'[The Himachal Pradesh Electricity Regulatory Commission (Conduct of Business) Regulations; 2005] Amended, repealed or otherwise affected by

1 · Short title, extent and commencement: (1) These regulations may be called the Himachal Pradesh Electricity Regulatory Commission (Conduct of Business) Regulations, 2005. 2 These regulations extend to the whole of the State of Himachal Pradesh;

6 · Appointment of Secretary, Officers and Employees of the Commission. The Commission may have Secretary, and Officers and other employees for discharging various duties. It may also prescribe qualifications, experience and other terms and conditions for

10 · Authorized representative to appear before the Commission.- (1) A person may appear himself o may authorize any of his employees to appear before the Commission and to act and plead on his behalf:

11 · Initiation of proceedings (1) The Commission may initiate any proceedings suo motu Or on a petition filed by any affected or interested person.

13 · General headings:- The general headings in all petitions before the Commission and in all advertisements and notices shall be in the Form CB-5 (Annexure-III).

14 · Affidavit in support - (1) The petitions filed shall be verified by an affidavit and every such affidavit shall be in the Form CB-6 (Annexure-IV):

15 · Presentation and scrutiny of the pleadings, etc - (1) All petitions shall be filed with ten copies and each set of the petition shall be complete in all respects (2) All petitions shall be presented in person Or by any duly authorized agent to an officer designated for the purpose by the Commission (the Receiving Officer) at the headquarters of the Commission o at such other place o places as may be notified by the Commission from time to time and during the time notified. The petitions may also be sent by registered post with acknowledgement due to the Commission at the aforementioned places [or a bench, as the case may be]: (3) The vakaltnama in favour of the Advocate and, in the event the petitions are presented by the authorized agent Or representative, the document authorizing the agent O representative shall be filed alongwith the petition Any person other than a legal practitioner representing party before the Commission shall file a Memorandum of Appearance in Form CB-7 (Annexure-V) duly signed by him: (4) The presentation and the receipt of the petition shall be duly entered in the register maintained, for the purpose by the office of the Commission in Form CB-8 (Annexure-VI). (5) Upon the receipt of the petition, the Receiving Officer shall acknowledge the receipt by stamping and endorsing the date on which the petition has been presented and shall issue an acknowledgement with stamp and date to the person filing the petition. In case the petition is received by registered post the date 0n which the petition is actually received at the office of the Commission shall be taken as date of the presentation of the petition: 6 The Receiving Officer may decline to accept any petition which is not in conformity with the provisions of the Act or the Regulations or directions given by the Commission or is otherwise defective or which is presented otherwise than in accordance with these regulations or directions of the Commission:

18 · Hearing of the matter:- (1) The Commission may determine the stage, the manner; the place, the date and the time of the hearing of the matter as it may consider to be appropriate, consistent with such specific timing requirements as are set forth in the Act or otherwise needed to expeditiously decide the matter:

22 · Orders of the Commission - (1) The Commission shall pass orders on the petition and the Chairperson and the Members of the Commission, who heard the matter shall sign the orders. [Such orders shall not be, after-words, altered or added, unless and except there is in the case of any clerical or mathematical errors arising there from any oversight Or omission]: (2) ******] 3 The order shall contain a statement and counter statement of the facts in brief, the points or issues for determination, the decision thereon and the reason for such decision: The reasons given by the Commission in support of the orders, including those by the dissenting member, if any, shall form a part of the order and shall be available for inspection and supply of copies in accordance with these regulations The Commission shall have the powers to pass such interim orders or give directions in any proceeding, hearing Or matter before the Commission, as it may consider it to be appropriate.

