> For the complete documentation index, see [llms.txt](https://india-energy-stack.gitbook.io/docs/llms.txt). Markdown versions of documentation pages are available by appending `.md` to page URLs; this page is available as [Markdown](https://india-energy-stack.gitbook.io/docs/draft-work-in-progress/discom-regulatory-filing.md).

# DISCOM Regulatory Filing (WIP)

*A DISCOM's Aggregate Revenue Requirement (ARR), true-up, FPPCA or compliance filing submitted to its SERC as a structured, signed object — the* [*ArrFiling v0.5*](https://india-energy-stack.gitbook.io/docs/schemas/arrfiling/v0.5) *payload carried over* [*IES Data Exchange*](/docs/concepts/setup-exchange/discover.md)*.*

{% hint style="warning" %}
🚧 **Work in progress.** This section is still being finalised and may change before sign-off.
{% endhint %}

[**Implementation Guide →**](/docs/draft-work-in-progress/discom-regulatory-filing/discom-regulatory-filing.md)

| Field         | Value                                                                                                                                        |
| ------------- | -------------------------------------------------------------------------------------------------------------------------------------------- |
| Document      | IES/DRF-PROFILE/0.5                                                                                                                          |
| Status        | 🚧 Work in progress (WIP)                                                                                                                    |
| Applicability | All distribution licensees and SERCs                                                                                                         |
| This version  | Built on ArrFiling v0.5 over Beckn. Replaces PDF/Excel submission with a machine-verifiable JSON-LD object signed by the DISCOM's `did:web`. |

***

## 1. Scope and Purpose

The stakeholders are the DISCOM and the SERC. Every DISCOM files an ARR petition each year — a detailed cost projection justifying the tariff it wants approved — plus true-ups, FPPCA reconciliations, MYT petitions and compliance returns through the year.

Today these arrive as **PDFs and Excel workbooks**; SERC staff manually re-key the numbers. No canonical machine-readable form means no cross-DISCOM comparison and no automated validation.

This document defines the **DISCOM Regulatory Filing** — a structured `ArrFiling` payload, signed by the DISCOM, delivered to the SERC over Beckn. The signed envelope is the non-repudiable record of submission. It does not change what is filed or when — it standardises the **shape on the wire** and the **trust path**.

## 2. What It Records / Covers

| Records         | Detail                                                                                                                                                                      | Source         |
| --------------- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------- |
| Filing identity | `filingId`, `licensee`, `regulatoryCommission`, `filingType` (`MYT` / `ANNUAL` / `TRUE_UP` / `REVISED`), `controlPeriodStart/End`, `currency`, `unitScale`                  | ArrFiling v0.5 |
| Fiscal years    | One or more `fiscalYears[]`, tagged `yearType` (`BASE_YEAR` / `CONTROL_PERIOD` / `HISTORICAL`) and `amountBasis` (`AUDITED` / `APPROVED` / `PROPOSED` / `TRUED_UP`)         | ArrFiling v0.5 |
| Line items      | Per-year `lineItems[]` — `category` (`VARIABLE` / `FIXED` / `INCOME` / `SUB_TOTAL` / `ARR` / `ADJUSTMENT`), `subCategory`, `head`, `amount`, `formReference`, `componentOf` | ArrFiling v0.5 |

Supporting workbooks ride as separate signed datasets in the same exchange, linked by `filingId`.

## 3. How Each Item is Identified

| Subject          | Identifier method                              | Example                      |
| ---------------- | ---------------------------------------------- | ---------------------------- |
| DISCOM (filer)   | `did:web` on owned domain                      | `did:web:ies.discom.example` |
| SERC (recipient) | `did:web` on owned domain                      | `did:web:ies.serc.example`   |
| Filing           | `filingId` — DISCOM-minted, stable             | `DISCOM-ARR-2026-27`         |
| Line item        | `lineItemId` — kebab-case, stable across years | `power-purchase-cost`        |

Subscriber records resolve through the [IES DISCOMs](/docs/concepts/setup-register/register.md#the-directory-dedi) and [Regulators reference registries](/docs/concepts/setup-register/register.md#the-directory-dedi). Resubmissions reuse the same `filingId`; versioning lives on the Beckn envelope.

