PUBLISHED BY AUTHORITY
New Delhi, the 23rd April, 1999
No. 8/1/99-CERC. In exercise of the powers conferred on it by Section 55 of the
Electricity Regulatory Commissions Act, 1998 (Act 14 of 1998) the Central Electricity
Regulatory Commission hereby makes the following Regulations, namely :
title, commencement, and interpretation
(1) These Regulations may be
called the Central Electricity Regulatory Commission (Conduct of Business) Regulations, 1999.
(2) They shall come into force on the date of their publication in the official Gazette
(3) They extend to the whole of India except
the State of Jammu and Kashmir.
(1) In these
Regulations, unless the context otherwise requires :
Commission's office, office hours and sittings
3. The place of the offices of the Commission may from time to time be specified by the Commission, by an order made in that behalf.
4. Unless otherwise directed, the headquarters and other offices of the Commission shall be open daily except on Saturdays, Sundays and Central Government holidays notified by the Central Government. The headquarters and other offices of the Commission shall be open at such times as the Commission may direct.
5. Where the last day for doing of any act falls on a day on which the office of the Commission is closed and by reason thereof the act cannot be done on that day, it may be done on the next day on which the office is open.
6. The Commission may hold sittings for hearing matters at the headquarters or at any other place on days and time to be specified by the Commission.
Language of the Commission
7. The Proceedings of the Commission shall be conducted in English or Hindi, if permitted by the Commission
8. No Petition, documents or other material contained in any language other than English or in Hindi if permitted by the Commission, may be accepted by the Commission, unless the same is accompanied by a translation thereof in English/Hindi.
9. Any translation which is agreed to by the parties to the Proceedings or which any of the. parties may furnish with an authenticity certificate of the person who had translated to English/Hindi, may be accepted by the Commission as a true translation.
10. The Commission in appropriate cases may direct translation of the petition, pleadings, documents and other material to English by an officer or person designated by the Commission for the purpose.
Commission to have seal of its own
11. There shall be a separate seal indicating that it is the seal of the Commission
Officers of the Commission
|14. The Commission may delegate to its officers such functions
including functions that may be required by these regulations to be exercised by the
secretary on terms and conditions the Commission may specify for the purpose.
15. The Secretary may, with the approval of the Commission, delegate to any Officer of the Commission any function required by these Regulations or otherwise, to be exercised by the Secretary
16. In the absence of the Secretary, such other Officer of the Commission, as may be designated by the Chairperson, may exercise all the functions of the Secretary.
17. The Commission shall, at all times have the authority, either on an application made by any interested or affected party or suo motu, to review, revoke, revise, modify, amend, alter or otherwise change any order made or action taken by the Secretary or the Officers of the Commission, if the Commission considers the same to be appropriate.
Recognition for Consumer Associations
GENERAL RULES CONCERNING THE PROCEEDINGS BEFORE THE COMMISSION
Proceedings etc. before the Commission
20. The Commission may from time to time hold hearings, meetings, discussions, deliberations, inquiries, investigations and consultations as it may consider appropriate in the discharge of its functions under the Act.
Quorum and Sitting in Benches
21. The Quorum for the proceedings before Commission shall be three.
Attendance by Members and Voting
22. No Member (including Ex-officio Member) shall exercise his vote on a decision unless he is present during all the substantial hearings of the Commission on such matter.
Authority to represent
23. A person may authorise an advocate or a member of any statutory professional body holding a Certificate of Practice as the Commission may from time to time specify to represent him and act and plead on his behalf before the Commission. The person may also appear himself or may authorise any of his employees to appear before the Commission and to act and plead on his behalf. The Commission may from time to time specify the terms and conditions subject to which a person may authorise any other person to represent him and act and plead on his behalf.
|Initiation of Proceedings
24. The Commission may initiate any Proceedings suo motu or on a Petition filed by any affected or interested person.
25. The notice of the initiation of the proceedings may be issued by the Commission, and the Commission may give such orders and directions as may be deemed necessary, for service of notices to the affected parties, the filing of reply and rejoinder in opposition or in support of the Petition in such form as it may direct. The Commission may, if it considers appropriate, issue orders for publication of the petition inviting comments on the issues involved in the proceedings in such form as the Commission may direct.
