ENERGY REGULATION ACT: INDEX TO SUBSIDIARY LEGISLATION

Energy Regulation (Marking and Transportation of Petroleum) (Revocation) Regulations

Energy Regulation (Minimum Petroleum Products Stocks) Regulations

Energy Regulation (Energy) (Definition) Order

Energy Regulation (Petroleum Marking and Monitoring) Regulations

Energy Regulation (General) Regulations

Energy Regulation (Appeals Tribunal) Rules

ENERGY REGULATION (MARKING AND TRANSPORTATION OF PETROLEUM) (REVOCATION) REGULATIONS

[Section 27]

Arrangement of Regulations

    Regulation

    1.    Title

    2.    Revocation of S.I. No. 46 of 2002

SI 36 of 2004.

1.    Title

These Regulations may be cited as the Energy Regulation (Marking and Transportation of Petroleum) (Revocation) Regulations.

2.    Revocation of S.I. No. 46 of 2002

The Energy Regulation (Marking and Transportation of Petroleum) Regulations, 2002 are hereby revoked.

ENERGY REGULATION (MINIMUM PETROLEUM PRODUCTS STOCKS) REGULATIONS

[Sections 27]

Arrangement of Regulations

    Regulation

    1.    Title

    2.    Interpretation

    3.    Storage of minimum stock

    4.    Offences and penalty

    5.    —

    6.    Drawing on minimum stock

SI 90 of 2005.

1.    Title

These Regulations may be cited as the Energy Regulation (Minimum Petroleum Products Stocks) Regulations.

2.    Interpretation

In these Regulations, unless the context otherwise requires—

"Board" means the Energy Regulation Board established under section three of the Energy Regulation Act;

"depot" means a facility for the storage of petroleum products in bulk;

"licensee" means a holder of licence for the distribution of petroleum products, issued by the Board; and

"minimum stock" means a volume of petroleum products adequate to meet the demand for petroleum products by consumers, over a period of 15 days, calculated on the basis of a licensee’s market share.

3.    Storage of minimum stock

    (1) A licensee shall maintain minimum stock in a depot.

    (2) The minimum stock to be maintained under sub-regulation (1) shall be determined by the Board from time to time.

4.    Offences and penalty

Any licensee who fails to maintain a minimum stock in respect of which petroleum product the licensee holds a licence commits an offence and is liable, upon conviction, to a fine of ten thousand penalty units.

5.    —

In addition to a penalty imposed under regulation 4, the Board may revoke a licence pursuant to section 15 of the Act.

6.    Drawing on minimum stock

    (1) Notwithstanding regulation 3, whenever, in the Board’s opinion circumstances arise which necessitate a licensee drawing on the minimum stock, the Board may authorise the licensee, in writing, to draw on the minimum stock.

    (2) Where the Board authorises a licensee to draw on the minimum stock pursuant to sub-regulation (1), the Board shall as soon as the circumstances which necessitated the drawing on the minimum stock end, advise the licensee to maintain a minimum stock.

ENERGY REGULATION (ENERGY) (DEFINITION) ORDER

[Section 2]

Arrangement of Paragraphs

    Paragraph

    1.    Title

    2.    Interpretation

    3.    Definition of energy

SI 42 of 2008.

1.    Title

This Order may be cited as the Energy Regulation (Energy) (Definition) Order.

2.    Interpretation

In this Order "Act" means the Energy Regulations Act.

3.    Definition of energy

For purposes of section 2 of the Act, energy includes energy produced by a biofuel.

ENERGY REGULATION (PETROLEUM MARKING AND MONITORING) REGULATIONS

[Section 27]

Arrangement of Regulations

    Regulation

PART I
PRELIMINARY PROVISIONS

    1.    Title

    2.    Application

    3.    Interpretation

PART II
MARKING OF PETROLEUM PRODUCTS

    4.    Establishment of marking programme

    5.    Procurement of marking company

    6.    Functions of marking company

    7.    Marking of petroleum product

    8.    Prohibition of unauthorised marking

    9.    Prohibition of unauthorised possession of marker

    10.    Prohibition of sale, distribution or transportation of unmarked petroleum product

    11.    Prohibition of adulteration and dumping of petroleum product

    12.    Prohibition of possession of non conforming or adulterated petroleum product

PART III
GENERAL PROVISIONS

    13.    Investigations and cessation of operations

    14.    Powers of inspector

    15.    Testing of petroleum product

    16.    On-site testing

    17.    Dispute of petroleum test results

    18.    Closure, quarantine and disposal

    19.    Unauthorised removal of seals

    20.    Reopening of closed facility

    21.    General penalty

        FIRST SCHEDULE

        SECOND SCHEDULE

        THIRD SCHEDULE

SI 69 of 2017.

PART I
PRELIMINARY PROVISIONS

1.    Title

These Regulations may be cited as the Energy Regulation (Petroleum Marking and Monitoring) Regulations.

2.    Application

    (1) These Regulations apply to a marking, quality control and related activity.

    (2) These Regulations do not apply to a petroleum product transiting through the Republic of Zambia.

3.    Interpretation

In these Regulations, unless the context otherwise requires—

"adulterate" means the addition of an inferior, unsuitable or unauthorised element or compound into a marked or unmarked petroleum product in order to compromise the quality of the petroleum product;

"Agency" means the Zambia Environmental Management Agency established under section 8 of the Environmental Management Act, 2011;

"approved marker" means a chemical approved by the Board for the purpose of marking;

"Authority" means the Zambia Revenue Authority established under section 9 of the Zambia Revenue Authority Act;

"authorised officer" means a member of staff of a marking company appointed as such under regulation 5(3) for the purposes of these Regulations;

"Board" means the Energy Regulation Board established under section 3 of the Act;

"bulk quantity" means a single quantity exceeding two hundred litres or equivalent of a petroleum product;

"detector test" means the analysis of a petroleum product sample to check the level of a marker using a type of technology agreed upon by the Board and a marking company;

"dumping" means the smuggling or diversion into the local market of a petroleum product exempted from tax or in transit;

"full capacity" in relation to a tanker or storage tank, means the maximum operating capacity of the tanker or storage tank;

"inspector" means a person appointed as such under section 5 of the Act;

"law enforcement agency" means the Zambia Police Service, the Anti-Corruption Commission, the Drug Enforcement Commission or the Agency;

"law enforcement officer" means—

    (a)    a police officer of or above the rank of inspector;

    (b)    an officer of the Anti-Corruption Commission;

    (c)    an officer of the Drug Enforcement Commission;

    (d)    an officer of the Agency;

    (e)    an officer performing duties on behalf of Interpol; or

    (f)    any other person appointed as such by the Minister for the purpose of these Regulations;

"licence" means a licence issued by the Board and "licensee" shall be construed accordingly;

"licensed activity" means an activity licensed by the Board;

"licensed facility" means a depot, receiving terminal or retail outlet in respect of which an operator conducts its licensed activity, and includes a transportation unit;

"marked petroleum certificate" means a certificate issued by a marking company under regulation 7(3);

"marker" means a bio-chemical substance capable of being introduced into a petroleum product in small quantities for the purpose of identification and maintenance of the quality of the petroleum product without compromising the quality of the petroleum product;

"marking" means the introduction of a marker into a petroleum product;

"marking and monitoring unit" means the marking and monitoring unit established under regulation 4;

"marking company" means a company contracted by the Board to mark a petroleum product;

"marking detector" means a device used to distinguish a marked petroleum product from an unmarked petroleum product through the introduction of a marker;

"marking programme" means the petroleum marking programme established under regulation 4;

"marking system" means the process and equipment used during marking;

"marking terminal" means a place specified in the Second Schedule for the purposes of marking;

"non conforming product" means a petroleum product that has failed a detector test or an approved analytic testing method;

"over-mark" means the introduction of a marker into a petroleum product beyond the approved tolerance limit;

"petroleum feedstock" means crude oil or a commingled or non-commingled petroleum product which complies with the required specifications in a refinery;

"petroleum product" means petrol, diesel, kerosene or low sulphur gas oil;

"refinery" means a licensed facility for the refining of petroleum feedstock into a petroleum product;

"site" means the location where a sample of a petroleum product is collected for purposes of testing; and

"transport unit" means a railway tank wagon, pipeline or a bulk road tanker that an operator uses to transport a petroleum product.

PART II
MARKING OF PETROLEUM PRODUCTS

4.    Establishment of marking programme

    (1) There is established a petroleum marking programme administered by the Board.

    (2) The Board shall establish a marking and monitoring unit for purposes of these Regulations.

    (3) The cost of the marking programme shall be met from funds determined and availed for that purpose by the Board.

5.    Procurement of marking company

    (1) The Board shall procure the services of a marking company for purposes of implementing the marking programme under these Regulations.

    (2) The Board shall ensure that a marking company procured under sub-regulation (1) has the demonstrated ability to operate, implement and effectively manage a petroleum marking programme.

    (3) A marking company shall appoint suitably qualified persons as authorised officers to implement the marking programme.

6.    Functions of marking company

    (1) The functions of a marking company are to—

    (a)    mark petroleum products in accordance with these Regulations and any written directives of the Board which are consistent with these Regulations;

    (b)    provide marking detectors to the marking and monitoring unit;

    (c)    maintain the integrity of the marking programme;

    (d)    advise the Board on the most effective means of implementation of the marking programme;

    (e)    train members of the marking and monitoring unit and any other person authorised by the Board for purposes of the marking activities;

    (f)    provide equipment required for the marking and monitoring activities; and

    (g)    perform any other function that the Board may direct.

    (2) The Board may, in writing, give a marking company such directions as the Board considers necessary for the better carrying out of these Regulations.

7.    Marking of petroleum product

    (1) A marking company shall mark a petroleum product for domestic use or export from the Republic as set out in the First Schedule.

    (2) A marking company shall mark the petroleum product referred to in sub-regulation (1) at a marking terminal specified in the Second Schedule with an approved marker in the presence of a licensee.

    (3) A marking company shall issue to a licensee whose petroleum product has been marked in accordance with these Regulations a marked petroleum certificate in the Form set out in the Third Schedule.

    (4) A marked petroleum certificate is prima facie evidence that a petroleum product has been marked in accordance with these Regulations.

8.    Prohibition of unauthorised marking

    (1) A person shall not mark a petroleum product except under the authority of the Board and in accordance with these Regulations.

    (2) A person who contravenes sub-regulation (1) commits an offence.

9.    Prohibition of unauthorised possession of marker

    (1) A person shall not be in possession of an approved marker without lawful authority.

    (2) A person shall not facilitate the unlawful possession of an approved marker by any person.

    (3) A person who contravenes sub-regulation (1) or (2) commits an offence.

10.    Prohibition of sale, distribution or transportation of unmarked petroleum product

    (1) A licensee shall not sell, distribute, transport or avail an unmarked petroleum product to the public.

    (2) A person who contravenes sub-regulation (1) commits an offence.

11.    Prohibition of adulteration and dumping of petroleum product

    (1) A person shall not adulterate or cause the adulteration of a petroleum product.

    (2) A person shall not dump or cause the dumping of a petroleum product.

    (3) A person who contravenes sub-regulation (1) or (2) commits an offence.

12.    Prohibition of possession of non conforming or adulterated petroleum product

    (1) A person shall not keep or maintain an adulterated, unmarked, over-marked or non conforming petroleum product in that person’s possession or any premises.

    (2) A person shall not sell, distribute or transport or cause to be sold, distributed or transported an adulterated, unmarked, over-marked or non conforming petroleum product.

    (3) A person who contravenes sub-regulation (1) or (2) commits an offence.

    (4) The Board shall suspend or revoke the licence of a licensee convicted of an offence under this regulation in accordance with the provisions of the Act.

PART III
GENERAL PROVISIONS

13.    Investigations and cessation of operations

The Board may, with the assistance of a law enforcement agency—

    (a)    carry out investigations on an adulterated, unmarked, over-marked or non conforming petroleum product; and

    (b)    order the cessation of operation of a licensed facility or site in which an adulterated, unmarked, over-marked or non conforming petroleum product is stored or kept.

14.    Powers of inspector

    (1) An inspector may, at any time—

    (a)    inspect a licensed or unlicensed facility and take a sample of a petroleum product for verification and analysis; or

    (b)    in connection with law enforcement, seal off a licensed facility in which is kept a petroleum product that—

        (i)    is adulterated, unmarked, over-marked or non conforming;

        (ii)    is marked with an unauthorised marker; or

        (iii)    has been dumped.

    (2) An inspector may affix a seal on the licensed facility upon sealing off the facility.

    (3) An inspector may, in the company of a law enforcement officer, impound a transport unit that the inspector reasonably suspects to contain an adulterated, unmarked, over-marked or non conforming petroleum product.

    (4) A person shall not offload or remove a petroleum product from a facility that has been sealed off without the prior written authorisation of the Board.

15.    Testing of petroleum product

    (1) An inspector may take a sample of a petroleum product from a licensed or unlicensed facility for the purposes of carrying out a test to determine the level of a marker in the sample and the quality of the petroleum product.

    (2) An inspector may, in the course of carrying out an inspection—

    (a)    make a copy or extract of a document or extract relating to the loading, handling, offloading or delivery of a petroleum product; or

    (b)    break any seal on a road tank vehicle for purposes of taking a sample, and thereafter affix a seal and record the seal numbers.

    (3) An inspector shall submit the results of the tests carried out under sub-regulation (1) to the Board, marking company and licensee from which the sample was taken.

16.    On-site testing

    (1) An inspector may conduct an on-site inspection of a petroleum product and shall take and retain three samples of the petroleum product for the purposes of testing, storage in case of a dispute in results and independent testing in case of a dispute in results of the second sample.

    (2) An inspector shall, after the conclusion of an on-site test of a petroleum product, submit to the Board and the licensee the written results of the test within 24 hours and not later than 72 hours after the conclusion of the testing of the petroleum product.

17.    Dispute of petroleum test results

    (1) A person may, in writing to the Board, dispute the results of a test of a petroleum product under regulation 15 or 16 within 24 hours of receiving the test results.

    (2) Where the results of a test of a petroleum product are disputed in accordance with sub-regulation (1), the sample of the petroleum product collected under regulation 15(1) or 16(1) shall be submitted to a laboratory located at the registered office of a marking company for testing, upon payment by the person disputing the results of a fee for the test.

    (3) The test referred to in sub-regulation (2) shall be conducted in the presence of an inspector.

    (4) The laboratory shall, within 24 hours but not later than 72 hours after receiving the sample, submit the test results to the Board.

    (5) The Board shall, in the event that it disputes the results in sub-regulation (4), submit a further sample of the petroleum product in the presence of the person contesting the results to an independent laboratory and the results of such test shall be final.

18.    Closure, quarantine and disposal

    (1) The Board may order a licensee in possession of a non conforming product to—

    (a)    close or quarantine the licensee’s licensed facility in whole or in part; or

    (b)    dispose of or blend the non conforming product in accordance with a direction of the Board.

    (2) The Board shall cause a seal to be placed at a licensed facility where the Board orders a closure or quarantine and the seal shall be prima facie evidence that the licensed facility has been closed by order of the Board.

    (3) The licensee named in the order referred to in sub-regulation (1) shall comply with the order.

    (4) A licensee ordered by the Board to dispose of a non conforming product shall dispose of the product in the presence of an inspector in accordance with the environmental protection directives issued by the Agency.

    (5) Despite sub-regulation (1), the Board may suspend or revoke a licence under this regulation in accordance with the provisions of the Act.

19.    Unauthorised removal of seals

    (1) A person shall not, without lawful authority, cut, break or otherwise interfere with a seal applied to a licensed facility by the Board or a marking company.

    (2) A person who contravenes sub-regulation (1) commits an offence.

20.    Reopening of closed facility

The Board may, in writing, direct an inspector to reopen or dequarantine a licensed facility closed or quarantined under regulation 18 upon being satisfied that—

    (a)    a non conforming product has been disposed of or blended in accordance with a direction of the Board; and

    (b)    the Authority and the Agency have certified, in writing, that they do not object to the reopening or dequarantining of the facility.

21.    General penalty

A person who commits an offence under these Regulations for which a penalty is not provided is liable, upon conviction, to a fine not exceeding one hundred thousand penalty units or to a term of imprisonment for a period not exceeding two years, or to both.

FIRST SCHEDULE

[Regulation 7(1)]

MARKING OF PETROLEUM PRODUCT

SECOND SCHEDULE

[Regulation 7(2)]

MARKING TERMINALS

THIRD SCHEDULE

[Regulation 7(3)]

MARKED PETROLEUM CERTIFICATE

ENERGY REGULATION (GENERAL) REGULATIONS

[Section 54]

Arrangement of Regulations

    Regulation

PART I
PRELIMINARY PROVISIONS

    1.    Title

    2.    Interpretation

PART II
LICENSING REQUIREMENTS AND PROCEDURES

    3.    Application to establish or operate enterprise or carry out licensed activity

    4.    Licensing requirements

    5.    Additional criteria for grant of licence

    6.    Request for additional information for licence

    7.    Site visit for licence

    8.    Fit and proper person to grant licence

    9.    Objection to grant of licence

    10.    Grant of provisional licence and licence

    11.    Notice of rejection of application for licence

    12.    Validity and renewal of licence

    13.    Display of licence

    14.    Notice of intention to vary terms and conditions of licence

    15.    Notice of intention to surrender licence

    16.    Transfer, pledge, assign or encumber licence

    17.    Suspension or revocation of licence

PART III
PERMIT REQUIREMENTS AND PROCEDURES

    18.    Application for permit to construct energy facility, installation or common carrier

    19.    Permit requirements

    20.    Assessment before consideration of application for permit

    21.    Site visit for permit

    22.    Request for additional information for permit

    23.    Approval or rejection of application for permit

    24.    Renewal of permit

    25.    Suspension or revocation of permit

    26.    Transfer, pledge, assign or encumber permit

PART IV
GENERAL PROVISIONS

    27.    Excluded activities

    28.    Changes in detail

    29.    Liability insurance

    30.    Lost or destroyed licence or permit

    31.    Register of licenses and permits

    32.    Appointment of statutory manager on suspension or revocation of licence

    33.    Keeping of records

    34.    General penalty

    35.    Notice of appeal

    36.    Fees

    37.    Revocation of Statutory Instrument No. 2 of 1998

        FIRST SCHEDULE

        SECOND SCHEDULE

        THIRD SCHEDULE

        FOURTH SCHEDULE

SI 42 of 2021.

PART I
PRELIMINARY PROVISIONS

1.    Title

These Regulations may be cited as the Energy Regulation (General) Regulations.

2.    Interpretation

In these Regulations, unless the context otherwise requires—

"anti-competitive trade practices" has the meaning assigned to the word in the Competition and Consumer Protection Act, 2010;

"appropriate authority" means a Ministry, government department or statutory body having a regulatory mandate or functions related to, or impacting on, the energy sector, the environment, water management and development, and mining;

"Director-General" has the meaning assigned to the word in the Act;

"Energy Regulation Board" has the meaning assigned to the word in the Act;

"Engineering Institution of Zambia" means the Engineering Institution of Zambia established under the Engineering Institution of Zambia Act, 2010;

"engineering professional" has the meaning assigned to the word in the Engineering Institution of Zambia Act, 2010;

"enterprise" has the meaning assigned to the word in the Act;

"energy facility" means a structure, system, appurtenance, plant or equipment, whether located on private or public property, that is necessary for energy generation, storage, transportation, processing, transmission, distribution, supply, retailing or the provision of services to a consumer or user;

"information" includes documents, accounts, statistics, estimates, returns, operating stock or reports, whether or not prepared at the request of the Energy Regulation Board;

'licence" has the meaning assigned to the word in the Act;

"licensee" has the meaning assigned to the word in the Act;

"licensed activity" has the meaning assigned to the word in the Act;

"local authority" has the meaning assigned to the word in the Constitution;

"meter" means an appliance, apparatus or device used to measure, ascertain or regulate the rate or the amount of energy supplied, taken or used from an energy facility;

"Patents and Companies Registration Agency" means the Patents and Companies Registration Agency, established by the Patents and Companies Registration Agency Act, 2010;

"permit" has the meaning assigned to the word in the Act;

"promoter" means—

    (a)    a person who has contributed initial capital to an enterprise or has the right to appoint the majority of the governing board;

    (b)    a person who replaces the person referred to in paragraph (a); or

    (c)    a person or group of persons who have control of the enterprise;

"property" means a structure, building or part of a building, and includes land with or without buildings which is held or occupied as a distinct or separate holding or tenancy;

"Road Development Agency" has the meaning assigned to the word under the Public Roads Act, 2002;

"senior management" means the chief executive officer, chief financial officer or executive director of a licensee or any person performing similar functions, and the term "senior manager" shall be construed accordingly;

"statutory manager" means a person appointed by the Minister as a statutory manager for an undertaking in accordance with regulation 31;

"Zambia Environmental Management Agency" means the Zambia Environmental Management Agency established under the Environmental Management Act, 2011;

"Zambian National Standard" has the meaning assigned to the word in the Standards Act, 2017; and

"Zambia Revenue Authority" means the Zambia Revenue Authority, established by the Zambia Revenue Authority Act.

PART II
LICENSING REQUIREMENTS AND PROCEDURES

3.    Application to establish or operate enterprise or carry out licensed activity

    (1) A person who intends to establish or operate an enterprise or carry out a licensed activity shall apply to the Director-General in Form I set out in the First Schedule on payment of a fee set out in the Second Schedule.

    (2) An application referred to under sub-regulation (1), may be filed as a hard copy or electronically.

    (3) The Energy Regulation Board shall, on receipt of an application under sub-regulation (1), notify the applicant, in writing, whether the application is duly completed and received.

    (4) An application is duly completed where the required fields in the Form are correctly filled, the required documents are attached and the fee set out under sub-regulation (1) is paid.

4.    Licensing requirements

    (1) The application referred to under regulation 3 shall be accompanied by the following documents—

    (a)    a copy of the certificate of incorporation;

    (b)    a copy of a list of the names and particulars of an applicant’s promoters or directors, certified by the Patents and Companies Registration Agency;

    (c)    a valid tax clearance certificate issued by the Zambia Revenue Authority;

    (d)    a profile, including a brief of the organisational structure, shareholding structure and senior management;

    (e)    written approval from the Zambia Environmental Management Agency or any other appropriate authority, to undertake a regulated activity;

    (f)    a copy of the five years' business plan showing projected financial statements;

    (g)    a statement indicating the applicant’s technical capacity to carry out the proposed activity or works for which a licence is being applied for;

    (h)    a design of the proposed works or activities in compliance with recognised Zambian National Standards on engineering design and accepted codes of practice, or other standards set by an appropriate authority;

    (i)    a set of operation and maintenance manuals for the proposed works or activities;

    (j)    planning permission in accordance with the Urban and Regional Planning Act, 2015;

    (k)    a declaration of availability of funds in Form II set out in the First Schedule; and

    (l)    a copy of a receipt of the application fee.

