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VI WORKSHOP ANEEL – USEA/USAID ANEEL and the Regulatory Process of the Electricity Sector VI WORKSHOP ANEEL – USEA/USAID ANEEL and the Regulatory Process of the Electricity Sector August, 9 th, 2005 Brasília – DF Alvaro Mesquita Superintendet of Institutional Relations

Sumary I. Institutional roles of the Power Sector II. Regulatory Process III. Performance, attributes Sumary I. Institutional roles of the Power Sector II. Regulatory Process III. Performance, attributes and description of ANEEL IV. Regulator’s challenges

Institutional Roles of the Power Sector Policies and directives: • National Congress • National Institutional Roles of the Power Sector Policies and directives: • National Congress • National Council of Energy Policy – CNPE – approval by the President of the Republic • Chamber of Infra-structure Policies of the Government Council Planning and assurance of the balance between supply and delivery: • Ministry of Mines and Energy – MME Research and studies for the planning of the energy sector • Energy Research Company - EPE Regulatory Body and Delegation of Power • Brazilian Electricity Regulatory Agency – ANEEL

Institutional Roles of the Power Sector Overview, control and operation of the systems: • Institutional Roles of the Power Sector Overview, control and operation of the systems: • National Operator of the Power System – ONS Monitoring and evaluation to assure the reliability and security of the supply: • Electric Sector Monitoring Committee – CMSE Accounting and clearing • Chamber of Commercialization of Electric Power – CCEE Execution and service delivery to the costumers: • Entities G, T, D e C FOCUS: Public Interest

ANEEL’s performance Consumers/society • Resonable tariffs • Quality of service • Guarantee of rights ANEEL’s performance Consumers/society • Resonable tariffs • Quality of service • Guarantee of rights ANEEL Employees • Adequate remuneration • Contracts honored • Predictable and clear rules Government • Strategic interests • Development model Universal service

Regulatory Process Draft of Law Federal Government National Congress Provisory Act Law Draft of Regulatory Process Draft of Law Federal Government National Congress Provisory Act Law Draft of Law Decree ANEEL Monitoring and Control Regulatory Mediation Official Public Position of the ANEEL Public Audience or Consult Technical Discussion

ATTRIBUTIONS Monitoring the performance of the power sector REGULATORY AUDITING MEDIATION Where necessary - ATTRIBUTIONS Monitoring the performance of the power sector REGULATORY AUDITING MEDIATION Where necessary - following the legal framework and specific policies Guide and advise – enforce penalties when unavoidable Dispute settlement Energy auctions Auctions for new enterprises (G/T)(*) Delegation of authority (*) Authorization(*) Delegation of authority by Federal Government, through MME, responsible to assure the supply of electricity

Characterization of ANEEL • Decision-making independence • Administrative, financial and property management autonomy • Characterization of ANEEL • Decision-making independence • Administrative, financial and property management autonomy • Staggered terms for Commissioners – nominated by the President, approved by the Senate • Commissioners – cannot be fired without good cause • “Quaranthe” • Decision Collegiate Board • No hierarchy subordination • Final administrative option • Technical discretionary power

External control • Legislative Body • • • Sub-commission of the CFC of the External control • Legislative Body • • • Sub-commission of the CFC of the Senate Public Hearings (~70) Request information National Accounting Tribunal (accounts approved from 1997 to 2002) • Judiciary (Review of the acts) • Public Ministry • Executive Body • Secretary of Federal Control • Contract Management • Fulfillment of PPA goals • Consumer Advocate - (organized by the Civil Society)

Transparency and improvement of the society’s participation Transparency improves the efficiency and social control Transparency and improvement of the society’s participation Transparency improves the efficiency and social control and promotes better regulation to the benefit of society.

Transparency and society’s participation - Decentralization To make the regulation, auditing and mediation actions Transparency and society’s participation - Decentralization To make the regulation, auditing and mediation actions closer to the consumers and sectorial agents To expedite the regulatory process, monitor service quality, mediation and delegation To adjust the regulation, auditing and mediation actions to local circumstances To minimize or to solve the problems of the relationship between consumers and concessionaires at local level

DECENTRALIZATION ARSEP (MA) Agência Reguladora de Serviços Públicos Maranhão ARCON (PA) ARCE (CE) Agência DECENTRALIZATION ARSEP (MA) Agência Reguladora de Serviços Públicos Maranhão ARCON (PA) ARCE (CE) Agência Estadual de Regulação e Controle de Serviços Públicos Agência Reguladora de Serviços Públicos Delegados do Estado do Ceará Agência Reguladora de Serviços Públicos do Rio Grande do Norte ARSEP (RN) ARSAM (AM) Agência Reguladora dos Serviços Públicos Concedidos do Estado do Amazonas AGEEL (PB) ASTINS (TO) Agência Estadual de Energia da Paraíba Agência de Serviços Públicos Delegados do Tocantins ARPE (PE) AGEAC (AC) Agência Estadual de Regulação dos Serviços Públicos Delegados de Pernambuco Agência Reguladora dos Serviços Públicos do Estado do Acre ARSAL (AL) AGER (MT) Agência Reguladora de Serviços Públicos do Estado de Alagoas Agência Estadual de Regulação dos Serviços Públicos Delegados do Mato Grosso AGERBA (BA) Agência Estadual de Regulação de Serviços Públicos de Energia, Transporte e Comunicações da Bahia AGEPAN (MS) Agência Estadual de Regulação de Serviços Públicos de Mato Grosso do Sul AGESP (ES) AGR (GO) Agência Estadual de Serviços Públicos Agência Goiana de Regulação, Controle e Fiscalização de Serviços Públicos ASEP (RJ) Agência Reguladora de Serviços Públicos Concedidos AGERGS (RS) Agreements signed (13) Agência Estadual de Regulação dos Serviços Públicos Delegados do Rio Grande do Sul Agencies created without delegation (06) In negotiation (08) ARCO (SC) CSPE (SP) Comissão de Serviços Públicos de Energia Agência Catarinense de Regulação e Controle November//2004

Transparency and society’s participation • Relationship with the Legislative – more then 70 public Transparency and society’s participation • Relationship with the Legislative – more then 70 public hearings and thematic meetings • Public Director’s meetings: since October, 2004 • Ethics Code – consolidation, approval and Implementation (Ethics Commission)

Transparency and society’s participation • 1 Council of Consumers in each 64 distributors of Transparency and society’s participation • 1 Council of Consumers in each 64 distributors of energy • 2003 – ANEEL’s Home Page: easy access to the process for consumers and regulatory agencies (Ex. : authorization of contracts, monitoring reports, tariffs and quality indices ) • Petitions and public hearings – regulation and auditing (more then 150)

Public Hearings Society’s participation in the regulatory process • Democratization of the regulatory process Public Hearings Society’s participation in the regulatory process • Democratization of the regulatory process • Transparency • Publicity • Advance preparation of the Consumer’s Council and Organizations of Consumers and Stakeholders – looking for improvement • Local meetings and by teleconference • Publicize results - Improvement

Administrative and Decision-making proceedings • Decision-making Process • Decision – Board of Directors • Administrative and Decision-making proceedings • Decision-making Process • Decision – Board of Directors • Public Directors meeting • Report Director (draw) – Technical and Judicial Support (Fact and Law) • Broad Defense – Appeal with or without a stay • Regulation supported by the Law 9. 784/99 • Clarity, Transparency and Publicity of the Acts • Rights and Duties of Consumers

Regulator’s challenges • Achieve autonomy • Skilled and adequately paid in-house staff • Reduce Regulator’s challenges • Achieve autonomy • Skilled and adequately paid in-house staff • Reduce asymmetry of information • Completion of the new regulation model • To support and enhance energy policies, to identify improvements and to fill gaps

Regulator’s challenges • To be recognized as a “State Institution” that takes care of Regulator’s challenges • To be recognized as a “State Institution” that takes care of public interest • To look for continual improvement of ANEEL • To strive for the reduction of charges and tariffs

Main Regulator’s challenges • To consolidate the process of Periodic Tariff Review: (develop guidelines Main Regulator’s challenges • To consolidate the process of Periodic Tariff Review: (develop guidelines for the basis of cost recovery) • To expand the mechanisms of interface with the public and agencies: workshop`s about specific themes; disseminate a regulatory agenda • To guarantee the consumers rights and take care of the compliance of the obligations and the rights of agencies

www. aneel. gov. br Phone: (+55) 61 2192 -8906 Fax: (+55) 61 2192 -8705 www. aneel. gov. br Phone: (+55) 61 2192 -8906 Fax: (+55) 61 2192 -8705 [email protected] gov. br