energy regulatory commission citizen's...2019 (1st edition) energy regulatory commission 3 i....
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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
8
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
processing time for agency
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
Client Steps Agency Action Fees to be Paid per
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
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
4.5.2.9 Guard on Duty retrieves the supporting GP, rechecks and records its returns
17
Client Steps Agency Action Fees to be Paid per
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
time for agency actions
4.5.3.1 to 4.5.3.4
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
CAS Assigned Personnel
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
None Five (5) working
days
CAS Assigned Personnel
19
Client Steps Agency Action Fees to be Paid per
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
None Five (5) minutes
Central Records Division
20
Client Steps Agency Action Fees to be Paid per
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.
Office or Division: Meter Division
Classification: Highly Technical
Type of Transaction: Government to Citizens (G2C)
Government-to-Business(G2B)
Who may avail: Distribution Utility (DU)
Checklist of Requirements Where to Secure
Formal Application with required information and documents
Applicant (DU)
Statement of Account SOA (4 copies)
CAS Meter Division
Official Receipt (OR) FAS-Billing and Cashier Sections
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
1.5 Assigned Personnel coordinates and informs concerned parties of the date and time of testing. Their presence or their authorized representative is required during testing
None CAS Assigned Personnel
1.6 USE OF VEHICLE FOR OFFICIAL FIELDWORK
None CAS Assigned Personnel
1.6.1 Assigned Personnel accomplishes duplicate copies of Request for Vehicle (RV) at least five (5) working days before
24
Client Steps Agency Action Fees to be Paid per
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
CAS Assigned Personnel
25
Client Steps Agency Action Fees to be Paid per
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
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
3.1 Once approved, FAS-Billing Section forwards 2-copies of SOA to Central Record Division (CRD)
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
None Five (5) minutes
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
None Five (5) to Ten (10) working
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
Client Steps Agency Action Fees to be Paid per
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
None CAS Assigned Personnel
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
None Five (5) to Ten (10) working
days
CAS Assigned Personnel
3.8 Once approved, Assigned Personnel prepares a “Letter of Approval” for
None CAS Assigned Personnel,
Engineer IV,
Engineer V,
Director
28
Client Steps Agency Action Fees to be Paid per
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
None Five (5) to Ten (10) working
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)
Classification: Highly Technical
Type of Transaction: Government to Citizens (G2C)
Government-to-Business(G2B)
Who may avail: Consumer/Distribution Utility/ Generation Company (GenCo) or Independent Power Producer (IPP)
Checklist of Requirements Where to Secure
E-mail sent to [email protected] or
Client/Requestor
Personally delivered letter-requests (2 copies)
CSD endorsed CSD Personnel
Statement of Account SOA (4 copies)
CAS Meter Division
Official Receipt (OR) FAS-Billing and Cashier Section
Client Steps Agency Action Fees to be Paid per
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
processing time for agency
actions 1 to 1.3
CAS-MD personnel
30
Client Steps Agency Action Fees to be Paid per
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. Customer proceed to Reception Personnel
2. Reception Personnel review the requests
None Three (3) minutes
processing time for agency
actions 2 to 2.3
1CAS Reception Personnel
2.1 Assesses testing fee
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
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
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
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
FAS-Billing Section
Personnel
4. Customer pay the assessed testing fee to the Cashier Section
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 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
Client Steps Agency Action Fees to be Paid per
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
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
Reception 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
CAS Clerk
33
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
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
(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:
None Twenty-eight (28) minutes
CAS Clerk
4.5.1 ISSUANCE OF TESTING EQUIPMENT
None Nineteen (19)
minutes processing
time for agency actions
4.5.1.1 to 4.5.1.11
CAS Assigned Personnel
4.5.1.1 Assigned Personnel accomplishes triplicate copies of Request for Test
34
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
4.5.1.8 Upon completion of the assignment, Assigned Personnel presents the Equipment to the Guard on Duty
4.5.1.9 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
4.5.1.11 Property Custodian safe keeps the Equipment in the Inventory Stock Room.
37
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
4.5.2 ISSUANCE OF SEALS AND STICKERS
None Five (5) working
days processing
time of agency actions
4.5.2.1 to 4.5.2.11
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
4.5.2.9 Guard on Duty retrieves the supporting GP, rechecks and records its returns
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
Client Steps Agency Action Fees to be Paid per
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
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
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 Section’s receiving copy; records the SOA then mail one (1) copy to the Customer
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)
Classification: Highly Technical
Type of Transaction: Government-to-Business (G2B)
Who may avail: Generation Companies (GENCOs),
Self-Generating Facilities (SGFs) and
Qualified End-Users (QEs)
Checklist of Requirements Where to Secure
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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.
