energy regulatory commission citizen's...2019 (1st edition) energy regulatory commission 3 i....

CITIZEN’S CHARTER 2019 (1

st Edition)

ENERGY REGULATORY COMMISSION

2

CITIZEN’S CHARTER 2019 (1

st Edition)

ENERGY REGULATORY COMMISSION

3

I. MANDATE

Section 38 of the Republic Act No. 9136, otherwise known as the EPIRA, created the ERC as an independent, quasi-judicial regulatory body, thereby abolishing the Energy Regulatory Board, created under Executive Order No. 172. Under Section 43 of the EPIRA, the ERC is tasked to promote competition, encourage market development, ensure customer choice and penalize abuse of market power in the electricity industry. To carry out this undertaking, the ERC shall promulgate necessary rules and regulations, including Competition Rules, and impose fines or penalties for any non-compliance with or breach of the EPIRA, the Implementing Rules and Regulations of the EPIRA, and other rules and regulations which it promulgates or administers as well as other laws it is tasked to implement/enforce.

II. VISION

A world class and independent electric power industry regulator that equitably promotes and protects the interests of consumers and other stakeholders, to enable the delivery of long-term benefits that contribute to sustained economic growth and an improved quality of life.

III. MISSION

The ERC is committed to promote free and fair competition and ensure reasonable rates through the exercise of prudent and equitable judgment.

The ERC shall provide the industry with ample opportunities to manage risks and challenges through coordination, consultation and enforcement.

The ERC shall protect the rights of consumers, balance the interests of all stakeholders, and nurture the personal and professional aspirations of its employees.

IV. SERVICE PLEDGE We commit to: Attend to all applicants or requesting parties who are within the

premises of the agency prior to the end of official working hours and during lunch break.

4

V. LIST OF SERVICE

Central/Head Office

External Services

1. Acceptance Testing 7

2. Elevated Metering Center Approval 21

3. Field Testing of Meters and Instrument Transformers (Consumer Request/DU Request/CSD Endorsed)

29

4. Issuance for Certificate of Compliance (COC) 43

5. Issuance for Retail Electricity Supplier (RES) License

63

6. Issuance of Certified Copies of Documents 69

7. Laboratory Testing of Meters and Instrument Transformers (Walk-In Consumers)

71

8. Meter Shop Accreditation 75

9. Meter Type Approval 85

10. Processing/Acceptance of Pre-filing/Filing/ Submission of Applications

91

11. Processing/ Acceptance of Applications 160

12. Procedures in Collecting Payments 163

13. Receiving of Consumer Complaints against Electric Distribution Utilities and Other Providers of Electric Power

166

14. Receiving of Verified (Formal) Complaints Against Electric Distribution Utilities and Other Providers of Electric Power

170

15. Receiving of Initiatory Pleadings (i.e. applications, petitions, verified complaints)

173

16. Receiving of Subsequent Pleadings and Letters/Correspondences with Assigned Case Numbers

175

5

Central/Head Office

External Services

17. Receiving of Letters/Correspondences Not Relating to Any Case Filed Before the ERC

176

18. Validation of In-Service Meter Sampling Results

177

6

CENTRAL OFFICE

External Services

7

VI. SERVICE SPECIFICATIONS

1. Acceptance Testing Every new and reconditioned or repaired meter before they are put into service should first pass the acceptance test of the ERC using ANSI Z1.4-1993, “Sampling Procedures and Tables for Inspection by Attributes”.

Office or Division: Meter Division

Classification: Highly Technical

Type of Transaction: Government-to-Business(G2B)

Who may avail: Distribution Utility (DU) owned Meter Shop

Third Party Test Facilities (TPTF)

Checklist of Requirements Where to Secure

E-mail sent to [email protected] or

Client/Requestor

(Meter Shops must use the prescribed form posted at the ERC website (www.erc.gov.ph) and submit the request at least five (5) working days before the preferred date of testing).

Personally delivered letter-requests (2 copies)

Statement of Account SOA (4 copies)

Consumer Affairs Service (CAS) Meter Division

Official Receipt (OR) Finance and Administrative Service (FAS)-Billing and Cashier Sections

Client Steps Agency Action Fees to be Paid per

Step

Processing Time

Person Responsible

1. Requests from DU owned Meter Shop and third party facilities (TPTF) thru e-mail or letter submission to CRD for official receiving and recording.

1. Attend requests from DU owned Meter Shop and third party facilities (TPTF) received

None Sixteen (16) minutes

CAS Personnel

1.1 Requests sent to [email protected] are printed by the Reception Personnel and

Four (4) minutes

mailto:[email protected]

http://www.erc.gov.og/



8


Step

Processing Time

Person Responsible

forwarded to CRD

1.2 Personally delivered letter-requests are directly received to the Central Record Division (CRD)

None CRD Reception Personnel

2. Customer proceed to Reception Personnel

2. Reception Personnel review the requests

None Three (3) minutes

CAS Reception Personnel

2.1 Assesses testing fee

Note: For DU owned Meter Shop requests, Acceptance Testing Fee is collected after field testing; For Third Party Test Facilities (TPTF), Acceptance Testing Fee is collected in advance

2.2 Accomplish Statement of Account (SOA) in the ERC electronic Billing and Revenue System (BRS)

2.3 Instructs the Customer to pay the assessed testing fee

9


Step

Processing Time

Person Responsible

3. Customer to proceeds to the FAS-Billing Section

3. Assigned SOA Number, print and hand the SOA to the customer

None

Eight (8) minutes

processing time for agency

actions 3 and 4

FAS-Billing Section

Personnel

4. Customer pay the assessed testing fee to the Cashier

4. Receives the payment of testing fee based on the FAS-Billing’s section numbered SOA presented by the customer

Resolution No. 12,

series of 2009

Table 6, Article 9

(See page no. 194)

FAS-Cashier

4.1 Engineer V endorses the request to Engineer III who will assign personnel to conduct the field testing then prepare Travel Authority (TA)/Travel Order (TO)/ Special Assignment (SA) for checking and initial by Engineer IV and V prior to CAS Director’s approval then CAS Clerk forwards approved documents to CRD

None Eleven (11) minutes

CAS-Meter Division

Engineer V

Engineer III

Director

Clerk

10


Step

Processing Time

Person Responsible

4.2 CRD records and assigns number of the approved TA/TO/SA then return to CAS; furnishes Human Resource Management Division (HRMD), Commission on Audit (COA) and FAS

None Five (5) minutes

Central Records Division

Personnel

4.3 CAS Clerk receives and records the numbered TA/TO/SA then forwards it to the Assigned Personnel (ERA/Engineer I, II or III)

None Twenty-eight (28) minutes


actions 4.3 to 4.5

CAS Clerk

4.4 Assigned Personnel coordinates and informs concerned parties of the date and time of testing. Their presence or their authorized representative is required during testing

CAS Assigned Personnel

(Engineer I, II & III)

4.5 Assigned Personnel requests and accomplishes forms and gate

11


Step

Processing Time

Person Responsible

passes for testing equipment, seals and stickers, and official company vehicles for signing and approval by Engineer IV or V, following procedures below:

4.5.1 ISSUANCE OF TESTING EQUIPMENT

None Nineteen (19)

minutes processing

time of agency action

4.5.1.1 to 4.5.1.11


4.5.1.1 Assigned Personnel accomplishes triplicate copies of Request for Test Equipment (RTE)/Gate Pass (GP) one (1) working day before the assignment for approval by Engineer V

4.5.1.2 Assigned Personnel forwards the approved RTE/GP to Property Custodian (Electrician I) for preparation

12


Step

Processing Time

Person Responsible

4.5.1.3 Property Custodian pullouts, prepares and issues the equipment to the Assigned Personnel on the first (1st) day of assignment

4.5.1.4 Assigned Personnel acknowledges receipt of the equipment in the Property Custodian’s copy of the supporting GP, then keeps the second (2nd) copy

4.5.1.5 Assigned Personnel presents the Equipment and the supporting GP to the Guard on Duty for checking and inspection

4.5.1.6 Guard on Duty checks and inspects the equipment; keeps the GP on file

13


Step

Processing Time

Person Responsible

4.5.1.7 Assigned Personnel brings out the Equipment then proceeds and performs the assignment

4.5.1.8 Upon completion of the assignment, Assigned Personnel presents the Equipment to the Guard on Duty

4.5.1.9 Guard on Duty retrieves the supporting GP, rechecks and records its returns

4.5.1.10 Assigned Personnel returns the Equipment to the Property Custodian who will inspect and record its returns in the supporting GP

14


Step

Processing Time

Person Responsible

4.5.1.11 Property Custodian safe keeps the Equipment in the Inventory Stock Room

4.5.2 ISSUANCE OF SEALS AND STICKERS

None Five (5) working

days processing

time for agency actions

4.5.2 1 to 4.5.2.11


4.5.2.1 Assigned Personnel accomplishes triplicate copies of the Request for Seals and Stickers (RSS)/Gate Pass (GP) one (1) working day before the assignment for approval by Engineer IV or V

4.5.2.2 Assigned Personnel forwards the approved RSS/GP to the Seals and Stickers Custodian (SSC) for preparation

15


Step

Processing Time

Person Responsible

4.5.2.3 SSC prepares and issues the Seals and Stickers to the Assigned Personnel on the first (1st) day of the assignment

4.5.2.4 Assigned Personnel acknowledges receipt of the Seals and Stickers in the Custodian’s copy of the supporting GP, then keeps the second (2nd) copy

4.5.2.5 Assigned Personnel presents the seals and stickers and the supporting GP to the Guard on Duty for checking and inspection

4.5.2.6 Guard on Duty checks and inspects the seals and stickers; keeps the GP on file

16


Step

Processing Time

Person Responsible

4.5.2.7 Assigned Personnel brings out the seals and stickers then proceeds and performs the assignment

4.5.2.8 Upon completion of the assignment, Assigned Personnel presents the unused/ excess/ defective seals and stickers to the Guard on Duty


17


Step

Processing Time

Person Responsible

4.5.2.10 Assigned Personnel returns the unused/ excess/ defective seals and stickers to the SSC who will inspect and record its returns in the supporting GP

4.5.2.11 SSC safe keeps the unused/ excess/ defective seals and stickers in the Inventory Stock Room

4.5.3 USE OF VEHICLE FOR OFFICIAL FIELDWORK

None Five to ten (5-10)

minutes processing


4.5.3.1 to 4.5.3.4


4.5.3.1 Assigned Personnel accomplishes duplicate copies of Request for Vehicle (RV) at least five (5) working days before the assignment for approval by Engineer V

18


Step

Processing Time

Person Responsible

4.5.3.2 Assigned Personnel forwards the approved RV (with supporting approved TO and or Permission Slip) to the General Services Division (GSD) for proper action

4.5.3.3 GSD determines vehicle to use and assigns a company Driver

FAS-GSD Personnel

4.5.3.4 Driver and Assigned Personnel coordinate and agree on the call time and place of meeting prior to going to the site


5. Premises of the client

5. Assigned personnel perform the assigned tasks guided by the ERC Acceptance Sample Testing Procedures. Seals and stickers are attached to every meter in the lot that passed the


days


19


Step

Processing Time

Person Responsible

test

5.1 Assigned Personnel prepares a Test Report (TR) after completing the Acceptance Testing and the Meter Shop Head will sign every page (optional: full signature or initials is accepted) of the report and likewise acknowledge receipt of a copy of the TR in a logbook

6 Client waiting for the issuance of SOA thru email form ERC and pay the bills

6. FAS-Billing Section prepares a SOA (assign an SOA Number) based on approved reports submitted; print in triplicate copies for approval by FAS-Director

None One (1) working day and five (5)

minutes

FAS-Billing Section

6.1 Once approved, FAS-Billing Section forwards 2-copies of SOA to Central Record Division (CRD)

6.2 CRD signs and acknowledges receipt of SOA in the FAS-Billing



20


Step

Processing Time

Person Responsible

Section’s receiving copy; records the SOA then mail one (1) copy to the Customer.

21

2. Elevated Metering Center Approval Ensure that the installation and relocation of residential electric meters to Elevated Metering Centers (EMC) or to Other Elevated Service (OES) complies with safety standards and adequate protection to consumers’ interests and accordingly reduces their system losses.



Type of Transaction: Government to Citizens (G2C)

Government-to-Business(G2B)

Who may avail: Distribution Utility (DU)


Formal Application with required information and documents

Applicant (DU)


CAS Meter Division

Official Receipt (OR) FAS-Billing and Cashier Sections


Step

Processing Time

Person Responsible

1. DU submits to the Central Records Division (CRD) a formal Application with the required information and documents

1. CRD records and forwards the Application folder to CAS for appropriate action

None Five (5) to Ten (10) working

days

CRD

1.1 CAS Clerk receives the Application for submission to CAS Director who will endorse it to Engineer V

None CAS Clerk

Director

Engineer V

22


Step

Processing Time

Person Responsible

1.2 Engineer V endorses the Application to concerned Team Leader/ Engineer III who assigns a team member to check and evaluate the Application and to conduct inspections of the Applicant’s Elevated Metering Center then prepare Travel Authority (TA)/Travel Order (TO)/Special Assignment (SA) for checking and initial by Engineer IV and V prior to CAS Director’s approval then CAS Clerk forwards approved documents to CRD

None

CAS Engineer

V, Team Leader,

Director

1.3 CRD records and assigns number of the approved TA/TO/SA then return to CAS; furnishes Human Resource Management

None CRD Reception Personnel

23


Step

Processing Time

Person Responsible

Division (HRMD), Commission on Audit (COA) and FAS

1.4 CAS Clerk receives and records the numbered TA/TO/SA then forwards it to the Assigned Personnel (ERA/ Engineer I, II or III)

None CAS Assigned Personnel



1.6 USE OF VEHICLE FOR OFFICIAL FIELDWORK


1.6.1 Assigned Personnel accomplishes duplicate copies of Request for Vehicle (RV) at least five (5) working days before

24


Step

Processing Time

Person Responsible

the assignment for approval by Engineer V

1.6.2 Assigned Personnel forwards the approved RV (with supporting approved TO and or Permission Slip) to the General Services Division (GSD) for proper action

1.6.3 GSD determines vehicle to use and assigns a company Driver.

None FAS-GSD Personnel

1.6.4 Driver and Assigned Personnel coordinate and agree on the call time and place of meeting prior to going to the site

None FAS-GSD Driver & CAS

Assigned Personnel

2. Client Site/location

2. Assigned Personnel proceeds to the affected areas to conduct on-site inspection and assess the conditions with

Refer to Resolution

No. 10, series of

2014


25


Step

Processing Time

Person Responsible

reference to the design and documents submitted by the Applicant

2.1 Upon return to the office, Assigned Personnel prepares a General Report detailing the procedures of testing performed and the number of items tested, Itinerary of Travel (IT) if applicable for submission and approval by Engineer IV, V and CAS-Director. Provide FAS Division copies of the reports for billing purposes

None Two (2) working days &

Fifteen (15) minutes

processing


3. Client waiting for the issuance of SOA thru email form ERC

3. FAS-Billing Section prepares a SOA (assign a SOA Number) based on approved reports submitted; print in triplicate copies for approval by FAS-Director

One (1) working day processing

FAS-Billing Section

26


Step

Processing Time

Person Responsible


None FAS-Billing Section

Personnel

3.2 CRD signs and acknowledges receipt of SOA in the FAS-Billing Section’s receiving copy; records the SOA then mail one (1) copy to the Customer


processing

3.3 Assigned Personnel prepares and submits a Memorandum to the Ad-Hoc Committee (for pre-commission meeting on the evaluation of the meter shop’s application) for checking and sign off by Engineer IV and V and approval by CAS Director


days

CAS Assigned Personnel,

Director

3.4 Once approved, CAS Clerk forwards the Memo to the Ad-Hoc Committee thru the Oversight Commissioner who will include the Application in

None CAS Clerk

27


Step

Processing Time

Person Responsible

the agenda of the next Ad-Hoc Committee meeting

3.5 Once included, Assigned Personnel presents the Application to the Ad-Hoc Committee for approval


3.6 Once approved, Assigned Personnel prepares a Memorandum (for checking and sign off by Engineer IV and V and approval by CAS Director) to the OGCS requesting to include the Application in the agenda of the next Commission En Banc meeting

None CAS Assigned Personnel.

Engineer IV, Engineer V,

Director

3.7 Once included/ confirmed, Assigned Personnel presents the Application to the Commission En Banc for approval


days


3.8 Once approved, Assigned Personnel prepares a “Letter of Approval” for

None CAS Assigned Personnel,

Engineer IV,

Engineer V,

Director

28


Step

Processing Time

Person Responsible

sign off by Engineer IV, V and CAS Director

3.9 CAS Director endorses the CA to the Chairman/CEO for signature thru the Oversight Commissioner

None CAS Director, Chairperson &

CEO, Oversight

Commissioner

4. The concerned DU receives a copy of the signed Letter.

4. Once signed, Office of the Chair forwards the Letter to the CRD who will receives and records prior to mailing it to the concerned DU


days

Note: Total Processing time should

not exceed 60 calendar days

from submission of

complete documentary requirements in accordance

with R.A. 11234

1.

Provided, they

submitted the correct and complete

Requirements

CRD Reception Personnel

1 Section 13. Time Frame. - The mother agencies shall ensure that all actions on applications before it and its

attached bureaus, offices, and agencies, at both the national and local levels, and GOCCs as well as other

entities shall all be released within the time frames stated below: Provided, That the time frame shall be the total

number of days for the mother agency and its attached bureaus, offices, and agencies, at both the national and

local levels, and GOCCs, as a whole to release actions on applications: Provided, further, That the time frame

shall be counted from the submission of complete documentary requirements. XXX

e) The ERC: sixty (60) calendar days to issue an action on all applications from the submission of all

documentary requirements: Provided, That for all quasi-judicial cases, the ERC shall have two hundred seventy

(270) calendar days to issue an action from the submission of a valid application;

29

3. Field Testing of Meters and Instrument Transformers

(Consumer Request/DU Request/ CSD Endorsed)

Conduct field-testing of meters/instrument transformers requested by Consumer, Distribution Utility (DU) or endorsed by the Consumer Service Division (CSD).

Office or Division: Meter Division (MD)




Who may avail: Consumer/Distribution Utility/ Generation Company (GenCo) or Independent Power Producer (IPP)


E-mail sent to [email protected] or

Client/Requestor

Personally delivered letter-requests (2 copies)

CSD endorsed CSD Personnel


CAS Meter Division

Official Receipt (OR) FAS-Billing and Cashier Section


Step

Processing Time

Person Responsible

1. Requests for field testing from Consumer/ Distribution Utility (DU)/ Generation Company (GenCo) or Independent

1. MD Personnel attend to requests for field testing from Consumer/ DU /GenCo or IPP

None

Sixteen (16) minutes


actions 1 to 1.3

CAS-MD personnel


30


Step

Processing Time

Person Responsible

Power Producer (IPP) thru e-mail or letter submission to CRD for official receiving and recording

1.1 Requests sent to [email protected] are printed by the Reception Personnel and forwarded to CRD

1.2 Personally delivered letter-requests are directly received by the Central Record Division (CRD)

1.3 CAS-CSD endorsed meter field testing relative to complaints filed by consumers


2. Reception Personnel review the requests



actions 2 to 2.3

1CAS Reception Personnel


Note: For consumer

requests, Testing Fee is paid in advance;

For DU/GenCo/IPP request, Testing Fee is paid after field testing;

No testing fee is required for CAS-CSD endorsed meter field testing.