23 · Inspection of records - (1) The records of every proceedings shall be open, as of right, to the inspection of the parties or their authorized representatives at any time either during the proceedings or after the orders are passed, subject to payment of fees and compliance with such other terms as the Commission may direct: (2) The records of every proceeding, except those parts which for reasons directed by the Commission to be confidential or privileged, shall be open to inspection by any person other than the parties to the petition either during the proceedings O after the orders have been passed, subject to such person complying with such terms as the Commission may direct from time to time including in regard to time, place and manner of inspection and payment of fees. (3) The application for inspection of documents shall be in the Form CB-10 (Annexure-VIII) and shall be accompanied by the fee as specified in the Schedule to these regulations for each inspection for one day in the form of Demand Draft/Pay Order in favour of Secretary, Himachal Pradesh Electricity Regulatory Commission, Shimla The inspection of records shall be allowed o any working day ordinarily during 14.30 hours to 16.30 hours in the presence of an officer authorized for that purpose. 5) The person inspecting the records shall not in any manner cause dislocation, mutilation, tampering O damage to records in the course of inspection. The officer supervising the inspection may at any time prohibit further inspection, if in his opinion, any of the records are likely to be damaged in the process of inspection and shall immediately, make a report about the matter to the Secretary and seek further orders 0n the matter. A register for inspection of records in the format aS per Form CB-Il (Annexure - IX) shall be maintained. 24. Supply of certified copies of documents - (1) Any person shall be entitled to obtain copies of the orders, decisions, directions and reasons in support thereof given by the Commission as well as the pleadings, papers and other parts of the records of the Commission to which he is entitled to inspect on payment of fee and complying with other terms which the Commission may direct: 2) Every order granting, refusing O modifying interim relief and final order shall be communicated to the parties to the petition free of cost: Provided that unless ordered otherwise by the Commission, a copy of the final order, may not be sent to any party who has not entered appearance.

29 · Conditions of licence - (1) The general conditions subject to which each of the categories of licence shall be issued are contained in the Himachal Pradesh Electricity Regulatory Commission (General Conditions of Distribution Licence Regulations, 2004; or in the Himachal Pradesh Electricity Regulatory Commission (General Conditions of Transmission Licence) Regulations, 2004 O in the Himachal Pradesh Electricity Regulatory Commission (General Conditions of Trading Licence) Regulations, 2004 and the application for licence shall incorporate the acceptance of such general conditions. 2 The Commission may decide o the special conditions subject to which licence shall be issued to the applicant (3 Any person applying for licence to undertake trading in electricity in the State of Himachal Pradesh shall duly fulfill the conditions of technical requirement; capital adequacy requirement and credit worthiness and further shall agree to discharge such duties as may be specified by the Commission under section 52 of the Act: 4 Any person intending to apply for licence shall duly comply with the conditions and requirements laid down by the Commission. 30. Acknowledgement of application - On receipt of the application, the receiving officer shall note thereon the date of its receipt and shall send to the applicant an acknowledgement stating the date of receipt. 31. Copies of maps and proforma for public inspection - The applicant shall maintain at his own office and at such other place as may be designated by the Commission the copies of the documents referred to in sub-regulation (5) of regulation 27 for public inspection and furnish to persons applying for them the copies of such documents at a price not exceeding the normal photocopying charges.

32 · Calling for additional information. The Commission Or the Secretary or any officer designated for the purpose by the Commission may upon scrutiny of the application, require the applicant to furnish within a period to be specified, such additional information Or particulars O documents as the Commission may consider to be necessary for the purpose of dealing with the application. 33. Notifying the due filing of the application - If the Commission finds the application to be complete and accompanied by the requisite information, particulars and documents and the applicant has complied with all the requirements for making the application and furnishing of information, particulars and documents, the Commission or the Secretary O the officer designated of the purpose shall certify that the application is ready for being considered for grant of licence in accordance with applicable laws and communicate the same to the applicant.

34 · Publication of notice of application - (1) The applicant shall, within seven days from the date of admission and numbering of the application, publish a notice of the application in the form specified in Form CB-17 (Annexure-XV) with such particulars and in such manner as the Commission may direct: 2) The publication shall be headed by a short title corresponding to that given in the application and shall give the addresses of the offices at which the documents copies of maps therein referred to may be inspected and the copies of documents be purchased and shall state that every local authority, utility or person;, desirous of making any representation with reference to application to the Commission, may do so by a letter addressed to such officer as the Commission may designate in this behalf; within thirty days from the date of publication:

35 · Service of notice of the application:- (1) The Commission may direct that notice of the application be served on the Central Government, the State Government; the local authority Or any other authority O person or body as the Commission may direct in such form with such particulars and in such manner as the Commission may consider appropriate. (2) The applicant shall apply for and obtain the no objection certificate required from the Central Government in terms of clause (ii) of sub- section (2) of section 15 of the Act before the application is placed for hearing by the Commission for grant of the licence: 36. Objections:- (1) Any person intending to object to the grant of the licence shall file objection within thirty days from the date of publication of the notice by the applicant: The objection shall be filed in the form of reply and the provisions of this Chapter II dealing with reply shall apply to the filing of such objections. (2) Any person who desires to have any amendment made in proposed conditions of licence shall deliver a statement of the amendment to the applicant and to such officer as the Commission may designate in this behalf and within the time allowed by the Commission for filing objection. 37 . Hearings and local inquiries - (1) If the applicant has duly arranged for the publication of the notice of the intended application and the time for filing of the objection is over and after the applicant has furnished to the Commission the no objection certificate, if any, required from the Central Government, the Commission may proceed with the hearing of the application.

40 · Deposit of maps: - (1) When a licence has been granted, three sets of maps showing, as regards such licence, the particulars specified in regulation 28 of these regulations shall be signed and dated to correspond with the date of the notification of the grant of the licence by such officers as the Commission may designate in this behalf: (2) One set of such maps shall be retained as the deposited maps by the said officer and the other two sets shall be given to the licensee after due attestation by the Commission:

41 · Deposit of licence copies - (1) Every person, who is granted a licence, shall within thirty days of the grant thereof, (a) have adequate number of copies of the licence printed; (b) have adequate number of maps prepared showing the area of supply specified in the licence; and arrange to exhibit a copy each of such licence and maps for public inspection at all reasonable times at his head office and at his local offices (if any) within the area of supply: (2) Every such licensee shall, within the aforesaid period of thirty days, supply free of charge one copy of the licence (to every local authority) within the area of supply and shall also make necessary arrangements for the sale of printed copies of the licence to all persons applying for the same during the period of the licence, at a price not exceeding normal photocopying charges.

42 · Preparation and submission of accounts - (1) Every licensee shall cause the accounts of his utility to be made up to the 31 day of March each year: (2) Such licensee shall prepare and render an annual statement of his accounts in accordance with the directions given by the Commission, within period of six months from the aforesaid date, or such extended period as the Commission may authorize after it is satisfied that the time allowed is insufficient owing to any cause beyond the control of the licensee. The statement shall be rendered in such numbers of copies as the Commission may direct: (3) The accounts shall be made up in such forms as the Commission may direct from time to time. The forms shall be signed by the licensee o the duly authorized agent O manager of the licensee. The Commission may, by special or general order, direct that; in addition to the submission of the annual statements of accounts under sub-regulation (3), the licensee shall submit to the Commission O such other authority as it may designate in this behalf such additional information as it may require for the purpose.

43 · Conditions of electricity supply-- (1) The distribution licensee shall comply with the electricity supply code and conditions of supply as the Commission may specify from time to time. 2 The distribution licensee shall within Six months from the grant of the licence, and in the case of deemed licensee under section 14 of the Act from the commencement of these regulations, file with the Commission the modifications to the existing conditions of supply and on the approval being granted by the Commission the conditions of supply with such modifications approved by the Commission, shall apply to the distribution licensee. (3 Until the Commission approves the conditions of supply under sub-regulation (2), the distribution licensee shall follow the existing conditions of supply with such specific modification as the Commission may direct:

44 · Contravention by licensee: - The Commission may pass such orders as it thinks fit in accordance with the provisions of the Act and these regulations for the contravention O the likely contravention of the terms and conditions of licence by the licensee

45 · Suspension of licence - (1) Subject to the provisions of section 24 of the Act and the regulations framed thereunder, where the circumstances exist which render it necessary for it in the public interest; the Commission may suspend, for a period not exceeding one year; the distribution licence, if in the opinion of the Commission the distribution licensee persistently fails to maintain uninterrupted supply of electricity conforming to the standards regarding quality of electricity to the consumers; or is unable to discharge the functions OT perform the duties imposed on it by O under the provisions of the Act; persistently defaults in complying with the directions given by the Commission under the Act; Or breaches the terms and conditions of the licence.

