AERC Organisational Profile

In exercise of powers conferred by Section 181 and other provisions of the Electricity Act 2003 (36 of 2003) and all other powers enabling the Commission in this behalf the Assam State Electricity Regulatory Commission makes the following Regulations for conduct of its Proceedings and discharge of its functions:-

CHAPTER I – GENERAL

1. Short title, commencement and interpretation:-

(1) These Regulations may be called the Assam State Electricity Regulatory Commission (Conduct of Business) Regulations, 2004.

(3) These Regulations shall come into force on the date which the Commission may by notification appoint for the purpose

(4) The Assam General Clauses Act, 1915 (Assam Act 2. of 1915) shall apply to the interpretation of these Regulations.

2. Definitions

(c) ‘Commission’ means the Assam Electricity Regulatory Commission constituted under section 17 of the Electricity Regulatory Commissions Act, 1998 and which continues to be so under section 82 of the Electricity Act, 2003 (no.36 of 2003);

(f) ‘Petition’ shall include all petitions, complaints, appeals, replies, rejoinder, supplemental pleadings and other papers and documents filed before the Commission;

(g) ‘Proceedings’ means proceedings of all nature that the Commission may decide to initiate or hold in the discharge of its functions under the Act but any preliminary meeting or any action done by the Commission before such initiation shall not be a proceeding for the purposes of these Regulations;

(h) ‘Receiving Officer’ shall mean the officer designated by the Chairperson for receiving the Petition;.

(2) Words or expressions occurring in these Regulations and not defined herein above shall bear the same meaning as in the Act.

3. Commission’s offices, office hours and sittings:-

(1) The headquarters of the Commission shall be at Guwahati. Unless otherwise directed, the headquarters and other offices of the Commission shall be open daily except on the second and fourth Saturday of the month, Sundays and other holidays as may be notified by the State Government from time to time.

(2) The headquarters and other offices of the Commission shall be open at such times as the Commission may direct.

(3) 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 there of, the act cannot be done on that day, it may be done on the next following day on which the office is open.

(4) The Commission may hold sittings for hearing matters at the headquarters or at any other place on the day and time to be decided by the Commission.

4. Language of the Commission:-

(1) The proceedings of the Commission shall be conducted in English, provided that the Commission may allow an person to plead and represent the case in Assamese.

(2) No petition, documents or other matters contained in any language other than English shall be accepted by the Commission unless the same is accompanied by a translation thereof in English.

(3) 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, may be accepted by the Commission in an appropriate case as true translation of the petition, document etc.

(4) The Commission may in appropriate cases may direct translation of any document relevant to the proceedings in English by an officer or person designated by the Commission for the purpose.

5. Seal of the Commission:-

(2) Every order, decision or communication made, notice issued or certified copy granted by the Commission shall be stamped with the seal of the Commission and shall be authenticated by the Secretary or any other Officer of the Commission designated for the purpose.

6. Functions and Duties of the Secretary:-

(1) The Secretary shall exercise such functions as are assigned to him by these Regulations or otherwise by the Chairperson.

(2) In particular and without prejudice to the generality of the provisions of the clause (1) above, the Secretary shall have the following functions, namely:

(i) to receive or cause to receive all petitions, applications, other filings or references to the Commission;

(ii) to prepare or cause to prepare the briefs and summaries of all such filings presented before the Commission;

(vi) to collect from the State Governments, the Central Government and their agencies, the State Electricity Boards or other offices, licensees, companies and firms or any other person as may be directed by the Commission, such information records, documents, reports as may be considered useful for the purpose of efficient discharge of the functions of the Commission under the Act

(3) The Secretary shall have the custody of the seal and records of the Commission.

(4) The Secretary may, with the approval of the Chairperson, delegate to any other Officer of the Commission any function required by these Regulations or otherwise, to be exercised by the Secretary.

(5) In the absence of the Secretary, such other Officer of the Commission, as may be nominated by the Chairperson, may exercise the functions of the Secretary.

(6) The Commission shall always have the authority, either on an application made by any person or suo motu, to review, revoke, revise, modify, amend, alter or otherwise change any order made or action taken by the Secretary or other Officers of the Commission, if the Commission considers it to be appropriate.

(7) Save as provided otherwise in Section 97 of the Act the Commission may delegate to Secretary and Officers such of the functions of the Commission and on terms and conditions as the Commission may direct for the purpose.

(8) The terms and conditions of the services of the Secretary, Officers and Staff of the Commission shall be subject to such regulations as may be specified by the Commission from time to time.

7. Authorised representative to appear before Commission:-

(1) A person may appear himself or may authorise any of his employees to appear before the Commission and to act and plead on his behalf.

(2) A person may authorise an advocate or a member of any statutory professional body as the Commission may from time to time recognise for the purpose, to represent him and to act and plead on his behalf before the Commission.

(3) The Commission may from time to time decide the terms and conditions subject to which a person may authorise any other person to represent him and to act and plead on his behalf and the type of authorisation to be provided to the Commission for the purpose.

(4) Notwithstanding the above, the Commission may allow any consumer group or association or any person duly authorized by such consumer group or association to appear in any proceeding before the Commission or to participate in any meeting as the Commission may consider it to be appropriate.

(5) The Commission specifies the following professional bodies for the purpose of sub-clause (2) above in addition to the legal practitioners/Advocates:

8. Appointment of Consultant

The Commission may appoint Consultants to assist the Commission in the discharge of its functions. The terms and conditions of appointment shall be determined by the Commission by regulations from time to time.

CHAPTER II - GENERAL RULES CONCERNING PROCEEDINGS BEFORE THE COMMISSION

9. Proceedings before the Commission:-

(1) The Commission may from time to time hold such proceedings as it may consider to be appropriate in the discharge of its functions under the Act.

(2) The quorum for the proceedings of the Commission including any decision to be taken in any meeting shall be two except in circumstances where the Commission is currently only constituted with a Chairman.

(3) The Commission may appoint an Officer or any other person whom the Commission considers appropriate to participate and assist the Commission in the proceedings.

(4) All matters which the Commission is required under the Act to undertake and discharge through hearings shall be done through hearing in the manner specified under the Act and in these Regulations.

(5) Except where the Commission may provide otherwise for reasons to be recorded in writing, all matters affecting the rights or interests of the licensee or any other person or class of persons shall be undertaken and discharged through hearing in the manner specified in these Regulation.

(6) The Commission may hold hearings in matters other than those specified in sub-clauses (4) and (5) above, if the Commission considers it to be appropriate.

(7) The Commission may hold consultation with the parties or any one or more of them before deciding on the initiation of a proceeding in any matter.

10. Initiation of Proceedings:-

(1) The Commission may initiate any proceeding suo motu or on a petition filed by any affected or interested person.

(2) When the Commission initiates the proceeding it shall be by a notice issued by the Office of the Commission and the Commission may give such orders or directions as may be deemed necessary, for service of notices to the affected or interested parties and for the filing of replies in opposition or in support of the petition in such form as the Commission may direct.

(3) The Commission may, if it considers it to be appropriate, issue orders for issue of public notice inviting comments from the interested persons on the issues involved in the proceedings in such form as the Commission may direct.

(4) While issuing the notice the Commission may, in suo motu proceedings and in other 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.

11. Petitions before the Commission:-

(1) All petition shall contain a clear and concise statement of the facts with material particulars, the relief sought, the applicable provisions of law and the basis for such relief.

(2) All petition to be filed before the Commission shall be type written, cyclostyled or printed neatly and legibly on white paper and every page shall be consecutively numbered.

(3) All petition shall be filed in four copies or such other number of copies if the Commission so directs and all such copies shall be complete in all respects and the Commission may in addition seek copies of the Petition to be filed in an electronic form , on such terms and conditions, as the Commission may direct.

(4) The contents of the petition shall be divided appropriately into separate paragraphs, which shall be numbered serially.

(5) The petition shall be accompanied by such documents, supporting data and statements, as are relevant to the matters in issue in the petition.

(6) The fee specified by the Commission shall be paid at the time of filing of the petition.

12. General headings:-

The general heading in all petitions before the Commission and in all notices including public notices shall be in the Form attached to these Regulations as Appendix 1.

13. Affidavit in support:-

(1) All Petition filed shall be verified by an affidavit and every such affidavit shall be in the Form attached to these Regulations as Appendix 2.

(2) Every affidavit shall be drawn up in the first person and shall state the full name, age, occupation and address of the deponent and the capacity in which he is signing and shall be signed and sworn before a person lawfully authorized to take and receive affidavits.

(3) Every affidavit shall clearly and separately indicate the statements which are true to the -

(4) Where any statement in affidavit is stated to be true to the information received by the deponent, the affidavit shall also disclose the source of the information and a statement that the deponent believes that information to be true.

