ERC Citizen's Charter 2019 1st Edition

ENERGY REGULATORY COMMISSION
CITIZEN’S CHARTER
2019 (1st Edition)
ENERGY REGULATORY COMMISSION
CITIZEN’S CHARTER
2019 (1st Edition)
2
I. MANDATE
Section 38 of the Republic Act No. 9136, otherwise known as the EPIRA,
created the ERC as an independent, quasi-judicial regulatory body,
thereby abolishing the Energy Regulatory Board, created under Executive
Order No. 172.
Under Section 43 of the EPIRA, the ERC is tasked to promote competition,

encourage market development, ensure customer choice and penalize
abuse of market power in the electricity industry. To carry out this
undertaking, the ERC shall promulgate necessary rules and regulations,
including Competition Rules, and impose fines or penalties for any non-
compliance with or breach of the EPIRA, the Implementing Rules and
Regulations of the EPIRA, and other rules and regulations which it
promulgates or administers as well as other laws it is tasked to
implement/enforce.
II. VISION
A world class and independent electric power industry regulator that
equitably promotes and protects the interests of consumers and other
stakeholders, to enable the delivery of long-term benefits that contribute to
sustained economic growth and an improved quality of life .
III. MISSION
 The ERC is committed to promote free and fair competition and ensure
reasonable rates through the exercise of prudent and equitable
judgment.
 The ERC shall provide the industry with ample opportunities to manage
risks and challenges through coordination, consultation and
enforcement.
 The ERC shall protect the rights of consumers, balance the interests of
all stakeholders, and nurture the personal and professional aspirations
of its employees.
IV. SERVICE PLEDGE
We commit to:
 Attend to all applicants or requesting parties who are within the

premises of the agency prior to the end of official working hours and
during lunch break.
3
V. LIST OF SERVICE
Central/Head Office
External Services
1. Acceptance Testing 7
2. Elevated Metering Center Approval 21
3. Field Testing of Meters and Instrument 29

Transformers (Consumer Request/DU
Request/CSD Endorsed)
4. Issuance for Certificate of Compliance (COC) 43
5. Issuance for Retail Electricity Supplier (RES) 63

License
6. Issuance of Certified Copies of Documents 69
7. Laboratory Testing of Meters and Instrument 71

Transformers (Walk-In Consumers)
8. Meter Shop Accreditation 75
9. Meter Type Approval 85
10. Processing/Acceptance of Pre-filing/Filing/ 91

Submission of Applications
11. Processing/ Acceptance of Applications 160
12. Procedures in Collecting Payments 163
13. Receiving of Consumer Complaints against 166

Electric Distribution Utilities and Other
Providers of Electric Power
14. Receiving of Verified (Formal) Complaints 170

Against Electric Distribution Utilities and Other
Providers of Electric Power
15. Receiving of Initiatory Pleadings (i.e. 173

applications, petitions, verified complaints)
16. Receiving of Subsequent Pleadings and 175

Letters/Correspondences with Assigned Case
Numbers
4
Central/Head Office
External Services
17. Receiving of Letters/Correspondences Not 176

Relating to Any Case Filed Before the ERC
18. Validation of In-Service Meter Sampling 177

Results
5
CENTRAL OFFICE
External Services
6
VI. SERVICE SPECIFICATIONS
1. Acceptance Testing
Every new and reconditioned or repaired meter before they are put into
service should first pass the acceptance test of the ERC using ANSI Z1.4-
1993, “Sampling Procedures and Tables for Inspection by Attributes”.
Office or Division: Meter Division

Classification: Highly Technical
Type of Transaction: Government-to-Business(G2B)
Who may avail: Distribution Utility (DU) owned Meter Shop
Third Party Test Facilities (TPTF)
Checklist of Requirements Where to Secure

E-mail sent to Client/Requestor
meterlab@erc.gov.ph or (Meter Shops must use the prescribed
form posted at the ERC website
Personally delivered letter- (www.erc.gov.ph) and submit the request
requests (2 copies) at least five (5) working days before the
preferred date of testing).
Statement of Account SOA (4 Consumer Affairs Service (CAS) Meter
copies) Division
Official Receipt (OR) Finance and Administrative Service (FAS)-
Billing and Cashier Sections
Client Steps Agency Action Fees to be Processing Person

Paid per Time Responsible
Step
1. Requests 1. Attend requests None Sixteen (16) CAS
from DU from DU owned minutes Personnel
owned Meter Meter Shop and
Shop and third party
third party facilities (TPTF)
facilities received
(TPTF) thru 1.1 Requests sent Four (4)
e-mail or to minutes
letter meterlab@erc.g
submission to ov.ph are
CRD for printed by the
official Reception
receiving and Personnel and
recording.
7
Step
forwarded to
CRD
1.2 Personally None CRD
delivered letter- Reception
requests are Personnel
directly received
to the Central
Record Division
(CRD)
2. Customer 2. Reception None Three (3) CAS
proceed to Personnel review minutes Reception
Reception the requests Personnel
Personnel
2.1 Assesses
testing fee
Note: For DU owned

Meter Shop requests,
Acceptance Testing
Fee is collected after
field testing; For
Third Party Test
Facilities (TPTF),
Acceptance Testing
Fee is collected in
advance
2.2 Accomplish
Statement of
Account (SOA)
in the ERC
electronic
Billing and
Revenue
System (BRS)
2.3 Instructs the

Customer to
pay the
assessed
testing fee
8
Step
3. Customer to 3. Assigned SOA None Eight (8) FAS-Billing
proceeds to Number, print minutes Section
the FAS- and hand the processing Personnel
Billing Section SOA to the time for
customer agency
actions 3
4. Customer pay 4. Receives the Resolution and 4 FAS-Cashier
the assessed payment of No. 12,
testing fee to testing fee based series of
the Cashier on the FAS- 2009
Billing’s section Table 6,
numbered SOA Article 9
presented by the
customer (See page
no. 194)
4.1 Engineer V None Eleven (11) CAS-Meter
endorses the minutes Division
request to Engineer V
Engineer III Engineer III
who will assign Director
personnel to
conduct the Clerk
field testing
then prepare
Travel Authority
(TA)/Travel
Order (TO)/
Special
Assignment
(SA) for
checking and
initial by
Engineer IV
and V prior to
CAS Director’s
approval then
CAS Clerk
forwards
approved
documents to
CRD
9
Step
4.2 CRD records None Five (5) Central
and assigns minutes Records
number of the Division
approved Personnel
TA/TO/SA then
return to CAS;
furnishes
Human
Resource
Management
Division
(HRMD),
Commission on
Audit (COA)
and FAS
4.3 CAS Clerk None Twenty- CAS Clerk
receives and eight (28)
records the minutes
numbered processing
TA/TO/SA then time for
forwards it to agency
the Assigned actions 4.3
Personnel to 4.5
(ERA/Engineer
I, II or III)
4.4 Assigned CAS
Personnel Assigned
coordinates Personnel
and informs (Engineer I,
concerned II & III)
parties of the
date and time
of testing.
Their presence
or their
authorized
representative
is required
during testing
4.5 Assigned
Personnel
requests and
accomplishes
forms and gate
10
Step
passes for
testing
equipment,
seals and
stickers, and
official
company
vehicles for
signing and
approval by
Engineer IV or
V, following
procedures
below:
4.5.1 ISSUANCE None Nineteen CAS
OF TESTING (19) Assigned
EQUIPMENT minutes Personnel
4.5.1.1 Assigned processing
Personnel time of
accomplishe agency
s triplicate action
copies of 4.5.1.1 to
Request for 4.5.1.11
Test
Equipment
(RTE)/Gate
Pass (GP)
one (1)
working day
before the
assignment
for approval
by Engineer
V
4.5.1.2 Assigned
Personnel
forwards the
approved
RTE/GP to
Property
Custodian
(Electrician I)
for
preparation
11
Step
4.5.1.3 Property
Custodian
pullouts,
prepares and
issues the
equipment to
the Assigned
Personnel on
the first (1st)
day of
assignment
4.5.1.4 Assigned
Personnel
acknowledge
s receipt of
the
equipment in
the Property
Custodian’s
copy of the
supporting
GP, then
keeps the
second (2nd)
copy
4.5.1.5 Assigned
Personnel
presents the
Equipment
and the
supporting
GP to the
Guard on
Duty for
checking and
inspection
4.5.1.6 Guard on
Duty checks
and inspects
the
equipment;
keeps the
GP on file
12
Step
4.5.1.7 Assigned
Personnel
brings out
the
Equipment
then
proceeds
and performs
the
assignment
4.5.1.8 Upon
completion
of the
assignment,
Assigned
Personnel
presents the
Equipment to
the Guard on
Duty
4.5.1.9 Guard on
Duty
retrieves the
supporting
GP,
rechecks
and records
its returns
4.5.1.10 Assigned
Personnel
returns the
Equipment to
the Property
Custodian
who will
inspect and
record its
returns in the
supporting
GP
13
Step
4.5.1.11 Property
Custodian
safe keeps
the
Equipment in
the Inventory
Stock Room
4.5.2 ISSUANCE None Five (5) CAS
OF SEALS working Assigned
AND days Personnel
STICKERS processing
4.5.2.1 Assigned time for
Personnel agency
accomplishe actions
s triplicate 4.5.2 1 to
copies of the 4.5.2.11
Request for
Seals and
Stickers
(RSS)/Gate
Pass (GP)
one (1)
working day
before the
assignment
for approval
by Engineer
IV or V
4.5.2.2 Assigned
Personnel
forwards the
approved
RSS/GP to
the Seals
and Stickers
Custodian
(SSC) for
preparation
14
Step
4.5.2.3 SSC
prepares and
issues the
Seals and
Stickers to
the Assigned
Personnel on
the first (1st)
day of the
assignment
4.5.2.4 Assigned
Personnel
acknowledge
s receipt of
the Seals
and Stickers
in the
Custodian’s
copy of the
supporting
GP, then
keeps the
second (2nd)
copy
4.5.2.5 Assigned
Personnel
presents the
seals and
stickers and
the
supporting
GP to the
Guard on
Duty for
checking and
inspection
4.5.2.6 Guard on
Duty checks
and inspects
the seals
and stickers;
keeps the
GP on file
15
Step
4.5.2.7 Assigned
Personnel
brings out
the seals
and stickers
then
proceeds
and performs
the
assignment
4.5.2.8 Upon
completion
of the
assignment,
Assigned
Personnel
presents the
unused/
excess/
defective
seals and
stickers to
the Guard on
Duty
4.5.2.9 Guard on
Duty
retrieves the
supporting
GP,
rechecks
and records
its returns
16
Step
4.5.2.10 Assigned
Personnel
returns the
unused/
excess/
defective
seals and
stickers to
the SSC who
will inspect
and record
its returns in
the
supporting
GP
4.5.2.11 SSC safe
keeps the
unused/
excess/
defective
seals and
stickers in
the Inventory
Stock Room
4.5.3 USE OF None Five to ten CAS
VEHICLE (5-10) Assigned
FOR minutes Personnel
OFFICIAL processing
FIELDWORK time for
agency
4.5.3.1 Assigned actions
Personnel 4.5.3.1 to
accomplishes 4.5.3.4
duplicate
copies of
Request for
Vehicle (RV)
at least five
(5) working
days before
the
assignment
for approval
by Engineer V
17
Step
4.5.3.2 Assigned
Personnel
forwards the
approved RV
(with
supporting
approved TO
and or
Permission
Slip) to the
General
Services
Division
(GSD) for
proper action
4.5.3.3 GSD FAS-GSD
determines Personnel
vehicle to use
and assigns a
company
Driver
4.5.3.4 Driver and CAS
Assigned Assigned
Personnel Personnel
coordinate
and agree on
the call time
and place of
meeting prior
to going to
the site
5. Premises of 5. Assigned None Five (5) CAS
the client personnel working Assigned
perform the days Personnel
assigned tasks
guided by the
ERC Acceptance
Sample Testing
Procedures.
Seals and
stickers are
attached to every
meter in the lot
that passed the
18
Step
test
5.1 Assigned
Personnel
prepares a Test
Report (TR) after
completing the
Acceptance
Testing and the
Meter Shop
Head will sign
every page
(optional: full
signature or
initials is
accepted) of the
report and
likewise
acknowledge
receipt of a copy
of the TR in a
logbook
6 Client waiting 6. FAS-Billing None One (1) FAS-Billing
for the Section prepares working day Section
issuance of a SOA (assign and five (5)
SOA thru an SOA Number) minutes
email form based on
ERC and pay approved reports
the bills submitted; print
in triplicate
copies for
approval by FAS-
Director
6.1 Once approved,
FAS-Billing
Section forwards
2-copies of SOA
to Central
Record Division
(CRD)
6.2 CRD signs and None Five (5) Central
acknowledges minutes Records
receipt of SOA in Division
the FAS-Billing
19
Step
Section’s
receiving copy;
records the SOA
then mail one (1)
copy to the
Customer.
20
2. Elevated Metering Center Approval
Ensure that the installation and relocation of residential electric meters to
Elevated Metering Centers (EMC) or to Other Elevated Service (OES)
complies with safety standards and adequate protection to consumers’
interests and accordingly reduces their system losses.
Type of Transaction: Government to Citizens (G2C)

Government-to-Business(G2B)
Who may avail: Distribution Utility (DU)
Formal Application with required Applicant (DU)

information and documents
Statement of Account SOA (4 CAS Meter Division

copies)
Official Receipt (OR) FAS-Billing and Cashier Sections

Step
1. DU submits to 1. CRD records and None Five (5) to CRD
the Central forwards the Ten (10)
Records Application folder working
Division (CRD) to CAS for days
a formal appropriate
Application action
with the
required
information 1.1 CAS Clerk None CAS Clerk
and receives the Director
documents Application for Engineer V
submission to
CAS Director
who will
endorse it to
Engineer V
21
Step
1.2 Engineer V None CAS Engineer
endorses the V, Team
Application to Leader,
concerned Director
Team Leader/
Engineer III
who assigns a
team member
to check and
evaluate the
Application and
to conduct
inspections of
the Applicant’s
Elevated
Metering
Center then
prepare Travel
Authority
(TA)/Travel
Order
(TO)/Special
Assignment
(SA) for
checking and
initial by
Engineer IV
and V prior to
CAS Director’s
approval then
CAS Clerk
forwards
approved
documents to
CRD
1.3 CRD records None CRD
and assigns Reception
number of the Personnel
approved
TA/TO/SA then
return to CAS;
furnishes
Human
Resource
Management
22
Step
Division
(HRMD),
Commission on
Audit (COA)
and FAS
1.4 CAS Clerk None CAS Assigned
receives and Personnel
records the
numbered
TA/TO/SA then
forwards it to
the Assigned
Personnel
(ERA/ Engineer
I, II or III)
1.5 Assigned None CAS Assigned
Personnel Personnel
coordinates
and informs
concerned
parties of the
date and time
of testing.
Their presence
or their
authorized
representative
is required
during testing
1.6 USE OF None CAS Assigned

VEHICLE FOR Personnel
OFFICIAL
FIELDWORK
1.6.1 Assigned
Personnel
accomplishes
duplicate
copies of
Request for
Vehicle (RV)
at least five
(5) working
days before
23
Step
the
assignment
for approval
by Engineer V
1.6.2 Assigned
Personnel
forwards the
approved RV
(with
supporting
approved TO
and or
Permission
Slip) to the
General
Services
Division
(GSD) for
proper action
1.6.3 GSD None FAS-GSD
vehicle to use
and assigns a
company
Driver.
1.6.4 Driver and None FAS-GSD
Assigned Driver & CAS
Personnel Assigned
coordinate Personnel
and agree on
the call time
and place of
meeting prior
to going to
the site
2. Client 2. Assigned Refer to CAS Assigned
Site/location Personnel Resolution Personnel
proceeds to the No. 10,
affected areas to series of
conduct on-site 2014
inspection and
assess the
conditions with
24
Step
reference to the
design and
documents
submitted by the
Applicant
2.1 Upon return to None Two (2) CAS Assigned
the office, working Personnel
Assigned days &
Personnel Fifteen (15)
prepares a minutes
General Report processing
detailing the
procedures of
testing performed
and the number
of items tested,
Itinerary of Travel
(IT) if applicable
for submission
and approval by
Engineer IV, V
and CAS-
Director. Provide
FAS Division
copies of the
reports for billing
purposes
3. Client waiting 3. FAS-Billing One (1) FAS-Billing

issuance of a SOA (assign a processing
SOA thru SOA Number)
email form based on
ERC approved reports
submitted; print
in triplicate
copies for
approval by FAS-
Director
25
Step
3.1 Once approved, None FAS-Billing
FAS-Billing Section
Section forwards Personnel
2-copies of SOA
to Central
Record Division
(CRD)
3.2 CRD signs and None Five (5)
acknowledges minutes
receipt of SOA in processing
the FAS-Billing
Section’s
receiving copy;
records the SOA
then mail one (1)
copy to the
Customer
3.3 Assigned None Five (5) to CAS Assigned
Personnel Ten (10) Personnel,
prepares and working Director
submits a days
Memorandum to
the Ad-Hoc
Committee (for
pre-commission
meeting on the
evaluation of the
meter shop’s
application) for
checking and
sign off by
Engineer IV and
V and approval
by CAS Director
3.4 Once approved, None CAS Clerk
CAS Clerk
forwards the
Memo to the Ad-
Hoc Committee
thru the
Oversight
Commissioner
who will include
the Application in
26
Step
the agenda of the
next Ad-Hoc
Committee
meeting
3.5 Once included, None CAS Assigned
Assigned Personnel
Personnel
presents the
Application to the
Ad-Hoc
Committee for
approval
3.6 Once approved, None CAS Assigned
Assigned Personnel.
Personnel Engineer IV,
prepares a Engineer V,
Memorandum Director
(for checking and
sign off by
Engineer IV and
V and approval
by CAS Director)
to the OGCS
requesting to
include the
Application in the
agenda of the
next Commission
En Banc meeting
3.7 Once included/ None Five (5) to CAS Assigned
confirmed, Ten (10) Personnel
Assigned working
Personnel days
presents the
Application to the
Commission En
Banc for
approval
3.8 Once approved, None CAS Assigned
Assigned Personnel,
Personnel Engineer IV,
prepares a Engineer V,
“Letter of
Approval” for Director
27
Step
sign off by
Engineer IV, V
and CAS Director
3.9 CAS Director None CAS Director,
endorses the CA Chairperson &
to the CEO,
Chairman/CEO Oversight
for signature thru Commissioner
the Oversight
Commissioner
4. The concerned 4. Once signed, None Five (5) to CRD
DU receives a Office of the Ten (10) Reception
copy of the Chair forwards working Personnel
signed Letter. the Letter to the days
CRD who will
receives and
Note: Total
records prior to Processing
mailing it to the time should
concerned DU not exceed 60
calendar days
from
submission of
complete
documentary
requirements
in accordance
with R.A.
1
11234 .
Provided,
they
submitted the
correct and
complete
Requirements
1
Section 13. Time Frame. - The mother agencies shall ensure that all actions on applications before it and its
attached bureaus, offices, and agencies, at both the national and local levels, and GOCCs as well as other
entities shall all be released within the time frames stated below: Provided, That the time frame shall be the total
number of days for the mother agency and its attached bureaus, offices, and agencies, at both the national and
local levels, and GOCCs, as a whole to release actions on applications: Provided, further, That the time frame
shall be counted from the submission of complete documentary requirements. XXX
e) The ERC: sixty (60) calendar days to issue an action on all applications from the submission of all
documentary requirements: Provided, That for all quasi-judicial cases, the ERC shall have two hundred seventy
(270) calendar days to issue an action from the submission of a valid application;
28
3. Field Testing of Meters and Instrument Transformers
(Consumer Request/DU Request/ CSD Endorsed)
Conduct field-testing of meters/instrument transformers requested by

Consumer, Distribution Utility (DU) or endorsed by the Consumer Service
Division (CSD).
Office or Division: Meter Division (MD)

Who may avail: Consumer/Distribution Utility/ Generation

Company (GenCo) or Independent Power
Producer (IPP)