6 · Where the Commission has given notice for revocation of licence, the licensee may, after prior approval of the Commission, sell the undertakings of the licensee to any person who is found eligible by the Commission for grant f licence, without prejudice to any penalty which may be imposed Or prosecution proceeding which may be initiated against the person whose license is revoked:

47 · Amendment of the licence: - The application for amendment to the terms and conditions of the licence may be made by the licensee in such form as may be directed for the purpose by the Commission. The application shall be accompanied with a statement of the proposed amendment and shall be supported by affidavit as provided in Chapter-II of these regulations. 2) The application for amendment shall be accompanied by a receipt of such fee as the Commission may specify and paid in the manner directed by the Commission. (3) The applicant shall, within seven days from the date of admission and numbering of the application for amendment, publish a notice of the amendment application filed giving brief statement of the amendment proposed, the reason for the proposed amendment, the effect of the amendment proposed on the discharge of the functions of the licensee under the licence granted, the alternate arrangement proposed for such discharge of the functions and such other particulars as the Commission may direct: The publication shall give the addresses of the offices at which the application for amendment may be inspected and the copies of documents be purchased and shall state that every local authority, utility O person, desirous of making any representation with reference to application to the Commission, may do so by a letter addressed to such officer as the Commission may designate in this behalf, within thirty days from the date of publication. (4) In the event the Commission proposes to amend the terms and conditions of the licence granted to a licensee the Commission shall publish a notice of the proposed amendment giving a brief statement of the amendment proposed, the reason for the proposed amendment, the effect of the amendment proposed on the discharge of the functions of the licensee under the licence granted, the alternate arrangement proposed for such discharge of the functions and such other particulars as the Commission may consider appropriate. (5) Unless otherwise specified in writing by the Commission, the procedure specified in these regulations for grant of licence, in so far it can be applied, shall be followed while dealing with an application for amendment of the licence 48. Deemed grant of the licence - (1) Until otherwise directed by the Commission, the following classes of persons engaged in the supply of electricity in the State of Himachal Pradesh shall be deemed to have applied for and granted the Category II Licence for the purpose contained herein and subject to the fulfillment of the conditions contained in sub- regulation (2) a persons who supply electricity generated by themselves andlor supplied to them by an authorized person, for the purposes of an event O function not exceeding

49 · Generating companies and captive generating stations - The generating companies and other persons who have established generating stations including captive generating stations in the State and the persons who desire to establish such generating stations

52 · Performance standards, supply codes regulations etc - (1) The Commission may from time to time direct the licensees and generating companies operating in the State to formulate

53 · Arbitration - (1) The arbitration of disputes which under the Act are within the scope of the jurisdiction of the Commission may be commenced on an application accompanied by fees specified in the Schedule made by any of the parties to the dispute (2) The Commission shall issue notice to the concerned parties to show cause as to why the disputes between the parties should not be adjudicated and settled through arbitration.

54 · Nomination of arbitrators:- (1) If the Commission decides to refer the matter to arbitration by a person or persons other than the Commission the reference shall be (a) to a sole arbitrator if the parties to the dispute agree on the name of the sole arbitrator; b) if the parties are unable to agree on the name of the arbitrator; to a sole arbitrator to be designated by the Commission or to three persons as the Commission may direct taking into account the nature of the dispute and the value involved and, if the decision is to refer to three arbitrators, one to be nominated by each of the parties to the dispute and the third by the Commission: Provided that if any of the parties fails to nominate the arbitrator O if any arbitrator, nominated by the parties o the Commission, fails Or neglects to act or continue as arbitrator; the Commission shall be entitled to nominate any other person in his place.

