Republic of the Philippines

ENERGY REGULATORY COMMISSION

Market Operations Service
Licensing and Market Monitoring Division

Checklist of Requirements1 for

RENEWAL Certificate of Compliance (COC) Application
For Generation Facility

Name of Generation Company

Name of Generation Facility

Plant Address Grid: [Main Grid] - [Luzon, Visayas, Mindanao] / /Embedded or

Grid Connected
Type of
Rated Capacity2
Technology
Date Issued
COC No.
Term

Date of Application Remarks

COMPLIANCE REMARKS
REQUIREMENT
YES NO INC N/A
A. General Requirements

1. COC Form No. 1 – Application Form

2. COC Form No. 2 – Company Profile

3. COC Form No. 3 - Five-year Operational
History
With computation of Availability Factor
(AF), Capacity Utilization Factor (CUF),
Planned Outage Factor (POF), and
Unplanned Outage Factor (UOF)
4. COC Form No. 4 – Affidavit of Compliance
with the Philippine Grid Code (PGC),
Philippine Distribution Code (PDC),
Wholesale Electricity Spot Market (WESM)
Rules and Manuals, Cross Ownership and
Market Share Restriction3
5. COC Form 7 - General Plant Description

1 In accordance with EVOSS Checklist of Requirements

2 Must be in three (3) decimal places if in MW, and rounded to the nearest kW if in kW
3 Consolidated Affidavit of Compliance

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Checklist of Requirements for Renewal COC Application
 COMPLIANCE REMARKS
REQUIREMENT
YES NO INC N/A
Particulars Remarks
Certificate of
Registration ER
No4:
6. Certificate of Registration (COR) issued by Dedicated
ERC for E-Filing Liaison Officer:
Designated
Email Address:
Designated
Mobile No:
Particulars Remarks
Date:
7. Verified Declaration for E-Filing
Duly Authorized
Representative:
B. COC Application Fee
8. Confirmation of Completeness E-mail
(CCE)
9. Statement of Account (SOA)
10. Proof of Payment (Official Receipt / On-
collection Slip / Deposit Slip)
C. Technical Requirements
11. Plant overview with technical details of the
load to be served (Write-up)
12. Location Map
13. Philippine Grid Code (PGC), Philippine Distribution Code (PDC) and Wholesale Electricity Spot Market
(WESM) Requirements
13.1 Electrical/Mechanical Plans and Connection Point:
Diagrams and Connection Point
Drawing, including the connection
point to the grid/distribution system
13.2 Final Certificate of Approval to For Grid-Connected:
Connect (FCATC) issued by issued FCATC
by the Transmission Network Date Issued:
Provider (TNP), for Grid Connected Reference No:
Generation Facility, or Certificate of Issued by: NGCP
Approval to Connect (CATC)
issued by Distribution Utility (DU), if or
Embedded
Certificate PGC and OATS Rules
or Compliance
Date Issued:
Certificate of Grid Code and OATS Reference No:
Rules Compliance for Large Issued by: NGCP
Embedded Generation Company
issued by the TNP, if applicable,

4 Refer to Rule III of ERC Resolution No. 9, Series of 2020

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Checklist of Requirements for Renewal COC Application
 COMPLIANCE REMARKS
REQUIREMENT
YES NO INC N/A
and/or Clearance to Energize
issued by issued by the NGCP. For Embedded:
CATC
Date Issued:
Reference No:
Issued by: Name of DU

CTE
Date Issued:
Reference No:
Issued by: NGCP

For Large Embedded:

Certificate PGC and OATS Rules
Compliance
Date Issued:
Reference No:
Issued by: NGCP

Test and Commissioning:

Date Conducted:
Conducted by:
13.3 Generating Unit GUCT
Capability Test (GUCT) Certificate Date Conducted:
and the corresponding results Conducted by:
issued by NGCP, if Grid connected, Date Issued:
or Result:
Pmax :
Generating Unit Capability Test Pmin:
Certificate (GUCT) and the Ramp-up Rate:
corresponding results conducted Ramp-down Rate:
by GenCo witnessed by the DU, if
Embedded
13.4 Wholesale Electricity Spot Market WESM Registration:
(WESM) Registration5 Date Registered:
Trading Node:
Pmax :
Pmin:
Ramp-up Rate:

Note: Should be consistent with the GUCT

Certificate and Result
Reference No.:
Date Issued:
13.5 Ancillary Service Capability Issued by:
Results, if applicable AS Capability:
Term/Validity:
Note: If AS Provider and with ASPA

5
WESM Registration Details should be consistent with the Technical Detail of the GUCT

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 COMPLIANCE REMARKS
REQUIREMENT
YES NO INC N/A
14. Management and/or lease contracts in Name of Operator:
force (in case the plant is operated, leased Date of Execution:
and/or managed by an entity other than the Term/Validity:
owner), if applicable Note: N/A if owner is same with operator
ERC Case Number:_________
Date Filed:________________
15. ERC Approved Authority to Develop, Own, Date Approved: ____________
Operate and Maintain Dedicated Point-to- Date of Submission of
point connection facility/ies6, if applicable Compliance Report: ________

Note: Request for copy of Agreement if it is

Contribution in Aid of Construction (CIAC);

D. Financial Requirements7
YEAR DSCR Remarks
16. Audited Financial Statements (AFS)
Year1
Annual Submission of Certified True Copy
of complete set of AFS covering the five (5) Year 2
– year period of the existing COC, (i.e.,
statement of financial position, statement Year 3
of comprehensive income, statement of Year 4
cash flows, notes, audit opinion and the
Year 5
statement of management’s responsibility
on the financial statements) if available8 Note: For verification if compliant with the
minimum financial benchmark; For submission
of Program to Comply (PTC) if not compliant.
17. Duly attested Schedule of Liabilities of the
Generation Company, to include the
following information:
17.1 Name of creditor(s),
17.2 Type of credit,
17.3 Loan amortization schedule,
17.4 Credit terms,
17.5 Interest Rate(s); and
17.6 DCSR Requirement of creditor(s).
18. Five (5) year financial plan of the YEAR DSCR Remarks
Generation Company9 Year 1
18.1 Forecast financial statements Year 2
(statement of financial position, Year 3
statement of comprehensive Year 4
income, statement of cash flows) Year 5

6 Approved Point-to-Point Application

7 Revised Guidelines for the Financial Capability Standard of Generation Companies (ERC Resolution No. 03, Series of 2021);
8
Generation Company to submit Program to Comply if failed to meet the required DSCR set by the Commission
9 For Generation Company which owns or operated more than one (1) Generation Facilities, a separate breakdown for the

result of operations for each Generation Facilities is requested, if available;.

For Generation Company which has other businesses aside from the power business segments stated in the BSG, a separate
accounting allocation for its generation business is requested, if available;

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 COMPLIANCE REMARKS
REQUIREMENT
YES NO INC N/A
18.2 Write-up on assumptions/bases
used in the forecast (revenue and
cost projections; and Note: For verification if compliant with the
18.3 DCSR Calculation based on the minimum financial benchmark; For submission of
Program to Comply (PTC) if not compliant.
financial plan
ERC Case Number: _______
19. Business Separation and Unbundling Plan
Date Filed: _______________
(BSUP), if applicable10
Date Approved:____________
E. Ownership/Control Requirements
20. Securities and Exchange Commission SEC COR
(SEC) issued Certificate of Registration Reference No.:
(COR) with Articles of Date of Registration:
Incorporation/Partnership and By-Laws,
and any subsequent amendments thereto, SEC Certificate of Filing of
or Amended AIO (if applicable):
Date of Registration:
Business Name Registration Certificate Articles Amended:
(for Single Proprietorship), whichever is
applicable
Issued by:
21. Business Permit issued by the Local
Reference No.:
Government Unit (LGU) both for Plant
Date Issued:
Location and Head Office Location
Valid Until:
22. Latest General Information Sheets (GIS) of Year of GIS
the GENCO, as received by SEC, if Date Received by SEC:
applicable; Date of Annual Meeting:
23. Duly attested comprehensive and Year of GIS
complete listing of Affiliates and Related Date Received by SEC:
Groups, including ownership and Date of Annual Meeting:
management structure, under oath. 11

24. Proof of Compliance with Public Offering

Name of Listed Company:
Requirements
PSE Date of Listing:
24.1 Philippine Stock Exchange (PSE)
or
Certificate to the effect that the
Date of Compliance Report:
GENCO is listed with PSE, or
or
24.2 Compliance with any other allowed
Date of Undertaking:
mode of public offering.
F. Other Requirements
AWP
25. Annual Work Plan in relation to ER 1-9412 Year:
Name of Host Community:
26. Rehabilitation conducted on the generation
facilities during the 5-year term of the
COC, if applicable.

10 Approved BSUP application

11 Please submit latest copy of GIS of Shareholders/Affiliates/Related Group
12 Department Circular No. DC2018-08-0021 (Providing for the Amendments to Rule 29 Part (A) of the Implementing Rules

and Regulations of Republic Act No. 9136

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 COMPLIANCE REMARKS
REQUIREMENT
YES NO INC N/A
27. Off-takers ERC Case Number: _________
27.1 List of Power Supply Agreement(s) Date Filed: ________________
(PSA), Renewable Energy Service Date Approved: ___________
Agreements (RESA), Renewable Term:_____________
Energy Payment Agreement Name of Customer: _________
(REPA), Ancillary Service Contracted Capacity/Energy: __
Procurement Agreement (ASPA), Or
and/or any NPC IPP agreement as, Type of Agreement: _________
applicable Name of Customer: _________
Contracted Capacity/Energy: _
27.2 List of other type of sales Date Executed: _____________
agreement if any Term: __________________
28. Department of Energy (DOE)13 FIT-COE
28.1 In the case of a Generation Reference No.:
Company operating a Renewable Date Issued:
Energy (RE) plant that intends to FIT – Eligible Capacity:
avail of the Feed-In Tariff (FIT), the Commercial Operation:
DOE Certificate of Endorsement for FIT Rate:
FIT Eligibility (COE-FIT)
28.2 Certificate of Endorsement (COE) COE-PDP
indicating that the power plant Reference No.:
project is consistent with the Power Date Issued:
Development Plan (PDP) of the Capacity:
Government
29. Department of Environment and Natural ECC/CNC
Resources (DENR) Reference No.:
29.1 Environmental Compliance Date Issued:
Certificate (ECC) or Certificate of Capacity:
Non-Coverage (CNC)14
PTO
Reference No.:
29.2 Permit to Operate (PTO), if Date Issued:
applicable15 Valid Until:

Note: Submit copy of proof of filing of renewal

application before the DENR if expired
WDP
Reference No.:
29.3 Wastewater Discharge Permit / Date Issued:
Discharge Permit (WDP) Valid Until:

Note: Submit copy of proof of filing of renewal

application before the DENR if expired
WP
30. Water Permit (WP) issued by the National Reference No.:
Water Resources Board (NWRB), if Date Issued:
applicable. Purpose:

13 Must be consistent with the capacity of the generator nameplate rating.

14 Must be consistent with the capacity of the generator nameplate rating.
15 Must be consistent with the capacity of the generator nameplate rating.

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 COMPLIANCE REMARKS
REQUIREMENT
YES NO INC N/A
Note: Submit proof of billing issued by local
water district concessionaire/ water supplier, if
N/A
31. Annual Generation Company
Management Report (GCMR) and
Generation Company Information Sheet
(GCIS) Submission 16
32. Fuel Sustainability Plan (for Biomass
Generation Facility Only)
Name of Supplier:
Date of Execution:
33. Fuel Supply Agreements (FSA), as Term/Validity:
applicable
Note: FSA applicable for or conventional
generation facility

Evaluator’s Comment/Recommendation:

PARTICULARS REMARKS
Certificate of Completeness Email (CCE)
For Issuance of Statement of Account (SOA)

Notice of Incomplete Submission Email (NISE)17

Documents Checked/Evaluated by: Reviewed by:

Signature over Printed Name Signature over Printed Name

Position/Date Position/Date
LEGEND:
Yes Submitted Document with Complete Entries/Data
No No submission
N/A Not Applicable
Inc Incomplete Document, to be submitted once available

NOTE:
• Ensure consistency of information across all documents (technical specifications, serial
numbers, name of GENCO/Generation Facility, etc.)
• In cases where the submitted document is issued to a different entity, other than the
GENCO/Applicant, a written explanation must be submitted explaining the relationship of
that entity to the GENCO/Applicant/Generation Facility, accompanied with additional
supporting documents that would substantiate the explanation

16 Submit GCMR and GCIS if not compliant with the annual submission requirement of the Commission
17 Refer to Section 3, Rule IV of ERC Resolution No. 9, Series of 2020

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• Only forms/documents with complete entries will be accepted; otherwise, it will be returned
to the applicant for re-submission of forms with complete entries
• All documents must be submitted upon filing of the COC application
• Within five (5) working days from sending the proof of payment, the Applicant shall submit
to the ERC’s Central Records Division one (1) set of original or certified true hard copies of
its application and supporting documents by personal service, registered or ordinary
mail/private courier. (Section 8, Article XI of ERC Resolution No. 9, Series of 2020)

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