E-mail sent to Client/Requestor
meterlab@erc.gov.ph or
Personally delivered letter-
requests (2 copies)
CSD endorsed CSD Personnel
copies)
Official Receipt (OR) FAS-Billing and Cashier Section

Step
1. Requests for 1. MD Personnel None Sixteen (16) CAS-MD
field testing attend to minutes personnel
from requests for field processing
Consumer/ testing from time for
Distribution Consumer/ DU agency
Utility (DU)/ /GenCo or IPP actions 1 to
Generation 1.3
Company
(GenCo) or
Independent
29
Step
Power 1.1 Requests sent
Producer (IPP) to
thru e-mail or meterlab@erc.
letter gov.ph are
submission to printed by the
CRD for official Reception
receiving and Personnel and
recording forwarded to
CRD
1.2 Personally
delivered letter-
requests are
directly
received by the
Central Record
Division (CRD)
1.3 CAS-CSD
endorsed meter
field testing
relative to
complaints filed
by consumers
2. Customer 2. Reception None Three (3) 1CAS
proceed to Personnel minutes Reception
Reception review the processing Personnel
Personnel requests time for
agency
2.1 Assesses
actions 2 to
testing fee
2.3
Note: For consumer

requests, Testing Fee
is paid in advance;
For DU/GenCo/IPP
request, Testing Fee
is paid after field
testing;
No testing fee is
required for CAS-CSD
endorsed meter field
testing.
30
Step
2.2 Accomplish
Statement of
Account (SOA)
in the ERC
electronic
Billing and
Revenue
System (BRS)
2.3 Instructs the

Customer to
pay the
assessed
testing fee
proceeds to the Number, print minutes Section
FAS-Billing and hand the Personnel
Section SOA to the
customer
4. Customer pay 4. Receives the Resolution FAS-Cashier
the assessed payment of No. 12, Section
testing fee to testing fee series of
the Cashier based on the 2009
Section FAS-Billing’s Table 6,
section Article 9
numbered SOA
presented by (See page
the customer no. 194)
4.1 Engineer V None Eleven (11) CAS-Meter
endorses the minutes Division
request to Engineer V
Engineer III Engineer III
who will assign Director
personnel to
conduct the Clerk
field testing
then prepare
Travel
Authority
(TA)/Travel
Order
(TO)/Special
31
Step
Assignment
(SA) for
checking and
initial by
Engineer IV
and V prior to
CAS Director’s
approval then
CAS Clerk
forwards
approved
documents to
CRD
4.2 CRD records None Five (5) Central
and assigns minutes Records
number of the Division
approved Reception
TA/TO/SA Personnel
then return to
CAS; furnishes
Human
Resource
Management
Division
(HRMD),
Commission
on Audit
(COA) and
FAS
records the minutes
numbered
TA/TO/SA
then forwards
it to the
Assigned
Personnel
(ERA/
Engineer I, II
or III)
32
Step
4.4 Assigned CAS
Personnel Assigned
coordinates Personnel
and informs (ERA/
concerned Engineer I, II
parties of the or III)
date and time
of testing.
Their presence
or their
authorized
representative
is required
during testing
4.5 Assigned None Twenty- CAS Clerk
Personnel eight (28)
requests and minutes
accomplishes
forms and gate
passes for
testing
equipment,
seals and
stickers, and
official
company
vehicles for
signing and
approval by
Engineer IV or
V, following
procedures
below:
4.5.1 ISSUANCE None Nineteen CAS
OF TESTING (19) Assigned
processing
4.5.1.1 Assigned
time for
Personnel
agency
accomplishe
actions
s triplicate
4.5.1.1 to
copies of
4.5.1.11
Request for
Test
33
Step
Equipment
(RTE)/Gate
Pass (GP)
one (1)
working day
before the
assignment
for approval
by Engineer
V
4.5.1.2 Assigned
Personnel
forwards the
approved
RTE/GP to
Property
Custodian
(Electrician
I) for
preparation
4.5.1.3 Property
Custodian
pullouts,
prepares
and issues
the
equipment
to the
Assigned
Personnel
on the first
(1st) day of
assignment
4.5.1.4 Assigned
Personnel
acknowledg
es receipt of
the
equipment
in the
Property
Custodian’s
copy of the
34
Step
supporting
GP, then
keeps the
second
(2nd) copy
4.5.1.5 Assigned
Personnel
presents the
Equipment
and the
supporting
GP to the
Guard on
Duty for
checking
and
inspection
4.5.1.6 Guard on
Duty checks
and
inspects the
equipment;
keeps the
GP on file
4.5.1.7 Assigned
Personnel
brings out
the
Equipment
then
proceeds
and
performs
the
assignment
35
Step
4.5.1.8 Upon
completion
of the
assignment,
Assigned
Personnel
presents the
Equipment
to the
Guard on
Duty
4.5.1.9 Guard on
Duty
retrieves the
supporting
GP,
rechecks
and records
its returns
4.5.1.10 Assigned
Personnel
returns the
Equipment
to the
Property
Custodian
who will
inspect and
record its
returns in
the
supporting
GP
4.5.1.11 Property
Custodian
safe keeps
the
Equipment
in the
Inventory
Stock
Room.
36
Step
4.5.2 ISSUANCE None Five (5) CAS
OF SEALS working Assigned
AND days Personnel
STICKERS processing
4.5.2.1 Assigned time of
Personnel agency
accomplish actions
es triplicate 4.5.2.1 to
copies of 4.5.2.11
the Request
for Seals
and Stickers
(RSS)/Gate
Pass (GP)
one (1)
working day
before the
assignment
for approval
by Engineer
IV or V
4.5.2.2 Assigned
Personnel
forwards the
approved
RSS/GP to
the Seals
and Stickers
Custodian
(SSC) for
preparation
4.5.2.3 SSC
prepares
and issues
the Seals
and Stickers
to the
Assigned
Personnel
on the first
(1st) day of
the
assignment
37
Step
4.5.2.4 Assigned
Personnel
acknowledg
es receipt of
the Seals
and Stickers
in the
Custodian’s
copy of the
supporting
GP, then
keeps the
second
(2nd) copy
4.5.2.5 Assigned
Personnel
presents the
seals and
stickers and
the
supporting
GP to the
Guard on
Duty for
checking
and
inspection
4.5.2.6 Guard on
Duty checks
and
inspects the
seals and
stickers;
keeps the
GP on file
4.5.2.7 Assigned
Personnel
brings out
the seals
and stickers
then
proceeds
and
performs
38
Step
the
assignment
4.5.2.8 Upon
completion
of the
assignment,
Assigned
Personnel
presents the
unused/
excess/
defective
seals and
stickers to
the Guard
on Duty
4.5.2.9 Guard on
Duty
retrieves the
supporting
GP,
rechecks
and records
its returns
4.5.2.10 Assigned
Personnel
returns the
unused/
excess/
defective
seals and
stickers to
the Seal
and Sticker
Custodian
(SSC) who
will inspect
and record
its returns in
the
supporting
GP
4.5.2.11 SSC safe
keeps the
39
Step
Equipment
in the
Inventory
Stock Room
4.5.3 USE OF None Five to ten CAS
VEHICLE FOR (5-10) Assigned
OFFICIAL minutes for Personnel
FIELDWORK agency
4.5.3.1 Assigned actions
Personnel 4.5.3.1 to
accomplishe 4.5.3.4
s duplicate
copies of
Request for
Vehicle (RV)
at least five
(5) working
days before
the
assignment
for approval
by Engineer
V
4.5.3.2 Assigned
Personnel
forwards the
approved RV
(with
supporting
approved TO
and or
Permission
Slip) to the
General
Services
Division
(GSD) for
proper action
40
Step
4.5.3.3 GSD FAS-GSD
vehicle to
use and
assigns a
company
Driver
4.5.3.4 Driver and
Assigned
Personnel
coordinate
and agree on
the call time
and place of
meeting prior
to going to
the site
5. Client witness 5. Assigned None Two (2) CAS
the conduct of Personnel working Assigned
the testing performs the days and Personnel
assigned task fifteen (15)
then prepares a minutes
Test Report
(TR) after
completing the
field testing task
5.1 Upon return to

the office,
Assigned
Personnel
prepares a
General Report
detailing the
procedures of
testing
performed and
the number of
items tested,
Itinerary of
Travel (IT) if
applicable for
submission and
41
Step
approval by
Engineer IV, V
and CAS-
Director.
Provide FAS
Division copies
of the reports
for billing
purposes.
6. Client waiting 6. FAS-Billing None One (1) FAS-Billing
issuance of a SOA (assign and five (5) Personnel
SOA thru email SOA Number) minutes
from ERC and based on
approved reports
pay the bills
submitted; print in
triplicate copies
for approval by
FAS-Director
6.1 Once
approved, FAS-
Billing Section
forwards 2-
copies of SOA
to Central
Record Division
(CRD)
6.2 CRD signs and None Five (5) CRD

acknowledges Minutes Reception
receipt of SOA Personnel
in the FAS-
Billing Section’s
receiving copy;
records the
SOA then mail
one (1) copy to
the Customer
42
4. Issuance of Certificate of Compliance (COC)
Issuance of license to a person or entity that operates a power plant or other
entities used in the generation of electricity pursuant to Section 6, R.A 9136
and Section 4 of the Implementing Rules and Regulations of the Act.
Office or Division: Market Operations Service - Licensing

and Market Monitoring Division (MOS-
LMMD)
Type of Transaction: Government-to-Business (G2B)
Who may avail: Generation Companies (GENCOs),

Self-Generating Facilities (SGFs) and
Qualified End-Users (QEs)

Checklist of Requirements2 for New
COC Application For Generation
Companies (GENCO)
A. General Requirements
1. Application Form ERC Website (www.erc.gov.ph)

(COC Form No.1); and/or at LMMD Front Desk at the
ERC Head Office
2. Company Profile
(COC Form No.2);
B. COC Application Fee

Generation Company
3. P10,000.00
C. Technical Qualification
4. General Plant Description (Form ERC Website (www.erc.gov.ph)

No. 7); and/or at LMMD Front Desk at the
ERC Head Office
5. Location Map;
6. Connection Agreement between National Grid Corporation of the

the Grid Owner (NGCP) and the Philippines (NGCP); Distribution
2
All documents must be submitted upon filing of the license application.
43
Existing Generation Facility or Utility (DU)
Interconnection plans/details with
the high voltage backbone
transmission system/grid or
Distribution System (for
Embedded Generators) and/or
Transmission/Distribution
Service Agreement, if available;3
For point to point interconnection
facility/ies, operated by:
NGCP
Generation Company
Distribution Utility
7. PGC, PDC and WESM

Requirements:
7.1 Electrical/Mechanical Plans and Generation Company or EPC

Diagrams; Contractor
7.2 Preliminary Plant Specifications NGCP or Manufacturer’s Data

such as Minimum Stable Load,
Maximum Stable Load, Ramp
Up Rate and Ramp Down Rate,
including plant efficiency and
Heat Rate, if applicable;
7.3 Technical Description of the Generation Company

Load to be served (for those in
isolated Areas and those
serving dedicated loads);
7.4 Details of its Communication Generation Company

and SCADA Requirements, if
applicable;
7.5 Certification issued by NGCP to NGCP or Accredited Third Party

Generation Company or
Generation Facility attesting to
its compliance with the
approved connection scheme
3
For justifiable reasons, the Commission may allow the submission of all documents written in BOLD
ITALICS at a later date which may be during the evaluation process, and immediately upon receipt thereof
from the appropriate agency.
44
provided in the Grid Impact
Study (GIS), Facility Study (FS)
Connection Agreement (CA)
and Transmission Service
Agreement (TSA), if applicable;
7.6 Certificate of Technical NGCP or Accredited Third Party

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

Distribution Utilities (DUs) for
Embedded Generating
Facilities, attesting to its
compliance with the approved
connection scheme provided in
the Distribution Impact Study
(DIS).
8. Sworn Statement that each of the ERC Website (www.erc.gov.ph)

Facilities will comply with the PGC and/or at LMMD Front Desk at the
and PDC for the duration of the ERC Head Office
COC (Form No. 4);
9. Sworn Statement that the company ERC Website (www.erc.gov.ph)

and its Generating Facilities will and/or at LMMD Front Desk at the
comply with the Wholesale ERC Head Office
Electricity Spot Market (WESM)
Rules and Manuals for the duration
of the COC, upon its registration
with the WESM, when applicable
(Form No. 5);
10. Management and/or lease contracts Generation Company or Operator

in force (in case the plant is
operated, leased and/or managed
by an entity other than the owner);
45
D. Financial Capability
11. Complete set of Audited Financial Generation Company and/or Any

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

following information: name of
creditor, type of credit, credit terms;
and
13. Five (5) year financial plan. Generation Companie’s Authorized

Financing Officer
E. Ownership/Control
14. Articles of Incorporation/Partnership Philippine Securities and

(for Corporation / Partnership) with Exchange Commission (SEC)
Certificate of Registration;
15. Business Name Registration Local Government Unit

Certificate (for Single
Proprietorship);
16. Latest General Information Sheet SEC

(GIS) of the applicant- Securities
and Exchange Commission (SEC)
Form;
17. Sworn Statement that the applicant ERC Website (www.erc.gov.ph)

complies with and will continue to and/or at LMMD Front Desk at the
comply with the provisions on cross ERC Head Office
ownership and market share
46
restrictions under Republic Act No.
9136, its Implementing Rules and
Regulations, and these Revised
Rules for the duration of the COC
(Form No.6);
18. Duly attested comprehensive and Generation Company

complete listing of Affiliates and
Related Groups, including
ownership and management
structure; and
19. Compliance with ERC Resolution Generation Company

No. 9, Series of 20114, as amended
by ERC Resolution No. 04, Series
of 20195
F. Other Requirements
20. List of Power Supply Agreement(s), Generation Company and/or

if applicable; Distribution Utility/Customer
21. Memorandum of Agreement on Department of Energy (DOE)

the Establishment of Trust
Accounts by the Generation
Company and/or the Energy
Resource Developer and the
Department of Energy on
Benefits to Host Communities
pursuant to Rule 29 of the IRR of
R.A. 91366;
4
A resolution adopting the rules requiring Generation Companies and Distribution Utilities which are not
publicly listed to offer and sell to the public a portion of not less that fifteen percent (15%) of their common
shares of stock pursuant to Section 43 (t) of Republic Act No. 9136 and Rule 3, Section 4 (m) of its
Implementing Rules and Regulations (IRR);
5
A resolution amending Resolution No. 9, Series of 2011 requiring Generation Companies and Distribution
Utilities which are not publicly listed to offer and sell to the public a portion of not less that fifteen percent
(15%) of their common shares of stock pursuant to Section 43 (t) of Republic Act No. 9136 and Rule 3,
Section 4 (m) of its Implementing Rules and Regulations (IRR);
6
Amended by DOE Department Order (DO) No. 2019-01-0001 (Providing the Internal Guidelines and
Procedures for the Transfer of Existing Funds in Relation to the Financial Benefits Under ER 1-94) and DOE
Department Circular (DC) No. 2018-08-0021 (Providing for the Amendments to Rule 29 Part (A) of the
Implementing Rules and Regulations of Republic Act No. 9136). Thus, the COC requirement on the submission
of MOA on the Establishment of Trust Accounts by the Generation Company and/or the Energy Resource
Developer and the DOE on Benefits to Host Communities pursuant to Rule 29 of the IRR of RA 9136 shall not
in the meantime be required as the Commission is seeking clarification on the status of its implementation from
the DOE in its (Commission) letter dated 14 October 2019 and to determine the document to be required in lieu
of the subject document.
47
22. Environmental Compliance Department of Environment and

Certificate (ECC) duly approved by Natural Resources (DENR)
the Department of Environment and
Natural Resources (DENR);
23. Temporary Permit to Operate DENR

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

Endorsement indicating that the
Power Plant Project is consistent
with the Power Development
Program of the Government or
with the Missionary
Electrification Development
Program (MEDP) for power plant
project located in isolated grids;7
25. In the case of a Generation

Company operating an Renewable
Energy (RE) plant that intends to
avail of the Feed-In Tariff (FIT):
25.1 DOE issuance of Confirmation

of Commerciality confirming
the commercial viability of the
project;
25.2 DOE Confirmation of

DOE
Electromechanical
Completion;8 and
25.3 DOE Certificate of

Endorsement for FIT
Eligibility.9
26. Such other information or document Generation Company

that the ERC may require. Any
7
For justifiable reasons, the Commission may allow the submission of all documents written in BOLD
ITALICS at a later date which may be during the evaluation process, and immediately upon receipt thereof from
the appropriate agency;
8
Ibid;
9
Ibid.
48
additional technical information may
be required by the ERC upon prior
notice to the applicant.
Checklist of Documents/Information
Required for Generation Companies
Applications for COC Renewal
1. Application Form (Form No. 1); ERC Website (www.erc.gov.ph)

and/or at LMMD Front Desk at the
2. Company Profile (Form No. 2); and ERC Head Office
3. Five (5) Year Operational History

(Form No. 3), if applicable.
4. PhP10,000.00 Generation Company
5. Sworn Statement that the

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

Generation Company and its ERC Website (www.erc.gov.ph)
Generation Facilities comply with and/or at LMMD Front Desk at the
and will continue to comply with the ERC Head Office
Wholesale Electricity Spot Market
(WESM) Rules and Manuals for the
duration of the COC, when
applicable (Form No. 5);
7. General Plant Description (Form

No. 7), if there are any changes;
and
8. PGC, PDC and WESM

Requirements
(8.1) Electrical/Mechanical Plans Generation Company

and Diagrams, if there are
49
any changes;
(8.2) Details of its Communication Generation Company

and SCADA Requirements, if
there are any changes; and
(8.3) Certificate of WESM Wholesale Electricity Spot Market

membership or Application
for WESM Membership, as
may be applicable.
9. Report on the conduct of NGCP, DU or Accredited Third

capability test if there is an Party
addition, replacement or
repowering of units
D. Financial Capability
10. Duly attested updated schedule of Generation Company
liabilities, to include the following
information: name of creditor(s),
type of credit, credit terms and
applicable interest rate(s); and
11. Five (5) year financial plan, if Generation Company
applicable.
E. Ownership/Control
12. Articles of Incorporation/Partnership SEC
(for Corporation / Partnership) with
Certificate of Registration, if there
are any changes;
(GIS) of the Company (SEC Form);
14. Sworn Statement that the ERC Website (www.erc.gov.ph)
Generation Company complies with and/or at LMMD Front Desk at the
provisions on cross-ownership and
market share restrictions under
Republic Act No. 9136, its
Implementing Rules and
(Form No. 6); and
15. Duly attested updated and Generation Company

comprehensive listing of Affiliates
and Related Groups, including
50
ownership and management
structure.
16. Compliance with ERC Resolution Generation Company

No. 9, Series of 201110, as
amended by ERC Resolution No.
04, Series of 201911;
F. Other Requirements
17. Power Supply Agreements; Generation Company and

18. Latest Permit to Operate (PTO) with DENR

Stack Emission Test Results duly
issued by the Department of
Environment and Natural
Resources (DENR), if applicable;
19. Waste Water Discharge Permit duly DENR

issued by DENR;
20. Water Permit from National Water NWRB

Resources Board (NWRB);
if applicable; and
21. Such other information or Generation Company

document/s that the ERC may
require
10
A resolution adopting the rules requiring Generation Companies and Distribution Utilities which are not
publicly listed to offer and sell to the public a portion of not less that fifteen percent (15%) of their common
shares of stock pursuant to Section 43 (t) of Republic Act No. 9136 and Rule 3, Section 4 (m) of its
Implementing Rules and Regulations (IRR);
11
A resolution amending Resolution No. 9, Series of 2011 requiring Generation Companies and Distribution
Utilities which are not publicly listed to offer and sell to the public a portion of not less that fifteen percent
(15%) of their common shares of stock pursuant to Section 43 (t) of Republic Act No. 9136 and Rule 3,
Section 4 (m) of its Implementing Rules and Regulations (IRR);
51
Checklist of Requirements for COC
Application SGF with total Installed
Capacity of 1 MW and above (for New
and Renewal)

3. Five (5) Year Operational History

(Form No. 3), if applicable.
4. DENR-EMB Permit to Operate DENR

(PTO);
C. Additional Requirements
6. Securities and Exchange SEC

Commission Registration and
Articles of Incorporation;

(GIS) of the Company (SEC Form);
8. Other Document/s that ERC may DENR

require from time to time (e.g. DENR
Environmental Compliance
Certificate)
Application SGF with total Installed
Capacity of below 1 MW (for New and
Renewal)
1. Application Form (Form No.1); and ERC Website (www.erc.gov.ph)

2. Company Profile (Form No.2). ERC Head Office
52
3. PhP1,500.00 (For aggregate

installed capacity of 100 kW and
below)

installed capacity of 101 kW – 500 Generation Company
kW)

installed capacity of 501 kW – 999
kW)
C. Additional Requirements
6. Other Document/s that ERC may DENR, DU, or Any Accredited

require (e.g. DENR Environmental Third Party
Compliance Certificate, Distribution
Impact Study / Distribution Asset
Study, if applicable)
Application for QEs
1. QE-COC Application Form; ERC Website (www.erc.gov.ph)

ERC Head Office
2. Net-Metering Agreement; Distribution Utility
3. DU Certification that QE is Distribution Utility

technically compliant with the ERC’s
Net Metering Interconnection
Standards
53
Checklist of Requirements for an
Amendment of COC Application for
Change of Location of Generation
Facilities/ Business Address
1. Application Form/ Amendment of

COC for Change of Location (COC ERC Website (www.erc.gov.ph)
Form No.1) and/or at LMMD Front Desk at the
ERC Head Office
2. Company Profile (COC Form No. 2);
3. PhP3,000.00; Generation Company
4. SEC-Amended Articles of SEC

Incorporation/ Amended Certificate
of Registration
5. Other information that may be Generation Company

required by the Commission
Change of Name


Generation Company and its and/or at LMMD Front Desk at the
Generation Facilities comply with ERC Head Office
PGC and PDC for the duration of the
COC (Form No. 4);

54
applicable (Form No. 5);

Statements (AFS) covering the two professional accounting Services
(2) most recent twelve (12) month
statements), in the amended name,
if available.

of Registration.