## 4. Definitions

* **ARR** — Aggregate Revenue Requirement.
* **True-up** — reconciliation of actuals against SERC-approved amounts.
* **FPPCA** — Fuel and Power Purchase Cost Adjustment, a periodic pass-through reconciliation.
* **MYT** — Multi-Year Tariff framework; **control period** — the fiscal-year span it covers.
* **Line item** — one costed row in the regulatory form.

## 5. Basis of Standards

Fixed order of preference: **IS → CEA → IEC → IEEE** — none apply directly, as filings are SERC instruments. IES adds:

| Standard                            | Role here                                                                   |
| ----------------------------------- | --------------------------------------------------------------------------- |
| **Electricity Act 2003, §61–62/64** | Statutory basis                                                             |
| **SERC tariff regulations**         | Form and category source (`ArrFiling` is a superset with per-state mapping) |
| **Beckn Protocol v2**               | The wire                                                                    |
| **W3C VC / DID Core**               | Issuer key and signature                                                    |

## 6. Where Indian Standards Do Not Yet Exist

The JSON shape carrying a filing is an IES specification. SERCs' cost taxonomies vary; `ArrFiling`'s category enums are an IES superset with per-SERC mapping — the live area of work.

## 7. The Records

Three signed artefacts per submission: a **signed Beckn contract** (parties, scope, consent), a **signed `ArrFiling` payload** (inline, or signed URL with workbooks), and a **signed receipt**. Together: a non-repudiable audit trail. Not a holder-bound credential — if public-disclosure norms require it, the SERC republishes via its own BPP, same schema, settlement value `0`.

## 8. Schedule I — Static Fields of the Filing

Schedule I is a field-and-status view over the real [ArrFiling v0.5](https://india-energy-stack.gitbook.io/docs/schemas/arrfiling/v0.5#field-reference) schema. **Normative Path** is an actual JSON path and **Schema Requires** reflects the current schema. Standards and filing guidance are informative; they do not add fields to this WIP contract.

### 8.1 Filing Identity and Control Period

| **Normative Path**                        | **Type / Allowed Value**                                     | **Schema Requires** | **Regulatory Basis** *(informative)*     | **Filing Guidance** *(informative)*                                      |
| ----------------------------------------- | ------------------------------------------------------------ | ------------------- | ---------------------------------------- | ------------------------------------------------------------------------ |
| `@context`                                | text                                                         | Optional            | JSON-LD 1.1                              | Use the ArrFiling v0.5 context when publishing JSON-LD                   |
| `objectType`                              | constant `ARR_FILING`                                        | Required            | ArrFiling v0.5                           | Identifies the payload family                                            |
| `id`                                      | text                                                         | Optional            | IES identifier                           | Unique version/object identifier where the transport does not supply one |
| `filingId`                                | text                                                         | Required            | SERC filing reference                    | Stable filing reference used across submission artefacts                 |
| `filingDate`                              | date                                                         | Optional            | SERC procedure                           | Date the filing is submitted                                             |
| `filingType`                              | `MYT`, `ANNUAL`, `TRUE_UP`, `REVISED`                        | Optional            | Electricity Act; SERC tariff regulations | Populate to distinguish the filing process                               |
| `licensee`                                | text                                                         | Required            | Electricity Act licence                  | Full distribution-licensee name                                          |
| `licenseeCode` / `stateProvince`          | text / text                                                  | Optional            | SERC register                            | Use the regulator-recognised code and state                              |
| `regulatoryCommission`                    | text                                                         | Required            | Electricity Act; SERC register           | Commission receiving the filing                                          |
| `controlPeriodStart` / `controlPeriodEnd` | fiscal-year labels                                           | Optional            | MYT regulations                          | Populate for MYT/control-period submissions                              |
| `currency`                                | constant `INR`                                               | Required            | ISO 4217                                 | All monetary rows use this currency                                      |
| `unitScale`                               | `CRORE`, `LAKH`, `ABSOLUTE`                                  | Required            | Indian regulatory filing convention      | Applies to every `amount` in the filing                                  |
| `status`                                  | `DRAFT`, `SUBMITTED`, `UNDER_REVIEW`, `APPROVED`, `REJECTED` | Optional            | SERC workflow                            | Do not infer approval from transport success                             |
| `formReference`                           | text                                                         | Optional            | State-specific SERC form                 | Identifies the principal regulatory form                                 |
| `notes[]`                                 | array of text                                                | Optional            | SERC filing notes                        | Carry explanatory footnotes and order references                         |
| `fiscalYears[]`                           | non-empty array of `ArrFiscalYear`                           | Required            | MYT / annual / true-up structure         | Include every fiscal year in scope                                       |