31


Step

Processing Time

Person Responsible





None Eight (8) minutes

FAS-Billing Section

Personnel

4. Customer pay the assessed testing fee to the Cashier Section


Resolution No. 12,

series of 2009

Table 6, Article 9

(See page no. 194)

FAS-Cashier Section

4.1 Engineer V endorses the request to Engineer III who will assign personnel to conduct the field testing then prepare Travel Authority (TA)/Travel Order (TO)/Special

None Eleven (11) minutes

CAS-Meter Division

Engineer V

Engineer III

Director

Clerk

32


Step

Processing Time

Person Responsible

Assignment (SA) for checking and initial by Engineer IV and V prior to CAS Director’s approval then CAS Clerk forwards approved documents to CRD




Reception Personnel



CAS Clerk

33


Step

Processing Time

Person Responsible



(ERA/ Engineer I, II

or III)

4.5 Assigned Personnel requests and accomplishes forms and gate passes for testing equipment, seals and stickers, and official company vehicles for signing and approval by Engineer IV or V, following procedures below:


CAS Clerk

4.5.1 ISSUANCE OF TESTING EQUIPMENT

None Nineteen (19)

minutes processing


4.5.1.1 to 4.5.1.11


4.5.1.1 Assigned Personnel accomplishes triplicate copies of Request for Test

34


Step

Processing Time

Person Responsible

Equipment (RTE)/Gate Pass (GP) one (1) working day before the assignment for approval by Engineer V

4.5.1.2 Assigned Personnel forwards the approved RTE/GP to Property Custodian (Electrician I) for preparation

4.5.1.3 Property Custodian pullouts, prepares and issues the equipment to the Assigned Personnel on the first (1st) day of assignment

4.5.1.4 Assigned Personnel acknowledges receipt of the equipment in the Property Custodian’s copy of the

35


Step

Processing Time

Person Responsible

supporting GP, then keeps the second (2nd) copy

4.5.1.5 Assigned Personnel presents the Equipment and the supporting GP to the Guard on Duty for checking and inspection

4.5.1.6 Guard on Duty checks and inspects the equipment; keeps the GP on file

4.5.1.7 Assigned Personnel brings out the Equipment then proceeds and performs the assignment

36


Step

Processing Time

Person Responsible

4.5.1.8 Upon completion of the assignment, Assigned Personnel presents the Equipment to the Guard on Duty


4.5.1.10 Assigned Personnel returns the Equipment to the Property Custodian who will inspect and record its returns in the supporting GP

4.5.1.11 Property Custodian safe keeps the Equipment in the Inventory Stock Room.

37


Step

Processing Time

Person Responsible

4.5.2 ISSUANCE OF SEALS AND STICKERS


days processing

time of agency actions

4.5.2.1 to 4.5.2.11


4.5.2.1 Assigned Personnel accomplishes triplicate copies of the Request for Seals and Stickers (RSS)/Gate Pass (GP) one (1) working day before the assignment for approval by Engineer IV or V

4.5.2.2 Assigned Personnel forwards the approved RSS/GP to the Seals and Stickers Custodian (SSC) for preparation

4.5.2.3 SSC prepares and issues the Seals and Stickers to the Assigned Personnel on the first (1st) day of the assignment

38


Step

Processing Time

Person Responsible

4.5.2.4 Assigned Personnel acknowledges receipt of the Seals and Stickers in the Custodian’s copy of the supporting GP, then keeps the second (2nd) copy

4.5.2.5 Assigned Personnel presents the seals and stickers and the supporting GP to the Guard on Duty for checking and inspection

4.5.2.6 Guard on Duty checks and inspects the seals and stickers; keeps the GP on file

4.5.2.7 Assigned Personnel brings out the seals and stickers then proceeds and performs

39


Step

Processing Time

Person Responsible

the assignment

4.5.2.8 Upon completion of the assignment, Assigned Personnel presents the unused/ excess/ defective seals and stickers to the Guard on Duty


4.5.2.10 Assigned Personnel returns the unused/ excess/ defective seals and stickers to the Seal and Sticker Custodian (SSC) who will inspect and record its returns in the supporting GP

4.5.2.11 SSC safe keeps the

40


Step

Processing Time

Person Responsible

Equipment in the Inventory Stock Room

4.5.3 USE OF VEHICLE FOR OFFICIAL FIELDWORK

None Five to ten (5-10)

minutes for agency actions

4.5.3.1 to 4.5.3.4


4.5.3.1 Assigned Personnel accomplishes duplicate copies of Request for Vehicle (RV) at least five (5) working days before the assignment for approval by Engineer V

4.5.3.2 Assigned Personnel forwards the approved RV (with supporting approved TO and or Permission Slip) to the General Services Division (GSD) for proper action

41


Step

Processing Time

Person Responsible

4.5.3.3 GSD determines vehicle to use and assigns a company Driver

FAS-GSD Personnel

4.5.3.4 Driver and Assigned Personnel coordinate and agree on the call time and place of meeting prior to going to the site

5. Client witness the conduct of the testing

5. Assigned Personnel performs the assigned task then prepares a Test Report (TR) after completing the field testing task

None Two (2) working

days and fifteen (15)

minutes


5.1 Upon return to the office, Assigned Personnel prepares a General Report detailing the procedures of testing performed and the number of items tested, Itinerary of Travel (IT) if applicable for submission and

42


Step

Processing Time

Person Responsible

approval by Engineer IV, V and CAS-Director. Provide FAS Division copies of the reports for billing purposes.

6. Client waiting for the issuance of SOA thru email from ERC and pay the bills

6. FAS-Billing Section prepares a SOA (assign SOA Number) based on approved reports submitted; print in triplicate copies for approval by FAS-Director

None One (1) working day and five (5)

minutes

FAS-Billing Section

Personnel



None Five (5) Minutes

CRD Reception Personnel

43

4. Issuance of Certificate of Compliance (COC) Issuance of license to a person or entity that operates a power plant or other entities used in the generation of electricity pursuant to Section 6, R.A 9136 and Section 4 of the Implementing Rules and Regulations of the Act.

Office or Division: Market Operations Service - Licensing and Market Monitoring Division (MOS-LMMD)


Type of Transaction: Government-to-Business (G2B)

Who may avail: Generation Companies (GENCOs),

Self-Generating Facilities (SGFs) and

Qualified End-Users (QEs)


Checklist of Requirements2 for New COC Application For Generation

Companies (GENCO)

A. General Requirements

ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the

ERC Head Office

1. Application Form (COC Form No.1);

2. Company Profile (COC Form No.2);

B. COC Application Fee Generation Company

3. P10,000.00

C. Technical Qualification

4. General Plant Description (Form No. 7);


ERC Head Office

5. Location Map;

6. Connection Agreement between the Grid Owner (NGCP) and the

National Grid Corporation of the Philippines (NGCP); Distribution

2 All documents must be submitted upon filing of the license application.

http://www.erc.gov.ph/


44


Existing Generation Facility or Interconnection plans/details with the high voltage backbone transmission system/grid or Distribution System (for Embedded Generators) and/or Transmission/Distribution Service Agreement, if available;3

For point to point interconnection facility/ies, operated by:

NGCP

Generation Company

Distribution Utility

Utility (DU)

7. PGC, PDC and WESM Requirements:

7.1 Electrical/Mechanical Plans and Diagrams;

Generation Company or EPC Contractor

7.2 Preliminary Plant Specifications such as Minimum Stable Load, Maximum Stable Load, Ramp Up Rate and Ramp Down Rate, including plant efficiency and Heat Rate, if applicable;

NGCP or Manufacturer’s Data

7.3 Technical Description of the Load to be served (for those in isolated Areas and those serving dedicated loads);

Generation Company

7.4 Details of its Communication and SCADA Requirements, if applicable;

Generation Company

7.5 Certification issued by NGCP to Generation Company or Generation Facility attesting to its compliance with the approved connection scheme

NGCP or Accredited Third Party

3 For justifiable reasons, the Commission may allow the submission of all documents written in BOLD

ITALICS at a later date which may be during the evaluation process, and immediately upon receipt thereof

from the appropriate agency.

45


provided in the Grid Impact Study (GIS), Facility Study (FS) Connection Agreement (CA) and Transmission Service Agreement (TSA), if applicable;

7.6 Certificate of Technical Requirements Compliance issued by NGCP or Third Party to a Generation Company or a Generation Facility confirming a generating unit’s capability to operate within its registered parameters and its capability to meet the requirements of the PGC through the conduct of Generating Unit Capability Test; and

NGCP or Accredited Third Party

7.7 Certification issued by the Distribution Utilities (DUs) for Embedded Generating Facilities, attesting to its compliance with the approved connection scheme provided in the Distribution Impact Study (DIS).

DU or Accredited Third Party

8. Sworn Statement that each of the Facilities will comply with the PGC and PDC for the duration of the COC (Form No. 4);


ERC Head Office

9. Sworn Statement that the company and its Generating Facilities will comply with the Wholesale Electricity Spot Market (WESM) Rules and Manuals for the duration of the COC, upon its registration with the WESM, when applicable (Form No. 5);


ERC Head Office

10. Management and/or lease contracts in force (in case the plant is operated, leased and/or managed by an entity other than the owner);

Generation Company or Operator



46


D. Financial Capability

11. Complete set of Audited Financial Statements (AFS) covering the two (2) most recent twelve (12) month periods, (i.e., balance sheet, income statement, statement of cash flows, notes, audit opinion and the statement of management’s responsibility on the financial statements). For a Generation Company which has been in operation for less than two (2) years, the AFS of the parent company shall be required in lieu of the above, covering the two (2) most recent twelve (12) month periods, if available;

Generation Company and/or Any professional accounting services

firm

12. Schedule of liabilities, to include the following information: name of creditor, type of credit, credit terms; and

Generation Company

13. Five (5) year financial plan. Generation Companie’s Authorized Financing Officer

E. Ownership/Control

14. Articles of Incorporation/Partnership (for Corporation / Partnership) with Certificate of Registration;

Philippine Securities and Exchange Commission (SEC)

15. Business Name Registration Certificate (for Single Proprietorship);

Local Government Unit

16. Latest General Information Sheet (GIS) of the applicant- Securities and Exchange Commission (SEC) Form;

SEC

17. Sworn Statement that the applicant complies with and will continue to comply with the provisions on cross ownership and market share


ERC Head Office


47


restrictions under Republic Act No. 9136, its Implementing Rules and Regulations, and these Revised Rules for the duration of the COC (Form No.6);

18. Duly attested comprehensive and complete listing of Affiliates and Related Groups, including ownership and management structure; and

Generation Company

19. Compliance with ERC Resolution No. 9, Series of 20114, as amended by ERC Resolution No. 04, Series of 20195

Generation Company

F. Other Requirements

20. List of Power Supply Agreement(s), if applicable;

Generation Company and/or Distribution Utility/Customer

21. Memorandum of Agreement on the Establishment of Trust Accounts by the Generation Company and/or the Energy Resource Developer and the Department of Energy on Benefits to Host Communities pursuant to Rule 29 of the IRR of R.A. 91366;

Department of Energy (DOE)

4 A resolution adopting the rules requiring Generation Companies and Distribution Utilities which are not

publicly listed to offer and sell to the public a portion of not less that fifteen percent (15%) of their common

shares of stock pursuant to Section 43 (t) of Republic Act No. 9136 and Rule 3, Section 4 (m) of its

Implementing Rules and Regulations (IRR); 5 A resolution amending Resolution No. 9, Series of 2011 requiring Generation Companies and Distribution

Utilities which are not publicly listed to offer and sell to the public a portion of not less that fifteen percent

(15%) of their common shares of stock pursuant to Section 43 (t) of Republic Act No. 9136 and Rule 3,

Section 4 (m) of its Implementing Rules and Regulations (IRR); 6 Amended by DOE Department Order (DO) No. 2019-01-0001 (Providing the Internal Guidelines and

Procedures for the Transfer of Existing Funds in Relation to the Financial Benefits Under ER 1-94) and DOE

Department Circular (DC) No. 2018-08-0021 (Providing for the Amendments to Rule 29 Part (A) of the

Implementing Rules and Regulations of Republic Act No. 9136). Thus, the COC requirement on the submission

of MOA on the Establishment of Trust Accounts by the Generation Company and/or the Energy Resource

Developer and the DOE on Benefits to Host Communities pursuant to Rule 29 of the IRR of RA 9136 shall not

in the meantime be required as the Commission is seeking clarification on the status of its implementation from

the DOE in its (Commission) letter dated 14 October 2019 and to determine the document to be required in lieu

of the subject document.

48


22. Environmental Compliance Certificate (ECC) duly approved by the Department of Environment and Natural Resources (DENR);

Department of Environment and Natural Resources (DENR)

23. Temporary Permit to Operate (TPTO) / Permit to Operate (PTO) duly issued by the Department of Environment and Natural Resources (DENR);

DENR

24. Department of Energy (DOE) Endorsement indicating that the Power Plant Project is consistent with the Power Development Program of the Government or with the Missionary Electrification Development Program (MEDP) for power plant project located in isolated grids;7

DOE

25. In the case of a Generation Company operating an Renewable Energy (RE) plant that intends to avail of the Feed-In Tariff (FIT):

25.1 DOE issuance of Confirmation of Commerciality confirming the commercial viability of the project;

DOE 25.2 DOE Confirmation of

Electromechanical Completion;8 and

25.3 DOE Certificate of Endorsement for FIT Eligibility.9

26. Such other information or document that the ERC may require. Any

Generation Company

7 For justifiable reasons, the Commission may allow the submission of all documents written in BOLD

ITALICS at a later date which may be during the evaluation process, and immediately upon receipt thereof from

the appropriate agency; 8 Ibid;

9 Ibid.

49


additional technical information may be required by the ERC upon prior notice to the applicant.

Checklist of Documents/Information Required for Generation Companies

Applications for COC Renewal


1. Application Form (Form No. 1); ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the

ERC Head Office 2. Company Profile (Form No. 2); and

3. Five (5) Year Operational History (Form No. 3), if applicable.

B. COC Application Fee

4. PhP10,000.00 Generation Company


5. Sworn Statement that the Generation Company and its Generation Facilities comply with and will continue to comply with the PGC and PDC for the duration of the COC (Form No. 4);


ERC Head Office

6. Sworn Statement that the Generation Company and its Generation Facilities comply with and will continue to comply with the Wholesale Electricity Spot Market (WESM) Rules and Manuals for the duration of the COC, when applicable (Form No. 5);

7. General Plant Description (Form No. 7), if there are any changes; and

8. PGC, PDC and WESM Requirements

(8.1) Electrical/Mechanical Plans and Diagrams, if there are

Generation Company



50


any changes;

(8.2) Details of its Communication and SCADA Requirements, if there are any changes; and

Generation Company

(8.3) Certificate of WESM membership or Application for WESM Membership, as may be applicable.

Wholesale Electricity Spot Market

9. Report on the conduct of capability test if there is an addition, replacement or repowering of units

NGCP, DU or Accredited Third Party

D. Financial Capability

10. Duly attested updated schedule of liabilities, to include the following information: name of creditor(s), type of credit, credit terms and applicable interest rate(s); and

Generation Company

11. Five (5) year financial plan, if applicable.

Generation Company

E. Ownership/Control

12. Articles of Incorporation/Partnership (for Corporation / Partnership) with Certificate of Registration, if there are any changes;

SEC

13. Latest General Information Sheet (GIS) of the Company (SEC Form);

SEC

14. Sworn Statement that the Generation Company complies with and will continue to comply with the provisions on cross-ownership and market share restrictions under Republic Act No. 9136, its Implementing Rules and Regulations, and these Revised Rules for the duration of the COC (Form No. 6); and


ERC Head Office

15. Duly attested updated and comprehensive listing of Affiliates and Related Groups, including

Generation Company


51


ownership and management structure.

16. Compliance with ERC Resolution No. 9, Series of 201110, as amended by ERC Resolution No. 04, Series of 201911;

Generation Company

F. Other Requirements

17. Power Supply Agreements; Generation Company and Distribution Utility

18. Latest Permit to Operate (PTO) with Stack Emission Test Results duly issued by the Department of Environment and Natural Resources (DENR), if applicable;

DENR

19. Waste Water Discharge Permit duly issued by DENR;

DENR

20. Water Permit from National Water Resources Board (NWRB); if applicable; and

NWRB

21. Such other information or document/s that the ERC may require

Generation Company

10

A resolution adopting the rules requiring Generation Companies and Distribution Utilities which are not

publicly listed to offer and sell to the public a portion of not less that fifteen percent (15%) of their common

shares of stock pursuant to Section 43 (t) of Republic Act No. 9136 and Rule 3, Section 4 (m) of its

Implementing Rules and Regulations (IRR); 11

A resolution amending Resolution No. 9, Series of 2011 requiring Generation Companies and Distribution

Utilities which are not publicly listed to offer and sell to the public a portion of not less that fifteen percent

(15%) of their common shares of stock pursuant to Section 43 (t) of Republic Act No. 9136 and Rule 3,

Section 4 (m) of its Implementing Rules and Regulations (IRR);

52


Checklist of Requirements for COC Application SGF with total Installed

Capacity of 1 MW and above (for New and Renewal)




3. Five (5) Year Operational History (Form No. 3), if applicable.

4. DENR-EMB Permit to Operate (PTO);

DENR



C. Additional Requirements

6. Securities and Exchange Commission Registration and Articles of Incorporation;

SEC

7. Latest General Information Sheet (GIS) of the Company (SEC Form);

SEC

8. Other Document/s that ERC may require from time to time (e.g. DENR Environmental Compliance Certificate)

DENR

Checklist of Requirements for COC Application SGF with total Installed

Capacity of below 1 MW (for New and Renewal)


1. Application Form (Form No.1); and ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the

ERC Head Office 2. Company Profile (Form No.2).



53



3. PhP1,500.00 (For aggregate installed capacity of 100 kW and below)

Generation Company 4. PhP5,000.00 (For aggregate

installed capacity of 101 kW – 500 kW)

5. PhP7,500.00 (For aggregate installed capacity of 501 kW – 999 kW)

C. Additional Requirements

6. Other Document/s that ERC may require (e.g. DENR Environmental Compliance Certificate, Distribution Impact Study / Distribution Asset Study, if applicable)

DENR, DU, or Any Accredited Third Party

Checklist of Requirements for COC Application for QEs


1. QE-COC Application Form; ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the

ERC Head Office

2. Net-Metering Agreement; Distribution Utility

3. DU Certification that QE is technically compliant with the ERC’s Net Metering Interconnection Standards

Distribution Utility


4. PhP1,500.00

Generation Company


54


Checklist of Requirements for an Amendment of COC Application for Change of Location of Generation

Facilities/ Business Address


1. Application Form/ Amendment of COC for Change of Location (COC Form No.1)


ERC Head Office 2. Company Profile (COC Form No. 2);

3. PhP3,000.00; Generation Company

4. SEC-Amended Articles of Incorporation/ Amended Certificate of Registration

SEC

5. Other information that may be required by the Commission

Generation Company

Checklist of Requirements for an

Amendment of COC Application for Change of Name







4. Sworn Statement that the Generation Company and its Generation Facilities comply with and will continue to comply with the PGC and PDC for the duration of the COC (Form No. 4);


ERC Head Office

5. Sworn Statement that the Generation Company and its Generation Facilities comply with and will continue to comply with the


ERC Head Office





55


Wholesale Electricity Spot Market (WESM) Rules and Manuals for the duration of the COC, when applicable (Form No. 5);

6. Complete set of Audited Financial Statements (AFS) covering the two (2) most recent twelve (12) month periods, (i.e., balance sheet, income statement, statement of cash flows, notes, audit opinion and the statement of management’s responsibility on the financial statements), in the amended name, if available.

