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HomeMy WebLinkAbout20080403Malquist Direct.pdfDAVID J. MEYER VICE PRESIDENT, CHIEF COUNSEL REGULATORY & GO~~ENTAL ~~i~;~S CORPORATION " Pi? - 3 Pr'112: 40 P.O. BOX 3727 1411 EAST MISSION AVENUE SPOKAE, WASHINGTON 99220-3727 TELEPHONE: (509) 495-4316 FACSIMILE: (509) 495-4361 BEFORE THE IDAHO PUBLIC UTILITIES COMMISSION IN THE MATTER OF THE APPLICATION ) CASE OF AVISTA CORPORATION FOR THE ) CASE AUTHORITY TO INCREASE ITS RATES ) AND CHAGES FOR ELECTRIC AND ) NATURAL GAS SERVICE TO ELECTRIC AN ) NATURAL GAS CUSTOMERS IN THE STATE )OF IDAHO ) ) NO. AVU-E-08-01 NO. AVU-G-08-01 DIRECT TESTIMONY OF MAYN K. MAQUIST FOR AVISTA CORPORATION (ELECTRIC AN NATURA GAS) 1 2 I. INTRODUCTION Q. Please state your name, business address, and 3 present position with Avista Corp. 4 A.My name is Malyn K. Malquist.My business 5 address is 1411 East Mission Avenue, Spokane, Washington. 6 i am employed by Avista Corporation as Executive Vice 7 President and Chief Financial Officer. 8 Q.Would you please describe your education and 9 business experience? 10 11 12 A.I received a Bachelors degree and a Master of Business Administration degree from Brigham Young University.I have also attended a variety of utility 13 finance courses and leadership programs during my 25+ year 14 utility career. 15 16 I joined Avista in September of 2002 as Senior Vice President.In November 2002 I was named to the additional 17 position of Chief Financial Officer. I was named Executive 18 Vice President in May 2006.Prior to joining Avista, I 19 was General Manager of Truckee Meadows Water Authority in 20 Reno, Nevada, which was separated out from Sierra Pacific 21 Power Company in 2001.I was Chief Executive Officer of 22 Data Engines, Inc., a high tech company located in Reno 23 from June to October of 2000.From April 1994 to April 24 2000, I was employed by Sierra Pacific Resources, first as 25 the company's Chief Financial Officer and later as its Malquist, Di 1 Avista Corporation 1 Chairman of the Board and Chief Executive Officer. 2 Following the merger of Sierra Pacific Resources with 3 Nevada Power Company in 1999, I became the President of 4 both Sierra Pacific Power Company and Nevada Power Company. 5 For the sixteen-year period prior to 1994, I was employed 6 by San Diego Gas & Electric Company in various positions, 7 including Treasurer and Vice President - Finance. 8 Q.What is the scope of your testimony in this 9 proceeding? 10 A.i will provide a financial overview of the 11 Company and will explain the overall rate of return 12 proposed by the Company in this filing for its electric and 13 natural gas operations.The proposed rate of return is 14 derived from Avista' s long-term cost of debt and common 15 equi ty, weighted in proportion to the proposed capital 16 structure. 17 i will address the proposed capital structure and debt 18 cost components. Company witness Dr. Avera will testify to 19 the appropriate return on equity for the Company. 20 In brief, i will provide information that shows: 21 . Avista's plans call for significant capital22 expenditure requirements for the utility over the23 next three to five years to assure reliability in24 our energy sys tems , and to keep pace wi th 25 regional growth and customer demand. Capital26 expenditures are planned for 2008-2009 of27 approximately $390 million for customer growth,28 investment in generation, transmission and29 distribution facilities for the electric utility30 business as well as necessary maintenance and Malquist, Di 2 Avista Corporation 1 replacements of our natural gas utility systems. 2 Avista needs adequate cash flow from operations 3 to fund these requirements. 4 5 . Avista's corporate rating from Standard & Poor's 6 is currently BBB-. Avista Utilities should 7 operate at a level that will support a strong 8 investment grade credit rating, meaning "BBB+" or 9 "A-" . The Company's financial performance has 10 improved; however, we have not improved financial11 ratios to a level that would result in a strong12 investment grade credit rating. 13 14 . The Company has proposed an overall rate of15 return of 8.74%, including a 47.94% equity ratio16 and a 10.8% return on equity. We believe the17 10.8% provides a reasonable balance of the18 competing objectives of continuing to improve our19 financial health, and the impacts that increased20 rates have on our customers. 