I. Initial Certification

A. Purpose

The purpose of the initial certification process is to provide assurance to both the generating asset owner and the CPUC that the maintenance program(s) being employed are adequate to maintain or improve their current generating capability.

B. Requirement

Within 90 days of the announcement of the Generation Maintenance Program implementation, or prior to commencement of operations for any generating asset not in an active status at the time of issue, the generating asset owner shall provide a certification to the CPUC. This certification is to be signed by an officer of the company under oath and affirmation, that the generating asset owner has in place, and is effectively implementing, a maintenance program for each of its generating assets that meets the intent of the Generation Maintenance Performance Standards & Assessment Guidelines. Any exceptions should be noted and accompanied by a corrective action plan and timeline or adequate justification for the exception. The basis for the certification shall be a documented self-assessment conducted by the generating asset owner. The self-assessment shall be against the generation maintenance performance standards and should use the associated assessment guidelines as a measurement tool to understand the intent of a particular standard.

1. The initial certification shall include, as a minimum:

1. The identity of the generating asset owner

2. The identity of the generating asset(s)

3. A summary description of its maintenance program. Where generating asset owners elect to use a single or common program for multiple generating assets, they shall clearly identify the assets to which the certification applies.

4. A list of deficiencies noted during the performance of the initial self-assessment, and a summary remedial action plan including timeline for each deficient area. If a performance standard is not applicable to the generation assets or the owner chooses not to meet the standard, adequate justification must be provided. As used in this context, a deficiency is failure to satisfy a maintenance performance standard as described in the generation maintenance performance standards. Where generating asset owners elect to use a single or common program for multiple generating assets, deficiencies shall be identified as either a generic deficiency or a deficiency specific to a particular asset within the grouping included in the certification.

5. The location of the records of the initial self-assessment.

6. The name and contact information of the asset owner representative that the CPUC should contact related to the initial self-assessment or the certification. If applicable, for each generating asset.

2. The summary description for each program included in the certification report shall include, as a minimum:

a) For each performance standard in the generation maintenance performance standards, provide a brief statement describing how the generating asset owner meets the intent for each asset included in the certification.

b) Where appropriate, a listing of applicable document(s) that govern the activity, including title, revision and revision date.

c) If exceptions are taken to any performance standard, provide adequate justification.

NOTE: The CPUC may, at its discretion, seek additional information or justification in cases where a generating asset owner has taken exception to a performance standard.

3. The minimum record requirements for the initial self-assessment include, but are not limited to:

a) Identification of self-assessment team members

b) Procedure or charter used to guide conduct of the self-assessment

c) List of persons contacted/interviewed during the self-assessment

d) List of documents reviewed as part of self-assessment

e) Dates and times of major events of the self-assessment

f) Reports which document the findings for each Performance Standard

g) If the self-assessment is applicable to a grouping of Assets, the identity of all Assets included in the self-assessment.

4. Exceptions or modifications to requirements

a) If a generating asset is purchased from an existing generating asset owner, the acquiring generation asset owner shall submit initial certification prior to close of the sale.

b) The owner of any new generating asset must submit an initial certification prior to commercial operation of the generating asset or specify an existing self-assessment under which the asset is to be certified.

5. Notice of Receipt of Certification

The CPUC shall, within 15 working days of receipt of certification, acknowledge receipt of the certification by providing written notice. Such notice shall be addressed to the certifying officer.

6. Notice of Request for Additional Information

The CPUC shall, within 60 days of receipt of certification, provide written notice to the certifying officer of any additional request for information regarding exceptions taken to the performance standards, if any.