57 · Applicability of provisions of Indian Penal Code and Criminal Procedure Code - (1) In terms of section 95 of the Act; the proceedings before the Commission shall be deemed to be judicial proceedings and Commission shall be deemed to be a civil court aS specified in

58 · Fees:- (1) Every petition; I[***] application O grievance made to the Commission shall be made alongwith payment of the appropriate fees specified in the Schedule to these regulations. However, every application made for the grant of a licence, under section 14 of the Act shall be accompanied by such fee as may be prescribed by the State Government under section 15 of the Act.

59 · Categories of applications/petitions - The applications/petitions presented before the Commission shall be categorised as follows:- applications for grant of licencelgrant of exemption from licence; applications for determination of tariff; petitions for approval of Power Purchase and Procurement Processes; (4) applications/petitions for review of Commission 's orders; other applications/petitions.

60 · Fees payable to State Load Despatch Centre.- The fees payable to the State Load Despatch Centre by the generating companies and the licensees engaged in intra-State transmission of electricity under section 3203) of the Act shall be as specified by the Commission.

61 · Fees payable for appeal petition under section 127 (1) of the Act:- Fees payable in respect of an appeal petition against the orders of the Assessing Officer under sub-section (1) of section 127 of the Act shall be as specified by the Commission ?[in the Himachal Pradesh Electricity Regulatory Commission (Procedure for Filing Appeal before Appellate Authority) Regulations, 2005.]

62 · Fines, penalties and charges for non-compliance or violation: - (1) Subject to the provisions of the Act; the Commission may initiate a proceeding for imposition of fines, penalties andlor charges in the event of non-compliance of orders or directions given under the Act as provided in section 142 of the Act for any contravention of any directions issued by the Commission under the Act or rules or regulations made thereunder The provisions of Chapter II, applicable to the proceedings, shall apply mutatis mutandis to a proceeding for imposition of fines, penalties and/or charges (3) While determining the quantum O extent of the fines, penalties and/or charges to be imposed, the Commission shall consider, amongst other relevant things, the following: a) the nature and extent of non-compliance or violation; b the amount of wrongful gain Or unfair advantage derived or contra loss or disadvantage caused to any person(s), including the Commission, as a result of the non-compliance or violation; the amount of loss O degree of harassment caused to any person(s) , including the Commission, or harmful effect on the efficient; economical and competitive performance of the electricity industry as a result of the non-compliance or violation; and the nature and extent of harm Or impairment caused to the objects and purposes of the Act as a result of non-compliance or violation; motive for non-compliance or violation; and the repetitive nature of the non-compliance Or violation:

63 · Review of the decision; directions and order: - (1) Any person aggrieved by directions, decision Or order of the Commission, from which a no appeal has been preferred; O b from which no appeal is allowed, may, upon the discovery of new and important matter of evidence which, after the exercise of due diligence, was not within his knowledge O could not be produced by him at the time when the direction, decision or order was passed or on account of some mistake or error apparent from the face of the record, or for any other sufficient reasons desires to obtain review of the directions, decision O order made against him; may apply for a review of such direction, decision O order, as the case may be, to the Commission: (2) An application for such review shall be filed in the same manner as a petition under these regulations. (3) When it appears to the Commission that there is no sufficient ground for review, the Commission shall reject such review application: When the Commission is of the opinion that the review application should be granted, it shall grant the same provided that no such application will be granted without previous notice to the opposite side Or party to enable him to appear and to be heard in support of the decision or order; the review of which is applied for:

64 · Continuance of proceedings after death etc - (1) Where in any proceedings, any of the parties to the proceedings dies Or is adjudicated as an insolvent O in the case of a company under liquidation/winding up, the proceedings shall continue with the successor-in-interest of the party concerned. 2 The Commission may, for reasons to be recorded, treat the proceedings as abated in case the Commission so directs and dispense with the need to bring the successors-in- interest to come on record. (3) In case any person wishes to bring on record the successors-in-interest; the application for the purpose shall be filed within 90 days from the event requiring the successors-in-interest to come on record:

65 · Proceedings to be open to public - The proceedings before the Commission shall be open to the public subject to availability of sitting accommodation: Provided that the Commission may, if it thinks fit; and for reasons to be recorded in writing, order at any stage of the proceedings of any particular case that the public generally

69 · General power to amend.- The Commission may, at any time amend any defect Or erTor in any proceeding before it: 70. Power to remove difficulties - If any difficulty arises in giving effect to any of the provisions of these regulations, the Commission may, by general Or special order; do anything not being inconsistent with the provisions of the Act; which appears to it to be necessary or expedient for the purpose of removing the difficulties. 71. Power to dispense with the requirement of the Regulations. The Commission shall have the power, for reasons to be recorded in writing and with notice to the affected parties, dispense with the requirements of any of the regulations in a specific case or cases subject to such terms and conditions as may be specified.

