OF EMPLOYEES TRADING ELECTRICITY IN
THE UNITED STATES.
IN ADDITION, RELIANT'S COMPLIANCE DIRECTOR FOR TRADING AND
COMPLIANCE MANAGER FOR TRADING WILL BE LOCATED ON THE TRADE FLOOR(S) TO MONITOR
TRADING ACTIVITY AND WILL ALSO RANDOMLY MONITOR EMAILS, INSTANT MESSAGES AND
TELEPHONE CONVERSATIONS AND WILL PROVIDE TO OMOI MONTHLY REPORTS OF THIS
MONITORING ACTIVITY, PURSUANT TO THE CONFIDENTIALITY PROVISIONS OF 18 C.F.R.
§ 388.112 (2005).
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5.6
GENERATION OUTAGE AUDIT AND COMPLIANCE PROGRAM.
5.6.1
SEMI-ANNUAL OUTAGE AUDITS.
FOR A PERIOD OF TWELVE (12) MONTHS
FOLLOWING THE SETTLEMENT EFFECTIVE DATE (THE "AUDIT PERIOD"), RELIANT SHALL, AT
ITS EXPENSE, RETAIN WASHINGTON GROUP INTERNATIONAL, OR IF WASHINGTON GROUP
INTERNATIONAL IS UNABLE TO PERFORM THE AUDIT, ANOTHER INDEPENDENT CONSULTING OR
ENGINEERING COMPANY MUTUALLY AGREED UPON BY RELIANT AND THE CPUC, TO PERFORM
SEMI-ANNUAL AUDITS OF OUTAGES DURING THE AUDIT PERIOD AT RELIANT'S GENERATING
PLANTS IN CALIFORNIA.
THE FINDINGS OF EACH AUDIT SHALL BE PROVIDED DIRECTLY BY
THAT INDEPENDENT COMPANY TO OMOI AND THE CPUC, AND SHALL BE PROVIDED
SIMULTANEOUSLY TO RELIANT, WITHOUT PRIOR REVIEW BY RELIANT.
THE AUDITS SHALL
REVIEW WHETHER PLANT OUTAGES WERE LEGITIMATE AND OF AN APPROPRIATE DURATION
UNDER THE CIRCUMSTANCES RELEVANT TO EACH OUTAGE.
5.6.2
CPUC REVIEW OF RELIANT GADS DATA.
WITHIN 30 DAYS OF THE SETTLEMENT
EFFECTIVE DATE, RELIANT SHALL PROVIDE TO THE CPUC RELIANT'S OPERATIONS DATA FOR
THE "GENERATION AVAILABILITY DATA SYSTEM" ("GADS DATA"), COMPILED BY THE NORTH
AMERICAN ELECTRIC RELIABILITY COUNCIL ("NERC"), FOR THE PERIOD JANUARY 1998
THROUGH NOVEMBER 2004.
FOR A PERIOD OF THIRTY-SIX (36) MONTHS FROM THE
SETTLEMENT EFFECTIVE DATE, RELIANT SHALL SUBMIT ITS GADS DATA FOR RELIANT'S
CALIFORNIA PLANTS TO NERC, AND SHALL SIMULTANEOUSLY AUTHORIZE NERC TO RELEASE
THAT DATA AND PROVIDE IT DIRECTLY TO THE CPUC.
RELIANT MAY REQUEST THAT THE
CPUC TREAT ALL OR PART OF THE GADS DATA CONFIDENTIALLY, AND THE CPUC WILL
RULE ON SUCH REQUESTS PURSUANT TO THE CALIFORNIA PUBLIC RECORDS ACT (TITLE 1,
DIVISION 7, CHAPTER 3.5 OF THE CALIFORNIA GOVERNMENT CODE).
5.6.3
RELIANT COMPLIANCE WITH CPUC GENERAL ORDER 167.
RELIANT SHALL
COMPLY WITH THE REQUIREMENTS SET FORTH IN CPUC GENERAL ORDER 167, PROVIDED,
HOWEVER, THAT RELIANT IS FREE TO ADVOCATE CHANGES TO SUCH REQUIREMENTS, AND TO
CHALLENGE THE APPLICABILITY OF SUCH REQUIREMENTS TO RELIANT.
5.6.4
RELIANT COMPLIANCE WITH CPUC DOCUMENT REQUESTS.
RELIANT SHALL
COMPLY WITH REQUESTS BY THE CPUC FOR INSPECTION OF NON-PRIVILEGED DOCUMENTS
UNDER RELIANT'S CONTROL, TO THE EXTENT REQUIRED BY APPLICABLE STATE AND FEDERAL
LAW.
5.7
ANTITRUST COMPLIANCE PROGRAM.
RELIANT ENERGY, INC. SHALL
INSTITUTE, WITHIN THIRTY (30) BUSINESS DAYS AFTER THE SETTLEMENT EFFECTIVE DATE,
AN ANTITRUST COMPLIANCE PROGRAM.
THE ANTITRUST COMPLIANCE PROGRAM SHALL INCLUDE
NOT LESS THAN THE FOLLOWING FOR DIRECTORS, OFFICERS AND EMPLOYEES OF RELIANT
ENERGY, INC.'S WESTERN COMMERCIAL OPERATIONS:
(I) MANDATORY ANTITRUST TRAINING,
WHICH MAY BE COMPUTER BASED TRAINING, FOR EACH OFFICER AND EMPLOYEE;
(II) WRITTEN COMPLIANCE STANDARDS TO BE DISTRIBUTED TO EACH OFFICER AND
EMPLOYEE; (III) ANNUAL REVIEW OF THE COMPLIANCE PROGRAM BY THE OFFICERS AND
DIRECTORS OF RELIANT ENERGY, INC.
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RESPONSIBLE FOR THIS PROGRAM; (IV) APPOINTMENT OF AN ANTITRUST COMPLIANCE