44
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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
Checklist of Requirements Where to Secure
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
ERC Head Office
47
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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
A. General Requirements
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
C. Technical Qualification
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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
Checklist of Requirements Where to Secure
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
ERC Head Office
15. Duly attested updated and comprehensive listing of Affiliates and Related Groups, including
Generation Company
51
Checklist of Requirements Where to Secure
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 Where to Secure
Checklist of Requirements for COC Application SGF with total Installed
Capacity of 1 MW and above (for New and Renewal)
A. General Requirements
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.
4. DENR-EMB Permit to Operate (PTO);
DENR
B. COC Application Fee
5. PhP10,000.00 Generation Company
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)
A. General Requirements
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
Checklist of Requirements Where to Secure
B. COC Application Fee
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
A. General Requirements
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
B. COC Application Fee
4. PhP1,500.00
Generation Company
54
Checklist of Requirements Where to Secure
Checklist of Requirements for an Amendment of COC Application for Change of Location of Generation
Facilities/ Business Address
A. General Requirements
1. Application Form/ Amendment of COC for Change of Location (COC Form No.1)
ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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
A. General Requirements
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
B. COC Application Fee
3. PhP3,000.00 Generation Company
C. Technical Qualification
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
ERC Head Office
5. Sworn Statement that the Generation Company and its Generation Facilities comply with and will continue to comply with the
ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
ERC Head Office
55
Checklist of Requirements Where to Secure
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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
A. General Requirements
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);
B. COC Application Fee
3. PhP3,000.00 Generation Company
56
Checklist of Requirements Where to Secure
C. Technical Qualification
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
ERC Head Office
57
Checklist of Requirements Where to Secure
Rules for the duration of the COC (Form No. 6)
11. Such other information or document that the ERC may require
Generation Company
Checklist of Requirements for an Amendment of COC Application for Change of Technical Specifications
A. General Requirements
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
B. COC Application Fee
3. PhP3,000.00 Generation Company
C. Technical Qualification
4. General Plant Description (COC Form No. 7);
ERC Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
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 Website (www.erc.gov.ph) and/or at LMMD Front Desk at the
ERC Head Office
8. Such other information or document that the ERC may require
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
Checklist of Requirements Where to Secure
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
None Five (5) minutes
Guard on Duty
2. Fill-out the MOS Customer Action Form
2. To endorse/ refer to the concerned Division
None Three (3) minutes
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
MOS - LMMD Officer of the Day and/or
any authorized
59
Client Steps Agency Action Fees to be Paid per Step
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
None Five (5) minutes
MOS - LMMD Officer of the Day and/or
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
Client Steps Agency Action Fees to be Paid per Step
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.
None Five (5) minutes
MOS - LMMD Officer of the Day and/or
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
Client Steps Agency Action Fees to be Paid per Step
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
Client Steps Agency Action Fees to be Paid per Step
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)
Classification: Highly Technical
Type of Transaction: Government to Business (G2B)
Who may avail: Any juridical entity that is registered to be into retailing.
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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
RES License applicant
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
RES License applicant
65
Checklist of Requirements Where to Secure
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.
RES License applicant
B. RES Information Sheet (Form 2)
MOS-CMD or ERC website (www.erc.gov.ph)
Required number of copies: Two (2) copies
Client Steps Agency Action Fees to be Paid per Step
Processing Time
Person Responsible
1. Register with the Guard
1. Refer client to the MOS Help Desk officer (HDO) of the day
None Five (5) minutes
MOS Help Desk Officer
2. Fill-out MOS Customer Action Form
2. For RES License applications, refer client to CMD
None Three (3) minutes
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.