72 · Extension or abridgement of time allowed.- Subject to the provisions of the Act, the time allowed by these regulations o by order of the Commission for doing any act may be extended whether it has already expired Or not) or abridged for sufficient reason by order of the Commission.

73 · Effect of non-compliance:- The failure to comply with any requirement of these regulations shall not invalidate any proceeding merely by reasons of such failure unless the Commission is of the view that such failure has resulted in miscarriage of justice.

74 · Costs - (1) Subject to such conditions and limitation as may be directed by the Commission, the cost of all proceedings shall be awarded at the discretion of the Commission and the Commission shall have full power to determine by whom or out of what

75 · Enforcement of orders passed by the Commission. The Secretary shall ensure enforcement and compliance of the orders passed by the Commission; by the persons concerned in accordance with the provisions of the Act and regulations and if necessary, may seek the orders of the Commission for directions. Failure to do so shall render him liable to proceedings as for non-compliance or violation of directions and orders of the Commission.

76 · Repeal and savings:- (1) The provisions of the Himachal Pradesh Electricity Regulatory Commission (Conduct of Business) Regulations, 2001, shall stand repealed with the coming into force of these regulations. (2) Notwithstanding such repeal anything done O any action taken Or purported to have been done or taken including any order O notice made o issued or any instrument executed or direction given under the repealed regulations shall be valid and shall be deemed to have been done Or taken under the corresponding provision of these regulations By the Order 0f the Commission ~Sd- Secretary

100 · lakh per_ annum 25 Iakh per annum [1 lakh minimum for 100 MUs or less plus 50,000/ for every additional 50 MUs O_part_thereof] 25,000 per annum O part thereof

100 · Iakh per annum 25 Iakh per annum XXXI

15 · Lakhs plus 20,000/ - for every additional JOOMW or part thereof exceeding 25 MW capacity subject to maximum 25 Lakh]

309 · of the fee paid for tariff determination under item (i) above_

2 · Lakhs. 5 Lakhs_ (iii) Minimum 6 Lakhs plus 20,000/-for any additional MW or part thereof exceeding 5 MW capacity:]

62 · 64 and 86 (1) (a) & of the Act; CBR 12 (5)

59 · of the fee paid for tariff determination under item above_

3 · lakh

2 · Lakh

39 · (2) (d) 40 (c) and 42 (2) of the Act_

0 · Renewable energy generation projects- Project specific levellised tariff determination of renewable energy generating projects (all renewable sources)

10 · Petition for review of Commission's CBR-63 orders In relation to Tariff Order (a) When made by the original tariff petitioner (b) When made by the Association/ group of consumers or individual HTIEHT consumers_ (c) When made by an individual LT consumer '[(ii) In relation to Power Purchase CBR-63 Agreement

2 · lakh]

509 · of the fee applicable for the original petition of the relevant nature irrespective of the fee actually paid for the original petition Inspection of judicial records of the CBR 23(3) 1,000/- per working day comprising of Commission. maximum 7 working hours or part thereof in each case_ 12 Supply of certified copies of CBR 24(9) 10/- per page documents/judicial orders of the Commission

12 · Details of petition/application, if any preferred before this Commission against the same impugned order/direction, by Respondents with numbers, dates _ and interim order, if any passed in that petition/application(if known) 13. Specify below explaining the grounds for such relief(s) and the legal provisions, if any, relied upon. 14. Details of Interim Application, if any, preferred along with Petition/Application 15. Details of Index [An index containing the details of the documents in chronological order relied upon is enclosed]. 16. Particulars of fee payable and details of bank draft in favour of the Secretary, Himachal Pradesh Electricity Regulatory Commission, Shimla: Name of the Bank: Branch. payable at Shimla, DD No_ Date _

17 · List of enclosures: 1.