(Form No.6)

that the ERC may require
Change of Ownership
1. Application Form (Form No. 1); and ERC Website (www.erc.gov.ph)

2. Company Profile (Form No. 2); ERC Head Office
55

PGC and PDC for the duration of the
COC (Form No.4);

applicable (Form No.5);

Statements (AFS) covering the two professional accounting services
(2) most recent twelve (12) month firm
statements), in the amended name,
if available.
7. Five-year Financial Plan Generation Company

of Registration.
9. Latest General Information Sheet of SEC

the applicant SEC Form.

56
(Form No. 6)

Change of Technical Specifications
1. Application Form (Form No.1); ERC Website (www.erc.gov.ph)

2. Company Profile (Form No.2); and ERC Head Office
4. General Plant Description (COC ERC Website (www.erc.gov.ph)

Form No. 7); and/or at LMMD Front Desk at the
Head Office
5. PGC, PDC and WESM Requirement NGCP, Manufacturer’s Data and/or

on Plant Specifications such as Any Accredited Third Party
Minimum Stable Load, Maximum
Stable Load, Ramp Up Rate, Ramp
Down Rate including plant efficiency
and Heat Rate, if applicable.
6. Third (3rd) Party Capacity and NGCP, DU and/or Any Accredited

Performance Test Reports. Third Party
7. Application Form/ Amendment of ERC Website (www.erc.gov.ph)

COC for Change of Nameplate and/or at LMMD Front Desk at the
Rating (COC Form No.1); ERC Head Office

*For the Amendment of COC Application, please be informed that the existing
COC shall still be valid for five (5) years pursuant to Section 1, Article V and
Section 5, Article III of the 2014 Revised Rules for the Issuance of COCs for
Generation Companies, Qualified End-Users and Entities with Self-Generation
Facilities (2014 Revised COC Rules).
57
However, if the new owner wishes to amend the existing COC in favor of its
name; the new owner may do so by requesting for an amendment of COC and
paying the corresponding fee of P3,000.00 pursuant to ERC Guidelines on Fees
and Charges, as amended, which was promulgated on 17 July 2007.
All COC Applications must be filed in two (2) hard copies and one (1) soft copy
(hard drive or USB Flash Drive), to LMMD Officer of the Day and/or any
authorized LMMD Officer.
Client Steps Agency Action Fees to be Paid Processing Person

per Step Time Responsible
1. Register with 1. To assist the None Five (5) Guard on

the Guard on client minutes Duty
Duty MOS-
LLMD
2. Fill-out the 2. To endorse/ None Three (3) MOS’ Desk

MOS refer to the minutes Officer of the
Customer concerned day
Action Form Division
3. Secure the 3. To make sure None Two (2) MOS - LMMD

application that the minutes Officer of the
form and secured Day and/or
checklist of application any
appropriate forms are authorized
requirements appropriate LMMD Officer
for COC for each
application at category as
the Licensing per COC
& Market Checklist of
Monitoring Requirements
Division
(LMMD) or
through
www.erc.gov.
ph:
4. Accomplish 4. To assess the None Ten (10) MOS - LMMD

the forms and completeness minutes Officer of the
submit of the Day and/or
together with submitted any
the document authorized
appropriate
58
requirements LMMD Officer
in the
checklist, in
two (2) hard
copies and
one (1) soft
copy (USB
Flash Drive),
to any LMMD
Officer
5. Enter the said 5. To get None Five (5) MOS - LMMD

COC Statement of minutes Officer of the
Application in Account Day and/or
the Billing and (SOA) any
Revenue Number from authorized
System the Financial LMMD Officer
(BRS) for and
payment and Administrative
secure a Service (FAS)
Statement of and validate
Account signature of
(SOA) form in authorized
four (4) officials in the
copies from SOA
the LMMD
Officer of the
Day
6. Proceed to 6. To give 4 COC Application Ten (10) FAS-Cashier

the Cashier copies of the Fees: minutes Section
for the signed SOA
payment of to the
appropriate applicant 1. GENCO (New
COC and Renewal) –
application PhP10,000.00
fee in
accordance
with the fees 2. SGF (New and
and charges, Renewal)
as amended. - 1kW to 100kW –
The Cashier PhP1,500.00;
shall give the
applicant - 101 kW to
three (3) 500kW –
59
copies of the PhP5,000.00
Assessment - 501 kW to
Form and an 999kW –
Official PhP7,500.00
Receipt
(O.R.) - above 1 MW –
PhP10,000.00
3. QEs (1kW to
100kW) –
PhP1,500.00
4. Amendment of
COC
Applications
-PhP3,000.00
7. Go back to 7. Verify OR None Five (5) MOS - LMMD

the LMMD duly signed minutes Officer of the
Officer of the by the Day and/or
Day and Cashier as any
submit two (2) proof of authorized
copies of the payment. LMMD Officer
Assessment Give client
Form duly the OR and
signed by the one (1) copy
Cashier and of SOA.
show proof of Retain one
payment i.e., (1) copy of
Official SOA for
Receipt (OR) LMMD’s file.
for verification
None
purposes. 7.1 COC MOS - LMMD
application is Officer of the
received Day = Clerk
officially for SGF and
QE;
IPP = ERO I
to Sr. ERO
Action - Total = 40
Assesses the minutes (if
completeness of all COC
the submitted Requiremen
60
document ts shall
have been
complied
with as per
COC
Checklist
Reminder/s:
- No
application
shall be
processed for
evaluation
unless all
documentary
requirements
and proof of
payment of
the
Application
Fee shall be
submitted and
presented by
the applicant
to the LMMD
Officer Day
and/or any
authorized
LMMD
Officer.
- Upon
submission of
all forms and
those listed in
the checklist
of
requirements
for COC
application,
and after the
conduct of
ocular
inspection for
GENCOs,
61
wait for the
Commission’s
advice of its
action within
sixty (60)
calendar days
and thirty (30)
calendar days
for those
GENCOs who
have been
issued a
Certificate of
Energy
Project of
National
Significance
(CEPNS) by
the DOE.
62
5. Issuance of Retail Electricity Supplier (RES) License
Issuance of license to a qualified person or entity that sell, broker, market or
aggregate electricity to end-users in the Contestable market.
Office or Division: Market Operations Service - Contestable

Market Division (MOS-CMD)
Type of Transaction: Government to Business (G2B)
Who may avail: Any juridical entity that is registered to be into

retailing.
A. RES Form 1 – Checklist of

Requirements:
 Articles of Securities and Exchange Commission (SEC)

Incorporation/Partnership
with Certificate of
Registration (for juridical
person)
 Business Name
Registration Certificate (for
single proprietorship)
 Mayor’s Permit Municipal Hall
 Certified true copies of Any professional accounting services firm

audited balance sheet,
cash flow, and income
statement for the two (2)
most recent twelve (12)-
month periods, or for the
life of the business if not in
existence for at least two
(2) years, if applicable
 If affiliate, certified true Any professional accounting services firm

copies of audited balance
sheet, cash flow, and
income statements for the
two (2) most recent
63
twelve (12)-month periods
of parent company
 Projected Five-Year MOS-CMD or ERC website (www.erc.gov.ph)

Financial Statements and
Five-Year Business Plan
(outline to be provided by
ERC)
 List of affiliates engaged in RES License applicant

the generation, distribution
and retail supply of
electricity, and their
corresponding business
addresses
 Financial and Credit Reputable banks and/or credit bureau

Requirements
 Security Deposit Reputable banks and/or credit bureau

Requirements
 Technical Managerial Indicated in the RES Information sheet

Requirements submitted by the RES applicant
 Sworn statement that the RES License applicant

applicant shall comply with
the Code of Conduct and
the Competition Rules
 Sworn statement that a) RES License applicant

the applicant or affiliate
thereof or any stockholder,
director or officer or any
other relatives within the
fourth (4th) civil degree or
consanguinity or affinity,
legitimate or common law,
does not own any interest,
directly or indirectly, in
TRANSCO or its Buyer or
Concessionaire, or
Independent Market
Operator, and b) no officer
or director of the applicant
is an officer or director of
64
the TRANSCO or its Buyer
or Concessionaire
 Proof of payment of Finance and Administrative Service –

application fees Accounting Division (FAS-AD)
 Such other information or RES License applicant

documents that the ERC
may require.
B. RES Information Sheet (Form MOS-CMD or ERC website (www.erc.gov.ph)

2)
 Required number of
copies: Two (2) copies

Paid per Step Time Responsible
1. Register with 1. Refer client to None Five (5) MOS Help

the Guard the MOS Help minutes Desk Officer
Desk officer
(HDO) of the
day
2. Fill-out MOS 2. For RES None Three (3) MOS-CMD

Customer License minutes Personnel
Action Form applications,
refer client to
CMD
3. Applicants 3. Assesses the None Fifteen (15) MOS-CMD

must submit completeness minutes Personnel
Form No. 2 and of the
the documents submitted
listed in Form documents.
No. 1
4. Secure a 4. Give client None Five (5) MOS-CMD

Statement of four (4) minutes Personnel
Account (SOA) copies of the
for the filing SOA.
fee.
65
5. Proceed to the 5. Give client its PhP3,000.00 Ten (10) FAS-Cashier

Cashier and copy of the minutes Section
pay the RES Official Cashier
License Receipt (OR)
application fee
in the amount
indicated in the
Order of
Payment
6. Applicant shall 6. Application is None Five (5) OGCS -

file the received minutes Records
application to officially Division
the Docket Reception
Officer, Office Personnel
of the General
Counsel and
Secretariat
(OGCS)
7. Go back to the 7. Verify OR duly None Two (2) MOS-CMD

MOS-CMD signed by the minutes Personnel
and present Cashier as
OR and copies proof of
of SOA payment. Give
client the O.R.
Retain one (1)
copy of
Assessment
Form for
MOS-CMD
File
8. RES License application shall be None Sixty (60) MOS-CMD

evaluated, and applicant shall be calendar Personnel
informed of its approval or days
disapproval within sixty (60)
calendar days
9. Upon approval 9. Give client one None Five (5) MOS-CMD

of application, (1) copy of the minutes Personnel
applicant will Notice of
receive a Approval and
notice of four (4) copies
approval. of SOA
66
The applicant
shall pay the
RES License
fee before the
License is
awarded.
Secure an
Order of
Payment for
the filing fee.
10. Proceed to the 10. Give client PhP 0.75 of Ten (10) FAS-Cashier
Cashier and four (4) copies each PhP minutes Section
pay the RES of Official 100.00 of the Cashier
License Receipt (OR) capital stock
application fee subscribed and
in the amount paid up, or PhP
indicated in the 10,000.00
Order of whichever is
Payment. higher.
Application Awarding of the
Fee payments RES is
may be in the optional.
form of:
 Cash;
 Company
check (local
or regional
clearing
only)
payable to
Energy
Regulatory
Commission
; or
 Ma n a g e r ’s
/ Ca s h i e r ’s
Check (local
or regional
clearing
only)
payable to
Energy
67
Regulatory
Commission
11. Go back to the 11. Verify OR duly None Two (2) MOS-CMD
MOS-CMD signed by the minutes Personnel
and present FAS-Cashier
OR and copies as proof of
of SOA payment.
Give client the
O.R.
Retain one (1)
copy of Order
of Payment for
CMD File
12. Set the date of 12. RES License

RES license is awarded
awarding. to the
applicant
If a
ceremony
i s not
preferred,
applicant shall
request the
ERC to have it
mailed to them
instead
68
6. Issuance of Certified Copies of Documents
Issuing copies of documents with stamp “certified copy” and bearing the
signature of the records officer or custodian. The Central Records Division
(CRD) of the ERC is responsible for the management of incoming and
outgoing documents to/from the Commission and acts as central repository of
all correspondences and official acts of the Commission (Resolutions, Office
Orders, Decisions, Orders, etc.).
Office or Division: Office of the General Counsel and

Secretariat of the Commission –
Central Records Division (OGCS-CRD)
Classification: Simple transaction

Government-to-Government (G2G)
Who may avail: Stakeholders in the electric power industry
Written request for certified From the client

copies of documents

1. Submission 1.1. Receive the Fee for certified One (1) Receiving
of written written request copies of working day Officer-of-the-
requests for by stamping on official day
certified the upper right documents – (OGCS-CRD)
copies of portion of the Php15.00/
ERC document and page
issuances/ indicating the Fee for
official date and hour of
photocopying
documents receipt and documents –
initials of the Php2.00/ page
receiver
1.2. Prepare the

Statement of
Account (SOA)
and inform client
69
re the payment
of the
corresponding
fee/s at the ERC
Cashier
1.3. Retrieve and

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

with “Certified
Copy” and affix
signature by the
records officer or
custodian
1.5. Release of
requested
document to the
requesting party
after showing of
proof of payment
of the necessary
fee/s
For documents in the

custody or
possession of other
services, clients are
advised that his/her
written request shall
be referred to
appropriate service.
70
7. Laboratory Testing of Meters and Instrument Transformers (Walk-In
Consumers)
Tests every meters and instrument transformers brought by consumers in the

Meter Division’s Laboratory.

Who may avail: All customers of electric utilities and other

providers of electric power
Gate Pass (2 copies) CAS Guard on Duty

copies)
Fees to be
Processing Person
Client Steps Agency Action Paid per
Time Responsible
Step
1. The customer 1. Guard on duty None Five (5) CAS Guard
brings the checks and minute on duty
meter/ logs the meter/
instrument instrument
transformer/ transformer/
meter meter standard
brought by the
customer. Gate
Pass was
accomplished
indicating the
quantity and
description of
the items
71
Fees to be
Processing Person
Time Responsible
Step
2. Customer 2. Reception None Three (3) CAS
proceed to Personnel minutes Reception
Reception inspect the Personnel
Personnel items and
Laboratory
2.1 Assesses
Personnel.
testing fee
2.2 Accomplish
Statement
of Account
(SOA) in the
ERC
electronic
Billing and
Revenue
System
(BRS)
2.3 Instructs the
Customer to
pay the
assessed
testing fee
3. Customer to 3. Assigns SOA None Eight (8) FAS-Billing
SOA to the
customer
4. Customer pay 4. Receives the Resolution FAS-Cashier
the assessed payment of No. 12, Section
testing fee to the testing fee series of Cashier
Cashier based on the 2009
FAS-Billing’s Table 6,
section Article 9
numbered
SOA (See page
presented by no. 194)
the customer
4.1 Issue OR
to
customer
72
Fees to be
Processing Person
Time Responsible
Step
5. Consumer 5. Reception None Fifty-one CAS
brings the items Personnel (51) Reception
together with records the minutes Personnel
supporting OR details of item and
and Gate Pass and the Laboratory
to the Meter issued Official Personnel
Laboratory for Receipt (OR)
testing in a logbook
5.1 Laboratory
Personnel
performs the
required
tests
5.2 Seals and
stickers were
attached
only to the
items that
passed the
tests with
Test Report
issued to
Consumer
for every
tested item
regardless of
the results
5.3 Reception
Personnel
checks the
items for
release to
the
consumer
together with
the
supporting
Gate Pass
after he
signs in the
logbook
73
Fees to be
Processing Person
Time Responsible
Step
6. Consumer signs 6. Guard on None Five (5) CAS Guard
the gate pass to duty inspects minutes on duty
indicate the and records
receipt of the the release of
items the items;
counter
checks/ signs
the
supporting
Gate Pass
6.1 Guard on
duty
maintains file
copy of the
Gate Pass
74
8. Meter Shop Accreditation
Require all individual or consortium of DUs and Third Party Test Facilities to
apply for a Certificate of Authority (CA) in order to maintain a Meter Shop.
Upon showing that all the requirements have been complied with, the ERC
shall issue a CA with a validity period of three (3) years, renewable upon filing
of the pertinent CA renewal at least ninety (90) days prior to the expiration of
the CA, but subject to the ERC’s assessment.
Type of Transaction: Government-to-Business(G2B)
Who may avail: DU or Consortium of DUs or TPTF
Duly Accomplished Application ERC Prescribed Form

Form with Requested Information
and Documents
Statement of Account SOA CAS Meter Division

(4 copies)

