The Water Industry (Special Administration) Rules 2009

• (2) If the respondent is ordered to clarify a matter or to give additional information, the court will direct the respondent as to the questions that the respondent is required to answer, and as to whether the answers (if any) are to be made on affidavit.

• (3) If the relevant application under section 236 was made on information provided by a creditor of the water company, that creditor may, with the permission of the court and if the special administrator does not object, attend the examination and put questions to the respondent (but only through the special administrator).

• (4) The respondent may at the respondent’s own expense employ a solicitor.

• (5) The respondent’s solicitor—

• (a) may put to the respondent any question that the court allows for the purpose of enabling the respondent to explain or qualify an answer; and

• (b) may make representations on the respondent’s behalf.

Recording of proceedings

114

• (1) A written record must be made of the examination.

• (2) The record must be read over by or to the respondent and signed by the respondent at a venue fixed by the court.

• (3) The written record may be used in any proceedings (whether under the Insolvency Act or otherwise) against the respondent as evidence of any statement made by the respondent in the course of the examination.

• (4) The court may appoint, in Form WAT23, a shorthand writer to take down the evidence of a person examined in the course of special administration proceedings.

• (5) A shorthand writer so appointed must make a declaration in Form WAT24.

• (6) The remuneration of a shorthand writer in special administration proceedings is payable by the party who requested the appointment, or out of the assets of the water company concerned, or otherwise, as the court may direct.

• (7) Any question arising as to the rates of remuneration payable must be determined by the court in its discretion.

Warrants under section 236 of the Insolvency Act

115

• (1) The tipstaff and any assistant of the tipstaff are prescribed officers of the court for the purposes of section236(5) of the Insolvency Act.

• (2) If a person is arrested under a warrant issued under that section, the officer or constable who arrests the person must, as soon as reasonably practicable, bring the person before the court so that the person can be examined.

• (3) If the person cannot immediately be brought up for examination, the officer or constable must deliver the person into the custody of the governor of the prison specified in the warrant, who must keep the person in custody and produce the person before the court as the court directs.

• (4) After arresting the person, the officer or constable must immediately—

• (a) report to the court the arrest or delivery into custody; and

• (b) apply to the court to fix a venue for the person’s examination.

• (5) The court must appoint the earliest practicable time for the examination, and must—

• (a) direct the governor of the prison to produce the person for examination at the time and place appointed; and

• (b) give notice of the venue to the person who applied for the warrant.

• (6) Any property in the arrested person’s possession that has been seized must, in accordance with any direction of the court—

• (a) be lodged with, or otherwise dealt with as instructed by, whoever is specified in the warrant as authorised to receive it; or

• (b) be kept by the officer or constable seizing it pending the receipt of written orders from the court as to its disposal.

Filing of record of examination

116

• (1) The written record of the respondent’s examination, and any response the respondent gives to, and any affidavit or witness statement submitted in compliance with, an order of the court under section 236 of the Insolvency Act, must not be filed unless the court directs.

• (2) The written record, responses and affidavits or witness statements are not open to inspection, without an order of the court, by any person other than the special administrator.

• (3) Paragraph (2) applies also to so much of the court file as shows the grounds of the application for an order under that section and to any copy of any order.

• (4) The court may from time to time give directions as to the custody and inspection of documents to which this rule applies, and as to the furnishing of copies of, or extracts from, such documents.

Costs of proceedings under section 236 of the Insolvency Act

117

• (1) Subject to paragraphs (2) and (3), the special administrator’s costs must be paid out of the assets of the water company unless the court otherwise orders.

• (2) If the court orders an examination of a person under section 236 of the Insolvency Act because the respondent unjustifiably refused to provide information, it may order the respondent to pay the costs of the examination.

• (3) If the court makes an order against a person under section 237(1) or section 237(2) (court’s enforcement powers under section 236) of the Insolvency Act, the court may order the respondent to pay the costs of the application for the order.

• (4) A person summoned to attend for examination under this Part must be tendered a reasonable sum in respect of travelling expenses incurred in connection with that attendance.

• (5) Other costs incurred by that person are at the court’s discretion.

PART 9 — Miscellaneous and general

Special administrator's security

118

• (1) Wherever under these Rules any person has to appoint, or proposes the appointment of, a person to the office of special administrator, that person must be satisfied that the person appointed or to be appointed has security for the proper performance of his functions.

• (2) In any administration proceedings the cost of the special administrator’s security must be defrayed as an expense ot the proceedings.