2122 The Company's initiatives to carefully manage its 23 operating costs and capital expenditures are an important 24 part of improving performance, but are not sufficient 25 without revenues from the general rate request for our 26 electric and natural gas businesses in these cases. 27 Certainty of cash flows from operations can only be 28 achieved with the continued support of regulators in 29 allowing the timely recovery of costs and the ability to 30 earn a fair return on inves tment . 31 Q.Are you sponsoring any exhibits with your direct 32 testimony? 33 A.Yes.I am sponsoring Exhibit No. 2 pages 1 34 through 4, which were prepared under my direction. 35 Avista' s credit ratings by the three principal rating 36 agencies are sumarized on page 1, and Avista' s actual Malquist, Di 3 Avista Corporation 1 capital structure at December 31, 2007 and pro forma 2 capital structure at Decemer 31, 2008 are included on page 3 2, with supporting information on pages 3 through 4. 4 5 6 II. FINANCIAL OVERVIEW Q.Please provide an overview of Avista' s financial 7 situation. 8 A.The Company has made solid progress in improving 9 its financial health in recent years. The Company has been 10 able to reduce outstanding debt, refinance debt at lower 11 rates and improve cash flows from operations, resulting in 12 13 improved financial ratios.Additionally, Avista has reduced investments in unregula ted subsidiaries and 14 redeployed the majority of the proceeds from the sales of 15 the unregulated subsidiaries to the utility.The Company 16 has been able to improve its debt ratio and balance the 17 overall debt / equity ratio by paying down debt and issuing 18 additional common stock. 19 Al though we have made progress in improving the 20 Company's financial condition, we are still not as strong 21 as we need to be. Avista' s goal is to operate at a level 22 that will support a strong credit rating of BBB+ / A-. 23 Operating at this level will help reduce long-term costs to customers.We expect that a continued focus on the24 25 regulated utility,conservative financing strategies Malquist, Di 4 Avista Corporation 1 (including the issuance of common equity) and a continued 2 supportive regulatory environment will contribute to an 3 overall improved financial situation. 4 Q.What additional steps is the Company taking to 5 improve its financial health in the future? 6 A.We are working to assure we have adequate funds 7 for operations, capital expenditures and debt maturities, 8 through lines of credit with our banks and maintaining 9 adequate access to the capital markets.We have worked 10 with our banks to insure that we have adequate liquidity 11 through the availability of our credit facility on the most 12 economic basis possible.Additionally, the Company plans 13 to obtain a portion of our capital requirements through 14 equi ty issuance. We also maintain an ongoing dialogue with 15 the rating agencies regarding the measures being taken by 16 the Company to improve our credit rating. 17 Addi tionally,the Company is working through 18 regulatory processes to recover our costs in a timely 19 manner so that earned returns are closer to those allowed 20 by regulators in each of the states we serve. This is one 21 of the key determinants from the rating agencies' 22 standpoint when they are reviewing our overall credit 23 rating. 24 25 Malquist, Di 5 Avista Corporation 1 2 III. CREDIT RATINGS Q.Please explain the credit ratings for Avista's 3 debt and other securities. 4 5 Rating agencies are independent agencies thatA. assess risks for investors.The three most widely 6 recognized rating agencies are Standard & Poor's (S&P), 7 8 Moody's Investors Service and FitchRatings(Moody's) (Fitch) .These rating agencies assign a credit rating to 9 companies and their securities so investors can more easily 10 understand the risks associated with investing in their 11 debt and preferred stock. 12 Avista' s credit ratings by the three principal rating 13 agencies are sumarized on page 1 of Exhibit NO.2. 