    (2) A person that intends to carry out a licensed activity shall, in addition to the requirements under sub-regulation (1), submit the documents referred to in the Third Schedule with respect to the particular activity that is sought to be carried out.

5.    Additional criteria for grant of licence

The Energy Regulation Board shall, in addition to the licensing requirements set out under regulation 4, consider the following—

    (a)    the economic and financial benefits of the activity to the country, or area where the activity shall be undertaken;

    (b)    the current national economic and energy policies;

    (c)    the ability of the applicant to operate in a manner that is not harmful to the health and safety of consumers and other members of the public; and

    (d)    any other matter that the Energy Regulation Board may consider likely to have a bearing on the activity or works.

6.    Request for additional information for licence

    (1) Despite the licensing requirements and other information expressly required to be included in an application under regulations 4 and 5, the Energy Regulation Board may request an applicant to submit further information as may be considered material to the application, to enable the Energy Regulation Board make a decision on the application.

    (2) Where information is requested in accordance with sub-regulation (1), the Director-General shall notify the applicant, in writing, specifying the additional information required to be submitted and specifying the period within which the information shall be made available.

    (3) If the applicant fails or neglects to submit the requested information under this regulation within the specified period, the application shall be rejected.

7.    Site visit for licence

    (1) The Energy Regulation Board may, before considering an application under regulation 3, conduct a site visit where the Energy Regulation Board considers it necessary.

    (2) Where the Energy Regulation Board intends to conduct a site visit, as specified in sub-regulation (1), it shall notify the applicant, in writing, and may direct the applicant to put in place notices, or other procedures or measures in the immediate vicinity of the site where the site visit shall take place.

8.    Fit and proper person to grant licence

Subject to section 14 of the Act, the Energy Regulation Board shall consider the following conditions in determining whether an applicant is a fit and proper person to be granted a licence—

    (a)    whether the applicant can guarantee a security of supply at the minimum barest cost;

    (b)    whether the applicant can guarantee a security of supply in line with the minimum standard requirements to deliver a service;

    (c)    whether the applicant has knowledge and expertise with respect to the activity that the applicant intends to engage in;

    (d)    whether the applicant is honest, not fraudulent and has complied with relevant written law;

    (e)    whether the applicant engages in bribery or other corrupt practices;

    (f)    whether the applicant is legally disqualified;

    (g)    whether the applicant is compliant with the submission or returns and payment of fees, charges, levies, penalties and fines under the Act;

    (h)    whether the applicant already has a licence with the Energy Regulation Board and elects to incorporate a new company and apply for a new licence but is owing a fee, charge, levy, penalty or fine under the Act; or

    (i)    in the case of a renewal, whether the applicant has breached the conditions of the licence repeatedly.

9.    Objection to grant of licence

A person who intends to object to the grant of a licence shall, where the Energy Regulation Board publishes a notice of its intention to grant a licence, make an objection in Form III set out in the First Schedule.

10.    Grant of provisional licence and licence

    (1) The Energy Regulation Board may, where the Energy Regulation Board determines that an applicant has met the criteria to be granted a licence, issue the applicant with a provisional licence pending the grant of a licence in Form IV set out in the First Schedule.

    (2) The Energy Regulation Board shall, where the licensing requirements are complied with, issue the applicant with a licence in Form V set out in the First Schedule.

    (3) A licensee shall, in addition to the conditions endorsed on the licence, comply with the conditions set out in the Fourth Schedule.

11.    Notice of rejection of application for licence

The Energy Regulation Board shall, where it rejects an application for a grant of a licence, notify the applicant in Form VI set out in the First Schedule.

12.    Validity and renewal of licence

    (1) The validity period of a licence shall be endorsed on the licence.

    (2) A person who intends to renew a licence shall, three months before the expiry, apply to the Director-General in Form I set out in the First Schedule on payment of a fee set out in the Second Schedule.

    (3) The Energy Regulation Board shall, where it rejects an application under sub-regulation (2), inform the applicant in Form VI set out in the First Schedule.

    (4) The Energy Regulation Board shall, where it approves an application under sub-regulation (2), renew the licence in Form V set out in the First Schedule.

13.    Display of licence

A licensee shall display the licence in a conspicuous place at the licensee’s registered place of business and at every other premise where the licensee carries on business.

14.    Notice of intention to vary terms and conditions of licence

The Energy Regulation Board shall, where it intends to vary the terms and conditions of a licence, give notice to the licensee of its intention to vary the terms and conditions of a licence in Form VII set out in the First Schedule.

15.    Notice of intention to surrender licence

    (1) A licensee that intends to surrender a licence shall notify the Energy Regulation Board of the intention to surrender a licence in Form VIII set out in the First Schedule.

    (2) A licensee shall, on lodging a notice of intention to surrender a licence, submit the following to the Energy Regulation Board—

    (a)    evidence of discharge of outstanding obligations to the Energy Regulation Board or any other appropriate authority, including filing of returns, payment of fees, tariffs or levies or penalties imposed; and

    (b)    any other relevant information as the Energy Regulation Board may request.

    (3) A notice of intention to surrender a licence shall become effective if the licence is surrendered to the Energy Regulation Board by the licensee and the licence is cancelled.

    (4) If, prior to the effective date of cancellation of a licence, as provided in sub-regulation (3), the Energy Regulation Board has initiated proceedings to suspend or revoke a licence, the notice of intention to surrender a licence, shall only become effective at a time and on terms and conditions that the Energy Regulation Board may consider necessary in the public interest.

    (5) The Energy Regulation Board shall publish the notice of intention to surrender a licence in a newspaper of general circulation in the Republic.

16.    Transfer, pledge, assign or encumber licence

    (1) A licensee that intends to transfer, pledge, assign or encumber a licence, shall apply to the Director-General, in Form IX set out in the First Schedule on payment of a fee set out in the Second Schedule.

    (2) A licensee shall, where an application is made under sub-regulation (1), submit the following to the Energy Regulation Board—

    (a)    evidence of discharge of outstanding obligations to the Energy Regulation Board or any other appropriate authority, including filing of returns, payment of fees, tariffs or levies or penalties imposed;

    (b)    information on the person, if any, who shall take over operations in the case of a transfer or assignment of the licence; and

    (c)    any other relevant information that the Energy Regulation Board may request.

    (3) The Energy Regulation Board shall approve an application, made in accordance with sub-regulation (1), if—

    (a)    the licensee has discharged outstanding obligations to the Energy Regulation Board or any other appropriate authority, including filing of returns, payment of fees, tariffs or levies or penalties imposed;

    (b)    the Energy Regulation Board has not initiated proceedings to suspend or revoke the licence;

    (c)    the licensee has not, in the last 12 months, immediately before the application, contravened the Act, these Regulations or any other relevant written law; and

    (d)    on any other terms and conditions that the Energy Regulation Board may determine.

    (4) The Energy Regulation Board shall, where it approves an application under sub-regulation (1), issue the licensee with a certificate of approval of transfer, pledge, assignment or encumbrance of licence in Form X set out in the First Schedule.

    (5) The Energy Regulation Board shall, where it rejects an application under sub-regulation (1), notify the applicant in Form VI set out in the First Schedule.

    (6) The Energy Regulation Board shall, where the Energy Regulation Board approves a transfer, pledge, assignment or encumbrance of a licence, publish the certificate of approval in the Gazette.

17.    Suspension or revocation of licence

    (1) The Energy Regulation Board shall, where the Energy Regulation Board intends to suspend or revoke a licence, notify the licensee in Form XI set out in the First Schedule.

    (2) The Energy Regulation Board shall, where it suspends or revokes a licence, notify the licensee of the suspension or revocation of the licence in Form XI set out in the First Schedule.

PART III
PERMIT REQUIREMENTS AND PROCEDURES

18.    Application for permit to construct energy facility, installation or common carrier

    (1) A person that intends to construct an energy facility, installation or common carrier shall apply to the Director General for a permit in Form XII set out in the First Schedule.

    (2) An application under sub-regulation (1) may be filed as a hard copy or electronically.

    (3) The Energy Regulation Board shall, on receipt of an application under sub-regulation (1), notify the applicant, in writing, whether the application is duly completed and received.

    (4) An application is duly completed where the required fields in the Form are correctly filled and the required documents are attached.

19.    Permit requirements

A person that lodges an application under regulation 18 shall lodge the application together with the following documents—

    (a)    written approval from the Zambia Environmental Management Agency;

    (b)    copies of detailed site plans and engineering and structural drawings according to applicable regulations, Zambian National Standards, guidelines or orders issued by the Energy Regulation Board;

    (c)    approval by the relevant local authority for siting of energy facility;

    (d)    a completed appendix showing the capacity of energy facility;

    (e)    approval from the Road Development Agency or any other appropriate authority, where applicable;

    (f)    a practising certificate issued by Engineering Institution for Zambia for a registered engineering professional that will supervise the project;

    (g)    a letter of appointment of a registered engineering professional to supervise the project;

    (h)    a copy of the five years business plan showing projected financial statements, where applicable;

    (i)    a declaration of availability of funds in Form II set out in the First Schedule; and

    (j)    any other approval from an appropriate authority having jurisdiction in the area being proposed to be developed.

20.    Assessment before consideration of application for permit

The Energy Regulation Board may, before considering an application under regulation 18, conduct or cause to be conducted an assessment of an applicant so as to ascertain whether the applicant has—

    (a)    the financial resources and technical capacity to carry out the activity or works for which a permit is being applied for;

    (b)    written permission from the owner of the land or a lawful occupier or an appropriate authority, to carry out the activity for which a permit is being applied for; and

    (c)    complied with the Urban and Regional Planning Act, 2015.

21.    Site visit for permit

    (1) The Energy Regulation Board may, before considering an application under regulation 18, conduct a site visit where the Energy Regulation Board considers it necessary.

    (2) The Energy Regulation Board shall, where the Energy Regulation Board intends to conduct a site visit under sub-regulation (1), notify the applicant, in writing, and may direct the applicant to put in place notices, or other procedures or measures in the immediate vicinity of the site where the site visit will take place.

22.    Request for additional information for permit

    (1) Despite the permit requirements and any information expressly required to be included in an application under regulations 19 and 20, the Energy Regulation Board may request an applicant to submit further information that may be considered material to the application to enable the Energy Regulation Board make a decision on the application.

    (2) The Director-General shall, where information is requested in accordance with sub-regulation (1), notify the applicant, in writing, specifying the additional information required to be submitted and specifying the period within which the information shall be made.

    (3) If the applicant fails or neglects to submit the requested information within the specified period, the application shall be rejected.

23.    Approval or rejection of application for permit

    (1) The Energy Regulation Board shall, where all permit requirements have been complied with within 20 days of receipt of an application under regulation 18, approve the application for a permit and grant a permit to the applicant in Form XIII set out in the First Schedule.

    (2) The Energy Regulation Board shall, where it rejects an application for a permit, notify the applicant in Form VI set out in the First Schedule.

    (3) The validity period of the permit shall be endorsed on the permit.

    (4) A permit holder shall keep a copy of the permit at the site or premises being constructed for inspection by the Energy Regulation Board.

24.    Renewal of permit

    (1) A permit holder may, three months before the expiry of the permit, apply to the Energy Regulation Board for a renewal of the permit in Form XII set out in the First Schedule.

    (2) The Energy Regulation Board may, within 20 days of receipt of an application under sub-regulation (1), approve or reject the application.