Step
1. DU or 1. MD Engineer Resolution Three (3) CAS
consortium of checks the No. 12, minutes Reception
DUs or TPTF Application, series of processing Personnel
submits to the assesses 2009 time for
Commission a application fee Table 6, agency
duly and accomplish Article 9 actions 1 to
accomplished Statement of 1.1
Application Account (SOA) (See page
Form with the in the ERC no. 194)
required electronic
information and Billing and
documents Revenue
System (BRS)
75
Step
1.1 Instruct the
Customer to
pay the
assessed fee
2. Customer to 2. Assign SOA None Eight (8) FAS-Billing
proceed to the number, print, minutes Section
Section SOA to the
customer
3. Customer pays 3. Receives the Resolution Cashier
the assessed payment No. 12, Section
fee to the based on the series of Cashier
Cashier Section FAS-Billing 2009
Section’s Table 6,
numbered Article 9
SOA
presented by
the customer (See page
no. 194)
4. Applicant 4. CRD None CRD
submits the assigns/stamp Personnel
Application and s a Case No.
proof of on the
payment to CRD Application
for docketing, then forwards
assigning/stamp to CAS for
ing appropriate
action
4.1 CAS Clerk CAS Clerk,
receives the Director,
Application for
submission to Engineer V
CAS Director
who will
endorse it to
Engineer V
4.2 Engineer V
endorses the
Application to
concerned
Team
Leader/Engine
er III who
76
Step
assigns a
team member
to check and
evaluate the
Application
and to conduct
inspections of
the Applicant’s
Meter Shop
then prepare
Travel
Authority
(TA)/Travel
Order
(TO)/Special
Assignment
(SA) for
checking and
initial by
Engineer IV
and V prior to
CAS Director’s
approval then
CAS Clerk
forwards
approved
documents to
CRD
4.3 CRD records None Five (5) CRD
and assigns minutes Personnel
number of the
approved
TA/TO/SA
then return to
CAS; furnishes
Human
Resource
Management
Division
(HRMD),
Commission
on Audit
(COA) and
FAS
77
Step
records the minutes
numbered
TA/TO/SA
then forwards
it to the
Assigned
Personnel
(ERA/
Engineer I, II
or III)
4.5 USE OF None Five (5) to CAS
VEHICLE ten (10) Assigned
FOR minutes Personnel
OFFICIAL processing
FIELDWORK time for
4.5.1 Assigned agency
Personnel actions 4.5
accomplishe to 4.5.5
s duplicate
copies of
Request for
Vehicle (RV)
at least five
(5) working
days before
the
assignment
for approval
by Engineer
V
4.5.2 Assigned
Personnel
forwards the
approved RV
(with
supporting
approved TO
and or
Permission
Slip) to the
General
Services
78
Step
Division
(GSD) for
proper action
4.5.3 GSD
determines
vehicle to
use and
assigns a
company
Driver
4.5.4 Driver and
Assigned
Personnel
coordinate
and agree on
the call time
and place of
meeting prior
to going to
the site
4.5.5 Upon return
to the office,
Assigned
Personnel
prepares a
General
Report
detailing the
procedures
of testing
performed
and the
number of
items tested,
Itinerary of
Travel (IT) if
applicable
for
submission
and approval
by Engineer
IV, V and
CAS-
Director.
79
Step
Provide FAS
Division
copies of the
reports for
billing
purposes.
5. Client waiting 5. FAS-Billing Resolution One (1) FAS-Billing
for the Section No. 12, working day Section
issuance of prepares a SOA series of and five (5) Personnel
SOA (assign a SOA 2009 minutes
Number) based Table 6,
on approved Article 9
reports
submitted; print
in triplicate (See page
copies for no. 194)
approval by
FAS-Director
5.1 Once
approved,
FAS-Billing
Section
forwards 2-
copies of SOA
to Central
Record
Division (CRD)
5.2 CRD signs None Five (5) CRD

and minutes Personnel
acknowledges
receipt of SOA
in the FAS-
Billing
Section’s
receiving copy;
records the
SOA then mail
one (1) copy to
the Customer
80
Step
5.3 Assigned None CAS
Personnel Assigned
prepares and Personnel
submits a
Memorandum
to the Ad-Hoc
Committee (for
pre-
commission
meeting on the
evaluation of
the meter
shop’s
application) for
checking and
sign off by
Engineer IV
and V and
approval by
CAS Director.
5.4 Once None CAS Clerk
approved,
CAS Clerk
forwards the
Memo to the
Ad-Hoc
Committee
thru the
Oversight
Commissioner
who will
include the
Application in
the agenda of
the next Ad-
Hoc
Committee
meeting
5.5 Once included, None CAS
Assigned Assigned
Personnel Personnel
presents the
Application to
the Ad-Hoc
Committee for
81
Step
approval.
5.6 Once None CAS
approved, Assigned
Assigned Personnel
Personnel
prepares a
Memorandum
(for checking
and sign off by
Engineer IV
and V and
approval by
CAS Director)
to the OGCS
requesting to
include the
Application in
the agenda of
the next
Commission
En Banc
meeting
5.7 Once included/ None CAS
confirmed, Assigned
Assigned Personnel
Personnel
presents the
Application to
the
Commission
En Banc for
approval
5.8 Once None
approved,
Assigned
Personnel
prepares a
“Certificate of
Authority (CA)
to Maintain a
Meter Shop”
for sign off by
Engineer IV, V
and CAS
82
Step
Director
5.9 CAS Director None CAS Director
endorses the
CA to the
Chairman/
CEO for
signature thru
the Oversight
Commissioner
5.10 Once signed, None CAS Clerk
CAS Clerk
receives the
CA then
forwards it to
the Assigned
Personnel who
will notify the
Applicant of
the approved
CA
5.11 Informs/
instructs
Reception
Personnel to
assess for the
Applicant’s
license fee
6. Applicant 6. Reception Resolution Three (3) CAS
reports to ERC- Personnel No. 12, minutes Reception
MD, Reception assess series of Personnel
Personnel Applicant’s 2009
license fee Table 6,
and Article 9
accomplish
SOA in the
ERC electronic (See page
BRS. no. 194)
6.1 Instruct the

customer to
pay the fee
83
Step
FAS-Billing and and hand the
Cashier SOA to the
Sections customer
8. Customer pay 8. Receives the ERC FAS-Cashier
the assessed payment of Approved Section
testing fee to testing fee Fees and Cashier
the Cashier based on the Charges
FAS-Billing’s
(Refer to
section Resolution
numbered No. 12,
SOA series of
presented by 2009)
the customer
8.1 Issue OR to
customer
9. Client 9. Reception Seven (7) CAS
presented Personnel working Reception
Official Receipt record the days Personnel
(OR) for the details of
release of CA presented
and Official
acknowledge Receipt (OR)
receipt in a then release
logbook the CA to the
Applicant
84
9. Meter Type Approval
Ensure that watt-hour meter products installed by a Distribution Utility or a
Redistributor conform to standards and requirements adopted by the ERC in
order to guarantee the proper functioning of said meters under normal
working conditions.
Type of Transaction: Government-to-Citizen (G2C)

Who may avail: Local Manufacturers or its Authorized

Dealer
Duly Accomplished Application ERC Prescribed Form

Form with Requested Information
and Documents

copies)

Step
1. A 1. MD engineer None Three (3) CAS
Manufacturer review the minutes Reception
or its accomplished processing Personnel
Authorized Application form time for
Dealer and the agency actions
submits to the submitted 1 to 1.3
Commission documents.
a duly
1.1 Assesses Resolution
accomplished
testing fee No. 12,
Application
series of
85
Step
Form with the 1.2 Accomplish 2009
required Statement of Table 6,
information Account (SOA) Article 9
and in the ERC
documents. electronic Billing (See page
and Revenue no. 194)
System (BRS)
1.3 Instructs the

Customer to pay
the assessed
testing fee
2. Customer to 5. Billing Section None Eight (8) FAS-Billing
proceeds to assigned SOA minutes Section
the FAS- Number, print
Billing and hand the
Section SOA to the
customer
3. Customer 3. Receives the FAS-Cashier
pay the payment of fee Section
assessed fee based on the FAS- Cashier
to the Billing’s section
Cashier numbered SOA
presented by the
customer
3.1 Issue OR to
customer
4. Applicant 4. Docket assigns None Five (5) to Ten CRD
submits the and stamps a (10) working Personnel
Application Case No. on the days
and proof of Application then
payment to forwards to CAS
the CRD for for appropriate
docketing action
4.1 CAS Clerk None CAS Clerk
receives the
Application then
forwards it to
the CAS
Director who will
endorses to
Engineer V then
86
Step
to Engineer III
who assigns a
Personnel to
evaluate the
Application
4.2 Assigned None Five (5) to Ten CAS
Personnel (10) working Assigned
prepares and days Personnel
submits a
Memorandum to
the Ad-Hoc
Committee (for
pre-commission
meeting on the
evaluation of the
meter type
approval
application ) for
checking and
sign off by
Engineer IV and
V and approval
by CAS Director
4.3 Once approved, None Five (5) to Ten CAS Clerk
CAS Clerk (10) working
forwards the days
Memo to the
Ad-Hoc
Committee thru
the Oversight
Commissioner
who will include
the Application
in the agenda of
the next Ad-Hoc
Committee
meeting
87
Step
4.4 Once included, None CAS
Assigned Assigned
Personnel Personnel
presents the
Application to
the Ad-Hoc
Committee for
approval
4.5 Once approved, None CAS
Assigned Assigned
Personnel Personnel
prepares a
Memorandum
(for checking
and sign off by
Engineer IV and
V and approval
by CAS
Director) to the
OGCS
requesting to
include the
Application in
the agenda of
the next
Commission En
Banc meeting.
4.6 Once included/ None Five (5) to Ten CAS
confirmed, (10) working Assigned
Assigned days Personnel
Personnel
presents the
Application to
the Commission
En Banc for
approval
88
Step
4.7 Once approved, None CAS
Assigned Assigned
Personnel Personnel,
prepares a Engineer IV,
“Certificate of
Meter Type Engineer V
Approval (CA)” Director
for sign off by
Engineer IV, V
and CAS
Director
4.8 CAS Director None CAS Director,
endorses the Oversight
CA to the Commissione
Chairman/CEO r,
for signature
thru the Chairperson
Oversight & CEO
Commissioner.
4.9 Once signed, None CAS Clerk
CAS Clerk
receives the CA
then forwards it
to the Assigned
Personnel who
will notify the
Applicant to
claim the
approved CA
Personnel Reception
instructs Personnel
Applicant to
submit an
undertaking
5. Applicant 5. Reception
reports to Personnel
ERC-MD to releases the CA
submit an after receiving the
undertaking undertaking from
expressing the Applicant who
that he shall will acknowledge
maintain in receipt in a
his custody logbook.
89
Step
the Note: Total
specimen Processing
meter duly time should
sealed by not exceed 60
the ERC calendar days
without from
alteration submission of
and/or complete
tampering documentary
then requirements
instructs in accordance
Reception with R.A.
Personnel 1123412.
to release Provided, they
the CA to submitted the
the correct and
Applicant complete
Requirements.
12
Section 13. Time Frame. - The mother agencies shall ensure that all actions on applications before it and its
attached bureaus, offices, and agencies, at both the national and local levels, and GOCCs as well as other
entities shall all be released within the time frames stated below: Provided, That the time frame shall be the
total number of days for the mother agency and its attached bureaus, offices, and agencies, at both the national
and local levels, and GOCCs, as a whole to release actions on applications: Provided, further, That the time
frame shall be counted from the submission of complete documentary requirements. XXX
e) The ERC: sixty (60) calendar days to issue an action on all applications from the submission of all
documentary requirements: Provided, That for all quasi-judicial cases, the ERC shall have two hundred seventy
(270) calendar days to issue an action from the submission of a valid application;
90
10. Processing/Acceptance of Pre-filing/Filing/Submission of
Applications
ERC-Regulatory Operations Service (ROS) caters to accept pre-filing, filing
and submission of applications from a Distribution Utility or Generation
Company with required supporting attachments as enumerated below
checklist of requirements.
Office or Division: Regulatory Operations Service (ROS)
Classification: Simple Transaction

Who may avail: Distribution Utility

Generation Company
Transmission Company
ROS-Tariff and Rates Division:
A. Application of Approval for a General Applicant (DU)

Change in Rate Structure or revision
of Rates of Transmission and
(Three (3) printed and three (3) soft
copies).
Note: Exclusive of Legal Service
requirements
1. Calculation of Change in Weighted

Index
2. MAP Calculation
3. Annual Historical and Forecast Data

Requirements
4. Test of Side Constraint Limitation
5. Constrained MAP Determination
6. Proposed Relaxation of MAP Applicant (DU)

91
7. Rate Schedule (without side constraint
8. Rate Schedule (constrained MAP)
9. Rate Schedule (relaxed MAP)
UFR
1. Summary of Cost of Service Using

Revalued Assets
2. Functionalization Factors
3. Billing Determinants and Class

Allocation
4. Embedded Cost of Service –

Distribution, Supply and Metering and
Class Cost Service Analysis
5. Class Allocation Factors –Distribution,

Supply and Metering
6. Revenue Allocation
7. Schedule of Monthly kWh and Demand

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

Sales and Number of Customers of the
previous RY (example RY 2012 use
RY 2011 (July 2011 to June 2012)
9. Others
B. Application of Approval of any

changes in Rate Structure or revision
of Rates of National Power
92
Corporation
copies).
requirements
1. Summary of the Revenue Applicant

Requirement/True-up Adjustment
2. Results of Operation (ROO)

 Projected
 Actual
3. Audited or Certified Financial Third Party

Statements
4. Revenue Requirement and Rate Base Applicant

Components
5. Schedule Depreciation Expense DOE
6. Schedule of Fuel Consumption per plant Applicant
7. Schedule of Other Operating Expenses
8. Schedule of Rate Base
9. Schedule of Construction Work-in- DENR/ERC/DOE

Progress
10. UC-ME Subsidy Payments to New Applicant

Power Producers and/or Qualified Third
Party
11. Actual UC-ME Received from PSALM Applicant/PSALM
12. Revenue from Sales (Subsidized Applicant

Approved Generation Rate)
 Projected
 Actual
13. Projected Philippine Energy Sales (PES) DOE
14. Others
93
C. Application of Approval of Power

Supply Agreements
copies).
requirements
Government Requirements
For Distribution Utility (DUs)

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

Directors and Board Members and
related to the Ultimate Parent Company,
its Subsidiaries and all affiliates
For Generation Company (GenCo)
1. Articles of Incorporation and By-Laws of

GenCo
2. Shareholders’ Agreement
3. SEC Certificate of Registration of the

said Articles of Incorporation
4. List of Shareholders (Latest GIS of

GenCo-SEC Form)
5. Document showing information related

to the Ultimate Parent Company, its
Subsidiaries and all its Affiliates
6. Board of Investment (BOI) Certificate of BOI

Registration with attached terms and
conditions
7. Environmental Compliance Certificate DENR

(ECC) issued by the DENR
8. Certificate of Compliance (COC) issued ERC

by ERC pursuant to the Guidelines for
94
the issuance of COC for Generation
Companies/Facilities
9. Certificate from DOE regarding DOE

Philippine Development Plan (PDP) or
Certificate of Endorsement (CoE)
10. Renewable Energy Service / Operating

Contract from DOE
11. Certificate of Registration or Certificate

of Confirmation of commerciality by an
RE Developer and after due
confirmation of DOE
12. If the Application is filed later than two ERC/Applicant (DU)

(2) years following the effectivity of the
above mentioned Guidelines, the
application must include an alternative
Demand Sale Management (DSM)
program that could be implemented by
the DUs if approved by ERC. The DU
shall submit the projection costs and
benefits of the DBM program
Supply and Demand Scenario
1. Certification by NPC whether Transition NPC

Supply contract (TSC) capacity and
energy is expected to be available
during the contractual period. Include
relevant supporting documentation, data
and analysis supporting each statement
2. Details regarding the load forecast Applicant (DU)

projections in accordance with the latest
Distribution Development Plan of the
Distribution Utility and the variability of
those projections over the proposed
contractual period. An estimation of the
potential for a reduction in load supplied
by the DU due to retail competition. Any
inconsistencies shall be supported by
relevant analysis.
Also submit the average daily load
curve, supply and demand scenario of
95
the DU in accordance with the
Commission Template under Annex A of
Pre-Filing Checklist Requirement.
Procurement Process Applicant (DU)
1. Details on the procurement process

used by the DU leading to the selection
of the Generation Company including
but not limited to the following items:
1.1 DU Invitation to Participate and

submit Proposal (e.g. Publication in
newspaper, etc.)
1.2 DU’s Term of Reference (TOR)
1.3 Proposal/s received by the DU,

tender offers, etc.
1.4 DU’s Special Bids and Awards

Committee (SBAC) Evaluation
Report
1.5 Notice of Award issued by the DU
1.6 Matrix and type of Competitive

Selection Process (CSP)
1.7 Certification from General Managers

(for ECs) or CEO/COO (for Private
Corp.) for conducting CSP
Power Supply Agreement and other

Agreements
1. Power Supply Agreement/Energy Applicant (DU)

Conversion Agreement Contract for
Application including the Original and
Amended/Supplemental/Addendum,
provide a Matrix to show comparison of
the amendments made, if any;
2. Details regarding transmission project or Applicant/ERC

grid connection projects necessary to
96
complement the proposed generation
capacity; Identification of the parties that
will develop and/or own such facilities;
any cost related to such project; and
specification of the parties responsible
for recovery of any costs related to such
projects.
If applicable, submit a copy of
Transmission Service agreement, or
application for dedicated Point to Point
Limited Transmission Facility to ERC,
e.g. ERC Case No. of Point to Point,
Decision of Commission of the point to
point application.
3. Copy of Related Agreements (like Applicant/ERC

Transmission Wheeling Contract, IPPA
Agreement, EPC Contract, O&M
Contract, Wholesale Aggregator
Agreement, Project Feasibility, etc.)
Generation / Power Rate
1. Details of the PSA/ECA Applicant (GenCo)
1.1 Executive Summary
1.2 Source of Funds/Financial Plans
1.2.1 Debt/Equity Ratio
1.2.2 Project Cost
1.2.3 Computation of Return on

Investment / WACC
1.2.4 Certification from the Bank/Lending Institution

Bank/Lending Institution specifying
the principal amortization, term and
interest during the cooperation
period of the loan agreement
1.2.5 Life of Asset versus Term of

Loan (Computation of
levelized cost)
97
1.2.6 Bank Certification of Long-term Bank/Lending Institution

Loans, including, to wit:
1.2.6.1 Schedule of Original

Loan (Principal Amount,
Interest Payable, Term of
Loan)
1.2.6.2 Updated Balances

(Principal Amount, Interest
Payable, Penalties (if any),
remaining term of the loan
1.3 Generation Rate and Derivation Applicant (GenCo)
1.3.1 Financial model containing the

derivation of rates (excel file to
be required)
1.3.2 Breakdown of the base prices;

Capital Recovery Fee, Fixed
and Variable O&M, and Fuel
Fee
1.3.3 Breakdown of Project Cost and

Operations and Maintenance
(O&M) Cost including the
description and justification of
each component
1.3.4 Sample Computation of Power

Rates with the supporting
documents on the assumptions
taken
1.3.5 Rate Impact simulation on the

overall rates of the applicant-
utility once the contract is
approved including an
explanation on assumption
and input parameters used in
the derivation thereof
1.3.6 Basis/rationale of indexation Applicant (GenCo)

including the sources,
reference date and weight of
98
indexation
1.3.7 Basis/rationale derivation of

Other Charges such as
replacement, start-up, pre-
commercial, and ancillary costs
1.3.8 Equivalent PhP/kWh with

assumptions for foreign
denomination rates
1.4 Cash Flow specifying the following:
1.4.1 Initial costs
1.4.2 Breakdown of Operating and

Maintenance expenses
4. All details on the procurement process

of fuel including requests, proposals
received, tender offers, etc. Fuel Supply
Agreement
Sworn Statement detailing how the fuel
was competitively procured, contract
terms, unbundled price components
(product cost, transshipment, delivery
container, etc.
5. All relevant technical and economic

characteristics of the generation
capacity; Installed Capacity, Mode of
Operation Dependable Capacity;
Auxiliary load; Scheduled and
Unscheduled Outages;
Basis/Justification of day used
6. All cost analysis related to the

generation in support of the proposed
pricing provision of the contract
7. Other documentation that may be Applicant (GenCo)

needed by ERC in the course of the
evaluation, such as but not limited to the
99
following:
7.1 Latest and complete set of Audited

Financial Statements of the
Generation Company (Balance
Sheet, Income Statement and
Statement of Cash Flows)
7.2 Certification (from the engine Engine Manufacturer or IPP

manufacturer or IPP) of the net beat
rate (initial and every after major
maintenance schedule) in liters per
kWh
7.3 Simulation of the no. of operating Applicant (GenCo)

units necessary to meet the MEOT
and/or additional energy/demand
requirements of the DU
7.4 Potential Cost (absolute amounts

and PhP/kWh) of Ancillary Services
as and when the IPP or the DU is
connected to the main grid
8. Others
The Pre-filing Checklist is in accordance with Applicant (DU)

Resolution 38, series of 2006, Rule 20 B
Section 2 of the ERC Rules of Practice and
Procedures, Article VI Sections 1 and 2 of the
ERC Guidelines for the Recovery of Costs for
the Generation Component of the Distribution
Utility (DUs) Rates, Resolution No. 13, Series
of 2015 and Resolution No. 1, Series of 2016,
unless otherwise provided or considered by the
Commission
If any of the above listed documents is alleged

to be not applicable, the Applicants shall
provide a written justification to support the said
allegation.
Section 7 Rule 3 of ERC Rule of Practice and

Procedures requires that all pleadings, together
with their supporting documents, shall be
100
electronically filed with the submission of at
least three (3) USB Flash Drives containing the
electronic files thereof in file formats acceptable
to the Commission such as Microsoft Office or
OpenOffice.
Thus, the Applicant shall submit the documents

with the following format:
PDF-Signed
Pleading with
Verification and
Pleadings Certification against
Forum Shipping
MS Word – can be
edited
Annexes,
Exhibits and
PDF
Other
Evidence
Rate MS Excel which can