Generation Company and/or Any professional accounting Services

7. SEC-Amended Articles of Incorporation/ Amended Certificate of Registration.

SEC

8. Sworn Statement that the Generation Company complies with and will continue to comply with the provisions on cross-ownership and market share restrictions under Republic Act No. 9136, its Implementing Rules and Regulations, and these Revised Rules for the duration of the COC (Form No.6)


ERC Head Office

9. Such other information or document that the ERC may require

Generation Company

Checklist of Requirements for an Amendment of COC Application for

Change of Ownership


1. Application Form (Form No. 1); and ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the

ERC Head Office 2. Company Profile (Form No. 2);





56



4. Sworn Statement that the Generation Company and its Generation Facilities comply with and will continue to comply with the PGC and PDC for the duration of the COC (Form No.4);


ERC Head Office

5. Sworn Statement that the Generation Company and its Generation Facilities comply with and will continue to comply with the Wholesale Electricity Spot Market (WESM) Rules and Manuals for the duration of the COC, when applicable (Form No.5);


ERC Head Office

6. Complete set of Audited Financial Statements (AFS) covering the two (2) most recent twelve (12) month periods, (i.e., balance sheet, income statement, statement of cash flows, notes, audit opinion and the statement of management’s responsibility on the financial statements), in the amended name, if available.

Generation Company and/or Any professional accounting services

firm

7. Five-year Financial Plan Generation Company

8. SEC-Amended Articles of Incorporation/ Amended Certificate of Registration.

SEC

9. Latest General Information Sheet of the applicant SEC Form.

SEC

10. Sworn Statement that the Generation Company complies with and will continue to comply with the provisions on cross-ownership and market share restrictions under Republic Act No. 9136, its Implementing Rules and Regulations, and these Revised


ERC Head Office




57


Rules for the duration of the COC (Form No. 6)


Generation Company

Checklist of Requirements for an Amendment of COC Application for Change of Technical Specifications


1. Application Form (Form No.1); ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the

ERC Head Office 2. Company Profile (Form No.2); and




4. General Plant Description (COC Form No. 7);


Head Office

5. PGC, PDC and WESM Requirement on Plant Specifications such as Minimum Stable Load, Maximum Stable Load, Ramp Up Rate, Ramp Down Rate including plant efficiency and Heat Rate, if applicable.

NGCP, Manufacturer’s Data and/or Any Accredited Third Party

6. Third (3rd) Party Capacity and Performance Test Reports.

NGCP, DU and/or Any Accredited Third Party

7. Application Form/ Amendment of COC for Change of Nameplate Rating (COC Form No.1);


ERC Head Office


Generation Company

*For the Amendment of COC Application, please be informed that the existing COC shall still be valid for five (5) years pursuant to Section 1, Article V and Section 5, Article III of the 2014 Revised Rules for the Issuance of COCs for Generation Companies, Qualified End-Users and Entities with Self-Generation Facilities (2014 Revised COC Rules).




58


However, if the new owner wishes to amend the existing COC in favor of its name; the new owner may do so by requesting for an amendment of COC and paying the corresponding fee of P3,000.00 pursuant to ERC Guidelines on Fees and Charges, as amended, which was promulgated on 17 July 2007.

All COC Applications must be filed in two (2) hard copies and one (1) soft copy (hard drive or USB Flash Drive), to LMMD Officer of the Day and/or any authorized LMMD Officer.

Client Steps Agency Action Fees to be Paid per Step

Processing Time

Person Responsible

1. Register with the Guard on Duty MOS-LLMD

1. To assist the client


Guard on Duty

2. Fill-out the MOS Customer Action Form

2. To endorse/ refer to the concerned Division


MOS’ Desk Officer of the

day

3. Secure the application form and checklist of appropriate requirements for COC application at the Licensing & Market Monitoring Division (LMMD) or through www.erc.gov.ph:

3. To make sure that the secured application forms are appropriate for each category as per COC Checklist of Requirements

None Two (2) minutes

MOS - LMMD Officer of the Day and/or

any authorized

LMMD Officer

4. Accomplish the forms and submit together with the appropriate

4. To assess the completeness of the submitted document

None Ten (10) minutes


any authorized

http://www.erc.gov.ph:8099/

http://www.erc.gov.ph:8099/

59


Processing Time

Person Responsible

requirements in the checklist, in two (2) hard copies and one (1) soft copy (USB Flash Drive), to any LMMD Officer

LMMD Officer

5. Enter the said COC Application in the Billing and Revenue System (BRS) for payment and secure a Statement of Account (SOA) form in four (4) copies from the LMMD Officer of the Day

5. To get Statement of Account (SOA) Number from the Financial and Administrative Service (FAS) and validate signature of authorized officials in the SOA



any authorized

LMMD Officer

6. Proceed to the Cashier for the payment of appropriate COC application fee in accordance with the fees and charges, as amended. The Cashier shall give the applicant three (3)

6. To give 4 copies of the signed SOA to the applicant

COC Application Fees:

1. GENCO (New and Renewal) – PhP10,000.00

2. SGF (New and Renewal)

- 1kW to 100kW – PhP1,500.00;

- 101 kW to 500kW –

Ten (10) minutes

FAS-Cashier Section

60


Processing Time

Person Responsible

copies of the Assessment Form and an Official Receipt (O.R.)

PhP5,000.00

- 501 kW to 999kW –

PhP7,500.00

- above 1 MW – PhP10,000.00

3. QEs (1kW to 100kW) –

PhP1,500.00

4. Amendment of COC

Applications

-PhP3,000.00

7. Go back to the LMMD Officer of the Day and submit two (2) copies of the Assessment Form duly signed by the Cashier and show proof of payment i.e., Official Receipt (OR) for verification purposes.

7. Verify OR duly signed by the Cashier as proof of payment. Give client the OR and one (1) copy of SOA. Retain one (1) copy of SOA for LMMD’s file.



any authorized

LMMD Officer

7.1 COC application is received officially

None MOS - LMMD

Officer of the Day = Clerk for SGF and

QE;

IPP = ERO I to Sr. ERO

Action - Assesses the completeness of the submitted

Total = 40 minutes (if

all COC Requiremen

61


Processing Time

Person Responsible

document

ts shall have been complied

with as per COC

Checklist

Reminder/s:

- No application shall be processed for evaluation unless all documentary requirements and proof of payment of the Application Fee shall be submitted and presented by the applicant to the LMMD Officer Day and/or any authorized LMMD Officer.

- Upon submission of all forms and those listed in the checklist of requirements for COC application, and after the conduct of ocular inspection for GENCOs,

62


Processing Time

Person Responsible

wait for the Commission’s advice of its action within sixty (60) calendar days and thirty (30) calendar days for those GENCOs who have been issued a Certificate of Energy Project of National Significance (CEPNS) by the DOE.

63

5. Issuance of Retail Electricity Supplier (RES) License

Issuance of license to a qualified person or entity that sell, broker, market or

aggregate electricity to end-users in the Contestable market.

Office or Division: Market Operations Service - Contestable Market Division (MOS-CMD)


Type of Transaction: Government to Business (G2B)

Who may avail: Any juridical entity that is registered to be into retailing.


A. RES Form 1 – Checklist of Requirements:

Articles of Incorporation/Partnership with Certificate of Registration (for juridical person)

Securities and Exchange Commission (SEC)

Business Name Registration Certificate (for single proprietorship)

Mayor’s Permit Municipal Hall

Certified true copies of audited balance sheet, cash flow, and income statement for the two (2) most recent twelve (12)-month periods, or for the life of the business if not in existence for at least two (2) years, if applicable

Any professional accounting services firm

If affiliate, certified true copies of audited balance sheet, cash flow, and income statements for the two (2) most recent

Any professional accounting services firm

64


twelve (12)-month periods of parent company

Projected Five-Year Financial Statements and Five-Year Business Plan (outline to be provided by ERC)

MOS-CMD or ERC website (www.erc.gov.ph)

List of affiliates engaged in the generation, distribution and retail supply of electricity, and their corresponding business addresses

RES License applicant

Financial and Credit Requirements

Reputable banks and/or credit bureau

Security Deposit Requirements

Reputable banks and/or credit bureau

Technical Managerial Requirements

Indicated in the RES Information sheet submitted by the RES applicant

Sworn statement that the applicant shall comply with the Code of Conduct and the Competition Rules


Sworn statement that a) the applicant or affiliate thereof or any stockholder, director or officer or any other relatives within the fourth (4th) civil degree or consanguinity or affinity, legitimate or common law, does not own any interest, directly or indirectly, in TRANSCO or its Buyer or Concessionaire, or Independent Market Operator, and b) no officer or director of the applicant is an officer or director of



65


the TRANSCO or its Buyer or Concessionaire

Proof of payment of application fees

Finance and Administrative Service – Accounting Division (FAS-AD)

Such other information or documents that the ERC may require.


B. RES Information Sheet (Form 2)

MOS-CMD or ERC website (www.erc.gov.ph)

Required number of copies: Two (2) copies


Processing Time

Person Responsible

1. Register with the Guard

1. Refer client to the MOS Help Desk officer (HDO) of the day


MOS Help Desk Officer

2. Fill-out MOS Customer Action Form

2. For RES License applications, refer client to CMD


MOS-CMD Personnel

3. Applicants must submit Form No. 2 and the documents listed in Form No. 1

3. Assesses the completeness of the submitted documents.

None Fifteen (15) minutes

MOS-CMD Personnel

4. Secure a Statement of Account (SOA) for the filing fee.

4. Give client four (4) copies of the SOA.


MOS-CMD Personnel


66


Processing Time

Person Responsible

5. Proceed to the Cashier and pay the RES License application fee in the amount indicated in the Order of Payment

5. Give client its copy of the Official Receipt (OR)

PhP3,000.00 Ten (10) minutes

FAS-Cashier Section Cashier

6. Applicant shall file the application to the Docket Officer, Office of the General Counsel and Secretariat (OGCS)

6. Application is received officially


OGCS - Records Division

Reception Personnel

7. Go back to the MOS-CMD and present OR and copies of SOA

7. Verify OR duly signed by the Cashier as proof of payment. Give client the O.R. Retain one (1) copy of Assessment Form for MOS-CMD File


MOS-CMD Personnel

8. RES License application shall be evaluated, and applicant shall be informed of its approval or disapproval within sixty (60) calendar days

None Sixty (60) calendar

days

MOS-CMD Personnel

9. Upon approval of application, applicant will receive a notice of approval.

9. Give client one (1) copy of the Notice of Approval and four (4) copies of SOA


MOS-CMD Personnel

67


Processing Time

Person Responsible

The applicant shall pay the RES License fee before the License is awarded.

Secure an Order of Payment for the filing fee.

10. Proceed to the Cashier and pay the RES License application fee in the amount indicated in the Order of Payment.

Application Fee payments may be in the form of:

Cash;

Company check (local or regional clearing only) payable to Energy Regulatory Commission; or

Manager ’s /Cash ie r ’s Check (local or regional clearing only) payable to Energy

10. Give client four (4) copies of Official Receipt (OR)

PhP 0.75 of each PhP

100.00 of the capital stock

subscribed and paid up, or PhP

10,000.00 whichever is

higher.

Awarding of the RES is

optional.

Ten (10) minutes


68


Processing Time

Person Responsible

Regulatory Commission

11. Go back to the MOS-CMD and present OR and copies of SOA

11. Verify OR duly signed by the FAS-Cashier as proof of payment.

Give client the O.R.

Retain one (1) copy of Order of Payment for CMD File


MOS-CMD Personnel

12. Set the date of RES license awarding.

If a c e r e m o n y i s not preferred, applicant shall request the ERC to have it mailed to them instead

12. RES License is awarded to the applicant

69

6. Issuance of Certified Copies of Documents

Issuing copies of documents with stamp “certified copy” and bearing the

signature of the records officer or custodian. The Central Records Division

(CRD) of the ERC is responsible for the management of incoming and

outgoing documents to/from the Commission and acts as central repository of

all correspondences and official acts of the Commission (Resolutions, Office

Orders, Decisions, Orders, etc.).

Office or Division: Office of the General Counsel and Secretariat of the Commission – Central Records Division (OGCS-CRD)

Classification: Simple transaction



Government-to-Government (G2G)

Who may avail: Stakeholders in the electric power industry


Written request for certified copies of documents

From the client


Processing Time

Person Responsible

1. Submission of written requests for certified copies of ERC issuances/ official documents

1.1. Receive the written request by stamping on the upper right portion of the document and indicating the date and hour of receipt and initials of the receiver

Fee for certified copies of

official documents –

Php15.00/ page

Fee for photocopying documents –

Php2.00/ page

One (1) working day

Receiving Officer-of-the-

day

(OGCS-CRD)

1.2. Prepare the Statement of Account (SOA) and inform client

70


Processing Time

Person Responsible

re the payment of the corresponding fee/s at the ERC Cashier

1.3. Retrieve and prepare the necessary copy of the document already posted on the ERC website and within the custody or possession of the OGCS

1.4. Stamp document with “Certified Copy” and affix signature by the records officer or custodian

1.5. Release of requested document to the requesting party after showing of proof of payment of the necessary fee/s

For documents in the custody or possession of other services, clients are advised that his/her written request shall be referred to appropriate service.

71

7. Laboratory Testing of Meters and Instrument Transformers (Walk-In Consumers) Tests every meters and instrument transformers brought by consumers in the Meter Division’s Laboratory.





Who may avail: All customers of electric utilities and other providers of electric power


Gate Pass (2 copies) CAS Guard on Duty


CAS Meter Division



Step

Processing Time

Person Responsible

1. The customer brings the meter/ instrument transformer/ meter

1. Guard on duty checks and logs the meter/ instrument transformer/ meter standard brought by the customer. Gate Pass was accomplished indicating the quantity and description of the items

None Five (5) minute

CAS Guard on duty

72


Step

Processing Time

Person Responsible


2. Reception Personnel inspect the items



and Laboratory Personnel.




3. Customer to proceeds to the FAS-Billing

3. Assigns SOA Number, print and hand the SOA to the customer


FAS-Billing Section

Personnel



Resolution No. 12,

series of 2009

Table 6, Article 9

(See page no. 194)


4.1 Issue OR to customer

73


Step

Processing Time

Person Responsible

5. Consumer brings the items together with supporting OR and Gate Pass to the Meter Laboratory for testing

5. Reception Personnel records the details of item and the issued Official Receipt (OR) in a logbook

None Fifty-one (51)

minutes


and Laboratory Personnel

5.1 Laboratory Personnel performs the required tests

5.2 Seals and stickers were attached only to the items that passed the tests with Test Report issued to Consumer for every tested item regardless of the results

5.3 Reception Personnel checks the items for release to the consumer together with the supporting Gate Pass after he signs in the logbook

74


Step

Processing Time

Person Responsible

6. Consumer signs the gate pass to indicate the receipt of the items

6. Guard on duty inspects and records the release of the items; counter checks/ signs the supporting Gate Pass


CAS Guard on duty

6.1 Guard on duty maintains file copy of the Gate Pass

75

8. Meter Shop Accreditation Require all individual or consortium of DUs and Third Party Test Facilities to apply for a Certificate of Authority (CA) in order to maintain a Meter Shop. Upon showing that all the requirements have been complied with, the ERC shall issue a CA with a validity period of three (3) years, renewable upon filing of the pertinent CA renewal at least ninety (90) days prior to the expiration of the CA, but subject to the ERC’s assessment.



Type of Transaction: Government-to-Business(G2B)

Who may avail: DU or Consortium of DUs or TPTF


Duly Accomplished Application Form with Requested Information and Documents

ERC Prescribed Form


CAS Meter Division



Step

Processing Time

Person Responsible

1. DU or consortium of DUs or TPTF submits to the Commission a duly accomplished Application Form with the required information and documents

1. MD Engineer checks the Application, assesses application fee and accomplish Statement of Account (SOA) in the ERC electronic Billing and Revenue System (BRS)

Resolution No. 12,

series of 2009

Table 6, Article 9

(See page no. 194)

Three (3) minutes


actions 1 to 1.1


76


Step

Processing Time

Person Responsible

1.1 Instruct the Customer to pay the assessed fee

2. Customer to proceed to the FAS-Billing Section

2. Assign SOA number, print, and hand the SOA to the customer


FAS-Billing Section

Personnel

3. Customer pays the assessed fee to the Cashier Section

3. Receives the payment based on the FAS-Billing Section’s numbered SOA presented by the customer

Resolution No. 12,

series of 2009

Table 6, Article 9

(See page no. 194)

Cashier Section Cashier

4. Applicant submits the Application and proof of payment to CRD for docketing, assigning/stamping

4. CRD assigns/stamps a Case No. on the Application then forwards to CAS for appropriate action

None CRD Personnel

4.1 CAS Clerk receives the Application for submission to CAS Director who will endorse it to Engineer V

CAS Clerk,

Director,

Engineer V

4.2 Engineer V endorses the Application to concerned Team Leader/Engineer III who

77


Step

Processing Time

Person Responsible

assigns a team member to check and evaluate the Application and to conduct inspections of the Applicant’s Meter Shop then prepare Travel Authority (TA)/Travel Order (TO)/Special Assignment (SA) for checking and initial by Engineer IV and V prior to CAS Director’s approval then CAS Clerk forwards approved documents to CRD



CRD

Personnel

78


Step

Processing Time

Person Responsible



CAS Clerk


None Five (5) to ten (10) minutes


actions 4.5 to 4.5.5


4.5.1 Assigned Personnel accomplishes duplicate copies of Request for Vehicle (RV) at least five (5) working days before the assignment for approval by Engineer V

4.5.2 Assigned Personnel forwards the approved RV (with supporting approved TO and or Permission Slip) to the General Services

79


Step

Processing Time

Person Responsible

Division (GSD) for proper action

4.5.3 GSD determines vehicle to use and assigns a company Driver

4.5.4 Driver and Assigned Personnel coordinate and agree on the call time and place of meeting prior to going to the site

4.5.5 Upon return to the office, Assigned Personnel prepares a General Report detailing the procedures of testing performed and the number of items tested, Itinerary of Travel (IT) if applicable for submission and approval by Engineer IV, V and CAS-Director.

80


Step

Processing Time

Person Responsible

Provide FAS Division copies of the reports for billing purposes.

5. Client waiting for the issuance of SOA


Resolution No. 12,

series of 2009

Table 6, Article 9

(See page no. 194)

One (1) working day and five (5)

minutes

FAS-Billing Section

Personnel




CRD Personnel

81


Step

Processing Time

Person Responsible

5.3 Assigned Personnel prepares and submits a Memorandum to the Ad-Hoc Committee (for pre-commission meeting on the evaluation of the meter shop’s application) for checking and sign off by Engineer IV and V and approval by CAS Director.


5.4 Once approved, CAS Clerk forwards the Memo to the Ad-Hoc Committee thru the Oversight Commissioner who will include the Application in the agenda of the next Ad-Hoc Committee meeting

None CAS Clerk

5.5 Once included, Assigned Personnel presents the Application to the Ad-Hoc Committee for


82


Step

Processing Time

Person Responsible

approval.

