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LEGAL ACTS OF THE REPUBLIC OF LATVIA
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The translation of this document is outdated.
Translation validity: 01.01.2018.–14.04.2019.
Amendments not included: 07.03.2019.

Text consolidated by Valsts valodas centrs (State Language Centre) with amending decisions of:

22 December 2016 [shall come into force from 28 December 2016];
21 December 2017 [shall come into force from 1 January 2018].

If a whole or part of a paragraph has been amended, the date of the amending regulation appears in square brackets at the end of the paragraph. If a whole paragraph or sub-paragraph has been deleted, the date of the deletion appears in square brackets beside the deleted paragraph or sub-paragraph.

Decision No. 1/14 of the Board of the Public Utilities Commission

Adopted 23 October 2014

Regulations Regarding the General Authorisation, Registration and Submission of Information in the Water Management Sector

[21 December 2017]

Issued pursuant to
Section 18.1, Paragraphs two and four,
and Section 25, Paragraph one of the law
On Regulators of Public Utilities, and Section 5,
Paragraph three, Clause 1 of the Law
on Water Management Services

[22 December 2016]

I. General Provision

1. The regulations regarding the general authorisation, registration and submission of information in the water management sector (hereinafter - the regulations) prescribe:

1.1. the requirements for the registration of the providers of water management services (hereinafter - the merchant);

1.2. the procedures by which the merchant shall send a registration notification or a notification on the termination of activities to the Public Utilities Commission (hereinafter - the regulator);

1.3. the information to be included in the registration notification and the notification on the termination of activities;

1.4. the information to be included in the Register of Merchants;

1.5. the procedures by which the merchant shall be excluded from the Register of Merchants and re-registered;

1.6. the procedures by which the regulator shall inform the submitter of a registration notification of the time period within which it will be registered, of the right to commence the provision of the public utility service, if a decision of the regulator to refuse to register the submitter of a registration notification has not been received within the prescribed period, and of the possibilities to appeal the respective decision of the regulator;

1.7. the provisions of the general authorisation to be complied with by the merchant in providing the water management services (hereinafter - the provisions of general authorisation);

1.8. the procedures by which the merchant shall submit information to the regulator, and also the content, amount and deadline of the information to be submitted.

[21 December 2017]

II. Registration Notification and Notification on the Termination of Activities

2. The merchant shall send to the regulator the registration notification which is drawn up in accordance with Annex 1.

3. The merchant shall submit to the regulator information regarding changes in the name, zone of activities thereof, and also in the rest of the information included in the Register of Merchants within 30 days after making the respective changes.

[22 December 2016]

4. If the merchant ceases to provide the water management services, it shall send a notification to the regulator on the termination of activities in accordance with Annex 2.

5. The merchant shall be liable for the veracity of the provided information.

6. The regulator has the right to request the merchant to clarify the information included in the registration notification and the notification on the termination of activities. The registration notification and the notification on the termination of activities shall be regarded as having been submitted on the day when the regulator has received all the necessary information.

[22 December 2016]

7. If the notification is submitted electronically, electronic copies of the documents supporting the notification shall be appended and attested with a safe electronic signature and time stamp in accordance with the laws and regulations regarding drawing up of electronic documents.

8. After receipt of the registration notification, the regulator shall send the following information to the e-mail address indicated by the merchant in the registration notification within five working days:

8.1. the time period within which the merchant will be registered with the Register;

8.2. the right to commence the provision of the public utility service, if the decision of the regulator to refuse to register the merchant with an indication of the possibility to appeal the decision has not been received within the specified period.

III. Register of Merchants

9. The regulator shall maintain and update the Register of Merchants on its website www.sprk.gov.lv, indicating the last date of updating the Register.

10. The following information shall be included in the Register of Merchants:

10.1. name;

10.2. unified registration number;

10.3. [22 December 2016];

10.4. amount of the provided water management service (m3 per year);

10.5. territory where the water management services are provided;

10.6. registration date;

10.7. if the merchant has been excluded from the Register of the Providers of Water Management Services, the date when the merchant was excluded from the Register.