Computation be assessed and
edited. Include links
D. Application of Approval of NPP SPUG

Rates
copies).
requirements
Government Requirements
For Distribution Utility (DUs)
1. Articles of Incorporation and By-Laws SEC

(Private Corp.) or document that will
indicate the list of Board of Directors and
Board Members (ECs)
101
2. Document showing list of Board of SEC

Directors and Board Members and
related to the Ultimate Parent Company,
its Subsidiaries and all affiliates
For Generation Company (GenCo)
1. Articles of Incorporation and By-Laws of

GenCo
2. Shareholders’ Agreement
3. SEC Certificate of Registration of the

said Articles of Incorporation
4. List of Shareholders (Latest GIS of

GenCo-SEC Form)
5. Document showing information related

to the Ultimate Parent Company, its
Subsidiaries and all its Affiliates
6. Board of Investment (BOI) Certificate of BOI

Registration with attached terms and
conditions

(ECC) issued by the DENR
8. Certificate of Compliance (COC) issued ERC

by ERC pursuant to the Guidelines for
the issuance of COC for Generation
Companies/Facilities
9. Certificate from DOE regarding DOE

Philippine Development Plan (PDP) or
Certificate of Endorsement (CoE)
10. Renewable Energy Service / Operating

Contract from DOE
11. Certificate of Registration or Certificate

of Confirmation of commerciality by an
RE Developer and after due
confirmation of DOE
102
12. If the Application is filed later than two Applicant (DU)

(2) years following the effectivity of the
above mentioned Guidelines, the
application must include an alternative
Demand Sale Management (DSM)
program that could be implemented by
the DUs if approved by ERC. The DU
shall submit the projection costs and
benefits of the DBM program
Supply and Demand Scenario
1. Certification by NPC whether Transition NPC

Supply contract (TSC) capacity and
energy is expected to be available
during the contractual period. Include
relevant supporting documentation, data
and analysis supporting each statement
2. Details regarding the load forecast Applicant (DU)

projections in accordance with the latest
Distribution Development Plan of the
Distribution Utility and the variability of
those projections over the proposed
contractual period. An estimation of the
potential for a reduction in load supplied
by the DU due to retail competition. Any
inconsistencies shall be supported by
relevant analysis.
Also submit the average daily load
curve, supply and demand scenario of
the DU in accordance with the
Commission Template under Annex A of
Pre-Filing Checklist Requirement
Procurement Process
1. Details on the procurement process Applicant (DU)

used by the DU leading to the selection
of the Generation Company including
but not limited to the following items:
1.1 DU Invitation to Participate and

submit Proposal (e.g. Publication in
newspaper, etc.)
103
1.2 DU’s Term of Reference (TOR) Applicant (DU)
1.3 Proposal/s received by the DU,

tender offers, etc.
1.4 DU’s Special Bids and Awards

Committee (SBAC) Evaluation
Report
1.5 Notice of Award issued by the DU
1.6 Matrix and type of Competitive

Selection Process (CSP)
1.7 Certification from General Managers

(for ECs) or CEO/COO (for Private
Corp.) for conducting CSP
Power Supply Agreement and other

Agreements
1. Power Supply Agreement/Energy Applicant (DU)
Conversion Agreement Contract for
Application including the Original and
Amended/Supplemental/Addendum,
provide a Matrix to show comparison of
the amendments made, if any
2. Details regarding transmission project or
grid connection projects necessary to
complement the proposed generation
capacity; Identification of the parties that
will develop and/or own such facilities;
any cost related to such project; and
specification of the parties responsible
for recovery of any costs related to such
projects.
If applicable, submit a copy of Transmission Applicant /ERC

Service agreement, or application for dedicated
Point to Point Limited Transmission Facility to
ERC, e.g. ERC Case No. of Point to Point,
Decision of Commission of the point to point
application
3. Copy of Related Agreements (like

Transmission Wheeling Contract, IPPA
104
Agreement, EPC Contract, O&M
Contract, Wholesale Aggregator
Agreement, Project Feasibility, etc.)
Generation / Power Rate
1. Details of the PSA/ECA Applicant (GenCo)
1.1 Executive Summary
1.2 Source of Funds/Financial Plans
1.2.1 Debt/Equity Ratio
1.2.2 Project Cost
1.2.3 Computation of Return on

Investment / WACC
1.2.4 Certification from the Bank/ Lending Institution

Bank/Lending Institution
specifying the principal
amortization, term and interest
during the cooperation period
of the loan agreement
1.2.5 Life of Asset versus Term of

Loan (Computation of
levelized cost)
1.2.6 Bank Certification of Long-

term Loans, including, to wit:
1.2.6.1 Schedule of Original

Loan (Principal Amount,
Interest Payable, Term
of Loan)
1.2.6.2 Updated Balances

(Principal Amount,
Interest Payable,
Penalties (if any),
remaining term of the
loan
105
1.3 Generation Rate and Derivation Applicant (GenCo)
1.3.1 Financial model containing the

derivation of rates (excel file to
be required)
1.3.2 Breakdown of the base prices;

Capital Recovery Fee, Fixed
and Variable O&M, and Fuel
Fee
1.3.3 Breakdown of Project Cost

and Operations and
Maintenance (O&M) Cost
including the description and
justification of each
component
1.3.4 Sample Computation of Power

Rates with the supporting
documents on the
assumptions taken
1.3.4 Rate Impact simulation on the

overall rates of the applicant-
utility once the contract is
approved including an
explanation on assumption
and input parameters used in
the derivation thereof
1.3.4 Basis/rationale of indexation

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

Other Charges such as
replacement, start-up, pre-
commercial, and ancillary
costs
1.3.6 Equivalent PhP/kWh with

assumptions for foreign
denomination rates
106
1.4 Cash Flow specifying the following: Applicant (GenCo)
1.4.1 Initial costs
1.5.1 Breakdown of Operating and

Maintenance expenses
4. All details on the procurement process

received, tender offers, etc. Fuel Supply
Agreement
Sworn Statement detailing how the fuel
was competitively procured, contract
terms, unbundled price components
(product cost, transshipment, delivery
container, etc.
5. All relevant technical and economic

characteristics of the generation
capacity; Installed Capacity, Mode of
Operation Dependable Capacity;
Auxiliary load; Scheduled and
Unscheduled Outages;
Basis/Justification of day used.
6. All cost analysis related to the

generation in support of the proposed
pricing provision of the contract
7. Other documentation that may be

needed by ERC in the course of the
evaluation, such as but not limited to the
following:
7.1 Latest and complete set of Audited

Financial Statements of the Generation
Company (Balance Sheet, Income
Statement and Statement of Cash
Flows)
7.2 Certification (from the engine Engine Manufacturer or IPP

manufacturer or IPP) of the net beat
rate (initial and every after major
maintenance schedule) in liters per
kWh
107
7.3 Simulation of the no. of operating Applicant (GenCo)

units necessary to meet the MEOT
and/or additional energy/demand
requirements of the DU
7.4 Potential Cost (absolute amounts

and PhP/kWh) of Ancillary Services
as and when the IPP or the DU is
connected to the main grid
8. Others
The Pre-filing Checklist is in accordance with Applicant (DU)

Resolution 38, series of 2006, Rule 20 B
Section 2 of the ERC Rules of Practice and
Procedures, Article VI Sections 1 and 2 of the
ERC Guidelines for the Recovery of Costs for
the Generation Component of the Distribution
Utility (DUs) Rates, Resolution No. 13, Series
of 2015 and Resolution No. 1, Series of 2016,
unless otherwise provided or considered by the
Commission
If any of the above listed documents is alleged
to be not applicable, the Applicants shall
provide a written justification to support the said
allegation.
Section 7 Rule 3 of ERC Rule of Practice and
Procedures requires that all pleadings, together
with their supporting documents, shall be
electronically filed with the submission of at
least three (3) USB Flash Drives containing the
electronic files thereof in file formats acceptable
to the Commission such as Microsoft Office or
Open Office.
Thus, the Applicant shall submit the documents

with the following format:
PDF - Signed Pleading

with Verification and
Pleadings Certification against
Forum Shipping
MS Word – can be
108
edited
Annexes,
Exhibits and PDF
Other Evidence
Rate MS Excel which can be

Computation assessed and edited.
Include links
E. Application of Approval of QTP Rates

copies).
requirements
1. QTP Service Contract (QSC) NPC / QTP
2. Waiver Contract/Agreement signed by DU / QTP

the concerned DU and QTP
3. Subsidy and Disbursement Agreement NPC / QTP

(SDA) between QTP and NPC, if any
4. DOE Certification that the QTP was pre- DOE

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

determined based on the DOE’s
Selection Process
6. Relevant technical details of engineering Applicant / Contractor / Supplier

design of the proposed system,
including the generation facilities and
associated delivery systems:
Technology;
Installed Capacity/Dependable Capacity
Auxiliary load;
Mode of Operation;
109
Scheduled and Unscheduled Outages;
Distribution System Design;
Demand-Supply Scenario
7. Relevant financial details of the projects: Applicant/ Bank/ Lending Institution
a. Executive Summary
b. Sources of Funds/ Financial Plans;
 Debt/Equity Ratio
 Project Cost (including

supporting documents: e.g.:
Engineering Procurement
and Construction Contract
(EPC); and
 Computation of Return on
Investment/ WACC;
 Certification from the

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

Loans, including, to wit:
1. Schedule of Original Loan

(Principal amount, interest
payable, term of the loan)
2. Updated Balances (Principal

amount, interest payable,
penalties (if any), remaining term
of the loan
a. Full Cost Recovery Rate and Derivation Applicant/ Bank/ Lending Institution
 Financial model containing the

derivation of rates (excel file to be
110
required)
 Breakdown of the base prices;

Capital Recovery Fee, Fixed and
Variable O&M, and Fuel Fee
 Breakdown of Project Cost and

Operations and Maintenance (O&M)
Cost including the description and
justification/supporting of each
component
 Sample Computation of Power Rates

with the supporting documents on
the assumptions taken.
 Rate impact simulation on the overall

rates of the applicant-utility once the
contract is approved including an
explanation on assumptions and
input parameters used in the
derivation thereof.
 Basis/rationale of indexation
including the sources, reference date
and weight of indexation
 Basis/rationale/derivation of Other
Charges such as replacement, start-
up, precommercial, and ancillary
costs
 Equivalent PhP/kWh with

assumptions for foreign denominated
rates
b. Cash Flow specifying the following:
 Initial Costs;
 Breakdown of Operating and

Maintenance expenses; and
c. Indicative/Proposed Subsidized Applicant/ Bank/ Lending Institution

Approved Retail Rate (SARR)
111
d. All details on the procurement process

received, tender offers, etc.; Fuel Supply
Agreement Sworn Statement detailing
how the fuel was competitively procured,
contract terms, unbundled price
components (product cost,
transhipment, delivery container, etc.)
8. Other necessary permits to implement DENR / ERC / DOE

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

issued by the Energy Regulatory
Commission of COC for
Generation Companies/Facilities
 Certification from Department of

Energy (DOE) regarding
Philippine Development Plan
(PDP) or Certificate of
Endorsement (CoE).
 Renewable Energy Service/

Operating Contract from the
Department of Energy (DOE)
9. Other documents and information that SEC

ERC may require:
 Articles of Incorporation and By-

Laws of the Company
 Shareholders’ Agreement
 Securities and Exchange

Commission (SEC) Certificate of
Registration of the said Articles of
Incorporation
112
 List of Shareholders (Latest GIS - SEC

SEC Form)
 Document showing information Applicant

related to the Ultimate Parent
Company, its Subsidiaries and all
its affiliates
 Board of Investment (BOI) BOI

Certificate of Registration with
attached Terms and Conditions
 Latest and Complete Set of Applicant

Audited Financial Statements of
the Generation Company
(Balance Sheet, Income
Statement, and Statement of
cash flows)
 Certification (from the engine Engine Manufacturer or IPP

manufacturer or IPP) of the net
heat rate (initial and every after
major maintenance schedule) in
liters per kWh.
F. Application of Approval of Ancillary

Service Procurement Agreement
copies).
requirements
1. Copy of the ASPA between NGCP and NGCP/GenCo

GenCo
2. NGCP’s procurement for ASPA
3. Copy of Accreditation from NGCP that

the generation plant is capable of
providing Ancillary Service
4. NGCP’s justification on the proposed

ASPA rates – ASPA rate
deviation/calculation
113
5. Rate Impact (PhP/kW and PhP/KWhr)
6. Copy of Certificate of Compliance of the

generation plant
7. Summary of existing Power Supply

Agreements of GenCo (if applicable)
8. Articles of Incorporation and Latest SEC

SEC-GIS of GenCo
9. Latest Audited Financial Statements of

GenCo
10. Copy of WESM Registration WESM
11. Others
G. Application of Approval of the

utilization/ availment of Universal
Charges of NPC/PSALM
copies).
requirements
1. Audited Variance Analysis Report (VAR) Third Party Auditor/NPC

on the National Power Corporation’s
Stranded Contract Costs Portion of the
Universal Charge with Independent
Auditor’s Report
2. Fuel and Purchased Power Costs

Details
a. Total Fuel and Purchased Power Costs

of Eligible Plants per Grid
b. Allocation of Fuel and Purchased Power Applicant/TSC/WESM

Costs into TSC and WESM for Existing
Eligible Plants
c. Fuel and Purchased Power Costs of IPPA

Eligible Plants Under Independent
Power Producer Administration (IPPA)
114
3. PSALM report on Operating Results of IPPs/IPPA

Eligible Independent Power Producers
(IPPs)
4. Summary of Fixed and Variable Costs of

Eligible IPPs under Independent Power
Producer Administration Agreement
(IPPAA)
5. Other OPEX of Eligible Plants under

IPPAA
6. IPPAA Monthly Payments (for SCC

Calculation) of Eligible
7. Summary of IPPA - Generation

Payments
8. Summary of IPPA Billings- Energy Fees
9. Electricity Sales Forecast (in GWh) by DOE

GRID
10. Other supporting calculation/documents Applicant

as necessary
H. Application of Approval of Loan Applicant (DU)

Application of Distribution Utility
copies).
requirements
1. Copy of Audited Financial Statement

including notes for prior year, test year
and latest year
2. Letter of Approval of Lending Institution Lending Institution

from where the loan is to be secured
3. Letter Approval of NEA for the authority NEA

to secure loans from other
sources.(Collateral Sharing, applicable
to ECs only)
115
4. List of projects and/or items of Applicant

equipment and their estimated cost to
which the proceeds of the loan will be
utilized.
5. Details or Specification of the

equipment/projects to be purchased/
built.
6. Bases/Reasonableness of the estimated

cost per project/equipment
7. Copy of Loan Agreement
8. List of properties to be mortgaged
9. Actual amount of drawdown released by

the Lending Institutions, the date or
dates the application received said
amounts, as well as the exchange rate
at the time of receipt of the same.
10. List of fixed assets acquired and the

expenses incidental to said acquisition
derived from the proceeds of loan,
indicating the cost of each type of fixed
asset and its date of acquisition
11. Amortization Schedule showing principal

and interest payments of loans and the
exchange rate at the time of payment.
12. If loan is a CAPEX, an application for

CAPEX should also be filed with SD
(simultaneous filing)
13. Detailed schedule of Utilization
14. Schedule of Assets Additions
15. Computation of impact to rates
16. Computation of Financial Ratios (test

year and projected years of payment of
loans)
116
17. Justification, study, computation and Applicant

benefits resulting from securing loans.
18. Others
I. Application of Authority to issue or

increase capital stock
copies).
1. Application with prayer Applicant
2. Director’s Certificate or Board

Resolution on the Increase of Capital
Stock
3. Amended Article of Incorporation duly SEC

notarized
4. Certificate of Increase in Capital Stock of Applicant

DU signed by Authorized
signatories/Executive Director
5. Notarized Treasurer’s Affidavit of the

Increase of Capital Stock
6. Summary of Capital Projects (supported Applicant / ERC

by ERC Decision on Approved CAPEX
or list of ERC Cases of CAPEX with
pending approval from ERC)
7. Security and Exchange Commission SEC

Certification of the increased in Capital
Stock.
8. Postings of application with LGU within Applicant

the franchise area of DU
9. Publication of Application in a general Applicant

circulation newspaper
117
J. Application for Approval of the

Annual Revenue Requirement and
Performance Incentive Scheme for
the Regulatory Period in accordance
with the provisions of the Rules for
setting the Distribution Wheeling
Rates (RDWR) as amended
(Three (3) copies printed and three (3)
soft copies).
requirements
Regulatory Asset Base Applicant (DU)
1. Summary of optimized depreciated

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

replacement cost (ODRC) and the
depreciated historical cost of the Original
Regulatory Asset Base at the start of the
Second Regulatory Period, with
supporting Calculations for indexing
applied
3. Assets forecast to be acquired during

the period between the initial valuation
date and the start of the Secondary
Regulatory Period
3.1 Schedule of assets to be acquired
3.2 Value of the assets to be acquired
3.3 Justification for assets to be

acquired
4. Forecast asset disposal during the

period between the initial valuation date
and the start of the Second Regulatory
Period
118
4.1 Schedule of assets to be disposed of Applicant (DU)
4.2 Value of the assets to be disposed of
4.3 Forecast income from the sale of

disposed assets
5. ODRC depreciation schedule for the

Regulatory Asset Base for the period
between the initial valuation date and
the start of the Second Regulatory
Period
5.1 Assets included in the Original

Regulatory Asset Base
5.2 Assets acquired in the lead-up to the

Secondary Regulatory Period
6. Historical cost depreciation schedules

for the Regulatory Asset Base for the
period between the initial valuation date
and the start of the Second Regulatory
Period
6.1 Assets included in the Original

Regulatory Asset Base
6.2 Assets acquired in the lead-up to the

Secondary Regulatory Period
7. Application of the construction work in

progress (CWIP) factor to the
Regulatory Asset Base as at the start of
the Second Regulatory Period
8. Summary of the optimized replacement

cost (ODRC) and the depreciated
historical cost of the full
Regulatory Asset Base as at the start of

the Second Regulatory Period (the
opening value of the rolled-forward
Regulatory Asset Base)
119
Financial indices forecast for Second

Regulatory Period
1. Philippine quarterly CPI Applicant
2. United States quarterly CPI
3. PhP/US$ quarterly exchange rate
4. 180-Day Manila Reference Rate
Forecast capital expenditure for the Second

Regulatory Period
1. Summary of capital expenditure

forecasts for each year of the Second
Regulatory Period
1.1 Real values, divided in PhP and US$

components
1.2 Total real values, in PhP
1.3 Total nominal values, in PhP
1.4 Justification for capital expenditure

(major and minor projects)
2. Broken down historical capital

expenditure
Forecast disposal during the Second

Regulatory Period
1. Value of assets to be disposed of (based

on ODRC register)
2. Forecast income from the sale of

disposed assets
Forecast depreciation during the Second

Regulatory Period
1. Depreciation of the opening asset base
120
1.1 ODRC basis Applicant
1.2 Historical cost basis
2. Depreciation of the assets forecast to be

acquired during the Second Regulatory
Period
2.1 ODRC basis
2.2 Historical cost basis
Forecast assets used beyond standard lives
1. Forecast addition to assets used beyond

standard lives
2. Forecast removal from assets used

beyond standard lives
Forecast operating & maintenance

expenditure
1. Summary of forecast operating &

maintenance expenditure
1.1 Annual Expenditure, divided in real

PhP and US$ components
1.2 Total annual expenditure, in real

PhP
1.3 Total annual expenditure, in nominal

PhP
1.4 Justification for operating &

maintenance expenditure forecasts
2. Historical operating & maintenance

expenditure
3. Summary of expenditure on taxes (other

than corporate income tax), duties and
levies
3.1 Annual expenditure, in real PhP
121
3.2 Annual expenditure, in nominal PhP Applicant
3.3 Justification of expenditure
3.4 Historical taxes, levies & duties
Forecast energy consumption and demand
1. Forecast energy consumption figures

