II. Periodic Re-Certification

A. Purpose

The purpose of the periodic re-certification process is to provide continuing assurance to both the generating asset owner and the CPUC that the maintenance program(s) being employed to sustain their generating assets continue to be adequate to maintain or improve their current generating capability.

B. Requirement

By the last business day in the month of June, following the first full year of operation since the original certification, and every 2 years thereafter, the generating asset owner shall provide to the CPUC a certification, signed by an officer of the company under oath and affirmation, that the generating asset owner continues to have in place, and effectively implements, a maintenance program(s) for each of its generating assets that meets the intent of the generation maintenance performance standards, with exceptions noted. For exceptions, a corrective action plan and timeline will be included. If there is no intent to meet the performance standard, adequate justification must be provided. The basis for the certification shall be a documented self-assessment conducted by the generating asset owner completed within 60 days of the date of re-certification.

1. The re-certification report shall include, as a minimum:

a) The identity of the generating asset owner

b) The identity of the generating asset(s)

c) A list of deficiencies noted during the performance of the re-certification self-assessment, and a summary remedial action plan and timeline for each deficient area. If there is no intent to meet the performance 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.

d) The location of the record(s) of the periodic self-assessment(s).

e) The name(s) and contact information of the asset owner representative(s) that the CPUC should contact related to the periodic self-assessment(s) or the certification.

2. The minimum record requirements for the periodic 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.

3. 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.

4. 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 performance standards, if any.