IV. Procedures for Excluding the Merchant and Suspending Its Activities

11. The merchant shall notify the regulator of suspending activities of the merchant no later than 30 days in advance.

12. The merchant shall notify the regulator of the termination of the provision of the water management service no later than 90 days in advance.

13. The regulator shall exclude the merchant from the Register:

13.1. after receipt of a written notification from the merchant, if the merchant has paid the State fee for the regulation of public utility services and submitted to the regulator the information related to the calculation of the State fee;

13.2. if the merchant has been excluded from the Commercial Register;

13.3. if conditions demonstrating that the activities of the merchant must no longer be regulated in accordance with the law On Regulators of Public Utilities or other laws and regulations of the respective field have been found;

13.4. if the economic activity of the merchant has been suspended;

13.5. if the merchant has repeatedly violated the provisions of general authorisation.

[22 December 2016]

13.1 If the merchant at the moment of submitting the notification on the termination of its activities has not paid the State fee in accordance with the procedures specified in laws and regulations, the regulator shall take a decision in which it shall prescribe the merchant the obligation to pay the debt of the State fee. If the merchant does not comply with the decision of the regulator on the payment of the debt of the State fee, the regulator shall ensure the compliance with the decision of the regulator in accordance with laws and regulations.

[22 December 2016]

14. If the regulator finds a violation of the provisions of general authorisation in activities of the merchant, the regulator shall send a warning to the merchant in accordance with the procedures provided for in the Law on Notification, indicating therein the found violation, requesting the merchant to provide an explanation and determining a deadline by which the merchant must eliminate the found violation.

[22 December 2016]

15. If the merchant fails to eliminate the violation found by the regulator within the time period determined in the warning letter, the regulator shall initiate proceedings within the framework of an administrative violation case.

16. If the merchant fails to eliminate a similar violation committed repeatedly within a year (hereinafter - the repeat violation) within the time period determined in the warning letter of the regulator, the regulator shall:

16.1. initiate an administrative violation case;

16.2. send a warning letter to the merchant in accordance with the procedures provided for in the Law on Notification in which the found repeat violation is indicated, an obligation to eliminate the repeat violation is imposed and deadline by which the repeat violation must be eliminated is determined, and warn of the exclusion of the merchant from the Register.

[22 December 2016]

17. If the merchant fails to eliminate the found repeat violation within the period determined in the warning letter referred to in Sub-paragraph 16.2 of this Regulation, the regulator shall take a decision to exclude the merchant from the Register.

[22 December 2016]

18. For re-registration the merchant shall send a notification to the regulator in accordance with Paragraph 2 of these regulations.

19. The regulator shall make a note in the Register on the suspension of economic activities of the merchant on the basis of a mandatory requirement of the State Revenue Service, which has been sent to the regulator in accordance with the law On Taxes and Duties.

20. The regulator shall make a note in the Register on the suspension of activities of the merchant on the basis of an entry in the Commercial Register on the suspension of activities of the merchant.

V. Regulations Regarding the General Authorisation and Submission of Information

[21 December 2017]

21. The merchant has the right and an obligation to perform commercial activities in the provision of water management services in accordance with the law On Regulators of Public Utilities, special laws and regulations of the regulated field and the decisions of the regulator.

22. The merchant must provide and maintain the objects necessary for the provision of water management services.

23. The merchant must ensure continuous provision of the public utility service, conformity with the safety requirements of public utility services laid down in the regulated field, as well as the quality of public utility services in accordance with the law On Regulators of Public Utilities, and laws and regulations, technical regulations, standards and contractual provisions in the regulated field.

23.1 Upon a reasoned request of customers or other persons, the merchant shall ensure the provision of the public utility service in accordance with the procedures provided for in the laws and regulations, if the financial capacity of the merchant or the technical capacity of the objects or infrastructure allows it.

[21 December 2017]

24. The merchant shall inform the regulator on a regular basis regarding of activities and changes therein in accordance with laws and regulations and decisions of the regulator.