Power of Secretary of State to regulate certain matters

119

• (1) Pursuant to paragraph 27 of Schedule 8 to the Insolvency Act the Secretary of State may make regulations, not inconsistent with the Insolvency Act, the Water Industry Act 1991 or these Rules, with respect to any matter provided for in these Rules that relates to the carrying out of the functions of a special administrator of a water company.

• (2) Those Regulations may—

• (a) confer discretion on the court;

• (b) make non-compliance with any of the regulations a criminal offence;

• (c) make different provision for different cases, including different provision for different areas; and

• (d) contain such incidental, supplemental and transitional provisions as may appear to the Secretary of State necessary or expedient.

Evidence of orders, directions or certificates issued by Secretary of State or Welsh Ministers

120

• (1) A document purporting to be, or to contain, an order, direction or certificate issued by the Secretary of State or the Welsh Ministers must be received in evidence and taken to be or to contain (as the case may be) that order, direction or certificate without further proof, unless the contrary is shown.

• (2) Paragraph (1) applies whether the document is signed by—

• (a) the Secretary of State personally or on behalf of the Secretary of State; or

• (b) a Welsh Minister personally or on behalf of a Welsh Minister.

• (3) Without prejudice to paragraph (1), a certificate signed by or on behalf of the Secretary of State or the Welsh Ministers confirming—

• (a) the making of an order,

• (b) the issuing of a document, or

• (c) the exercise of a discretion, power or obligation arising or imposed under the Insolvency Act, the Water Industry Act 1991 or these Rules,

is conclusive evidence of the matters dealt with in the certificate.

Time limits

121

• (1) CPR rule 2.8 (time) applies as regards computation of the period of time within which anything is required or authorised to be done by these Rules.

• (2) CPR rule 3.1(2)(a) applies so as to enable the court to extend or shorten the period within which compliance with anything is required or authorised to be done by these Rules (even if the period has ended).

General provisions as to service and notice

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CPR Part 6 (service of documents) applies in relation to the service of documents and the giving of notice in special administration proceedings except for service outside the jurisdiction.

Service outside the jurisdiction

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• (1) If for the purposes of special administration proceedings a document is required to be served on a person who is not in England and Wales, the court—

• (a) may order service to be effected within the time, on the person, at the place and in the manner it thinks fit; and

• (b) may require proof of service as it thinks fit.

• (2) However, paragraph (1) does not apply if Regulation (EC) No 1393/2007 of the European Parliament and of the Council on the service in the Member States of judicial and extrajudicial documents in civil or commercial matters (service of documents)[^f00015] applies to the document.

• (3) An application for an order under paragraph (1) must be supported by an affidavit stating—

• (a) the grounds on which the application is made; and

• (b) in what place or country the person to be served is, or probably may be found.

Notice, etc. to solicitors

124

If in special administration proceedings a notice or other document is required or authorised to be given to a person who has indicated that the person’s solicitor is authorised to accept service on the person’s behalf, the notice or document is sufficiently served if given to the solicitor.

Notice to joint special administrators

125

If two or more persons are acting jointly as the special administrator in any proceedings, delivery of a document to one of them is to be treated as delivery to them all.

Notices sent simultaneously to the same person

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If under the Insolvency Act, the Water Industry Act 1991 or these Rules a document is to be sent to a person (whether or not as a member of a class of persons to whom the document is to be sent), it may be sent with any other document or information that the person is to receive, with or without modification or adaptation of the form applicable to it.

The London Gazette as evidence

127

• (1) A copy of the London Gazette containing a notice required by the Insolvency Act or these Rules to be published in the London Gazette is evidence of any fact stated in the notice.

• (2) In the case of an order of the court notice of which is required, by the Insolvency Act or these Rules, to be gazetted, a copy of the London Gazette containing the notice is conclusive evidence that the order was made on the date specified in the notice.

• (3) If—

• (a) an order of the court that has been gazetted has been varied, or

• (b) a matter has been erroneously or inaccurately gazetted,

the person whose responsibility it was to procure the requisite entry in the London Gazette must, as soon as reasonably practicable, cause the variation of the order to be gazetted or, as the case may be, a further entry to be made in the London Gazette for the purpose of correcting the error or inaccuracy.

Punishment of offences

128

Section 431 (summary proceedings) of the Insolvency Act, as it applies to England and Wales, has effect in relation to offences under these Rules as to offences under that Act.

Powers of the court and the registrar

129

• (1) Anything to be done in special administration proceedings by, to or before the court may be done by, to or before a judge or the registrar.