None Five (5) minutes
MOS-CMD Personnel
66
Client Steps Agency Action Fees to be Paid per Step
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
None Five (5) minutes
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
None Two (2) minutes
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
None Five (5) minutes
MOS-CMD Personnel
67
Client Steps Agency Action Fees to be Paid per Step
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
FAS-Cashier Section Cashier
68
Client Steps Agency Action Fees to be Paid per Step
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
None Two (2) minutes
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
Type of Transaction: Government to Citizens (G2C)
Government-to-Business(G2B)
Government-to-Government (G2G)
Who may avail: Stakeholders in the electric power industry
Checklist of Requirements Where to Secure
Written request for certified copies of documents
From the client
Client Steps Agency Action Fees to be Paid per Step
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
Client Steps Agency Action Fees to be Paid per Step
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.
Office or Division: Meter Division
Classification: Highly Technical
Type of Transaction: Government to Citizens (G2C)
Government-to-Business(G2B)
Who may avail: All customers of electric utilities and other providers of electric power
Checklist of Requirements Where to Secure
Gate Pass (2 copies) CAS Guard on Duty
Statement of Account SOA (4 copies)
CAS Meter Division
Official Receipt (OR) FAS-Billing and Cashier Section
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
2. Customer proceed to Reception Personnel
2. Reception Personnel inspect the items
None Three (3) minutes
CAS Reception Personnel
and Laboratory Personnel.
2.1 Assesses testing fee
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
3. Customer to proceeds to the FAS-Billing
3. Assigns SOA Number, print and hand the SOA to the customer
None Eight (8) minutes
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 Section Cashier
4.1 Issue OR to customer
73
Client Steps Agency Action Fees to be Paid per
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
CAS Reception Personnel
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
Client Steps Agency Action Fees to be Paid per
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
None Five (5) minutes
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.
Office or Division: Meter Division
Classification: Highly Technical
Type of Transaction: Government-to-Business(G2B)
Who may avail: DU or Consortium of DUs or TPTF
Checklist of Requirements Where to Secure
Duly Accomplished Application Form with Requested Information and Documents
ERC Prescribed Form
Statement of Account SOA (4 copies)
CAS Meter Division
Official Receipt (OR) FAS-Billing and Cashier Section
Client Steps Agency Action Fees to be Paid per
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
processing time for agency
actions 1 to 1.1
CAS Reception Personnel
76
Client Steps Agency Action Fees to be Paid per
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
None Eight (8) minutes
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
Client Steps Agency Action Fees to be Paid per
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
4.3 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
None Five (5) minutes
CRD
Personnel
78
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
4.4 CAS Clerk receives and records the numbered TA/TO/SA then forwards it to the Assigned Personnel (ERA/ Engineer I, II or III)
None Twenty-eight (28) minutes
CAS Clerk
4.5 USE OF VEHICLE FOR OFFICIAL FIELDWORK
None Five (5) to ten (10) minutes
processing time for agency
actions 4.5 to 4.5.5
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
Provide FAS Division copies of the reports for billing purposes.
5. Client waiting for the issuance of SOA
5. FAS-Billing Section prepares a SOA (assign a SOA Number) based on approved reports submitted; print in triplicate copies for approval by FAS-Director
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
5.1 Once approved, FAS-Billing Section forwards 2-copies of SOA to Central Record Division (CRD)
5.2 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
None Five (5) minutes
CRD Personnel
81
Client Steps Agency Action Fees to be Paid per
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.
None CAS Assigned Personnel
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
None CAS Assigned Personnel
82
Client Steps Agency Action Fees to be Paid per
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
None CAS Assigned Personnel
5.7 Once included/ confirmed, Assigned Personnel presents the Application to the Commission En Banc for approval
None CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
CAS Reception Personnel
6.1 Instruct the customer to pay the fee
84
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
7. Customer to proceeds to the FAS-Billing and Cashier Sections
7. Assigned SOA Number, print and hand the SOA to the customer
None Eight (8) minutes
FAS-Billing Section
8. Customer pay the assessed testing fee to the Cashier
8. Receives the payment of testing fee based on the FAS-Billing’s section numbered SOA presented by the customer
ERC Approved Fees and Charges
(Refer to Resolution
No. 12, series of
2009)
FAS-Cashier Section Cashier
8.1 Issue OR to customer
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
CAS Reception Personnel
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.
