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Guidance Notes

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Exceptional Circumstances in relation to raising Trading Disputes

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Exceptional Circumstances in relation to raising Trading Disputes

Guidance Note

Summary

This guidance is for BSC Parties and provides information on raising a claim for exceptional circumstances to be considered when assessing Trading Disputes.

Introduction

When a Trading Dispute is raised in accordance with BSCP11, it is subject to the following three criteria:

    • Trading Dispute raised within the applicable Dispute Deadline;

    • Settlement Error has occurred; and

    • Materiality meets the £3,000 threshold.

Elexon validates the Trading Dispute against the three criteria. If all three criteria are met, the Trading Disputes Committee (TDC) will determine whether to uphold the Trading Dispute and determine a means of correction.

This guidance note explains how a claim of exceptional circumstances can affect the applicable Dispute Deadlines, how to apply for exceptional circumstances, and the circumstances in which a claim may be accepted by the TDC.

Dispute Deadline Criteria

Each Trading Dispute type has a Dispute Deadline, which determines when a Trading Dispute should be raised. In order for a Trading Dispute to meet the timeliness criteria, the relevant Settlement Day in which the affected Settlement Period occurred must meet the applicable Dispute Deadline.

The Dispute Deadlines for each Trading Dispute type are shown below:

Trading Dispute Type

Dispute Deadline

General Dispute Deadline

20th Working Day following the day on which the relevant Settlement Run was carried out.

Trading Dispute relating to SVA Half Hourly data and processes (SVA Half Hourly Dispute)

70th Working Day following the carrying out of the Final Reconciliation Run (RF).

Trading Dispute relating to SVA Non Half Hourly data and processes (SVA Non Half Hourly Dispute)

70th Working Day following the carrying out of the Final Reconciliation Run (RF)

Trading Dispute concerning data relating to profile coefficient.

3rd Working Day following the Settlement Day in which the affected Settlement Period(s) occurred.

Trading Dispute relating to Market Domain Data.

2nd Working Day following the Settlement Day in which the affected Settlement Period(s) occurred.

Exceptional Circumstances

When raising a Trading Dispute, the Raising Party may request that the TDC considers whether to grant exceptional circumstances.

Exceptional circumstances, if granted by the TDC, waive the requirement for the Trading Dispute to be raised in accordance with the applicable Dispute Deadline and allow corrections to be made up to 20 months from the date the Trading Dispute is raised, as shown below:

complex image of process

If the TDC approves a claim for exception circumstances, the Settlement Error can be corrected if the Trading Dispute is raised within 20 months of the date of the relevant Settlement Day in which the affected Settlement Period occurred.

To make a claim for exceptional circumstances, the Raising Party must:

    • Indicate on the BSCP11/01 Trading Dispute raising form that there is a claim for the TDC to consider exceptional circumstances; and

    • Attach a statement (together with supporting evidence), as to why it considers that exceptional circumstances have occurred.

Consideration of Exceptional Circumstances by the TDC

The TDC exercise discretion when considering if exceptional circumstances should be granted for each Trading Dispute where a claim is made. All exceptional circumstances claims are reviewed by the TDC on a case-by-case basis by assessing the statement and supporting evidence submitted by the Raising Party.

Reasons that exceptional circumstances may exist

Based on previous TDC determinations, the TDC may determine that exceptional circumstances exist if any of the following apply:

    • The Raising Party could not have been expected to have detected the error sooner through the information available to it;

    • The Raising Party or an Affected Party were affected by an error that it had no opportunity to resolve;

    • The Raising Party or an Affected Party had been proactive in investigating the issue prior to the Trading Dispute being raised;

    • The Raising Party raised the Trading Dispute at the earliest possible opportunity following the identification of a Settlement Error;

    • Immediate action has been taken to rectify a fault leading to a Settlement Error once it was identified; or

    • Significant delays have occurred, which are outside of the control of the Raising Party or an Affected Party, causing the disputed period to miss the valid Dispute Deadline.

Reasons that exceptional circumstances may not exist

The TDC may determine that exceptional circumstances should not be granted if any of the following apply:

    • The Raising Party or an Affected Party could have identified and corrected the issue earlier than when it was first made known to them;

    • The Raising Party or an Affected Party were not proactive in investigating the issue prior to the Trading Dispute being raised;

    • There is a significant delay in the Trading Dispute being raised following the identification of a Settlement Error; or

    • The Raising Party did not submit a statement.

Further Information

For more information on the use of exceptional circumstances in relation to raising Trading Disputes, please contact disputes@elexon.co.uk.

For any other information please contact the BSC Service Desk or call 0370 010 6950.

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