5.6 Once approved, Assigned Personnel prepares a Memorandum (for checking and sign off by Engineer IV and V and approval by CAS Director) to the OGCS requesting to include the Application in the agenda of the next Commission En Banc meeting




5.8 Once approved, Assigned Personnel prepares a “Certificate of Authority (CA) to Maintain a Meter Shop” for sign off by Engineer IV, V and CAS

None

83


Step

Processing Time

Person Responsible

Director

5.9 CAS Director endorses the CA to the Chairman/ CEO for signature thru the Oversight Commissioner

None CAS Director

5.10 Once signed, CAS Clerk receives the CA then forwards it to the Assigned Personnel who will notify the Applicant of the approved CA

None CAS Clerk

5.11 Informs/ instructs Reception Personnel to assess for the Applicant’s license fee

6. Applicant reports to ERC-MD, Reception Personnel

6. Reception Personnel assess Applicant’s license fee and accomplish SOA in the ERC electronic BRS.

Resolution No. 12,

series of 2009

Table 6, Article 9

(See page no. 194)

Three (3) minutes


6.1 Instruct the customer to pay the fee

84


Step

Processing Time

Person Responsible

7. Customer to proceeds to the FAS-Billing and Cashier Sections



FAS-Billing Section



ERC Approved Fees and Charges

(Refer to Resolution

No. 12, series of

2009)



9. Client presented Official Receipt (OR) for the release of CA and acknowledge receipt in a logbook

9. Reception Personnel record the details of presented Official Receipt (OR) then release the CA to the Applicant

Seven (7) working

days


85

9. Meter Type Approval Ensure that watt-hour meter products installed by a Distribution Utility or a Redistributor conform to standards and requirements adopted by the ERC in order to guarantee the proper functioning of said meters under normal working conditions.



Type of Transaction: Government-to-Citizen (G2C)


Who may avail: Local Manufacturers or its Authorized Dealer


Duly Accomplished Application Form with Requested Information and Documents

ERC Prescribed Form


CAS Meter Division



Step

Processing Time

Person Responsible

1. A Manufacturer or its Authorized Dealer submits to the Commission a duly accomplished Application

1. MD engineer review the accomplished Application form and the submitted documents.


processing time for

agency actions 1 to 1.3



Resolution No. 12,

series of

86


Step

Processing Time

Person Responsible

Form with the required information and documents.


2009 Table 6, Article 9

(See page no. 194)



5. Billing Section assigned SOA Number, print and hand the SOA to the customer


FAS-Billing Section

3. Customer pay the assessed fee to the Cashier

3. Receives the payment of fee based on the FAS-Billing’s section numbered SOA presented by the customer



4. Applicant submits the Application and proof of payment to the CRD for docketing

4. Docket assigns and stamps a Case No. on the Application then forwards to CAS for appropriate action


days

CRD Personnel

4.1 CAS Clerk receives the Application then forwards it to the CAS Director who will endorses to Engineer V then

None CAS Clerk

87


Step

Processing Time

Person Responsible

to Engineer III who assigns a Personnel to evaluate the Application

4.2 Assigned Personnel prepares and submits a Memorandum to the Ad-Hoc Committee (for pre-commission meeting on the evaluation of the meter type approval application ) for checking and sign off by Engineer IV and V and approval by CAS Director


days


4.3 Once approved, CAS Clerk forwards the Memo to the Ad-Hoc Committee thru the Oversight Commissioner who will include the Application in the agenda of the next Ad-Hoc Committee meeting


days

CAS Clerk

88


Step

Processing Time

Person Responsible

4.4 Once included, Assigned Personnel presents the Application to the Ad-Hoc Committee for approval


4.5 Once approved, Assigned Personnel prepares a Memorandum (for checking and sign off by Engineer IV and V and approval by CAS Director) to the OGCS requesting to include the Application in the agenda of the next Commission En Banc meeting.




days


89


Step

Processing Time

Person Responsible

4.7 Once approved, Assigned Personnel prepares a “Certificate of Meter Type Approval (CA)” for sign off by Engineer IV, V and CAS Director

None CAS Assigned

Personnel,

Engineer IV,

Engineer V

Director

4.8 CAS Director endorses the CA to the Chairman/CEO for signature thru the Oversight Commissioner.

None CAS Director,

Oversight Commissione

r,

Chairperson & CEO

4.9 Once signed, CAS Clerk receives the CA then forwards it to the Assigned Personnel who will notify the Applicant to claim the approved CA

None CAS Clerk

4.10 Assigned Personnel instructs Applicant to submit an undertaking

None CAS Reception Personnel

5. Applicant reports to ERC-MD to submit an undertaking expressing that he shall maintain in his custody

5. Reception Personnel releases the CA after receiving the undertaking from the Applicant who will acknowledge receipt in a logbook.

90


Step

Processing Time

Person Responsible

the specimen meter duly sealed by the ERC without alteration and/or tampering then instructs Reception Personnel to release the CA to the Applicant

Note: Total Processing time should

not exceed 60 calendar days

from submission of

complete documentary requirements in accordance

with R.A. 1123412.

Provided, they submitted the correct and complete

Requirements.

12

Section 13. Time Frame. - The mother agencies shall ensure that all actions on applications before it and its

attached bureaus, offices, and agencies, at both the national and local levels, and GOCCs as well as other

entities shall all be released within the time frames stated below: Provided, That the time frame shall be the

total number of days for the mother agency and its attached bureaus, offices, and agencies, at both the national

and local levels, and GOCCs, as a whole to release actions on applications: Provided, further, That the time

frame shall be counted from the submission of complete documentary requirements. XXX

e) The ERC: sixty (60) calendar days to issue an action on all applications from the submission of all

documentary requirements: Provided, That for all quasi-judicial cases, the ERC shall have two hundred seventy

(270) calendar days to issue an action from the submission of a valid application;

91

10. Processing/Acceptance of Pre-filing/Filing/Submission of Applications ERC-Regulatory Operations Service (ROS) caters to accept pre-filing, filing and submission of applications from a Distribution Utility or Generation Company with required supporting attachments as enumerated below checklist of requirements.

Office or Division: Regulatory Operations Service (ROS)

Classification: Simple Transaction



Who may avail: Distribution Utility

Generation Company

Transmission Company


ROS-Tariff and Rates Division:

A. Application of Approval for a General Change in Rate Structure or revision of Rates of Transmission and Distribution Utility

(Three (3) printed and three (3) soft copies).

Note: Exclusive of Legal Service requirements

Applicant (DU)

1. Calculation of Change in Weighted Index

2. MAP Calculation

3. Annual Historical and Forecast Data Requirements

4. Test of Side Constraint Limitation

5. Constrained MAP Determination

6. Proposed Relaxation of MAP Applicant (DU)

92


7. Rate Schedule (without side constraint

8. Rate Schedule (constrained MAP)

9. Rate Schedule (relaxed MAP)

UFR

1. Summary of Cost of Service Using Revalued Assets

2. Functionalization Factors

3. Billing Determinants and Class Allocation

4. Embedded Cost of Service – Distribution, Supply and Metering and Class Cost Service Analysis

5. Class Allocation Factors –Distribution, Supply and Metering

6. Revenue Allocation

7. Schedule of Monthly kWh and Demand Sales and Number of Customers for the Annual Year after RY (example RY 2012 use Annual year 2011 (Jan to Dec 2011)

8. Schedule of Monthly kWh and Demand Sales and Number of Customers of the previous RY (example RY 2012 use RY 2011 (July 2011 to June 2012)

9. Others

B. Application of Approval of any changes in Rate Structure or revision of Rates of National Power

93


Corporation



1. Summary of the Revenue Requirement/True-up Adjustment

Applicant

2. Results of Operation (ROO)

Projected

Actual

3. Audited or Certified Financial Statements

Third Party

4. Revenue Requirement and Rate Base Components

Applicant

5. Schedule Depreciation Expense DOE

6. Schedule of Fuel Consumption per plant Applicant

7. Schedule of Other Operating Expenses

8. Schedule of Rate Base

9. Schedule of Construction Work-in-Progress

DENR/ERC/DOE

10. UC-ME Subsidy Payments to New Power Producers and/or Qualified Third Party

Applicant

11. Actual UC-ME Received from PSALM Applicant/PSALM

12. Revenue from Sales (Subsidized Approved Generation Rate)

Projected

Actual

Applicant

13. Projected Philippine Energy Sales (PES) DOE

14. Others

94


C. Application of Approval of Power Supply Agreements



Government Requirements

For Distribution Utility (DUs)

1. Articles of Incorporation and By-Laws (Private Corp.) or document that will indicate the list of Board of Directors and Board Members (ECs)

SEC

2. Document showing list of Board of Directors and Board Members and related to the Ultimate Parent Company, its Subsidiaries and all affiliates

For Generation Company (GenCo)

1. Articles of Incorporation and By-Laws of GenCo

2. Shareholders’ Agreement

3. SEC Certificate of Registration of the said Articles of Incorporation

4. List of Shareholders (Latest GIS of GenCo-SEC Form)

5. Document showing information related to the Ultimate Parent Company, its Subsidiaries and all its Affiliates

6. Board of Investment (BOI) Certificate of Registration with attached terms and conditions

BOI

7. Environmental Compliance Certificate (ECC) issued by the DENR

DENR

8. Certificate of Compliance (COC) issued by ERC pursuant to the Guidelines for

ERC

95


the issuance of COC for Generation Companies/Facilities

9. Certificate from DOE regarding Philippine Development Plan (PDP) or Certificate of Endorsement (CoE)

DOE

10. Renewable Energy Service / Operating Contract from DOE

11. Certificate of Registration or Certificate of Confirmation of commerciality by an RE Developer and after due confirmation of DOE

12. If the Application is filed later than two (2) years following the effectivity of the above mentioned Guidelines, the application must include an alternative Demand Sale Management (DSM) program that could be implemented by the DUs if approved by ERC. The DU shall submit the projection costs and benefits of the DBM program

ERC/Applicant (DU)

Supply and Demand Scenario

1. Certification by NPC whether Transition Supply contract (TSC) capacity and energy is expected to be available during the contractual period. Include relevant supporting documentation, data and analysis supporting each statement

NPC

2. Details regarding the load forecast projections in accordance with the latest Distribution Development Plan of the Distribution Utility and the variability of those projections over the proposed contractual period. An estimation of the potential for a reduction in load supplied by the DU due to retail competition. Any inconsistencies shall be supported by relevant analysis.

Also submit the average daily load curve, supply and demand scenario of

Applicant (DU)

96


the DU in accordance with the Commission Template under Annex A of Pre-Filing Checklist Requirement.

Procurement Process Applicant (DU)

1. Details on the procurement process used by the DU leading to the selection of the Generation Company including but not limited to the following items:

1.1 DU Invitation to Participate and submit Proposal (e.g. Publication in newspaper, etc.)

1.2 DU’s Term of Reference (TOR)

1.3 Proposal/s received by the DU, tender offers, etc.

1.4 DU’s Special Bids and Awards Committee (SBAC) Evaluation Report

1.5 Notice of Award issued by the DU

1.6 Matrix and type of Competitive Selection Process (CSP)

1.7 Certification from General Managers (for ECs) or CEO/COO (for Private Corp.) for conducting CSP

Power Supply Agreement and other Agreements

1. Power Supply Agreement/Energy Conversion Agreement Contract for Application including the Original and Amended/Supplemental/Addendum, provide a Matrix to show comparison of the amendments made, if any;

Applicant (DU)

2. Details regarding transmission project or grid connection projects necessary to

Applicant/ERC

97


complement the proposed generation capacity; Identification of the parties that will develop and/or own such facilities; any cost related to such project; and specification of the parties responsible for recovery of any costs related to such projects.

If applicable, submit a copy of Transmission Service agreement, or application for dedicated Point to Point Limited Transmission Facility to ERC, e.g. ERC Case No. of Point to Point, Decision of Commission of the point to point application.

3. Copy of Related Agreements (like Transmission Wheeling Contract, IPPA Agreement, EPC Contract, O&M Contract, Wholesale Aggregator Agreement, Project Feasibility, etc.)

Applicant/ERC

Generation / Power Rate

1. Details of the PSA/ECA Applicant (GenCo)

1.1 Executive Summary

1.2 Source of Funds/Financial Plans

1.2.1 Debt/Equity Ratio

1.2.2 Project Cost

1.2.3 Computation of Return on Investment / WACC

1.2.4 Certification from the Bank/Lending Institution specifying the principal amortization, term and interest during the cooperation period of the loan agreement

Bank/Lending Institution

1.2.5 Life of Asset versus Term of Loan (Computation of levelized cost)

98


1.2.6 Bank Certification of Long-term Loans, including, to wit:

Bank/Lending Institution

1.2.6.1 Schedule of Original Loan (Principal Amount, Interest Payable, Term of Loan)

1.2.6.2 Updated Balances (Principal Amount, Interest Payable, Penalties (if any), remaining term of the loan

1.3 Generation Rate and Derivation Applicant (GenCo)

1.3.1 Financial model containing the derivation of rates (excel file to be required)

1.3.2 Breakdown of the base prices; Capital Recovery Fee, Fixed and Variable O&M, and Fuel Fee

1.3.3 Breakdown of Project Cost and Operations and Maintenance (O&M) Cost including the description and justification of each component

1.3.4 Sample Computation of Power Rates with the supporting documents on the assumptions taken

1.3.5 Rate Impact simulation on the overall rates of the applicant-utility once the contract is approved including an explanation on assumption and input parameters used in the derivation thereof

1.3.6 Basis/rationale of indexation including the sources, reference date and weight of

Applicant (GenCo)

99


indexation

1.3.7 Basis/rationale derivation of Other Charges such as replacement, start-up, pre-commercial, and ancillary costs

1.3.8 Equivalent PhP/kWh with assumptions for foreign denomination rates

1.4 Cash Flow specifying the following:

1.4.1 Initial costs

1.4.2 Breakdown of Operating and Maintenance expenses

4. All details on the procurement process of fuel including requests, proposals received, tender offers, etc. Fuel Supply Agreement

Sworn Statement detailing how the fuel was competitively procured, contract terms, unbundled price components (product cost, transshipment, delivery container, etc.

5. All relevant technical and economic characteristics of the generation capacity; Installed Capacity, Mode of Operation Dependable Capacity; Auxiliary load; Scheduled and Unscheduled Outages; Basis/Justification of day used

6. All cost analysis related to the generation in support of the proposed pricing provision of the contract

7. Other documentation that may be needed by ERC in the course of the evaluation, such as but not limited to the

Applicant (GenCo)

100


following:

7.1 Latest and complete set of Audited Financial Statements of the Generation Company (Balance Sheet, Income Statement and Statement of Cash Flows)

7.2 Certification (from the engine manufacturer or IPP) of the net beat rate (initial and every after major maintenance schedule) in liters per kWh

Engine Manufacturer or IPP

7.3 Simulation of the no. of operating units necessary to meet the MEOT and/or additional energy/demand requirements of the DU

Applicant (GenCo)

7.4 Potential Cost (absolute amounts and PhP/kWh) of Ancillary Services as and when the IPP or the DU is connected to the main grid

8. Others

The Pre-filing Checklist is in accordance with Resolution 38, series of 2006, Rule 20 B Section 2 of the ERC Rules of Practice and Procedures, Article VI Sections 1 and 2 of the ERC Guidelines for the Recovery of Costs for the Generation Component of the Distribution Utility (DUs) Rates, Resolution No. 13, Series of 2015 and Resolution No. 1, Series of 2016, unless otherwise provided or considered by the Commission

Applicant (DU)

If any of the above listed documents is alleged to be not applicable, the Applicants shall provide a written justification to support the said allegation.

Section 7 Rule 3 of ERC Rule of Practice and Procedures requires that all pleadings, together with their supporting documents, shall be

101


electronically filed with the submission of at least three (3) USB Flash Drives containing the electronic files thereof in file formats acceptable to the Commission such as Microsoft Office or OpenOffice.

Thus, the Applicant shall submit the documents with the following format:

Pleadings

PDF-Signed Pleading with Verification and Certification against Forum Shipping

MS Word – can be edited

Annexes, Exhibits and Other Evidence

PDF

Rate Computation

MS Excel which can be assessed and edited. Include links

D. Application of Approval of NPP SPUG Rates



Government Requirements

For Distribution Utility (DUs)

1. Articles of Incorporation and By-Laws (Private Corp.) or document that will indicate the list of Board of Directors and Board Members (ECs)

SEC

102


2. Document showing list of Board of Directors and Board Members and related to the Ultimate Parent Company, its Subsidiaries and all affiliates

SEC

For Generation Company (GenCo)

1. Articles of Incorporation and By-Laws of GenCo

2. Shareholders’ Agreement

3. SEC Certificate of Registration of the said Articles of Incorporation

4. List of Shareholders (Latest GIS of GenCo-SEC Form)

5. Document showing information related to the Ultimate Parent Company, its Subsidiaries and all its Affiliates

6. Board of Investment (BOI) Certificate of Registration with attached terms and conditions

BOI

7. Environmental Compliance Certificate (ECC) issued by the DENR

DENR

8. Certificate of Compliance (COC) issued by ERC pursuant to the Guidelines for the issuance of COC for Generation Companies/Facilities

ERC

9. Certificate from DOE regarding Philippine Development Plan (PDP) or Certificate of Endorsement (CoE)

DOE

10. Renewable Energy Service / Operating Contract from DOE

11. Certificate of Registration or Certificate of Confirmation of commerciality by an RE Developer and after due confirmation of DOE

103


12. If the Application is filed later than two (2) years following the effectivity of the above mentioned Guidelines, the application must include an alternative Demand Sale Management (DSM) program that could be implemented by the DUs if approved by ERC. The DU shall submit the projection costs and benefits of the DBM program

Applicant (DU)

Supply and Demand Scenario

1. Certification by NPC whether Transition Supply contract (TSC) capacity and energy is expected to be available during the contractual period. Include relevant supporting documentation, data and analysis supporting each statement

NPC

2. Details regarding the load forecast projections in accordance with the latest Distribution Development Plan of the Distribution Utility and the variability of those projections over the proposed contractual period. An estimation of the potential for a reduction in load supplied by the DU due to retail competition. Any inconsistencies shall be supported by relevant analysis.

Also submit the average daily load curve, supply and demand scenario of the DU in accordance with the Commission Template under Annex A of Pre-Filing Checklist Requirement

Applicant (DU)

Procurement Process

1. Details on the procurement process used by the DU leading to the selection of the Generation Company including but not limited to the following items:

Applicant (DU)

1.1 DU Invitation to Participate and submit Proposal (e.g. Publication in newspaper, etc.)

104


1.2 DU’s Term of Reference (TOR) Applicant (DU)

1.3 Proposal/s received by the DU, tender offers, etc.

1.4 DU’s Special Bids and Awards Committee (SBAC) Evaluation Report

1.5 Notice of Award issued by the DU

1.6 Matrix and type of Competitive Selection Process (CSP)

1.7 Certification from General Managers (for ECs) or CEO/COO (for Private Corp.) for conducting CSP

Power Supply Agreement and other Agreements

1. Power Supply Agreement/Energy Conversion Agreement Contract for Application including the Original and Amended/Supplemental/Addendum, provide a Matrix to show comparison of the amendments made, if any

Applicant (DU)

2. Details regarding transmission project or grid connection projects necessary to complement the proposed generation capacity; Identification of the parties that will develop and/or own such facilities; any cost related to such project; and specification of the parties responsible for recovery of any costs related to such projects.

If applicable, submit a copy of Transmission Service agreement, or application for dedicated Point to Point Limited Transmission Facility to ERC, e.g. ERC Case No. of Point to Point, Decision of Commission of the point to point application

Applicant /ERC

3. Copy of Related Agreements (like Transmission Wheeling Contract, IPPA

105


Agreement, EPC Contract, O&M Contract, Wholesale Aggregator Agreement, Project Feasibility, etc.)

