Legalize / United Kingdom / Statutory-Instrument

The Energy Supply Company Administration Rules 2013

Type Statutory-Instrument

Publication 2013-04-30

Last updated 2020-12-31

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(2) All energy supply company administration proceedings shall be allocated to the multi-track for which CPR Part 29 (the multi-track) makes provision; accordingly those provisions of the CPR which provide for allocation questionnaires and track allocation will not apply.

127

Rights of audience in energy supply company administration proceedings are the same as in insolvency proceedings.

128

No energy supply company administration proceedings shall be invalidated by any formal defect or by any irregularity, unless the court before which objection is made considers that substantial injustice has been caused by the defect or irregularity, and that the injustice cannot be remedied by any order of the court.

129

Where in energy supply company administration proceedings the court makes an order staying any action, execution or other legal process against the property of the energy supply company, service of the order may be effected by sending a sealed copy of the order to whatever is the address for service of the claimant or other party having the carriage of the proceedings to be stayed.

130

CPR Part 37 (miscellaneous provisions about payment into court) applies to money lodged in court under these Rules.

131

(1) Any party to energy supply company administration proceedings may apply to the court for an order—

(a) that any other party—

(i) clarify any matter which is in dispute in the proceedings, or

(ii) give additional information in relation to any such matter,

in accordance with CPR Part 18 (further information); or

(b) to obtain disclosure from any other party in accordance with CPR Part 31 (disclosure and inspection of documents).

(2) An application under this Rule may be made without notice being served on any other party.

132

(1) Any person who has under these Rules the right to inspect the court file of energy supply company administration proceedings may require the court to provide the person with an office copy of any document on the file.

(2) A person's rights under this Rule may be exercised on the person's behalf by the person's solicitor.

(3) An office copy provided by the court under this Rule must be in such form as the registrar thinks appropriate, and must bear the court's seal.

133

(1) For the purposes of these Rules, a proxy is an authority given by a person (“the principal”) to another person (“the proxy-holder”) to attend a meeting and speak and vote as the person's representative.

(2) Proxies are for use at creditors' meetings or energy supply company meetings summoned or called under Schedule B1 to the 1986 Act or these Rules.

(3) Only one proxy may be given by a person for any one meeting at which the person desires to be represented; and it may only be given to one person, being an individual aged 18 years or over. But the principal may specify one or more other such individuals to be proxy-holder in the alternative, in the order in which they are named in the proxy.

(4) Without prejudice to the generality of paragraph (3), a proxy for a particular meeting may be given to whoever is to be the chair of the meeting; and the chair cannot decline to be the proxy-holder in relation to that proxy.

(5) A proxy requires the holder to give the principal's vote on matters arising for determination at the meeting, or to abstain, or to propose, in the principal's name, a resolution to be voted on by the meeting, either as directed or in accordance with the holder's own discretion.

134

(1) When notice is given of a meeting to be held in energy supply company administration proceedings, and forms of proxy are sent out with the notice, no form so sent out shall have inserted in it the name or description of any person.

(2) No form of proxy shall be used at any meeting except that which is sent with the notice summoning the meeting, or a substantially similar form.

(3) A form of proxy must be authenticated by the principal, or by some person authorised by the principal (generally or with reference to a particular meeting). If the form is authenticated by a person other than the principal, the nature of the person's authority must be stated.

135

(1) A proxy given for a particular meeting may be used at any adjournment of that meeting.

(2) Where the energy administrator holds proxies to be used by the energy administrator as chair of the meeting, and some other person acts as chair, that other person may use the energy administrator's proxies as if that person were the proxy-holder.

(3) Where a proxy directs a proxy-holder to vote for or against a resolution for the appointment of a person other than the energy administrator as proposed liquidator of the energy supply company, the proxy-holder may, unless the proxy states otherwise, vote for or against (as the proxy-holder thinks fit) any resolution for the appointment of that person jointly with another or others.

(4) A proxy-holder may propose any resolution which, if proposed by another, would be a resolution in favour of which by virtue of the proxy the proxy-holder would be entitled to vote.

(5) Where a proxy gives specific directions as to voting, this does not, unless the proxy states otherwise, preclude the proxy-holder from voting at the proxy-holder's discretion on resolutions put to the meeting which are not dealt with in the proxy.

136

(1) Subject as follows, proxies used for voting at any meeting must be retained by the chair of the meeting.

(2) The chair must deliver the proxies, as soon as reasonably practicable after the meeting, to the energy administrator (where the chair is not the energy administrator).

137

(1) The energy administrator must, so long as proxies lodged with the energy administrator are in the energy administrator's hands, allow them to be inspected, at all reasonable times on any business day by—

(a) the creditors, in the case of proxies used at a meeting of creditors, and

(b) an energy supply company's members, in the case of proxies used at a meeting of the energy supply company.

(2) The reference in paragraph (1) to creditors is a reference to those persons who have submitted in writing a claim to be creditors of the energy supply company but does not include a person whose proof or claim has been wholly rejected for the purposes of voting, dividend or otherwise.

(3) The right of inspection given by this Rule is also exercisable by the directors of the energy supply company.

(4) Any person attending a meeting in energy supply company administration proceedings is entitled, immediately before or in the course of the meeting, to inspect proxies and associated documents (including proofs) sent or given, in accordance with directions contained in any notice convening the meeting, to the chair of that meeting or to any other person by a creditor or member for the purpose of that meeting.

(5) This Rule is subject to Rule 194.

138

(1) A proxy-holder must not vote in favour of any resolution which would directly or indirectly place the proxy-holder or any associate of the proxy-holder, in a position to receive any remuneration out of the assets of the energy supply company, unless the proxy specifically directs the proxy-holder to vote in that way.

(2) Where a proxy-holder has authenticated the proxy as being authorised to do so by the principal and the proxy specifically directs the proxy-holder to vote in the way mentioned in paragraph (1), the proxy-holder must nevertheless not vote in that way unless the proxy-holder produces to the chair of the meeting written authorisation from the principal sufficient to show that the proxy-holder was entitled so to authenticate the proxy.