    (3) The Energy Regulation Board shall, where it approves the application, issue the applicant with a permit in Form XIII set out in the First Schedule.

    (4) The validity period for a renewed permit shall be endorsed on the permit but shall not exceed two years.

    (5) The Energy Regulation Board shall, where it rejects an application, notify the applicant in Form VI set out in the First Schedule.

25.    Suspension or revocation of permit

    (1) The Energy Regulation Board may suspend or revoke a permit, if the permit holder fails to—

    (a)    comply with the Act, these Regulations or any other relevant written law;

    (b)    commence the operations for which the permit was granted within the period specified by the Energy Regulation Board from the date of the grant of a permit;

    (c)    submit information or reports on activities, that may be required by the Energy Regulation Board;

    (d)    update its operational systems and procedures as recommended by the Energy Regulation Board; or

    (e)    co-operate in any investigation or inspection undertaken by the Energy Regulation Board.

    (2) The Energy Regulation Board shall, before suspending or revoking a permit in accordance with sub-regulation (1), give the permit holder a notice of its intention to suspend or revoke the permit in Form XI set out in the First Schedule giving reasons for the intended suspension or revocation and require a permit holder to—

    (a)    show cause, within a period specified in the notice, why the permit should not be suspended or revoked; or

    (b)    take remedial measures, within a period specified in the notice, to the satisfaction of the Energy Regulation Board to prevent the suspension or revocation of the permit.

    (3) The Energy Regulation Board shall not suspend or revoke a permit, if remedial measures are taken, to the satisfaction of the Energy Regulation Board, that ensure compliance with the Act, these Regulations or other relevant laws, within the period specified under sub-regulation (2).

    (4) The Energy Regulation Board may, after giving the permit holder an opportunity to be heard, in person or in writing, suspend or revoke the permit in Form XI set out in the First Schedule, if the permit holder—

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    (a)    fails to give reasons, to the satisfaction of the Energy Regulation Board, why the permit should not be suspended or revoked; or

    (b)    does not take remedial measures, to the satisfaction of the Energy Regulation Board, within the period specified under sub-regulation (2).

    (5) The Director-General shall, where the Energy Regulation Board suspends or revokes a permit under this regulation, publish the suspension or revocation in a newspaper of daily circulation in the Republic.

26.    Transfer, pledge, assign or encumber permit

    (1) A permit holder intending to transfer, pledge, assign or encumber a permit, shall apply to the Director-General, in Form IX set out in the First Schedule.

    (2) The Energy Regulation Board may, within 30 days of receipt of an application under sub-regulation (1), approve or reject the application.

    (3) The Energy Regulation Board shall, where it approves an application under sub-regulation (1), issue the applicant with a certificate of approval of transfer, pledge, assignment or encumbrance of permit in Form X set out in the First Schedule.

    (4) The Energy Regulation Board shall, where it rejects an application under sub-regulation (1), notify the applicant in Form VI set out in the First Schedule.

PART IV
GENERAL PROVISIONS

27.    Excluded activities

    (1) Subject to sub-regulation (3), the following activities shall not constitute an activity for the purposes of the Act, whether public or private—

    (a)    importation of lubricants for domestic or non-commercial use;

    (b)    importation of lubricants for use in equipment for sale, where the—

        (i)    lubricant is in the imported equipment; and

        (ii)    equipment is imported together with the lubricant on one consignment but as two separate units;

    (c)    importation of solar for domestic or non-commercial use;

    (d)    importation of solar for use in Government projects and not for commercial purposes; and

    (e)    importation of lubricants for use in equipment meant for Government projects and not for commercial purposes.

    (2) In sub-regulation (1), unless the context otherwise requires, "domestic or non-commercial use" means in—

    (a)    paragraph (a), household use that does not exceed 50 litres or its equivalent; and

    (b)    paragraph (c), a dwelling house with maximum generating capacity of 5 kilowatts, including accompanying accessories and a small holding with maximum generating capacity of 10 kilowatts, including accompanying accessories.

    (3) The exclusion in sub-regulation (1)(b) shall be restricted to the initial startup only.

28.    Changes in detail

A licensee or permit holder shall notify the Energy Regulation Board, in writing, of any changes in the following details within seven days of the change—

    (a)    the location of the licensee or permit holder’s registered office;

    (b)    the shareholding structure of the licensee or permit holder, where ownership or control of the licensee or permit holder is likely to be affected;

    (c)    the energy facilities owned or leased by the licensee; and

    (d)    statutory documents subject to registration or re-registration with an appropriate authority.

29.    Liability insurance

    (1) Except where expressly exempt by the Energy Regulation Board, a licensee or permit holder shall take out and maintain, in full effect, liability insurance, including environmental impairment liability, to cover the cost of any damage incurred by the licensee or permit holder and compensation to be paid to any person, including commercial liability and clean-up costs.

    (2) For purposes of sub-regulation (1), the environmental impairment liability shall cover environmental damages, including that done to land, watercourses, underground water and the atmosphere.

30.    Lost or destroyed licence or permit

    (1) The licensee or permit holder may, where a licence or permit has been lost or destroyed, apply to the Director-General, in writing, for a replacement of the licence or permit on payment of a fee set out in the Second Schedule.

    (2) The Director-General shall, after being satisfied with the proof of loss or destruction in accordance with sub-regulation (1), issue a copy of the licence or permit to the licensee or permit holder, respectively.

    (3) A copy of a licence or permit issued under sub-regulation (2) shall be as effective as the original licence or permit.

31.    Register of licenses and permits

    (1) A register of licenses shall be in Form XIV set out in the First Schedule.

    (2) The Energy Regulation Board shall establish and maintain a register of permits and permit holders in Form XV set out in the First Schedule.

    (3) The register referred to under sub-regulation (2) shall be kept by the Secretary at the offices of the Energy Regulation Board, and shall be open for inspection by members of the public during office hours on payment of a fee set out in the Second Schedule.

    (4) A person that intends to inspect the register referred to under sub-regulation (2) shall apply to the Director-General, in writing, on payment of a fee set out in the Second Schedule.

    (5) The Director-General shall, on receipt of an application under sub-regulation (3) and within two days, issue the applicant with a certified extract from the register or a copy of a permit issued to a permit holder in accordance with the Act and these Regulations.

32.    Appointment of statutory manager on suspension or revocation of licence

    (1) Despite any other provision of the Act and these Regulations, the Minister may, in national interest and where a licence has been suspended or revoked, appoint a statutory manager and direct that a licensee operates under the management and control of the statutory manager.

    (2) The Minister shall appoint a competent person, with not less than 10 years' experience in the energy sector, as a statutory manager, for a period and on terms and conditions that the Minister considers necessary, to ensure the continued provision of a licensed activity or until a time that the Energy Regulation Board lifts the suspension or the licensed activity is taken over by another licensee.

    (3) A statutory manager shall, during the statutory manager’s term of appointment, keep the Energy Regulation Board informed on matters relating to the licensed activity.

    (4) The expenses connected with the appointment of a statutory manager and management of the enterprise shall be a charge on the revenues of the enterprise whose licence has been suspended or revoked.

    (5) Despite sub-regulations (1), (2), (3) and (4), the suspension or revocation of a licence in accordance with the Act and these Regulations and the appointment of a statutory manager, shall not prejudice or affect the security of any debenture holder, mortgage or right of enforcement of that security.

33.    Keeping of records

A licensee or permit holder shall keep and maintain relevant and updated records and information of its licensed activity as specified in guidelines issued in accordance with section 46 of the Act.

34.    General penalty

A person who contravenes a provision of these Regulations or fails to comply with a condition of a licence or permit commits an offence and is liable, on conviction, to a fine not exceeding three hundred thousand penalty units or to a term of imprisonment not exceeding three years, or to both.

35.    Notice of appeal

A person aggrieved with a decision of the Energy Regulation Board may, within 30 days of the decision, appeal to the Minister in Form XVI set out in the First Schedule.

36.    Fees

The fees set out in the Second Schedule are applicable to the matters specified in the Second Schedule.

37.    Revocation of Statutory Instrument No. 2 of 1998

The Energy Regulation (Licensing) Regulations, 1998 are revoked.

FIRST SCHEDULE

[Regulations 3(1), 4(1), 9, 10, 11, 12, 14, 15(1), 16, 17, 18, 19, 23, 24, 25, 26, 31 and 35]

FORM I

[Regulations 3(1) and 12(2)]

FORM II

[Regulations 4(1) and 19]

FORM III

[Regulation 9]

FORM IV

[Regulation 10(1)]

FORM V

[Regulations 10(2) and 12(4)]

FORM VI

[Regulations 11, 12(3), 16(5), 23(2), 24(5) and 26(4)]

FORM VII

[Regulation 14]

FORM VIII

[Regulation 15(1)]

FORM IX

[Regulations 16(1) and 26(1)]

FORM X

[Regulations 16(4) and 26(3)]

FORM XI

[Regulations 17, 25(2) and 25(4)]

FORM XII

[Regulations 18(1) and 24(1)]

FORM XIII

[Regulations 23(1) and 24(3)]

FORM XIV

[Regulation 31(1)]

FORM XV

[Regulation 31(2)]

FORM XVI

[Regulation 35]

SECOND SCHEDULE

[Regulation 36]

PRESCRIBED FEES

THIRD SCHEDULE

[Regulation 4(2)]

As provided under regulation 4(2), an applicant shall submit the following documents with respect to the particular activity that is sought to be carried out—

1.    DISTRIBUTE, IMPORT AND EXPORT PETROLEUM PRODUCTS

    (a)    Construction permit

    (b)    Description of facilities for distribution, import and export of petroleum products

    (c)    Proof of ownership or lease (hospitality agreement) of depot of at least 250m^{3 "/>capacity}

    (d)    Valid fire certificate for the proposed depot from the local authority/council

    (e)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

2.    BULK DISTRIBUTION, IMPORT AND EXPORT OF LIQUEFIED PETROLEUM GAS (LPG)

    (a)    Construction permit

    (b)    Description of facilities for bulk distribution, import and export of LPG

    (c)    Proof of ownership or lease (hospitality agreement) of depot of at least 10MT capacity - except for export

    (d)    Valid fire certificate for the proposed depot from the local authority/council

    (e)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

    (f)    Minimum of 250 cylinders with a plan to increase to the required number of 1000 cylinders over a period of 24 months

3.    LICENCE TO RETAIL PETROLEUM PRODUCTS

    (a)    Construction permit

    (b)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (c)    Schedule of total installed storage and dispensing capacity in the format to be specified by the Energy Regulation Board

    (d)    Proof of ownership or lease of retail site

    (e)    Valid fire certificate for each proposed retail site from local authority/council

    (f)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

4.    INCLUSION OF SITE TO RETAIL PETROLEUM PRODUCTS

    (a)    Construction permit (applies to greenfield projects)

    (b)    Schedule of total installed storage and dispensing capacity in the format to be specified by the Energy Regulation Board

    (c)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (d)    Proof of ownership or lease of retail site

    (e)    Valid fire certificate for each proposed retail site from a local authority/council

    (f)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

5.    RETAIL OF LIQUIFIED PETROLEUM GAS (LPG)

    (a)    Construction permit (applicable where refilling of cylinders is involved)

    (b)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (c)    List of LPG retail sites in the format specified by the Energy Regulation Board

    (d)    Proof of ownership or lease of retail site

    (e)    Valid fire certificate for each proposed retail site from a local authority/council

    (f)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

    (g)    Minimum of 250 cylinders (either owned or leased in form of distributorship agreement)