25. The merchant shall provide to the regulator information in accordance with the law On Regulators of Public Utilities, special laws and regulations in the regulated field, and decisions and requests of the regulator. The merchant shall submit information to the regulator in accordance with the procedures provided by it.

[21 December 2017]

25.1 Once in a calendar year, within two weeks after the time period laid down in the Law on the Annual Financial Statements and Consolidated Financial Statements for the submission of the annual financial statement to the State Revenue Service, the merchant shall submit to the regulator the report referred to in Annex 3 of this Regulation on the costs and revenue, amount of provided public utility services, characterisation of water supply and sewerage systems in the reporting year. The merchant shall submit information for each territory of operation of a tariff.

[21 December 2017]

26. The merchant shall provide the regulator with an opportunity to monitor the quality of the provision of the public utility service and conformity with the provisions of general authorisation. The merchant shall provide the regulator with information regarding the results of economic and financial activities of the merchant, as well as provide the regulator with access to performing inspections.

27. The merchant shall arrange separate accounting for each type of the public utility service in accordance with the special laws and regulations of the regulated field.

28. In case of force majeure circumstances, the merchant has an obligation to implement all measures necessary to continue to conform to and fulfil the provisions of general authorisation.

29. The merchant shall pay the State fee for the regulation of public utility services in the amount and in accordance with the procedures laid down in laws and regulations.

30. The merchant has the right to suspend, cease or terminate the provision of the public utility service in accordance with the procedures laid down in laws and regulations.

VI. Final Provisions

31. Merchants, which have a valid licence to provide water management services on the day of coming into force of these regulations, need not submit a registration notification. The regulator shall register such merchants with the Register of Merchants upon its own initiative.

32. These regulations shall come into force on the day following the publication thereof in the official gazette Latvijas Vēstnesis.

Acting in the capacity of the Chair of the Board of
the Public Utilities Commission, board member R. Irklis

 

Annex 1
Decision No. 1/14 of the Public Utilities Commission
Adopted 23 October 2014

[22 December 2016; 21 December 2017]

Notification on the Registration of the Provider of the Water Management Service

General information regarding the merchant

Name of the merchant: Unified registration number:
Given name, surname of person entitled to represent the merchant: Telephone, fax:
[X] Electronic mail address:

[X] I agree that the regulator shall send documents and notifications to the electronic mail address indicated in this registration notification, using the official electronic mail address of the regulator sprk@sprk.gov.lv, in accordance with Section 9, Paragraph two of the Law on Notification, and they shall be deemed as notified on the second working day after sending thereof. The regulator and the merchant may also use other means of notification specified in the Law on Notification in their mutual communication.

I am informed that the information regarding the State fee calculated for the regulation of the public utility service must be submitted to the regulator in accordance with the procedures and within the time period specified by it not later than within 30 days after registration of the merchant in the Register.

Please register
(name of the merchant)

for the provision of public service - provision of water management services.

Information regarding provision of water management services

1. Public water management services:
1.1. abstraction, accumulation and preparation of water for use up to the supply into the centralised water supply network;
1.2. supply of water from the supply point in the centralised water supply network up to the proprietary border;
1.3. wastewater collection in the centralised sewerage systems from the proprietary border and drainage up to wastewater treatment facilities;
1.4. wastewater treatment and drainage in the environment, including in surface waterbodies
 
2. Planned quantity of abstracted water and planned quantity of water supplied to customers (m3 per year)  
3. Planned quantity of wastewater collected from customers and planned total quantity of treated wastewater (m3 per year)  
4. Territory for the provision of water supply services  
5. Territory for the provision of wastewater services  
6. Agreement on the provision of public water management services entered into with a local government (indicate the local government, type of water management services, service area and duration of the agreement)  
7. Number, date of issuance, and term of the permit for the use of water resources or for the performance of polluting activity of the State Environmental Service  

I hereby confirm that the merchant has in its the ownership or use the fixed assets which may ensure the continuity and quality of the provision of registered water management services in accordance with the requirements of laws and regulations.