Office or Division: Meter Division
Classification: Highly Technical
Type of Transaction: Government-to-Citizen (G2C)
Government-to-Business(G2B)
Who may avail: Local Manufacturers or its Authorized Dealer
Checklist of Requirements Where to Secure
Duly Accomplished Application Form with Requested Information and Documents
ERC Prescribed Form
Statement of Account SOA (4 copies)
CAS Meter Division
Official Receipt (OR) FAS-Billing and Cashier Section
Client Steps Agency Action Fees to be Paid per
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.
None Three (3) minutes
processing time for
agency actions 1 to 1.3
CAS Reception Personnel
1.1 Assesses testing fee
Resolution No. 12,
series of
86
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
Form with the required information and documents.
1.2 Accomplish Statement of Account (SOA) in the ERC electronic Billing and Revenue System (BRS)
2009 Table 6, Article 9
(See page no. 194)
1.3 Instructs the Customer to pay the assessed testing fee
2. Customer to proceeds to the FAS-Billing Section
5. Billing Section assigned SOA Number, print and hand the SOA to the customer
None Eight (8) minutes
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
FAS-Cashier Section Cashier
3.1 Issue OR to 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
None Five (5) to Ten (10) working
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
Client Steps Agency Action Fees to be Paid per
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
None Five (5) to Ten (10) working
days
CAS Assigned Personnel
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
None Five (5) to Ten (10) working
days
CAS Clerk
88
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
4.4 Once included, Assigned Personnel presents the Application to the Ad-Hoc Committee for approval
None CAS Assigned Personnel
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.
None CAS Assigned Personnel
4.6 Once included/ confirmed, Assigned Personnel presents the Application to the Commission En Banc for approval
None Five (5) to Ten (10) working
days
CAS Assigned Personnel
89
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
Type of Transaction: Government-to-Business (G2B)
Government-to-Government (G2G)
Who may avail: Distribution Utility
Generation Company
Transmission Company
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
Corporation
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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
Checklist of Requirements Where to Secure
C. Application of Approval of Power Supply Agreements
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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)
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Checklist of Requirements Where to Secure
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
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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
Rate Computation
MS Excel which can be assessed and edited. Include links
D. Application of Approval of NPP SPUG Rates
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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
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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
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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.)
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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
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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
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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
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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
Engine Manufacturer or IPP
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Checklist of Requirements Where to Secure
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
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edited
Annexes, Exhibits and Other Evidence
Rate Computation
MS Excel which can be assessed and edited. Include links
E. Application of Approval of QTP Rates
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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;
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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
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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
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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
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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.
Engine Manufacturer or IPP
F. Application of Approval of Ancillary Service Procurement Agreement
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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
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Checklist of Requirements Where to Secure
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
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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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Checklist of Requirements Where to Secure
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
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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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Checklist of Requirements Where to Secure
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
(Three (3) printed and three (3) soft copies).
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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Checklist of Requirements Where to Secure
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).
Note: Exclusive of Legal Service requirements
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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Checklist of Requirements Where to Secure
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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Checklist of Requirements Where to Secure
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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Checklist of Requirements Where to Secure
ROS-Standard Division (SD)
A. Application of Authority to improve or expand transmission facilities consistent with the Grid Code and the Transmission Development Plan
(Three (3) printed and three (3) soft copies).
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,
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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
(Three (3) printed and three (3) soft copies).
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,
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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
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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
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Checklist of Requirements Where to Secure
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
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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
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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
a. List of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system;
b. Information regarding the power supply for the proposed service area indicating the contracted demand and energy
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Checklist of Requirements Where to Secure
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
1. For entities engaged in the transmission of electricity
a. List of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system;
b. Updated information regarding the power supply for the proposed service area indicating the contracted demand and energy
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Checklist of Requirements Where to Secure
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
2. For entities engaged in the distribution of electricity
a. List of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system;
b. Updated information regarding the power supply for the proposed service area indicating the contracted demand and energy
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Checklist of Requirements Where to Secure
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; 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
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Checklist of Requirements Where to Secure
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
(Three (3) printed and three (3) soft copies).