14. Presentation, Scrutiny and admission of the petitions:-

(1) All petition shall be presented in person or by any duly authorized agent to the Receiving Officer at the headquarters of the Commission during working hours on all working days or at such other place or places and during the time as may be notified by the Commission from time to time. The petition may in the alternate be sent by registered post with acknowledgment due to the Commission at the places mentioned above.

(2) The vakalatnama in favour of the Advocate and, in the event the petition is presented by the authorized agent or representative, the document authorizing the agent or representative shall be filed along with the petition.

(3) The presentation and the receipt of the petition shall be duly entered in the register maintained for the purpose by the Receiving Officer.

(4) Upon the receipt of the petition, the Receiving Officer shall acknowledge the receipt by stamping and endorsing the date on which the petition has been presented and shall issue an acknowledgment 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 Commission shall be taken as date of the presentation of the petition.

(5) The Receiving Officer may decline to receive any petition and if the petition has already been received may return the petition if the petition is not in conformity with the provisions of the Act or these Regulations or directions given by the Commission or is otherwise defective.

Provided however that no petition shall be refused for defect in the pleading or in its presentation, without an opportunity to the person filing the petition to rectify the defect within the time, which may be allowed for the purpose. The Receiving Officer shall advise in writing the person filing the petition of the defects in the petition and the time within which the defects be rectified and the petition be presented again.

(6) The Receiving Officer shall be entitled to reject the petition if the person filing the petition fails to rectify the defect within the time allowed under Clause (5).

(7) A party 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 for appropriate orders.

(8) The Chairperson or any Member as the Chairperson may designate for the purpose, shall be entitled at any time 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.

(9) If on scrutiny, the petition is not refused or any order of refusal is modified by the Secretary or by the Chairperson or the Member designated for the purpose, the petition shall be duly registered and given a number in the manner directed by the Commission.

(10) 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 scrutinized and numbered, the petition shall be placed before the Commission for admission.

Provided, however, that in the case of complaints of individual consumers, class of consumers or any consumer organizations, the Commission may, if it considers appropriate direct the return of the petition with the observation that the person filing the petition may refer the matter to the Forum for redressal of the grievances of the Consumers established for the purpose in terms of sub-section (5) of section 42 of the Act and the regulations specified by the Commission under the said provision.

(11) The Commission may admit the petition for hearing without requiring the attendance of the party filing the petition. The Commission shall not pass an order refusing admission of the petition 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 on the petition for admission.

(12) If the Commission admits the petition, it may pass such orders or directions as may be considered necessary, for service of notices to the respondent and other affected or interested parties and for the filing of replies in opposition or in support of the petition in such form as the Commission may direct.

15. Service of notices and processes issued by the Commission:-

(1) Any notice or process to be issued by the Commission may be served by any one or more of the following modes as may be directed by the Commission:

(iv) by publication in newspaper in cases where the Commission is satisfied that it is not reasonably practicable to serve the notices or process on any person in the manner mentioned above.

(2) 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.

(3) In the event any matter is pending before the Commission and the person to be served has authorized 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 notice or process 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. It shall be the duty of such agent or representative to duly inform the person whom he represents of the service of the notices.

(4) Where a notice or process 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 proof of service.

(5) Where any petition is required to be published in newspapers it shall be done in the manner specified in Regulation 70.

(6) The Commission may also effect service or give directions for effecting service in any other manner it considers appropriate.

(7) The Commission shall be entitled to decide in each case the person(s) who shall bear the cost of service or publication of the notice or process.

(8) Save as otherwise provided in the Act or in these Regulation and subject to any direction which the Commission or the Secretary or the Officer designated for the purpose may issue, the Petitioner or any other person whom the Commission may make responsible, shall arrange for service or publication of notice or process required to be served or published.

(9) In default of compliance with the requirements of these Regulations or directions of the Commission as regards the service or publication of notice or process, the Commission may either dismiss the petition or give such other or further directions, as it thinks fit.

(10) 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 respect sufficient and the person served will not be adversely affected by reason of such defect.

(11) No proceeding shall be invalidated by reason of any defect or irregularity in the service or publication unless the Commission, on an objection taken, is of the opinion that substantial injustice has been caused by such defect or irregularity.

16. Filing of reply, opposition, objections, etc.:-

(1) Each person to whom the notice of any petition or proceedings 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 and in such number of copies as may be directed by the Commission.

(2) In the reply filed, the respondent shall specifically admit, deny or explain the facts stated in the petition and may also state such additional facts as he considers necessary for a just decision of the case.

(3) The reply shall be signed and verified and supported by affidavit in the same manner as in the case of the petition. The respondent shall also indicate whether he wishes to participate in the proceedings and be orally heard.

(4) The respondent shall before filing the reply, serve a copy of the reply along with the documents duly attested to be true copies on the petitioner or his authorized representative and file proof of such service with the office of the Commission at the time of filing the reply.

(5) Where the respondent states additional facts, the Commission may allow the petitioner to file a rejoinder to the reply filed by the respondent. The procedure mentioned above for filing of the reply shall apply mutatis mutandis to the filing of the rejoinder.

(6) Every person (other than the persons to whom notices, processes, etc. have been issued calling for reply) who intends to file objection or comments in regard to a matter pending before the Commission, pursuant to the public notice issued for the purpose shall deliver to the Receiving Officer the statement of the objection or comments with copies of the documents and evidence in support thereof within the time fixed for the purpose.

(7) The Commission may permit such person or persons as it may consider to be appropriate to participate in the proceedings before the Commission, if the Commission considers that the participation of such person or persons will facilitate the proceeding and the decision in the mater.

(8) Unless permitted by the Commission, the person filing objections or comments pursuant to the public notice shall not be entitled to participate in the proceedings. However, the Commission shall take into account the objections and comments filed after giving such opportunity to the petitioner and the respondents in the proceeding to deal with the objections and suggestions.

17. Hearing of the matter:-

(1) The Commission may determine the manner, the place, the date and the time of the hearing of the matter as the Commission considers to be appropriate, consistent with such specific timing requirements as are set forth in the Act or otherwise the need to expeditiously decide the matter.

(2) The Commission may decide the matter on the pleadings of the parties or may call the parties to produce evidence by way of affidavit or lead oral evidence in the matter.

(3) If the Commission directs evidence of a party to be led by way of affidavit, the Commission may, as and when the Commission consider it to be necessary, allow the other party to cross-examine the deponent of the affidavit.

(4) The Commission may direct the parties to file written note of arguments or submissions in any proceeding before the Commission as the Commission considers it to be appropriate.

18. Power of the Commission to call for information etc.:-

(1) The Commission may, at any time before passing orders on the 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 material objects as evidence as the Commission may consider necessary for the purpose of enabling it to pass orders.

(2) The Commission may direct the summoning of the witnesses, the discovery and production of any document or other material objects producible in evidence, the requisition of any public record from any office, the examination by the Officer of the books, accounts or other documents or information in the custody or control of any person which the Commission considers relevant for the matter.

(3) The Commission may, if it considers appropriate, allow any of the parties or others specified in sub-clauses (1) or (2) above, to adduce such further documentary or other evidence in regard to evidence made available by any of the parties or other persons under the said sub-clauses.

(4) The Commission may, at any time, summon and enforce the attendance of any person and examine him on oath.

19. Reference of issues to others:-

(1) At any stage of the proceedings, the Commission shall be entitled to refer such issue or issues in the matter as it considers appropriate to persons including, but not limited to, the Officers and consultants of the Commission whom the Commission considers as qualified to give expert or specialized advice or opinion.

(2) The Commission may nominate from time to time any person including, but not limited to, the Officers and consultants to visit any place or places for inspection and give a report on the existence or status of the place or any facilities therein.

(3) The Commission, if it thinks fit, may direct the parties to the proceedings to appear before the persons designated in sub-clause (1) or (2) above to present their views on the issues or matters referred to.

(4) The report received from the person shall form a part of the record of the case and parties shall be given the copies of the report. The parties shall be entitled to file their version either in support or in opposition to the report.

(5) The Commission shall duly take into account the report given by the person and the replies filed by the parties while deciding the matter and if considered necessary, examine the person giving the report:

Provided that the Commission shall not be bound by the report given and shall be entitled to take such decision as it may consider to be appropriate.

20. Procedure to be followed where any party does not appear:-

(1) If, on the date fixed for hearing or any other date to which such hearing may be adjourned, if any party or his authorized agent or representative does not appear when the matter is called for hearing, the Commission may, in its discretion, postpone the hearing to another date or dismiss the petition for default when the petitioner or the person who moves the Commission for hearing is absent or proceed exparte to hear and decide the petition if the other party is absent.

(2) Where a petition is dismissed in default or decided exparte, the person aggrieved may file an application within 30 days from the date of such dismissal or being proceeded exparte, 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 of the person when the petition was called for hearing on the date of hearing under clause (1) above.

21. Orders of the Commission:-

(1) The Commission shall pass orders on the petition and the Chairperson and the Members who heard the matter shall sign the orders.

(2) 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 this Regulation.