(3) This Rule applies also to any person acting as chair of a meeting and using proxies in that capacity under Rule 135; and in its application to the chair, the proxy-holder is deemed to be an associate of the chair.

(4) In this Rule “associate” shall have the same meaning as in section 435 of the 1986 Act.

139

(1) Where a person is authorised to represent a corporation at a meeting of creditors or of the energy supply company the person must produce to the chair of the meeting a copy of the resolution from which the person derives the person's authority.

(2) The copy resolution must be under the seal of the corporation, or certified by the secretary or a director of the corporation to be a true copy.

(3) Nothing in this Rule requires the authority of a person to authenticate a proxy on behalf of a principal which is a corporation to be in the form of a resolution of that corporation.

140

(1) The Rules in this Part apply to applications to the court, made by the energy administrator, for an order under section 236 of the 1986 Act (inquiry into energy supply company's dealings when it is, or alleged to be, insolvent).

(2) The following definitions apply—

(a) the person in respect of whom an order is applied for is “the respondent”;

(b) “section 236” means section 236 of the 1986 Act.

141

(1) The application must be in writing and specify the grounds on which it is made.

(2) The application must specify the name of the respondent.

(3) It must be stated whether the application is for the respondent—

(a) to be ordered to appear before the court, or

(b) to be ordered to clarify any matter which is in dispute in the proceedings or to give additional information in relation to any such matter and if so CPR Part 18 (further information) shall apply to any such order, or

(d) to produce books, papers or other records (if so, the items in question is to be specified),

or for any two or more of those purposes.

(4) The application may be made without notice to the respondent or any other party.

142

(1) The court may, whatever the purpose of the application, make any order which it has power to make under section 236.

(2) The court, if it orders the respondent to appear before it, must specify a venue for the respondent's appearance, which must be not less than 14 days from the date of the order.

(3) If the respondent is ordered to file witness statements, the order must specify—

(a) the matters which are to be dealt with in the respondent's witness statements, and

(b) the time within which they are to be filed in court.

(4) If the order is to produce books, papers or other records, the time and manner of compliance must be specified.

(5) The order must be served by the energy administrator as soon as reasonably practicable on the respondent, and it must be served personally, unless the court otherwise orders.

143

(1) At any examination of the respondent, the energy administrator may attend in person, or be represented by a solicitor with or without counsel, and may put such questions to the respondent as the court may allow.

(2) Any creditor who has provided information on which the application was made under section 236 may attend the examination with the permission of the court and may put questions to the respondent (but only through the energy administrator).

(3) If the respondent is ordered to clarify any matter or to give additional information, the court must direct the respondent as to the questions which the respondent is required to answer, and to whether the respondent's answers (if any) are to be made in a witness statement.

(4) The respondent may at the respondent's own expense employ a legal representative who may put to the respondent such questions as the court may allow for the purpose of enabling the respondent to explain or qualify any answers given by the respondent, and may make representations on the respondent's behalf.

(5) There shall be made in writing such record of the examination as the court thinks proper. The record shall be read over either to or by the respondent and authenticated by the respondent at a venue fixed by the court.

(6) The written record may, in any proceedings (whether under the 1986 Act or otherwise) be used as evidence against the respondent of any statement made by the respondent in the course of the respondent's examination.

144

(1) Unless the court otherwise directs, the written record of questions put to the respondent and the respondent's answers, and any witness statements submitted by the respondent in compliance with an order of the court under section 236, are not to be filed in court.

(2) The documents set out in paragraph (3) are not open to inspection without an order of the court, by any person other than the energy administrator.

(3) The documents to which paragraph (2) applies are—

(a) the written record of the respondent's examination;

(b) copies of questions put to the respondent or proposed to be put to the respondent and answers to questions given by the respondent;

(d) any document on the court file as shows the grounds for the application for an order.

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

145

(1) Where the court has ordered an examination of a person under section 236, and it appears to it that the examination was made necessary because information has been unjustifiably refused by the respondent, it may order that the costs of the examination by paid by the respondent.

(2) Where the court makes an order against a person under section 237(1) or (2) of the 1986 Act (court's enforcement powers under section 236), the costs of the application for the order may be ordered by the court to be paid by the respondent.

(3) Subject to paragraphs (1) and (2) above, the energy administrator's costs shall, unless the court otherwise orders, be paid out of the assets of the energy supply company.

(4) A person summoned to attend for examination under this Part shall be tendered a reasonable sum out of the assets of the energy supply company in respect of travelling expenses incurred in connection with the person's attendance. Other costs falling on the person are at the court's discretion.

146

(1) The Secretary of State may, subject to the 1986 Act and the 2004 Act, make regulations with respect to any matter provided for in these Rules as relates to the carrying out of the functions of an energy administrator of an energy supply company including, without prejudice to the generality of the foregoing provision, with respect to the following matters arising in an energy supply company administration—

(a) the preparation and keeping of books, accounts and other records, and their production to such persons as may be authorised or required to inspect them;

(b) the auditing of an energy administrator's accounts;

(c) the manner in which an energy administrator is to act in relation to the energy supply company's books, papers and other records, and the manner of their disposal by the energy administrator and others;

(d) the supply by the energy administrator to creditors and members of the energy supply company of copies of documents relating to the energy supply company administration and the affairs of the energy supply company (on payment, in such cases as may be specified by the regulations, of the specified fee).

(2) Regulations made pursuant to paragraph (1) may—

(a) confer discretion on the court;

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

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

147

(1) All fees, costs, charges and other expenses incurred in the course of the energy supply company administration proceedings are to be regarded as expenses of the energy supply company administration.

(2) The costs associated with the prescribed part shall be paid out of the prescribed part.

148

(1) Subject as follows, in energy supply company administration proceedings all claims by creditors are provable as debts against the energy supply company, whether they are present or future, certain or contingent, ascertained or sounding only in damages.

(2) Any obligation arising under a confiscation order made under Part 2, 3 or 4 of the Proceeds of Crime Act 2002 is not provable.

(3) The following are not provable except at a time when all other claims of creditors in the energy supply company administration proceedings (other than any of a kind mentioned in this paragraph) have been paid in full with interest under Rule 57—

(a) any claim arising by virtue of section 382(1)(a) of the Financial Services and Markets Act 2000 , not being a claim also arising by virtue of section 382(1)(b) of that Act;

(b) any claim which by virtue of the 1986 Act or any other enactment is a claim the payment of which is to be postponed.