26. While issuing the notice of inquiry the Commission may, in appropriate cases, designate an Officer of the Commission or any other person whom the Commission considers appropriate to present the matter in the capacity of a petitioner in the case.
Petitions and pleadings before the Commission.
27. All Petitions to be filed before the Commission shall be typewritten, cyclostyled or printed neatly and legibly on one side of white paper and every page shall be consecutively numbered. The Commission will accept petitions filed with a Computer Disk or through Electronic Media on such terms and conditions as the Commission may specify. The contents of the Petition should be divided appropriately into separate paragraphs, which shall be numbered serially. The Petition shall be accompanied by such documents supporting data and statements as the Commission may specify.
28. The general heading in all Petitions before the Commission and in all publications and notices shall be in Form 1.
Affidavit in support
30. In accordance with section 193 of the Indian Penal Code, 1860, who ever intentionally gives false evidence in any of the proceedings of the Commission or fabricates false evidence for the purpose of being used in any of the proceedings shall be punishable with imprisonment of either description for a term which may extend to seven years and shall also be liable to fine.
Presentation and scrutiny of the Petitions
31. All Petitions shall be filed with seven copies and each set of the Petition shall be complete in all respects. The fees as may be prescribed by the Commission shall be payable along with the petition.
32. All Petitions shall be presented in person or by any duly authorised agent or representative at the headquarters or such other filing centre or centres as may be notified by the Commission from time to time and during the time notified. The Petitions may also be sent by registered post acknowledgement due to the Commission at the places mentioned above. The vakalatnama in favour of the advocate and, in the event the Petitions are presented by an authorised representative, the document authorising the representative shall be filed along with the Petition, if not already filed on the record of the case.
33. Upon the receipt of the Petition the Officer of the Commission designated for the purpose of receiving the petition shall acknowledge the receipt by stamping and endorsing the date on which the Petition has been presented and shall issue an acknowledgement with stamp and date to the person filing the Petition. In case the Petition is received by registered post the date on which the Petition is actually received at the office of the Commission shall be taken as the date of the presentation of the Petition.
34. The presentation and receipt of the Petition shall be duly entered in the register maintained for the purpose by the office of the Commission.
35. The Receiving Officer may decline to accept any Petition which does not conform to the provisions of the Act or the Regulations or directions given by the Commission or otherwise defective or which is presented otherwise than in accordance with the regulations or directions of the Commission.
Provided however no Petition shall be refused for defect in the pleadings Or in the presentation, without giving an opportunity to the person filing the Petition to rectify the defect within the time which may be given for the purpose. The Receiving Officer shall advise in writing the person filing the Petition of the defects in the Petition filed.
36. A person aggrieved by any order of the Receiving Officer in regard to the presentation of the Petition may request the matter to be placed before the Secretary of the Commission for appropriate orders.
37. The Chairperson or any Member as the Chairperson may designate for the purpose shall be entitled to call for the Petition presented by the party and give such directions regarding the presentation and acceptance of the Petition as he considers appropriate.
38. If on scrutiny, the Petition is not refused or any order of refusal is rectified by the Secretary or by the Chairperson or the Member of the Commission designated for the purpose, the Petition shall be duly registered and given a number in the manner to be specified by the Commission.
39. As soon as the Petition and all necessary documents are lodged and the defects and objections, if any, are removed, and the Petition has been scrutinised and numbered, the Petition shall be put up before the Commission for preliminary hearing and admission.
40. The Commission may admit the Petition for hearing without requiring the attendance of the party. The Commission shall not, pass an order refusing admission without giving the party concerned an opportunity of being heard. The Commission may if it considers appropriate issue notice to such person or persons as it may desire to hear the petition for admission.