I hereby confirm that the information provided is true.

Date ____ ____ _____________________

Person entitled to represent the merchant  
  /signature and full name thereof/

 

Annex 2
Decision No. 1/14 of the Public Utilities Commission
Adopted 23 October 2014

[22 December 2016; 21 December 2017]

Notification on Termination of Activities

Name of the merchant: Unified registration number:
Given name, surname of person entitled to represent the merchant:
[X] Electronic mail address: Telephone, fax:

[X] I agree that the regulator shall send documents and notifications to the electronic mail address indicated in this notification on the termination of activities, using the official electronic mail address of the regulator sprk@sprk.gov.lv, in accordance with Section 9, Paragraph two of the Law on Notification, and they shall be deemed as notified on the second working day after their sending. The regulator and the merchant may also use other means of notification specified in the Law on Notification in their mutual communication.

Please exclude
(name of the merchant)

from the Register of Providers of Water Management Services from ____ __________ ____*

Indicate the grounds for exclusion**  

State fee in the amount of EUR _______ for the regulation of public utility services in _____ [year] has been paid on ___ ______ ____________ [date].

I hereby acknowledge that the respective local government(s) is (are) informed.

Date ____ ____ _____________________

Person entitled to represent the merchant  
  /signature and full name thereof/

Notes:

* - if the merchant has indicated a date before which the regulator may exclude the merchant from the Register, the regulator shall exclude the merchant from the Register on the date indicated by the regulator, indicating it in the Register.

** - need not be indicated, if the merchant is excluded from the Commercial Register. In cases when the merchant ceases to provide the water management services, indicate the merchant which will provide this service.

 

Annex 3
Decision No. 1/14 of the Public Utilities Commission
Adopted 23 October 2014

[21 December 2017]

Name of the merchant
Unified registration number
Reporting period
Territory of operation of the tariff on water supply services
Territory of operation of the tariff on sewerage services
Regulated sector: water management

Report on the costs and revenue of the provided public utility services, amount of the provided services and characterisation of water supply and sewerage systems [1] [2]

1. Costs and revenue

Table 1

No.

Indicators

Water supply services in the reporting year

Sewerage services in the reporting year

1 2 3 4
1. Revenue from the water management services provided within the territory of operation of the tariff    
2. Costs, EUR (grouped based on the methodology for the calculation of tariffs for the water management services), including:    
2.1. depreciation of fixed assets and the book value of written-off intangible investments    
2.2. staff costs    
2.3. costs of maintenance and repairs of fixed assets    
2.4. other costs of economic activity, including explanations of all cost items in accordance with the methodology for the calculation of tariffs for the water management services    
2.4.1.    
2.4.2.    
2.5. tax payments    
2.6. credit interest payments and repayment of the principal sum    
2.7. revenue by which the costs should be reduced in accordance with the methodology    
3. Costs per m3    
4. Payments received within the reporting year for the provided public water management services  
5. Value of the regulatory asset base (RAB) [3], including:    
5.1. RAB at the start of the reporting year, EUR    
5.2. RAB at the end of the reporting year, EUR    
6. Full depreciation of fixed assets and the book value of written-off intangible investments to be attributed to the tariff [4], EUR    
7. Total investments made in the water management infrastructure, EUR, including:    
7.1. merchant's own resources, EUR    
7.2. borrowed funds, EUR    
7.3. co-financing of the European Union, State or local government, EUR    
7.4. other sources (indicate), EUR    

2. Characterisation of water supply systems and amounts of services in the reporting year

Table 2

No.