(4) Nothing in this Rule prejudices any enactment or rule of law under which a particular kind of debt is not provable, whether on grounds of public policy or otherwise.

149

Where these Rules provide for creditors or members of an energy supply company a right to inspect any documents, whether on the court's file or in the hands of an energy administrator or other person, it is an offence for a person, with the intention of obtaining a sight of documents which the person has not under these Rules any right to inspect, falsely to claim a status which would entitle the person to inspect them.

150

(1) Schedule 2 to these Rules has effect with respect to the way in which contraventions of these Rules are punishable on conviction.

(2) In relation to an offence under a provision of the Rules specified in the first column of the Schedule (the general nature of the offence being described in the second column), the third column shows whether the offence is punishable on conviction on indictment, or on summary conviction, or either in the one way or the other.

(3) The fourth column shows, in relation to an offence, the maximum punishment by way of fine or imprisonment which may be imposed on a person convicted of the offence in the way specified in relation to it in the third column (that is to say, on indictment or summarily), a reference to a period of years or months being to a term of imprisonment of that duration.

(4) The fifth column shows (in relation to an offence for which there is an entry in that column) that a person convicted of the offence after continued contravention is liable to a daily default fine; that is to say, the person is liable on a second or subsequent conviction of the offence to the fine specified in that column for each day on which the contravention is continued (instead of the penalty specified for the offence in the fourth column of the Schedule).

(5) Section 431 of the 1986 Act (summary proceedings), as it applies to England and Wales, has effect in relation to offences under these Rules as to offences under the 1986 Act.

151

(1) Subject to paragraphs (2) and (3), this Chapter applies where a notice or other document is required to be given, delivered or sent under the 1986 Act or these Rules by any person, including an energy administrator.

(2) This Chapter does not apply to the service of—

(a) any petition or application to the court;

(b) any evidence in support of that petition or application; or

(3) This Chapter does not apply to the delivery of documents to the registrar of companies.

152

Personal delivery of a notice or other document is permissible in any case.

153

Unless in any particular case some other form of delivery is required by the 1986 Act, these Rules or an order of the court, a notice or other document may be sent by post in accordance with the rules for postal service in CPR Part 6 and sending by such means has effect as specified in those rules.

154

Where in accordance with the 1986 Act or these Rules, a meeting of creditors or other persons is summoned by notice, the meeting is presumed to have been duly summoned and held, notwithstanding that not all those to whom the notice is to be given have received it.

155

Where under the 1986 Act or these Rules a notice or other document is required or authorised to be given, delivered or sent to a person, it may be given, delivered or sent instead to a solicitor authorised to accept delivery on that person's behalf.

156

(1) The court may order that notice of any meeting be given by advertisement and not by individual notice to the persons concerned.

(2) In considering whether to act under this Rule, the court must have regard to the cost of advertisement, the amount of assets available and the extent of the interest of creditors, members or any particular class of either.

157

(1) Subject to paragraph (2) and (3), this Chapter applies where a notice or other document is to be given, delivered or sent under the 1986 Act or these Rules.

(2) This Chapter does not apply to the delivery of documents to the registrar of companies.

(3) Rules 164 to 167 do not apply to the filing of any notice or other document with the court.

158

Where two or more persons are acting jointly as the energy administrator in energy supply company administration proceedings, delivery of a document to one of them is to be treated as delivery to them all.

159

Subject to any order of the court, any notice or other document required to be given, delivered or sent must be in writing and where electronic delivery is permitted a notice or other document in electronic form is treated as being in writing if a copy of it is capable of being produced in legible form.

160

(1) Where in energy supply company administration proceedings a notice or other document is required to be given, delivered or sent by the energy administrator, the giving, delivering or sending of it may be proved by means of a certificate that the notice or other document was duly given, delivered or sent.

(2) The certificate may be given by—

(a) the energy administrator;

(b) the energy administrator's solicitor;

(3) In the case of a notice or other document to be given, delivered or sent by a person other than the energy administrator, the giving delivering or sending of it may be proved by means of a certificate by that person—

(a) that the notice or document was given, delivered or sent by that person, or

(b) that another person (named in the certificate) was instructed to give, deliver or send it.

(4) A certificate under this Rule may be endorsed on a copy or specimen of the notice or document to which it relates.

161

(1) A document or information given, delivered or sent in hard copy form is sufficiently authenticated if it is signed by the person sending or supplying it.

(2) A document or information given, delivered or sent in electronic form is sufficiently authenticated—

(a) if the identity of the sender is confirmed in a manner specified by the recipient, or

(b) where no such manner has been specified by the recipient, if the communication contains or is accompanied by a statement of the identity of the sender and the recipient has no reason to doubt the truth of that statement.

162

(1) Unless in any particular case some other form of delivery is required by the 1986 Act, these Rules or an order of the court and subject to paragraph (3), a notice or other document may be given, delivered or sent by electronic means provided that the intended recipient of the notice or other document has—

(a) consented (whether in the specific case or generally) to electronic delivery (and has not revoked that consent); and

(b) provided an electronic address for delivery.

(2) In the absence of evidence to the contrary, a notice or other document is presumed to have been delivered where—

(a) the sender can produce a copy of the electronic message which—

(i) contained the notice or other document, or to which the notice or other document was attached, and

(ii) shows the time and date the message was sent; and

(b) that electronic message contains the address supplied under paragraph (1)(b).

(3) A message sent electronically is deemed to have been delivered to the recipient no later than 9.00 am on the next business day after it was sent.

163

(1) Where an energy administrator gives, sends or delivers a notice or other document to any person by electronic means, the notice or document must contain or be accompanied by a statement that the recipient may request a hard copy of the notice or document and specifying a telephone number, e-mail address and postal address which may be used to request a hard copy.

(2) Where a hard copy of the notice or other document is requested, it must be sent within 5 business days of receipt of the request by the energy administrator.

(3) An energy administrator must not require a person making a request under paragraph (2) to pay a fee for the supply of the document.