Generation / Power Rate

1. Details of the PSA/ECA Applicant (GenCo)

1.1 Executive Summary

1.2 Source of Funds/Financial Plans

1.2.1 Debt/Equity Ratio

1.2.2 Project Cost

1.2.3 Computation of Return on Investment / WACC

1.2.4 Certification from the Bank/Lending Institution specifying the principal amortization, term and interest during the cooperation period of the loan agreement

Bank/ Lending Institution

1.2.5 Life of Asset versus Term of Loan (Computation of levelized cost)

1.2.6 Bank Certification of Long-term Loans, including, to wit:

1.2.6.1 Schedule of Original Loan (Principal Amount, Interest Payable, Term of Loan)

1.2.6.2 Updated Balances (Principal Amount, Interest Payable, Penalties (if any), remaining term of the loan

106


1.3 Generation Rate and Derivation Applicant (GenCo)

1.3.1 Financial model containing the derivation of rates (excel file to be required)

1.3.2 Breakdown of the base prices; Capital Recovery Fee, Fixed and Variable O&M, and Fuel Fee

1.3.3 Breakdown of Project Cost and Operations and Maintenance (O&M) Cost including the description and justification of each component

1.3.4 Sample Computation of Power Rates with the supporting documents on the assumptions taken

1.3.4 Rate Impact simulation on the overall rates of the applicant-utility once the contract is approved including an explanation on assumption and input parameters used in the derivation thereof

1.3.4 Basis/rationale of indexation including the sources, reference date and weight of indexation

1.3.5 Basis/rationale derivation of Other Charges such as replacement, start-up, pre-commercial, and ancillary costs

1.3.6 Equivalent PhP/kWh with assumptions for foreign denomination rates

107


1.4 Cash Flow specifying the following: Applicant (GenCo)

1.4.1 Initial costs

1.5.1 Breakdown of Operating and Maintenance expenses

4. All details on the procurement process of fuel including requests, proposals received, tender offers, etc. Fuel Supply Agreement

Sworn Statement detailing how the fuel was competitively procured, contract terms, unbundled price components (product cost, transshipment, delivery container, etc.

5. All relevant technical and economic characteristics of the generation capacity; Installed Capacity, Mode of Operation Dependable Capacity; Auxiliary load; Scheduled and Unscheduled Outages; Basis/Justification of day used.

6. All cost analysis related to the generation in support of the proposed pricing provision of the contract

7. Other documentation that may be needed by ERC in the course of the evaluation, such as but not limited to the following:

7.1 Latest and complete set of Audited Financial Statements of the Generation Company (Balance Sheet, Income Statement and Statement of Cash Flows)

7.2 Certification (from the engine manufacturer or IPP) of the net beat rate (initial and every after major maintenance schedule) in liters per kWh


108


7.3 Simulation of the no. of operating units necessary to meet the MEOT and/or additional energy/demand requirements of the DU

Applicant (GenCo)

7.4 Potential Cost (absolute amounts and PhP/kWh) of Ancillary Services as and when the IPP or the DU is connected to the main grid

8. Others

The Pre-filing Checklist is in accordance with Resolution 38, series of 2006, Rule 20 B Section 2 of the ERC Rules of Practice and Procedures, Article VI Sections 1 and 2 of the ERC Guidelines for the Recovery of Costs for the Generation Component of the Distribution Utility (DUs) Rates, Resolution No. 13, Series of 2015 and Resolution No. 1, Series of 2016, unless otherwise provided or considered by the Commission

If any of the above listed documents is alleged to be not applicable, the Applicants shall provide a written justification to support the said allegation.

Section 7 Rule 3 of ERC Rule of Practice and Procedures requires that all pleadings, together with their supporting documents, shall be electronically filed with the submission of at least three (3) USB Flash Drives containing the electronic files thereof in file formats acceptable to the Commission such as Microsoft Office or Open Office.

Applicant (DU)

Thus, the Applicant shall submit the documents with the following format:

Pleadings

PDF - Signed Pleading with Verification and Certification against Forum Shipping

MS Word – can be

109


edited

Annexes, Exhibits and Other Evidence

PDF

Rate Computation

MS Excel which can be assessed and edited. Include links

E. Application of Approval of QTP Rates



1. QTP Service Contract (QSC) NPC / QTP

2. Waiver Contract/Agreement signed by the concerned DU and QTP

DU / QTP

3. Subsidy and Disbursement Agreement (SDA) between QTP and NPC, if any

NPC / QTP

4. DOE Certification that the QTP was pre-qualified in accordance with DOE Circular 2004-06-006 and DOE Circular 2015-12-001

DOE

5. DOE Certification that the QTP was determined based on the DOE’s Selection Process

6. Relevant technical details of engineering design of the proposed system, including the generation facilities and associated delivery systems:

Applicant / Contractor / Supplier

Technology;

Installed Capacity/Dependable Capacity

Auxiliary load;

Mode of Operation;

110


Scheduled and Unscheduled Outages;

Distribution System Design;

Demand-Supply Scenario

7. Relevant financial details of the projects: Applicant/ Bank/ Lending Institution

a. Executive Summary

b. Sources of Funds/ Financial Plans;

Debt/Equity Ratio

Project Cost (including supporting documents: e.g.: Engineering Procurement and Construction Contract (EPC); and

Computation of Return on Investment/ WACC;

Certification from the Bank/Lending Institution specifying the principal amortization, term and interest during the cooperation period of the loan agreement.

Bank Certification of Long-term Loans, including, to wit:

1. Schedule of Original Loan (Principal amount, interest payable, term of the loan)

2. Updated Balances (Principal amount, interest payable, penalties (if any), remaining term of the loan

a. Full Cost Recovery Rate and Derivation Applicant/ Bank/ Lending Institution

Financial model containing the derivation of rates (excel file to be

111


required)

Breakdown of the base prices; Capital Recovery Fee, Fixed and Variable O&M, and Fuel Fee

Breakdown of Project Cost and Operations and Maintenance (O&M) Cost including the description and justification/supporting of each component

Sample Computation of Power Rates with the supporting documents on the assumptions taken.

Rate impact simulation on the overall rates of the applicant-utility once the contract is approved including an explanation on assumptions and input parameters used in the derivation thereof.

Basis/rationale of indexation including the sources, reference date and weight of indexation

Basis/rationale/derivation of Other Charges such as replacement, start-up, precommercial, and ancillary costs

Equivalent PhP/kWh with assumptions for foreign denominated rates

b. Cash Flow specifying the following:

Initial Costs;

Breakdown of Operating and Maintenance expenses; and

c. Indicative/Proposed Subsidized Approved Retail Rate (SARR)

Applicant/ Bank/ Lending Institution

112


d. All details on the procurement process of fuel including requests, proposals received, tender offers, etc.; Fuel Supply Agreement Sworn Statement detailing how the fuel was competitively procured, contract terms, unbundled price components (product cost, transhipment, delivery container, etc.)

8. Other necessary permits to implement the project:

DENR / ERC / DOE

Environmental Compliance Certificate (ECC) issued by the Department of Environment and Natural Resources (DENR)

Certificate of Compliance (COC) issued by the Energy Regulatory Commission of COC for Generation Companies/Facilities

Certification from Department of Energy (DOE) regarding Philippine Development Plan (PDP) or Certificate of Endorsement (CoE).

Renewable Energy Service/ Operating Contract from the Department of Energy (DOE)

9. Other documents and information that ERC may require:

SEC

Articles of Incorporation and By-Laws of the Company

Shareholders’ Agreement

Securities and Exchange Commission (SEC) Certificate of Registration of the said Articles of Incorporation

113


List of Shareholders (Latest GIS - SEC Form)

SEC

Document showing information related to the Ultimate Parent Company, its Subsidiaries and all its affiliates

Applicant

Board of Investment (BOI) Certificate of Registration with attached Terms and Conditions

BOI

Latest and Complete Set of Audited Financial Statements of the Generation Company (Balance Sheet, Income Statement, and Statement of cash flows)

Applicant

Certification (from the engine manufacturer or IPP) of the net heat rate (initial and every after major maintenance schedule) in liters per kWh.


F. Application of Approval of Ancillary Service Procurement Agreement



1. Copy of the ASPA between NGCP and GenCo

NGCP/GenCo

2. NGCP’s procurement for ASPA

3. Copy of Accreditation from NGCP that the generation plant is capable of providing Ancillary Service

4. NGCP’s justification on the proposed ASPA rates – ASPA rate deviation/calculation

114


5. Rate Impact (PhP/kW and PhP/KWhr)

6. Copy of Certificate of Compliance of the generation plant

7. Summary of existing Power Supply Agreements of GenCo (if applicable)

8. Articles of Incorporation and Latest SEC-GIS of GenCo

SEC

9. Latest Audited Financial Statements of GenCo

10. Copy of WESM Registration WESM

11. Others

G. Application of Approval of the utilization/ availment of Universal Charges of NPC/PSALM



1. Audited Variance Analysis Report (VAR) on the National Power Corporation’s Stranded Contract Costs Portion of the Universal Charge with Independent Auditor’s Report

Third Party Auditor/NPC

2. Fuel and Purchased Power Costs Details

a. Total Fuel and Purchased Power Costs of Eligible Plants per Grid

b. Allocation of Fuel and Purchased Power Costs into TSC and WESM for Existing Eligible Plants

Applicant/TSC/WESM

c. Fuel and Purchased Power Costs of Eligible Plants Under Independent Power Producer Administration (IPPA)

IPPA

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3. PSALM report on Operating Results of Eligible Independent Power Producers (IPPs)

IPPs/IPPA

4. Summary of Fixed and Variable Costs of Eligible IPPs under Independent Power Producer Administration Agreement (IPPAA)

5. Other OPEX of Eligible Plants under IPPAA

6. IPPAA Monthly Payments (for SCC Calculation) of Eligible

7. Summary of IPPA - Generation Payments

8. Summary of IPPA Billings- Energy Fees

9. Electricity Sales Forecast (in GWh) by GRID

DOE

10. Other supporting calculation/documents as necessary

Applicant

H. Application of Approval of Loan Application of Distribution Utility



Applicant (DU)

1. Copy of Audited Financial Statement including notes for prior year, test year and latest year

2. Letter of Approval of Lending Institution from where the loan is to be secured

Lending Institution

3. Letter Approval of NEA for the authority to secure loans from other sources.(Collateral Sharing, applicable to ECs only)

NEA

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4. List of projects and/or items of equipment and their estimated cost to which the proceeds of the loan will be utilized.

Applicant

5. Details or Specification of the equipment/projects to be purchased/ built.

6. Bases/Reasonableness of the estimated cost per project/equipment

7. Copy of Loan Agreement

8. List of properties to be mortgaged

9. Actual amount of drawdown released by the Lending Institutions, the date or dates the application received said amounts, as well as the exchange rate at the time of receipt of the same.

10. List of fixed assets acquired and the expenses incidental to said acquisition derived from the proceeds of loan, indicating the cost of each type of fixed asset and its date of acquisition

11. Amortization Schedule showing principal and interest payments of loans and the exchange rate at the time of payment.

12. If loan is a CAPEX, an application for CAPEX should also be filed with SD (simultaneous filing)

13. Detailed schedule of Utilization

14. Schedule of Assets Additions

15. Computation of impact to rates

16. Computation of Financial Ratios (test year and projected years of payment of loans)

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17. Justification, study, computation and benefits resulting from securing loans.

Applicant

18. Others

I. Application of Authority to issue or increase capital stock


1. Application with prayer Applicant

2. Director’s Certificate or Board Resolution on the Increase of Capital Stock

3. Amended Article of Incorporation duly notarized

SEC

4. Certificate of Increase in Capital Stock of DU signed by Authorized signatories/Executive Director

Applicant

5. Notarized Treasurer’s Affidavit of the Increase of Capital Stock

6. Summary of Capital Projects (supported by ERC Decision on Approved CAPEX or list of ERC Cases of CAPEX with pending approval from ERC)

Applicant / ERC

7. Security and Exchange Commission Certification of the increased in Capital Stock.

SEC

8. Postings of application with LGU within the franchise area of DU

Applicant

9. Publication of Application in a general circulation newspaper

Applicant

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J. Application for Approval of the Annual Revenue Requirement and Performance Incentive Scheme for the Regulatory Period in accordance with the provisions of the Rules for setting the Distribution Wheeling Rates (RDWR) as amended

(Three (3) copies printed and three (3) soft copies).


Regulatory Asset Base Applicant (DU)

1. Summary of optimized depreciated replacement cost (ODRC) and the depreciated historical cost of the Regulatory Asset Base at the initial valuation date (the Regulatory Asset Base)

2. Summary of optimized depreciated replacement cost (ODRC) and the depreciated historical cost of the Original Regulatory Asset Base at the start of the Second Regulatory Period, with supporting Calculations for indexing applied

3. Assets forecast to be acquired during the period between the initial valuation date and the start of the Secondary Regulatory Period

3.1 Schedule of assets to be acquired

3.2 Value of the assets to be acquired

3.3 Justification for assets to be acquired

4. Forecast asset disposal during the period between the initial valuation date and the start of the Second Regulatory Period

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4.1 Schedule of assets to be disposed of Applicant (DU)

4.2 Value of the assets to be disposed of

4.3 Forecast income from the sale of disposed assets

5. ODRC depreciation schedule for the Regulatory Asset Base for the period between the initial valuation date and the start of the Second Regulatory Period

5.1 Assets included in the Original Regulatory Asset Base

5.2 Assets acquired in the lead-up to the Secondary Regulatory Period

6. Historical cost depreciation schedules for the Regulatory Asset Base for the period between the initial valuation date and the start of the Second Regulatory Period

6.1 Assets included in the Original Regulatory Asset Base

6.2 Assets acquired in the lead-up to the Secondary Regulatory Period

7. Application of the construction work in progress (CWIP) factor to the Regulatory Asset Base as at the start of the Second Regulatory Period

8. Summary of the optimized replacement cost (ODRC) and the depreciated historical cost of the full

Regulatory Asset Base as at the start of the Second Regulatory Period (the opening value of the rolled-forward Regulatory Asset Base)

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Financial indices forecast for Second Regulatory Period

1. Philippine quarterly CPI Applicant

2. United States quarterly CPI

3. PhP/US$ quarterly exchange rate

4. 180-Day Manila Reference Rate

Forecast capital expenditure for the Second Regulatory Period

1. Summary of capital expenditure forecasts for each year of the Second Regulatory Period

1.1 Real values, divided in PhP and US$ components

1.2 Total real values, in PhP

1.3 Total nominal values, in PhP

1.4 Justification for capital expenditure (major and minor projects)

2. Broken down historical capital expenditure

Forecast disposal during the Second Regulatory Period

1. Value of assets to be disposed of (based on ODRC register)

2. Forecast income from the sale of disposed assets

Forecast depreciation during the Second Regulatory Period

1. Depreciation of the opening asset base

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1.1 ODRC basis Applicant

1.2 Historical cost basis

2. Depreciation of the assets forecast to be acquired during the Second Regulatory Period

2.1 ODRC basis

2.2 Historical cost basis

Forecast assets used beyond standard lives

1. Forecast addition to assets used beyond standard lives

2. Forecast removal from assets used beyond standard lives

Forecast operating & maintenance expenditure

1. Summary of forecast operating & maintenance expenditure

1.1 Annual Expenditure, divided in real PhP and US$ components

1.2 Total annual expenditure, in real PhP

1.3 Total annual expenditure, in nominal PhP

1.4 Justification for operating & maintenance expenditure forecasts

2. Historical operating & maintenance expenditure

3. Summary of expenditure on taxes (other than corporate income tax), duties and levies

3.1 Annual expenditure, in real PhP

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3.2 Annual expenditure, in nominal PhP Applicant

3.3 Justification of expenditure

3.4 Historical taxes, levies & duties

Forecast energy consumption and demand

1. Forecast energy consumption figures (kWh)

1.1 Breakdown of consumption figures into customer classes

1.2 Supporting evidence

2. Forecast energy demand figures (MW)

2.1 Breakdown of demand figures into customer classes

2.2 Supporting evidences

3. Forecast customer numbers, per customer class

Regulatory financial statements

Performance incentive scheme details

1. Price-linked incentive scheme

1.1 Details of scheme proposed

1.2 Proposed target levels

1.3 Supporting information & calculations

2. Guaranteed service level scheme

2.1 Details of scheme proposed

2.2 Proposed target levels

2.3 Proposed penalty levels

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2.4 Supporting information & calculations

Applicant

Additional Information for price-cap model

1. Contact details for input sheets

2. 2010 Calendar year billing & consumption data (estimate)

3. Related business revenue for 2010 calendar year (estimate)

4. Tax losses carried forward from 2010 and 2011 regulatory years (estimate)

5. Inputs for financial statement projections

Detailed calculations for Second Regulatory Period

1. Rolled forward regulatory asset base

2. Annual revenue requirement

3. Corporate income tax forecasts

4. Forecast price-caps for the opening and subsequent years of the Second Regulatory Period

5. Calculation of demonstrative unbundled rates

6. Others

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ROS-Standard Division (SD)

A. Application of Authority to improve or expand transmission facilities consistent with the Grid Code and the Transmission Development Plan


Note: Exclusive of Legal Service Requirements

Applicant (TU/DU)

1. Company Profile

1.1 Provide brief history of the DU to include the expiration date of the franchise

1.2 Franchise Coverage area

1.3 Length of lines

1.4 System Map (showing locations of substation, 69 kV facilities, NGCP S/S if any, etc.

1.5 Single line diagram of the distribution system (substation plus primary feeder line)

1.6 Existing substations

1.7 Number of customers

1.8 All other information related to the operation of the DU

2. Problem Description

2.1 State the specific description of the problem of the distribution system.

3. Proposed Project

3.1 Project Title – abbreviated title of the project

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3.2 Project Description – state the specific activity to be undertaken under the project proposal

Applicant (TU/DU)

3.3 Project Justification – criteria and system performance with and without the proposed project. Summarized discussion with details of discussion

3.3 Project Schedule – duration of the project implementation and year of project start up and year of project commissioning

3.4 Project Cost – state the expected amount to be incurred in implementing the project proposal. For implemented project, provide the abstract of bids, if any

4. Financing Plan

4.1 Discussion on how the project will be funded or the specific plan of the DU in financing the project proposal. If with loan, indicate the terms of the loan. If the loan was already acquired, state the specific of the loan agreement

5. Indicative Rate Impact of the Project or Rate Impact Analysis to include sensitivity analysis (for electric cooperative)

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6. Details of the proposed capital project Applicant (TU/DU)

6.1 Below table will be used for the more detailed discussion of the project.

Project Code

<Code> Project Type <Type>

Priority Rank <Rank>

Project Category

<Category of Distribution Development Project>

Project Title

<Abbreviated Title of the Project>

Project Cost

Project Duration

<Duration of project implementation and year of project start up and year of project commissioning>

Project Description

<Detailed description of the project>

Project Justification

<Describe the problem being addressed by the project and consequences if the project is not pursued>

Technical Analysis

<Criteria and System Performance without and with the proposed project>

Economic Analysis

<Summary of technically feasible projects that are evaluated, the present value of life cycle costs of each project alternative, and the financial indices (NPV and B/C). Mandatory project must be marked as least-cost>

Annexes <Date and assumption used in technical and economic analysis, calculation sheets,

127


simulation reports, and other relevant information such as diagrams, drawings and pictures>

7. Others

B. Application of Authority for the increase of equipment, construction, operation and installation of new units, increase of capacity or the extension of means or general extensions in the service


Note: Exclusive of Legal Service Requirements

Applicant (TU/DU)