(kWh)
1.1 Breakdown of consumption figures

into customer classes
1.2 Supporting evidence
2. Forecast energy demand figures (MW)
2.1 Breakdown of demand figures into

customer classes
2.2 Supporting evidences
3. Forecast customer numbers, per

customer class
Regulatory financial statements

Performance incentive scheme details
1. Price-linked incentive scheme
1.1 Details of scheme proposed
1.2 Proposed target levels
1.3 Supporting information &

calculations
2. Guaranteed service level scheme
2.1 Details of scheme proposed
2.2 Proposed target levels
2.3 Proposed penalty levels
122
2.4 Supporting information & Applicant

calculations
Additional Information for price-cap model
1. Contact details for input sheets
2. 2010 Calendar year billing &

consumption data (estimate)
3. Related business revenue for 2010

calendar year (estimate)
4. Tax losses carried forward from 2010

and 2011 regulatory years (estimate)
5. Inputs for financial statement projections
Detailed calculations for Second Regulatory

Period
1. Rolled forward regulatory asset base
2. Annual revenue requirement
3. Corporate income tax forecasts
4. Forecast price-caps for the opening and

subsequent years of the Second
Regulatory Period
5. Calculation of demonstrative unbundled

rates
6. Others
123
ROS-Standard Division (SD)
A. Application of Authority to improve or Applicant (TU/DU)

expand transmission facilities
consistent with the Grid Code and the
Transmission Development Plan
copies).
Requirements
1. Company Profile
1.1 Provide brief history of the DU to

include the expiration date of the
franchise
1.2 Franchise Coverage area
1.3 Length of lines
1.4 System Map (showing locations of

substation, 69 kV facilities, NGCP S/S if
any, etc.
1.5 Single line diagram of the distribution

system (substation plus primary feeder
line)
1.6 Existing substations
1.7 Number of customers
1.8 All other information related to the

operation of the DU
2. Problem Description
2.1 State the specific description of the

problem of the distribution system.
3. Proposed Project
3.1 Project Title – abbreviated title of the

project
124
3.2 Project Description – state the Applicant (TU/DU)

specific activity to be undertaken
under the project proposal
3.3 Project Justification – criteria and

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

project implementation and year of
project start up and year of project
commissioning
3.4 Project Cost – state the expected

amount to be incurred in
implementing the project proposal.
For implemented project, provide the
abstract of bids, if any
4. Financing Plan
4.1 Discussion on how the project will be

funded or the specific plan of the DU in
financing the project proposal. If with
loan, indicate the terms of the loan. If the
loan was already acquired, state the
specific of the loan agreement
5. Indicative Rate Impact of the Project or

Rate Impact Analysis to include
sensitivity analysis (for electric
cooperative)
125
6. Details of the proposed capital project Applicant (TU/DU)
6.1 Below table will be used for the more

detailed discussion of the project.
Project <Code> Project Priority

Code Type Rank
<Type> <Rank>
Project <Category of Distribution

Category Development Project>
Project <Abbreviated Title of the

Title Project>
Project
Cost
Project <Duration of project

Duration implementation and year of
project start up and year of
project commissioning>
Project <Detailed description of the

Description project>
Project <Describe the problem being

Justification addressed by the project and
consequences if the project is
not pursued>
Technical <Criteria and System

Analysis Performance without and with
the proposed project>
Economic <Summary of technically

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

technical and economic
analysis, calculation sheets,
126
simulation reports, and other
relevant information such as
diagrams, drawings and
pictures>
7. Others
B. Application of Authority for the Applicant (TU/DU)

increase of equipment, construction,
operation and installation of new
units, increase of capacity or the
extension of means or general
extensions in the service
copies).
Requirements
1. Company Profile
1.1 Provide brief history of the DU to

include the expiration date of the
franchise
1.2 Franchise Coverage area
1.3 Length of lines
1.4 System Map (showing locations of

substation, 69 kV facilities, NGCP S/S if
any, etc.
1.5 Single line diagram of the distribution

system (substation plus primary feeder
line)
1.6 Existing substations
1.7 Number of customers
1.8 All other information related to the

operation of the DU
127
2. Problem Description Applicant (TU/DU)
2.1 State the specific description of the

problem of the distribution system.
3. Proposed Project
3.1 Project Title – abbreviated title of the

project
3.2 Project Description – state the

specific activity to be undertaken under
the project proposal
3.3 Project Justification – criteria and

system performance with and without
the proposed project. Summarized
discussion with details of discussion
3.4 Project Schedule – duration of the

project implementation and year of
project start up and year of project
commissioning
3.5 Project Cost – state the expected

amount to be incurred in implementing
the project proposal. For implemented
project, provide the abstract of ids, if any
4. Financing Plan
4.1 Discussion on how the project will be

funded or the specific plan of the DU in
financing the project proposal. If with
loan, indicate the terms of the loan. If the
loan was already acquired, state the
specific of the loan agreement
5. Indicative Rate Impact of the Project or

Rate Impact Analysis to include
sensitivity analysis (for electric
cooperative)
128
6. Details of the proposed capital project Applicant (TU/DU)
6.1 Below table will be used for the more

detailed discussion of the project.
Project <Code> Project Priority

Code Type Rank
<Type> <Rank>
Project <Category of Distribution

Category Development Project>
Project <Abbreviated Title of the

Title Project>
Project
Cost
Project <Duration of project

Duration implementation and year of
project start up and year of
project commissioning>
Project <Detailed description of the

Description project>
Project <Describe the problem being

Justification addressed by the project and
consequences if the project is
not pursued>
Technical <Criteria and System

Analysis Performance without and with
the proposed project>
Economic <Summary of technically

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

technical and economic
analysis, calculation sheets,
129
simulation reports, and other
relevant information such as
diagrams, drawings and
pictures>
7. Others
C. Application of Approval or Applicant (TU/DU)

modification of Certificates of Public
Convenience and/or Necessity
(CPCN) of franchised electric utilities
in accordance with law
copies).
requirements
Filing of Applications
1. Application Form: All entities shall file a

formal application for the issuance of a
CPCN
2. Qualifications: Following qualifications

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

only for the term of the entity’s franchise
130
4. Renewal of CPCN: The application for Applicant (TU/DU)

the renewal of a CPCN shall be filed one
(1) year before its expiration
Requirements
Submission of Required Data:
General Documents
1. Copy of Franchise issued by the Congress of the Philippines/ERC

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

names, titles and responsibilities of all
key management officials as submitted
to the Securities and Exchange
Commission (SEC) and the Philippine
Stock Exchange (PSE). In the absence
of the foregoing, applicant submits the
list of names, titles, and responsibilities
of major stockholders and officers.
3. Corporate od Partnership Documents:

(1) For a Corporation – Certificate of
Incorporation; Articles of Incorporation
and By-laws (2) For a Partnership –
Certificate of Partnership, Articles of
Incorporation and Articles of Partnership
(3) For a Consortium – Certificate of
Incorporation, Articles of Incorporation or
Shareholder’s Agreement and By-laws
131
4. Service Area Map: (1) For entities Applicant

engaged in the transmission of electricity
– a map clearly showing the boundary of
the applicant’s service area (2) For
entities engaged in the distribution of
electricity and Consortium – Map clearly
showing the boundary of the applicant’s
service area, total number of energized
municipalities or barangays and total
number of unenergized municipalities or
barangays
5. Utility Practices and Procedures
For New CPCN
1. Proposed tariff or practices and

procedures of the applicant showing all
rates, deposits and charges associated
with providing the proposed service to
the general public; and
2. Standard practices the applicant will

follow when dealing with its customers,
i.e. billing practices, conditions of
disconnection, etc.
For Renewal of CPCN
1. Statement to the effect that it adopts its

previously submitted utility practices and
procedures unless there are changes
thereon at the time of renewal. In which
case, the new standard practices and
procedures have to be submitted; and
2. Statement of its effective tariff
Technical Documents/ Information

For New CPCN
1. For entities engaged in the transmission

of electricity
132
a. List of names and addresses of Applicant

personnel responsible for the design,
installation, maintenance, and repair
of equipment for the proposed
system;
b. Information regarding the power

supply for the proposed service area
indicating the contracted demand
and energy
c. Single line diagram of the

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

Compliance and Compliance Plan to
the Philippine Grid Code (PGC)
2. For entities engaged in the distribution of

electricity
a. List of names and addresses of

system;

and energy
133
c. Single line diagram of the Applicant
to each feeders or circuits;
the PGC and PDC; and
e. Description of any negotiations with

telephone and/or cable television
utilities on the joint use of pole lines
For renewal of CPCN

of electricity

system;
b. Updated information regarding the

power supply for the proposed
service area indicating the contracted
demand and energy
134
c. Copy of the existing single line Applicant

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

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

electricity

system;

demand and energy
135

hard copy; and

approval by the ERC; and
e. Description of any new negotiations

with telephone and/or television
utilities on the joint use of the pole
lines
Financial Information
Financial Status
a. Copies of the most recent year’s

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

statement of the principal owners of
the business if the applicant is a new
business which proposes to operate
as a utility; and
136
c. Copies of the appropriate pages from Applicant

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

Consortium or the Buyer/Concessionaire to
submit any of the required data/information
shall be ground for the denial of the application.
D. Application of Authority to sell and Transmission Utility / Distribution Utility

alienate its franchise, certificate,
privileges or rights or any part
thereof, merge or consolidate its
property, franchise, certificate,
privileges, or rights or any part
thereof, with CPC/CPCN with any
other utility/public service
copies).
requirements
Filing of Applications
1. Application Form: All entities shall file a

formal application for the issuance of a
CPCN
2. Qualifications: Following qualifications

shall be issued a CPCN: (a) Filipino
citizenship or corporations, co-
partnerships, associations or joint-stock
companies constituted and organized
under Philippine laws provided that sixty
(60) per centrum of the stock or paid up
137
capital of any such corporation, co-
partnership, association or joint-stock
company belong entirely to the citizens
of the Philippines (b) technical capability,
(c) financial Capability, and (d) franchise
for operating and maintaining a
transmission or distribution system
issued by the Philippine Congress, or
the ERC pursuant to the Section 8 of the
Act
3. Term of CPCN: The CPCN shall be valid

only for the term of the entity’s franchise
4. Renewal of CPCN: The application for

the renewal of a CPCN shall be filed one
(1) year before its expiration
Requirements
Submission of Required Data:
General Documents
1. Copy of Franchise issued by the Congress of the Philippines/ERC

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

names, titles and responsibilities of all
key management officials as submitted
to the Securities and Exchange
Commission (SEC) and the Philippine
Stock Exchange (PSE). In the absence
of the foregoing, applicant submits the
list of names, titles, and responsibilities
of major stockholders and officers.
138
3. Corporate od Partnership Documents: Applicant

(1) For a Corporation – Certificate of
Incorporation; Articles of Incorporation
and By-laws (2) For a Partnership –
Certificate of Partnership, Articles of
Incorporation and Articles of Partnership
(3) For a Consortium – Certificate of
Incorporation, Articles of Incorporation or
Shareholder’s Agreement and By-laws
4. Service Area Map: (1) For entities

engaged in the transmission of electricity
– a map clearly showing the boundary of
the applicant’s service area (2) For
entities engaged in the distribution of
electricity and Consortium – Map clearly
showing the boundary of the applicant’s
service area, total number of energized
municipalities or barangays and total
number of unenergized municipalities or
barangays
5. Utility Practices and Procedures
For New CPCN
1. Proposed tariff or practices and

procedures of the applicant showing all
rates, deposits and charges associated
with providing the proposed service to
the general public; and
2. Standard practices the applicant will

follow when dealing with its customers,
i.e. billing practices, conditions of
disconnection, etc.
For Renewal of CPCN
1. Statement to the effect that it adopts its

previously submitted utility practices and
procedures unless there are changes
thereon at the time of renewal. In which
case, the new standard practices and
procedures have to be submitted; and
139
2. Statement of its effective tariff Applicant
Technical Documents/Information
For New CPCN

of electricity

system;

and energy

to each feeders or circuits; and

the PGC

electricity

system;
140
b. Information regarding the power Applicant

and energy

to each feeders or circuits;

the PGC and PDC; and
e. Description of any negotiations with

telephone and/or cable television
utilities on the joint use of pole lines
For renewal of CPCN

of electricity

system;

demand and energy
141

hard copy; and

approval by the ERC

electricity

system;

demand and energy
142

hard copy; and

approval by the ERC; and
e. Description of any new negotiations

with telephone and/or television
utilities on the joint use of the pole
lines
Financial Information
Financial Status
a. Copies of the most recent year’s
statement if the applicant is an
existing business which previously
has not operated as a public utility or
has not been previously authorized
to operate as a public utility
b. Copies of the most recent year’s
statement of the principal owners of
the business if the applicant is a new
business which proposes to operate
as a utility; and
143
c. Copies of the appropriate pages from Applicant

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

Consortium or the Buyer/Concessionaire to
submit any of the required data/information
shall be ground for the denial of the application.
E. Application of Authority to develop Applicant (GenCo)

and own or operate a dedicated point-
to-point limited distribution and
transmission facilities.
Note: exclusive of Legal Service
Requirements
For Distribution
Application shall be filed with the ERC together

with properly labeled three (3) hard copies and
three (3) electronic copies of the following
documents:
1. Description of the project;
2. Options/Alternatives considered in lieu

of the proposed project(s) with
corresponding analyses of
advantages/disadvantages of each
option;
3. Proof that the project is consistent with

the Distribution Development Plan
(DDP)/ Transmission Development Plant
(TDP) i.e. copy of the DDP/TDP portion
showing the projects;
144
4. Distribution Impact Study, Facility Study Applicant (GenCo)

and Technical Analysis (commercial
software load flow simulation and
interpretation of results showing the
electrical effects of the proposed
project/s such as power transformer
loadings, voltage drop, power quality,
system loss, frequency, harmonics, load
/ phase balancing etc.);
5. Proof of compliance with Philippine

Distribution Code (PDC) 4.3.3.713;
6. Detailed Single Line Diagram (SLD);
7. Conceptual Engineering design and

drawings;
8. Detailed project cost estimates which

has to be in reference to the submitted
engineering design and bill of materials
including switchyard;
9. Gantt chart schedule of the proposed

projects which has to reflect the target
dates and actual dates for the following:
(see attached Annex “A” for reference)
a. Start of the construction of the Power

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

Power Plant and the Interconnection
Facility;
c. Testing and Commissioning;
13
In case of Embedded Generating Plants with capacity of 10MW and above for Luzon, and 5MW and above
for Visayas and Mindanao, the Distribution Utility upon receipt of the application for connection, shall inform
the Transmission Network Provider about the application for connection of the User. The Transmission Network
Provider will assess the application. Certain conditions or special requirements, if any, shall be clearly stated
and justified by the Transmission Network Provider for compliance of the User.
The Distribution Utility shall formally inform the User of the results of the Distribution Impact Study as well as
the assessment made by the Transmission Network Provider, if any.
145
d. Commercial Operation; Applicant (GenCo)
10. Name/s and company profile/s of

contractors to be involved in the
construction of the dedicated point-to-
point limited facilities;
11. Demand-Supply Scenario;
12. Connection Agreement;
13. Board resolution or secretary’s

certificate approving the proposed
projects;
14. Sworn statement / Manifestation from

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

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

the Department of Energy (DOE);
17. Operating Contract between the Plant

and DOE or Service Contract (for FIT);
18. Other relevant certifications from the

DOE;
146
19. Other required data: Applicant
a. General Documents
i. Key Management Officials

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

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

operate a limited point-to-point
facilities;
ii. The list of names and addresses

of personnel responsible for the
design, installation, maintenance,
and repair of equipment for the
proposed system; and
iii. Statement of Compliance and

Compliance Plan to the PDC.
147
For Transmission Applicant
Application shall be filed with the ERC together

with properly labeled three (3) hard copies and
three (3) electronic copies of the following
documents:
20. Description of the project;
21. Options/Alternatives considered in lieu

of the proposed project(s) with
corresponding analyses of
advantages/disadvantages of each
option;
22. Proof that the project is consistent with

the Transmission Development Plan
(TDP) i.e. copy of the TDP portion
showing the projects;
23. System/Grid Impact Study, Facility

Study and Technical Analysis
(commercial software load flow
simulation and interpretation of results
showing the electrical effects of the
proposed project/s such as power
transformer loadings, voltage drop,
power quality, system loss, frequency,
harmonics, load / phase balancing etc.);
24. Detailed Single Line Diagram (SLD);
25. Conceptual Engineering design and

drawings;
26. Detailed project cost estimates which

has to be in reference to the submitted
engineering design and bill of materials
including switchyard;
148
27. Gantt chart schedule of the proposed Applicant

projects which has to reflect the target
dates and actual dates for the following:
(see attached Annex “A” for reference)
a. Start of the construction of the Power

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

Power Plant and the Interconnection
Facility;
c. Testing and Commissioning;
d. Commercial Operation;
28. Name/s and company profile/s of

contractors to be involved in the
construction of the dedicated point-to-
point limited transmission facilities;
29. Demand-Supply Scenario;
30. Connection Agreement;
31. Board resolution or secretary’s

certificate approving the proposed
projects;
32. Sworn statement / Manifestation from

the authorized representative of the
Regulated Entity that an application for
approval from the concerned agencies
that may have interest the proposed
project has been filed/ or shall be filed
by the Regulated Entity (specify date of
filing and furnish ERC a copy within five
(5) working days upon filing);
149
33. Environmental Compliance Certificate Applicant

(for Power Transmission line and
generating capacity greater than 138 kV
and 220 kV, respectively) or Certificate
of Non-Coverage (for Power
Transmission line and
generating capacity less than or equal to
138 kV and 220 kV, respectively);
34. Certificate of Registration (COR) from DOE

the Department of Energy (DOE);
35. Operating Contract between the Plant

and DOE or Service Contract (for FIT);
36. Other relevant certifications from the

DOE;
37. Other required data: Applicant
a. General Documents
i. Key Management Officials

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

Documents
b. Technical Documents/Information
(Applicable ONLY if the applicant will
be the one to Operate and Maintain
the Dedicated Point-To-Point Limited
Facility)
150
i. Proof of technical capability to Applicant

operate a limited transmission
facilities;
ii. The list of names and addresses

of personnel responsible for the
design, installation, maintenance,
and repair of equipment for the
proposed system; and
iii. Statement of Compliance and

Compliance Plan to the PGC.
ROS-Investigation and Enforcement

Division (IED-DU)
A. Application for Confirmation and Applicant

approval of calculations of over or
under recoveries in the
implementation of automatic cost
adjustments and true up
mechanisms.
Requirements)
Folder 1 - Application
A. Application – one (1) copy hard and soft

copy (MS Word)
B. Summary of OU Recoveries
Computation per charges for the entire
period in yearly presentation – three (3)
copies printed and three (3) USB Flash
Drives with the excel form
C. Proposed Scheme of Refund/Collect

using the latest kwh sales – printed and
excel form
151
Folder 2 - Supplier and Transmission Data Applicant
A. Fully Accomplished Supplier and

Transmission Data sheet for the year
(year 1 – year 2 – year 3) – three (3)
copies printed and three (3) USB Flash
Drives with the excel form
B. Power bills from suppliers, inclusive of

billing adjustments, Debit or Credit
Memo and proof of payment (number of
power bills depends on the number of
suppliers
C. NGCP bills and proof of payment
Folder 3 - Statistical Data
A. Fully Accomplished Statistical Data

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

Manifestation if N/A (year 1 – year 2 –
excel form
C. Report of Implemented Other

adjustment (year 1 – year 2 – year 3) –
three (3) copies printed and three (3)
USB Flash Drives with the excel form
D. MFSR Sections B and E (Sections B

and E per month for the whole
application period)
Folder 4 - Actual Implemented Rates Data
A. Fully Accomplished Implemented Rates

Sheet for the year (year 1 – year 2 –
excel form
152
B. Fully Accomplished Lifeline Discount Applicant

Sheet for the year (year 1 – year 2 –
excel form
C. Fully Accomplished Senior Citizen

Discount Sheet (year 1 – year 2 – year
3) – three (3) copies printed and three
(3) Flash Drives with the excel form and
Two (2) Consumer Bills per customer
class (non-lifeliner)
D. One (1) Consumer Bill per lifeline

bracket (lifeliner)
E. One (1) Senior Citizen Consumer Bill

per consumption per month for the
whole application period
Folder 5 – Other Documents
A. Submitted monthly Uniform Reportorial

