§ 3207. Compliance Reporting for POUs.
20 CA ADC § 3207Barclays Official California Code of Regulations
20 CCR § 3207
§ 3207. Compliance Reporting for POUs.
(b) Within 90 calendar days after the effective date of these regulations, any POU that has adopted rules allowing for historic carryover, in accordance with section 3206 (a)(5), shall submit documentation to the Commission including all applicable procurement claims by RPS-certified facility and generation month for January 1, 2004 - December 31, 2010 (or the date on which the POU became operational through December 31, 2010), baseline calculations used to determine the amount of historic carryover claimed, annual procurement target calculations for 2004-2010, and any other pertinent documentation necessary.
(c) By July 1 of each year, each POU shall submit an annual report to the Commission that includes the information in section 3207 (c)(1)-(4) for the prior calendar year. The format for the annual report shall be specified by the Commission, but the information contained in the annual report may be combined with other existing reports that contain the same information and are also supplied to the Commission. If the annual report refers to information provided to the Commission through existing reports, the annual report shall reference the information by identifying the name, submittal date, and page number of the existing report. The annual report shall include an attestation, signed by an authorized agent of the POU, affirming that the information provided in the report is true and correct.
(F) Information and supporting contract documentation for each of the eligible renewable energy resources with which the POU has executed contracts or ownership agreements during the prior year, including but not limited to the contracted amount of MWh or the contracted percentage of the resource's total output, if applicable; resource fuel type; the execution date of the procurement contract or ownership agreement; the contract or ownership agreement start date; the duration of the procurement contract or ownership agreement in accordance with section 3204 (d); the anticipated portfolio content category classification(s) for the electricity products procured through the contract or ownership agreement; the anticipated long-term or short-term classification for the electricity products procured through the contract or ownership agreement; the seller's name, if the resource is not owned by the POU; a summary of the resource names and identification numbers; and for long-term contracts, information on how the contract meets the requirements of section 3204 (d), including the associated page numbers in the contract where the terms can be located, subject to section 3207 (c)(2)(F)1.-2.
1. Upon request from Commission staff, a POU with a long-term contract pursuant to section 3204 (d)(2)(B)2. shall submit documentation showing that the underlying contract(s) meet the requirements of section 3204 (d)(2)(A)-(C). For contracts executed prior to July 1, 2020, this documentation may include excerpted contract information, an attestation by the third-party supplier regarding the underlying contract duration or ownership of the RPS-certified facility or facilities, or both.
2. Documentation demonstrating a long-term contract meets the requirements of section 3204 (d)(2)(A)-(C) may be submitted directly to the Commission by the third-party supplier or another party on the POU's behalf. The documentation may include an attestation by the POU that the contract with the RPS-certified facility or facilities meets the requirements of section 3204 (d)(2)(A)-(C). An attestation may be submitted only if the POU possesses records to support the accuracy of the information to which it attests and the POU agrees to make such records available to the Commission upon request in the event of an audit or investigation.
(G) Documentation demonstrating the portfolio content category classification and long-term or short-term classification claimed for all of the POU's procured electricity products during the prior year. This documentation may include contract information, if not previously submitted; interconnection agreements; NERC e-Tag data; scheduling agreements; and firming and shaping agreements.
(H) A description of any modifications to contracts, ownership, or ownership agreements previously reviewed and evaluated by the Commission from which a POU intends to claim long-term procurement, including, but not limited to, changes to contract duration, procurement quantities, addition or substitution of resources or fuel, reallocation between parties of a jointly negotiated contract, and efficiency improvements or facility expansions that change procured generation. The POU's explanation shall include documentation supporting the modifications.
(I) A description of any identified issues that occurred that have the potential to delay the POU's timely compliance with the RPS procurement requirements defined in section 3204, and planned actions to minimize the delay of timely compliance. Such issues may include, but are not limited to, inadequate transmission to allow for procurement to be delivered from eligible renewable energy resources, permitting, interconnection, or other circumstances that have delayed the procurement from eligible renewable energy resources, unanticipated curtailment of a contracted or owned eligible renewable energy resource, an unanticipated increase in retail sales due to transportation electrification, and higher-than-expected costs for the procurement or development of eligible renewable energy resources.
(J) A description of the energy consumption by the POU, including any electricity used by the POU for water pumping, or any other electricity procured by the POU for purposes other than supplying its retail sales. The description shall include the purpose of this consumption, the annual amount in MWh associated with the consumption or other end-use, and whether the consumption or other end-use was excluded from the POU's retail sales.
(C) Actions taken to develop eligible renewable energy resources to satisfy the POU's RPS procurement requirements, including initiating environmental studies, completing environmental studies, acquiring interests in land for facility siting or transmission, filing applications for facility or transmission siting permits, and receiving approval for facility or transmission siting permits.
(4) In addition to the information specified in section 3207 (c)(3)(A) - (G), the POU shall include a description of all actions planned by the POU in the current calendar year to demonstrate progress toward achieving the POU's RPS procurement requirements. The description of actions planned shall include, but not be limited to, a discussion of activities specified in section 3207 (c)(3)(A) - (G).
i. Requests shall be limited to contracts executed on or after July 1, 2020, which on their face require additional information or justification to establish that the contracts meet the requirements of section 3204 (d)(2)(C). For purposes of this section 3207 (c)(5)(A), a contract includes both a contract that has been fully executed by the parties and a contract that has been fully negotiated by the contracting parties but not formally approved by the governing board of the POU, as may be necessary. Contracts that on their face meet the requirements of having reasonably consistent contracted-for quantities, no zero-cost early termination clauses, and defined output share or quantities of procurement and minimum pricing terms, as set forth in sections 3204 (d)(2)(C)1.i.-iii., 3204 (d)(2)(C)2., and 3204 (d)(2)(C)3. respectively, shall not be eligible for voluntary early review.
i. During the annual reporting for the reporting year ending December 31, 2020, or within 30 days of the effective date of these regulations, whichever is later, each POU shall identify the long-term or short-term classification for all contracts previously reported to the Commission pursuant to section 3207 (c). Commission staff shall verify all contract claims specific to the long-term procurement requirements during the review process to verify procurement claims for the compliance period ending December 31, 2020.
i. Following the POU submittal of new and amended contract information and supporting documentation during the annual report process specified in section 3207 (c), Commission staff will verify the information provided and review the supporting documentation submitted. To the extent possible, staff shall complete all reviews and notify the POU of the verification status within 365 days of the annual submittal of complete information and supporting documentation.
(C) A POU may request reconsideration of an Executive Director determination under section 3207 (c)(5)(A) or a staff determination under section 3207 (c)(5)(B) by filing a petition for reconsideration to the Commission within 30 calendar days of issuance of the determination. The petition for reconsideration shall be filed and processed in a manner consistent with a request for investigation pursuant to sections 1231 - 1232.5.
2. If the long-term contract determination was made by the Executive Director, or their designee, under section 3207 (c)(5)(A) or in conjunction with staff under section 3207 (c)(5)(B), the petition for reconsideration shall be filed with the Executive Director, who shall submit the request to the Commission Chair for review in a manner consistent with section 1232.5.
(d) The Commission shall verify a POU's procurement claims for each compliance period following the process in the RPS Guidelines. Within 90 days of the POU's receipt of the Commission's draft verification results, the POU shall submit a compliance report that provides the following information for the applicable compliance period:
(2) The amount of draft verified procurement retired, in MWh, for the compliance period that the POU applies toward the RPS procurement requirements for the compliance period. The POU shall report the amount of draft verified procurement applied from each portfolio content category or meeting the criteria of section 3202 (a)(2). For each portfolio content category, the POU shall additionally report the amount from each category that is classified as long-term or short-term.
(3) The amount of excess procurement, in MWh, accrued in previous compliance periods, if any, and historic carryover, if any, that the POU is applying to the RPS procurement target for the compliance period. The POU shall report the amount of excess procurement applied from each portfolio content category or that meets the criteria of section 3202 (a)(2) or historic carryover. For each portfolio content category, the POU shall additionally report the amount that is classified as long-term or short-term.
(4) The amount of excess procurement, in MWh, accrued for the compliance period, if any, that may be applied toward future compliance periods, as determined by applying the calculation in section 3206 (a)(1)(H) or section 3206 (a)(1)(I)6., as applicable. The POU shall report the amount of accrued excess procurement from each portfolio content category or meeting the criteria of section 3202 (a)(2). For each portfolio content category, the POU shall additionally report the amount that is classified as long-term or short-term.
(A) For the annual report submitted July 1, 2021, or within 30 days of the effective date of these regulations, whichever is later, a POU that adopted rules permitting it to make a voluntary early compliance election pursuant to section 3206 (a)(1)(G) or section 3206 (a)(1)(I)3. shall report on any election made in accordance with its adopted rules.
(5) If a POU's compliance report indicates that the POU's RPS procurement requirements were not met, the POU shall submit copies of its renewable energy resource procurement plan(s) and enforcement program(s) in effect during the compliance period, if not previously submitted to the Commission, and provide documentation to justify the application of any optional compliance measures adopted by the POU in accordance with section 3206. The documentation shall include all reports, analyses, proposed findings, and any other information upon which the POU relied in applying the measure, as well as the amount of the shortfall each optional compliance measure is intended to satisfy.
i. For a POU that is required to adopt an Integrated Resource Plan pursuant to Public Utilities Code section 9621, the POU's explanation shall address any differences relating to the cost and supply of eligible renewable energy resources and anticipated rate impacts used in its most recently adopted Integrated Resource Plan.
ii. The reasonable measures that the POU undertook under its control and consistent with its obligations under local, state, and federal laws and regulations to develop and construct new transmission lines or upgrades to existing lines intended to transmit electricity generated by eligible renewable energy resources, in light of the POU's expectation for cost recovery.
5. If the cause for delay was allowed under section 3206 (a)(2)(A)3., the POU shall also provide information showing that the curtailment event was unanticipated, the expected amount of eligible renewable energy generation attributed to the unanticipated curtailment event, whether the unanticipated curtailment events resulted in an increase in greenhouse gas emissions, and factors the POU relied upon in making this determination.
6. If the cause for delay was allowed under section 3206 (a)(2)(A)4., the POU shall also provide information showing its forecasted amount of retail sales due to transportation electrification for the compliance period, the amount of actual retail sales attributed to transportation electrification for the compliance period, and how the POU considered the requirements of section 3206 (a)(2)(A)4.i-ii when determining that the unanticipated increase in retail sales prevented timely compliance.
(f) In addition to the applicable reporting requirements in section 3207 (a) - (d), a POU that meets the criteria listed in Public Utilities Code section 399.30 (j) shall annually submit to the Commission, by the deadline for annual reports specified in section 3207 (c), documentation demonstrating that the POU provides electric services to a local government that is both a city and county of the state and that the POU receives greater than 67 percent of its electricity sources to meet its electricity demands on an annual basis from qualified hydroelectric facilities as defined in section 3204 (b)(3). The Commission may request additional documentation if necessary to determine whether the POU meets the criteria listed in Public Utilities Code section 399.30 (j). A POU that meets the criteria listed in Public Utilities Code section 399.30 (j) must additionally submit its total electricity demand and documentation of its annual qualifying hydroelectric generation, and provide evidence that any electricity demands unsatisfied by its qualifying hydroelectric generation in any given year are met with procurement from eligible renewable energy resources, including renewable energy credits.
(g) In addition to the applicable reporting requirements in section 3207 (a) - (d), a POU that meets the criteria listed in Public Utilities Code section 399.30 (h) shall submit to the Commission, by the deadline for annual reports specified in section 3207 (c) for the final year of each compliance period, documentation demonstrating that the POU provides retail electric service to 15,000 or fewer customer accounts in California, and that it is interconnected to a balancing authority primarily located outside California but within WECC. The Commission may request additional documentation if necessary to determine whether the POU meets the criteria listed in Public Utilities Code section 399.30 (h).
(1) A POU that meets the criteria specified in section 3204 (b)(6)(B) for the compliance period beginning January 1, 2014, shall submit by July 1, 2017, documentation demonstrating that the average annual qualifying hydroelectric generation as defined in section 3204 (b)(6)(A) in the twenty years preceding the compliance period, or the entire generating history of the qualifying hydroelectric generation facility, whichever is less, is greater than 50 percent of the POU's retail sales for the year preceding that compliance period. The POU must additionally submit documentation to identify the amounts of qualifying hydroelectric generation produced during the compliance period, qualifying hydroelectric generation procured by the POU during the compliance period, and any generation during the compliance period that would have qualified as qualifying hydroelectric generation as defined in section 3204 (b)(6)(A), except that it resulted from an increase in the amount of water stored by a dam, because the dam was enlarged or otherwise modified after December 31, 2012. The Commission may request additional documentation if necessary to determine whether the POU meets the criteria listed in section 3204 (b)(6)(B) and to determine the amounts of any generation that qualifies as qualifying hydroelectric generation, or that would have qualified as qualifying hydroelectric generation, except that it resulted from an increase in the amount of water stored by a dam, because the dam was enlarged or otherwise modified after December 31, 2012. Additionally, the Commission may request additional documentation if necessary to determine whether any amount reported as qualifying hydroelectric generation includes incremental generation as a result of efficiency improvements to a large hydroelectric generation facility eligible for the RPS in accordance with Public Utilities Code section 399.12.5 (b).
(2) A POU that meets the criteria specified in section 3204 (b)(6)(C) for a given reporting year between January 1, 2017, through December 31, 2018, shall submit to the Commission, by the deadline for annual reports specified in section 3207 (c), or within 30 days of the effective date of these regulations, whichever is later, the following:
(B) Any additional documentation requested by the Commission if necessary to determine whether the POU meets the criteria of section 3204 (b)(6)(C) and to determine the amounts of any generation that is or would have been qualifying hydroelectric generation, except that it resulted from an increase in the amount of water stored by a dam, because the dam was enlarged or otherwise modified after December 31, 2012.
(i) In addition to the applicable reporting requirements in section 3207 (a)-(d), a POU that meets the criteria specified in section 3204 (b)(7) for a given reporting year between January 1, 2016, through December 31, 2018, shall submit to the Commission, by the deadline for annual reports specified in section 3207 (c), or within 30 days of the effective date of these regulations, whichever is later, the following:
(A) If the agreements effective January 1, 2015, or renewals or extensions of those agreements, include generation that does not meet the definition of large hydroelectric generation provided in section 3204 (b)(7)(A), the POU's narrative shall demonstrate that only generation meeting the definition of large hydroelectric generation in section 3204 (b)(7)(A) is reported in section 3207 (i)(1).
(5) Annual retail sales for the reporting year, for a POU that is a joint powers authority of districts established pursuant to state law on or before January 1, 2005, that furnishes electric services other than to residential customers, and is formed pursuant to the Irrigation District Law (Division 11 [commencing with section 20500] of the Water Code).
(j) In addition to the applicable reporting requirements in section 3207 (a)-(d), a POU that meets the criteria specified in section 3204 (b)(8) for any given reporting year between January 1, 2019, and December 31, 2030, shall submit to the Commission, by the deadline for annual reports specified in section 3207 (c), or within 30 days of the effective date of these regulations, whichever is later, the following:
(4) A narrative explaining how the generation reported in section 3207 (j)(1) satisfies the requirements of large hydroelectric generation provided in section 3204 (b)(8)(A) and whether there have been any changes to the agreements, renewals, and extensions, including, but not limited to, changes in ownership, changes in contract quantity or allocation percentage, or planned incremental efficiency upgrades to the hydroelectric facilities.
(A) If the agreements, renewals, or extensions include generation that does not meet the definition of large hydroelectric generation in section 3204 (b)(8)(A), the narrative shall include documentation demonstrating that only generation meeting the definition of large hydroelectric generation in section 3204 (b)(8)(A) is reported in section 3207 (j)(1).
(5) Annual retail sales for the reporting year, for a POU that is a joint powers authority of districts established pursuant to state law on or before January 1, 2005, that furnishes electric services other than to residential customers, and is formed pursuant to the Irrigation District Law (Division 11 [commencing with section 20500] of the Water Code).
(k) In addition to the applicable reporting requirements in section 3207 (a)-(d), a POU that elects to exclude from its retail sales the eligible renewable energy resources credited to participating customers in the POU's voluntary green pricing or shared renewable generation program in accordance with section 3204 (b)(9), shall report the following information annually by the deadline for annual reports specified in section 3207 (c), or within 30 days of the effective date of these regulations, whichever is later:
(3) Documentation, including WREGIS reports, demonstrating that the RECs associated with the qualifying electricity products provided under the POU's voluntary green pricing or shared renewable generation program were retired in a WREGIS subaccount designated for the benefit of the participating customers and were not further transferred, sold, or monetized.
(6) A description of how the POU sought to procure, to the extent possible, the qualifying electricity products excluded from the POU's retail sales from eligible renewable energy resources located within a California balancing authority area, except as provided in section 3204 (b)(9)(B)4.i. This description shall include an explanation of the factors the POU considered and measures it took in seeking to procure within a California balancing authority area, and the POU's procurement decision outcomes.
(m) In addition to the applicable reporting requirements in section 3207 (a)-(d), starting with the compliance period beginning January 1, 2025, a POU that reduces its procurement target pursuant to section 3204 (b)(11) shall submit to the Commission, by the deadline for annual reports specified in section 3207 (c) for the final year of each compliance period, the following information:
(2) Documentation demonstrating that the qualifying gas-fired power plant meets the criteria of Public Utilities Code section 399.33 (a). This documentation may include, but is not limited to: findings adopted by the POU's governing board, adopted city council resolutions, proof of facility ownership, financial records, compliance filings, and/or wage schedules or other such documents for facility employees.
(n) In addition to the applicable reporting requirements in section 3207 (a)-(d), a POU that meets the criteria of Public Utilities Code section 399.18 shall submit to the Commission, by the deadline for annual reports specified in section 3207 (c) for the final year of each compliance period, or within 30 days of the effective date of these regulations, whichever is later, documentation demonstrating that the POU satisfied the criteria for that compliance period.
(1) If the Executive Director determines a report submitted by a POU pursuant to this section is incorrect or incomplete, or if the POU did not submit a report by the deadline, the Executive Director shall issue a written notice to the POU specifying what information is missing or needs to be corrected in the report or, in the case of an unsubmitted report, that the report is past due. If a POU submits the missing or correct information or a complete report to the Commission within ten (10) business days of receipt of such notice, or such later date as specified in the notice, the POU's initial failure to submit a complete and correct report by the reporting deadline shall not be processed as a separate violation under these regulations. Written notices issued pursuant to this subdivision may include e-mail or other written communications.
(2) A POU may request an extension of time to submit the missing or correct report information or the missing report specified in the written notice issued by the Executive Director. Such a request for an extension of time must be received by the Commission no later than the date the missing or correct information or missing report is due to the Commission as specified in the Executive Director's written notice. The Executive Director shall act on a request for an extension of time within five business days after it is received by the Commission and may grant an extension of time of up to 30 calendar days from the date the missing or correct report information or missing report is due under the written notice if the Executive Director finds that there is good cause for an extension. The POU's initial failure to submit a complete and correct report shall not be deemed a separate violation under these regulations if the Commission receives the complete or correct report information or missing report by the date specified in the extension. In determining whether good cause exists for purposes of this subdivision, the Executive Director may consider, without limitation, the following factors:
Credits
Note: Authority cited: Sections 25213 and 25218(e), Public Resources Code; and Sections 399.30 and 9508, Public Utilities Code. Reference: Section 25747, Public Resources Code; and Sections 399.13, 399.15, 399.16, 399.18, 399.30, 399.33, 9507 and 9508, Public Utilities Code.
History
1. New section filed 8-28-2013; operative 10-1-2013 (Register 2013, No. 35).
2. Amendment of subsections (c) and (c)(2)(F), repealer and new subsection (c)(2)(I), new subsections (g)-(h) and subsection relettering filed 4-12-2016; operative 4-12-2016 pursuant to Government Code section 11343.4(b)(3) (Register 2016, No. 16).
3. Amendment of section and Note filed 7-12-2021; operative 7-12-2021 pursuant to Government Code section 11343.4(b)(3) (Register 2021, No. 29).
4. Change without regulatory effect amending subsections (c)(5)(A)4.-5., (c)(5)(C)2. and (p)(1)-(2) filed 8-24-2022 pursuant to section 100, title 1, California Code of Regulations (Register 2022, No. 34).
This database is current through 3/10/23 Register 2023, No. 10.
Cal. Admin. Code tit. 20, § 3207, 20 CA ADC § 3207
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