Compliance Process

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ESO will initiate and chair a series of Operational Notification and Compliance Panel Meetings to facilitate the Operational Notification and Compliance Process (ONCP). The timing of these meetings is as referred to in Section 3 of this document.

The focus of these meetings is ensuring that the customer has fulfilled their obligations and that ESO is able to issue the appropriate Operational Notification in line with customer aspirations.

Several documents will be issued to the customer by ESO prior to the first Operational Notification and Compliance Panel Meeting, these are as summarised below:

• Compliance Statement: This lists the requirements of the Grid Code and the site-specific requirements of the Appendix F (Site Specific Technical Requirements) to the BCA, BEGA or BELLA as applicable. The customer will complete this to confirm their compliance with the relevant requirements providing supporting comments as appropriate. The Compliance Statement will make reference to the version of the Grid Code referenced at the time of preparation and this can be used as a reference point against which the requirements of any subsequent Grid Code updates and their applicability to a new generation connection can be assessed. Example Compliance Statements have been provided in Appendix 1.
• Operational Notification and Compliance Checklist (ONCC): This is a high-level checklist of key milestones and activities for the customer to complete through the ONCP and prior to the issue of an EON, ION and FON. A number of example ONCCs have been provided in Appendix 2.  The ONCC specifies the lead party between the Relevant Transmission Owner and ESO for the approval of each of the compliance items.  
• User Data File Structure (UDFS): This is a blank folder structure which is to be populated by the customer to demonstrate compliance with the items identified within the Compliance Statement and ONCC. The customer will submit the UDFS to ESO for review. Submissions can be made using ESO’s web-based facility and access details will be provided once the ONCP commences. In line with STCP19-3, the data is shared with the Relevant Transmission Owner who also provides acceptance of some of the compliance items.   

Additional Compliance Process Templates:

• User Self Certification of Compliance: The customer will be required to complete and sign this document and submit together with the final Compliance Statement prior to the issue of an EON, ION and FON.  This should reflect all the items that remain outstanding as on the ION’s Schedule of Unresolved Items.
• Notice of Intention to Synchronise: This is submitted by the customer prior to commencing export of reactive power and / or active power and requests the issue of an ION.
• Certificates of Readiness: There are a number of certificates of readiness that are submitted by the customer, as follows:

For customers who will connect directly to the National Electricity Transmission System, these are:

• Certificate of Readiness to Commence the Commissioning Programme
• Certificate of Readiness to Complete the Commissioning Programme,
• Certificate of Readiness to Energise High Voltage Equipment.

For customers who will connect to a distribution system, this is:

• Certificate of Readiness to Use the Transmission System.

The timeline below provides a high-level overview of the Compliance Process. It does not cover all process steps required to demonstrate Compliance. For more detailed timescales on specific documents or milestones please refer to the Operational Notification and Compliance Checklist (ONCC) or contact your Contract Compliance Manager.

24-18 Months Prior to Energisation/Export

Following the customer signing the Bilateral Agreement, the Electricity Connections Contract Manager will provide the contact details of the allocated Contract Compliance Manager (if they have not already been in contact).

18-12 Months Prior to Energisation/Export

The inaugural Operational Notification and Compliance Panel meeting to be held. This is arranged and chaired by the ESO Contract Compliance Manager. Attendees will include the customer (or representative), ESO Contract Compliance Manager, ESO Generator Compliance Engineer (where required) and a representative from the Relevant Transmission Owner. The “Compliance Toolkit” documents will be provided in advance of this meeting. The agenda of the meeting will be to introduce the scheme and also the Compliance Process and documentation.

12 Months Prior to Energisation/Export

Balancing and Settlement Code registrations with Elexon to be commenced by the customer. It is advised that contact is made with Elexon 12 months in advance. Please refer to the guidance note provided on the Elexon website contained in the “Useful Website Links” section of this guide.

9 Months Prior to Energisation/Export

The generator Control Point to be confirmed by the customer via return of ESO Registration Form (which can be requested via the ESO BM Registration team email address ([email protected]). If it is to be a new Control Point, it will require communication facilities to be established.

Please refer to the ESO Registration Form guidance note on the ESO Compliance website (link has been provided at the end of this guide) for details of how to obtain and complete the form. If an established Control Point, or Control Point Service Provider is being used, this form should be submitted 6 months prior to anticipated export date.

6 Months Prior to Energisation/Export

UDFS to be submitted by the customer to ESO and the Relevant Transmission Owner for review, along with a compliance statement. A follow up Operational Notification and Compliance Panel meeting will be arranged to discuss the content of the UDFS revision and any feedback. Guidance notes for Data Registration Code submission, and Generator Compliance Connection Conditions can be found on the ESO Compliance Website (the link is provided at the “Useful Website Links” section of this guide). These documents will help for preparation of the required schedules and reports to be included within the UDFS.

6-3 Months Prior to Energisation/Export

Further UDFS revisions to be submitted by the customer to ESO for review. Final submission is to be submitted 3 months prior to first energisation / export date.

2 Months Prior to Energisation/Export

ESO and Relevant Transmission Owner complete the review of the final UDFS revision. Any feedback that is provided must be addressed by the customer.