Requirement (URR) for the whole
application period
B. Computation on how the Pass-Through

charges were derived (if not
implementing the URR-computed rates)
Others
B. Application for Approval of the Applicant

Proposed Recovery of Franchise
and/or Business Tax Payments under
the Tax Recovery Adjustment Charge
(TRAC) Formula.
requirements
1. Application
A. Application – three (3) copies printed

and three (3) USB Flash Drives (MS
Word)
153
B. Summary of BT and FT computation Applicant

for the entire period (yearly) - three
(3) copies printed and three (3) USB
Flash Drives with the soft copy
C. Proposed Rate of Recovery and

period using the latest kwh sales –
USB Flash Drives with the soft copy
2. Attachments LGU
A. Prior year/s tax assessment/s issued
by concerned LGUs – three (3)
copies printed and three (3) USB
Flash Drives with the pdf file
B. Local tax ordinance of the province,

cities and each of the municipalities
wherein franchise/business tax are
levied– three (3) copies printed and
pdf file
C. Board resolution authorizing the filing Applicant

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

E. Summary of payment- three (3)

Flash Drives with the excel form
1. Date of Payment
2. Covered period of payment
3. Breakdown of payment
(particulars)
F. Actual distribution revenues- three

154
G. Breakdown of gross sales/receipts- Applicant

H. Approved bank loans to pay the tax Bank

arrears- three (3) copies printed and
PDF file (Disregard if not applicable)
I. Others
C. Application for Authority to Applicant

Implement the Local Franchise Tax
(LFT) Rates.
requirements
1. Application
A. Application - three (3) copies printed

and three (3) USB Flash Drives (MS
Word)
B. Summary of BT and FT computation

for the entire period (yearly) - three

2. Attachments
A. Prior year/s tax assessment/s issued LGU


pdf file
155

of application– three (3) copies
printed and three (3) USB Flash
Drives with the pdf file


1. Date of Payment
(particulars)
F. Actual distribution revenues- three

G. Breakdown of gross sales/ receipts-


PDF File (Disregard if not applicable)
I. Others
D. Application for Authority to Applicant

Implement the Local Business Tax
(LBT) Rates.
requirements
1. Application
A. Application - hard and soft copy (MS

Word)
156
B. Summary of Business Tax (BT) and Applicant

Franchise Tax (FT) computation for
the entire period (yearly) - three (3)
Flash Drives in excel form

USB Flash Drives in excel form
2. Attachments
A. Prior year/s tax assessment/s issued LGU


pdf file

of application– printed and pdf file


1. Date of Payment
(particulars)
F. Actual distribution revenues- (3)

157
G. Breakdown of gross sales/ receipts- Applicant

printed and excel form

pdf file (Disregard if not applicable)
I. Others

1. The Applicant 1. The Receiving None TRD & SD,

proceeds to the Officer/ Officer IED-DU
ROS-Tariff and of the Day Receiving
Rates Division examines the Officer
(TRD) and application to
Standard Division check the
(SD) and ROS- completeness
Investigation and of the
Enforcement documents.
Division (IED-DU) The applicant
for the will be required
applications to submit
mentioned under lacking
“Checklist of document/s, as
Requirements” needed
and to Legal
Service to check 1.1 The Receiving None
completeness of Officer
requirements. prepares
assessment
fees and
advises the
applicant to pay
at the Cashier
2. Applicant pays the 2. Receives Application FAS-Cashier

assessed payment and Fees: Section
application/ filing issues OR Cashier
PHP3,000.00
fee to the Cashier to
and gets the PHP10,000.00
Official Receipt for applicants
(OR) who are not
158
paying
supervision
fees
PHP700.00 for
applicants who
are paying
supervision
fees
Legal
Research
Fund:
PHP10.00 or
1% of the
Filing Fee
whichever is
higher –
applicable to
all applicants
3. Applicant brings 4. Receives None Central

three (3) copies of and records Records
the application the Division
documents application Personnel
together with the
attachment, two
(2) copies of all
compilations in
USB Flash Drives
and the OP for the
Docket Officer of
the Docket
Section for
recording
purposes.
Total
Processing
Time: One
(1) Working
Day, Five
(5) Hours &
Fifty (50)
minutes
159
11. Processing/Acceptance of Applications
Pursuant to Rule 6, Section 1 and Section 2 of the ERC Rules of Practice and
Procedure, for rate applications and other types of applications or petitions for
relief affecting consumers, the Commission shall require the applicants or
petitioners to comply with the pre-filing requirements as described hereunder
prior to the acceptance and docketing of the applications or petitions.
Office or Division: Legal Service (LS)
Classification: Simple Transactions

Government-to-Citizens (G2C)
Government-to Government (G2G)
Who may avail: Distribution Utilities

Generation Companies
Government Agencies
(NPC, PSALM, TRANSCO, etc.)
I. Pre-Filing Checklist of legal Legal Service, Energy Regulatory

requirements for different Commission
types of applications (Rate
cases, Non-rate cases and
Miscellaneous cases)
A. General Requirements for For the applicants to comply

all types of cases
(All in three (3) sets in hard
and soft copies):
1. Application and Annexes;
2. Verification and
160
Certification against
forum shopping
(Verif/Certif);
3. Authority of Affiant to sign

the application and the
Verif/Certif;
4. Authority of Counsel to
file the application;
5. Certification issued by the

Local Government Unit
(LGU) Legislative Body
where the applicant
principally operates, to
show proof of service of
the application and
annexes to the said LGU
Legislative Body;
B. Additional requirements for

specific type of cases:
1. Publication in newspaper
of general circulation
within the applicant’s
franchise area for all rate
cases;
2. Proof of conduct of
Competitive Selection
Process (CSP) for
approval of Power Supply
Agreement (PSA)
applications;
C. Other documents as may be

required under the pertinent
rules and regulations issued
by the Commission.
161
Step
1. Applicant 1. Legal Service None One-half Assigned

conducts pre- determines (1/2) Legal Officer
filing the working day of the Week
conference completeness or (4) hours (Legal
with the Legal of the legal from the Assistant
Service after requirements submission and/or
completing submitted by of complete Lawyer)
the technical the applicant. legal
requirements documents.
to determine
compliance
with the legal
requirements.
2. Applicant 2. Legal Service Pursuant - Assigned

pays the generates the to ERC Clerk of the
required filing Statement of Rules on Legal
fees. Account Fees and Service
(SOA) for Charges
applicant’s
payment of
the required
filing fees.
3. Applicant 3. Legal Service None - Assigned

proceeds to endorses the Legal Officer
the Central application for of the Week
Records filing. (Legal
Division for Assistant
filing and and/or
docketing of Lawyer)
application.
162
12. Procedures in Collecting Payment
Collection of payments for ERC Service Fees
Office or Division: Finance and Administrative Service –

Billing Section and Cashier Section

Government-to-Citizens (G2C)
Who may avail: Electric Power Industry – refers to any

person or entity that engages in
generation, transmission, distribution and
sale of electric power to the electric power
to the general public and industry
Statement of Account (SOA) From the following Action Unit:

- Consumer Affairs Service – Meter
Division
- Market Operations Service
- Legal Service
- Regulatory Operations Service
- Office of the General Counsel and
Secretariat
- Planning and Public Information
Service

Step
1. Register with 1. Refer the client None Two (2) FAS Guard
the Guard to the minutes on duty
assigned at concerned
the FAS personnel
2. Secure a 2. Prepares SOA None Five (5) Concerned

Statement of and give four minutes Office/Service
Account (4) copies to
(SOA) from client
concerned
personnel for
163
Step
the amount to
be paid
3. Proceed to 3. Attest SOA None Three (3) Accounting

Billing Section prepared by the minutes Clerk
for attestation concerned
of SOA personnel
4. Proceed to 4. Receives and None Five (5) Cashier II

Cashier process SOA minutes
Section and with the
present the required
SOA for attachments for
Payment payments
5. Give the 5. Collects the Pursuant to Three (3) Cashier II

payment to check or cash ERC Rules minutes
Cashier and from the client on Fees and
wait for the and prepares Charges
Official O.R. (Refer to
Receipt (O.R) page no.
Form of Payment 185)
Accepted:
 Cash
 Company
Check
Payable to
Energy
Regulatory
Commission
 Cashier’s/
Manager
Check
payable to
Energy
Regulatory
Commission
6. Go back to 6. Verifies the OR None Two (2) Concerned
the duly signed by minutes Office/Service
concerned the Cashier as
personnel proof of
and present payment
OR and
164
Step
copies of
SOA
Total
Processing
Time:
Twenty (20)
minutes
165
13. Receiving of Consumer Complaints Against Electric
Distribution Utilities and Other Providers of Electric Power
Consumer complaints against electric utilities and other providers of electric
power are received by the Consumer Affairs Service (CAS) – Consumer
Service Division, which handles the ERC’s permanent consumer complaint
desk.
Office or Division: Consumer Service Division (CSD)
Type of Transaction: Government-to-Citizens (G2C)

Duly accomplished Complaint ERC Main Office – CAS-CSD

Acknowledgement Form - 2 copies
Letter-Complaint - 3 copies Complainant’s own
Fees to be Processing Person

Client Steps Agency Action
1. The 1. Guard gives None Five (5) Lobby Guard

consumer the log book to minutes
signs in the the consumer
Client log
book in the
office lobby.
2. The 2. The OD None Twenty (20) Energy

consumer interviews the minutes Regulatory
proceeds to consumer Officer I or II
the Consumer regarding the assigned as
Service nature of the CSD Officer
Division complaint and of the Day
(CSD) of the asks the (OD)
ERC to file a consumer to
complaint and fill in the
submit his/her required
letter- information in
complaint to the Complaint
166
the CSD Acknowledge
Officer of the ment Form.
day (OD).
2.1. OD files a
copy of the
Complaint
Acknowledg
ment Form
and gives
the other
copy to
Complainant
advising him/
her to
contact the
DU’s
Consumer
Welfare
Desk first in
accordance
with ERC’s
policy to
encourage
the
complainant
and the DU
concerned to
try to settle
the
complaint
amicably.
2.2 For
MERALCO-
related
complaints:
OD refers
the
consumer to
the
MERALCO
Assistance
Consumer
Affairs Office
(MACAO)
167
located at
the 5th Floor,
Pacific
Center Bldg.
to try to
settle the
complaint
amicably.
3. If the 3. The OD will None Ten (10) Energy

consumer then schedule minutes Regulatory
decides to the date for Officer I or II
proceed with conference assigned as
the filing of between the CSD Officer
the complaint, consumer of the Day
consumer and the DU (OD)
informs the and writes the
OD of such. schedule on
the letter-
complaint.
OD advises
the consumer
to attend the
scheduled
conference
and informs
him/her that
the DU
concerned
will be
directed to
immediately
address the
complaint and
attend the
scheduled
conference as
well.
168
4. The 4. The Central None Five (5) Clerk III or

consumer Records minutes Data
then files the Division of the Controller II
letter- ERC receives of the
complaint the letter- Central
with the complaint Records
Central together with Division
Records its
Division of the attachments.
ERC,
together with
any 4.1 The Central
document/s in Records
his Division
possession, returns one
such as a stamped-
Certificate of received copy
Non- of the letter-
Settlement, complaint to
demand the
letter, Meter consumer.
Facilities
Inspection
Report, etc
Total: Forty
(40) minutes
169
14. Receiving of Verified (Formal) Complaints Against Electric
Distribution Utilities and Other Providers of Electric Power
Verified (Formal) complaints against electric utilities and other providers of
electric power are received by the Consumer Affairs Service (CAS) –
Consumer Service Division, which handles the ERC’s permanent consumer
complaint desk.
Office or Division: Consumer Service Division (CSD)
Classification: Simple
Type of Transaction: Government-to-Citizens (G2C)

Verified Complaint with attached Complainant’s own or using ERC’s Pre-

duly notarized Verification and Formatted Verified Complaint Form from
Certification against Forum CAS CSD, ERC Main Office
Shopping - 3 copies

1. The 1. Guard gives None Five (5) Lobby Guard

consumer the log book minutes
signs in the to the
Client log consumer.
book in the
office lobby
2. The 2. The OD None Ten (10) Energy

consumer checks the minutes Regulatory
proceeds to completeness Officer I or II
the of the assigned as
Consumer submitted VC. CSD Officer of
Service the Day (OD
Division
(CSD) of 2.1 CSD Chief Ten (10) Chief Energy
the ERC to assesses minutes Regulatory
file the and Officer of the
evaluates if
170
Verified the complaint CSD
Complaint should be
(VC). endorsed for
informal
conference
(mediation)
or for formal
hearing.
If complaint
has already
undergone
mediation,
CSD Chief
approves the
filing of the
VC.
Otherwise,
the complaint
is treated as
a Letter-
Complaint
and
endorsed for
informal
conference
(mediation).
2.2. Once Ten (10) Energy

minutes Regulatory
the filing of
Officer I or II
the VC is
assigned as
approved by
CSD Officer of
the CSD
the Day (OD)
Chief, the
OD advises
the
consumer
that an Order
will be
issued
setting the
case for
preliminary
hearing and
directing the
171
DU to file its
Answer/
Comment.
Consumer is
advised to
attend the
scheduled
preliminary
hearing
3. The 3. The Central None Five (5) Clerk III or

consumer Records minutes Data
files the VC Division of the Controller II of
with the ERC receives the Central
Central the VC Records
Records together with Division
Division of its
the ERC, attachments
together
with any
document/s 3.1 The Central
in his Records
possession, Division
such as a returns one
Certificate stamped-
of Non- received copy
Settlement, of the VC to
demand the
letter, Meter consumer.
Facilities
Inspection
Report, etc.
Total: Forty
(40) minutes
172
15. Receiving of Initiatory Pleadings (i.e. applications, petitions,
verified complaints)
Receiving documents that initiate cases (such as applications, petitions,

verified complaints) by the Central Records Division (CRD) of the ERC. The
CRD is responsible for the management of incoming and outgoing documents
to/from the Commission and acts as central repository of all correspondences
and official acts of the Commission (Resolutions, Office Orders, Decisions,
Orders, etc.).


Pre-filing Requirements for Refer to service numbers:

Specific Types of Initiatory 4. Processing/Acceptance of Pre-filing /
Pleadings as reviewed by the Filing / Submission of Applications (ROS)
Legal Service and Regulatory
Operations Service 5. Processing/ Acceptance of Applications
(LS) Checklist of Requirements
Required number of copies:
Three (3) copies
173
1. Submission/ 1.1 Ensure the Filing fees in Ten (10) Receiving
Filing of following: accordance minutes Officer-of-the-
Initiatory with Revised day
Pleadings a) Accompanied Schedule of (OGCS-CRD)
by a Checklist ERC Fees and
of Pre-Filing Charges
Requirements
signed by
representatives
from the Legal
Service and the
Regulatory
Operations
Service
indicating
completeness
and compliance
to the pre-filing
requirements;
and
b) Accompanied
by ERC official
receipt
indicating full
payment of the
necessary fees
(i.e. filing fees)
by the
applicant/
petitioners;
1.2 Receive the
documents by
stamping on
the upper right
portion of the
documents and
indicating the
date and hour
of receipt and
initials of the
receiver.
1.3 Assignment of
Docket Number
174
16. Receiving of Subsequent Pleadings and
Letters/Correspondences with Assigned Case Numbers
Receiving of subsequent documents related to docketed cases by the Central
Records Division (CRD) of the ERC. The CRD is responsible for the
management of incoming and outgoing documents to/from the Commission
and acts as central repository of all correspondences and official acts of the
Commission (Resolutions, Office Orders, Decisions, Orders, etc.).


Subsequent Pleadings, Letters From the client

and Correspondences
Required number of copies:

Three (3) copies

Step
1. Submission/ 1. Receive the None Three (3) Receiving

Filing of documents by minutes Officer-of-the-
subsequent stamping on the day
pleadings upper right (OGCS-CRD)
and letters / portion of the
corresponde documents and
nces with indicating the
assigned date and hour of
case receipt and
numbers initials of the
receiver.
175
17. Receiving of Letters/Correspondences Not Relating to Any
Case Filed Before the ERC
Receiving of letters/correspondences not related to any docketed case by the
Central Records Division (CRD) of the ERC. The CRD is responsible for the
management of incoming and outgoing documents to/from the Commission
and acts as central repository of all correspondences and official acts of the
Commission (Resolutions, Office Orders, Decisions, Orders, etc.).


Letters/correspondences not From the client

related to any docketed case.
Required number of copies: One
(1) copy

1. Submission 1. Receive the None Three (3) Receiving

of incoming documents by minutes Officer-of-the-
letters stamping on the day (OGCS-
/correspond upper right CRD)
ences not portion of the
related to documents and
any indicating the
docketed date and hour of
case. receipt and
initials of the
receiver.
176
18. Validation of In-Service Meter Sampling Results
Tests meters that are already in service at least once every two (2) years in
accordance with a statistical sampling program approved by the ERC.
Who may avail: Distribution Utilities (DU)
Progress Report DU

copies)

Step
1. DU submits to 1. CRD receives None CAS
CRD the and records Assigned
Progress DUs Progress Personnel
Report of its Report then
statistical forwards it to
sampling CAS
program for in-
1.1 CAS Clerk
service meters
receives the
Progress Report
for submission
to CAS Director
who will
turnover the
report to
Engineer V then
to Engineer III
who evaluates
177
Step
and assigns
personnel to
conduct the
validation of the
Progress Report
and the results
of the sample
testing.
Personnel Assigned
prepares a Personnel
Travel Authority
(TA)/Travel
Order (TO)/
Special
Assignment
(SA) for
checking and
initial by
Engineer IV and
V prior to CAS
Director’s
approval then
CAS Clerk
forwards
approved
documents to
CRD.
1.3 CRD records None Five (5) CRD
and assigns minutes Personnel
number of the
approved
TA/TO/SA then
return to CAS;
furnishes
Human
Resource
Management
Division
(HRMD),
Commission on
Audit (COA) and
FAS.
178
Step
records the minutes
numbered
TA/TO/SA then
forwards it to the
Assigned
Personnel
(ERA/ Engineer
I, II or III).
1.5 Assigned
Personnel
coordinates and
informs
concerned DU
of the date and
time of
validation. Their
presence or
their authorized
representative is
required during
validation.
1.6 ISSUANCE OF None Nineteen CAS
TESTING (19) Assigned
1.6.1 Assigned processing
Personnel time for
accomplishes agency
triplicate actions 1.6
copies of to 1.6.11
Request for
Test
Equipment
(RTE)/Gate
Pass (GP) one
(1) working
day before the
assignment for
approval by
Engineer V
1.6.2 Assigned
Personnel
179
Step
forwards the
approved
RTE/GP to
Property
Custodian
(Electrician I)
for
preparation.
1.6.3 Property
Custodian
pullouts,
prepares and
issues the
equipment to
the Assigned
Personnel on
the first (1st)
day of
assignment
1.6.4 Assigned
Personnel
acknowledges
receipt of the
equipment in
the Property
Custodian’s
copy of the
supporting GP,
then keeps the
second (2nd)
copy.
1.6.5 Assigned
Personnel
presents the
Equipment
and the
supporting GP
to the Guard
on Duty for
checking and
inspection.
1.6.6 Guard on Duty
checks and
inspects the
180
Step
equipment;
keeps the GP
on file
1.6.7 Assigned
Personnel
brings out the
Equipment
then proceeds
and performs
the
assignment.
1.6.8 Upon
completion of
the
assignment,
Assigned
Personnel
presents the
Equipment to
the Guard on
Duty.
1.6.9 Guard on Duty
retrieves the
supporting GP,
rechecks and
records its
returns
1.6.10 Assigned
Personnel
returns the
Equipment to
the Property
Custodian who
will inspect
and record its
returns in the
supporting GP.
1.6.11 Property
Custodian safe
keeps the
Equipment in
the Inventory
Stock Room.
181
Step
1.7 USE OF None Five(5) to CAS
VEHICLE FOR ten (10) Assigned
OFFICIAL minutes Personnel
FIELDWORK processing
time for
1.7.1Assigned
agency
Personnel
actions 1.7
accomplishes
to 1.7.4
duplicate
copies of
Request for
Vehicle (RV) at
least five (5)
working days
before the
assignment for
approval by
Engineer V
1.7.2Assigned
Personnel
forwards the
approved RV
(with
supporting
approved TO
and or
Permission
Slip) to the
General
Services
Division (GSD)
for proper
action
1.7.3GSD
determines
vehicle to use
and assigns a
company Driver
1.7.4Driver and
Assigned
Personnel
coordinate and
agree on the
182
Step
call time and
place of
meeting prior to
going to the
site
2. Client 2. Assigned None Two (2) CAS
site/location personnel working Assigned
proceeds to the days and Personnel
site and Fifteen (15)
performs the minutes
assigned tasks processing
guided by the time for
ERC agency
procedures on actions 2 to
the evaluation 2.1
of sample
testing program
2.1 Upon return to
the office,
Assigned
Personnel
prepares a
General Report
detailing the
procedures of
testing
performed and
the number of
items tested,
Itinerary of
Travel (IT) if
applicable for
submission and
approval by
Engineer IV, V
and CAS-
Director.
Provide FAS
Division copies
of the reports
for billing
purposes
183
Step
3. Client waiting 3. FAS-Billing Refer to One (1) FAS-Billing
for the Section Resolution working day Section
issuance of prepares a No. 12, and five (5) Personnel
SOA thru email SOA (assign a series of minutes
from ERC SOA Number) 2009 and processing
based on Resolution time for
approved No. 21, agency
reports series of actions 3 to
submitted; print 2013 3.2
in triplicate
copies for
approval by
FAS-Director
3.1 Once approved,
FAS-Billing
Section
forwards 2-
copies of SOA
to Central
Record Division
(CRD)
3.2 CRD signs and CRD
acknowledges Personnel
receipt of SOA
in the FAS-
Billing Section’s
receiving copy;
records the SOA
then mail one
(1) copy to the
Customer
4. Client waiting 4. Assigned None Five (5) to CAS
for the Personnel Ten (10) Assigned
issuance of prepares and working Personnel
Certification issues to DU an days
approved
Certification
extending the
validity of the
meter’s
conformity for
another two (2)
years
184
SCHEDULE OF ERC FEES AND CHARGES
Resolution No. 21: A Resolution Adopting the Revised Schedule of ERC Fees and
Charges (July 17, 2007)
Fee (PhP)
Nature/Name of Fees Legal Basis With Without

