing Party

BSCP71/06

Set Effective To Dates within ECVAA web service credentials files

BSCP71

Notifications

Request Forward Contract Report and nullify or set an Effective To Date for evergreen notifications in accordance with BSCP71

BSCP71

Deregistration of Participation Capacities (including Trading Party)

Deregister participation capacities and roles (e.g. Trading Party role) in accordance with Section 4.3 of this procedure31

BSCP65/01

Credit Cover

Request a Credit Cover reduction in accordance with BSCP301

BSCP301

Trading Charges and Liabilities

Ensure any outstanding Trading Charges or other liabilities are paid

N/A

BSCCo charges

Ensure that any outstanding BSC Section D charges are paid

N/A

Communication Lines and Reports

Submit request to BSCCo for cancellation of Low Grade Service/High Grade Service and access to NETA central systems

Cancellation of HGS/ LGS Form

Cancellation of Access to NETA Central Systems Form

Submit request to stop receiving reports from NETA central systems in accordance with BSCP41

BSCP41/01

Licence Issues

Arrange with the Authority withdrawal from license obligations

Withdrawal Notice

Submit a Withdrawal Notice to BSCCo specifying the intended Withdrawal Date at least 28 days prior to the intended Withdrawal Date, in accordance with Sections 4.5 and 4.6 of this procedure

BSCP65/03

1 A Distribution System Operator (DSO) who is (or intends to be) the holder of a Distribution Licence is known as a Licensed Distribution System Operator (LDSO). See Appendix 1 for more detail on the difference between the two terms and the implications for BSCP65.

2 Authorisations are required for submission of Party Registration Applications and Funds Accession forms or their online equivalents.

3 Applicants should note that registration of a Supplier role in BSC Central Systems must be coordinated with registration in MDD. The effective from date of the Supplier participation capacity and BM Unit Go-Live Dates in CRA must match the dates registered in MDD for SVAA and CRA systems to interface effectively. If the applicant is registering as an LDSO then the effective from date of the LDSO role in BSC Central Systems must be the same as the registration of the LDSO role in MDD.

4 Applicants should note that registration of a Supplier role in BSC Central Systems must be coordinated with registration in MDD. The effective from date of the Supplier participation capacity and BM Unit Go-Live Dates in CRA must match the dates registered in MDD for SVAA and CRA systems to interface effectively. If the applicant is registering as an LDSO then the effective from date of the LDSO role in BSC Central Systems must be the same as the registration of the LDSO role in MDD.

5 If Party is registering as a Trading Party for the first time, CRA allocates Energy Accounts and Party must complete and submit Funds Accession Form using BSCP301.

6 De-registration of the Supplier in MDD will need to be coordinated with the deregistration of the Supplier in CRS, along with any BM Units still associated with the Supplier ID. The Party is responsible for ensuring that all corresponding changes to MDD are completed in the required timescales, and other relevant SVA Procedures complied with. If the Party intends to cease trading in the participation capacity of “Supplier”, they must first request the CRA to set the “Effective To Date” for their BM Units and participation capacity as “Supplier” to a future Settlement Date, but not less than 20 WD from the date of notification.

7 For the avoidance of doubt, the notes included here do not apply to DSOs.

8 The organisations and BSC Agents consulted as part of this step may vary depending upon the participation capacity or capacities of the Party.

9 The Authority is not obliged to reply to this request. The onus will be on the Withdrawing Party to provide the relevant confirmation.

10 Panel Decision may be conditional until BSCCo receives confirmation that the Authority has revoked the withdrawing applicant’s license or transferred as appropriate.

11 Where the credit cover is held as a Letter of Credit (LoC) or Approved Insurance Product (AIP) the Party must make sure that a new LoC or AIP has been provided in the new name with the same effective from date as the Withdrawal Date.

12 Checks will be carried out against the provisions in Section A 5.1.3 of the Code at 5pm, 2 WD before the Withdrawal Date (the earliest Withdrawal Date will be after the Final Reconciliation Run for the last Settlement Day traded, and the corresponding Payment Date must have passed) to determine whether or not the Party is prevented from withdrawing from the Code. The Withdrawing Party should allow sufficient time for the completion of deregistrations and terminations as described in Appendix 3 of this document.

13 The organisations and BSC Agents consulted as part of this step may vary depending upon the participation capacity or participation capacities of the Party.

14 The Authority is not obliged to reply to this request. The onus is on the Party to provide any relevant proof.

15 Pursuant to Section M2.3.1A of the Code Parties in Default solely by virtue of Section H3.1.1(g) of the Code are entitled to apply for a reduction in the amount provided in their Letter of Credit and/or to withdraw cash it has deposited. Credit Cover reduction can only take place after it has been confirmed, as part of the final checks carried out 2 WD prior to the Withdrawal Date, that the Party is not prevented from withdrawing under A5.1.3 of the Code.

16 This process should not be used for the purposes of removing a Party’s final Supplier ID. This may be achieved by following the process in BSCP15/3.6 and de-registering the Supplier Role by completing form BSCP65/01 or its online equivalent.

17 Panel Decision may be conditional. BSCCo may not execute the Agreement of Novation of Contract for Parties wishing to participate in licensable activities until BSCCo receives confirmation that the Authority has granted the required Licence or Transfer of Licence to the Novation Applicant as appropriate.

18 Use for change of Party Name; a Party name should be a maximum of 30 alphanumeric characters. To change the name associated with an existing Party Agent ID, use BSCP71.

19 This field is not required for initial registration. CRA will update the Party name during the working hours of the Effective From Date specified on the form

20 The date of receipt of this Withdrawal Notice by BSCCo, pursuant to Section H9.2.2.

21 The Party that is transferring their Party ID.

22 The Party that will become responsible for the Party ID.

23 The expulsion will be effective (and you will cease to be a Party to the Code) from the end of the Withdrawal Date specified on this form.

24 This form cannot be used to de-register the last remaining Supplier ID and set of Base BM Units

25 Supplier ID limit is defined in BSCP65 1.6.1

26 In addition to their Market Participant ID, the LDSO applicant will have to provide BSCCo with details of their Distribution Licence, schedule of DUoS charges, REC Party and Qualification status as a distributor, and other details. The LDSO applicant will be assigned a unique LDSO Short Code by BSCCo in conjunction with the REC Code Manager and the Authority. One and only one LDSO Short Code will be allocated to each LDSO applicant.

27 This Party will not to be registered within Supplier Volume Allocation or Market Domain Data. Should the Party be registered in some other capacity, then this registration will not include the Role Codes of “R” or “P”.

28 Where appropriate

29 If applicable

30 Once these authorisations are cancelled, participants will be required to set up new ECVNA/MVRNA Authorisations to make any changes to notifications in place.

31 The Withdrawing Party must not have any ECVNA/MVRNA Authorisations or notifications in place beyond the Effective To Date of its Trading Party role