6.    ROAD TRANSPORTATION OF PETROLEUM PRODUCTS

    (a)    Valid road service licence as issued by the Road Transport and Safety Agency (or relevant authority for rail transportation)

    (b)    List of tank vehicles or wagons in the format specified by the Energy Regulation Board

    (c)    Zambia Revenue Authority Excise and Customs Declaration Schedule, invoices and Form CE20 (applies to imported vehicles)

    (d)    Letter of sale showing purchase price (applies to locally purchased vehicle)

    (e)    Certificate of vehicle registration or certification of rail wagon

    (f)    Valid certification of conformity for each tanker or rail wagon issued by relevant authority (Zambia Compulsory Standards Agency for road transportation)

    (g)    Certification of tankers from Zambia Metrology Agency (not applicable for tankers presented to the Energy Regulation Board for first time registration)

    (h)    Electrical wiring certificate for the tankers

7.    PIPELINE TRANSPORTATION OF PETROLEUM PRODUCTS

    (a)    Description of pipelines for transportation of petroleum products in the format specified by the Energy Regulation Board

    (b)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (c)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

8.    REFINING OF PETROLEUM FEEDSTOCK

    (a)    Construction permit

    (b)    Description of storage and processing facilities in the format specified by the Energy Regulation Board

    (c)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (d)    Detailed refinery lay-out plan

    (e)    Valid fire certificate from a local authority

    (f)    Valid certificates for pressure vessels from the factories department

    (g)    Proof of ownership or lease

    (h)    Zambia Environmental Management Agency waste management and emission licences

    (i)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

9.    WHOLESALE AND MARKETING OF PETROLEUM FEEDSTOCK

    (a)    Construction permit

    (b)    Description of storage and distribution facilities in the format specified by the Energy Regulation Board

    (c)    Proof of ownership or lease (hospitality agreement) of depot of at least 250m^{3 "/>capacity}

    (d)    Valid fire certificate for the proposed depot from a local authority/council

    (e)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

10.    IMPORTATION, BLENDING, PACKAGING, DISTRIBUTION AND EXPORT OF LUBRICANTS

    (a)    Construction permit

    (b)    Description of storage and processing facilities in the format specified by the Energy Regulation Board

    (c)    Proof of ownership of storage facility or lease

    (d)    Valid fire certificate for the proposed storage from a local authority/council

    (e)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

11.    TRANSPORTATION AND MARKETING OF COAL

    (a)    Construction permit, where applicable

    (b)    Valid road service licence as issued by the Road Transport and Safety Agency

    (c)    List of transportation vehicles in the format specified by the Energy Regulation Board, where applicable

    (d)    Description of storage facility for coal in the format specified by the Energy Regulation Board, where applicable

    (e)    White books for the vehicles, where applicable

    (f)    Valid fire certificate for the proposed storage from a local authority/council, where applicable

    (g)    Electrical wiring certificate for the vehicles

    (h)    Zambia Revenue Authority Excise and Customs Declaration Schedule (if vehicle was imported)

    (i)    Letter of sale showing purchase value (if vehicle is locally purchased)

12.    OPERATE A CONSUMER STORAGE FACILITY

    (a)    Construction permit

    (b)    Description of storage and dispensing facilities for petroleum products in the format specified by the Energy Regulation Board

    (c)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (d)    Proof of ownership or lease of storage facility of applicable capacity

    (e)    Valid fire certificate for each proposed consumer facility from the relevant local authority/council

    (f)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

13.    EQUIPMENT FOR PRODUCTION, REFINING, TRANSPORTATION, STORAGE, TRADING OR SUPPLY OF ENERGY OR FUEL

    (a)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (b)    Description of equipment for production, refining, transportation, storage, trading or supply of energy or fuel licence

    (c)    Proof of a management system (SHEQ management system)

    (d)    Any other documentation as may be required by the Energy Regulation Board

14.    GENERATION OF ELECTRICITY

    (a)    Construction permit

    (b)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (c)    Pricing/tariff model

    (d)    Description of the generation facility in the format specified by the Energy Regulation Board

    (e)    Fuel supply agreement/water permit (where applicable)

    (f)    Power purchase agreement (where applicable)

    (g)    Grid connection agreements

    (h)    Licensed territory/location

    (i)    Electrical drawings (Single line diagrams and flow charts)

    (j)    Proof of qualified technical staff - including authorisation appointment by the applicant

    (k)    Maintenance agreement/program for the plant

    (l)    Valid fire certificate from the relevant local authority

    (m)    Commissioning test certificates and reports (applicable to new generation plant)

    (n)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

15.    TRANSMISSION OF ELECTRICITY

    (a)    Construction permit

    (b)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (c)    Pricing/tariff model

    (d)    Description of the transmission in the format specified by the Energy Regulation Board

    (e)    Fuel supply agreement/water permit (where applicable)

    (f)    Power purchase/wheeling agreement (where applicable)

    (g)    Proposed territory/location

    (h)    Electrical drawings (single line diagrams and flow charts)

    (i)    Proof of qualified technical staff - including authorisation appointment by the applicant

    (j)    Valid fire certificate from a relevant local authority

    (k)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

    (l)    Five year forecast of maximum demand of energy to be transmitted through the transmission system

16.    DISTRIBUTION OF ELECTRICITY

    (a)    Construction permit

    (b)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (c)    Pricing/tariff model

    (d)    Completed appendices for distribution licence

    (e)    Fuel supply agreement/water permit (where applicable)

    (f)    Power purchase/wheeling agreement (where applicable)

    (g)    Proposed territory/location

    (h)    Power purchase, connection, wheeling agreement, power supply (where applicable)

    (i)    Electrical drawings (single line diagrams and flow charts)

    (j)    Proof of qualified technical staff - including authorisation appointment by the applicant

    (k)    Valid fire certificate from a relevant local authority responsible for the jurisdiction where each substation/switching station is located

    (l)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

    (m)    Location of any existing or proposed embedded generating stations, including, type, maximum energy expected to be available from the station at any one time, and aggregate energy expected to be available from the generation station during any year, excluding such wattage as is expected to be consumed on site

    (n)    Annual forecast of maximum demand of energy to be distributed through the distribution system for the first five years

    (o)    An undertaking that the distribution system through which the applicant would be authorised to convey energy if the licence is granted would be operated safely

17.    TRADING OF ELECTRICITY

    (a)    Letter stating the cost of investment accompanied by copies of means of verification where applicable

    (b)    Pricing/tariff model

    (c)    List of customers for trading of electricity in the format specified by the Energy Regulation Board

    (d)    Power purchase agreements

    (e)    Wheeling agreements

    (f)    Power supply agreements

    (g)    Grid connection agreements

    (h)    Use of system agreement

18.    SYSTEM OPERATOR OF TRANSMISSION AND DISTRIBUTION SYSTEM

    (a)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (b)    Pricing/tariff model

    (c)    Copy of network configuration diagram

    (d)    System operator agreements

    (e)    A schedule of relevant assets in the format specified by the Energy Regulation Board

19.    GENERATION, TRANSMISSION, DISTRIBUTION AND SUPPLY OF ELECTRICITY (OFF-GRID)

    (a)    Construction permit

    (b)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (c)    Pricing/tariff model

    (d)    Description of facilities for generation, transmission distribution and supply in the format specified by the Energy Regulation Board

    (e)    Fuel supply agreement (where applicable)

    (f)    Water permit (where applicable)

    (g)    Customer supply contract

    (h)    Authorised territory

    (i)    Proof of qualified technical staff - including authorisation appointment by the applicant

    (j)    Valid fire certificate from a relevant local authority

    (k)    Electrical drawings (single line diagrams and flow charts)

    (l)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

20.    EMBEDDED GENERATION OF ELECTRICITY

    (a)    Construction permit

    (b)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (c)    Pricing/tariff model

    (d)    List of generation and distribution facilities in the format specified by the Energy Regulation Board

    (e)    Fuel supply agreement/water permit (where applicable)

    (f)    Power purchase agreement (where applicable)

    (g)    Connection agreements

    (h)    Electrical drawings (single line diagrams and flow charts)

    (i)    Maps showing proposed territory for distribution/supply

    (j)    Proof of qualified technical staff - including authorisation appointment by the applicant

    (k)    Valid fire certificate from a relevant local authority

    (l)    Commissioning test certificates and reports (applicable to new generation plant)

    (m)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

21.    GENERATION OF ELECTRICITY FOR OWN USE

    (a)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (b)    List of generation and distribution facilities of electricity in the format specified by the Energy Regulation Board

    (c)    Electrical drawings single line diagrams and flow charts

    (d)    Valid fire certificate from a relevant local authority

    (e)    Completion certificate by an engineering professional registered by the Engineering Institution of Zambia (applicable to a new depot (greenfield) and only applicable to brownfield projects that have not been in operation for a period of six months or more and require works to comply with the regulations, standards and codes of practice)

22.    MANUFACTURE, SUPPLY, INSTALLATION, AND MAINTENANCE OF RENEWABLE ENERGY GENERATING EQUIPMENT

    (a)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (b)    Description of facilities for manufacture, supply, installation and maintenance of renewable energy equipment in the format specified by the Energy Regulation Board

    (c)    Proof of ownership or lease of warehouse/storage facility

    (d)    Proof of qualified technical staff

    (e)    Valid fire certificate from a relevant local authority

    (f)    Proof of prudent manufacturing best practice management system (SHEQ management system) (applicable to manufacturing)

23.    PRODUCTION, STORAGE, MARKETING AND TRANSPORTATION OF RENEWABLE ENERGY

    (a)    Letter stating the cost of investment (cost of rebranding, repairs/rehabilitation and other costs incurred) accompanied by copies of means of verification

    (b)    Description of facilities of production, storage, marketing and transportation of renewable energy licence in the format specified by the Energy Regulation Board in the format specified by the Energy Regulation Board

    (c)    Proof of ownership or lease of warehouse/storage facility

    (d)    Proof of qualified technical staff

    (e)    Valid fire certificate from a relevant local authority

    (f)    Proof of prudent manufacturing best practice management system (SHEQ management system) (applicable to manufacturing)

FOURTH SCHEDULE

[Regulation 10(3)]

In addition to the conditions endorsed on the licence, the following conditions shall apply to a licence—

1.    General conditions

    (a)    The licensee shall not show undue preference to, or exercise undue discrimination against any particular person of any class or description as regards any aspect of the provision of energy products or any service under the licence.

    (b)    Should any of the conditions cease to be effective, that condition shall be deleted and the remaining conditions shall continue in full force and effect.

    (c)    The licensee shall commence the licensed activity within six months from the effective date of the licence, failure to which, the licensee shall give notice in writing to the Energy Regulation Board requesting for an extension of the period within which to commence the licensed activity. The extension shall be for period not exceeding six months. Failure by the licensee to give notice within the first six months shall result in the revocation of the licence.

    (d)    If the licensee gives notice in writing to the Energy Regulation Board requesting for an extension of the period within which to commence the licensed activity but fails to commence within the extended period, the licensee shall be considered to have ceased to fulfil the eligibility requirements for grant of the licence and the licence shall be revoked in accordance with section 19 of the Act.

    (e)    A breach of any of the conditions of this licence will give rise to the imposition of penalties or fines in accordance with the Act, these Regulations and other guidelines issued by the Energy Regulation Board.

2.    Operational conditions of the licensed activity

    (a)    The licensee shall only operate the licensed premises, equipment, installations and facilities as set forth in the licence.