18 · Whether the order challenged as communicated in original is filed? If not, explain the reason for not filing the same 19. Whether the Petitioner/Applicant is ready to file written submissionslarguments before the first hearing after serving the copy of the same on Respondents 20. Whether the copy of petition/application with all enclosures has been forwarded to all respondents and all interested parties, if so, enclose postal receiptlcourier receipt 21. Any other relevant or material particulars/details which the petitionerlapplicant deems necessary to set out:

22 · Reliefs sought: In view of the facts mentioned in para 7 above, points in dispute and questions of law set out in para 8, the Petitioner/Applicant prays for the following relief(s)

4 · The petition has not been duly signed. 5. The petition has not been verified through an affidavit: 6_ The affidavit is not on the form prescribed in Chapter II of the HPERC CBR 7. The affidavit has not been signed and sworn before the competent authority: 8. Ten copies of the petition have not been filed. 9_ The copies of the petitions are not complete in all respects: 10. The copies of the documents are not legible and duly attested: 11. Translation, in English/Hindilany other/language recognized by the Commission, has not filed. 12. Authenticity of the translation of the documents, in English/Hindilany other language recognized by the Commission, has not been furnished 13. The Vakalatnama/letter of authorization has not been filed. 14. The Vakalatnama is not properly executed and necessary court fee has not been paid. 15. The prescribed fee for the petition/application has not been paid. 16. The index of documents has not been filed. 17. The pagination of the documents has not been done properly. You are requested to rectify the defects within weeks of issue of this letter failing which the petition shall be deemed to have been rejected Yours faithfully,

1 · Name and address of the person seeking permission: 2 Whether he is party to the case Or he is the authorised representative of any party? Furnish necessary particulars): 3. Details of papers/documents sought to be inspected: 4. Purpose for seeking inspection: 5. Date and duration of the inspection sought: 6_ The amount of fee payable and the mode of payment:

1 · Details of the Applicant a) Full name of the applicant

2 · Nature and details of the ownership

3 · Principal Shareholders/PartnersMMembers

4 · Details of the area of distribution, of the area of supply and of the area of operation for which distribution licence has been sought:

8 · Prior Experience (Past 3 years details for Related Business) [To be filled in by the applicant Or by each participant separately in case of JVCIConsortium (As applicable)] General Information Name and address of the project(s) developed Brief description of project(s) developed Cost of the project(s) developed Rs. Lakhs Name and address of the Client company(s) for whom the project(s) were developed Name, designation and address of Reference person of Client Co (s)

9 · Details of the assets and facilities required for the Business- a Is the applicant acquiring, existing assets O creating new assets? (b) Acquiring of existing assets/construction of new assets Funding Proposed means of Finance Equity (Rs. Lakhs) Applicant Co-promoters Others Debts Domestic (Rs. Lakhs> Indian Financial Institutions Commercial Banks Others (specify) International (FC Million) Supplier' s Credit Direct Borrowing Others (specify) Equivalent INR with Exchange rate used) Others In case assets procurementl project is proposed to be jointly funded by an external agency

1 · Consent letters of the other agency and contractors to associate with the applicant for the above project to be enclosed: 2 Necessary approvals and no objections to be obtained at appropriate time and forwarded to the Commission. 10. Appropriate expertise (Personnel)

11 · Financial details of other business ventures of the applicant:

12 · Baseline Information (Business for which licence is sought)

7 · .