(3) The Commission may from time to time pass such interim orders in any proceeding, hearing or matter before the Commission, as the Commission may consider it to be appropriate. The Commission may from time to time amend, vary or vacate the interim order earlier passed in the matter as the Commission may consider it to be appropriate.

(4) All orders and decisions issued or communicated by the Commission shall be certified by the Secretary or an Officer empowered in this behalf by the Chairperson or the Secretary and bear the official seal of the Commission.

(5) All final orders of the Commission shall be communicated to the parties in the proceeding under the signature of the Secretary or an Officer empowered in this behalf by the Chairperson or the Secretary.

22. Inspection of records and supply of certified copies

(1) The records of every proceeding shall be open, as of right, to the inspection of the parties or their authorised representatives at any time either during the proceeding or after the orders are passed, subject to payment of fees and compliance with such other terms as the Commission may direct.

(2) The records of every proceeding, except those parts which for reasons directed by the Commission to be confidential or privileged, shall be open to inspection by any person other than the parties to the petition 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.

(3) A 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 and papers and other parts of the records of the Commission to which he is entitled, subject to payment of fees and compliance with such other terms as the Commission may direct.

23. Confidentiality:-

(1) The Records of the Commission, except those parts which for reasons directed by the Commission are confidential or privileged, shall be open to inspection by all, subject to the payment of fees and compliance with such other terms as the Commission may direct.

(2) The Commission may, on such terms and conditions as it considers appropriate, provide for the supply of the certified copies of the documents and papers available with the Commission to any person.

(3) The Commission may, by order, direct that any information, documents and other papers and materials produced before it or any of its Officers, consultants, representatives or otherwise which may otherwise come into their possession or custody, shall be confidential or privileged and shall not be available for inspection or supply of copies, and the Commission may also direct that such document, papers or materials shall not be used in any manner except as specifically authorized by the Commission.

CHAPTER III - ARBITRATION OF DISPUTES

24. Arbitration:-

(1) The adjudication or arbitration of disputes which under the Act are within the scope of the jurisdiction of the Commission may be commenced on an application made by any of the parties to the dispute.

(2) The Commission shall issue notice to the concerned parties to show cause as to why the disputes between the parties should not be either adjudicated or by the Commission or settled through arbitration.

(3) 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 request for adjudication or for arbitration, pass an order directing that the disputes shall be adjudicated by the Commission or that the Commission shall refer the matter to arbitration of a person or persons to be nominated by the Commission.

25. Nomination of Arbitrators:-

(1) If the Commission decides to refer the matter to arbitration the Commission shall decide whether the reference shall be to a sole arbitrator or to a penal of arbitrators in such number as the Commission may decide and also the manner of appointment of the sole arbitrator or the panel of arbitrators, as the case may be:

(2) If any arbitrator appointed fails or neglects to act or continue as arbitrator, the Commission shall be entitled to appoint any other person in his place in the same manner as provided in clause(1) above.

(3) The Commission shall not nominate a person as arbitrator to whom any of the parties to the arbitration has a reasonable objection on grounds of possible bias or similar such reasons and the Commission considers the apprehension to be justified.

26. Procedure for adjudication, settlement and passing of award:-

(1) In case the Commission decides to adjudicate the matter raised by the parties, the procedure to be followed shall be as far as possible the same as in the case of hearing before the Commission provided in Chapter II above and the order of the Commission shall be an adjudication by the Commission and not an award in arbitration.

(2) In case the Commission nominates an arbitrator or arbitrators to settle the disputes, the arbitrator or arbitrators may follow specific directions issued by the Commission and also such procedure as they may consider appropriate, consistent with the principles of natural justice and fair opportunity to be given to the parties to arbitration.

(3) The arbitrator or arbitrators, as the case may be shall, after hearing the parties pass an award giving reasons for the decision on all issues arising for decision and forward the award with relevant documents to the Commission within such time as the Commission may direct.

(4) The award made by the Commission or the arbitrators, as the case may be, shall be an award under the Arbitration and Conciliation Act, 1996.

27. Cost of arbitration and proceedings:-

The cost of the arbitration including the preliminary and adjudicatory proceedings before the Commission shall be borne by such parties and in such sums as the Commission may direct.

CHAPTER IV - LICENCE

28. Application for licence:-

(1) Any person intending to engage in the business of Transmission, Distribution or Intra-state trading in electricity in the State of Assam, shall apply to the Commission for the grant of appropriate license in the form and manner directed by the Commission and accompanied by such fees as may be prescribed for this purpose.

(2) The General Conditions subject to which each of the categories of licence shall be issued are contained in Appendix 3 and the Licensee shall be bound by such conditions, except to the extent exempted by the Commission.

(3) The Commission shall in addition to the General Conditions, decide on the specific conditions subject to which licence shall be issued to the applicant.

(4) Any person intending to apply for licence shall duly comply with the conditions and requirements laid down by the Commission.

(5) The application for Licence shall be made in accordance with the provision of the Act and these Regulations and in the applicable form contained in Appendix 4 to these Regulations and shall be supported by affidavit of the authorized person.

Provided that the persons who fulfill the conditions contained in Regulation 47 shall be deemed to have applied for the grant of Distribution Licence and the Distribution Licence shall be deemed to have been granted to such persons subject to the conditions contained in the said Regulation 47.

(6) The Application for Licence shall be accompanied by documents and particulars required to be provided as per the applicable form in Appendix 4.

(a) the deviation, if any, the applicant propose from the General Conditions of Licence contained in Appendix 3 to these Regulations and reasons in support thereof; and

(b) the specific terms which the applicant propose as applicable to the Licence sought, in additions to the General Conditions of Licence.

29. Special provisions applicable to Intra State Transmission Licence:-

The Applicant for the Intra State Transmission Licensee shall, immediately on making the application, forward a copy of the application to the State Transmission Utility. The State Transmission Utility shall acknowledge the receipt of the application and within thirty days of the receipt of the said application send its recommendations, if any, to the Commission.

30. Special provisions applicable to Intra State Trading Licence:-

(1) Any person who has been granted an inter-state trading licence by the Central Electricity Regulatory Commission shall not require a licence to trade electricity in the State of Assam.

(2) Any person who has not been granted a Trading Licence by the Central Electricity Regulatory Commission and who wishes to only conduct trading within the State of Assam shall be required to apply for a Intra-State Trading Licence.

(3) Any person applying for Licence to undertake intra-state trading in electricity in the State of Assam shall duly fulfill the conditions of technical requirement, capital adequacy requirement and credit worthiness and further shall agree to discharge such duties as may be specified by the Commission under Section 52 of the Act.

31. Acknowledgment of application:-

On receipt of the application, the receiving Officer shall note thereon the date of its receipt and shall send to the applicant an acknowledgment stating the date of receipt.

32. Copies of maps and proforma for public inspection:-

The applicant shall maintain at his own office and at such other place as may be designated by the Commission, the copies of the documents referred to in Appendix 4 for public inspection and furnish to persons applying for them the copies of such documents at a price not exceeding the normal photocopying charges;

33. Calling for additional information:-

The Commission or the Secretary or any Officer designated for the purpose by the Commission may upon scrutiny of the application, require the applicant to furnish within a period to be specified, such additional information or particulars or documents as the Commission may consider to be necessary for the purpose of dealing with the application.

34. Notifying the due filing of the application:-

If the Commission finds the application to be complete and accompanied by the requisite information, particulars and documents and that the applicant has complied with all the requirements for making the application and furnishing of information, particulars and documents, the Commission or the Secretary or the Officer designated for the purpose shall certify that the application is ready for being considered for grant of licence in accordance with applicable laws and communicate the same to the applicant.

35. Publication of notice of application:-

(1) The applicant shall, within seven days from the date of admission of the application, publish a notice of the application in the form specified in Appendix 5 with such particulars and in such manner as the Commission may direct.

(2) The publication shall be headed by a short title corresponding to that given in the application and shall give the addresses of the offices at which the application documents copies of maps therein referred to may be inspected and the copies of same be purchased and shall also state that any person, desirous of making a representation with reference to application to the Commission, may do so by letter addressed to such Officer as the Commission may designate in that behalf, within thirty days from the date of publication.

36. Service of notice of the application:-

(1) The Commission may direct that the notice of the application be served on the Central Government, the State Government, the local authority or any other authority or person or body as the Commission may direct in such form, with such particulars and in such manner as the Commission may consider appropriate.

(2) The applicant shall apply for and obtain the no objection certificate required from the Central Government in terms of clause (ii) of sub-section (2) of Section 15 of the Act before the application is placed for hearing by the Commission for grant of the licence.

37. Objections:-

(1) Any person intending to object to the grant of the licence shall file objection within thirty days from the date of publication of the notice by the applicant. The objection shall be filed in the form of reply and the provisions of Chapter II dealing with reply shall apply to the filing of such objections.