    (b)    The licensee shall not vary the licensed capacity of the licensed premises, equipment, installations and facilities without prior written authority of the Energy Regulation Board.

    (c)    The licensee shall, where an accident or incident occurs in the implementation of the licensed activity or to the premises, equipment, installations and energy facilities—

        (i)    notify the Energy Regulation Board immediately or within 24 hours;

        (ii)    submit a written preliminary report to the Energy Regulation Board within 48 hours; and

        (iii)    submit a written comprehensive incident report to the Energy Regulation Board within seven calendar days.

    (d)    The licensee shall not engage in any activities that compromise the proper implementation of the licensed activity or that may impede any licensed activity of other licensees.

    (e)    The licensee shall ensure management of the licensed activity in a manner consistent with the principles of ensuring economic and technical expedience and the objective of achieving reasonable costs and highest quality of service for clients.

    (f)    The licensee shall not engage in any form of anti-competitive trade practices.

    (g)    The licensee shall comply with applicable Regulations and guidelines made pursuant to the Act and Zambian National Standards pertaining to the quality control and monitoring of energy products and services in carrying out the licensed activity.

3.    Provision and use of information

    (a)    The licensee or any other person authorised by the licensee shall provide to the Energy Regulation Board information or reports concerning the licensed activity that the Energy Regulation Board may reasonably require for purposes of exercising or performing its functions.

    (b)    Any confidential information received from the licensee shall not be disclosed to any third party except as required by any written law.

    (c)    The licensee shall ensure that any information the licensee receives from the Energy Regulation Board as a direct result of conducting the licensed activity is not divulged to any person, except those carrying out the licensed activity who are authorised to receive the information, and ensure that the information is not used by the licensee for conducting any other activities other than the licensed activity, except—

        (i)    with the prior written consent of the Energy Regulation Board;

        (ii)    if the information is already in the public domain;

        (iii)    if the licensee is required or permitted to disclose the information to comply with the licence, an Energy Regulation Board directive, any applicable law; or

        (iv)    if the information is required to be disclosed in the course of performing the licensed activity.

4.    Price of energy products

    (a)    The prices or other charges imposed or demanded by the licensee in respect of any product or commodity or any service to be provided in the course of the licensed activity shall be just and reasonable.

    (b)    The Energy Regulation Board may require the licensee to re-adjust the prevailing price, or charges imposed in respect of energy products or service provided in the course of the licensed activity if it is found that the licensee’s prices and charges imposed in respect of energy products or service are not just and reasonable.

    (c)    The licensee shall comply with any tariffs, fees or charges in respect of energy, fuel or service provided in the course of the licensed activity that may be set by the Energy Regulation Board from time to time.

    (d)    The licensee shall keep open for inspection by the Energy Regulation Board or its authorised agents, schedules showing the prices and charges which are in force at any time for energy product or services to be provided by it.

5.    Compliance and enforcement

The licensee shall be required to establish a documented management system and designate a competent person to co-ordinate the system to ensure compliance with the conditions of the licence.

ENERGY REGULATION (APPEALS TRIBUNAL) RULES

[Section 42]

Arrangement of Rules

    Rule

PART I
PRELIMINARY

    1.    Title

    2.    Interpretation

    3.    Secretary

PART II
APPEALS PROCESS AND PROCEDURES

    4.    General title of proceedings

    5.    Notice of appeal

    6.    Request for additional information

    7.    Answer and reply

    8.    Scheduling conference

    9.    Status conference

    10.    Notice of hearing

    11.    Sittings of Tribunal

    12.    Hearing

    13.    Non-attendance at hearing

    14.    Determination of appeal on documents lodged

    15.    Electronic hearing

    16.    Notice to produce document or other information

    17.    Adjournments

    18.    Interlocutory applications

    19.    Amendment of documents

    20.    Summoning of persons before Tribunal

    21.    Evidence

    22.    Witness statement

    23.    Assessors and experts

    24.    Decision of Tribunal

    25.    Appeals to High Court

PART III
GENERAL PROVISIONS

    26.    Practice and procedure

    27.    Withdrawal of proceedings

    28.    Withdrawal of legal practitioner

    29.    Service of process

    30.    Appeal not to operate as stay

    31.    Language

    32.    Number of copies to lodge

    33.    Proceedings to be judicial proceedings

    34.    Consent order

    35.    Extension and abridgement of time

    36.    Correction of clerical errors, accidental slips or omissions

    37.    Joinder and misjoinder

    38.    Signing of documents

    39.    Inspection of property

    40.    Database of appeals

    41.    Taxation of costs

    42.    Fees

    43.    Non-compliance with rules

        FIRST SCHEDULE

        SECOND SCHEDULE

SI 5 of 2023.

PART I
PRELIMINARY

1.    Title

These Rules may be cited as the Energy Regulation (Appeals Tribunal) Rules.

2.    Interpretation

In these Rules, unless the context otherwise requires—

"appellant" means a person who appeals to the Minister against a decision of the Energy Regulation Board in accordance with section 34 of the Act;

"Chairperson" means the person appointed as Chairperson of the Tribunal under section 35 of the Act;

"Emoluments Commission" means the Emoluments Commission established under the Constitution*;

"Energy Regulation Board" has the meaning assigned to the words in the Act;

"legal practitioner" has the meaning assigned to the word "practitioner" in the Legal Practitioners Act*;

"Secretary" means the person designated as Secretary under rule 3; and

"Tribunal" means an ad hoc appeals tribunal appointed and convened in accordance with section 35 of the Act.

3.    Secretary

    (1) The permanent secretary within the ministry responsible for energy shall designate a public officer from within the ministry responsible for energy to serve as Secretary of the Tribunal.

    (2) Subject to subrule (1), a person shall be designated as Secretary if the person holds a position of assistant director or higher than assistant director.

    (3) Subject to section 37 of the Act, the Secretary shall—

    (a)    receive, register and assign a reference number to each appeal;

    (b)    keep and maintain a register of appeals;

    (c)    issue and serve notices of hearing;

    (d)    ensure that notices, summons, or other documents are served on appropriate persons before a hearing by the Tribunal;

    (e)    receive correspondence or documents on behalf of the Tribunal;

    (f)    keep and maintain a record of proceedings before the Tribunal; and

    (g)    perform any other function specified in the Act or these Rules, as may be directed by the Chairperson.

PART II
APPEALS PROCESS AND PROCEDURE

4.    General title of proceedings

Proceedings under these Rules shall be titled as set out in Form I of the First Schedule.

5.    Notice of appeal

    (1) A person aggrieved with a decision of the Energy Regulation Board may appeal to the Minister by lodging a notice of appeal in Form II set out in the First Schedule on payment of a fee set out in the Second Schedule.

    (2) A notice of appeal referred to in subrule (1) shall be accompanied by—

    (a)    the decision appealed against;

    (b)    a statement of facts, setting out the appellant's grounds of appeals, based on facts and the law, and the relief being sought; and

    (c)    any other information which the Minister may require.

    (3) The Minister shall cause a notice of appeal lodged under this rule to be acknowledged as received by stamping all copies of the notice of appeal with the Minister's official stamp, and a copy of the notice of appeal shall be returned to the appellant.

    (4) The Minister shall, within three days of receipt of a notice of appeal under this rule, cause the notice of appeal together with the accompanying documents, to be submitted to the Secretary.

    (5) The Secretary shall, within two days of receipt of a notice of appeal from the Minister under subrule (4)—

    (a)    submit the notice of appeal, together with the accompanying documents, to the Chairperson; and

    (b)    serve the notice of appeal, together with the accompanying documents, on the Energy Regulation Board.

6.    Request for additional information

    (1) The Chairperson may, at any time after receipt of a notice of appeal, order the appellant to furnish the Secretary with a statement, in writing, setting out additional information—

    (a)    relating to the grounds on which the appellant intends to rely; and

    (b)    which the Chairperson considers necessary for the proper determination of the matter.

    (2) The additional information referred to in subrule (1) shall be furnished within a period as the Chairperson may direct, but not exceeding 14 days.

    (3) The Secretary shall, on receipt of the statement referred to in subrule (1), submit a copy of the statement to the Energy Regulation Board.

7.    Answer and reply

    (1) The Energy Regulation Board shall, where the Energy Regulation Board intends to oppose an appeal, within 14 days of being served with the notice of appeal, and the accompanying documents, file with the Secretary an answer in Form III set out in the First Schedule on payment of a fee set out in the Second Schedule.

    (2) An answer filed under subrule (1) shall be accompanied by a statement of facts, setting out the grounds on which the Energy Regulation Board intends to rely on in opposing the appeal.

    (3) The Secretary shall, within two days of receipt of the answer under subrule (1), serve the answer on the appellant.

    (4) An appellant may, within seven days of being served with an answer under this rule, file a reply with the Secretary.

8.    Scheduling conference

    (1) The Chairperson shall, within 14 days of the expiry of the period for filing a reply under rule 7, summon the parties to a scheduling conference by notice in Form IV set out in the First Schedule.

    (2) At the scheduling conference, the Chairperson shall—

    (a)    direct the parties to indicate—

        (i)    the number of witnesses each party intends to call; and

        (ii)    an estimate of the amount of time the hearing shall take;

    (b)    issue directions regarding—

        (i)    the filing of witness statements and lists of authorities; and

        (ii)    any other procedural step to be taken by each party prior to the hearing; and

    (c)    subject to rule 8(3), set a date for hearing the appeal.

    (3) The Chairperson may dismiss an appeal if the parties do not attend a scheduling conference on two consecutive occasions without justifiable cause.

9.    Status conference

    (1) The parties shall, at least 14 days before the date set for the hearing of an appeal, comply with the directions issued at the scheduling conference.

    (2) The Chairperson may summon the parties to a status conference for purposes of establishing the parties’ compliance with the directions issued at the scheduling conference.

    (3) The Chairperson may, where a party has not complied with directions issued at the scheduling conference, make an order which the Chairperson considers appropriate, including an order for costs against that party.

10.    Notice of hearing

The Secretary shall, after the scheduling conference and in consultation with the Chairperson, issue a notice of hearing in Form V set out in the First Schedule.

11.    Sittings of Tribunal

The Tribunal shall sit and hear matters at a place, time and in a manner determined by the Chairperson, in consultation with the members.

12.    Hearing

    (1) Subject to the Act and these Rules, the Tribunal shall regulate its own procedure and cause to be kept a record of its proceedings.

    (2) A sitting of the Tribunal shall be presided over by—

    (a)    the Chairperson; or

    (b)    in the absence of the Chairperson, a member elected by the members from among themselves.

    (3) Proceedings before the Tribunal shall be held in public unless, on an application by a party, the Tribunal directs that the proceedings or part of the proceedings be held in camera on conditions that the Tribunal may determine.

    (4) The validity of a process, proceeding, act or decision of the Tribunal shall not be affected by—

    (a)    a vacancy in the membership of the Tribunal;

    (b)    a defect in the appointment of a member; or

    (c)    reason that a person not entitled to do so took part in the process, proceeding, act or decision.

    (5) At the hearing of a matter the—

    (a)    appellant shall present evidence in support of the appellant’s case;

    (b)    the Energy Regulation Board may present evidence to rebut the evidence of the appellant; and

    (c)    the appellant may present evidence in reply to the evidence presented by the Energy Regulation Board.

    (6) At the conclusion of the hearing, the parties may make oral or written submissions within a period as the Tribunal, the Chairperson or the person presiding may direct.

    (7) The Tribunal may, where on the hearing of an appeal the appellant intends to introduce a ground of appeal which was not specified in the notice of appeal and the omission of that ground from the notice was, in the opinion of the Tribunal, not wilful or unreasonable, allow the appellant to introduce that ground.