10 · Detailed Map(s)

1 · Details of the applicant (a) Full name of the applicant

2 · Nature and details of the ownership

3 · Principal Shareholders/Partners/Members

4 · Details of the area of transmission for which transmission licence has been sought:

5 · . Arrangement;, if any, proposed with the State Transmission Utility:

6 · Arrangement if any proposed with the other licensees 7 . Arrangement if any proposed with the Generating Companies 8. Resume of the Organisation giving details of (a) Management capability

10 · Details of the assets and facilities required for the Business (a) Is the applicant acquiring, existing assets Or creating new assets? (b) Acquiring of existing assets/Construction of new assets Funding Proposed means of Finance Equity (Rs. Lakhs) Applicant Co-promoters Others Debts Domestic (Rs. Lakhs) Indian Financial Institutions Commercial Banks Others (specify) International (FC Million)

12 · Financial details of other business ventures of the applicant: [To be filled in by he applicant or by each participant separately in case of JVC/Consortium (As applicable)]

13 · Baseline Information (Business for which Licence is sought)

1 · Information relating to pre-existing licence (if any), with copy of licencelsanction. 2. Copies of Company' s Articles of Association, Memorandum of Association; Partnership deeds and similar constitutional documents. 3. Certification of incorporation/Registration. 4. Certification for commencement of Business. 5. Original Power of Attorney of the signatory to commit the applicant O its promoter: 6. Details of Income Tax registration: 7. Details of import license, if any. 8. Data relating to Management and Financial capability. (a) Managerial Senior management' $ curriculum vitae (ii) Cadre strength for different categories (technical and non-technical)

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

11 · Acknowledgment for service of the copy of the application with the Annexure and documents to the State Transmission Utility:

1 · Details of the applicant (a) Full name of the applicant

3 · Principal Shareholders/Partners/Members

4 · Details of the area of operation Nature of other electricity licenses/authorization, if any, of the applicant for electricity transmission, distribution Or trading already granted

5 · Details of operation Maximum trading volume proposed to be undertaken by the applicant on a monthly basis for the first three years:

6 · Funding arrangements (source and application) to meet the obligations:

7 · Arrangement for purchase of energy: 8. Arrangement, if any, proposed with other existing trading and distribution licensees

9 · Resume f the Organisation giving details of (a) Management capability

11 · Financial details of other business ventures of the applicant:

12 · Baseline Information Business for which Licence is sought)

1 · Information relating to pre-existing licence (if any), with copy of licencelsanction

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

3 · Certification of incorporation/Registration

4 · Certification for commencement of Business.

5 · Original Power of Attorney of the Signatory to commit the applicant o its promoter: 6. Details of Income Tax registration:

7 · Data relating to Management and Financial capability.

8 · Data relating to the Applicant's Business proposals 9. Five year Business Plan (with projection) for the proposed business for which the application relates

10 · Five year annual forecasts of costs, revenues; project financing and funding arrangements (clearly specifying the assumptions involved) 11. An approximate Statement describing any lands, which the Applicant proposes to acquire for the purpose of the licence and the means of such acquisition.

1 · General

2 · Particulars of proposed generating Unit(s) (a) Capacity in KVA (b) No. of Units Capacity of each unit No. of phases Power Factor

219 · (of the Indian Penal Code) Public servant in judicial proceeding corruptly making report, etc , contrary to law:_ Whoever, being a public servant, corruptly Or maliciously makes OT pronounces in any stage of a judicial proceeding, any report, order, verdict, Or decision which he knows to be contrary to law, shall be punished with imprisonment of either description for a term which may extend to seven years, Or with fine, Or with both: (iii) Section 228 (of the Indian Penal Code) Intentional insult or interruption to public servant sitting in judicial proceeding: Whoever intentionally offers any insult, Or causes any interruption to any public servant, while such public servant is sitting in any stage of a judicial proceeding, shall be punished with simple imprisonment for a term which may extend to six months, or with the which may extend to one thousand rupees, or with both: (iv) Section 345 (of the Code of Criminal Procedure) Procedure in certain cases of contempt: When any such offence as is described in section 175, section 178, section 179 , section 180 or the section 228 of the Indian Penal Code (45 of 1860) is committed in the view O presence f any Civil, Criminal or Revenue Court, the Court may cause the offender to be detained in custody and may, at any time before the rising of the Court on the same day, take cognizance of the offence and, after giving the offender a reasonable opportunity of showing cause why he should not be punished under this section, sentence the offender to fine not exceeding two hundred rupees,