Note: Exclusive of Legal Service requirements
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
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Checklist of Requirements Where to Secure
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
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Checklist of Requirements Where to Secure
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
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Checklist of Requirements Where to Secure
2. Statement of its effective tariff Applicant
Technical Documents/Information
For New CPCN
1. For entities engaged in the transmission of electricity
a. List of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system;
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 PGC
2. For entities engaged in the distribution of electricity
a. List of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system;
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Checklist of Requirements Where to Secure
b. Information regarding the power supply for the proposed service area indicating the contracted demand and energy
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
1. For entities engaged in the transmission of electricity
a. List of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system;
b. Updated information regarding the power supply for the proposed service area indicating the contracted demand and energy
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Checklist of Requirements Where to Secure
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
2. For entities engaged in the distribution of electricity
a. List of names and addresses of personnel responsible for the design, installation, maintenance, and repair of equipment for the proposed system;
b. Updated information regarding the power supply for the proposed service area indicating the contracted demand and energy
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Checklist of Requirements Where to Secure
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; 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
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Checklist of Requirements Where to Secure
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;
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Checklist of Requirements Where to Secure
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.
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Checklist of Requirements Where to Secure
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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Checklist of Requirements Where to Secure
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.
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Checklist of Requirements Where to Secure
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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Checklist of Requirements Where to Secure
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);
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Checklist of Requirements Where to Secure
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)
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Checklist of Requirements Where to Secure
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
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Checklist of Requirements Where to Secure
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
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Checklist of Requirements Where to Secure
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.
Note: Exclusive of Legal Service requirements
Applicant
1. Application
A. Application – three (3) copies printed and three (3) USB Flash Drives (MS Word)
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Checklist of Requirements Where to Secure
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
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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.
Note: Exclusive of Legal Service requirements
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
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
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Checklist of Requirements Where to Secure
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
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.
Note: Exclusive of Legal Service requirements
Applicant
1. Application
A. Application - hard and soft copy (MS Word)
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Checklist of Requirements Where to Secure
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
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– printed and 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 in excel form
1. Date of Payment
2. Covered period of payment
3. Breakdown of payment (particulars)
F. Actual distribution revenues- (3) copies printed and three (3) USB Flash Drives in excel form
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Checklist of Requirements Where to Secure
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
Client Steps Agency Action Fees to be Paid per Step
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
FAS-Cashier Section Cashier
159
Client Steps Agency Action Fees to be Paid per Step
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
Type of Transaction: Government-to-Business (G2B)
Government-to-Citizens (G2C)
Government-to Government (G2G)
Who may avail: Distribution Utilities
Generation Companies
Government Agencies (NPC, PSALM, TRANSCO, etc.)
Checklist of Requirements Where to Secure
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
Checklist of Requirements Where to Secure
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
Client Steps Agency Action Fees to be Paid per
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
Classification: Simple Transaction
Type of Transaction: Government-to-Business (G2B)
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
Checklist of Requirements Where to Secure
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
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
1. Register with the Guard assigned at the FAS
1. Refer the client to the concerned personnel
None Two (2) minutes
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
Client Steps Agency Action Fees to be Paid per
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
None Three (3) minutes
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
None Two (2) minutes
Concerned Office/Service
165
Client Steps Agency Action Fees to be Paid per
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)
Classification: Simple Transaction
Type of Transaction: Government-to-Citizens (G2C)
Who may avail: All customers of electric utilities and other providers of electric power
Checklist of Requirements Where to Secure
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
None Five (5) minutes
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
Client Steps Agency Action Fees to be
Paid per Step Processing
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
Client Steps Agency Action Fees to be
Paid per Step Processing
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.
None Ten (10) minutes
Energy Regulatory
Officer I or II assigned as CSD Officer of the Day
(OD)
169
Client Steps Agency Action Fees to be
Paid per Step Processing
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.