164

(1) This Rule applies for the purposes of section 246B of the 1986 Act.

(2) An energy administrator required to give, deliver or send a document to any person may (other than in a case where personal service is required) satisfy that requirement by sending that person a notice—

(a) stating that the document is available for viewing and downloading on a website;

(b) specifying the address of that website together with any password necessary to view and download the document from that site; and

(c) containing a statement that the person to whom the notice is given, delivered or sent may request a hard copy of the document and specifying a telephone number, e-mail address and postal address which may be used to request a hard copy.

(3) Where a notice to which this Rule applies is sent, the document to which it relates must—

(a) be available on the website for a period of not less than 3 months after the date on which the notice is sent; and

(b) must be in such a format as to enable it to be downloaded from the website within a reasonable time of an electronic request being made for it to be downloaded.

(4) Where a hard copy of the document is requested it must be sent within 5 business days of the receipt of the request by the energy administrator.

(5) An energy administrator must not require a person making a request under paragraph (4) to pay a fee for the supply of the document.

(6) Where a document is given, delivered or sent to a person by means of a website in accordance with this Rule, it is deemed to have been delivered—

(a) when the document was first made available on the website, or

(b) if later, when the notice under paragraph (2) was delivered to that person.

165

(1) Where the court is satisfied that the expense of sending notices in accordance with Rule 164 would, on account of the number of persons entitled to receive them, be disproportionate to the benefit of sending notice in accordance with that Rule, it may order that the requirement to give, deliver or send a relevant document to any person may (other than in a case where personal service is required) be satisfied by the energy administrator sending each of those persons a notice—

(a) stating that all relevant documents will be made available for viewing and downloading on a website;

(b) specifying the address of that website together with any password necessary to view and download a relevant document from that site; and

(c) containing a statement that the person to whom the notice is given, delivered or sent may at any time request that hard copies of all, or specific, relevant documents are sent to that person, and specifying a telephone number, e-mail address and postal address which may be used to make that request.

(2) A document to which this Rule relates must—

(a) be available on the website for a period of not less than 12 months from the date when it was first made available on the website or, if later, from the date upon which the notice was sent, and

(b) must be in such a format as to enable it to be downloaded from the website within a reasonable time of an electronic request being made for it to be downloaded.

(3) Where hard copies of relevant documents have been requested, they must be sent by the energy administrator—

(a) within 5 business days of the receipt of the energy administrator of the request to be sent hard copies, in the case of relevant documents first appearing on the website before the request was received, or

(b) within 5 business days from the date a relevant document first appears on the website, in all other cases.

(4) An energy administrator must not require a person making a request under paragraph (3) to pay a fee for the supply of the document.

(5) Where a relevant document is given, delivered or sent to a person by means of a website in accordance with this Rule, it is deemed to have been delivered—

(a) when the relevant document was first made available on the website, or

(b) if later, when the notice under paragraph (1) was delivered to that person.

(6) In this Rule a relevant document means any document which the energy administrator is first required to give, deliver or send to any person after the court has made an order under paragraph (1).

166

(1) Except where paragraph (2) applies or the requirements of paragraph (3) are met, no petition, application, notice or other document may be delivered or made to a court by electronic means.

(2) This paragraph applies where electronic delivery of documents to a court is permitted by another Rule.

(3) The requirements of this paragraph are—

(a) the court provides an electronic working scheme for the proceedings to which the document relates; and

(b) the electronic communication is—

(i) delivered and authenticated in a form which complies with the requirements of the scheme;

(ii) sent to the electronic address provided by the court for electronic delivery of those proceedings; and

(iii) accompanied by any payment due to the court in respect of those proceedings made in a manner which complies with the requirements of the scheme.

(4) In this Rule “an electronic working scheme” means a scheme permitting energy supply company administration proceedings to be delivered electronically to the court set out in a practice direction.

(5) Under paragraph (3) an electronic communication is to be treated as delivered to the court at the time it is recorded by the court as having been received.

167

(1) Subject to paragraph (2), this Chapter applies in relation to the service of—

(a) petitions,

(b) applications,

(d) court orders,

which are required to be served by any provision of the 1986 Act or these Rules (“court documents”).

(2) For the purposes of the application by this Chapter of CPR Part 6 to the service of documents in energy supply company administration proceedings—

(a) an application commencing energy supply company administration proceedings, or

(b) an application within energy supply company administration proceedings against a respondent,

is to be treated as a claim form.

168

Except where different provision is made in these Rules, CPR Part 6 applies in relation to the service of court documents within the jurisdiction with such modifications as the court may direct.

169

(1) This Rule applies where the court makes an order staying any action, execution or other legal process against the property of the energy supply company.

(2) Service within the jurisdiction of such an order as is mentioned in paragraph (1) may be effected by sending a sealed copy of the order to the address for service of the claimant or other party having the carriage of the proceedings to be stayed.

170

Where there are joint energy administrators in energy supply company administration proceedings, service on one of them is to be treated as service on all of them.

171

CPR Part 6 applies to the service of court documents outside the jurisdiction with such modifications as the court may direct.

172

(1) Any meeting of creditors in energy supply company administration proceedings is competent to act if a quorum is present.

(2) Subject to the next paragraph, a quorum is at least one creditor entitled to vote.

(3) For the purposes of this Rule, the reference to the creditor necessary to constitute a quorum is to those persons present or represented by proxy by any person (including the chair) and in the case of any proceedings under Parts 1 to 7 of the 1986 Act includes corporations duly represented.

(4) Where at any meeting of creditors—

(a) the provisions of this Rule as to a quorum being present are satisfied by the attendance of—

(i) the chair alone, or

(ii) one other person in addition to the chair, and

(b) the chair is aware, by virtue of proofs and proxies received or otherwise, that one or more additional persons would, if attending, be entitled to vote,

the meeting must not commence until at least the expiry of 15 minutes after the time appointed for its commencement.

173

(1) This Rule applies to a request to the convener of a meeting under section 246A(9) of the 1986 Act to specify a place for the meeting.