41. If the Commission admits the Petition, it may give such orders and directions, as may be deemed necessary, for service of notices to the respondent(s) and other affected or interested parties; for the filing of replies and rejoinder in opposition or in support of the Petition in such form as the Commission may direct and for the petition to be placed for hearing before the Commission or a Bench, as the case may be.
Service of notices and processes issued by the Commission
43. Every notice or process required to be served on or delivered to any person may be sent to the person or his agent empowered to accept service at the address furnished by him for service or at the place where the person or his agent ordinarily resides or carries on business or personally works for gain.
44. In the event any matter is pending before the Commission and the person to be served has authorised an agent or representative to appear for or represent him or her in the matter, such agent or representative shall be deemed to be duly empowered to take service of the notices and processes on behalf of the party concerned in all matters and the service on such agent or representative shall be taken as due service on the person to be served.
45. Where a notice is served by a party to the Proceedings either in person or through registered post, an affidavit of service shall be filed by such party with the Commission giving details of the date and manner of service of notices and processes.
46. Where any Petition is required to be published it shall be published in such form in the newspapers to be specified, for such duration and within such time as the Commission may direct.
47. In default of compliance with the requirements of the Regulations or directions of the Commission as regards the service of notices, summons or processes or the publication thereof, the Commission may either dismiss the Petition or give such other or further directions as it thinks fit.
48. No service or publication required to be done shall be deemed invalid by reason of any defect in the name or description of a person provided that the Commission is satisfied that such service is in other respects sufficient, and no proceeding shall be invalidated by reason of any defect or irregularity unless the Commission, on an objection taken, is of the opinion that substantial injustice has been caused by such defect or irregularity or there are otherwise sufficient reasons for doing so.
|Filing of reply, opposition, objections, etc.
49. Each person to whom the notice of inquiry or the Petition is issued (hereinafter called the respondent) who intends to oppose or support the Petition shall file the reply and the documents relied upon within such period with seven copies. In the reply filed, the respondent shall specifically admit, deny or explain the facts stated in the notice of inquiry or the Petition and may also state such additional facts as he considers necessary for just decision of the case. The reply shall be signed and verified and supported by affidavit in the same manner as in the case of the Petition.
50. The respondent shall serve a copy of the reply along with the documents duly attested to be true copies on the petitioner or his authorised representative and file proof of such service with the office of the Commission.
51. Where the respondent states additional facts as may be necessary for the just decision of the case, the Commission may allow the petitioner to file a rejoinder to the reply filed by the respondents. The procedure mentioned above for filing of the reply shall apply mutatis mutandis to the filing of the rejoinder.
|Hearing of the matter
53. The Commission may determine the stages, manner, the place, the date and the time of the hearing of the matter as it considers appropriate.
Powers of the Commission to call for further information, evidence, etc.
55. The Commission may, at any time before passing orders on any matter, require the parties or any one or more of them or any other person whom the Commission considers appropriate, to produce such documentary or other evidence as the Commission may consider necessary for the purpose of enabling it to pass orders.
56. The Commission may direct the summoning of the witnesses, discovery and production of any document or other material objects producible in evidence, requisition of any public record from any office, examination by an Officer of the Commission the books, accounts or other documents or information in the custody or control of any person which the Commission considers relevant to the matter.
57. In accordance with the section 193 of the Indian Penal Code, 1860, who ever intentionally gives false evidence in any of the proceedings of the Commission or fabricates false evidence for the purpose of being used in any of the proceedings shall be punishable with imprisonment of either description for a term which may extend to seven years and shall also be liable to fine.
58. In accordance with Section 228 of the Indian Penal Code, 1860, who ever intentionally offers any insult or causes any interruption in any of the proceedings of the Commission, shall be punishable with simple imprisonment for a term which may extend to six months or with fine which may extend to Rs.1000 or with both.
Reference of issues to others
Procedure to be followed where any party does not appear60. Where, on the date fixed for hearing or any other date to which such hearing may be adjourned, any of the parties or his authorised agent or representative does not appear when the matter is called for hearing, the Commission may, in its discretion, either dismiss the Petition for default when the petitioner or the person who moves the Commission for hearing is in default or proceed ex-parte. 61. Where a Petition is dismissed in default or decided ex-parte, the person aggrieved may file an application within 30 days from the date of such dismissal or being proceeded ex parte, as the case may be, for recall of the order passed, and the Commission may recall the order on such terms as it thinks fit, if the Commission is satisfied that there was sufficient cause for the non appearance when the Petition was called for hearing.
Orders of the Commission62. The Commission shall pass orders on the Petition and the Chairperson and the Members of the Commission who hear the matter and vote on the decision shall sign the orders. 63. The reasons given by the Commission in support of the orders, including those by the dissenting Member, if any, shall form a part of the order and shall be available for inspection and supply of copies in accordance with these Regulations. 64. All orders and decisions issued or communicated by the Commission shall be certified by the signature of the Secretary or an Officer empowered in this behalf by the Chairperson and bear the official seal of the Commission. 65. All final orders of the Commission shall be communicated to the parties to the Proceedings under the signature of the Secretary or an Officer empowered in this behalf by the Chairperson or the Secretary.
|Inspection of records of Proceedings and supply of certified copies
66. Records of every Proceeding, except those parts which for reasons specified by the Commission are confidential or privileged or otherwise not to be disclosed to any person, shall be open to inspection either during the Proceeding or after the orders have been passed, subject to such person complying with such terms as the Commission may direct from time to time including in regard to time, place, and manner of inspection and payment of fees.
67. Any person shall be entitled to obtain certified copies of the orders, decisions, directions and reasons in support thereof given by the Commission as well as the pleadings, papers and other parts of the records of the Commission to which he is entitled to inspect on payment of fee and complying with other terms which the Commission may direct.
68. The Commission may pass such interim orders as the Commission may consider appropriate at any stage of the proceedings.
ARBITRATION OF DISPUTES69. The arbitration of disputes involving generating companies or transmission utilities in regard to matters connected with Clauses (a), (b) and (c) of Section 13 of the Act may be commenced by the Commission on the application of any of the persons concerned.
70. The Commission shall issue notice to the concerned person(s) and to such other persons as the Commission considers appropriate to show cause as to why the dispute should not be arbitrated.
71. The Commission may, after hearing the parties to whom notices have been issued and if satisfied that no reason or cause has been shown against the proposed arbitration, pass an order directing that the disputes or the matter be referred to arbitration.
72. The procedure for arbitration to be followed by the Commission shall be as far as possible the same as in the case of hearing before the Commission as provided for in Chapter II above.
73. The cost of arbitration and proceedings before the Commission shall be borne by such parties and in such sums as the Commission may direct.
INVESTIGATION, INQUIRY, COLLECTION OF INFORMATION, ETC.
74. The Commission may make such order or orders as it thinks fit for collection of information, inquiry, investigation, entry, search, seizure, and without prejudice to the generality of its powers in regard to the following:
75. In connection with the discharge of the functions under Regulation 74, the Commission may, if it thinks fit, direct a notice of inquiry to be issued and proceed with the matter in a manner provided under Chapter II of these Regulations.
76. The Commission may, at any time, take the assistance of any institution, consultants, experts and such other technical and professional persons, as it may consider necessary, and ask them to study, investigate, inquire into any matter or issue and submit report or reports or furnish any information. The Commission may determine the terms and conditions for engagement of such professionals.
77. If the report or information obtained in terms of the above Regulations or any part thereof is proposed to be relied upon by the Commission for forming its opinion or view in any Proceedings, the parties to the Proceedings shall be given a reasonable opportunity for filing objections and making submissions on the report or information.