• (2) The registrar may authorise any formal or administrative act that is not by statute the registrar’s responsibility to be carried out by an officer of the court on the registrar’s behalf, in accordance with directions given by the Lord Chancellor.

SCHEDULE — Forms

Index	Index
FORM NO	TITLE
WAT1	Petition for special administration order
WAT2	Consent of special administrator(s) to act
WAT3	Affidavit of service of petition for special administration order
WAT4	Special administration order
WAT5	Notice to special administrator of special administration order
WAT6	Notice of special administration order (for newspaper or London Gazette)
WAT7	Notice of special administration order
WAT8	Notice of special administration order to registrar of companies and Water Services Regulation Authority
WAT9	Notice of discharge of special administration order
WAT10	Notice of special administrator's resignation on grounds of [ill health]/[cessation of practice as an insolvency practitioner]/[conflict of interest]/[change of personal circumstances]
WAT11	Notice of special administrator's resignation with permission of the court
WAT12	Notice to prepare and submit special administration statement of affairs
WAT13	Statement of affairs
WAT14	Affidavit of concurrence with statement of affairs
WAT15	Statement of special administrator's proposals
WAT16	Statement of special administrator's revised proposals
WAT17	Notice of order to deal with charged property
WAT18	Special administrator's abstract of receipts and payments
WAT19	Notice of meeting in special administration proceedings
WAT20	Proxy (special administration)
WAT21	Originating application
WAT22	Ordinary application
WAT23	Appointment of shorthand writer (special administration proceedings)
WAT24	Declaration of shorthand writer (special administration proceedings)

Signed

Signed, by authority of the Lord Chancellor

Bach — Parliamentary Under Secretary — 2009-09-08

I concur, by the authority of the Secretary of State

Huw Irranca-Davies — Parliamentary Under Secretary of State — 2009-09-08

Explanatory note

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Footnotes

[^f00001]: 1986 c.45; section 411 was amended by S.I. 2002/1037 and by section 15(1) of, and Schedule 4 to, the Constitutional Reform Act 2005 (c.4).

[^f00002]: 1991 c.56; sections 23 and 24 and Schedule 3 were amended by section 101 of, and Schedule 8 to, the Water Act 2003 (c.37).

[^f00003]: S.I. 1998/3132 as last amended by S. I. 2008/2178.

[^f00004]: 1991 c. 56; sections 23 and 24 and Schedule 3 were amended by section 101 of, and Schedule 8 to, the Water Act 2003 (c.37).

[^f00005]: 2002 c.40. Section 249(2) of the Act provides that a reference in the Water Industry Act to a provision in Part 2 of the Insolvency Act 1986 (or to a provision that has effect in relation to a provision in that Part of the Act) shall, in so far as it relates to a relevant undertaker or a qualified licensed water supplier, continue to have effect as if it referred to Part 2 as it had effect immediately before the coming into force of section 248 (which replaced Part 2).

[^f00006]: S.I. 1986/1925 as amended at that date.

[^f00007]: The functions of the Secretary of State under sections 24 (except for section 24(2)(d) (winding up following investigation under section 440 of the Companies Act 1985 (c.6))) and 26 of the Water Industry Act 1991 in relation to water undertakers and sewerage undertakers whose areas are wholly or mainly in Wales were conferred on the National Assembly for Wales by the National Assembly for Wales (Transfer of Functions) Order 1999, SI1999/672, article 2(a) and Schedule1 (as amended by the National Assembly for Wales (Transfer of Functions) Order 2000, SI2000/253, article 4 and Schedule 3(c)). Functions in relation to licensed water suppliers were not conferred on the National Assembly. By virtue of section 162 of, and paragraph 30 of Schedule 11 to, the Government of Wales Act 2006 (c.32), functions conferred on the National Assembly for Wales are now exercisable by the Welsh Ministers.

[^f00008]: 2000 c.8.

[^f00009]: 1979 c.37.

[^f00010]: 1987 c.22.

[^f00011]: 2006 c. 46.

[^f00012]: 2003 c. 39.

[^f00013]: 1838 c. 110 (1 & 2 Vict). Section 17 was amended by S I 1998/2940, article 3 and S I 1993/564 and by other enactments not relevant to these Rules.

[^f00014]: 2005 c.9.

[^f00015]: OJ No L 324, 10.12.2007, p.79.

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118

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119

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120

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121

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122

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123

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124

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125

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126

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127

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128

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129

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Editorial notes