(2) The request must be accompanied by—

(a) in the case of a request by creditors, a list of the creditors making or concurring with the request and the amounts of their respective debts in the energy supply company administration proceedings in question,

(b) in the case of a request by members, a list of the members making or concurring with the request and their voting rights, and

(3) The request must be made within 7 business days of the date on which the convener sent the notice of the meeting in question.

(4) Where the convener considers that the request has been properly made in accordance with the 1986 Act and this Rule, the convener must—

(a) give notice to all those previously given notice of the meeting—

(i) that it is to be held at a specified place, and

(ii) as to whether the date and time are to remain the same or not;

(b) set a venue (including specification of a place) for the meeting, the date of which must be not later than 28 days after the original date for the meeting; and

and the notices required by sub-paragraphs (a) and (c) may be given at the same or different times.

(5) Where the convener has specified a place for the meeting in response to a request to which this Rule applies, the chair of the meeting must attend the meeting by being present in person at that place.

174

(1) In this Rule and Rules 175 and 176 an “excluded person” means a person who—

(a) has taken all steps necessary to attend a meeting under the arrangements put in place to do so by the convener of the meeting under section 246A(6) of the 1986 Act; and

(b) those arrangements do not permit that person to attend the whole or part of that meeting.

(2) Where the chair becomes aware during the course of the meeting that there is an excluded person, the chair may—

(a) continue the meeting;

(b) declare the meeting void and convene the meeting again;

(3) Where the chair continues the meeting, the meeting is valid unless—

(a) the chair decides in consequence of a complaint under Rule 176 to declare the meeting void and hold the meeting again; or

(b) the court directs otherwise.

(4) Without prejudice to paragraph (2), where the chair becomes aware during the course of the meeting that there is an excluded person, the chair may, in the chair's discretion and without an adjournment, declare the meeting suspended for any period up to 1 hour.

175

(1) A person who claims to be an excluded person may request an indication of what occurred during the period of that person's claimed exclusion (an “indication”).

(2) A request under paragraph (1) must be made as soon as reasonably practicable and, in any event, no later than 4.00 pm on the business day following the day on which the exclusion is claimed to have occurred.

(3) A request under paragraph (1) must be made to—

(a) the chair, where it is made during the course of the business of the meeting; or

(b) the energy administrator where it is made after the conclusion of the business of the meeting.

(4) Where satisfied that the person making the request is an excluded person, the person to whom the request is made under paragraph (3) must give the indication as soon as reasonably practicable and, in any event, no later than 4.00 pm on the business day following the day on which the request was made under paragraph (1).

176

(1) Any person who—

(a) is, or claims to be, an excluded person; or

(b) attends the meeting (in person or by proxy) and considers that they have been adversely affected by a person's actual, apparent or claimed exclusion,

(“the complainant”) may make a complaint.

(2) The person to whom the complaint must be made (“the relevant person”) is—

(a) the chair, where it is made during the course of the meeting; or

(b) the energy administrator, where it is made after the meeting.

(3) The relevant person must—

(a) consider whether there is an excluded person; and

(b) where satisfied that there is an excluded person, consider the complaint; and

(c) where satisfied that there has been prejudice, take such action as the relevant person considers fit to remedy the situation.

(4) Paragraph (5) applies where—

(a) the relevant person is satisfied that the complainant is an excluded person;

(b) during the period of the person's exclusion a resolution was put to the meeting and voted on; and

(5) Subject to paragraph (6), where satisfied that the effect of the intended vote in paragraph (4), if cast, would have changed the result of the resolution, the relevant person must—

(a) count the intended vote as being cast in accordance with the complainant's stated intention;

(b) amend the record of the result of the resolution; and

(c) where those entitled to attend the meeting have been notified of the result of the resolution, notify them of the change.

(6) Where satisfied that more than one complainant in paragraph (4) is an excluded person, the relevant person must have regard to the combined effect of the intended votes.

(7) The relevant person must notify the complainant in writing of any decision.

(8) A complaint must be made as soon as reasonably practicable and, in any event, no later than 4.00 pm on the business day following—

(a) the day on which the person was, appeared or claimed to be excluded; or

(b) where an indication is sought under Rule 175, the day on which the complainant received the indication.

(9) A complainant who is not satisfied by the action of the relevant person may apply to the court for directions and any application must be made no more than 2 business days from the date of receiving the decision of the relevant person.

177

(1) Subject to Rules 178 and 179, the forms contained in Schedule 1 to these Rules must be used in energy supply company administration proceedings as provided for in specific Rules.

(2) The forms must be used with such variations, if any, as the circumstances may require.

(3) The Secretary of State or the energy administrator may incorporate a barcode or other reference or recognition mark into any form in Schedule 1 to these Rules a copy of which is received by any of them or is sent to any person by any of them.

178

(1) This Rule applies in any case where information in a prescribed form is required by these Rules to be sent by any person to the Secretary of State or the energy administrator, or a copy of a prescribed form is to be sent to the registrar of companies.

(2) A requirement of the kind mentioned in paragraph (1) is treated as having been satisfied where—

(a) the information is submitted electronically with the agreement of the person to whom the information is sent;

(b) the form in which the electronic submission is made satisfies the requirements of the person to whom the information is sent (which may include a requirement that the information supplied can be reproduced in the format of the prescribed form);

(d) the person to whom the information is sent can provide in legible form the information so submitted.

(3) Where information in a prescribed form is permitted to be sent electronically under paragraph (2), any requirement in the prescribed form that the prescribed form be accompanied by a signature is taken to be satisfied—

(a) if the identity of the person who is supplying the information in the prescribed form and whose signature is required is confirmed in a manner specified by the recipient, or

(b) where no such manner has been specified by the recipient, if the communication contains or is accompanied by a statement of the identity of the person who is providing the information in the prescribed form, and the recipient has no reason to doubt the truth of that statement.

(4) Where information required in a prescribed form has been supplied to a person, whether or not it has been supplied electronically in accordance with paragraph (2), and a copy of that information is required to be supplied to another person falling within paragraph (1), the requirements contained in paragraph (2) apply in respect of the supply of the copy to that other person, as they apply in respect of the original.

179

(1) Subject to paragraph (5), this Rule applies in any case where Rule 178 does not apply, where information in a prescribed form is required by these Rules to be sent by any person.