1. Company Profile

1.1 Provide brief history of the DU to include the expiration date of the franchise

1.2 Franchise Coverage area

1.3 Length of lines

1.4 System Map (showing locations of substation, 69 kV facilities, NGCP S/S if any, etc.

1.5 Single line diagram of the distribution system (substation plus primary feeder line)

1.6 Existing substations

1.7 Number of customers

1.8 All other information related to the operation of the DU

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2. Problem Description Applicant (TU/DU)

2.1 State the specific description of the problem of the distribution system.

3. Proposed Project

3.1 Project Title – abbreviated title of the project

3.2 Project Description – state the specific activity to be undertaken under the project proposal

3.3 Project Justification – criteria and system performance with and without the proposed project. Summarized discussion with details of discussion

3.4 Project Schedule – duration of the project implementation and year of project start up and year of project commissioning

3.5 Project Cost – state the expected amount to be incurred in implementing the project proposal. For implemented project, provide the abstract of ids, if any

4. Financing Plan

4.1 Discussion on how the project will be funded or the specific plan of the DU in financing the project proposal. If with loan, indicate the terms of the loan. If the loan was already acquired, state the specific of the loan agreement

5. Indicative Rate Impact of the Project or Rate Impact Analysis to include sensitivity analysis (for electric cooperative)

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6. Details of the proposed capital project Applicant (TU/DU)

6.1 Below table will be used for the more detailed discussion of the project.

Project Code

<Code> Project Type <Type>

Priority Rank <Rank>

Project Category

<Category of Distribution Development Project>

Project Title

<Abbreviated Title of the Project>

Project Cost

Project Duration

<Duration of project implementation and year of project start up and year of project commissioning>

Project Description

<Detailed description of the project>

Project Justification

<Describe the problem being addressed by the project and consequences if the project is not pursued>

Technical Analysis

<Criteria and System Performance without and with the proposed project>

Economic Analysis

<Summary of technically feasible projects that are evaluated, the present value of life cycle costs of each project alternative, and the financial indices (NPV and B/C). Mandatory project must be marked as least-cost>

Annexes <Date and assumption used in technical and economic analysis, calculation sheets,

130


simulation reports, and other relevant information such as diagrams, drawings and pictures>

7. Others

C. Application of Approval or modification of Certificates of Public Convenience and/or Necessity (CPCN) of franchised electric utilities in accordance with law



Applicant (TU/DU)

Filing of Applications

1. Application Form: All entities shall file a formal application for the issuance of a CPCN

2. Qualifications: Following qualifications shall be issued a CPCN: (a) Filipino citizenship or corporations, co-partnerships, associations or joint-stock companies constituted and organized under Philippine laws provided that sixty (60) per centrum of the stock or paid up capital of any such corporation, co-partnership, association or joint-stock company belong entirely to the citizens of the Philippines (b) technical capability, (c) financial Capability, and (d) franchise for operating and maintaining a transmission or distribution system issued by the Philippine Congress, or the ERC pursuant to the Section 8 of the Act

3. Term of CPCN: The CPCN shall be valid only for the term of the entity’s franchise

131


4. Renewal of CPCN: The application for the renewal of a CPCN shall be filed one (1) year before its expiration

Applicant (TU/DU)

Requirements

Submission of Required Data:

General Documents

1. Copy of Franchise issued by the Congress of the Philippines, or the ERC in the case of a consortium of distribution utilities. In the event that the CPCN application is filed prior t the grant of a franchise to operate a transmission or distribution system, the applicant shall submit a copy of the proposed House and/or Senate Bill pending approval of its franchise by the Congress of the Philippines of the application for a franchise filed with the ERC, in the case of a Consortium

Congress of the Philippines/ERC

2. Key Management Officials: List of names, titles and responsibilities of all key management officials as submitted to the Securities and Exchange Commission (SEC) and the Philippine Stock Exchange (PSE). In the absence of the foregoing, applicant submits the list of names, titles, and responsibilities of major stockholders and officers.

Applicant

3. Corporate od Partnership Documents: (1) For a Corporation – Certificate of Incorporation; Articles of Incorporation and By-laws (2) For a Partnership – Certificate of Partnership, Articles of Incorporation and Articles of Partnership (3) For a Consortium – Certificate of Incorporation, Articles of Incorporation or Shareholder’s Agreement and By-laws

132


4. Service Area Map: (1) For entities engaged in the transmission of electricity – a map clearly showing the boundary of the applicant’s service area (2) For entities engaged in the distribution of electricity and Consortium – Map clearly showing the boundary of the applicant’s service area, total number of energized municipalities or barangays and total number of unenergized municipalities or barangays

Applicant

5. Utility Practices and Procedures

For New CPCN

1. Proposed tariff or practices and procedures of the applicant showing all rates, deposits and charges associated with providing the proposed service to the general public; and

2. Standard practices the applicant will follow when dealing with its customers, i.e. billing practices, conditions of disconnection, etc.

For Renewal of CPCN

1. Statement to the effect that it adopts its previously submitted utility practices and procedures unless there are changes thereon at the time of renewal. In which case, the new standard practices and procedures have to be submitted; and

2. Statement of its effective tariff

Technical Documents/ Information

For New CPCN

1. For entities engaged in the transmission of electricity

133


a. List of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system;

Applicant

b. Information regarding the power supply for the proposed service area indicating the contracted demand and energy

c. Single line diagram of the transmission system drawn in adequate scale on the map of the franchise area to be supplied with electricity, showing the location of substation, poles, and lines indicating substation name and capacity; designation of feeders or circuits; types of poles used (wood, steel or concrete); voltage level in kilovolt (kV) per feeder or circuit; length of each feeders in circuit-kilometers; and number of customers connected to each feeders or circuits; and

d. Copy of submitted Statement of Compliance and Compliance Plan to the Philippine Grid Code (PGC)

2. For entities engaged in the distribution of electricity



134


c. Single line diagram of the transmission system drawn in adequate scale on the map of the franchise area to be supplied with electricity, showing the location of substation, poles, and lines indicating substation name and capacity; designation of feeders or circuits; types of poles used (wood, steel or concrete); voltage level in kilovolt (kV) per feeder or circuit; length of each feeders in circuit-kilometers; and number of customers connected to each feeders or circuits;

Applicant

d. Copy of submitted Statement of Compliance and Compliance Plan to the PGC and PDC; and

e. Description of any negotiations with telephone and/or cable television utilities on the joint use of pole lines

For renewal of CPCN



b. Updated information regarding the power supply for the proposed service area indicating the contracted demand and energy

135


c. Copy of the existing single line diagram of the transmission system drawn in adequate scale on the map of the franchise area to be supplied with electricity, showing the location of substation, poles, and lines indicating substation name and capacity; designation of feeders or circuits; types of poles used (wood, steel or concrete); voltage level in kilovolt (kV) per feeder or circuit; length of each feeders in circuit-kilometers in electronic format or hard copy; and

Applicant

d. Statement confirming that the existing transmission system meets the technical requirements of the PGC or a Statement to the effect that compliance with some technical requirements are still pending approval by the ERC




136



Applicant

d. Statement confirming that the existing transmission system meets the technical requirements of the PGC or a Statement to the effect that compliance with some technical requirements are still pending approval by the ERC; and

e. Description of any new negotiations with telephone and/or television utilities on the joint use of the pole lines

Financial Information

Financial Status

a. Copies of the most recent year’s audited balance sheet and income statement if the applicant is an existing business which previously has not operated as a public utility or has not been previously authorized to operate as a public utility

b. Copies of the most recent year’s audited balance sheet and income statement of the principal owners of the business if the applicant is a new business which proposes to operate as a utility; and

137


c. Copies of the appropriate pages from its annual report submitted to the Commission, if those pages still reflect the current financial status of the utility, or copies of current statements to other agencies or copies of its most recent internal documents which contain substantially the same information if the applicant is authorized to operate as a public utility.

Applicant

Others

Failure on the part of a distribution utility, Consortium or the Buyer/Concessionaire to submit any of the required data/information shall be ground for the denial of the application.

D. Application of Authority to sell and alienate its franchise, certificate, privileges or rights or any part thereof, merge or consolidate its property, franchise, certificate, privileges, or rights or any part thereof, with CPC/CPCN with any other utility/public service



Transmission Utility / Distribution Utility

Filing of Applications

1. Application Form: All entities shall file a formal application for the issuance of a CPCN

2. Qualifications: Following qualifications shall be issued a CPCN: (a) Filipino citizenship or corporations, co-partnerships, associations or joint-stock companies constituted and organized under Philippine laws provided that sixty (60) per centrum of the stock or paid up

138


capital of any such corporation, co-partnership, association or joint-stock company belong entirely to the citizens of the Philippines (b) technical capability, (c) financial Capability, and (d) franchise for operating and maintaining a transmission or distribution system issued by the Philippine Congress, or the ERC pursuant to the Section 8 of the Act

3. Term of CPCN: The CPCN shall be valid only for the term of the entity’s franchise

4. Renewal of CPCN: The application for the renewal of a CPCN shall be filed one (1) year before its expiration

Requirements

Submission of Required Data:

General Documents

1. Copy of Franchise issued by the Congress of the Philippines, or the ERC in the case of a consortium of distribution utilities. In the event that the CPCN application is filed prior to the grant of a franchise to operate a transmission or distribution system, the applicant shall submit a copy of the proposed House and/or Senate Bill pending approval of its franchise by the Congress of the Philippines of the application for a franchise filed with the ERC, in the case of a Consortium

Congress of the Philippines/ERC

2. Key Management Officials: List of names, titles and responsibilities of all key management officials as submitted to the Securities and Exchange Commission (SEC) and the Philippine Stock Exchange (PSE). In the absence of the foregoing, applicant submits the list of names, titles, and responsibilities of major stockholders and officers.

Applicant

139


3. Corporate od Partnership Documents: (1) For a Corporation – Certificate of Incorporation; Articles of Incorporation and By-laws (2) For a Partnership – Certificate of Partnership, Articles of Incorporation and Articles of Partnership (3) For a Consortium – Certificate of Incorporation, Articles of Incorporation or Shareholder’s Agreement and By-laws

Applicant

4. Service Area Map: (1) For entities engaged in the transmission of electricity – a map clearly showing the boundary of the applicant’s service area (2) For entities engaged in the distribution of electricity and Consortium – Map clearly showing the boundary of the applicant’s service area, total number of energized municipalities or barangays and total number of unenergized municipalities or barangays

5. Utility Practices and Procedures

For New CPCN

1. Proposed tariff or practices and procedures of the applicant showing all rates, deposits and charges associated with providing the proposed service to the general public; and

2. Standard practices the applicant will follow when dealing with its customers, i.e. billing practices, conditions of disconnection, etc.

For Renewal of CPCN

1. Statement to the effect that it adopts its previously submitted utility practices and procedures unless there are changes thereon at the time of renewal. In which case, the new standard practices and procedures have to be submitted; and

140


2. Statement of its effective tariff Applicant

Technical Documents/Information

For New CPCN




c. Single line diagram of the transmission system drawn in adequate scale on the map of the franchise area to be supplied with electricity, showing the location of substation, poles, and lines indicating substation name and capacity; designation of feeders or circuits; types of poles used (wood, steel or concrete); voltage level in kilovolt (kV) per feeder or circuit; length of each feeders in circuit-kilometers; and number of customers connected to each feeders or circuits; and

d. Copy of submitted Statement of Compliance and Compliance Plan to the PGC



141



Applicant

c. Single line diagram of the transmission system drawn in adequate scale on the map of the franchise area to be supplied with electricity, showing the location of substation, poles, and lines indicating substation name and capacity; designation of feeders or circuits; types of poles used (wood, steel or concrete); voltage level in kilovolt (kV) per feeder or circuit; length of each feeders in circuit-kilometers; and number of customers connected to each feeders or circuits;

d. Copy of submitted Statement of Compliance and Compliance Plan to the PGC and PDC; and

e. Description of any negotiations with telephone and/or cable television utilities on the joint use of pole lines

For renewal of CPCN




142



Applicant

d. Statement confirming that the existing transmission system meets the technical requirements of the PGC or a Statement to the effect that compliance with some technical requirements are still pending approval by the ERC




143



Applicant

d. Statement confirming that the existing transmission system meets the technical requirements of the PGC or a Statement to the effect that compliance with some technical requirements are still pending approval by the ERC; and

e. Description of any new negotiations with telephone and/or television utilities on the joint use of the pole lines

Financial Information

Financial Status

a. Copies of the most recent year’s audited balance sheet and income statement if the applicant is an existing business which previously has not operated as a public utility or has not been previously authorized to operate as a public utility

b. Copies of the most recent year’s audited balance sheet and income statement of the principal owners of the business if the applicant is a new business which proposes to operate as a utility; and

144


c. Copies of the appropriate pages from its annual report submitted to the Commission, if those pages still reflect the current financial status of the utility, or copies of current statements to other agencies or copies of its most recent internal documents which contain substantially the same information if the applicant is authorized to operate as a public utility.

Applicant

Others

Failure on the part of a distribution utility, Consortium or the Buyer/Concessionaire to submit any of the required data/information shall be ground for the denial of the application.

E. Application of Authority to develop and own or operate a dedicated point-to-point limited distribution and transmission facilities.

Note: exclusive of Legal Service Requirements

Applicant (GenCo)

For Distribution

Application shall be filed with the ERC together with properly labeled three (3) hard copies and three (3) electronic copies of the following documents:

1. Description of the project;

2. Options/Alternatives considered in lieu of the proposed project(s) with corresponding analyses of advantages/disadvantages of each option;

3. Proof that the project is consistent with the Distribution Development Plan (DDP)/ Transmission Development Plant (TDP) i.e. copy of the DDP/TDP portion showing the projects;

145


4. Distribution Impact Study, Facility Study and Technical Analysis (commercial software load flow simulation and interpretation of results showing the electrical effects of the proposed project/s such as power transformer loadings, voltage drop, power quality, system loss, frequency, harmonics, load / phase balancing etc.);

Applicant (GenCo)

5. Proof of compliance with Philippine Distribution Code (PDC) 4.3.3.713;

6. Detailed Single Line Diagram (SLD);

7. Conceptual Engineering design and drawings;

8. Detailed project cost estimates which has to be in reference to the submitted engineering design and bill of materials including switchyard;

9. Gantt chart schedule of the proposed projects which has to reflect the target dates and actual dates for the following: (see attached Annex “A” for reference)

a. Start of the construction of the Power Plant and the Interconnection Facility;

b. Completion of the construction of the Power Plant and the Interconnection Facility;

c. Testing and Commissioning;

13

In case of Embedded Generating Plants with capacity of 10MW and above for Luzon, and 5MW and above

for Visayas and Mindanao, the Distribution Utility upon receipt of the application for connection, shall inform

the Transmission Network Provider about the application for connection of the User. The Transmission Network

Provider will assess the application. Certain conditions or special requirements, if any, shall be clearly stated

and justified by the Transmission Network Provider for compliance of the User.

The Distribution Utility shall formally inform the User of the results of the Distribution Impact Study as well as

the assessment made by the Transmission Network Provider, if any.

146


d. Commercial Operation; Applicant (GenCo)

10. Name/s and company profile/s of contractors to be involved in the construction of the dedicated point-to-point limited facilities;

11. Demand-Supply Scenario;

12. Connection Agreement;

13. Board resolution or secretary’s certificate approving the proposed projects;

14. Sworn statement / Manifestation from the authorized representative of the Regulated Entity that an application for approval from the concerned agencies that may have interest the proposed project has been filed/ or shall be filed by the Regulated Entity (specify date of filing and furnish ERC a copy within five (5) working days upon filing);

15. Environmental Compliance Certificate (for Power Transmission line and Substation/Switchyard with total power generating capacity greater than 138 kV and 220 kV, respectively) or Certificate of Non-Coverage (for Power Transmission line and Substation/Switchyard with total power generating capacity less than or equal to 138 kV and 220 kV, respectively);

DENR

16. Certificate of Registration (COR) from the Department of Energy (DOE);

DOE

17. Operating Contract between the Plant and DOE or Service Contract (for FIT);

18. Other relevant certifications from the DOE;

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19. Other required data: Applicant

a. General Documents

i. Key Management Officials

The list of names, titles, and responsibilities of all key management officials as submitted to the Securities and Exchange Commission (SEC), and the Philippine Stock Exchange (PSE). In the absence of the foregoing, the list of names, titles, and responsibilities of major stockholders and officers of the applicant shall be submitted.

ii. Corporate or Partnership Documents

b. Technical Documents/Information

(Applicable ONLY if the applicant will be the one to Operate and Maintain the Dedicated Point-To-Point Limited Facility)

i. Proof of technical capability to operate a limited point-to-point facilities;

ii. The list of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system; and

iii. Statement of Compliance and Compliance Plan to the PDC.

148


For Transmission Applicant

Application shall be filed with the ERC together with properly labeled three (3) hard copies and three (3) electronic copies of the following documents:

20. Description of the project;

21. Options/Alternatives considered in lieu of the proposed project(s) with corresponding analyses of advantages/disadvantages of each option;

22. Proof that the project is consistent with the Transmission Development Plan (TDP) i.e. copy of the TDP portion showing the projects;

23. System/Grid Impact Study, Facility Study and Technical Analysis (commercial software load flow simulation and interpretation of results showing the electrical effects of the proposed project/s such as power transformer loadings, voltage drop, power quality, system loss, frequency, harmonics, load / phase balancing etc.);

24. Detailed Single Line Diagram (SLD);

25. Conceptual Engineering design and drawings;

26. Detailed project cost estimates which has to be in reference to the submitted engineering design and bill of materials including switchyard;

.

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27. Gantt chart schedule of the proposed projects which has to reflect the target dates and actual dates for the following: (see attached Annex “A” for reference)

Applicant

a. Start of the construction of the Power Plant and the Interconnection Facility;

b. Completion of the construction of the Power Plant and the Interconnection Facility;

c. Testing and Commissioning;

d. Commercial Operation;

28. Name/s and company profile/s of contractors to be involved in the construction of the dedicated point-to-point limited transmission facilities;

29. Demand-Supply Scenario;

30. Connection Agreement;

31. Board resolution or secretary’s certificate approving the proposed projects;

32. Sworn statement / Manifestation from the authorized representative of the Regulated Entity that an application for approval from the concerned agencies that may have interest the proposed project has been filed/ or shall be filed by the Regulated Entity (specify date of filing and furnish ERC a copy within five (5) working days upon filing);

150


33. Environmental Compliance Certificate (for Power Transmission line and Substation/Switchyard with total power generating capacity greater than 138 kV and 220 kV, respectively) or Certificate of Non-Coverage (for Power Transmission line and Substation/Switchyard with total power generating capacity less than or equal to 138 kV and 220 kV, respectively);

Applicant

34. Certificate of Registration (COR) from the Department of Energy (DOE);

DOE

35. Operating Contract between the Plant and DOE or Service Contract (for FIT);

36. Other relevant certifications from the DOE;

37. Other required data: Applicant

a. General Documents

i. Key Management Officials

The list of names, titles, and responsibilities of all key management officials as submitted to the Securities and Exchange Commission (SEC), and the Philippine Stock Exchange (PSE). In the absence of the foregoing, the list of names, titles, and responsibilities of major stockholders and officers of the applicant shall be submitted.

ii. Corporate or Partnership Documents

b. Technical Documents/Information (Applicable ONLY if the applicant will be the one to Operate and Maintain the Dedicated Point-To-Point Limited Facility)

151


i. Proof of technical capability to operate a limited transmission facilities;

Applicant

ii. The list of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system; and

iii. Statement of Compliance and Compliance Plan to the PGC.