(2) Any person who desires to have any amendment made in proposed conditions of licence shall deliver a statement of the amendment to the applicant and to such Officer as the Commission may designate in that behalf and within the time allowed by the Commission for filing objection.

38. Hearings and local inquires:-

(1) If the applicant has duly arranged for the publication of the notice of the intended application and the time for filing of the objection is over and after the applicant has furnished to the Commission the no objection certificate, if any, required from the Central Government, the Commission may proceed with the hearing of the application.

(2) The Commission shall give the notice of hearing to the applicant, the persons who had filed objections, the Central Government, the State Government and such other authority, person or body as the Commission may consider appropriate.

(3) The Commission shall consider the recommendations, if any, from the State Transmission Utility in regard to the grant of Intra State Transmission Licence.

(4) If any person objects to the grant of a licence applied for, the Commission may if either the applicant or the objector so desires, cause a local inquiry to be held of which the notice in writing shall be given to the applicant and the objector;

(5) In case of a local inquiry under Clause(1) above a memorandum of the results of the inquiry made shall be prepared and shall be signed by the applicant, the Officer or person designated for the purpose and such other person as the Commission may direct.

(6) The hearing on the application for grant of licence shall thereafter proceed as far as possible in the same manner as provided in Chapter II.

39. Grant of licence:-

(1) After the hearing, under Regulation 38 the Commission may decide to grant or refuse the licence and if it decides to grant the licence it may do so on such terms and conditions and with such modifications to the general conditions and on such specific conditions as the Commission may decide.

(2) When the Commission has approved the grant of licence, the Secretary or such other Officer as the Commission may designate in this behalf, shall inform the applicant of such approval and the conditions to be satisfied by the applicant including the initial and periodical licence fees to be paid by the applicant for the grant of the licence.

(3) On receiving an intimation in writing from the applicant that he is willing to accept a licence on the terms approved by the Commission and after the applicant satisfies the conditions imposed for the grant of the licence, the Commission may direct the applicant to publish the licence or such part or gist thereof as the Commission consider it to be appropriate.

(4) The Commission shall immediately after issue of a licence, forward a copy of the licence to the State Government, Central Electricity Authority, local authority, and to such other person as the Commission considers necessary.

40. Date of commencement of licence:-

The licence shall commence from the date the Commission may direct as the date of commencement of licence, and the licence shall be in force for the period specified in the Licence, subject however to earlier revocation in accordance with law.

41. Deposit of maps and proforma:-

(1) When a licence has been granted, three sets of maps and a proforma containing the particulars specified in clause (2) below shall be signed and dated to correspond with the date of the notification of the grant of the licence by such Officer as the Commission may designate in this behalf.

(2) The particulars to be given in the proforma under Clause(1) above shall be as under:

(a) A short title descriptive of the proposed utility together with the address and description of the applicant, and if the applicant is a company, the names of all the directors of the company;

(e) The general conditions and also the specific conditions, if any, which the Commission has laid down for inclusion in the licenses of the nature applied with justification for any deviation sought for; and

(3) One set of such maps and proforma shall be retained as the deposited maps and proforma by the said Officer and the other two sets shall be given to the licensee after due attestation by the Commission.

(4) The Licensee shall whenever required by Commission furnish the maps and proforma in an electronic form.

42. Exhibition and supply of licence copies by the Distribution Licensee:-

(1) Every person who is granted a Distribution Licence shall within thirty days of the grant thereof arrange to exhibit copies of the licence granted, maps and proforma attested under Regulation 41 for public inspection at all reasonable times at the head office and at the divisional offices within the area of supply.

(2) Every such licensee shall, within the aforesaid period of thirty days, supply free of charge a copy of the licence to every Officer of the Municipal Corporation, Municipal Committees and Deputy Commissioner within the area of supply of the Licensee and shall also make necessary arrangements for the sale of printed copies of the licence to all persons applying for the same during the period of the licence, at a price not exceeding normal photocopying charges.

43. Preparation and submission of accounts:-

(1) Every licensee shall cause the accounts of the Licensed Business to be made based on the Financial Year.

(2) Such licensee shall prepare and render an annual statement of his accounts in accordance with the directions given by the Commission, within a period of six months from the close of the financial year, or such extended period as the Commission may authorise after it is satisfied that the time allowed is insufficient owing to any cause beyond the control of the licensee. The statement shall be filed with the Commission in such numbers of copies as the Commission direct.

(3) The accounts shall be made up in such form as the Commission may direct from time to time. The form shall be signed by the Licensee or the duly authorized agent or manager of the Licensee.

(4) The Commission may, by special or general order direct that, in addition to the submission of the annual statements of accounts under sub-clause (3) the Licensee shall submit to the Commission or such other authority as the Commission may designate in this behalf such additional information as it may require for the purpose.

44. Contravention by Licensee:-

The Commission may pass such orders as it thinks fit in accordance with the provisions of the Act and these Regulations if there is a contravention or likely contravention of the terms and conditions of licence by the Licensee.

45. Revocation of the licence:-

(1) The proceedings for revocation of the licence or for passing of any other orders provided in Section 19 of the Act shall be initiated by an order passed by the Commission. The Commission may initiate such proceedings on its own or on application of the licensee or on receiving any complaint or information from any person.

(2) The Commission shall give notice of the proceedings for the revocation of the licence to the licensee and to such other person, authority or body as the Commission may consider necessary.

(3) Subject to the provisions of Act, and the procedure contained therein, the inquiry by the Commission for revocation of the licence, in so far it is applicable, shall be in the same manner as provided in Chapter II of these Regulations.

Provided that the licensee shall be given not less than three months notice in writing to show cause against the proposed revocation and the notice to show-cause issued to the licensee shall clearly state the grounds on which the Commission proposes to revoke the licence.

(4) If the Commission decides to revoke the licence, the Commission shall communicate the order of revocation to the licensee stating the effective date from which such revocation shall take effect.

(5) The Commission may instead of revoking the licence pass any other order imposing such terms or conditions subject to which the Licensee shall be permitted to operate thereafter.

(6) Where the Commission has given notice for revocation of licence, the licensee may, after prior approval of the Commission, sell the undertakings of the Licensee to a person who is found eligible by the Commission for grant of licence, without prejudice to any proceeding which may be initiated or any penalty which may be imposed against the person whose licence is revoked.

46. Amendment of the licence:-

(1) The application for amendment to the terms or conditions of the licence may be made by the Licensee in such form as may be directed for the purpose by the Commission.

(2) The application shall be accompanied with a statement of the proposed amendment and shall be supported by affidavit as provided in Chapter II of this Regulation.

(3) The applicant shall, within seven days from the date of admission of the application for amendment for hearing publish a notice of the application filed giving a brief statement of the amendment proposed, the reason for the proposed amendment, the effect of the amendment proposed on the discharge of the functions of the Licensee under the Licence granted, the alternate arrangement proposed for such discharge of the functions and such other particulars as the Commission may direct.

(4) The publication under Clause (2) above shall give the addresses of the offices at which the application for amendment may be inspected and the copies of documents can be purchased and shall state that a person, desirous of making any representation with reference to application to the Commission, may do so by letter addressed to the Secretary or such Officer as the Chairperson may designate in that behalf, within thirty days from the date of publication.

(5) In the event the Commission proposes to amend the terms and conditions of the Licence granted to a licensee the Commission shall publish a notice of the proposed amendment giving a brief statement of the amendment proposed, the reason for the proposed amendment, the effect of the amendment proposed on the discharge of the functions of the Licensee under the Licence granted, the alternate arrangement proposed for such discharge of the functions and such other particulars as the Commission may consider appropriate

(6) Unless otherwise specified in writing by the Commission, the procedure specified in these Regulations for grant of licence, in so far it can be applied, shall be followed while dealing with an application for amendment of the licence.

47. Deemed grant of the Distribution Licence

(1) Until otherwise directed by the Commission, the following classes of persons shall be deemed to have applied for and granted the Distribution Licence for the purpose contained herein and subject to the fulfillment of the conditions contained in sub-clause (2):

(i) Persons who supply electricity generated by themselves and/or supplied to them by an authorised person, for the purposes of an event or function not exceeding two months, and when the electricity is distributed through a system owned by them;

(ii) Persons who supply electricity to the residential colonies as a part of their activity of maintaining such colonies for use and occupation of their employees and/or for use and occupation of persons providing facilities and services to the employees, where such person procures electricity from any Licensee or from any other source approved by the Commission and distributes the electricity within the residential colonies on no-profit motive basis; and

(iii) Such other persons as the Commission may from time to time by order notify, subject to such terms and conditions as the Commission may direct.

(i) not directly or indirectly undertake trading in electricity or distribution or supply of electricity outside its area of operation and the distribution or supply of electricity shall be strictly restricted to the relevant purpose mentioned in sub-clause (1) above.