(2) A requirement of the kind mentioned in paragraph (1) is treated as having been satisfied where—

(a) the person to whom the information is sent has agreed—

(i) to receiving the information electronically and to the form in which it is to be sent; and

(ii) to the manner in which paragraph (3) is to be satisfied (“the specified manner”);

(b) all the information required to be given in the prescribed form is provided in the electronic submission; and

(3) Any requirement in a prescribed form that it be accompanied by a signature is taken to be satisfied if the identity of the person who is supplying the information and whose signature is required, is confirmed in the specified manner.

(4) Where information required in prescribed form has been supplied to a person, whether or not it has been supplied electronically in accordance with paragraph (2), and a copy of that information is required to be supplied to another person falling within paragraph (1), the requirements contained in paragraph (2) apply in respect of the supply of the copy to that other person, as they apply in respect of the original.

180

(1) Where under the 1986 Act or these Rules a notice is gazetted, in addition to any content specifically required by the 1986 Act or any other provision of these Rules, the content of such a notice must be as set out in this Chapter.

(2) All notices published must specify insofar as it is applicable in relation to the particular notice—

(a) the name and postal address of the energy administrator acting in the proceedings;

(b) the capacity in which the energy administrator is acting and the date of appointment;

(d) the name of any person other than the energy administrator (if any) who may be contacted regarding the proceedings;

(e) the number assigned to the energy administrator by the Secretary of State;

(f) the court name and any number assigned to the proceedings by the court;

(g) the registered name of the energy supply company;

(h) the energy supply company's registered number;

(i) the energy supply company's registered office, or if an unregistered company, the postal address of its principal place of business;

(j) any principal trading address of the energy supply company if this is different from its registered office;

(k) any name under which the energy supply company was registered in the 12 months prior to the date of the commencement of the proceedings which are the subject of the Gazette notice; and

(l) any name or style (other than the energy supply company's registered name) under which—

(i) the energy supply company carried on business; and

(ii) any debt owed to a creditor was incurred.

181

Information required under this Chapter to be included in a notice to be gazetted may be omitted if it is not reasonably practicable to obtain it.

182

(1) A copy of the Gazette containing any notice required by the 1986 Act or these Rules to be gazetted is evidence of any facts stated in the notice.

(2) In the case of an order of the court notice of which is required by the 1986 Act or these Rules to be gazetted, a copy of the Gazette containing the notice may in any proceedings be produced as conclusive evidence that the order was made on the date specified in the notice.

(3) Where an order of the court which is gazetted has been varied, and where any matter has been erroneously or inaccurately gazetted, the person whose responsibility it was to procure the requisite entry in the Gazette must as soon as reasonably practicable cause the variation of the order to be gazetted or a further entry to be made in the Gazette for the purpose of correcting the error or inaccuracy.

183

(1) Where under the 1986 Act or these Rules a notice may be advertised otherwise than in the Gazette, in addition to any content specifically required by the 1986 Act or any other provision of these Rules, the content of such a notice must be as set out in this Chapter.

(2) All notices published must specify insofar as it is applicable in relation to the particular notice—

(a) the name and postal address of the energy administrator acting in the proceedings to which the notice relates;

(b) the capacity in which the energy administrator is acting;

(d) the registered name of the energy supply company;

(e) the energy supply company's registered number;

(f) any name under which the energy supply company was registered in the 12 months prior to the date of the commencement of the proceedings which are the subject of the notice; and

(g) any name or style (other than the energy supply company's registered name) under which—

(i) the energy supply company carried on business; and

(ii) any debt owed to a creditor was incurred.

184

(1) The information required to be contained in a notice to which this Chapter applies must be included in the advertisement of that notice in a manner that is reasonably likely to ensure, in relation to the form of the advertising used, that a person reading, hearing or seeing the advertisement, will be able to read, hear or see that information.

(2) Information required under this Chapter to be included in a notice may be omitted if it is not reasonably practicable to obtain it.

185

This Chapter applies where under the 1986 Act or these Rules information is to be delivered to the registrar of companies.

186

Where under the 1986 Act or these Rules a return, notice or any other document or information is to be delivered to the registrar of companies, that notification must—

(a) specify—

(i) the registered name of the energy supply company;

(ii) its registered number;

(iii) the nature of the notification;

(iv) the provision of the 1986 Act or the Rule under which the notification is made;

(v) the date of the notification;

(vi) the name and postal address of the person making the notification;

(vii) the capacity in which that person is acting in respect of the energy supply company; and

(b) be authenticated by the person making the notification.

187

In addition to the information required by Rule 186, a notification relating to the office of the energy administrator must also specify—

(a) the name of the energy administrator;

(b) the date of the event notified;

(d) where the notification relates to the termination of an appointment, the reason for that termination (for example, resignation); and

(e) the postal address of the energy administrator.

188

In addition to the information required by Rule 186, a notification relating to a document (for example, a statement of affairs) must also specify—

(a) the nature of the document; and

(b) either—

(i) the date of the document; or

(ii) where the document relates to a period of time (for example a report) the period of time to which the document relates.

189

In addition to the information required by Rule 186, a notification relating to a court order must also specify—

(a) the nature of the court order; and

(b) the date of the order.

190

In addition to the information required by Rule 186, the notification of a return or a report of a meeting must specify—

(a) the purpose of the meeting including the provision of the 1986 Act or the Rule under which it was convened;

(b) the venue fixed for the meeting;

(d) if the meeting took place, the outcome of the meeting (including any resolutions passed at the meeting).

191

In addition to the information required by Rule 186, a notification relating to any other event must specify—

(a) the nature of the event including the provision of the 1986 Act or Rule under which it took place; and

(b) the date the event occurred.

192

A notification which includes a notification of more than one nature must satisfy the requirements applying in respect of each of those notifications.

193

(1) Where under the 1986 Act or these Rules a notice or other document is to be sent to another person at the same time that it is to be delivered to the registrar of companies, that requirement may be satisfied by sending to that other person a copy of the notification to the registrar.

(2) Paragraph (1) does not apply—

(a) where a form is prescribed for the notification to the other person; or

(b) where the notification to the registrar of companies is incomplete.