ROS-Investigation and Enforcement Division (IED-DU)

A. Application for Confirmation and approval of calculations of over or under recoveries in the implementation of automatic cost adjustments and true up mechanisms.

Note: Exclusive of Legal Service Requirements)

Applicant

Folder 1 - Application

A. Application – one (1) copy hard and soft copy (MS Word)

B. Summary of OU Recoveries Computation per charges for the entire period in yearly presentation – three (3) copies printed and three (3) USB Flash Drives with the excel form

C. Proposed Scheme of Refund/Collect using the latest kwh sales – printed and excel form

152


Folder 2 - Supplier and Transmission Data Applicant

A. Fully Accomplished Supplier and Transmission Data sheet for the year (year 1 – year 2 – year 3) – three (3) copies printed and three (3) USB Flash Drives with the excel form

B. Power bills from suppliers, inclusive of billing adjustments, Debit or Credit Memo and proof of payment (number of power bills depends on the number of suppliers

C. NGCP bills and proof of payment

Folder 3 - Statistical Data

A. Fully Accomplished Statistical Data sheet for the year (year 1 – year 2 – year 3) – three (3) copies printed and three (3) USB Flash Drives with the excel form

B. Summary of Pilferage Cost Recoveries/ Manifestation if N/A (year 1 – year 2 – year 3) – three (3) copies printed and three (3) USB Flash Drives with the excel form

C. Report of Implemented Other adjustment (year 1 – year 2 – year 3) – three (3) copies printed and three (3) USB Flash Drives with the excel form

D. MFSR Sections B and E (Sections B and E per month for the whole application period)

Folder 4 - Actual Implemented Rates Data

A. Fully Accomplished Implemented Rates Sheet for the year (year 1 – year 2 – year 3) – three (3) copies printed and three (3) USB Flash Drives with the excel form

153


B. Fully Accomplished Lifeline Discount Sheet for the year (year 1 – year 2 – year 3) – three (3) copies printed and three (3) USB Flash Drives with the excel form

Applicant

C. Fully Accomplished Senior Citizen Discount Sheet (year 1 – year 2 – year 3) – three (3) copies printed and three (3) Flash Drives with the excel form and Two (2) Consumer Bills per customer class (non-lifeliner)

D. One (1) Consumer Bill per lifeline bracket (lifeliner)

E. One (1) Senior Citizen Consumer Bill per consumption per month for the whole application period

Folder 5 – Other Documents

A. Submitted monthly Uniform Reportorial Requirement (URR) for the whole application period

B. Computation on how the Pass-Through charges were derived (if not implementing the URR-computed rates)

Others

B. Application for Approval of the Proposed Recovery of Franchise and/or Business Tax Payments under the Tax Recovery Adjustment Charge (TRAC) Formula.


Applicant

1. Application

A. Application – three (3) copies printed and three (3) USB Flash Drives (MS Word)

154


B. Summary of BT and FT computation for the entire period (yearly) - three (3) copies printed and three (3) USB Flash Drives with the soft copy

Applicant

C. Proposed Rate of Recovery and period using the latest kwh sales – three (3) copies printed and three (3) USB Flash Drives with the soft copy

2. Attachments

A. Prior year/s tax assessment/s issued by concerned LGUs – three (3) copies printed and three (3) USB Flash Drives with the pdf file

LGU

B. Local tax ordinance of the province, cities and each of the municipalities wherein franchise/business tax are levied– three (3) copies printed and three (3) USB Flash Drives with the pdf file

C. Board resolution authorizing the filing of application– three (3) copies printed and three (3) USB Flash Drives with the pdf file

Applicant

D. Official Receipt of payments– three (3) copies printed and three (3) USB Flash Drives with the pdf file

E. Summary of payment- three (3) copies printed and three (3) USB Flash Drives with the excel form

1. Date of Payment

2. Covered period of payment

3. Breakdown of payment (particulars)

F. Actual distribution revenues- three (3) copies printed and three (3) USB Flash Drives with the excel form

155


G. Breakdown of gross sales/receipts- three (3) copies printed and three (3) USB Flash Drives with the excel form

Applicant

H. Approved bank loans to pay the tax arrears- three (3) copies printed and three (3) USB Flash Drives with the PDF file (Disregard if not applicable)

Bank

I. Others

C. Application for Authority to Implement the Local Franchise Tax (LFT) Rates.


Applicant

1. Application

A. Application - three (3) copies printed and three (3) USB Flash Drives (MS Word)

B. Summary of BT and FT computation for the entire period (yearly) - three (3) copies printed and three (3) USB Flash Drives with the excel form

C. Proposed Rate of Recovery and period using the latest kwh sales – three (3) copies printed and three (3) USB Flash Drives with the excel form

2. Attachments


LGU


156


C. Board resolution authorizing the filing of application– three (3) copies printed and three (3) USB Flash Drives with the pdf file

Applicant


E. Summary of payment- three (3) copies printed and three (3) USB Flash Drives with the excel form

1. Date of Payment



F. Actual distribution revenues- three (3) copies printed and three (3) USB Flash Drives with the excel form

G. Breakdown of gross sales/ receipts- three (3) copies printed and three (3) USB Flash Drives with the excel form

H. Approved bank loans to pay the tax arrears- three (3) copies printed and three (3) USB Flash Drives with the PDF File (Disregard if not applicable)

Bank

I. Others

D. Application for Authority to Implement the Local Business Tax (LBT) Rates.


Applicant

1. Application

A. Application - hard and soft copy (MS Word)

157


B. Summary of Business Tax (BT) and Franchise Tax (FT) computation for the entire period (yearly) - three (3) copies printed and three (3) USB Flash Drives in excel form

Applicant

C. Proposed Rate of Recovery and period using the latest kwh sales – three (3) copies printed and three (3) USB Flash Drives in excel form

2. Attachments


LGU


C. Board resolution authorizing the filing of application– printed and pdf file

Applicant


E. Summary of payment- three (3) copies printed and three (3) USB Flash Drives in excel form

1. Date of Payment



F. Actual distribution revenues- (3) copies printed and three (3) USB Flash Drives in excel form

158


G. Breakdown of gross sales/ receipts- printed and excel form

Applicant

H. Approved bank loans to pay the tax arrears- three (3) copies printed and three (3) USB Flash Drives with the pdf file (Disregard if not applicable)

Bank

I. Others


Processing Time

Person Responsible

1. The Applicant proceeds to the ROS-Tariff and Rates Division (TRD) and Standard Division (SD) and ROS-Investigation and Enforcement Division (IED-DU) for the applications mentioned under “Checklist of Requirements” and to Legal Service to check completeness of requirements.

1. The Receiving Officer/ Officer of the Day examines the application to check the completeness of the documents. The applicant will be required to submit lacking document/s, as needed

None

TRD & SD, IED-DU

Receiving Officer

1.1 The Receiving Officer prepares assessment fees and advises the applicant to pay at the Cashier

None

2. Applicant pays the assessed application/ filing fee to the Cashier and gets the Official Receipt (OR)

2. Receives payment and issues OR

Application Fees:

PHP3,000.00 to

PHP10,000.00 for applicants who are not


159


Processing Time

Person Responsible

paying supervision

fees

PHP700.00 for applicants who

are paying supervision

fees

Legal Research

Fund:

PHP10.00 or 1% of the Filing Fee

whichever is higher –

applicable to all applicants

3. Applicant brings three (3) copies of the application documents together with the attachment, two (2) copies of all compilations in USB Flash Drives and the OP for the Docket Officer of the Docket Section for recording purposes.

4. Receives and records the application

None Central Records Division

Personnel

Total Processing Time: One (1) Working Day, Five

(5) Hours & Fifty (50) minutes

160

11. Processing/Acceptance of Applications Pursuant to Rule 6, Section 1 and Section 2 of the ERC Rules of Practice and Procedure, for rate applications and other types of applications or petitions for relief affecting consumers, the Commission shall require the applicants or petitioners to comply with the pre-filing requirements as described hereunder prior to the acceptance and docketing of the applications or petitions.

Office or Division: Legal Service (LS)

Classification: Simple Transactions


Government-to-Citizens (G2C)

Government-to Government (G2G)

Who may avail: Distribution Utilities

Generation Companies

Government Agencies (NPC, PSALM, TRANSCO, etc.)


I. Pre-Filing Checklist of legal requirements for different types of applications (Rate cases, Non-rate cases and Miscellaneous cases)

Legal Service, Energy Regulatory Commission

A. General Requirements for all types of cases (All in three (3) sets in hard and soft copies):

For the applicants to comply

1. Application and Annexes;

2. Verification and

161


Certification against forum shopping (Verif/Certif);

3. Authority of Affiant to sign the application and the Verif/Certif;

4. Authority of Counsel to file the application;

5. Certification issued by the Local Government Unit (LGU) Legislative Body where the applicant principally operates, to show proof of service of the application and annexes to the said LGU Legislative Body;

B. Additional requirements for specific type of cases:

1. Publication in newspaper of general circulation within the applicant’s franchise area for all rate cases;

2. Proof of conduct of Competitive Selection Process (CSP) for approval of Power Supply Agreement (PSA) applications;

C. Other documents as may be required under the pertinent rules and regulations issued by the Commission.

162


Step

Processing Time

Person Responsible

1. Applicant conducts pre-filing conference with the Legal Service after completing the technical requirements to determine compliance with the legal requirements.

1. Legal Service determines the completeness of the legal requirements submitted by the applicant.

None

One-half (1/2)

working day or (4) hours

from the submission of complete

legal documents.

Assigned Legal Officer of the Week

(Legal Assistant

and/or Lawyer)

2. Applicant pays the required filing fees.

2. Legal Service generates the Statement of Account (SOA) for applicant’s payment of the required filing fees.

Pursuant to ERC

Rules on Fees and Charges

- Assigned Clerk of the

Legal Service

3. Applicant proceeds to the Central Records Division for filing and docketing of application.

3. Legal Service endorses the application for filing.

None - Assigned Legal Officer of the Week

(Legal Assistant

and/or Lawyer)

163

12. Procedures in Collecting Payment Collection of payments for ERC Service Fees

Office or Division: Finance and Administrative Service – Billing Section and Cashier Section



Government-to-Citizens (G2C)

Who may avail: Electric Power Industry – refers to any person or entity that engages in generation, transmission, distribution and sale of electric power to the electric power to the general public and industry


Statement of Account (SOA)

From the following Action Unit:

- Consumer Affairs Service – Meter Division

- Market Operations Service - Legal Service - Regulatory Operations Service - Office of the General Counsel and

Secretariat - Planning and Public Information

Service


Step

Processing Time

Person Responsible

1. Register with the Guard assigned at the FAS

1. Refer the client to the concerned personnel


FAS Guard on duty

2. Secure a Statement of Account (SOA) from concerned personnel for

2. Prepares SOA and give four (4) copies to client

None

Five (5) minutes

Concerned Office/Service

164


Step

Processing Time

Person Responsible

the amount to be paid

3. Proceed to Billing Section for attestation of SOA

3. Attest SOA prepared by the concerned personnel


Accounting Clerk

4. Proceed to Cashier Section and present the SOA for Payment

4. Receives and process SOA with the required attachments for payments

None

Five (5) minutes

Cashier II

5. Give the payment to Cashier and wait for the Official Receipt (O.R)

Form of Payment Accepted:

Cash

Company Check Payable to Energy Regulatory Commission

Cashier’s/ Manager Check payable to Energy Regulatory Commission

5. Collects the check or cash from the client and prepares O.R.

Pursuant to ERC Rules

on Fees and Charges

(Refer to page no.

185)

Three (3) minutes

Cashier II

6. Go back to the concerned personnel and present OR and

6. Verifies the OR duly signed by the Cashier as proof of payment


Concerned Office/Service

165


Step

Processing Time

Person Responsible

copies of SOA

Total Processing Time: Twenty (20) minutes

166

13. Receiving of Consumer Complaints Against Electric Distribution Utilities and Other Providers of Electric Power

Consumer complaints against electric utilities and other providers of electric power are received by the Consumer Affairs Service (CAS) – Consumer Service Division, which handles the ERC’s permanent consumer complaint desk.

Office or Division: Consumer Service Division (CSD)


Type of Transaction: Government-to-Citizens (G2C)



Duly accomplished Complaint Acknowledgement Form - 2 copies

ERC Main Office – CAS-CSD

Letter-Complaint - 3 copies Complainant’s own

Client Steps Agency Action Fees to be

Paid per Step Processing

Time Person

Responsible

1. The consumer signs in the Client log book in the office lobby.

1. Guard gives the log book to the consumer


Lobby Guard

2. The consumer proceeds to the Consumer Service Division (CSD) of the ERC to file a complaint and submit his/her letter-complaint to

2. The OD interviews the consumer regarding the nature of the complaint and asks the consumer to fill in the required information in the Complaint

None Twenty (20) minutes

Energy Regulatory

Officer I or II assigned as CSD Officer of the Day

(OD)

167



Time Person

Responsible

the CSD Officer of the day (OD).

Acknowledgement Form.

2.1. OD files a copy of the Complaint Acknowledgment Form and gives the other copy to Complainant advising him/ her to contact the DU’s Consumer Welfare Desk first in accordance with ERC’s policy to encourage the complainant and the DU concerned to try to settle the complaint amicably.

2.2 For MERALCO-related complaints:

OD refers the consumer to the MERALCO Assistance Consumer Affairs Office (MACAO)

168



Time Person

Responsible

located at the 5th Floor, Pacific Center Bldg. to try to settle the complaint amicably.

3. If the consumer decides to proceed with the filing of the complaint, consumer informs the OD of such.

3. The OD will then schedule the date for conference between the consumer and the DU and writes the schedule on the letter-complaint. OD advises the consumer to attend the scheduled conference and informs him/her that the DU concerned will be directed to immediately address the complaint and attend the scheduled conference as well.


Energy Regulatory

Officer I or II assigned as CSD Officer of the Day

(OD)

169



Time Person

Responsible

4. The consumer then files the letter-complaint with the Central Records Division of the ERC, together with any document/s in his possession, such as a Certificate of Non-Settlement, demand letter, Meter Facilities Inspection Report, etc

4. The Central Records Division of the ERC receives the letter-complaint together with its attachments.

4.1 The Central Records Division returns one stamped-received copy of the letter-complaint to the consumer.


Clerk III or Data

Controller II of the


Total: Forty (40) minutes

170

14. Receiving of Verified (Formal) Complaints Against Electric Distribution Utilities and Other Providers of Electric Power

Verified (Formal) complaints against electric utilities and other providers of electric power are received by the Consumer Affairs Service (CAS) – Consumer Service Division, which handles the ERC’s permanent consumer complaint desk.

Office or Division: Consumer Service Division (CSD)

Classification: Simple

Type of Transaction: Government-to-Citizens (G2C)



Verified Complaint with attached duly notarized Verification and Certification against Forum Shopping - 3 copies

Complainant’s own or using ERC’s Pre-Formatted Verified Complaint Form from CAS CSD, ERC Main Office


Processing Time

Person Responsible

1. The consumer signs in the Client log book in the office lobby

1. Guard gives the log book to the consumer.


Lobby Guard

2. The consumer proceeds to the Consumer Service Division (CSD) of the ERC to file the

2. The OD checks the completeness of the submitted VC.


Energy Regulatory

Officer I or II assigned as

CSD Officer of the Day (OD

2.1 CSD Chief assesses and evaluates if

Ten (10) minutes

Chief Energy Regulatory

Officer of the

171


Processing Time

Person Responsible

Verified Complaint (VC).

the complaint should be endorsed for informal conference (mediation) or for formal hearing.

If complaint has already undergone mediation, CSD Chief approves the filing of the VC. Otherwise, the complaint is treated as a Letter-Complaint and endorsed for informal conference (mediation).

CSD

2.2. Once

the filing of the VC is approved by the CSD Chief, the OD advises the consumer that an Order will be issued setting the case for preliminary hearing and directing the

Ten (10) minutes

Energy Regulatory

Officer I or II assigned as

CSD Officer of the Day (OD)

172


Processing Time

Person Responsible

DU to file its Answer/ Comment. Consumer is advised to attend the scheduled preliminary hearing

3. The consumer files the VC with the Central Records Division of the ERC, together with any document/s in his possession, such as a Certificate of Non-Settlement, demand letter, Meter Facilities Inspection Report, etc.

3. The Central Records Division of the ERC receives the VC together with its attachments

3.1 The Central Records Division returns one stamped-received copy of the VC to the consumer.


Clerk III or Data

Controller II of the Central

Records Division

Total: Forty (40) minutes

173

15. Receiving of Initiatory Pleadings (i.e. applications, petitions, verified complaints)

Receiving documents that initiate cases (such as applications, petitions, verified complaints) by the Central Records Division (CRD) of the ERC. The CRD is responsible for the management of incoming and outgoing documents to/from the Commission and acts as central repository of all correspondences and official acts of the Commission (Resolutions, Office Orders, Decisions, Orders, etc.).








Pre-filing Requirements for Specific Types of Initiatory Pleadings as reviewed by the Legal Service and Regulatory Operations Service

Required number of copies: Three (3) copies

Refer to service numbers:

4. Processing/Acceptance of Pre-filing / Filing / Submission of Applications (ROS)

5. Processing/ Acceptance of Applications (LS) Checklist of Requirements

174


Processing Time

Person Responsible

1. Submission/ Filing of Initiatory Pleadings

1.1 Ensure the following:

a) Accompanied

by a Checklist of Pre-Filing Requirements signed by representatives from the Legal Service and the Regulatory Operations Service indicating completeness and compliance to the pre-filing requirements; and

b) Accompanied by ERC official receipt indicating full payment of the necessary fees (i.e. filing fees) by the applicant/ petitioners;

Filing fees in accordance with Revised Schedule of

ERC Fees and Charges

Ten (10) minutes


day

(OGCS-CRD)

1.2 Receive the documents by stamping on the upper right portion of the documents and indicating the date and hour of receipt and initials of the receiver.

1.3 Assignment of Docket Number

175

16. Receiving of Subsequent Pleadings and

Letters/Correspondences with Assigned Case Numbers

Receiving of subsequent documents related to docketed cases by the Central

Records Division (CRD) of the ERC. The CRD is responsible for the

management of incoming and outgoing documents to/from the Commission

and acts as central repository of all correspondences and official acts of the

Commission (Resolutions, Office Orders, Decisions, Orders, etc.).








Subsequent Pleadings, Letters and Correspondences

Required number of copies: Three (3) copies

From the client


Step

Processing Time

Person Responsible

1. Submission/Filing of subsequent pleadings and letters / correspondences with assigned case numbers

1. Receive the documents by stamping on the upper right portion of the documents and indicating the date and hour of receipt and initials of the receiver.



day

(OGCS-CRD)

176

17. Receiving of Letters/Correspondences Not Relating to Any

Case Filed Before the ERC

Receiving of letters/correspondences not related to any docketed case by the

Central Records Division (CRD) of the ERC. The CRD is responsible for the

management of incoming and outgoing documents to/from the Commission

and acts as central repository of all correspondences and official acts of the

Commission (Resolutions, Office Orders, Decisions, Orders, etc.).








Letters/correspondences not related to any docketed case.

Required number of copies: One (1) copy

From the client


Processing Time

Person Responsible

1. Submission of incoming letters /correspondences not related to any docketed case.

1. Receive the documents by stamping on the upper right portion of the documents and indicating the date and hour of receipt and initials of the receiver.