    (8) The Tribunal shall, where the Tribunal allows an appellant to introduce a new ground of appeal under subrule (7), give the Energy Regulation Board an opportunity to respond to the new ground.

    (9) Except as specified in these Rules, the law relating to admissibility of evidence and procedures of a court shall not apply to proceedings before the Tribunal.

    (10) The standard of proof required to determine a question or issue before the Tribunal shall be that applicable to civil proceedings in a Court.

13.    Non-attendance at hearing

    (1) A matter may be struck out if the appellant, the appellant’s legal practitioner or other representative of the appellant does not attend a hearing of the matter.

    (2) An appellant may, within 14 days of a matter being struck out, apply to have the matter restored, failing which the Tribunal may dismiss the matter.

    (3) The Tribunal may, after hearing an application under subrule (2), order that the matter be restored.

    (4) The Tribunal may dismiss a matter if the—

    (a)    appellant does not attend a hearing on two consecutive dates of hearing; or

    (b)    matter is restored under subrule (3) and the appellant does not attend the next hearing.

    (5) Subject to rule 17, the Tribunal may hear or adjourn a matter on terms that the Tribunal considers necessary if the appellant attends the hearing but the Energy Regulation Board, despite having been notified of the hearing, does not attend.

14.    Determination of appeal on documents lodged

Despite rule 13, a party may, at least seven days before the date of hearing of an appeal, apply to the Tribunal to dispense with the attendance of the parties at the hearing, and for the Tribunal to determine the appeal on the basis of the documents lodged by the parties.

15.    Electronic hearing

    (1) A party may, at least seven days before the date of hearing, apply to the Tribunal to hold the hearing by electronic means in Form VI set out in the First Schedule on payment of a fee set out in the Second Schedule.

    (2) The Tribunal shall, where the Tribunal grants an application under subrule (1), give directions relating to the time and mode of the hearing.

16.    Notice to produce document or other information

    (1) A party may, at any time before or during the hearing of an appeal, file a notice to produce a document or other information relating to the appeal which is in the possession of the other party.

    (2) A party that files a notice referred to under subrule (1) shall serve the notice on the other party within five days of filing that notice.

    (3) A notice to produce a document or other information shall be in Form VII set out in the First Schedule.

17.    Adjournments

    (1) Subject to subrule (2), the Tribunal may, on an application by a party or at the instance of the Tribunal, adjourn a hearing on terms that the Tribunal considers just.

    (2) An application for an adjournment shall not be granted except in compelling and exceptional circumstances.

    (3) The Secretary shall, where the Tribunal adjourns a hearing, notify the parties of the new date of hearing in Form V set out in the First Schedule.

18.    Interlocutory applications

    (1) An interlocutory application shall be made to the Tribunal.

    (2) A party shall, where a party intends to make an interlocutory application, file with the Secretary summons in Form VIII set out in the First Schedule and an affidavit in support of the interlocutory application in Form IX set out in the First Schedule, on payment of a fee set out in the Second Schedule.

    (3) A party may, within five days of being served with an interlocutory application, oppose the application by lodging an affidavit in opposition on payment of a fee set out in the Second Schedule.

    (4) The Secretary shall, within five days of lodging an interlocutory application or an affidavit in opposition by a party under this rule, serve the application or the affidavit in opposition on the other party.

    (5) The Tribunal may, where an application is made under this rule—

    (a)    dismiss the application if the Tribunal is of the opinion that the application is frivolous or vexatious;

    (b)    set a date for hearing the parties on the application; or

    (c)    make an order granting the application and set a date for hearing the parties on the application, after which hearing the Tribunal may confirm, vary or discharge the order.

    (6) A party that intends to withdraw an interlocutory application made under this rule may file a notice of withdrawal of proceedings in Form X set out in the First Schedule—

    (a)    at anytime before the hearing of the application; or

    (b)    during the hearing of the application, with the consent of the Tribunal.

19.    Amendment of documents

    (1) A party may, at any stage of the proceedings and prior to the determination of an appeal or an application, apply to the Tribunal for an order to amend a document filed by that party.

    (2) A party granted an application made under subrule (1) shall, within seven days from the date of receipt of the order, file and serve the amended document on the other party.

    (3) A party affected by an amendment made under this rule may, within seven days of being served with the amended document—

    (a)    amend and file that party’s relevant documents;

    (b)    serve the documents referred to under paragraph (a) on the other party.

20.    Summoning of persons before Tribunal

    (1) The Tribunal may, at any stage of the proceedings, by summons in Form XI set out in the First Schedule, direct a person to—

    (a)    attend before the Tribunal in respect of the matter before the Tribunal, at the time and place specified in the summons;

    (b)    give evidence in the proceedings; or

    (c)    produce a document or other thing in that person’s possession or control as specified in the summons.

    (2) The obligation on a witness summoned in accordance with subrule (1) to attend proceedings extends to any time and place to which the proceedings are adjourned to.

    (3) A summons for the attendance of a witness or for the production of a document or other thing shall be signed by the Chairperson and served in the same manner as a subpoena for the attendance of a witness in a civil matter before a court.

21.    Evidence

    (1) The Tribunal may receive a witness statement, document or other thing as evidence which, in the opinion of the Tribunal, may assist in effectively determining a matter before the Tribunal.

    (2) The Tribunal may receive oral evidence from a witness within, or outside, the Republic through—

    (a)    audiovisual technology and that evidence shall be recorded in the same manner as if the witness were physically present at the hearing; or

    (b)    any other means as may be determined by the Tribunal.

    (3) The Tribunal may take judicial notice of a fact.

    (4) A person summoned to give evidence is entitled to the same privileges and immunities as those enjoyed by a person called or summoned to give evidence in civil proceedings before a court.

22.    Witness statement

    (1) A witness statement shall—

    (a)    be expressed by, stating—

        (i)    the full name of the person making the statement;

        (ii)    place of residence of the person making the statement or, if made in a professional, business or other occupational capacity, the position of that person, the address of the place of business and the name of the firm or employer; and

        (iii)    the occupation or description of occupation of the person making the statement;

    (b)    be written in clear narrative form;

    (c)    contain all the facts relevant to the matter for determination by the Tribunal;

    (d)    make reference to the documents relied on by the person making the statement;

    (e)    state that the contents of the witness statement are true to the best of the knowledge and belief of the person making that witness statement;

    (f)    be treated, on production, as the evidence in chief of the person by whom the statement is made, who shall be amenable to cross-examination; and

    (g)    be signed by the person making the statement.

    (2) Dates, sums or other numbers in a witness statement shall be expressed in figures and not words.

    (3) A witness statement under this rule shall not be required to be authenticated under the Authentication of Documents Act*.

23.    Assessors and experts

    (1) An assessor or expert appointed by the Tribunal shall be suitably qualified to provide the Tribunal with expert information or advice relevant in assisting the Tribunal to determine an appeal.

    (2) An assessor or expert referred to in subrule (1) shall be paid an allowance as determined by the Emoluments Commission.

24.    Decision of Tribunal

    (1) A decision of the Tribunal may be delivered by a member who presided over the proceedings.

    (2) The Tribunal may dispose of an appeal by—

    (a)    confirming, varying or setting aside a decision of the Energy Regulation Board and substituting that decision with one which the Tribunal considers appropriate;

    (b)    remitting the matter which is the subject of the appeal to the Energy Regulation Board with directions which the Tribunal considers appropriate; or

    (c)    making any other order which the Tribunal considers appropriate.

    (3) Where the Tribunal varies or substitutes a decision of the Energy Regulation Board in accordance with subrule (2), the decision as varied or substituted shall be the decision of the Minister made on appeal.

    (4) The Tribunal shall deliver its decision within 14 days of the conclusion of the hearing of an appeal.

    (5) A decision or order of the Tribunal shall be signed by the members who sat to hear the matter.

    (6) The Secretary shall communicate a decision of the Tribunal by serving a copy of the decision on each party to the proceedings and on every person affected by the decision.

    (7) A decision of the Tribunal shall be enforced as if it were a decision of a court.

25.    Appeals to High Court

An appeal to the High Court against a decision of the Tribunal shall be instituted in accordance with the rules of procedure applicable to the High Court.

PART III
GENERAL PROVISIONS

26.    Practice and procedure

    (1) The jurisdiction vested in the Tribunal shall, as regards practice and procedure, be exercised in accordance with the Act, these Rules or other written laws.

    (2) The practice and procedure applicable in the High Court shall apply, with the necessary modifications, where the Act, these Rules or other written laws do not provide for the manner in which the Tribunal may exercise its jurisdiction relating to practice and procedure.

27.    Withdrawal of proceedings

    (1) An appellant may withdraw an appeal at any time before the hearing of the appeal or, with the consent of the Tribunal, during the hearing of the appeal but before final determination of the appeal.

    (2) An appellant who intends to withdraw an appeal shall lodge with the Secretary a notice of withdrawal in Form X set out in the First Schedule on payment of a fee set out in the Second Schedule.

    (3) The Tribunal may order a party who withdraws an appeal in accordance with this rule to pay costs to the other party.

28.    Withdrawal of legal practitioner

A legal practitioner who withdraws from representing a party shall file a notice of withdrawal stating the last known contact details of the party and serve the notice on the other party within five days of filing the notice.

29.    Service of process

    (1) A document required to be served under these Rules shall be served by physically delivering the document to the person to whom the document is addressed.

    (2) Despite subrule (1), the Tribunal may, where the Tribunal considers that it is impracticable to effect service of a document in accordance with subrule (1), permit service to be effected by—

    (a)    sending the document to the electronic mail address provided by the person to whom that document is addressed;

    (b)    registered post to the postal address provided by the person to whom that document is addressed; or

    (c)    advertising the document in a daily newspaper of general circulation in the Republic.

30.    Appeal not to operate as stay

An appeal against a decision of the Energy Regulation Board or the Tribunal shall not operate as a stay.

31.    Language

    (1) A document to be filed under these Rules shall be in the English language.

    (2) Despite subrule (1), where a document referred to in subrule (1) is in a language other than English, the document shall be accompanied by a certified translated version.

32.    Number of copies to lodge

A person filing a document required to be filed under these Rules shall, unless otherwise provided in these Rules, lodge a minimum of nine copies of the document.

33.    Proceedings to be judicial proceedings

A proceeding before the Tribunal shall for all purposes, and in particular for the purposes of Chapter XI of the Penal Code*, be a judicial proceeding.

34.    Consent order

    (1) Where parties agree on the terms of an order to be made by the Tribunal, the particulars of the terms agreed on shall be in writing and signed by the parties, their legal representatives or agents.

    (2) The parties shall send the terms agreed on in accordance with subrule (1) to the Secretary, and the Tribunal may, in the absence of the parties, make an order in accordance with those terms.

35.    Extension and abridgement of time

    (1) The Tribunal may, on an application by a party, extend the time within which to file a document, other than an appeal, or to take any other step in the proceedings.

    (2) An application to extend the time under this rule shall—

    (a)    state the grounds for seeking an extension; and

    (b)    be made before the expiration of the time fixed by these Rules.

    (3) The parties may, by consent, abridge the time for making an application or for taking a step in, or in connection with, the proceedings.

    (4) Where the parties fail to consent to abridge time under subrule (3), a party may apply to the Tribunal to abridge the time.

36.    Correction of clerical errors, accidental slips or omissions

    (1) The Tribunal may, at any time, correct a clerical error arising from an accidental slip or omission made in a decision of the Tribunal.

