> 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 โ€” 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" %} ๐Ÿšง **Work in progress.** This section is still being finalised and may change before sign-off. {% endhint %} [**Implementation Guide โ†’**](/docs/draft-work-in-progress/discom-regulatory-filing/discom-regulatory-filing.md) | Field | Value | | ------------- | -------------------------------------------------------------------------------------------------------------------------------------------- | | Document | IES/DRF-PROFILE/0.5 | | Status | ๐Ÿšง 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 โ€” a detailed cost projection justifying the tariff it wants approved โ€” 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** โ€” 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 โ€” 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[]` โ€” `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` โ€” DISCOM-minted, stable | `DISCOM-ARR-2026-27` | | Line item | `lineItemId` โ€” 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** โ€” Aggregate Revenue Requirement. * **True-up** โ€” reconciliation of actuals against SERC-approved amounts. * **FPPCA** โ€” Fuel and Power Purchase Cost Adjustment, a periodic pass-through reconciliation. * **MYT** โ€” Multi-Year Tariff framework; **control period** โ€” the fiscal-year span it covers. * **Line item** โ€” one costed row in the regulatory form. ## 5. Basis of Standards Fixed order of preference: **IS โ†’ CEA โ†’ IEC โ†’ IEEE** โ€” none apply directly, as filings are SERC instruments. IES adds: | Standard | Role here | | ----------------------------------- | --------------------------------------------------------------------------- | | **Electricity Act 2003, ยง61โ€“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 โ€” 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 โ€” if public-disclosure norms require it, the SERC republishes via its own BPP, same schema, settlement value `0`. ## 8. Schedule I โ€” 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 โ‰ฅ 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 โ€” including the per-year amounts in `fiscalYears[]` โ€” 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 โ”€โ”€ PDF/Excel โ”€โ”€ email โ”€โ”€ SERC โ”€โ”€ re-key by hand โ”€โ”€โ–บ tariff analysis With IES: DISCOM โ”€โ”€ ArrFiling v0.5 (signed) โ”€โ”€โ–บ Beckn โ”€โ”€โ–บ SERC โ”€โ”€ ingest directly โ”€โ”€โ–บ database / archive / analysis ``` The DISCOM is the **BPP**; the SERC is the **BAP** โ€” 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** โ€” `category`/`subCategory` enums are converging across SERCs; expect additions, not renames. 2. **Workbook attachments** โ€” the convention (separate dataset vs. embedded) is being agreed. 3. **Cross-filing references** โ€” aligning with the [Policy as Code](/docs/draft-work-in-progress/tariff-intelligence.md) `policyID` pattern. 4. **Public-disclosure republication** โ€” 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 โ€” identity, fiscal years, line items | | DatasetItem (DDM) | The Beckn envelope (`accessMethod: INLINE` for the filing; `SIGNED_URL` for workbooks) | ## Value Unlock **SERCs** โ€” direct ingest replaces manual re-keying; comparable analysis becomes a single query; a non-repudiable submission record. **DISCOMs** โ€” one canonical shape across every SERC; clean versioning for resubmissions. **Consumer-rep parties / researchers** โ€” public-disclosure republication gives everyone the same machine-readable record. *** ## Annexure A โ€” Standards Referenced | Standard | Scope | | ----------------------------------------------------- | ------------------------------------ | | Electricity Act 2003 (ยง61โ€“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 โ€” Example Payloads โ†’ [**`schemas/ArrFiling/v0.5/examples/`**](https://github.com/India-Energy-Stack/ies-accelerator/tree/main/schemas/ArrFiling/v0.5/examples/README.md) ## Annexure C โ€” JSON Schema Canonical: `https://india-energy-stack.github.io/ies-accelerator/schemas/ArrFiling/v0.5/` โ€” [`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 โ€” 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 |