### 8.2 Fiscal-year Classification

| **Normative Path**          | **Type / Allowed Value**                                   | **Schema Requires** | **Filing Guidance** *(informative)*                                          |
| --------------------------- | ---------------------------------------------------------- | ------------------- | ---------------------------------------------------------------------------- |
| `fiscalYears[].fiscalYear`  | text label                                                 | Required            | Use the SERC's fiscal-year label consistently                                |
| `fiscalYears[].yearType`    | `BASE_YEAR`, `CONTROL_PERIOD`, `HISTORICAL`                | Optional            | Distinguishes reference, projected/control-period and historical rows        |
| `fiscalYears[].amountBasis` | `AUDITED`, `APPROVED`, `PROPOSED`, `TRUED_UP`, `NOT_FILED` | Required            | States what the year's amounts represent; do not infer it from filing status |
| `fiscalYears[].lineItems[]` | non-empty array of `ArrLineItem`                           | Required            | Preserve stable `lineItemId` values across years for comparison              |

### 8.3 ARR Line Items

| **Normative Path**          | **Type / Allowed Value**                                        | **Schema Requires** | **Regulatory Basis** *(informative)* | **Filing Guidance** *(informative)*                                                              |
| --------------------------- | --------------------------------------------------------------- | ------------------- | ------------------------------------ | ------------------------------------------------------------------------------------------------ |
| `lineItems[].lineItemId`    | stable text identifier                                          | Required            | IES cross-year mapping               | Use stable kebab-case identifiers across filings                                                 |
| `lineItems[].serialNumber`  | integer ≥ 1                                                     | Optional            | SERC form order                      | Preserve display order from the source form                                                      |
| `lineItems[].category`      | `VARIABLE`, `FIXED`, `INCOME`, `SUB_TOTAL`, `ARR`, `ADJUSTMENT` | Required            | IES superset of SERC categories      | Required analytical class                                                                        |
| `lineItems[].subCategory`   | governed enum                                                   | Optional            | State-to-common taxonomy mapping     | Use the nearest common category without discarding the original heading                          |
| `lineItems[].head`          | text                                                            | Required            | Source SERC form                     | Preserve the filing's original row heading                                                       |
| `lineItems[].particulars`   | text                                                            | Optional            | Source SERC form                     | Add detail when the heading alone is ambiguous                                                   |
| `lineItems[].amount`        | number or `null`                                                | Required            | `currency` + `unitScale` at root     | `null` means present but not filed/not applicable; it is not zero                                |
| `lineItems[].formReference` | text                                                            | Optional            | Supporting form/schedule             | Points to the supporting sub-form, not a URL attachment field                                    |
| `lineItems[].componentOf`   | parent `lineItemId`                                             | Optional            | IES roll-up mapping                  | Links a component row to its subtotal                                                            |
| `lineItems[].formula`       | human-readable expression                                       | Optional            | Filing computation                   | Use on subtotal/ARR rows to disclose the roll-up; consumers must not treat it as executable code |

## 9. Schedule II

**Not applicable.** A regulatory filing is complete when it is filed. Every field in Schedule I — including the per-year amounts in `fiscalYears[]` — is fixed at submission and changes only through a revised or trued-up filing, which is a new record with its own `filingId`. Nothing in this use case keeps arriving after issuance, so there is no live half to map.

Year-tagged data is not live data: `fiscalYear` and `amountBasis` say which period an amount describes, not that the amount is still being measured.

Artefacts that travel alongside the filing, and their binding, are in [Annexure D](#annexure-d-related-artefacts-and-derived-views).

## 10. How It Fits Together

```
Today: DISCOM ── PDF/Excel ── email ── SERC ── re-key by hand ──► tariff analysis
With IES: DISCOM ── ArrFiling v0.5 (signed) ──► Beckn ──► SERC ── ingest directly ──► database / archive / analysis
```

The DISCOM is the **BPP**; the SERC is the **BAP** — the inverse of Smart Meter Data Exchange, but Beckn is symmetric and the same ONIX stack, identity and registry are reused. Only the `ArrFiling` payload is new per filing. A SERC ingesting from multiple DISCOMs sees one schema, not n bespoke spreadsheets.