194

(1) Where in energy supply company administration proceedings the energy administrator considers that a document forming part of the records of those proceedings—

(a) should be treated as confidential; or

(b) is of such a nature that its disclosure would be prejudicial to the conduct of the proceedings or might reasonably be expected to lead to violence against any person,

the energy administrator may decline to allow it to be inspected by a person who would otherwise be entitled to inspect it.

(2) Where under this Rule the energy administrator determines to refuse inspection of a document, the person wishing to inspect it may apply to the court for that determination to be overruled and the court may either overrule it altogether or sustain it subject to such conditions (if any) as it thinks just.

195

Where the 1986 Act or these Rules confer a right for any person to inspect documents, the right includes that of taking copies of those documents, on payment—

(a) in the case of documents on the court's file of proceedings, of the fee chargeable under any order made under section 92 of the Courts Act 2003 ; and

(b) in any other case, of the appropriate fee.

196

Except where prohibited by these Rules, the energy administrator is entitled to require the payment of the appropriate fee for the supply of documents requested by a creditor or member.

197

(1) A creditor has the right to require the energy administrator to provide a list of the creditors and the amounts of their respective debts unless paragraph (4) applies.

(2) The energy administrator on being required to furnish the list under paragraph (1)—

(a) as soon as reasonably practicable must send it to the person requiring the list to be furnished; and

(b) may charge the appropriate fee for doing so.

(3) The name and address of any creditor may be omitted from the list furnished under paragraph (2) where the energy administrator is of the view that its disclosure would be prejudicial to the conduct of the proceedings or might reasonably be expected to lead to violence against any person provided that—

(a) the amount of the debt in question is shown in the list; and

(b) a statement is included in the list that the name and address of the creditor has been omitted in respect of that debt.

(4) Paragraph (1) does not apply where a statement of affairs has been delivered to the registrar of companies.

198

(1) The provisions of CPR rule 2.8 (time) apply, as regards computation of time, to anything required or authorised to be done under these Rules.

(2) The provisions of CPR rule 3.1(2)(a) (the court's general powers of management) apply so as to enable the court to extend or shorten the time for compliance with anything required or authorised to be done by these Rules.

199

(1) Wherever under these Rules any person has to appoint a person to the office of energy administrator that person must, before making the appointment, be satisfied that the person appointed or to be appointed has security for the proper performance of the office of energy administrator.

(2) In any energy supply company administration proceedings the cost of the energy administrator's security shall be defrayed as an expense of the energy supply company administration.

200

(1) Where the court makes an order under section 176A(5) of the 1986 Act, it must as soon as reasonably practicable send two sealed copies of the order to the energy administrator.

(2) Where the court has made an order under section 176A(5) of the 1986 Act, the energy administrator must, as soon as is reasonably practicable give notice to each creditor of whose address and claim the energy administrator is aware.

(3) Paragraph (2) does not apply where the court directs otherwise.

(4) The court may direct that the requirement in paragraph (2) is complied with if a notice has been published by the energy administrator which, in addition to containing the standard contents, states that the court has made an order disapplying the requirement to set aside the prescribed part.

(5) As soon as reasonably practicable a notice under paragraph (4)—

(a) must be gazetted; and

(b) may be advertised in such other manner as the energy administrator thinks fit.

(6) The energy administrator must deliver a copy of the order to the registrar of companies as soon as reasonably practicable after the making of the order.

201

This Part of these Rules has effect for their interpretation and application.

202

(1) In energy supply company administration proceedings, anything to be done by, to or before the court may be done by, to or before a judge, district judge or the registrar.

(2) The registrar or district judge may authorise any act of a formal or administrative character which is not by statute the registrar's or district judge's responsibility to be carried out by the chief clerk or any other officer of the court acting on the registrar's or district judge's behalf, in accordance with directions given by the Lord Chancellor.

(3) In energy supply company administration proceedings, “the registrar” means a Registrar in Bankruptcy of the High Court an Insolvency and Companies Court Judge.

203

“Energy supply company administration proceedings” means any proceedings under sections 154 to 171 of, and Schedules 20 and 21 to, the 2004 Act or these Rules.

204

“The appropriate fee” means 15 pence per A4 or A5 page and 30 pence per A3 page.

205

(1) “Debt”, in relation to the energy supply company administration of an energy supply company, means (subject to the next paragraph) any of the following—

(a) any debt or liability to which the energy supply company is subject at the date on which it goes into energy supply company administration;

(b) any debt or liability to which the energy supply company may become subject after that date by reason of any obligation incurred before that date; and

(2) For the purpose of any provision of the 1986 Act, section 154 to 171 of and Schedule 20 and 21 to the 2004 Act, section 93 to 102 of the 2011 Act, or these Rules about energy supply company administration, any liability in tort is a debt provable in the energy supply company administration if either—

(a) the cause of action has accrued at the date on which the energy supply company entered energy supply company administration; or

(b) all the elements necessary to establish the cause of action exist at that date except for actionable damage.

(3) For the purposes of references in any provision of the 1986 Act, section 154 to 171 of and Schedules 20 and 21 to the 2004 Act, or these Rules, to a debt or liability, it is immaterial whether the amount is fixed or liquidated, or is capable of being ascertained by fixed rules or as a matter of opinion; and references in any such provision to owing a debt are to be read accordingly.

(4) In any provision of the 1986 Act, section 154 to 171 of and Schedule 20 and 21 to the 2004 Act, or these Rules, except in so far as the context otherwise requires, “liability” means (subject to paragraph (3) above) a liability to pay money or money's worth, including any liability under an enactment, any liability for breach of trust, any liability in contract, tort or bailment, and any liability arising out of an obligation to make restitution.

206

References to the “venue” for any proceeding or attendance before the court, or for a meeting, are to the time, date and place for the proceeding, attendance or meeting or to the time and date for a meeting which is held in accordance with section 246A of the 1986 Act without any place being specified for it.

207

(1) In these Rules expressions defined in section 102 of the 2011 Act have the meanings given to them in that section.

(2) A reference in these Rules to a numbered form is to the form so numbered in Schedule 1 to these Rules.