    (2) Where a correction is made under subrule (1), the Tribunal shall cause to be—

    (a)    altered, in the appropriate register, an entry which is affected by the correction; and

    (b)    sent to the parties a copy of the decision as corrected.

37.    Joinder and misjoinder

    (1) The Tribunal may, at the instance of the Tribunal or on an application by a party or a person likely to be affected by a decision of the Tribunal, join a person to the proceedings.

    (2) A person that has been wrongly joined to the proceedings before the Tribunal may apply to be removed as a party.

38.    Signing of documents

A summons, notice or other document issued by the Tribunal shall be signed by the Chairperson or, where the Tribunal so directs, by the Secretary.

39.    Inspection of property

    (1) Subject to this rule, the Tribunal may, on an application by a party or at the instance of the Tribunal enter on, and inspect, property which is the subject of the proceedings at reasonable times.

    (2) The Tribunal shall give the parties at least twenty-four hours notice of the Tribunal’s intention to enter on and inspect property referred to in subrule (1).

    (3) A party may attend an inspection under this rule in person or be represented by a legal practitioner.

    (4) An inspection under this rule shall not be rendered invalid by the non-attendance of a party who has been notified of the inspection in accordance with subrule (2).

40.    Database of appeals

    (1) The Secretary shall keep and maintain a database of appeals heard by the Tribunal, together with all correspondence regarding appeals, decisions or settlements, under relevant dates.

    (2) The database referred to in subrule (1) shall be in the form of a document management system which—

    (a)    tracks and monitors appeals and applications brought before the Tribunal; and

    (b)    maintains an auditable trail of every decision of the Tribunal.

    (3) Subject to subrule (4), a person may, during normal working hours, search the database kept and maintained under this Rule.

    (4) The Secretary may restrict a search on a matter in respect of which the hearing was held in camera.

    (5) A request for a search under this rule shall be in Form XII set out in the First Schedule.

41.    Taxation of costs

    (1) A party may, within 60 days of an order for costs, apply to the Tribunal for taxation of the costs.

    (2) Subject to the Act and these Rules, the practice and procedure applicable in the High Court in relation to taxation of costs shall apply to taxation of costs by the Tribunal.

    (3) The Tribunal shall, in taxing a bill of costs, apply the scale of fees for the time being applicable in the High Court.

    (4) The Chairperson shall, on payment of the taxing fee set out in the Second Schedule, sign the Certificate of Taxation.

42.    Fees

The fees payable for matters provided for in these Rules are set out in the Second Schedule.

43.    Non-compliance with rules

Where a party does not comply with these Rules, the Tribunal may, after giving the parties an opportunity to be heard, make an order that may be appropriate for the purpose of expediting or disposing of the proceedings.

FIRST SCHEDULE

[Rules 4, 5, 7, 8, 10, 15, 16, 17, 18, 20, 27 and 40]

PRESCRIBED FORMS

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form I

[Rule 4]

(To be completed in duplicate)

GENERAL TITLE OF PROCEEDINGS

IN THE ENERGY REGULATION (APPEALS TRIBUNAL)

HELD AT …………………………………………………………………………………………………………

BETWEEN

……………………………………………………………………………………………………………………

APPELLANT

AND

……………………………………………………………………………………………………………………

RESPONDENT

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form II

[Rule 5(1)]

(To be completed in duplicate)

(Insert title of proceedings)

NOTICE OF APPEAL

To:             The Minister

                The Energy Regulation (Appeals Tribunal)

                Lusaka

I, ……………………………………………………… do hereby appeal to the Minister against a decision made by the Energy Regulation Board, as follows:

DETAILS OF APPELLANT AND SUBJECT MATTER

1.    Name of appellant

2.    Date of Energy Regulation Board decision and subject reference …………………………………

3.    Appellant’s contact information ………………………………………………………………………...

4.    Brief summary of appeal, including reference to a licence or permit, if applicable

…………………………………………………………………………………………………………………

5.    List of documents provided by Appellant ………………………………………………………………

6.    Date appeal lodged ………………………………………………………………………………………

7.    Means of communication to be used to communicate with Appellant:

…………………………………………………………………………………………………………………

8.    Contact information including telephone, email and postal Address of Appellant:

…………………………………………………………………………………………………………………

9.    Other necessary information:

…………………………………………………………………………………………………………………

LODGEMENT REQUIREMENTS

1.    Decision appealed against:    Yes         No

2.    Statement of Facts:             Yes         No

3.    Any other information required:

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………

Signature of Appellant

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form III

[Rule 7(1)]

(To be completed in duplicate)

(Insert title of proceedings)

ANSWER

May it please the Honourable Tribunal

The Respondent above named begs to submit the Respondent’s answer to the appeal as follows (herein set out in numbered paragraphs the Respondents answer):

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

Date: ……………………………………

Signature: ………………………………

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form IV

[Rule 8(1)]

(To be completed in duplicate)

(Insert title of proceedings)

NOTICE OF SCHEDULING CONFERENCE

TAKE NOTICE THAT ……………………………………………………… shall be held on the ……………………………… day of ……………………… 20……… at ……… hours in the ....... noon at ........... (here insert place)

....................................................
Chairperson

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form V

[Rules 10 and 17(3)]

(To be completed in duplicate)

(Insert title of proceedings)

NOTICE OF HEARING

Sir/Madam,

On behalf of the Chairperson of the Appeals Tribunal notice is hereby given to you that an appeal made to the Minister will be heard at ……………………… (place) on the ………… day of …………………… 20 ……… at ……… hours.

Appeal: (set out briefly the facts alleged)

Attachments: (attach notice of appeal and other documents and information)

You are hereby invited to attend the Appeals Tribunal and also to appear before the Appeals Tribunal at the place and time specified above.

You may appear in person or by a legal practitioner, or by an officer or agent of your choice. Any answer, admission, or other statement or communication, which you may desire to make with respect to the said appeal, should be addressed to the Secretary.

If you desire to make an application that the hearing be postponed, you should send the application to the Secretary as soon as may be, stating the grounds on which you desire a postponement. Such an application shall be considered by the Appeals Tribunal in accordance with the Energy Regulation (Appeals Tribunal) Rules, 2022.

Issued by the Secretary

........................................
Signature

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form VI

[Rule 15]

(To be completed in duplicate)

(Insert title of proceedings)

APPLICATION TO HOLD HEARING ELECTRONICALLY

I, ........................... (*Appellant/Respondent), seek leave of the Appeals Tribunal that the hearing set for the ........................... day of .................. 20......... of be held electronically for the following reasons:

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………

......................................
Signature

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form VII

[Rule 16(3)]

(To be completed in duplicate)

(Insert title of proceedings)

NOTICE TO PRODUCE DOCUMENT OR OTHER INFORMATION

TAKE NOTICE that you are required to lodge with the Appeals Tribunal the following documents or other information which, in the opinion of the Appeals Tribunal, is in your possession or under your control on or before the .................. day of .................., 20.....

Given under my hand and the seal of the Appeals Tribunal this ............ day of .............., 20.....

.....................................
Chairperson

To: .............................................. whose address(es) for service is or are:

Physical address: .....................................................................................................

Electronic mail address: ............................................................................................

Postal address: ........................................................................................................

Telephone/Mobile Phone Number: ..............................................................................

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form VIII

[Rule 18(2)]

(To be completed in duplicate)

(Insert title of proceedings)

SUMMONS (FOR USE IN INTERLOCUTORY APPLICATION)

LET the *party/parties concerned attend ……………………………………………… (state whether physically or virtually) before the *Appeals Tribunal/Chairperson on the ………… day of ……………………… 20………… at ……… hours in the noon on the hearing of an application on the part of the *Appellant/Respondent for an order that ……………………… and that costs of the application be ………………………

Dated at ……………………… this ……… day of ……………...…… 20.…

This Summons was taken out by ………………...… whose address(es) of service is or are:

    1.    Physical address: …………………………………………………………..

    2.    Electronic mail address: ……………………………………………………

    3.    Postal address: ………………………………………………………………

    4.    Telephone/Mobile Phone Number: …………………………………………

To:     ............................................................................................ whose address(es) for service is or are:

    1.    Physical address: : …………………………………………………………

    2.    Electronic mail address: ……………………………………………………

    3.    Postal address: .……………………………………………………………..

    4.    Telephone/Mobile Phone Number: …………………………………………

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form IX

[Rule 18(2)]

(To be completed in duplicate)

(Insert title of proceedings)

AFFIDAVIT (GENERAL)

I, …………………………………, of ………………………………… (address) hereby make oath and say as follows:

1.    That I am ………………………………………… (insert profession)

2.    That ……………………………………………………………………………………………………......
    (insert all the relevant facts relating to the appeal)

3.    That ……………………………………………………………………………………………………......

Sworn by the said: …………………………………………)

At …………………………………………................……)         ............................. Signature

on the ……………… day of …………………… 20……)

Before me: .........................................................................
Commissioner for Oaths

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form X

[Rules 18(6) and 27(2)]

(To be completed in duplicate)

(Insert title of proceedings)

NOTICE OF WITHDRAWAL OF PROCEEDINGS

TAKE NOTICE THAT the ')">*Appellant/Applicant ……………………………………………… (name) discontinues further proceedings in this ')">*appeal/interlocutory application, or such part thereof as relates to (set out part to which withdrawal relates).

Dated this ………… day of ……………… 20….

This notice has been filed by the *Appellant/Applicant or their Advocate, whose address(es) for service is or are:

    1.    Physical address: …………………………………………………………………………………………

    2.    Electronic mail address: …………………………………………………………………………………

    3.    Postal address: ……………………………………………………………………………………………

    4.    Telephone/Mobile Phone Number: ………………………………………………………………………

To:    The Minister

        Ministry of Energy

        Lusaka

The ')">*Appellant/Applicant or their Advocate, whose address(es) for service is or are:

    1.    Physical address: …………………………………………………………………………………………

    2.    Electronic mail address: …………………………………………………………………………………

    3.    Postal address: ……………………………………………………………………………………………

    4.    Telephone/Mobile Phone Number: ………………………………………………………………………

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form XI

[Rule 20(1)]

(To be completed in duplicate)

(Insert title of proceedings)

SUMMONS TO APPEAR BEFORE TRIBUNAL

To:     …………...............…………...............

        …………...............…………...............

        …………...............…………...............

(Name of person or witness summoned and address)

YOU ARE HEREBY SUMMONED to appear at ……………………………… (Place) on …………………………… (day of the week), the ……………………………… day of ………… 20…… at …………………… hours in the ………… noon before the Appeals Tribunal convened under the Energy Regulation Act, 2019, to give evidence in respect of an appeal to the Minister against a decision of the Energy Regulation Board (if the person summoned is to produce any book, record, document or thing, add) and you are required to bring or submit the following documents and information: ……………………………………………………………......................…

(Specify the book, record, document or other information required)

Issued by the Secretary to the Tribunal

Signature: ………………………………

The Energy Regulation Act, 2019

(Act No. 12 of 2019)

The Energy Regulation (Appeals Tribunal) Rules, 2023

Form XII

[Rule 40(5)]

(To be completed in duplicate)

(insert title of proceedings)

SEARCH FORM

SEARCH for: ………………………………………………..........................………………………

Dated at ………....…………… the …………… day of ………………… 20……

                                                        Signed: ……………………………..

                                                        Address: ……………………………

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

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

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

Capacity in which search conducted:

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

SECOND SCHEDULE

[Rules 5, 7, 15, 18, 27, 41 and 42]

FEES