(iii) if so required furnish to the Commission such information required by the Commission for the purposes of the discharge of the functions of the Commission as the Commission may from time to time direct;

(iv) comply with the provisions of the Act, the Regulations of the Commission, technical codes such as Grid Code, Supply Code, Standards of performance and Overall Standards of Performance or any other guidelines issued by the Commission;

(v) comply with all applicable rules and regulations concerning the safety and security of the operation; and

(vi) comply with any directions which the Commission may issue from time to time in regard to the charges which such persons may levy on the consumers taking into account the charges prevailing in the nearby area of supply of electricity supplied by a licensee.

(3) The Commission shall be entitled to issue appropriate directions from time to time as it may consider to be necessary and take appropriate actions against a Licensee under this Regulation 47 in accordance with the provisions of the Act and these Regulation for any breach or non compliance there of.

(4) The Commission may, at any stage, if it considers necessary direct the Licensee under this Regulation 47 to apply for licence and consider the grant or refusal of licence in accordance with other Regulations under this Chapter III.

(5) The Commission may by an interim or final order direct the Licensee under this Regulation 47 to cease to distribute or supply electricity in the area of operation or any part thereof.

(6) If any difference or dispute arises as to whether the person is entitled to undertake supply of electricity as a Licensee under this Regulation 47, the decision thereon of the Commission shall be final.

CHAPTER-V GENERATING COMPANIES AND CAPTIVE GENERATING STATIONS

48. Generating Companies and Captive Generating Stations

The generating companies and other persons who have established generating stations including captive generating stations in the State and persons who desire to establish such generating stations including Captive Generating Stations with capacity in excess of 1 MVA or such other capacity as the Commission may notify for the purpose shall furnish to the Commission the technical details of the generating stations as per Appendix – 6, within 30 days of notification of these Regulations or within 30 days of the commencement of generation of electricity at the station, whichever is later.

CHAPTER – VI POWER PROCUREMENT AND PURCHASE

49. Power Procurement and Purchase

(1) In accordance with the provisions of the Act and the licence conditions every Distribution Licensee shall purchase or procure electricity required for the Licensed Business of the Distribution Licensee in an economical and efficient manner and under a transparent power purchase and procurement process and generally based on the principles of purchase of electricity at the least cost.

(2) The power purchase by a Distribution Licensee may be classified by the Commission as short term power purchase or long term power purchase on terms as may be decided by the Commission from time to time.

(3) The Commission may from time to time issue guidelines, practice directions and orders governing the short term purchases and long term purchases which the Distribution Licensee can undertake for the purpose of the Licensed Business.

(4) (a) The Distribution Licensee shall satisfy the Commission as to the need for additional power procurement on a long term basis

(b) The Distribution Licensee shall not enter into a binding or enforceable contractual commitment of such long term payment till the Commission by a general or special order approves the procurement of electricity by the Distribution Licensee.

(5) Unless otherwise approved by the Commission by a general or special order a long term power purchase or procurement by the Distribution Licensee shall be done through a competitive procurement process approved by the Commission.

(6) (a) The Distribution Licensee shall satisfy the Commission that the electricity procured under long term power purchase otherwise than through a competitive bidding process or any short term power purchase is economical in the prevalent circumstances and that the Distribution Licensee has made prudent and best efforts to minimise the cost of purchase.

(b) The Commission may not permit any such long term purchase if the manner or method proposed for such procurement of electricity is not conducive to the objective of least cost purchase or for any other reason the purchase is not economical or efficient.

(7) The short term power purchase by the Distribution Licensee may be undertaken in such a manner as the Commission may from time to time direct by a general or special order.

(8) The Distribution Licensee shall forecast the demand for electricity for Licensed Business and formulate proposals in coordination with the generating companies, Transmission Licensees other distribution licensees, trading licensees, authorities and other concerned persons. The Distribution Licensee shall file with the Commission power procurement plan to meet the demand in such a manner as the Commission may direct.

(9) The Distribution Licensee shall file with the Commission the details in regard to the distribution system under his control and arrangement available from the transmission and others in the State or others outside the State to evacuate the electricity procured and to distribute the same in accordance with the power procurement plans approved by the Commission.

(10) The Commission may from time to time lay down the details required to be given by the Distribution Licensee in regard to resource planning, power purchase and procurement planning, planning for evacuation through transmission lines and distribution system, the procurement process to be followed and other matters relating to purchase of energy by the distribution licensee and notify the same in the form of guidelines or practice directions.

(11) The Commission shall take into consideration while determining the tariffs of the Distribution Licensees as per these regulations and as per the Tariff Regulations to be framed by the Commission under section 61 of the Act, the approval granted by the Commission to the Distribution Licensees for the power purchase and procurement process under this Regulation 49 and the actions and inactions on the part of the Distribution Licensees in complying with the terms contained in this clause.

CHAPTER – VII INVESTMENT APPROVALS

50. Investment Approvals

(1) Unless otherwise specified by the Commission, every licensee shall obtain prior approval of the Commission for making investment in the licensed business if such investment is above the limits laid down by the Commission in the Licence Conditions.

(2) The limits in the Licence Conditions may be modified by the Commission from time to time by a general or special order.

(3) In the application for investment approval, the licensee shall furnish the following information or particulars:

a) A detailed project report containing examination of the salient features and particulars demonstrating the need for the investment together with the techno economic and environmental aspects of the investment together with the outline of the work to be undertaken.,

c) Whether the investment is in a new project or for expansion or up-gradation of an existing system;

d) Sanctions and statutory clearances required for execution of the project and status of such sanctions and statutory clearances;

e) Phasing of investment over the financial years and the Commissioning schedule;

f) The manner in which investments will be capitalised for the purposes of inclusion in the revenue requirements of the Licensee;

g) Constraints which the Licensee may face in making the investments or in implementing the project including constraints on information available;

(4) (a) The Commission may at its discretion hold such inquires and consultations as the Commission may consider appropriate while dealing with the application for approval for the investment to be made by the licensee.

(b) The Commission may at its discretion initiate a proceeding or consider the application for investment approval as a part of the proceedings for determination of tariff or along with any other proceeding as the Commission may consider appropriate.

(5) (a) The Commission shall be entitled to appoint consultants, experts and others as the Commission may consider appropriate and authorise the Commission’s staff, consultants and experts to hold discussions and deliberations with the Licensee before the Commission considers the application of the Licensee for investment approval.

(b) The licensee seeking investment approval shall furnish information, particulars, documents as may be required by the Commission staff, consultants and experts appointed by the Commission for the purpose and allow them access to the records and documents in power, possession or custody of the licensee.

(c) The licensee shall cooperate with the Commission’s staff, consultants and experts to enable them to discharge their functions and to submit a report to the Commission on the outcome of their findings.

(6) The Commission shall take into consideration while determining the tariffs of the Licensees as per these regulations and as per the Tariff Regulations to be framed by the Commission under section 61 of the Act, the approval granted by the Commission to the Licensees for the investments under this clause and the actions and inactions on the part of the Distribution Licensees in complying with the terms contained in this clause.

chapter vIII – Tariffs

51. Filing by the Licensees:-

(1) Subject to the provisions of the Act each year, at the time required under the licence conditions or otherwise as may be directed by the Commission, each Transmission and Distribution Licensee shall file with the Commission, in the format as may be laid down by the Commission, statements containing calculation of the expected aggregate revenue from charges under its currently approved tariff, the expected cost of providing services for the ensuring financial year.

(2) If a Transmission or Distribution Licensee carries on more than one business, the statements referred to in clause (1) above shall be given separately for each separate business of the licensee and in such manner in respect of each such business as the Commission may direct.

(3) The statements referred to in Clause (1) above in the case of a Transmission Licensee shall contain the following details:

(a) a calculation of the estimated costs of providing the services under the Licensed Business;

(b) in case the Licensee carries on any business or services other than the Licensed Business, the Licensee shall give separate revenue and expense statements for the Licensed Business together with such details as the Commission may require in respect of such other business or services; and

(4) The statements referred to in clause (1) above in the case of the distribution licensee shall contain the following details:

(a) the licensee’s forecast of electricity demand under each customer or consumer category for the ensuing financial year and the basis of the forecast;

(b) a calculation of expected aggregate revenue that would result from the demand under Clause (a) above under the currently approved tariff for customer or consumer category;

(c ) a calculation of the licensee’s estimated costs of providing the service required by the level of demand indicated in sub-clause (a) above for each category of consumers during the specified period calculated in accordance with the financial principles and their application contained in the Sixth Schedule to the Electricity (Supply) Act, 1948 as was in force before the repeal of the said Act by Electricity Act, 2003 or such other principles the Commission may direct from time to time;

(d) In case the Licensee carries on any business or services other than the Licensed Business, the Licensee shall give separate revenue and expense statements for the Licensed Business together with such details as the Commission may require in respect of such business or services; and

(5) The Transmission or the Distribution Licensee shall for such period as may be directed by the Commission, file an application containing tariff proposals to deal with the gaps between the expected aggregate revenue at the then prevalent tariff and the expected cost of services including schemes for reduction in loss levels, other efficiency gains to be achieved, the revision in charges in tariff structure for different categories of consumers.

(6) The application under sub-clause (5) shall be accompanied by such fees as the Commission may specify.

(7) The Transmission or the Distribution Licensee shall furnish to the Commission such additional information, particulars and documents as the Commission may require from time to time after such filing of revenue calculations and tariff proposals.

(8) The Transmission or the Distribution Licensee shall publish for the information of the public the contents of the application in an abridged form in such manner as the Commission may direct and shall provide copies of the application and documents filed with the Commission at a price not exceeding normal photocopying charges.

52. Multi Year Tariff Principles and Guidelines:-

(1) The Commission may adopt multi year tariff principles for matters relating to calculation of revenue requirements of the Transmission or the Distribution Licensees and the tariff determination including on aspects of investments, reduction of loss levels, other efficiency gains to be achieved, the revision in charges, changes in tariff structure, and such other matters as the Commission may by a general or special order direct.

(2) The Commission may, as and when considered appropriate, issue guidelines for filing statement of revenue calculations and tariff proposals for such period in excess of a financial year and unless waived by the Commission, the licensee shall follow such guidelines issued by the Commission.

53. Hearing:-

(1) The Commission may hold a proceeding on the revenue calculations and tariff proposals given by the Transmission or the Distribution Licensee and may hear such persons as the Commission may consider appropriate to decide on such revenue calculations and tariff proposals.

(2) The procedure of hearing on the revenue calculations and tariff proposals of the Transmission or the Distribution Licensee shall be in the manner as the Commission may decide from time to time.

54. Order of the Commission:-

(1) Upon hearing the Transmission or the Distribution Licensee and such other parties and upon making such other inquiry as the Commission consider it to be appropriate, the Commission shall make an order and notify the Transmission or the Distribution Licensee of its decision on the revenue calculations and tariff proposals.

(2) While making an order under sub-clause (1) above or at any time thereafter, the Commission may direct the publication of the tariff determined by the Commission which the Transmission or the Distribution Licensee shall charge different consumers or customers and categories thereof in the ensuing period determined by the Commission.

(3) The Commission shall, within seven days of the order forward a copy of the order to the State Government, the Central Electricity Authorities and the concerned licensees.

55. Publication:-

(1) The Transmission or the Distribution Licensee shall publish the tariff or tariffs approved by the Commission in the newspapers having circulation in the area of supply as the Commission may direct. The publication shall, besides such other things as the Commission may require, include a general description of the tariff changes and its effect on the classes of the consumers or customers.

(2) The tariffs determined by the Commission published under clause (1) above shall be the notified tariffs applicable in the concerned area. In case of any increase in tariff the same shall take effect only after such number of days as the Commission may direct which shall not be less than seven days, from the date of first publication of the tariffs.

56. Subsidy from State Government:-

(1) The State Government may, at any time as it considers to be appropriate, propose any subsidy to any class or classes of consumers in the tariff determined or to be determined by the Commission and upon receiving such proposal, the Commission shall determine the amount to be paid as subsidy and the terms and conditions of such payment including the manner of payment of subsidy amounts by the State Government to the person affected by the decision of the subsidy.

(2) While determining the tariff, the Commission shall take into account any subsidy, which the State Government had agreed to give to any class or classes of consumers.

(3) The tariff determined by the Commission shall be published duly taking into account such subsidy offered by the State Government as on the date of the decision of the Commission.

(4) Notwithstanding anything contained above no direction of the State Government granting subsidy shall be operative if the payment is not made by the State Government in accordance with the provisions of section 65 of the Act and in the event of such directions being not operative the amount which the State Government has failed to make payment shall be added in the tariff to be charged by the Distribution Licensees to the concerned class of classes of consumers.

(5) The Distribution Licensee shall be required to furnish documents to the satisfaction of the Commission that the subsidy amount received by the Distribution Licensee from the State Government is duly accounted for and utilised for the purpose for which the subsidy is given.

57. Bills to Consumers:-

(1) The Distribution Licensee shall raise bills for the energy supplied or transmitted or services rendered to the consumers only in accordance with the notified tariff and in accordance with clause (4) of Regulation 56.

(2) The bills to the consumers shall distinctively display the per unit cost of supply of electricity to the class of consumer as determined by the Commission, the subsidy, if any, given by the State Government applicable to such class of consumer and per unit amount of such subsidy, the bill amount payable by the consumer and the cross subsidization of the class of the consumer in the tariff made applicable without taking account of subsidy from the State Government as well as the other requirements for information on bills in the Electricity Supply Code.

58. Revision of Tariff:-

(1) No tariff determined by the Commission may be amended more frequently than once in any financial year except that tariff rates shall be adjusted in accordance with any adjustment formulae including Variable Cost Adjustment formula incorporated in the tariff order or in any other order of the Commission.

(2) The orders which the Commission may issue to give effect to subsidy the State Government may grant from time to time shall not be construed as amendment of tariff notified. The Distribution Licensee shall, however, give appropriate adjustments in the bills to be raised on the consumers for the subsidy amount in the manner the Commission may direct.

59. Generation Tariff:-

(1) The Commission may approve the tariff for the power purchase and procurement by the Distribution Licence from the Generating Company as per Chapter VI of this Regulation and on such approval being given, the Generating Company shall be entitled to sell the energy to the Distribution Licensee as per the tariff, terms and conditions contained in the Power Purchase Agreement as approved by the Commission.

(2) In cases other than those covered by sub-clause (1) above the Generating Company may file an application to the Commission for determination of tariff for any of its generating station for the sale of energy in the State of Assam giving details of the fixed and variable costs associated with the generation.

(3) The application by the Generating Company under sub-clause (2) may be filed for determination of the tariff for sale of energy to any specific purchaser including the Distribution Licensee or to more than one such purchaser or generally for sale of energy from time to time to such person or persons including Distribution Licensees who may desire to purchase energy from the Generating Company.

(4) The Commission may determine the tariff for the sale of energy from the Generating Station of a Generating Company. The Generating Company may thereafter enter into agreements for the sale of energy on the tariff determined by the Commission subject to the terms and conditions laid down by the Commission.

Provided that the determination of the Generation Tariff under this Regulation 59 shall not entitle the Generating Company to sell energy to the Distribution Licensees on a long term basis except in accordance with the Power Purchase Agreement or procurement to be finalised by the Distribution Licensee as provided in Chapter VI of these Regulations and the terms and conditions which the Commission may lay down for the purpose from time to time.

Provided also that determination of the Generation Tariff shall not entitle the Generating Company to sell energy to the Distribution Licensees on a short term basis except in accordance with the Chapter VI of these regulations and on the terms and conditions laid down by the Commission under the said Chapter VI.

60. Tariff of Electricity Trader:-

(1) The Commission may approve the tariff for the power purchase and procurement by the Distribution Licensee from the Electricity trader as per Chapter VI of these Regulations and on such approval being given, the Electricity Trader shall be entitled to sell the energy to the Distribution Licensee as per the tariff, terms and conditions contained in the Power Purchase Agreement as approved by the Commission.

(2). The Distribution Licensees shall not be entitled to purchase electricity from the Electricity Trader except as provided in Chapter VI of these Regulations and further such sale shall be subject to such further terms and conditions the Commission may lay down for the purpose from time to time.

Chapter IX Performance Standards, Codes, Supply regulations

61. Performance Standards, Codes, Supply Regulation, etc.

(1) The Commission may from time to time direct the licensees and generating companies operating in the State to formulate or adopt such codes as the Commission considers appropriate for the proper and efficient conduct of the electricity sector and operation of the power systems in the State.

(2) The Commission may hold such consultations and proceedings as the Commission considers appropriate to deliberate on the codes formulated by the licensee.

(3) The Commission may appoint consultants or experts to advise the Commission on the codes formulated by the licensees and generating companies.

(4) The Commission may direct such modifications as it considers appropriate to the codes formulated by the Licensees and generating companies.

(5) The licensees and generating companies shall implement the codes approved by the Commission consistent with the directions and orders made by the Commission from time to time.

(6) Without prejudice to the generality of the powers of the Commission in regard to the enforcement of standards of performance in operation of the power system the codes to be formulated and implemented may include

(7) The Licensees and generating companies shall follow the existing standards, codes and conditions of supply till the codes, standards and conditions of supply are formulated and implemented in accordance with this regulation.

CHAPTER X INVESTIGATION, INQUIRY, COLLECTION OF INFORMATION, ETC.

62. Collection of information:-

(1) The Commission may make such order or orders as it thinks fit in terms of the provisions of the Act for collection of information, inquiry, investigation, entry, search, seizure and without prejudice to the generality of its powers undertake the following:

a) the Commission may specially authorize any Officer, to enter any building or place where the Commission has reason to believe that any document relating to the subject matter of the inquiry or adjudication under the Act, may be found and may seize any such document or take extracts or copies there from.

b) in the exercise of powers conferred on it by section 128 of the Act, the Commission may, on being satisfied that a licensee or a generating company has failed to comply with any of the conditions of the licence or the provisions of the Act or the rules or any of the regulations made there under, at any time, by order in writing, direct an Investigating Authority specified in the order to investigate the affairs of the licensee or generating company and report to the Commission. For this the Commission may direct the minimum information to be maintained by the licensees and generating companies in their books and also direct the manner in which such information shall be maintained and the checks and verifications to be adopted;

c) the Commission may, at any time, direct the Secretary or any one or more Officers or consultants or any other person as the Commission considers appropriate to study, investigate or furnish information with respect to any matter within the purview of the Commission;

d) the Commission may for the above purpose give such other directions as it may deem fit and direct the time within which the report is to be submitted or information furnished;

e) the Commission may issue or authorize the Secretary or an Officer on its behalf to issue directions to any person to produce before it and allow to be examined and kept by an Officer of the Commission specified in this behalf the books of accounts as provided in the Act;

f) the Commission may, for the purpose of collecting any information particulars or documents which the Commission consider necessary in connection with the discharge of its functions, issue such directions and follow any one or more of the methods provided for in the Act as the Commission consider it to be appropriate;

g) if any such report or information obtained as specified in the Act or in these regulations appears to the Commission to be insufficient or inadequate, the Commission or the Secretary or an Officer authorised for the purpose may give directions for further inquiry, report and furnishing of information; and

h) the Commission may direct that such incidental, consequential and supplemental matters which may be considered relevant in connection with the above, be attended to.

(2) In the discharge of the functions and powers under the Act and these Regulations, 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 this Regulation.

(3) On receipt of the report from the appointed Investigating Authority, and after giving an opportunity to the licensee or generating company, as the case may be, to make a representation in connection with the report, the Commission may make an order to require the licensee or the generating company to take such action in respect of any matter arising out of the report as the Commission may think fit;

(4) The Commission may, after giving reasonable notice to the licensee or the generating company, as the case may be, publish the report submitted by the Investigating Authority or such portion(s) thereof as may appear to the Commission to be necessary.

63. Assistance of Experts

(1) The Commission may, at any time, take the assistance of any institution, consultants, experts, engineers, chartered accountants, advocates, surveyors and such other technical and professional persons, as it may consider necessary, and authorise 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.

(2) 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 in forming its opinion or view in any proceedings, the parties in the proceedings shall be given a reasonable opportunity for filing objections and making submissions on the report or information.

CHAPTER XI – FINES AND CHARGES

64. Imposition of Fines and Charges:-

(1) The Commission may initiate a proceeding for imposition of fines and charges and award of compensation upon receiving a complaint or on its own if the Commission is of the view that the facts made known prima-facie constitute non-compliance or violation by a generating company, a licensee or other person of any provision or requirement of the Act or of any of the rules or regulations framed there under or of directions or orders of the Commission.

(2) If the Commission decides on the basis of the information received that there is a prima-facie cause to proceed in the matter, a case shall be registered and notice shall be issued to the person responsible for non compliance or violation under sub-clause (1) above to show cause within a reasonable time as to why the Commission should not impose the fines or charges on him. The notice shall state the substance of the allegation against such person with specific reference to the alleged non-compliance or violation.

(3) On the date fixed in the notice for appearance, the Commission shall explain to the person responsible for non compliance or violation or his authorised representative, the nature of non-compliance or violation committed by such person.

(4) Where the person responsible for non compliance or violation appears in response to the notice and admits the truth of the allegation by a memorandum in writing, the Commission shall record the response and may impose such fines or charges as the Commission may consider appropriate in accordance with the provisions of the Act and the Regulations framed by the Commission for the purpose and may also award compensation to the affected person.

(5) Where the person responsible for non compliance or violation on appearance does not admit the alleged violation or non-compliance and demands a hearing, the Commission shall proceed to hear the case in accordance with the provisions of the Act and this regulation.

(6) If any person to whom a notice has been issued fails without reasonable cause to appear before the Commission on the date fixed for hearing or any subsequent date to which the proceeding may have been adjourned, the Commission may at its discretion proceed with the case ex parte in the absence of such person.

(7) The Commission shall proceed to hear the complainant and take such evidence, oral or documentary, or by way of affidavit, as may be produced in support of the case and take all such evidence as may be produced by the complainant or the person responsible for non compliance or violation in his defence. Where the proceeding has been initiated upon information received by the Commission, it may direct any of its officers to act as complainant in the matter and present the evidence in the case.

(8) The Commission, at any stage of the proceeding, shall have the power to summon and enforce the attendance of any person who appears to be acquainted with the facts and circumstances of the case to give evidence or to produce any document which in the opinion of the Commission appears to be material or relevant to the subject matter of the proceeding.

65. Process for levy and recovery of Fines and Charges:-

(1) If on the conclusion of any proceeding under Regulation 64, the Commission is satisfied that a person is liable to fines or charges, it may by order in writing impose such fines or charges in accordance with the provisions of the Act and the Regulations specified for the purpose and may also award compensation.

(2) While determining the quantum of fines or charges, the Commission shall, amongst other, consider the following factors:

(b) wrongful gain or unfair advantage derived as a result of the non-compliance or violation,

(3). While passing an order under these regulations, the Commission may award compensation to the complainant or affected party to be paid by the person found to be guilty of non-compliance or violation.

(4) The Commission may direct the time within which the fines, charges or compensation should be paid by the concerned person.

(5) Unless otherwise varied by special order, the fines, charges or compensation ordered by the Commission under Regulation 64 shall be paid within 30 days of the order of the Commission imposing the fine, charge, or compensation or within such extended date as allowed by the Commission.

(6) The fine or charge shall be payable and the amount deposited in the same manner as provided under Regulation 73 of these regulations.

66. Withdrawal and Disposal of Complaint:-

(1) If a complainant, at any time before a final order is passed in any proceedings satisfies the Commission that there are sufficient grounds for permitting him to withdraw his complaint against the respondent named in the complaint, or if there be more than one respondent, against all or any of them, the Commission may permit the complainant to withdraw the same.

(2) If the Commission, is of the opinion that it will not be appropriate to allow the withdrawal of the complaint, the Commission may make orders for the proceedings in the complaint being continued by such other person in the place of the complainant and in such manner as the Commission may consider appropriate.

(3) Where the Commission is of the opinion that the continuance of the proceeding under this regulation is unnecessary or is an abuse of the process, it may at any stage, terminate the proceeding for reasons to be recorded in writing.

CHAPTER – XII APPLICATION OF CERTAIN PROVISIONS OF INDIAN PENAL CODE AND CRIMINAL PROCEDURE CODE

67. Applicability of provisions of Indian Penal Code and Criminal Procedure Code:-

(1) In terms of section 95 of the Electricity Act, the proceedings before the Commission shall be deemed to be judicial proceedings and Commission shall be deemed to be a Civil Court as specified in the said Section read with applicable provisions of the Indian Penal Code and the code of Criminal Procedure 1973.

(2) The extracts of the relevant provisions of the Indian Penal Code and Criminal Procedure Code are contained in Appendix 8 to these regulations.

CHAPTER XIII - MISCELLANEOUS

68. Review of the decisions, directions and orders:-

(1) Any person aggrieved by a decision or order of the Commission, from which no appeal is preferred or allowed, and who, from the discovery of new and important matter or evidence which, after the exercise of due diligence was not within his knowledge or could not be produced by him at the time when the decision/ order was passed by the Commission or on account of some mistake or error apparent from the face of record, or for any other sufficient reason, may apply for review of such order within 60 days of the date of decision/ order of the Commission.

(2) An application for review shall be filed in the same manner as a petition under Chapter II of these regulations.

(3) When if appears to the Commission that there is no sufficient ground for review, the Commission shall reject such review application.

(4) The application for review shall be accompanied by such fee as may be specified by Commission.

69. Continuance of proceedings after death, etc.:-

(1) Where in any proceeding any of the parties to the proceeding dies or is adjudicated as an insolvent and in the case of a Company it being under liquidation or winding up or subject to amalgamation, merger etc, the proceedings shall continue with the successors-in-interest of the party concerned. The Commission may, for reasons to be recorded, treat the proceeding as abated in case the Commission so directs and dispense with the need to bring the successors-in-interest to come on record.

(2) In case any person wish to bring on record the successors-in-interest, the application for the purpose shall be filed within 90 days from the event requiring the successors-in-interest to come on record.

Provided that the Commission may, if it is satisfied that there is sufficient cause for not filing the application within the time allowed, condone the delay subject to such terms and conditions, as the Commission may consider appropriate.

