CP COM Survey - Legal Actions and Processes of NRAs

Dear ERRA Customer Protection Committee,

Based on the Workplan a Report on Legal Actions and Processes of NRAs will be prepared. For this purpose please fill in the below questionnaire possibly by February 21 to have the report ready by end of April.

Kindly note that there is a Save and Continue Later button at the end of the survey.

Your valuable time and contribution are highly appreciated!

Submitted by(Required)

Title First Name Last Name

E-mail address(Required)

Job Title(Required)

Organisation (abbrev. is enough :), Country(Required)

1. The status of the NRA

1.1. Is the NRA an independent authority?(Required)

Yes

1.1.1. What provides the NRA with legal independence? (e.g. a specific law or regulation)(Required)

1.1.2. Is the NRA part of the government? (e.g. subordinate to a ministry, a government agency, or a department within a ministry)(Required)

1.2. Which sectors are supervised by the NRA?(Required)

Electricity

Natural gas

Hydrogen

Water

Sewage

Waste

Telecommunication

Postal services

Railroads

Energy efficiency

Competition

Petrol/ other fuels (please specify below)

Other

1.2.1. If other, please specify:(Required)

1.3. Is the NRA the only authority responsible for these sectors?(Required)

Yes for all the sectors selected above

Yes, for the following sectors (please indicate below)

No, there is a shared jurisdiction for the following sectors (please indicate below)

1.3.1. The NRA is the only authority responsible for the following sectors:(Required)

1.3.2. There is a shared jurisdiction for the following sectors:(Required)

1.4. If you have any comments to this section, please add below:

2. Legal basis and power

2.1. What is the legal basis for the NRA's powers?(Required)

It is based on a single comprehensive legal act (e.g., an act specifically about the NRA) OR is based on multiple laws (e.g., different sector-specific laws like the Electricity Act, Natural Gas Act, Market Integrity Act, Competition Act).

2.2. What powers does the NRA have?(Required)

Legislative

Decision-making

Supervision

Supportive (e.g. creating proposal for the government or ministry)

Other

2.2.1. Does the NRA have the authority to create laws or regulations (legislative power)?(Required)

Yes

2.2.1.1. If yes, what areas does this authority cover?(Required)

Electricity

Natural gas

Hydrogen

Water

Sewage

Waste

Telecommunication

Postal services

Energy efficiency

Other

2.2.1.1.1. If other, please specify:(Required)

2.2.1.2. If yes, what topics do this authority cover?(Required)

Licensing

Market monitoring

Price regulation

Billing

Quality of supply

Competition

Other

2.2.1.2.1. If licensing selected, please specify for which sectors:(Required)

2.2.1.2.2. If other, please specify:(Required)

2.2.2. Decision-making:(Required)

Issuing licences (licensing regime)

Issuing other types of decisions (e.g., fines, obligations, warning), please specify

2.2.2.2. Types of decisions, please specify:(Required)

2.2.3. Supervision:(Required)

Supervision with decision making (e.g., the NRA can oblige/fine the market participants of the supervised area)

Supervision without decision making (e.g., if the NRA observes some legal breach, it can only signal the breach to authorities with sanctioning powers or courts)

2.3. At what legal level are the NRA's status, jurisdiction, and powers established?(Required)

Primary legislation (acts by parliament).

Secondary legislation (legislation issued by the government).

2.4. If you have any comments to this section, please add below:

3. Type of administrative procedures and actions in general

What types of decisions can the NRA issue from the legal perspective.

3.1. What kind of decisions in the merit of the case can the NRA issue, for example:(Required)

Issuing a license

Sanctioning

Approval (fe.g., a development plan)

Customer dispute resolution

Impose a legal obligation

Decisions based on EU regulations and network codes (may overlap with approval or obligation)

TSO/gas storage certification or other type of decision on independence of certain market participants

Decisions related to market functioning or network development

Other

3.1.1. If other, please specify:(Required)

3.2. What kind of decisions not in the merit of the case (procedural) can the NRA issue, for example:(Required)

Summoning someone on-site

Obliging someone to provide information

Procedural sanctioning/penalties to impose an obligation

Other

3.2.1. If other, please specify:(Required)

3.3. How can an administrative procedure be initiated?(Required)

On request of the complainant (for example by an application for a licence or by the complaint of a consumer)

Ex officio (by the NRA)

Other

3.3.1. What are the requirements for executing ex officio procedures?(Required)

3.3.2. If other, please specify:(Required)

3.4. If you have any comments to this section, please add below:

4. Decision-making process in regard to consumer protection

4.1. How/ by whom can the administrative consumer procedure be started?(Required)

By the individual consumer (complaint)

Consumer organisations/group of consumers

Ex officio by the NRA

Other

4.1.1. If other, please specify:(Required)

4.2. Are there any prerequisites (actions, documents, etc.) in order for the procedure to be initiated?(Required)

Yes

4.2.1. If yes, what are those?(Required)

The consumer must first try to settle the complaint with her/his service provide before filing a complaint

The consumer must first provide certain documents/evidence, please specify

Other

4.2.1.1. If consumer must first provide certain documents/evidence please specify:(Required)

4.2.1.2. If other, please specify:(Required)

4.2.2. What happens if the prerequisites are not fulfilled?(Required)

The NRA rejects the case/complaint

The NRA requests additional evidence/information

4.2.2.1. Does the NRA close the case if the requested evidence/ information is not provided?(Required)

Yes

4.3. Which parties are involved in the consumer administrative procedure?(Required)

The NRA as a decision-making body

The NRA as supportive body

The consumer/ complainant

The service provider

Other, please specify (e.g., experts)

4.3.1. If other, please specify:(Required)

4.4. What types of decisions in merit of the case can be issued?(Required)

Final decision or first instance decision if there are more instances in the administrative procedure

Dismissal of cases

Referral of the case to eligible authorities/ bodies

Other, please specify

4.4.1. If other, please specify:(Required)

4.5. How can the NRA’s decisions in case of non-compliance be enforced?(Required)

Sanctioning of the addressee of the decision

Initiation of a case before court

Other, please specify

4.5.1. If other, please specify:(Required)

4.6.1. What are the deadlines for prerequisites?(Required)

0 - 15 days

16 - 30 days

31 - 60 days

more than 60 days

Other, please specify

4.6.1.1. If other, please specify:(Required)

4.6.2. What are the deadlines for the administrative process?(Required)

0 - 15 days

16 - 30 days

31 - 60 days

more than 60 days

Other, please specify

4.6.2.1. If other, please specify:(Required)

4.6.3. What are the deadlines for the addresses of the decisions’ addressees?(Required)

0 - 15 days

16 - 30 days

31 - 60 days

more than 60 days

Other, please specify

4.6.3.1. If other, please specify:(Required)

4.6.4. Are there any penalties if the deadlines are not met?(Required)

Yes

4.6.4.1. If yes, please specify:(Required)

4.7. If you have any comments to this section, please add below:

5. Appeal mechanisms

5.1. Within the administrative procedure is there an appeal mechanism within the administrative procedure?(Required)

Yes

No (but judicial procedure can be initiated by filing a complaint)

5.1.1. The appeal is initiated by:(Required)

an organisation within an NRA (e.g., a specialised body or chamber within an NRA), please explain

an organisation outside the NRA (e.g., an independent appeal organisation), please explain

5.1.1.1. If the appeal is initiated by and organisation within an NRA, please specify:(Required)

5.1.1.2. If the appeal is initiated by and organisation outside the NRA, please specify:(Required)

5.1.2. How many instances of appeals are there within the administrative procedure(Required)

5.1.3. What are the possible outcomes of an appeal within the administrative procedure?(Required)

The decision of the NRA is upheld

The decision of the NRA is revoked and the case is dismissed

The decision of the NRA is modified (partially on in whole)

The NRA is obliged to repeat the whole administrative procedure and issue a new decision

Other, please specify

5.1.3.1. If other, please specify:(Required)

5.2.1. Judicial review before court. Which court has jurisdiction?(Required)

Administrative

Civil

Other, please specify

5.2.1.1. If other, please specify:(Required)

5.2.2. Possible outcomes of the judicial review:(Required)

The decision of the NRA is upheld

The decision of the NRA is revoked and the case is dismissed

The decision of the NRA is modified (partially on in whole)

The NRA is obliged to repeat the whole administrative procedure and issue a new decision

Other, please specify

5.2.2.1. If other, please specify:(Required)

5.3. If you have any comments to this section, please add below:

6. Alternative Dispute Resolution (ADR)

6.1. Please provide your national legal definition of ADR.(Required)

6.2. Does ADR exist in your country?(Required)

Yes

6.2.1. If ADR exists, who is responsible for that:(Required)

NRA

Third party specialized in energy-related issues (for example energy ADR-body, ombudsman, etc), please explain

Other third party (general ADR-body), please explain

6.2.1.1. If "Third party specialized in energy-related issues" selected, please explain:(Required)

6.2.1.2. If "Other third party" selected, please explain:(Required)

6.2.2. Is the participation of the service providers mandatory in the ADR process?(Required)

Yes

Depends on the type of service provider

6.2.3. Main characteristics of the ADR process in relation to customers. Are there prerequisites in order for the ADR be initiated?(Required)

Yes

6.2.3.1. If yes, what are those, please explain:(Required)

6.2.4. What are the deadlines for the ADR process, please explain:(Required)

6.2.5. What are the possible outcomes of the ADR process:(Required)

The case is dismissed (the complaint was unfounded)

The service provider is obliged to do something in favour of the consumer and/or pay compensation

Other, please explain

6.2.5.1. If other, please explain:(Required)

6.2.6. Is the resolution/ decision of the ADR-body legally binding/can be enforced?(Required)

Yes

6.3. If you have any comments to this section, please add below: