20 CSR 4240-22.080 - Filing Schedule, Filing Requirements, and Stakeholder Process
(1) Each
electric utility which sold more than one (1) million megawatt-hours to
Missouri retail electric customers for calendar year 2009 shall make a filing
with the commission every three (3) years on April 1. The electric utilities
shall submit their triennial compliance filings on the following schedule:
(A) Kansas City Power & Light Company and
KCP&L Greater Missouri Operations Company, or their successors, on April 1,
2012, and every third year thereafter;
(B) The Empire District Electric Company, or
its successor, on April 1, 2013, and every third year thereafter; and
(C) Union Electric Company d/b/a Ameren
Missouri, or its successor, on April 1, 2014, and every third year
thereafter.
(2) The
utility's triennial compliance filings shall demonstrate compliance with the
provisions of this chapter and shall include at least the following items:
(A) Letter of transmittal expressing
commitment to the approved preferred resource plan and resource acquisition
strategy and signed by an officer of the utility having the authority to bind
and commit the utility to the resource acquisition strategy;
(B) If the preferred resource plan is
inconsistent with the utility's business plan, an explanation of the
differences and why the differences exist;
(C) Technical volume(s) that fully describe
and document the utility's analysis and decisions in selecting its preferred
resource plan and resource acquisition strategy.
1. The technical volume(s) shall include all
documentation and information specified in
4 CSR
240-22.030-4 CSR
240-22.070 and any other information considered by the
utility to analyze and select its resource acquisition strategy.
2. The technical volume(s) shall be organized
by chapters corresponding to
4 CSR
240-22.030-4 CSR
240-22.070.
3. A separate chapter shall be designated in
the technical volume(s) to address special contemporary issues pursuant to
4 CSR
240-22.080(4) and input from the
stakeholder group pursuant to
4 CSR
240-22.080(5). The chapter shall
identify the issues raised, how the utility addressed them, and where in the
technical volume(s) the reports, analyses, and all resulting actions are
presented.
(D) The
forecast of capacity balance spreadsheet completed in the specified form,
included herein, for the preferred resource plan and each candidate resource
plan considered by the utility.
(E)
An executive summary, separately bound and suitable for distribution to the
public in paper and electronic formats. The executive summary shall be an
informative non-technical description of the preferred resource plan and
resource acquisition strategy. This document shall summarize the contents of
the technical volume(s) and shall be organized by chapters corresponding to
4 CSR
240-22.030-4 CSR
240-22.070. The executive summary shall include:
1. A brief introduction describing the
utility, its existing facilities, existing purchase power arrangements,
existing demand-side programs, existing demand-side rates, and the purpose of
the resource acquisition strategy;
2. For each major class and for the total of
all major classes, the base load forecasts for peak demand and for energy for
the planning horizon, with and without utility demand-side resources, and a
listing of the economic and demographic assumptions associated with each base
load forecast;
3. A summary of the
preferred resource plan to meet expected energy service needs for the planning
horizon, clearly showing the demand-side resources and supply-side resources
(both renewable and non-renewable resources), including additions and
retirements for each resource type;
4. Identification of critical uncertain
factors affecting the preferred resource plan;
5. For existing legal mandates and approved
cost recovery mechanisms, the following performance measures of the preferred
resource plan for each year of the planning horizon:
A. Estimated annual revenue
requirement;
B. Estimated level of
average retail rates and percentage of change from the prior year;
and
C. Estimated company financial
ratios;
6. If the
estimated company financial ratios in subparagraph (2)(E)5.C. of this rule are
below investment grade in any year of the planning horizon, a description of
any changes in legal mandates and cost recovery mechanisms necessary for the
utility to maintain an investment grade credit rating in each year of the
planning horizon and the resulting performance measures of the preferred
resource plan;
7. Actions and
initiatives to implement the resource acquisition strategy prior to the next
triennial compliance filing; and
8.
A description of the major research projects and programs the utility will
continue or commence during the implementation period; and
(F) Such other information or format as the
commission may determine.
(3) Beginning in 2012, on or about April 1 of
every year in which the utility is not required to submit a triennial
compliance filing, each electric utility shall host an annual update workshop
with the stakeholder group. The utility at its discretion may host additional
update workshops when conditions warrant. Any additional update workshops shall
follow the same procedures as the annual update workshop.
(A) The purpose of the annual update workshop
is to ensure that members of the stakeholder group have the opportunity to
provide input and to stay informed regarding the-
1. Utility's current preferred resource
plan;
2. Status of the identified
critical uncertain factors;
3.
Utility's progress in implementing the resource acquisition strategy;
4. Analyses and conclusions regarding any
special contemporary issues that may have been identified pursuant to 4 CSR
24022.080(4);
5. Resolution of any
deficiencies or concerns pursuant to
4 CSR
240-22.080(16); and
6. Changing conditions generally.
(B) The utility shall prepare an
annual update report with both a public version and a highly-confidential
version to document the information presented at the annual update workshop and
shall file the annual update reports with the commission no less than twenty
(20) days prior to the annual update workshop. The depth and detail of the
annual update report shall generally be commensurate with the magnitude and
significance of the changing conditions since the last filed triennial
compliance filing or annual update filing. If the current resource acquisition
strategy has changed from that contained in the most-recently-filed triennial
compliance filing or annual update filing, the annual update report shall
describe the changes and provide updated capacity balance spreadsheets required
pursuant to 4 CSR
240-22.080(2)(D). If the current
resource acquisition strategy has not changed, the annual update report shall
explicitly verify that the current resource acquisition strategy is the same as
that contained in the most-recently-filed triennial compliance filing or annual
update filing.
(C) The utility
shall prepare a summary report that shall list and describe any action items
resulting from the workshop to be undertaken by the utility prior to next
triennial compliance filing or annual update filing. The summary shall be filed
within ten (10) days following the workshop. If there are no changes as a
result of the workshop, the utility is required to file a notice that it will
not be making any changes to its annual update report.
(D) Stakeholders may file comments with the
commission concerning the utility's annual update report and summary report
within thirty (30) days of the utility's filing of the summary
report.
(4) It is the
responsibility of each utility to keep abreast of evolving electric resource
planning issues and to consider and analyze these issues in a timely manner in
the triennial compliance filings and annual update reports. An order containing
a list of special contemporary issues shall be issued by the commission for
each utility to analyze and document in its next triennial compliance filing or
next annual update report. The purpose of the special contemporary issues lists
is to ensure that evolving regulatory, economic, financial, environmental,
energy, technical, or customer issues are adequately addressed by each utility
in its electric resource planning. Each special contemporary issues list will
identify new and evolving issues but may also include other issues such as
unresolved deficiencies or concerns from the preceding triennial compliance
filing. To develop the list of special contemporary issues-
(A) No later than September 15, staff, public
counsel, and parties to the last triennial compliance filing of each utility
may file suggested special contemporary issues for each utility to
consider;
(B) Not later than
October 1, the utilities, staff, public counsel, and parties to the last
triennial compliance filings may file comments regarding the special
contemporary issues filed on September 15; and
(C) No later than November 1, an order
containing a list of special contemporary issues shall be issued by the
commission for each utility to analyze and document in its next triennial
compliance filing or annual update report. The commission shall not be limited
to only the filed suggested special contemporary issues. If the commission
determines that there are no special contemporary issues for a utility to
analyze, an order shall be issued by the commission stating that there are no
special contemporary issues.
(5) Each electric utility shall convene a
stakeholder group to provide the opportunity for public input into electric
utility resource planning in a timely manner that may affect the outcome of the
utility resource planning efforts. The utility may choose to not incorporate
some, or all, of the stakeholder group input in its analysis and
decision-making for the triennial compliance filing.
(A) The utility shall convene at least one
(1) meeting of the stakeholder group prior to the triennial compliance plan
filing to present a draft of the triennial compliance filing corresponding to
4 CSR
240-22.030-4 CSR
240-22.050 and to present an overview of its proposed
alternative resource plans and intended procedures and analyses to meet the
requirements of 4 CSR 240-22.060 and
4 CSR
240-22.070. The stakeholders shall make a good faith
effort to provide comments on the information provided by the utility, to
identify additional alternative resource plans, and to identify where the
utility's analyses and intended approaches may not meet the objectives of the
rules.
(B) Within thirty (30) days
of the last stakeholder group meeting pursuant to subsection (5)(A) of this
rule, any stakeholder may provide the utility and other stakeholders with a
written statement summarizing any potential deficiencies in or concerns with
the utility's proposed compliance with the electric resource planning rules.
The utility has the opportunity to address the potential deficiencies or
concerns identified by any stakeholder in its preparation of the triennial
compliance filing.
(C) Any
stakeholder input through the process described in section (5) of this rule
does not preclude the stakeholder from filing reports in accordance with
section (7) or (8) of this rule.
(6) The commission will establish dockets for
the purpose of receiving the triennial compliance filings. Unless the
commission specifies otherwise, the docket of the triennial compliance filing
of each affected utility shall remain open to receive annual update reports
including workshop summary reports, notifications of changes to the preferred
plan, and other relevant documents submitted between triennial compliance
filings. The commission will issue orders that establish an intervention
deadline and provide for notice.
