Utility Filing Requirements

Compliance Filing or
Request for Commission Evaluation of a Prospective Procurement

The information required to allow the Energy Commission to make a informed decision regarding the compliance of an investment with the EPS, whether the investment has been made (Compliance Filing) or not (Request for Commission Evaluation of a Prospective Procurement), will depend upon whether the investment consists of:

1. Construction or purchase of a new facility
2. The purchase of an existing facility
3. A contract with a new or existing facility or facilities
4. Capital investment in an existing, utility-owned facility

At a minimum, the following information will be required.

(1) Construction or Purchase of New Facility

• Prime mover(s), manufacturer(s), model(s)
• Rated capacity
• Fuel used (e.g., natural gas)
• Assumed carbon content of combusted fuel (if other than natural gas)
• Expected operating profile, source of estimate (e.g., simulation of portfolio dispatch by utility staff)
• Expected energy output, source of estimate
• Expected fuel use profile, CO2 emissions under actual conditions, source of estimate

(2) Purchase of Existing Units or Facilities

Information in (1), plus the following:

• Identification Number, if any (e.g., EIA plant number)
• Previous Owner (current owner if Pre-approval)
• Available historical operations data (gross and net generation, fuel use, emissions data)
• Comparison of operating profile indicated by historical data to expected operating profile, if different
• If modifications to the purchased physical plant are anticipated and these can be expected to affect fuel consumption at specific levels of output, a summary of the expected modifications and their impact.

(3) Contracts with New or Existing Units or Facilities

In addition to the information requested for units constructed or purchased by a utility, the following information is requested for contracts:

• Name of Counter-Party
• Length of Contract
• Duration of Contract
• Product (e.g., energy, capacity with call option for energy)
• (Expected) Deliverables (quantities, time profile)
• Must-take provisions
• Dispatch provisions
• Unit Contingency
• Describe the circumstances, if any, under which the seller may or must provide energy from units/facilities other than those listed, and any limits on the amount of energy that may be provided. Provide relevant sections of the (proposed) contract, if available.

For Cogeneration: If the unit will be serving as a thermal host for an industrial process, provide:

• An estimate of the steam to be used in the industrial process and the source of the estimate
• References to the sections of the contract that limit the shares of energy to be devoted to the industrial process or electric generation, constrain electrical generation during periods when energy is not needed for industrial processes, or otherwise influence the allocation of energy to industrial use and generation.

(4) Investment in Existing, Utility-owned Facilities

• Name of unit(s), facility
• Prime mover(s), manufacturer(s), model(s)
• Current (historical) rated capacity
• Fuel used (e.g., natural gas)
• Assumed carbon content of combusted fuel (if other than natural gas)
• Current (historical) operating profile, energy output, CO2 emissions
• Discussion of modifications of physical plant expected to affect fuel consumption at specific levels of output
• Rated capacity, post-investment
• Expected operating profile, post-investment, source of estimate
• Expected energy output, post-investment, source of estimate

Request for Reliability Exemption

Supporting documentation for a Reliability Exemption must demonstrate:

• The need for the unit from a reliability perspective (time period, conditions under which the unit is needed, portion of transmission grid affected and analyzed).
• The relationship between unit operation and reliability needs (when and at what levels the unit must be operated).
• Discussion of alternatives (alternative investments, if any, that could serve to meet reliability needs).

Request for Financial Exemption

Documentation in support of a Request for a Financial Exemption must clearly demonstrate:

• The precise role that the investment will play in meeting utility needs (e.g., energy, energy and capacity, reducing CO2 emissions).
• An estimate of the costs associated with the investment.
• Discussion of alternatives, including, if feasible, the "no project" alternative.

The should be required to make a showing that they will incur significant financial harm if required to comply with the EPS.

Request for Exemption Due to Pre-existing Multi-party Commitment

Supporting documentation for a request of Exemption due to a Pre-existing Multi-party Commitment should include a copy of the contract(s) that commits the utility to participation in an investment. It should also include a document that refers to and summarizes the sections of the contract that:

• Require participation of the utility in the investment.
• Establish and define a procedure that allows owners to vote for or against an investment, or nominate their level of participation in investments.
• Establish penalties or other disincentives for non-participation, including recourse for other owners to recover associated costs.