Supervision Supervision
Fee Fee
I. Applicants falling under the
provisions of the Public
Service Act (C.A. No. 146)
as amended, E.O. No. 172
and R.A. 9136:
(c) For approval or Section 40 (a), 16 700 00 10,000 00

modification of Public (a) Public Service
Convenience and/or Act (C.A. No. 146
Necessity, licenses or as amended);
permits of franchised Section 43 (p),
electric utilities in R.A. No. 9136
accordance with law
2. For authority to recover Section 33, R.A. 700 00 10,000 00
stranded costs by No. 9136
distribution utility
3. For authority to recover cost Section 43 (q), 700 00 10,000 00
and return on demand side R.A. No. 9136
management projects
4. For approval of any charges Section 43 (h), 700 00 3,000 00
on the terms and conditions R.A. No. 9136
of service of the:
(a) TRANSCO or
(b) Any distribution utility
5. For approval of reappraisal Section 43f (i), 700 00 3,000 00
of the eligible assets of: R.A. No. 9136;
(a) TRANSCO or Section 17 (c),
(b) Any distribution utility by Public Service
an independent Act. (C.A. No.
appraisal company 146)
6. For the authority to increase Section 40 (g), 700 00 5,000 00
equipment, or the Public Service
construction, operation and Act (C.A. No.
installation of new units, 146)
185
Fee (PhP)

Fee Fee
increase of capacity or the
extension of means of
general extensions in the
service
7. For authority to revise Section 19, 24, 700 00 10,000 00
schedule of transmission 25, 36 and 43 (u),
charges, distribution R.A. No. 9136,
wheeling rates/retail rate for Section 16 (c), 20
captive market and (a), Public
unbundling of rates and Service Act (C.A.
functions No. 146)
8. For authority to sell, Section 20 (g), 700 00 5,000 00
alienate, mortgage, C.A. No. 146 as
encumber, or lease its amended;
property, franchise, Section 43 (p),
certificate, privileges or R.A. No. 9136
rights or any part thereof,
merge or consolidate its
property, franchise
certificate, privileges or
rights or any part thereof,
together with CPC/CPCN
with any other utility
9. Authority to issue or Section 20 (e), 40 700 00 3,000 00
increase capital stock (f), C.A. No. 146
II. APPLICATION/MOTION for Section 8, E.O. 700 00 700 00
the Provisional Approval of No. 172 Section
the above-mentioned 44, R.A. No.
Application/Petitions 9136, Section 16
(c), C.A. No. 146
as amended
III. ANY APPLICATION than 700 00 3,000 00
the above, Petition and
Complaint (other than a
consumer complaint)*
IV. Supervision and Regulation Section 40 (e),
Fee: C.A. No. 146 as
amended;
For annual reimbursement Section 43 (b) (f)
186
Fee (PhP)

Fee Fee
of the expenses incurred by (k) and (s) R.A.
the ERC in the supervision No. 9136
of electric utilities
transmission companies
and/or in the regulation or
fixing of their rates.
For each one hundred 1 00 - -

pesos or fraction thereof, of
the capital stock subscribed
or paid, or
0 05 - -
If no shares have been
issued, for each one
hundred pesos or fraction
thereof of the capital
invested, or the property
and equipment, whichever is
higher.
The said fees shall be paid

on or before September 30th
of each year with a penalty
of fifty per centum in case of
delinquency; Provided,
further, that if the fees or
any balance thereof are not
paid within sixty days from
the said date, the penalty
shall be increased one per
centum for each month of
delinquency thereafter.
*The above schedule of fees and charges is without prejudice to other fees and
charges that the Commission may impose pursuant to other rules and directives
issued.
187
Fee (PhP)
Nature Legal Basis
With Supervision Without
Fee Supervision Fee
V. Permit Fee:
a) For the issuance Section 40 (f), 20 0 75 - -

of Capital stock (e), C.A. No. 146
(for each one
hundred pesos or
fraction thereof of
the increased of
the capital stock)
b) For authorizing Section 40 (g), 0 75 0 75

the increase of C.A. No. 146
equipment, the Section 43 (p),
installation of new R.A. No. 9136
units or
authorizing the
increase of
capacity or the
extension of
means of general
extensions in the
service. (for each
one hundred
pesos or fraction
thereof of the
increased capital)
188
Nature/Name of Fees Legal Basis Fees (PhP)
VI-A. For the issuance of Section 6, R.A. No. 10,000 00
Certificate of 9136 (exclusive of actual cost
Compliance (COC) to for technical evaluation)
Independent Power
Producers (for 5 years
duration) pursuant to
the standards set for
the generation of
electric power
VI-B. For the issuance of Section 6, R.A. No.
Certificate of 9136
Compliance (COC) to
the owner of a Self-
Generation Facilities
with following
aggregate installed
capacity (for 5 years
duration) pursuant to
the standards set for
the generation of
electric power.
100 kW and below 1,500 00
(exclusive of actual
cost for technical
evaluation)
101-500 kW 5,000 00
cost for technical
evaluation)
501-999 kW 7,500 00
cost for technical
evaluation)
1 MW and above 10,000 00
cost for technical
evaluation)
189
VII. FOR THE ISSUANCE Section 6, 25 and
OF SUPPLIER’S 43 (p), R. A. No.
LICENSE (for 3 years 9136
duration):
For each one hundred

0 75
pesos of the capital
stock subscribed and
paid up.
The said fees shall be (or PhP 10,000 00

paid upon issuance of whichever is higher)
the Supplier’s license
VIII. FOR THE WESM Section 2.2.2 and
METERING 2.3.6 of the WESM
SERVICES Rules
PROVIDER’S
CERTIFICATE OF
AUTHORITY (CA) (for
3 years duration):
0 75
(or PhP10,000 00
whichever is higher)
stock subscribed and
paid up.
The said fees shall be

paid upon application
or renewal of the CA.
IX. FOR THE Section 30 of RA PhP10,000 00
WHOLESALE 9136
AGGREGATOR’S
CERTIFICATE OF
REGISTRATION (for 4
years duration)
190
X. FOR THE RES ERC Case No.
METERING 2005-02 -
SERVICES Guidelines for the
PROVIDER’S Issuance of
CERTIFICATE OF Licenses to Retail
AUTHORITY (CA) (for Electricity Suppliers
3 years duration): (RES), as amended

0 75
stock subscribed and (or PhP10,000 00
paid up. whichever is higher)
The said fees shall be

paid upon application
or renewal of the CA
XI. LABAROTORY FEES for the inspection and certification of watt-hour meters
made in the meter laboratory of the ERC are as follows: [Sec. 16 (f) and 40
(h) C.A. No. 146 as amended and Sec. 43 (b) R.A. No. 9136]
ERC Laboratory Field Testing

Rates per Unit Additional Rate Per unit
(PhP) cost (PhP)
Equipment Regulation Utilities w/ or w/out
Lifeline
Fee/ Programming Supervision or
Rate for
Wholesaler/ of the meter, Regulation fee/
Residential
Retailer/ if needed Wholesaler,
Consumer
Dealer Fee retailer, dealer
1. SINGLE PHASE
METER (electronic
hybrid or Ferraris)
a) Without demand 70.00 30.00 30.00
register
b) With demand 100.00 40.00
register
c) With electronic 130.00 150.00 50.00
demand register
191
ERC Laboratory Field Testing
Rates per Unit Additional Rate Per unit
(PhP) cost (PhP)
Equipment Regulation Utilities w/ or w/out
Lifeline
Fee/ Programming Supervision or
Rate for
Wholesaler/ of the meter, Regulation fee/
Residential
Retailer/ if needed Wholesaler,
Consumer
Dealer Fee retailer, dealer
2. POLY-PHASE
METER
Ferraris/Panel
board (2 Strator)
a) Without demand 180.00 55.00
register
b) With demand 210.00 80.00
register
demand register
Ferraris/Panel Board
(3 Strator)
a) Without demand 230.00 90.00
register
b) With demand 260.00 100.00
register
demand register
3. ELECTRONIC 290.00 350.00 115.00
METER (PP)
4. INTEGRATING 1,140.00 350.00 425.00
PULSE METER
5. WATT HOUR 290.00 350.00 115.00
METER
STANDARD
6. CURRENT 70.00 30.00
TRANSFORMERS
7. OTHER 290.00 350.00 115.00
METERING
INSTRUMENT
8. EVALUATION/ 600.00 400.00
OTHER TEST
192
METERS brought into the ERC Meter Laboratory by the UTILITIES that are
paying Supervising Fees, will be charged only the OPERATING EXPENSES
component of fee in the testing and calibration of single phase meters, electronic
meters, (single phase and poly-phase) and other electronic standard or equipment. If
a Special Testing Equipment (STE) will be used in the process, the ADDITIONAL
cost component of the fee will likewise be charged.
METERS brought into the ERC Meter Laboratory by the UTILITIES that are not
paying Supervising Fees, will be charged with full cost of the testing and calibration
of single phase meters, electronic meters, (single phase and poly-phase) and other
electronic standard or equipment.
LIFELINE RATE consisting of the OPERATING EXPENSES component of the

testing fee will be applied to single phase meters brought into the ERC Meter
laboratory by walk-in residential consumers.
METERS brought into the ERC Meter Laboratory by the WHOLESALERS/

RETAILERS/DEALERS who are engaged in the business of selling kilowatt-hour
meters, will be charged the full cost of service rendered in testing and calibration of
meters, namely: Salary Expense, Operating Expense and additional Cost Expense
for the use of Special Training Equipment (STE) in the process.
TESTS OUTSIDE THE ERC METER LABORATORY
a) SPOT TEST OR FIELD TESTING shall refer to the testing, inspection or

certification conducted and made by the ERC outside its meter laboratory
locate in the ERC’s Head and Field Offices.
b) The total charges to be paid for spot test or field testing shall be the rate per
meter plus charges equivalent to actual expenses (subject to accounting &
auditing rules and regulations) incurred by the engineering/personnel
assigned.
XII. CERTIFIED true copies of official documents in the files of PhP15.00/page

the Commission
XIII. OTHER related documents (e.g. Photocopies) PhP2.00/page
193
Resolution No. 12, Series of 2009 – A Resolution Adopting the Rules and
Procedures for the Test and Maintenance of Electric Meters of Distribution
Utilities
The existing meter testing fees approved under Resolution No. 21, Series of 2007
was amended. The new meter testing and calibration fees are shown in Table 6 –
Fees and Charges.
NAME OF FEE FEE
Certificate of Authority to Operate a PhP10,000.00

Meter Shop (for 3 years duration)
Acceptance Test:
Pass PhP30.00 per sample meter plus
PhP15.00 per meter of the remaining
meters in the lot
Fail PhP15.00 per sample meter
Validity Extension of Meter Certification PhP5.00 per meter in a lot
Meter Type Certification PhP1,500.00
ERC Laboratory Testing Fees:
Meter Calibration and Testing

Single Phase (electronic, hybrid or
Ferraris)
Without demand register PhP70.00 per meter
With demand register PhP100.00 per meter
With electronic demand register PhP130.00 per meter
Poly-phase
(Ferraris/ Panel Board – 2 stators)
Poly-phase
(Ferraris/ Panel Board – 3 stators)
Electronic Meter PhP290.00 per meter

Integrating Pulse Meter PhP1,140.00 per meter
Watt-hour Meter Standard PhP290.00 per unit
Instrument Transformer PhP290.00 per unit
194
Resolution No. 22, Series of 2010 – A Resolution Adopting the Rules
Governing the Type Approval of Meter Products to be Used in Revenue
Metering by Distribution Utilities and Redistributors
2.1.7 Meter Type approval application processing fee of Three Thousand Pesos
(PhP3,000.00), which is non-refundable.
195
VII. FEEDBACK AND COMPLAINTS
Feedback and Complaints Mechanism
How to send Answer the client Feedback Form and drop it at the designated drop
a feedback box located at the front desk of each frontline Services.
Every Friday, the assigned Officer opens the drop box and compiles
How
and records all feedback and complaints submitted.
feedback is
processed
Feedback requiring answers are forwarded to the relevant Offices and
they are required to answer within three (3) working days from receipt
of the feedback.
The answer of the Office is then relayed to the citizen.
For inquiries and follow-ups, clients may contact the following

telephone numbers: (02) 8-689-5372 / (02) 8-689-5-ERC.
How to file a Answer the client Complaint Form and drop it at the designated drop
complaint box located at the front desk of each frontline Services.
Complaints can also be filed via telephone. Make sure to provide the
following information:
- Name of person being complained

- Incident
- Evidence

The Officer opens the complaints drop box on a daily basis and
How
evaluates each complaint.
complaints
are
Upon evaluation, the Officer shall start the investigation and forwards
processed
the complaint to the relevant Office for their explanation.
The Officer will create a report after the investigation and shall submit
it to the Head of the Agency for appropriate action.
The Officer will give the feedback to the client.

196
Feedback and Complaints Mechanism
 Presidential Complaints Center (PCC)
Contact
PCC may be reached thru the following telephone connections:
information
1. +63(2)-736-8645
of CCB, PCC,
2. +63(2)-736-8603
ARTA
3. +63(2)-736-8629
4. +63(2)-736-8621
The services of the PCC may be availed of by letter-senders:
1. Via email – thru email address: pcc@malacanang.gov.ph
2. Via postal service – thru PCC official address at Bahay
Ugnayan, J.P. Laurel Street Malacañang, Manila
3. Via facsimile thru Telefax No. +63(2)-7368621
 Anti-Red Tape Authority (ARTA)

ARTA may be reached thru the following:
1. info@arta.gov.ph
2. complaints@arta.gov.ph
3. 478-5091 | 478-5099
 Contact Center ng Bayan (CCB)

You may submit your complaint, request for assistance, query,
suggestion or commendation to CCB by filling up the form
thru http://contactcenterngbayan.gov.ph/contact-us.
197
VIII. LIST OF OFFICES
Office Address Contact Information
Head Office Office Address: Energy ERC PABX Trunkline:

Regulatory Commission, (02) 689-5372
Pacific Center Building,
San Miguel Avenue, (02) 689-5-ERC
Ortigas Center 1600, General Information:
Pasig City, Metro Manila,
Philippines Tel: (02) 689-5343
Postal Address: P.O. Fax: (02) 631-5816
Box 181, Greenhills, Email: info@erc.gov.ph
Metro Manila, Philippines
ERC Website:
Tel/Fax: (02) 631-5816
Email:
webmaster@erc.gov.ph
Visayas Area Operations St. Mary's Drive, Banilad, Mobile Number:

Division (VAOD) Cebu City 6000, +63906-289-3099
Philippines
Email:
vaod@erc.gov.ph
jybontuyan@erc.gov.ph
Mindanao Area Mintrade Bldg., Phone: (082) 224-1575

Operations Division Monteverde Ave. cor Fax: (082) 227-2035
(MAOD) Sales St., 8000 Davao
City, Philippines Email:
maod@erc.gov.ph
rrfmislang@erc.gov.ph
198

ERC Citizen's Charter 2019 1st Edition

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ERC Citizen's Charter 2019 1st Edition

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ENERGY REGULATORY COMMISSION

Under Section 43 of the EPIRA, the ERC is tasked to promote competition,

IV. SERVICE PLEDGE

 Attend to all applicants or requesting parties who are within the

2. Elevated Metering Center Approval 21

3. Field Testing of Meters and Instrument 29

4. Issuance for Certificate of Compliance (COC) 43

5. Issuance for Retail Electricity Supplier (RES) 63

6. Issuance of Certified Copies of Documents 69

7. Laboratory Testing of Meters and Instrument 71

8. Meter Shop Accreditation 75

9. Meter Type Approval 85

10. Processing/Acceptance of Pre-filing/Filing/ 91

11. Processing/ Acceptance of Applications 160

12. Procedures in Collecting Payments 163

13. Receiving of Consumer Complaints against 166

14. Receiving of Verified (Formal) Complaints 170

15. Receiving of Initiatory Pleadings (i.e. 173

16. Receiving of Subsequent Pleadings and 175

17. Receiving of Letters/Correspondences Not 176

18. Validation of In-Service Meter Sampling 177

Office or Division: Meter Division

Checklist of Requirements Where to Secure

Client Steps Agency Action Fees to be Processing Person

Note: For DU owned

2.3 Instructs the

Office or Division: Meter Division

Classification: Highly Technical

Type of Transaction: Government to Citizens (G2C)

Who may avail: Distribution Utility (DU)

Checklist of Requirements Where to Secure

Formal Application with required Applicant (DU)

Statement of Account SOA (4 CAS Meter Division

Official Receipt (OR) FAS-Billing and Cashier Sections

Client Steps Agency Action Fees to be Processing Person

1.6 USE OF None CAS Assigned

3. Client waiting 3. FAS-Billing One (1) FAS-Billing

Conduct field-testing of meters/instrument transformers requested by

Office or Division: Meter Division (MD)

Classification: Highly Technical

Type of Transaction: Government to Citizens (G2C)

Who may avail: Consumer/Distribution Utility/ Generation

Checklist of Requirements Where to Secure

Client Steps Agency Action Fees to be Processing Person

Note: For consumer

2.3 Instructs the

5.1 Upon return to

6.2 CRD signs and None Five (5) CRD

Office or Division: Market Operations Service - Licensing

Classification: Highly Technical

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

Who may avail: Generation Companies (GENCOs),

Checklist of Requirements Where to Secure

1. Application Form ERC Website (www.erc.gov.ph)

B. COC Application Fee

4. General Plant Description (Form ERC Website (www.erc.gov.ph)

6. Connection Agreement between National Grid Corporation of the

7. PGC, PDC and WESM

7.1 Electrical/Mechanical Plans and Generation Company or EPC

7.2 Preliminary Plant Specifications NGCP or Manufacturer’s Data

7.3 Technical Description of the Generation Company

7.4 Details of its Communication Generation Company

7.5 Certification issued by NGCP to NGCP or Accredited Third Party