Name

Indicators characterising the separated water supply system

1. Location of the separated water supply system (name of the territory)        
2. Length of the water supply engineering networks in km as of 31 December of the reporting year, including:        
2.1. length of the water supply engineering networks installed and rebuilt since 2000, km        
3. Number of connections (water entries) as of 31 December of the reporting year        
4. Electricity consumption in the relevant water supply system in kWh in the reporting year        
5. Water taken from the natural water sources (water abstracted by the merchant), amount in the reporting year, m3        
6. Own abstracted water supplied into the centralised water supply engineering network, amount in the reporting year, m3        
7. Prepared water purchased from other providers of water management services which is supplied into the centralised water supply engineering network, amount in the reporting year, m3        
8. The provider of water management services from which water is purchased in the reporting year        
9. Water supplied to customers, amount in the reporting year, m3        
10. Number of accidents in water supply engineering networks [5]        
           
Characterisation of the connected water supply systems [6]:

3. Characterisation of sewerage systems and amounts of services in the reporting year

Table 3

No.

Name

Indicators characterising the separated sewerage system

1. Location of the separated sewerage system (name of the territory)        
2. Length of the gravity sewerage engineering networks in km as of 31 December of the reporting year, including:        
2.1. length of the gravity sewerage engineering networks installed and rebuilt since 2000, km        
3. Length of the sewerage pressure lines in km as of 31 December of the reporting year, including:        
3.1. length of the sewerage pressure lines installed and rebuilt since 2000, km        
4. Number of connections (wastewater lead-outs) as of 31 December of the reporting year        
5. Electricity consumption in the relevant sewerage system, kWh in the reporting year        
6. Wastewater collected from customers, amount in the reporting year, m3        
7. Wastewater treated in the wastewater treatment facilities of the merchant, amount in the reporting year, m3        
8. Wastewater transferred for treatment to other providers of sewerage services, amount in the reporting year, m3        
9. The provider of sewerage services to which wastewater is transferred for treatment in the reporting year        
10. Number of accidents in sewerage engineering networks [5]        
11. Number of accidents in sewerage pumping stations [5]        
           
Characterisation of the connected sewerage systems [6]:

If, by comparing with the information included in the applicable tariff and report of the previous year, the total costs of the water management services have changed by more than 10 % or the amounts of water management services have changed by more than 10 %, and the number of connections and lengths of water management engineering networks have changed by more than 10 % in comparison with that indicated in the report of the previous year, significant changes in the technological process have occurred, economic activity has been terminated or new economic activity has been commenced, the explanation must include justification of such changes.

Explanations:

[1] Information regarding the reporting year shall be prepared in accordance with the methodology for the calculation of tariffs for the water management services issued by the Public Utilities Commission.

[2] According to Paragraph 25.1, the information of the report shall be collected individually for each territory of operation of a tariff.

[3] Indicate when the applicable tariff has been calculated by including the return on capital in costs.

[4] Including the part of the depreciation of fixed assets which is being reduced in accordance with the requirements of the methodology for the calculation of tariffs for the water management services.

[5] Number of accidents within the water management engineering networks in the reporting year - number of ruptures and other significant damages of the water supply engineering networks found in the reporting year.

Number of accidents within the sewerage engineering networks in the reporting year - number of ruptures, blockages, cave ins and other significant damages of the gravity sewerage engineering networks and sewerage pressure lines.

Number of accidents within the sewerage pumping stations in the reporting year - number of significant damages found within the sewerage pumping stations in the reporting year that have caused malfunction of pumping stations, except for the electricity supply interruptions.

[6] Indicate whether any of the systems characterised in Table 2 or 3 of the report provides centralised water management services in several populated areas (names of the populated areas must be indicated), or whether any of the individually characterised systems is connected with another individually characterised system. In case of an individually characterised, but connected systems, to explain in which system the water production / wastewater treatment facilities are located.

Date ____ ____ ________________

Person entitled to represent the merchant    
  /signature and full name thereof/  
/given name, surname of the person who prepared the document/
Telephone    
e-mail  

 


Translation © 2018 Valsts valodas centrs (State Language Centre)

 
Document information
Status:
In force
in force
Issuer: Public Utilities Commission Type: decision Document number: 1/14Adoption: 23.10.2014.Entry into force: 28.10.2014.Publication: Latvijas Vēstnesis, 212, 27.10.2014. OP number: 2014/212.7
Language:
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