1 month to 1 week Prior to Energisation/Export

The customer signs and submits the User Self Certification of Compliance and Certificates of Readiness to ESO. The Relevant Transmission Owner will counter sign where required, and also submit their authorisation for ESO to issue the Operational Notification. Data communication links will be validated with the customer’s Control Point by ESO where required by the Bilateral Agreement, and Operational Metering will be confirmed.

28 days Prior to Synchronisation

The customer submits a Notice of Intention to Synchronise prior to commencing export of reactive power and / or active power and requests the issue of an ION.

1 Week Prior to Energisation/Export

Elexon issue their Approval to Energise to the customer and ESO, confirming all Balancing and Settlement Code registrations with Elexon have been completed.

1 week Prior to Energisation/Export

EON/ION issued to the customer by ESO with an effective from date stated.

Note: Energisation/Export can commence from the effective from date stated in the relevant Operational Notification.

The Compliance Process timeline for offshore projects is broadly similar to that summarised above. For more detailed timescales on specific documents or milestones for offshore projects, please refer to the Operational Notification and Compliance Checklist (ONCC) which your allocated Contract Compliance Manager will provide specifically for your offshore connection.

Generator build offshore projects are subject to OTSDUW Arrangements, as defined in Grid Code, whereby certain aspects of the design, consenting, construction, installation and/or commissioning of transmission assets are capable of being undertaken by a customer prior to the transfer of those assets to a Relevant Transmission Licensee under an Offshore Tender Process. When the customer is acting in such a capacity, they will be referred to as the OTSDUW User.

The site-specific technical requirements applicable to the customer at the Offshore Grid Entry Point, as defined in the Grid Code, will be specified in the Appendix F to the relevant bilateral agreement. The site-specific technical requirements applicable to the customer, in their capacity as OTSDUW User, at the Transmission Interface Point, as defined in the Grid Code, will be specified in the Appendix OF to the relevant construction agreement.

For offshore connections, two separate Compliance Statements will be provided by the allocated Contract Compliance Manager: one to the customer for completion with respect to their compliance requirements at the Offshore Grid Entry Point and one to the customer, in their capacity as OTSDUW User, for completion with respect to their compliance requirements at the Transmission Interface Point.

A single ONCC will be provided which specifies a high-level checklist of key milestones and activities for the customer to complete through the Compliance Process in their role as both wind farm owner and OTSDUW User. The range of examples of ONCC’s in Appendix 2 of this guidance document includes an example specific to Generator build offshore projects.

The ION is split into ION Part A and ION Part B for offshore connections both of which have a lifetime of 24 months. ION Part A is required for commissioning of any dynamic reactive compensation equipment for export of reactive power. ION Part B is required for first export of active power from the wind farm. 

The customer will be issued with a Completion Notice at the time of issue of the ION Part B to initiate the asset transfer (to an OFTO) process. Under any scenario whereby the issue of the ION Part B is staged, the Completion Notice will be issued at the time of issue of the final stage of the ION Part B.

Further guidance on the asset transfer process can be found on Ofgem’s website which can be accessed via the link provided in the “Useful Website Links” section of this document:

Section K Notifications

The steps below are followed leading up to the issuing of a Section K Notification:

• ESO has monthly update meetings with Ofgem in which asset transfer dates for offshore networks and the preferred bidder / Section 8A dates are discussed.  The Section 8A date is the date when an OFTO is appointed/issued a Transmission Owner Licence.  This 8A date is in advance of the OTSUA Transfer date. 
• On confirmation that an OFTO has been appointed (and before the offshore asset transfer occurs), there will be an OTSDUW completion report issued to the ESO Connections Contract Manager.  
• The Completion Report is reviewed and amended as appropriate.  Once the Completion Report is accepted, the Connections Contract requests for ed and accepted.  

An Interim Section K Notification (ISKN) is issued by ESO to the appointed OFTO listing the parts of the Compliance process requiring completion (the elements outstanding on the ION Part A).  These items are to be transferred onto the ISKN schedule.

A Final Section K Notification (FSKN) is issued by ESO to the appointed OFTO following successful completion of the Compliance process i.e. there are no outstanding items on the ION Part A).  

This will be advised upon during Operational Notification and Compliance Panel meetings and items required to be satisfied prior to the issuing of the Section K Notification to the assigned Relevant Transmission Licensee.  A Final Section K Notification (FSKN) is issued if all items within the schedule of unresolved issues attached the ION Part A are closed whereas an Interim Section K Notification (ISKN) is issued should any of them remain open at this time.

Derogations for Offshore Connections

As soon as the customer is aware of their inability to resolve any outstanding items within the ION Part A and/or ION Part B timescales, they should notify ESO as a derogation would be required.  Any ION extensions (beyond the 24 months) would be subject to the Customer having applied to Ofgem for a derogation for any remaining Unresolved Issues.

Upon a derogation being granted by Ofgem, the Customer should submit their final Compliance Statement accompanied by a final User Self Certification of Compliance and final UDFS including any updated and / or new submissions as may be applicable.

Final Operational Notifications for Offshore Connections

Once all of the items listed within the ION Part B schedule have been satisfactorily completed and the customer has submitted a final Compliance Statement accompanied by a final User Self Certification of Compliance and final UDFS submission including any updated and / or new submissions as may be applicable, a FON can be issued, signifying completion of the Operational Notification and Compliance Process.