## 11. Points for Confirmation

1. **Cost-category superset** — `category`/`subCategory` enums are converging across SERCs; expect additions, not renames.
2. **Workbook attachments** — the convention (separate dataset vs. embedded) is being agreed.
3. **Cross-filing references** — aligning with the [Policy as Code](/docs/draft-work-in-progress/tariff-intelligence.md) `policyID` pattern.
4. **Public-disclosure republication** — being formalised with the Forum of Regulators.

***

## Schemas Used in This Use Case

| Schema                                                                              | Role                                                                                   |
| ----------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------- |
| [ArrFiling v0.5](https://india-energy-stack.gitbook.io/docs/schemas/arrfiling/v0.5) | The payload — identity, fiscal years, line items                                       |
| DatasetItem (DDM)                                                                   | The Beckn envelope (`accessMethod: INLINE` for the filing; `SIGNED_URL` for workbooks) |

## Value Unlock

**SERCs** — direct ingest replaces manual re-keying; comparable analysis becomes a single query; a non-repudiable submission record. **DISCOMs** — one canonical shape across every SERC; clean versioning for resubmissions. **Consumer-rep parties / researchers** — public-disclosure republication gives everyone the same machine-readable record.

***

## Annexure A — Standards Referenced

| Standard                                              | Scope                                |
| ----------------------------------------------------- | ------------------------------------ |
| Electricity Act 2003 (§61–62, 64)                     | Statutory basis for tariff petitions |
| SERC MYT / Annual Tariff Regulations (state-specific) | Form, cost categories, timetable     |
| Beckn Protocol v2                                     | Discovery, contracting, signed audit |
| W3C VC Data Model 2.0; W3C DID Core                   | Issuer key; envelope signature       |
| JSON-LD 1.1                                           | Wire format and semantic resolution  |

## Annexure B — Example Payloads

→ [**`schemas/ArrFiling/v0.5/examples/`**](https://github.com/India-Energy-Stack/ies-accelerator/tree/main/schemas/ArrFiling/v0.5/examples/README.md)

## Annexure C — JSON Schema

Canonical: `https://india-energy-stack.github.io/ies-accelerator/schemas/ArrFiling/v0.5/` — [`schema.json`](https://india-energy-stack.github.io/ies-accelerator/schemas/ArrFiling/v0.5/schema.json) (Draft 2020-12), [`context.jsonld`](https://india-energy-stack.github.io/ies-accelerator/schemas/ArrFiling/v0.5/context.jsonld), [`vocab.jsonld`](https://india-energy-stack.github.io/ies-accelerator/schemas/ArrFiling/v0.5/vocab.jsonld).

## Annexure D — Related Artefacts and Derived Views

Artefacts bound to the filing, and views computed from it downstream. None is a field of ArrFiling v0.5.

| **Related Artefact / Relationship**  | **Inside ArrFiling v0.5?**            | **How it is Bound**                                                                    | **Status / Treatment**                                                              |
| ------------------------------------ | ------------------------------------- | -------------------------------------------------------------------------------------- | ----------------------------------------------------------------------------------- |
| Structured filing                    | Yes                                   | `filingId` plus the Schedule I fields                                                  | Authoritative machine-readable payload                                              |
| Signed Beckn contract                | No                                    | Exchange transaction identifiers and parties                                           | Transport/audit envelope; ArrFiling defines no VC wrapper or `proof` field          |
| Signed exchange receipt              | No                                    | Beckn request/response transaction                                                     | Evidence that the SERC received the payload, not evidence of approval               |
| Supporting workbook or dataset       | No                                    | Operationally linked by `filingId`; row-level `formReference` may name the source form | Separate signed dataset or signed URL; no attachment field exists in ArrFiling v0.5 |
| Prior-year filing / true-up source   | No explicit cross-filing field        | Stable `lineItemId` values and filing metadata support comparison                      | A future explicit relationship field requires schema governance                     |
| Tariff order / Policy as Code record | No `policyID` field in ArrFiling v0.5 | May be cited in `notes[]` or exchange metadata                                         | Reference is informative until a governed cross-schema field exists                 |
| Public-disclosure copy               | Same ArrFiling payload                | SERC republishes through its own channel/BPP                                           | Publication does not turn the payload into a holder-bound credential                |


---

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