None

Three (3) minutes

Receiving Officer-of-the-day (OGCS-

CRD)

177

18. Validation of In-Service Meter Sampling Results Tests meters that are already in service at least once every two (2) years in

accordance with a statistical sampling program approved by the ERC.




Who may avail: Distribution Utilities (DU)


Progress Report DU


CAS Meter Division



Step

Processing Time

Person Responsible

1. DU submits to CRD the Progress Report of its statistical sampling program for in-service meters

1. CRD receives and records DUs Progress Report then forwards it to CAS


1.1 CAS Clerk receives the Progress Report for submission to CAS Director who will turnover the report to Engineer V then to Engineer III who evaluates

178


Step

Processing Time

Person Responsible

and assigns personnel to conduct the validation of the Progress Report and the results of the sample testing.

1.2 Assigned Personnel prepares a Travel Authority (TA)/Travel Order (TO)/ Special Assignment (SA) for checking and initial by Engineer IV and V prior to CAS Director’s approval then CAS Clerk forwards approved documents to CRD.


1.3 CRD records and assigns number of the approved TA/TO/SA then return to CAS; furnishes Human Resource Management Division (HRMD), Commission on Audit (COA) and FAS.


CRD Personnel

179


Step

Processing Time

Person Responsible

1.4 CAS Clerk receives and records the numbered TA/TO/SA then forwards it to the Assigned Personnel (ERA/ Engineer I, II or III).


CAS Clerk

1.5 Assigned Personnel coordinates and informs concerned DU of the date and time of validation. Their presence or their authorized representative is required during validation.

1.6 ISSUANCE OF TESTING EQUIPMENT

None Nineteen (19)

minutes processing

time for agency



1.6.1 Assigned Personnel accomplishes triplicate copies of Request for Test Equipment (RTE)/Gate Pass (GP) one (1) working day before the assignment for approval by Engineer V

1.6.2 Assigned Personnel

180


Step

Processing Time

Person Responsible

forwards the approved RTE/GP to Property Custodian (Electrician I) for preparation.

1.6.3 Property Custodian pullouts, prepares and issues the equipment to the Assigned Personnel on the first (1st) day of assignment

1.6.4 Assigned Personnel acknowledges receipt of the equipment in the Property Custodian’s copy of the supporting GP, then keeps the second (2nd) copy.

1.6.5 Assigned Personnel presents the Equipment and the supporting GP to the Guard on Duty for checking and inspection.

1.6.6 Guard on Duty checks and inspects the

181


Step

Processing Time

Person Responsible

equipment; keeps the GP on file

1.6.7 Assigned Personnel brings out the Equipment then proceeds and performs the assignment.

1.6.8 Upon completion of the assignment, Assigned Personnel presents the Equipment to the Guard on Duty.

1.6.9 Guard on Duty retrieves the supporting GP, rechecks and records its returns

1.6.10 Assigned Personnel returns the Equipment to the Property Custodian who will inspect and record its returns in the supporting GP.

1.6.11 Property Custodian safe keeps the Equipment in the Inventory Stock Room.

182


Step

Processing Time

Person Responsible


None Five(5) to ten (10) minutes




1.7.1 Assigned Personnel accomplishes duplicate copies of Request for Vehicle (RV) at least five (5) working days before the assignment for approval by Engineer V

1.7.2 Assigned Personnel forwards the approved RV (with supporting approved TO and or Permission Slip) to the General Services Division (GSD) for proper action

1.7.3 GSD determines vehicle to use and assigns a company Driver

1.7.4 Driver and Assigned Personnel coordinate and agree on the

183


Step

Processing Time

Person Responsible

call time and place of meeting prior to going to the site

2. Client site/location

2. Assigned personnel proceeds to the site and performs the assigned tasks guided by the ERC procedures on the evaluation of sample testing program

None Two (2) working

days and Fifteen (15)

minutes processing

time for agency

actions 2 to 2.1


2.1 Upon return to the office, Assigned Personnel prepares a General Report detailing the procedures of testing performed and the number of items tested, Itinerary of Travel (IT) if applicable for submission and approval by Engineer IV, V and CAS-Director. Provide FAS Division copies of the reports for billing purposes

184


Step

Processing Time

Person Responsible

3. Client waiting for the issuance of SOA thru email from ERC


Refer to Resolution

No. 12, series of 2009 and Resolution

No. 21, series of

2013

One (1) working day and five (5)

minutes processing

time for agency

actions 3 to 3.2

FAS-Billing Section

Personnel



CRD Personnel

4. Client waiting for the issuance of Certification

4. Assigned Personnel prepares and issues to DU an approved Certification extending the validity of the meter’s conformity for another two (2) years


days


185

SCHEDULE OF ERC FEES AND CHARGES

Resolution No. 21: A Resolution Adopting the Revised Schedule of ERC Fees and

Charges (July 17, 2007)

Nature/Name of Fees Legal Basis

Fee (PhP)

With Supervision

Fee

Without Supervision

Fee

I. Applicants falling under the provisions of the Public Service Act (C.A. No. 146) as amended, E.O. No. 172 and R.A. 9136:

(c) For approval or

modification of Public Convenience and/or Necessity, licenses or permits of franchised electric utilities in accordance with law

Section 40 (a), 16 (a) Public Service Act (C.A. No. 146 as amended); Section 43 (p), R.A. No. 9136

700

00

10,000

00

2. For authority to recover stranded costs by distribution utility

Section 33, R.A. No. 9136

700 00 10,000 00

3. For authority to recover cost and return on demand side management projects

Section 43 (q), R.A. No. 9136

700 00 10,000 00

4. For approval of any charges on the terms and conditions of service of the:

(a) TRANSCO or

(b) Any distribution utility

Section 43 (h), R.A. No. 9136

700 00 3,000 00

5. For approval of reappraisal of the eligible assets of:

(a) TRANSCO or

(b) Any distribution utility by an independent appraisal company

Section 43f (i), R.A. No. 9136; Section 17 (c), Public Service Act. (C.A. No. 146)

700 00 3,000 00

6. For the authority to increase equipment, or the construction, operation and installation of new units,

Section 40 (g), Public Service Act (C.A. No. 146)

700 00 5,000 00

186


Fee (PhP)

With Supervision

Fee

Without Supervision

Fee

increase of capacity or the extension of means of general extensions in the service

7. For authority to revise schedule of transmission charges, distribution wheeling rates/retail rate for captive market and unbundling of rates and functions

Section 19, 24, 25, 36 and 43 (u), R.A. No. 9136, Section 16 (c), 20 (a), Public Service Act (C.A. No. 146)

700 00 10,000 00

8. For authority to sell, alienate, mortgage, encumber, or lease its property, franchise, certificate, privileges or rights or any part thereof, merge or consolidate its property, franchise certificate, privileges or rights or any part thereof, together with CPC/CPCN with any other utility

Section 20 (g), C.A. No. 146 as amended; Section 43 (p), R.A. No. 9136

700 00 5,000 00

9. Authority to issue or increase capital stock

Section 20 (e), 40 (f), C.A. No. 146

700 00 3,000 00

II. APPLICATION/MOTION for the Provisional Approval of the above-mentioned Application/Petitions

Section 8, E.O. No. 172 Section 44, R.A. No. 9136, Section 16 (c), C.A. No. 146 as amended

700 00 700 00

III. ANY APPLICATION than the above, Petition and Complaint (other than a consumer complaint)*

700 00 3,000 00

IV. Supervision and Regulation Fee:

For annual reimbursement

Section 40 (e), C.A. No. 146 as amended; Section 43 (b) (f)

187


Fee (PhP)

With Supervision

Fee

Without Supervision

Fee

of the expenses incurred by the ERC in the supervision of electric utilities transmission companies and/or in the regulation or fixing of their rates.

For each one hundred pesos or fraction thereof, of the capital stock subscribed or paid, or

If no shares have been issued, for each one hundred pesos or fraction thereof of the capital invested, or the property and equipment, whichever is higher.

The said fees shall be paid on or before September 30th of each year with a penalty of fifty per centum in case of delinquency; Provided, further, that if the fees or any balance thereof are not paid within sixty days from the said date, the penalty shall be increased one per centum for each month of delinquency thereafter.

(k) and (s) R.A. No. 9136

1

0

00

05

-

-

-

-

*The above schedule of fees and charges is without prejudice to other fees and

charges that the Commission may impose pursuant to other rules and directives

issued.

188

Nature Legal Basis

Fee (PhP)

With Supervision Fee

Without Supervision Fee

V. Permit Fee:

a) For the issuance of Capital stock (for each one hundred pesos or fraction thereof of the increased of the capital stock)

Section 40 (f), 20 (e), C.A. No. 146

0

75

-

-

b) For authorizing the increase of equipment, the installation of new units or authorizing the increase of capacity or the extension of means of general extensions in the service. (for each one hundred pesos or fraction thereof of the increased capital)

Section 40 (g), C.A. No. 146 Section 43 (p), R.A. No. 9136

0 75 0 75

189

Nature/Name of Fees Legal Basis Fees (PhP)

VI-A. For the issuance of Certificate of Compliance (COC) to Independent Power Producers (for 5 years duration) pursuant to the standards set for the generation of electric power


10,000

(exclusive of actual cost for technical evaluation)

00

VI-B. For the issuance of Certificate of Compliance (COC) to the owner of a Self-Generation Facilities with following aggregate installed capacity (for 5 years duration) pursuant to the standards set for the generation of electric power.


100 kW and below 1,500

(exclusive of actual cost for technical

evaluation)

00

101-500 kW 5,000


evaluation)

00

501-999 kW 7,500


evaluation)

00

1 MW and above 10,000


evaluation)

00

190


VII. FOR THE ISSUANCE OF SUPPLIER’S LICENSE (for 3 years duration):

For each one hundred pesos of the capital stock subscribed and paid up.

The said fees shall be paid upon issuance of the Supplier’s license

Section 6, 25 and 43 (p), R. A. No. 9136

0

(or PhP 10,000 whichever is higher)

75 00

VIII. FOR THE WESM METERING SERVICES PROVIDER’S CERTIFICATE OF AUTHORITY (CA) (for 3 years duration):

For each one hundred pesos of the capital stock subscribed and paid up.

The said fees shall be paid upon application or renewal of the CA.

Section 2.2.2 and 2.3.6 of the WESM Rules

0

(or PhP10,000 whichever is higher)

75 00

IX. FOR THE WHOLESALE AGGREGATOR’S CERTIFICATE OF REGISTRATION (for 4 years duration)

Section 30 of RA 9136

PhP10,000 00

191


X. FOR THE RES METERING SERVICES PROVIDER’S CERTIFICATE OF AUTHORITY (CA) (for 3 years duration): For each one hundred pesos of the capital stock subscribed and paid up. The said fees shall be paid upon application or renewal of the CA

ERC Case No. 2005-02 -Guidelines for the Issuance of Licenses to Retail Electricity Suppliers (RES), as amended

0

(or PhP10,000 whichever is higher)

75

00

XI. LABAROTORY FEES for the inspection and certification of watt-hour meters

made in the meter laboratory of the ERC are as follows: [Sec. 16 (f) and 40 (h) C.A. No. 146 as amended and Sec. 43 (b) R.A. No. 9136]

Equipment

ERC Laboratory Field Testing

Rates per Unit

(PhP)

Additional cost

Rate Per unit

(PhP)

Regulation Fee/

Wholesaler/ Retailer/

Dealer Fee

Lifeline Rate for

Residential Consumer

Programming of the meter,

if needed

Utilities w/ or w/out Supervision or Regulation fee/

Wholesaler, retailer, dealer

1. SINGLE PHASE METER (electronic hybrid or Ferraris)

a) Without demand register

70.00 30.00 30.00

b) With demand register

100.00 40.00

c) With electronic demand register

130.00 150.00 50.00

192

Equipment

ERC Laboratory Field Testing

Rates per Unit

(PhP)

Additional cost

Rate Per unit

(PhP)

Regulation Fee/

Wholesaler/ Retailer/

Dealer Fee

Lifeline Rate for

Residential Consumer

Programming of the meter,

if needed

Utilities w/ or w/out Supervision or Regulation fee/

Wholesaler, retailer, dealer

2. POLY-PHASE METER Ferraris/Panel board (2 Strator)


180.00 55.00


210.00 80.00


240.00 150.00 95.00

Ferraris/Panel Board (3 Strator)


230.00 90.00


260.00 100.00


290.00 150.00 115.00

3. ELECTRONIC METER (PP)

290.00 350.00 115.00

4. INTEGRATING PULSE METER

1,140.00 350.00 425.00

5. WATT HOUR METER STANDARD

290.00 350.00 115.00

6. CURRENT TRANSFORMERS

70.00 30.00

7. OTHER METERING INSTRUMENT

290.00 350.00 115.00

8. EVALUATION/ OTHER TEST

600.00 400.00

193

METERS brought into the ERC Meter Laboratory by the UTILITIES that are

paying Supervising Fees, will be charged only the OPERATING EXPENSES

component of fee in the testing and calibration of single phase meters, electronic

meters, (single phase and poly-phase) and other electronic standard or equipment. If

a Special Testing Equipment (STE) will be used in the process, the ADDITIONAL

cost component of the fee will likewise be charged.

METERS brought into the ERC Meter Laboratory by the UTILITIES that are not

paying Supervising Fees, will be charged with full cost of the testing and calibration

of single phase meters, electronic meters, (single phase and poly-phase) and other

electronic standard or equipment.

LIFELINE RATE consisting of the OPERATING EXPENSES component of the

testing fee will be applied to single phase meters brought into the ERC Meter

laboratory by walk-in residential consumers.

METERS brought into the ERC Meter Laboratory by the WHOLESALERS/

RETAILERS/DEALERS who are engaged in the business of selling kilowatt-hour

meters, will be charged the full cost of service rendered in testing and calibration of

meters, namely: Salary Expense, Operating Expense and additional Cost Expense

for the use of Special Training Equipment (STE) in the process.

TESTS OUTSIDE THE ERC METER LABORATORY

a) SPOT TEST OR FIELD TESTING shall refer to the testing, inspection or certification conducted and made by the ERC outside its meter laboratory locate in the ERC’s Head and Field Offices.

b) The total charges to be paid for spot test or field testing shall be the rate per

meter plus charges equivalent to actual expenses (subject to accounting &

auditing rules and regulations) incurred by the engineering/personnel

assigned.

XII. CERTIFIED true copies of official documents in the files of the Commission

PhP15.00/page

XIII. OTHER related documents (e.g. Photocopies) PhP2.00/page

194

Resolution No. 12, Series of 2009 – A Resolution Adopting the Rules and

Procedures for the Test and Maintenance of Electric Meters of Distribution

Utilities

The existing meter testing fees approved under Resolution No. 21, Series of 2007

was amended. The new meter testing and calibration fees are shown in Table 6 –

Fees and Charges.

NAME OF FEE FEE

Certificate of Authority to Operate a Meter Shop (for 3 years duration)

PhP10,000.00

Acceptance Test:

Pass PhP30.00 per sample meter plus PhP15.00 per meter of the remaining meters in the lot

Fail PhP15.00 per sample meter

Validity Extension of Meter Certification PhP5.00 per meter in a lot

Meter Type Certification PhP1,500.00 ERC Laboratory Testing Fees:

Meter Calibration and Testing Single Phase (electronic, hybrid or Ferraris)

Without demand register PhP70.00 per meter With demand register PhP100.00 per meter With electronic demand register PhP130.00 per meter Poly-phase (Ferraris/ Panel Board – 2 stators)

Without demand register PhP180.00 per meter With demand register PhP210.00 per meter With electronic demand register PhP240.00 per meter Poly-phase (Ferraris/ Panel Board – 3 stators)

Without demand register PhP230.00 per meter With demand register PhP260.00 per meter With electronic demand register PhP290.00 per meter

Electronic Meter PhP290.00 per meter Integrating Pulse Meter PhP1,140.00 per meter Watt-hour Meter Standard PhP290.00 per unit Instrument Transformer PhP290.00 per unit

195

Resolution No. 22, Series of 2010 – A Resolution Adopting the Rules

Governing the Type Approval of Meter Products to be Used in Revenue

Metering by Distribution Utilities and Redistributors

2.1.7 Meter Type approval application processing fee of Three Thousand Pesos

(PhP3,000.00), which is non-refundable.

196

VII. FEEDBACK AND COMPLAINTS

Feedback and Complaints Mechanism

How to send a feedback

Answer the client Feedback Form and drop it at the designated drop box located at the front desk of each frontline Services.

How feedback is processed

Every Friday, the assigned Officer opens the drop box and compiles and records all feedback and complaints submitted. Feedback requiring answers are forwarded to the relevant Offices and they are required to answer within three (3) working days from receipt of the feedback. The answer of the Office is then relayed to the citizen. For inquiries and follow-ups, clients may contact the following telephone numbers: (02) 8-689-5372 / (02) 8-689-5-ERC.

How to file a complaint

Answer the client Complaint Form and drop it at the designated drop box located at the front desk of each frontline Services.

Complaints can also be filed via telephone. Make sure to provide the following information:

- Name of person being complained - Incident - Evidence

For inquiries and follow-ups, clients may contact the following telephone numbers: (02) 8-689-5372 / (02) 8-689-5-ERC.

How complaints are processed

The Officer opens the complaints drop box on a daily basis and evaluates each complaint. Upon evaluation, the Officer shall start the investigation and forwards the complaint to the relevant Office for their explanation. The Officer will create a report after the investigation and shall submit it to the Head of the Agency for appropriate action. The Officer will give the feedback to the client. For inquiries and follow-ups, clients may contact the following telephone numbers: (02) 8-689-5372 / (02) 8-689-5-ERC.

197

Feedback and Complaints Mechanism

Contact information of CCB, PCC, ARTA

Presidential Complaints Center (PCC) PCC may be reached thru the following telephone connections:

1. +63(2)-736-8645 2. +63(2)-736-8603 3. +63(2)-736-8629 4. +63(2)-736-8621

The services of the PCC may be availed of by letter-senders: 1. Via email – thru email address: [email protected] 2. Via postal service – thru PCC official address at Bahay

Ugnayan, J.P. Laurel Street Malacañang, Manila 3. Via facsimile thru Telefax No. +63(2)-7368621

Anti-Red Tape Authority (ARTA)

ARTA may be reached thru the following: 1. [email protected] 2. [email protected] 3. 478-5091 | 478-5099

Contact Center ng Bayan (CCB)

You may submit your complaint, request for assistance, query, suggestion or commendation to CCB by filling up the form thru http://contactcenterngbayan.gov.ph/contact-us.




http://contactcenterngbayan.gov.ph/contact-us

198

VIII. LIST OF OFFICES

Office Address Contact Information

Head Office Office Address: Energy Regulatory Commission, Pacific Center Building,

San Miguel Avenue, Ortigas Center 1600,

Pasig City, Metro Manila, Philippines

Postal Address: P.O. Box 181, Greenhills,

Metro Manila, Philippines

ERC PABX Trunkline:

(02) 689-5372

(02) 689-5-ERC

General Information:

Tel: (02) 689-5343

Fax: (02) 631-5816

Email: [email protected]

ERC Website:

Tel/Fax: (02) 631-5816

Email: [email protected]

Visayas Area Operations Division (VAOD)

St. Mary's Drive, Banilad, Cebu City 6000,

Philippines

Mobile Number:

+63906-289-3099

Email:

[email protected]

[email protected]

Mindanao Area Operations Division (MAOD)

Mintrade Bldg., Monteverde Ave. cor

Sales St., 8000 Davao City, Philippines

Phone: (082) 224-1575

Fax: (082) 227-2035

Email:

[email protected]

[email protected]




mailto:%[email protected]