(3) In these Rules—

“Business day” means any day other than a Saturday, a Sunday, Christmas Day, Good Friday or a day which is a bank holiday in any part of Great Britain under or by virtue of the Banking and Financial Dealings Act 1971 ; a “certificate of service” means a certificate of service verified by a statement of truth;

“costs officer” has the meaning given to it in CPR Part 43;

“File in court” means deliver to the court for filing;

“The Gazette” means the London Gazette;

“Gazetted” means advertised once in the Gazette;

“Practice direction” means a direction as to the practice and procedure of any court within the scope of the CPR;

“Prescribed part” has the same meaning as it does in section 176A(2) of the 1986 Act and the Insolvency Act 1986 (Prescribed Part) Order 2003 ;

“Standard contents” means—in relation to a notice to be gazetted, the contents specified in Rule 180; andin relation to a notice to be advertised in any other way, the contents specified in Rule 183;a “statement of truth” means a statement of truth in accordance with CPR Part 22; a “witness statement” means a witness statement verified by a statement of truth in accordance with CPR Part 22.

208

These Rules apply to energy supply company administration proceedings commenced on or after the date on which these Rules come into force. Nothing contained in the Insolvency Rules shall apply to such proceedings commenced on or after that date.

Editorial notes

[^c21778701]: 1986 c. 45, as amended by the Enterprise Act 2002 (c. 40). Section 411 was amended by the Insolvency Act 1986 (Amendment) Regulations (S.I. 2002/1037). Section 411(3) was amended by the Companies Act 2006 (Commencement No. 3, Consequential Amendments, Transitional Provisions and Savings) Order 2007 (S.I. 2007/2194), Schedule 4, Part 3, paragraph 44. There are other amending Acts and instruments but none is relevant.

[^c21778711]: 2004 c. 20, section 159(3) was amended by the Energy Act 2011 (c. 16), section 97.

[^c21778721]: 2011 c. 16.

[^c21778731]: 2006 c. 46.

[^c21778741]: S.I. 1998/3132.

[^c21778751]: 2003 c. 39.

[^c21778761]: S.I. 1986/1925, as amended by S.I. 1987/1919, 1989/397, 1991/495, 1993/602, 1995/586, 1999/359, 1999/359, 1999/1022, 2001/763, 2002/1307, 2002/2712, 2003/1730, 2004/584, 2004/1070, 2005/527, 2009/642, 2010/686 and 2011/785.

[^c21778771]: 1986 c. 45; section 124A was inserted by the Companies Act 1989 (c. 40), section 60(3) and was amended by S.I. 2001/3694; the Companies (Audit, Investigations and Community Enterprise) Act 2004 (c. 27) and S.I. 2004/3322.

[^c21778781]: 2000 c. 8.

[^c21778791]: 1987 c. 22; repealed by S.I. 2001/3649, article 3(1)(d).

[^c21778801]: 1979 c. 37; repealed by the Banking Act 1987 (c. 22), section 108, Schedule 7, Part 1.

[^c21778811]: 1986 c. 45; section 176A inserted by the Enterprise Act 2002 (c. 40), section 252.

[^c21778821]: 1838 c. 110, as amended by the Civil Procedure Acts Repeal Act 1879, section 2, Schedule 1, Part 1, the Statute Law Revision (No. 2) Act 1888, S.I. 1993/564, article 2, 1998/2940, article 3(a), (b) and (c).

[^c21778831]: 1986 c. 45; section 176A inserted by the Enterprise Act 2002 (c. 40), section 252.

[^c21778841]: 1986 c. 45; section 124 was amended by the Criminal Justice Act 1988 (c. 33), section 62(2); the Companies Act 1989 (c. 40), section 60(2); the Access to Justice Act 1999 (c. 22), Schedule 13, paragraph 133; the Insolvency Act 2000 (c. 39), section 1, Schedule 1, paragraphs 1 and 7; S.I. 2002/1240, regulation 8; the Courts Act 2003 (c. 39), Schedule 8, paragraph 294; S.I. 2004/2326, regulation 73(4)(a); the Companies (Audit, Investigations and Community Enterprise) Act 2004 (c. 27), section 50(3); S.I. 2006/2078 and S.I. 2009/1941.

[^c21778851]: 1986 c. 45; section 176A inserted by the Enterprise Act 2002 (c. 40), section 252.

[^c21778861]: 1986 c. 45; section 235 was amended by the Enterprise Act 2002 (c. 40), Schedule 17, paragraph 24.

[^c21778871]: 1838 c. 110, as amended by the Civil Procedure Acts Repeal Act 1879, section 2, Schedule 1, Part 1, the Statute Law Revision (No. 2) Act 1888, S.I. 1993/564, article 2, 1998/2940, article 3(a), (b) and (c).

[^c21778881]: 2005 c. 9.

[^c21778891]: 2002 c. 29.

[^c21778901]: 2000 c. 8.

[^c21778911]: 2003 c. 39, as amended by the Constitutional Reform Act 2005 (c. 4).

[^c21778921]: 1971 c. 80.

[^c21778931]: S.I. 2003/2097.

[^key-e0083dc93fc94dfa1b047531258b1e2f]: Words in rule 10(6)(a) substituted (19.12.2013) by The Energy Supply Company Administration (Amendment) Rules 2013 (S.I. 2013/2950), art. 1, rule 2(a)

[^key-a726db91721046772fc4364748711070]: Words in rule 10(6)(b)(ii)(bb) inserted (19.12.2013) by The Energy Supply Company Administration (Amendment) Rules 2013 (S.I. 2013/2950), art. 1, rule 2(b)

[^key-faac3023fcd00928a2014a400edc8ac6]: Words in rule 202(3) substituted (E.W.) (26.2.2018) by The Alteration of Judicial Titles (Registrar in Bankruptcy of the High Court) Order 2018 (S.I. 2018/130), art. 1, Sch. para. 12(1)(i)

[^key-b4eff2f07535e5ede4808b9cf24c34db]: Words in rule 34(5)(b) omitted (31.12.2020) by virtue of The Electricity and Gas etc. (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/530), regs. 1(1), 82; 2020 c. 1, Sch. 5 para. 1(1)

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