(7) The staff shall conduct a limited review
of each triennial compliance filing required by this rule and shall file a
report not later than one hundred fifty (150) days after each utility's
scheduled triennial compliance filing date. The report shall identify any
deficiencies in the electric utility's compliance with the provisions of this
chapter, any major deficiencies in the methodologies or analyses required to be
performed by this chapter, and any other deficiencies and shall provide at
least one (1) suggested remedy for each identified deficiency. Staff may also
identify concerns with the utility's triennial compliance filing, may identify
concerns related to the substantive reasonableness of the preferred resource
plan or resource acquisition strategy, and shall provide at least one (1)
suggested remedy for each identified concern. Staff shall provide its
workpapers related to each deficiency or concern to all parties within ten (10)
days of the date its report is filed. If the staff's limited review finds no
deficiencies or no concerns, the staff shall state that in the report. A staff
report that finds that an electric utility's filing is in compliance with this
chapter shall not be construed as acceptance or agreement with the substantive
findings, determinations, or analysis contained in the electric utility's
filing.
(8) Also within one hundred
fifty (150) days after an electric utility's triennial compliance filing
pursuant to this rule, the public counsel and any intervenor may file a report
or comments. The report or comments, based on a limited review, may identify
any deficiencies in the electric utility's compliance with the provisions of
this chapter, any major deficiencies in the methodologies or analyses required
to be performed by this chapter, and any other deficiencies. The report may
also identify concerns with the utility's triennial compliance filing and may
identify concerns related to the substantive reasonableness of the preferred
resource plan or resource acquisition strategy. Public counsel or intervenors
shall make a good faith effort to provide at least one (1) suggested remedy for
each identified deficiency or concern. Public counsel or any intervenor shall
provide its workpapers, if any, related to each deficiency or concern to all
parties within ten (10) days of the date its report is filed.
(9) If the staff, public counsel, or any
intervenor finds deficiencies in or concerns with a triennial compliance
filing, it shall work with the electric utility and the other parties to reach,
within sixty (60) days of the date that the report or comments were submitted,
a joint agreement on a plan to remedy the identified deficiencies and concerns.
If full agreement cannot be reached, this should be reported to the commission
through a joint filing as soon as possible but no later than sixty (60) days
after the date on which the report or comments were submitted. The joint filing
should set out in a brief narrative description those areas on which agreement
cannot be reached. The resolution of any deficiencies and concerns shall also
be noted in the joint filing.
(10)
If full agreement on remedying deficiencies or concerns is not reached, then,
within sixty (60) days from the date on which the staff, public counsel, or any
intervenor submitted a report or comments relating to the electric utility's
triennial compliance filing, the electric utility may file a response and the
staff, public counsel, and any intervenor may file comments in response to each
other. The commission will issue an order which indicates on what items, if
any, a hearing will be held and which establishes a procedural
schedule.
(11) All workpapers,
documents, reports, data, computer model documentation, analysis, letters,
memoranda, notes, test results, studies, recordings, transcriptions, and any
other supporting information relating to the filed resource acquisition
strategy within the electric utility's or its contractors' possession, custody,
or control shall be preserved and submitted within two (2) days of its
triennial compliance or annual update filings in accordance with any protective
order to the staff and public counsel, and to any intervenor within two (2)
days of the intervenor signing and filing a confidentiality agreement, for use
in its review of the periodic filings required by this rule. All information
shall be labeled to reference the sections of the technical volume(s) to which
it is related, and all spreadsheets shall have all formulas intact. Each
electric utility shall retain at least one (1) readable copy of the officially
adopted resource acquisition strategy and all supporting information for at
least the prior three (3) triennial compliance filings.
(12) If, between triennial compliance
filings, the utility's business plan or acquisition strategy becomes materially
inconsistent with the preferred resource plan, or if the utility determines
that the preferred resource plan or acquisition strategy is no longer
appropriate, either due to the limits identified pursuant to
4 CSR
240-22.070(2) being exceeded or for
other reasons, the utility, in writing, shall notify the commission within
sixty (60) days of the utility's determination and shall serve notice on all
parties to the most recent triennial compliance filing. The notification shall
include a description of all changes to the preferred plan and acquisition
strategy, the impact of each change on the present value of revenue
requirement, and all other performance measures specified in the last filing
pursuant to 4 CSR 240-22.080 and the
rationale for each change.
(A) If the utility
decides to implement any of the contingency resource plans identified pursuant
to 4 CSR
240-22.070(4), the utility shall file
for review a revised resource acquisition strategy. In this filing, the utility
shall specify the ranges or combinations of outcomes for the critical uncertain
factors that define the limits within which the new alternative resource plan
remains appropriate.
(B) If the
utility decides to implement a resource plan not identified pursuant to
4 CSR
240-22.070(4) or changes its
acquisition strategy, it shall give a detailed description of the revised
resource plan or acquisition strategy and why none of the contingency resource
plans identified in 4 CSR 24022.070(4) were chosen. In this filing, the utility
shall specify the ranges or combinations of outcomes for the critical uncertain
factors that define the limits within which the new alternative resource plan
remains appropriate.
(13) Upon written application made at least
twelve (12) months prior to a triennial compliance filing, and after notice and
an opportunity for hearing, the commission may waive or grant a variance from a
provision of 4 CSR 240-22.030-4 CSR
240-22.080 for good cause shown. The commission may
grant an application for waiver or variance filed less than twelve (12) months
prior to the triennial compliance filing upon a showing of good cause for the
delay in filing the application for waiver or variance.
(A) The granting of a variance to one (1)
electric utility which waives or otherwise affects the required compliance with
a provision of this chapter does not constitute a waiver respecting, or
otherwise affect, the required compliance of any other electric utility with a
provision of these rules.
(B) The
commission will not waive or grant a variance from this chapter in
total.
(14) An electric
utility which sells less than seven (7) million megawatt-hours to Missouri
retail electric customers for the previous calendar year may apply for a waiver
allowing it to conduct an annual update workshop pursuant to section (3) of
this rule in place of its scheduled triennial compliance filing pursuant to
section (1) of this rule, if the utility has no unresolved deficiencies or
concerns from its prior triennial plan filing or annual update filing that
materially affect its resource acquisition strategy. Upon written application
made at least twelve (12) months prior to a triennial compliance filing, and
after notice and an opportunity for hearing, the commission may allow the
utility to conduct the annual update workshop process in lieu of submitting its
triennial compliance filing. No more than one (1) such waiver may be granted
consecutively between triennial compliance filings.
(15) The commission may extend or reduce any
of the time periods specified in this rule for good cause shown.
(16) The commission will issue an order which
contains its findings regarding at least one (1) of the following options:
(A) That the electric utility's filing
pursuant to this rule either does or does not demonstrate compliance with the
requirements of this chapter, and that the utility's resource acquisition
strategy either does or does not meet the requirements stated in 4 CSR
240-22.
(B) That the commission
approves or disapproves the joint filing on the remedies to the plan
deficiencies or concerns developed pursuant to section (9) of this
rule;
(C) That the commission
understands that full agreement on remedying deficiencies or concerns is not
reached and pursuant to section (10) of this rule, the commission will issue an
order which indicates on what items, if any, a hearing(s) will be held and
which establishes a procedural schedule; and
(D) That the commission establishes a
procedural schedule for filings and a hearing(s), if necessary, to remedy
deficiencies or concerns as specified by the commission.
(17) If the commission finds that the filing
achieves substantial compliance with the requirements outlined in section (16),
the commission may acknowledge the utility's preferred resource plan or
resource acquisition strategy as reasonable at a specific date. The commission
may acknowledge the preferred resource plan or resource acquisition strategy in
whole, in part, with exceptions, or not at all. Acknowledgment shall not be
construed to mean or constitute a finding as to the prudence, pre-approval, or
prior commission authorization of any specific project or group of projects. In
proceedings where the reasonableness of resource acquisitions are considered,
consistency with an acknowledged preferred resource plan or resource
acquisition strategy may be used as supporting evidence but shall not be
considered any more or less relevant than any other piece of evidence in the
case. Consistency with an acknowledged preferred resource plan or resource
acquisition strategy does not create a rebuttable presumption of prudence and
shall not be considered to be dispositive of the issue. Furthermore, in such
proceedings, the utility bears the burden of proof that past or proposed
actions are consistent with an acknowledged preferred resource plan or resource
acquisition strategy and must explain and justify why it took any actions
inconsistent with an acknowledged preferred resource plan or resource
acquisition strategy.
(A) The utility shall
notify the commission pursuant to
4 CSR
240-22.080(12) in the event there is
material reason why any plan acknowledged by the commission is no longer
viable.
(B) Any interested
stakeholder group may file a notice in the utility's most recent Chapter 22
compliance file with the commission if a substantial change in circumstances
has occurred that it believes may result in the invalidation of any aspect of a
preferred resource plan or portion of a resource acquisition strategy
previously acknowledged by the commission.
(C) The utility about which a stakeholder
group files a notice described in the previous section may file its response
within fifteen (15) working days of the date the notice is filed.
(18) In all future cases before
the commission which involve a requested action that is affected by electric
utility resources, preferred resource plan, or resource acquisition strategy,
the utility must certify that the requested action is substantially consistent
with the preferred resource plan specified in the most recent triennial
compliance filing or annual update report. If the requested action is not
substantially consistent with the preferred resource plan, the utility shall
provide a detailed explanation.
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Notes
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