(3) If the person fails to bring on record the successor-in-interest within the time allowed under clause (3) and in the event the application for condoning the delay in bringing on record the successor-in-interest is filed but not condoned under the proviso to clause (3) the proceedings against the deceased person shall abate,

70. Proceedings to be open to public:-

The proceedings before the Commission shall be open to the public subject to availability of sitting accommodation.

Provided that the Commission may, if it thinks fit, and for reasons to be recorded in writing, order at any stage of the proceedings of a case that the public generally or any particular person or group of persons shall not have access to or be or remain in, the room or building used by the Commission for the purpose of conduct of the proceeding.

71. Publication of petition:-

(1). Where any application, petition, or other matter is required to be published under the Act or these Regulations or as per the directions of the Commission, it shall, unless the the Act or these Regulations otherwise provide, be advertised within such time as the Commission may direct and in the absence of any specific direction to the contrary not less than 5 days before the date fixed for hearing and further unless otherwise directed by the Commission such publication shall be done in newspapers one each in English and Assamese having circulation in the area concerned..

(2) Except as otherwise provided, such advertisements shall give a heading describing the subject matter in brief.

(3) Such advertisement to be published shall be approved by the Officer of the Commission designated for the purpose.

72. Issue of orders and practice directions:-

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 on various matters which the Commission has been empowered by this regulation to lay down.

73. Fees on Petition, Application etc.

Every petition/application etc. filed before the Commission shall be accompanied by the fee as specified in the schedule given at Appendix 8. The fee can be revised at any time at the sole discretion of the Commission. The fee shall be payable by Account payee draft/pay order/banker’s cheque payable at Guwahati in favour of the Assam Electricity Regulatory Commission. Payment in cash may be accepted up to an amount of Rs. 1000/ - (Rupees One Thousand) in each case.

Provided further that no fee is payable on filing of objections or replies in response to a filed petition or application.

74. Saving of inherent power of the Commission:-

(1) 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 meeting the ends of justice or to prevent the abuse of the process of the Commission.

(2) Nothing in these regulations shall bar the Commission from adopting 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.

(3) 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 and exercise powers and functions in a manner it thinks fit.

75. General power to review and rectify:-

(1) The Commission may on its own motion review any decision, direction or orders and pass such appropriate orders as the Commission thinks fit.

(2) The Commission may, at any time rectify any defect or error in any proceeding before it.

76. Power to remove difficulties:-

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.

77. Power to dispense with the requirement of the Regulations:-

The Commission shall have the power, for reasons to be recorded in writing and with notice to the affected parties to dispense with the requirements of any of the Regulations in a specific case or cases subject to such terms and conditions as may be directed by the Commission.

78. Extension or abridgment of time allowed:-

Subject to the provisions of the Act, the time allowed by this regulation or by order of the Commission for doing any act may be extended by order of the Commission.

79. Effect of non-compliance:-

The 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.

80. Costs

(1) Subject to such conditions and limitations as may be directed by the Commission, the cost of all proceedings shall be awarded at the discretion of the Commission and the Commission shall have powers to determine by whom or out of what funds and to what extent such costs are to be paid and give all necessary directions for the aforesaid purposes.

(2) The costs shall be paid within 30 days from the date of the order or within such time as the Commission may, by order, direct. The order of the Commission awarding costs shall be executed in the same manner as the decree or order of a Civil Court.

81. Enforcement of orders passed by the Commission:-

The Secretary shall have the powers to enforce the compliance of the orders passed by the Commission, by the persons concerned in accordance with the provisions of the Act and these regulations.

82. Recognition for Consumer Association and consumer interest:-

(1) It shall be open to the Commission to permit any recognised association, forum or other bodies corporate or any group of consumers to participate in any proceeding before the Commission and permit them to make such representation or participate in the proceeding before the Commission in such manner as the Commission considers appropriate.

(2) It shall be open to the Commission for the sake of timely completion of proceedings, to direct grouping of the consumers, associations, forums referred to in clause (1) above so that collective representation can be made by such group.

(3) The Commission may appoint any officer or any other person to represent consumers’ interest, if considered necessary.

(4) The Commission may, for the purpose of clauses (1) or (3) above direct payment of such fees, costs and expense by such of the parties in the proceedings, as the Commission may consider appropriate.

83. Repeal and Savings:-

(1) The provisions of the Assam State Electricity Regulatory Commission (Conduct of Business) Regulations, 2002 as amended from time to time shall stand repealed with the coming into force of this Regulation.

(2) Notwithstanding such repeal anything done or any action taken or purported to have been done or taken including any order or notice made or issued or any instrument executed or direction given under the repealed regulations shall be valid and shall be deemed to have been done or taken under the corresponding provisions of this regulation.

(Names and full addresses of the petitioners/applicants and names and full addresses of the respondents).

(Names and full addresses of the petitioners/applicants and names and full addresses of the respondents)

I, AB, son of .......................... aged ........................ residing at ................... do hereby solemnly affirm and state as follows :

1. I am a Director / Secretary / ......................................... of
.................................................... Ltd., the petitioner in the above matter and am duly authorised by the said petitioner to make this affidavit on its behalf.

Note: This paragraph is to be included in cases where the petitioner is the Company.

2. The statements made in paragraphs ....................................... of the petition herein now shown to me and marked with the letter ‘A’ are true to my knowledge and the statements made in paragraphs ...... .... ...... ...... .................. ............................ are based on information received from …………. (based on the records of ………) and I believe them to be true.

I, the deponent above named do hereby verify that the contents of my above affidavit are true to my knowledge; no part of it is false and nothing material has been concealed there from

FORM – 1 : Application Form for grant of a Distribution Licence in the State of Assam.

The applicant must submit the completed application in six copies to the Secretary, Assam State Electricity Regulatory Commission , (address), along with application fee of Rs. xxx (Rupees in words) in form of a DD drawn in favour of Secretary, Assam State Electricity Regulatory Commission, payable at Guwahati.

d.       Contact Telephone Numbers                             :
Fax Number(s)                                      :
Email ID                                                 :

b.       Details of Incorporation/ Registration
Place of Incorporation/ Registration                :
Year of Incorporation                                         :

for electricity transmission, distribution or trading already granted in the area :

iii. Quantum of electricity proposed to be handled (Demand in MW and Energy in MU) :

f. Method and manner of establishing a forum for redressal of consumer grievances:

5. Arrangement, if any, proposed with the existing distribution licensee in the area of distribution or supply

6. Arrangement with the Transmission Licensees and other distribution licensees for evacuation of electricity

c. Ability to discharge distribution and supply activities in a sustainable manner

[To be filled in by the applicant or by each participant separately in case of JVC/ consortium (As applicable)]

1. Consent letters of the other Agency & Contractors to associate with the Applicant for the above project to be enclosed.

2. Necessary approvals and no objections to be obtained at appropriate time and forwarded to the Commission.

[To be filled in by the applicant or by each participant separately in case of JVC/ consortium (As applicable)]

1. Information relating to pre-existing licence (if any), of the Applicant with copy of licence / sanction

2. Copies of Company’s Articles of Association, Memorandum of Association, Partnership deeds and similar constitutional documents.

5. Original Power of Attorney of the Signatory confirming the authorization from the Applicant or its Promoter.

iii. Annual Audited Accounts for the past 3 years for the Applicant and any Holding Company, Subsidiary or affiliated company

iv. Any accompanying notes and certifications on the above statements from reputable chartered accountant

c. Any other document evidence to substantiate the financial capabilities, technical competence and others.

a. Five year Business Plan (with projection) for the proposed business for which the application relates

b. Five year annual forecasts of costs, sales, revenues, project financing and funding arrangements (clearly specifying the assumptions involved)

i. Detailed electrical distribution map (including information on substations and configuration of the system) and geographical map for the proposed area of Distribution, drawn to scale not less than 10 Cms to a Km or any other scale as may be approved by the Commission.

ii. The map shall clearly distinguish between the existing system and new facilities that shall be required for meeting the obligation to supply

iii. A list of all local authorities vested with the administration of any portion of the area of Distribution

iv. An approximate Statement describing any lands, which the Applicant proposes to acquire for the purpose of the licence and the means of such acquisition

10. No objection certificates to distribute or supply in an area from the Central Government as per s.15(2)(ii) of the Electricity Act 2003 or an acknowledgement for the filing of the application with the Central Government seeking such approval.

FORM – 1 : Application Form for Intra State Transmission Licence in the State of Assam.

The applicant must submit the completed application in six copies to the Secretary, Assam State Electricity Regulatory Commission, along with application fee of Rs. xxx (Rupees in words) in form of a DD drawn in favour of Secretary, Assam State Electricity Regulatory Commission, payable at Guwahati.

d.     Contact Telephone Numbers                             :
Fax Number(s)                                              :
Email ID                                                         :

b.     Details of Incorporation/ Registration
Place of Incorporation/ Registration        :
Year of Incorporation                                 :

for electricity transmission, distribution or trading already granted in the area :

[To be filled in by the applicant or by each participant separately in case of JVC/ consortium (As applicable)]