None Five (5) minutes
Clerk III or Data
Controller II of the
Central Records Division
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)
Who may avail: All customers of electric utilities and other providers of electric power
Checklist of Requirements Where to Secure
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
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.
None Five (5) minutes
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.
None Ten (10) minutes
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
Client Steps Agency Action Fees to be Paid per Step
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
Client Steps Agency Action Fees to be Paid per Step
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.
None Five (5) minutes
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.).
Office or Division: Office of the General Counsel and Secretariat of the Commission – Central Records Division (OGCS-CRD)
Classification: Simple transaction
Type of Transaction: Government to Citizens (G2C)
Government-to-Business(G2B)
Government-to-Government (G2G)
Who may avail: Stakeholders in the electric power industry
Checklist of Requirements Where to Secure
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
Client Steps Agency Action Fees to be Paid per Step
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
Receiving Officer-of-the-
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.).
Office or Division: Office of the General Counsel and Secretariat of the Commission – Central Records Division (OGCS-CRD)
Classification: Simple transaction
Type of Transaction: Government to Citizens (G2C)
Government-to-Business(G2B)
Government-to-Government (G2G)
Who may avail: Stakeholders in the electric power industry
Checklist of Requirements Where to Secure
Subsequent Pleadings, Letters and Correspondences
Required number of copies: Three (3) copies
From the client
Client Steps Agency Action Fees to be Paid per
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.
None Three (3) minutes
Receiving Officer-of-the-
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.).
Office or Division: Office of the General Counsel and Secretariat of the Commission – Central Records Division (OGCS-CRD)
Classification: Simple transaction
Type of Transaction: Government to Citizens (G2C)
Government-to-Business(G2B)
Government-to-Government (G2G)
Who may avail: Stakeholders in the electric power industry
Checklist of Requirements Where to Secure
Letters/correspondences not related to any docketed case.
Required number of copies: One (1) copy
From the client
Client Steps Agency Action Fees to be Paid per Step
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.
Office or Division: Meter Division
Classification: Simple Transaction
Type of Transaction: Government-to-Business (G2B)
Who may avail: Distribution Utilities (DU)
Checklist of Requirements Where to Secure
Progress Report DU
Statement of Account SOA (4 copies)
CAS Meter Division
Official Receipt (OR) FAS-Billing and Cashier Section
Client Steps Agency Action Fees to be Paid per
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
None CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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.
None CAS Assigned Personnel
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.
None Five (5) minutes
CRD Personnel
179
Client Steps Agency Action Fees to be Paid per
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).
None Twenty-eight (28) minutes
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
actions 1.6 to 1.6.11
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
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
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
1.7 USE OF VEHICLE FOR OFFICIAL FIELDWORK
None Five(5) to ten (10) minutes
processing time for agency
actions 1.7 to 1.7.4
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
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
CAS Assigned Personnel
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
Client Steps Agency Action Fees to be Paid per
Step
Processing Time
Person Responsible
3. Client waiting for the issuance of SOA thru email from 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
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
3.1 Once approved, FAS-Billing Section forwards 2-copies of SOA to Central Record Division (CRD)
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
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
None Five (5) to Ten (10) working
days
CAS Assigned Personnel
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
Nature/Name of Fees Legal Basis
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
Nature/Name of Fees Legal Basis
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
Section 6, R.A. No. 9136
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.
Section 6, R.A. No. 9136
100 kW and below 1,500
(exclusive of actual cost for technical
evaluation)
00
101-500 kW 5,000
(exclusive of actual cost for technical
evaluation)
00
501-999 kW 7,500
(exclusive of actual cost for technical
evaluation)
00
1 MW and above 10,000
(exclusive of actual cost for technical
evaluation)
00
190
Nature/Name of Fees Legal Basis Fees (PhP)
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
Nature/Name of Fees Legal Basis Fees (PhP)
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
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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)
a) Without demand register
180.00 55.00
b) With demand register
210.00 80.00
c) With electronic demand register
240.00 150.00 95.00
Ferraris/Panel Board (3 Strator)
a) Without demand register
230.00 90.00
b) With demand register
260.00 100.00
c) With electronic demand register
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
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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.
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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.
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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.
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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:
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: