Republic of the Philippines

ENERGY
REGULATORY
COMMISSION

PRE-FILING CHECKLIST FOR APPLICATIONS FOR APPROVAL OF

POWER SUPPLY AGREEMENT (PSA)
General Note: MS Word and/or Excel files to be used should be 2016 or higher versions

Applicant/
s: Date:

TECHNICAL REQUIREMENTS

I. Salient Features
☐ IPP Administrator
☐ IPP
Classification of Supplier ☐ Wholesale Aggregator
☐ Interim Supplier
☐ Others _______________
☐ Coal
☐ Bunker/Diesel
Technology ☐ Renewable
☐ Hybrid
☐ Others
☐ Emergency (up to 6 months)
☐ Emergency (more than 6 months to 1 year)
☐ More than 1 to 5 years
Term of the Contract
☐ More than 5 to 10 years
☐ More than 10 to 15 years
☐ More than 15 years & above
☐ Competitive Public Bidding
☐ Swiss Challenge
Mode of Procurement
☐ Exempted (Emergency PSA)
☐ Others _______________
Date of Commencement of Supply
Installed Capacity (if applicable)
Net Dependable Capacity (if applicable)
Contracted Capacity/Energy (MW/kWh)
Minimum Energy Off-Take (MEOT)

II. Government Requirements

For Distribution Utility (DUs)

Name of Document Remarks
☐ 1. Articles of Incorporation and By-Laws and the
General Information Sheet (Private
Corp.)/Proof of Business Registration or
document that will indicate the list of the
Board of Directors and Board Members (ECs)
- Certified True Copy.
☐ 2. Verified Certification showing list of Board of
Directors and Board Members of the Ultimate
Parent Company, its Subsidiaries, and all its
affiliates.
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For Generation Company (GenCo)

Name of Document Remarks
☐ 3. Articles of Incorporation and By-Laws and the
General Information Sheet (Private
Corp.)/Proof of Business Registration or
document that will indicate the list of the
Board of Directors and Board Members (ECs)
- Certified True Copy.
☐ 4. Verified Certification showing list of Board of
Directors and Board Members of the Ultimate
Parent Company, its Subsidiaries, and all its
affiliates.
☐ 5. Articles of Incorporation (or Partnership) and
By-Laws of the Generation Company
(GenCo). – Certified True Copy.
☐ 6. Shareholders’ Agreement.
☐ 7. Securities and Exchange Commission (SEC)
Certificate of Registration of the said Articles
of Incorporation.
☐ 8. List of Shareholders (Latest GIS of GenCo-
SEC Form).
☐ 9. Verified Certification showing the list of
Board of Directors and Members of the
Ultimate Parent Company, its Subsidiaries,
and all its affiliates.
☐ 10. Board of Investment (BOI) Certificate of
Registration with attached Terms and
Conditions. (Note: Solar Technology are
required to submit BOI Certification)
☐ 11. Environmental Compliance Certificate (ECC)
issued by the Department of Environment
and Natural Resources (DENR).
☐ 12. Certificate of Compliance (COC) issued by the
Energy Regulatory Commission pursuant to
the Guidelines for the issuance of COC for
Generation Companies/Facilities including
Annexes.
☐ 13. Certification from the Department of Energy
(DOE) regarding Philippine Development
Plan (PDP) or Certificate of Endorsement
(COE).
☐ 14. Renewable Energy Service and Operating
Contract from the DOE (as applicable).
☐ 15. Certificate of Registration or Certificate of
Confirmation of Commerciality by an RE
Developer and after due confirmation by the
DOE.
☐ 16. Water Permit from the National Water
Resources Board (NWRB) (Note: For hydro
technology only).

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III. Supply and Demand Scenario

Name of Document Remarks
☐ 17. The application must include an alternative
Demand Side Management (DSM) program
that could be implemented by the DUs if
approved by the ERC. The DU shall submit
the projected costs and benefits of the DSM
program.
☐ 18. Certification by NPC whether Transition
Supply Contract (TSC) capacity and energy
are expected to be available during the
contractual period. Include relevant
supporting documentation, data, and analysis
supporting each statement.
☐ 19. Details regarding the load forecast projections
in accordance with the latest Distribution
Development Plan of the Distribution Utility
and the variability of those projections over
the proposed contractual period.
☐ 20. DU’s Supply and Demand Scenario, Details of
Existing Suppliers, Contract Utilization,
Average Daily Load Curve, in accordance with
Commission’s templates under Annex “A” and
“B” of the Prefiling Checklist Requirement.
☐ 21. Single-line Diagram Connection (including
parameters).
☐ 22. Performance Assessment of the System:

• SAIDI and SAIFI.

▪ Historical [Five (5) Years]
▪ Current Year (January 202__ to present).
☐ 23. An estimation of the potential for a reduction
in load supplied by the Distribution Utility
due to retail competition.
☐ 24. Inconsistencies/Differences from documents
presented shall be supported by relevant
analysis.

IV. Procurement Process

Name of Document Remarks
☐ 25. DU’s Invitation to Participate and Submit
Proposal (e.g., Publication in a newspaper,
etc.).
☐ 26. DU’s Term of Reference (TOR).
☐ 27. Proposal/s received by the Distribution
Utility, tender offers, etc.
☐ 28. DU’s Special Bids and Awards Committee
(SBAC) Evaluation Report.
☐ 29. DU’s Board Resolution confirming the
approval of SBAC Evaluation Report.
☐ 30. Notice of Award issued by the Distribution
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Utility.
☐ 31. Matrix and type of Competitive Selection
Process (CSP).
☐ 32. Certification from General Managers (for
ECs) or CEO/COO (for Private Corp.) for
conducting CSP.

V. Power Supply Agreement and other Agreements

Name of Document Remarks
☐ 33. Power Supply Agreement/ Energy Conversion
Agreement Contract for Application including
the Original and
Amended/Supplemental/Addendum, provide
a Matrix to show the comparison of the
amendments made if any.
☐ 34. For PSAs under emergency procurement:

☐ Copy of valid COC/PAO issued

☐ DOE Certificate of Exemption
☐ Verified certification that the power plant is
ready to deliver power to address the
emergency and that the rates being charged
are no more than the latest rate approved by
the Commission for the same or relevant
technology in the area.
☐ 35. Details regarding transmission projects or
grid connection projects necessary to
complement the proposed generation
capacity; Identification of the parties that will
develop and/or own such facilities; any cost
related to such project; and specification of
the parties responsible for the recovery of any
costs related to such projects.
☐ 36. Details regarding transmission projects or
grid connection projects necessary to
complement the proposed generation
capacity; Identification of the parties that will
develop and/or own such facilities; any cost
related to such project; and specification of
the parties responsible for the recovery of any
costs related to such projects.

If applicable, submit a copy of the

Transmission Service Agreement, or
application for dedicated Point to Point
Limited Transmission Facility to ERC, e.g.,
ERC Case No. of Point to Point, Decision of
Commission of the point-to-point application.
☐ 37. Copy of Related Agreements (i.e.,
Transmission Wheeling Contract, IPPA
Agreement, EPC Contract, O&M Contract,
Wholesale Aggregator Agreement, Project
Feasibility Study, etc.).

VI. Generation/ Power Rate

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Name of Document Remarks

☐ 38. Executive Summary of the PSA
☐ 39. Sources of Funds/Financial Plans:
☐ Debt-Equity Ratio.
☐ Project Cost.
☐ Computation of Return on Investment/WACC.
☐ Certification from the Bank/Lending
Institution specifying the principal
amortization, term, and interest during the
cooperation period of the loan agreement.
☐ Life of Asset versus Term of Loan
(Computation Levelized Cost).
☐ Bank Certification of Long-Term Loans,
including Schedule of Original Loan (Principal
amount, interest payable, term of the loan)
and updated balances (Principal Amount,
interest payable, and term of the loan).
☐ 40. Generation Rate and Derivation:
☐ A Financial model containing the derivation of
rates (excel file required).

☐ Project Cost Breakdown of the base prices;

Capital Recovery Fee, Fixed and Variable
O&M, and Fuel Fee.

☐ Breakdown of Project Cost and Operations

and Maintenance (O&M) Cost including the
description and justification/supporting of
each component.

☐ Sample Computation of Power Rates with the

supporting documents on the assumptions
taken.

☐ Basis/rationale of indexation including the

sources, reference date, and weight of
indexation.

☐ Basis/rationale/derivation of Other Charges

such as replacement, start-up, pre-
commercial, and ancillary costs.

☐ Equivalent PhP/kWh with assumptions for

foreign-denominated rates.
41. Cash Flow specifying the following:
☐ Initial Costs.

☐ Breakdown of Operating and Maintenance

Expenses.
42. If different from previously filed PSA,
Applicant/s should include all updated costs:
☐ BIR Receipts
☐ Seller’s Receipt
☐ Purchase Orders with Annotations of
Acceptance or Transfers

☐ Deeds of Sale and other forms of Conveyance

of Ownership (Build Operate Transfer)

Name of Document Remarks

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☐ 43. Executive Summary of the PSA. All details on

the procurement process of fuel including
requests, proposals received, tender offers,
etc.- Fuel/Coal/Steam Sale Agreement.
☐ 44. Sworn Statement detailing how the fuel was
competitively procured, contract terms,
unbundled price components (product cost,
transhipment, delivery container, etc.).
☐ 45. All relevant technical and economic
characteristics of the generation capacity;
Installed Capacity, Mode of Operation,
Dependable Capacity; Auxiliary load;
Scheduled and Unscheduled Outages;
Basis/Justification of day used.
☐ 46. All costs analysis related to the generation in
support of the proposed pricing provisions of
the contract.
47. Other documents
☐ Latest and Complete Set of Audited Financial
Statements of the Generation Company
(Balance Sheet, Income Statement, and
Statement of Cash Flows). Certified True
Copy.

☐ Certification (from the engine manufacturer or

IPP) of the net heat rate (initial and every after
major maintenance schedule) in liters per
kWh.

☐ Simulation of the no. of operating units

necessary to meet the MEOT and/or
additional energy/demand requirements of
the DU.

☐ Potential Cost (absolute amounts and

PhP/kWh) of Ancillary Services as and when
the IPP or the DU is connected to the main
grid.

☐ Distribution Wheeling Service (DWS)

Agreement (for embedded generators), if
applicable – Certified True Copy.

☐ WESM Registration – Certified True Copy.

The Pre-filing Checklist is in accordance with Resolution No. 38, Series of

20061, Rule 20 B Section 2 of the ERC Rules of Practice and Procedures 2, Article
VI Sections 1 and 2 of the ERC Guidelines for the Recovery of Costs for the
Generation Component of the Distribution Utilities (DUs) Rates, unless
otherwise provided or considered by the Commission.

If any of the above-listed documents are alleged to be not applicable, the

Applicants shall provide a written justification to support the said allegation.

1
Resolution No. 38, Series of 2006 – A Resolution Promulgating the Energy Regulatory Commission’s Rules
of Practice and Procedure.
2
Rule 20 B Section 2 of the ERC Rules of Practice and Procedures – Supporting Documents and
Information.
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Section 2(b) Rule IV of ERC Resolution 9, Series of 20203 requires that:

The e-mail request must be accompanied by copies of the

Application, its annexes, pre-filing requirements, and other
supporting documents, either as attached files, ZIP folders, or
through a cloud-based link.

Electronic copies of documents subject of a Motion for Confidential

Treatment of Information and for which a Protection Order is being
prayed for shall be marked with the word “CONFIDENTIAL” on the
document and its filename. The Electronic file shall be encrypted
with a password. The hard copy of the confidential document shall be
submitted physically to the ERC within the period provided under the
Guidelines.”

Thus, the Applicants shall submit the documents in the following format:

PDF – Signed Pleading with Verification

and Certification against Forum Shopping.
Pleadings
MS Word – Can be edited
Annexes, Exhibits and
PDF
Other Evidence
MS Excel which can be assessed and
Rate Computation
edited. Include links.

3
Resolution No. 9, Series of 2020 - A Resolution Adopting the Guidelines Governing Electronic Applications,
Filing and Virtual Hearings Before the Energy Regulatory Commission.

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ANNEX “A”
SAMPLE SUPPLY – DEMAND SCENARIO
Supply-Demand Scenario (Yearly)

Table 1: Historical and Forecasted Supply-Demand Scenario from the years

2013 to 2030
ERC Historical Year Current
Forecasted Year
Case Year
No. 2013 … 2020 2021 2022 … 2030
Peak Demand (MW)
Suppliers:
Supplier 1
Supplier 2
Supplier 3
Supplier 4
Total Supply (MW)
(Deficit)/Surplus

Table 2: DU’s Existing Supplier/s

Name of Term of Contract
Mode of
Supplier
ERC Operation Contracted Date of
with Plant Date of Date of
Case (Baseload, Capacity/ Approved PA
Existing Technology Effectivity Expiration
No. Intermediate, Energy Rates Order/
Contract mm/dd/yy mm/dd/yy
Peaking) Decision
with the DU

Table 3: Power Supply Contract Utilization from January 2018 to

present
FOR THE MONTH OF ______ 20__:

 SUPPLIER 1 (and so on)

Minimum
Minimum
Capacity, Energy, Energy or
Capacity,
MW kWh MEOT, kWh
MW (if any)
(if any)
As Contracted
As Utilized
(Actual)

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ANNEX “B”
SAMPLE AVERAGE DAILY LOAD CURVE
1.

2.

3.

4.

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