TARIFF REGULATIONS78. In pursuance of section 28 read with section 55 of the Act, the following regulations relate to the terms and conditions for fixation of tariff. In addition, the Commission shall, after considering the views of all concerned, notify detailed terms and conditions including the manner in which charges for energy may be determined.
80. My generating company as specified in clause 79(1) proposing to enter into any agreement for supply of electricity between the generating company and any buying party shall get the approval of the Commission for the Tariff before entering into such contracts.
81. The Commission shall frame from time to time guidelines in matters relating to electricity Tariff in terms of section 13(g) of the Act which shall be notified.
|82. Without prejudice to the generality of the powers of the
Commission in regulating the tariff of generation and transmission utilities, the
Commission may keep in view while determining the Tariff factors such as:
83. The Commission, besides regulating the charges payable to the Central Transmission Utility, shall also regulate the charges payable to other transmission utilities for wheeling inter-state power. It shall also regutate the charges payable to the Central Transmission Utility for wheeling power though not for inter-state transmission.
84. The Commission may work out appropriate incentive schemes for generating and transmission utilities for better performance, which may be notified from time to time.
85. The Commission may if considered appropriate, approve differential tariffs linked to factors like time of day Metering (TOD) and payment terms with built in incentives for timely payment of bills.
86. Utilities engaged in generating or transmitting electricity who are required to get their tariff approved by the Commission, shall evolve tariff proposals based on the terms and conditions notified by the Commission and shall submit the same for approval as per procedure to be prescribed by the Commission.
87. All petitions for approval of generating or transmission tariff or revision as per Regulation 93 shall be made strictly in accordance with the guidelines and procedures prescribed by the Commission and shall also be in conformity with the requirements relating to petitions as prescribed in Chapter II of these Regulations.
88. The Commission may approve the proposed tariff on such stipulations as may be considered appropriate and as may be specified in the Order. One of the conditions of approval shall always be that in case of any dispute involving generating companies or transmission utilities, in regard to matters connected with tariff the same shall be subject to arbitration by the Commission.
89. The Commission may get the books and records of the utilities concerned examined by its officers and/or by Consultants at any point of time during the pendency of the petition or otherwise. The report of the officers/consultants shall be made available to the parties concerned and they shall be given opportunity to react on the reports in the manner as prescribed in regulation 59.
90. The utilities concerned shall publish the tariff as approved by the Commission in the manner as may be prescribed. The tariff so published shall be in force until any amendment is approved by the Commission and published.
91. Any utility found to be charging a tariff different from the one approved by the Commission shall be deemed to have not complied with the directions of the Commission and shall be liable to penalties under section 45 of the Act, without prejudice to any other proceeding and penalty to which it may be liable under any other Act. Any excess charge Of tariff by any utility in any year shall be dealt with as per the directions of the Commission.
92. The Commission on its own on being satisfied that there is need to review the tariff of any utility shall initiate the process of revision in accordance with the procedure as may be prescribed. The proceedings for suo moto review of the tariff shall be the same as set out in Chapter II of these Regulations.
93. Review of orders of the Commission on tariff will be entertained strictly in accordance with the relevant regulations governing review as contained in the relevant regulation herein.
94. The utilities shall submit periodic returns as may be prescribed containing operational and cost data to enable the Commission to monitor the implementation of its order and reassess the bases on which Tariff was approved.
CHAPTER VIGENERAL RULES CONCERNING PLANNING, DEVELOPMENT AND INTEGRATED OPERATION OF POWER SYSTEM AND GRANT OF TRANSMISSION LICENCE
95. The Commission may require any utility to prepare and the commission may approve the code concerning planning, development, connection/use of Inter-State Transmission System and integrated operation and grant of transmission licence which shall be notified as Indian Electricity Grid Code (IEGC). 96. Any person proposing to obtain Transmission Licence under section 27(C) of the Electricity Supply Act, 1948 (as amended) shall follow the guidelines as indicated in Indian Electricity Grid Code (IEGC).
97. Any party, who is aggrieved by a decision of the Central Transmission Utility or who complains of inordinate delay on the part of Central Transmission Utility, on an application for approval under Section 27(C)(4) of the Electricity Supply Act, 1948 may file an appeal before the Commission within thirty days of such denial of approval or within sixty days of lodging an application, as the case may be.
98. Appeal referred to in the above Regulation shall be filed in the same manner as a petition under Chapter II of these Regulations and shall be disposed off by the Commission in the same manner as any petition in accordance with the provision contained in Chapter II of these Regulations.
99. The Commission may issue appropriate directives from time to time to Central Transmission Utility for the introduction of competitive conditions, continuous enhancement of efficiency and to enable smooth integrated grid operations.
Time limit for disposal of petitions
101. The Commission may normally dispose off the petitions finally within six months of admission.
Review of the decisions, directions, and orders
Continuance of Proceeding after death, etc.
Proceedings to be open to public
105. The Proceedings before the Commission shall be open to the public
Provided that the Commission may, if it thinks fit, and for reason to be recorded in writing, order at any stage of the Proceedings of any particular case that the public generally or any particular person or group of persons shall have restricted access.106.
107. If the Commission in any case as referred to in the above Regulation considers that a person accused of any of the offences referred to thereunder and committed in its view or presence should be imprisoned otherwise than in default of payment of fine or with a fine exceeding Rs.200/- should be. imposed on him or the Commission is for any other reason of opinion that the case should not be disposed off by it under Regulation 106 may forward the case to a Magistrate having jurisdiction to try the same and may require security be given for the appearance of such person before such Magistrate or if sufficient security is not given, shall forward such person in custody to such Magistrate.
Publication of petition
Inspection of Commission's Records and Confidentiality
Issue of orders and directions on procedures
110. Subject to the provisions of the Act and these Regulations, the Commission may, from time to time, issue orders and practice directions in regard to the implementation of the Regulations and procedure to be followed and various matters which the Commission has been empowered by these Regulations to specify or direct.
Saving of inherent power of the Commission
111. Nothing in these Regulations shall be deemed to limit or otherwise affect the inherent power of the Commission to make such orders as may be necessary for ends of justice or to prevent the abuse of the process of the Commission.
112. Nothing in these Regulations shall bar the Commission from adopting in conformity with the provisions of the Act. a procedure, which is at variance with any of the provisions of these Regulations, if the Commission, in view of the special circumstances of a matter or class of matters and for reasons to be recorded in writing, deems it necessary or expedient for dealing with such a matter or class of matters.
113. Nothing in these Regulations shall, expressly or impliedly, bar the Commission to deal with any matter or exercise any power under the Act for which no Regulations have been framed, and the Commission may deal with such matters, powers and functions in a manner it thinks fit.
|General power to amend
114. The Commission may, at any time and on such terms as to costs or otherwise, as it may think fit, amend any defect or error in any Proceeding before it, and all necessary amendments shall be made for the purpose of determining the real question or issue arising in the Proceedings.
Power to remove difficulties
115. If any difficulty arises in giving effect to any of the provisions of these Regulations, the Commission may, by general or special order, do anything not being inconsistent with the provisions of the Act, which appears to it to be necessary or expedient for the purpose of removing the difficulties.
Extension or abridgement of time prescribed
116. Subject to the provisions of the Act, the time prescribed by these Regulations or by order of the Commission for doing any act may be extended (whether it has already expired or not) or abridged for sufficient reason by order of the Commission.
Effect of non-compIiance
117. Failure to comply with any requirement of these Regulations shall not invalidate any Proceeding merely by reason of such failure unless the Commission is of the view that such failure has resulted in miscarriage of justice.
Enforcement of orders passed by the Commission
119. The Secretary shall ensure enforcement and compliance of the orders passed by the Commission, by the persons concerned in accordance with the provisions of the Act and Regulations and if necessary, may seek the orders of the Commission for directions.