14 Addi tionally, the following rating actions occurred during 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 2007 and 2008: a. S&P upgraded Avista's corporate credit rating to BBB- from BB+ (February 2008) and Avista's secured debt rating to BBB+ from BBB- (September 2007). b. Moody's upgraded Avista's corporate credit ratingto Baa3 from Ba1 and Avista' s secured rating to Baa2 from Baa3 (December 2007) . c. Fitch upgraded Avista's long-term issuer default rating to BB+ from BB and its secured debt ratingto BBB from BBB- (August 2007 and affirmed in February 2008) . Q. Please explain the implications of these ratings 30 (in terms of the Company's ability to access financial 31 markets) . Malquist, Di 6 Avista Corporation 1 A.For each type of investment a potential investor 2 could make, the investor looks at the quality of that 3 investment in terms of the risk they are taking and the 4 priority they would have in the event that the organization 5 experiences severe financial stress.Investment risks 6 include the likelihood that a company will not meet all of 7 its debt obligations in terms of timeliness and amounts 8 owed for principal and interest. Secured debt receives the 9 highest ratings and priority for repayment and, hence, has 10 the lowest relative risk.Thus, lower credit ratings may 11 result in a company having more difficulty accessing 12 financial markets and/or increased financing costs. 13 Q.What risks are facing Avista and the utility 14 sector that may have an impact on companies' credit 15 ratings? 16 A.Among the risk factors are the level and 17 volatility of wholesale electric market prices and natural 18 gas prices for fuel costs, liquidity in the wholesale 19 market (fewer counterparties and tighter credit 20 restrictions), recoverability of natural gas and power 21 costs,streamflow and weather conditions,changes in 22 legislative and governmental regulations, relicensing hydro 23 proj ects, rising construction and raw material costs and 24 access to capital markets at a reasonable cost. Malquist, Di 7 Avista Corporation 1 2 Higher capital expendi tures for environmental compliance,new generation and transmission and 3 distribution facilities are also impacting the utility 4 sector.The significant need for capital expenditures 5 causes increased competi tion for financial capital. 6 Regulation supporting the full and timely recovery of 7 prudently incurred costs is critical to the utility sector, 8 including Avista. 9 Q.What credit rating does Avista Utilities believe 10 is appropriate? 11 A.Avista Utilities should operate at a level that 12 will support a strong investment grade credit rating, 13 meaning a "BBB+" or an "A-," using S&P's rating scale. In 14 fact, S&P stated in its November 2007 U.S. Utilities and 15 Power Commentary that "About 68% of the companies in the 16 industry carry a 'BBB' category rating (BB+, BB, and BB-) 17 and 24% are rated 'A-' and above. "1 Ratios required to 18 support this level of credit rating are included in Table 1 19 below. 20 21 Financially healthy utilities have lower financing costs which, in turn, benefits customers.In addition, 22 financially healthy utilities are better able to invest in 23 the needed infrastructure over time to serve their i Stadard and Poor's, u.s. Utilities And Power Commentary, November 2007 Malquist, Di 8 Avista Corporation 1 customers, and to withstand the challenges and risks facing 2 the industry. 3 Q.Why is it important to have a strong investment 4 grade credit rating? 5 A.A utility is a capital-intensive business and, as 6 such, needs to have ready access to capital markets under 7 8 reasonable terms.Access is more difficult and more expensive for lower rated companies.As new financing is 9 required in the future to finance utility plant additions, 10 new customer additions, and debt maturities, the cost of 11 new and replacement debt will be higher for lower rated 12 issuers. 13 The lower credit rating also requires the Company to 14 post more collateral with counterparties than would 15 16 otherwise be required with a higher credit rating.This resul ts in increased costs.It also reduces financial 17 flexibility since we must always maintain a certain amount 18 of capacity under our credit line for letters of credit. 19 Q.Wht credit rating ratios are used by the rating 20 agencies? 21 A.S&P modified its electric and gas utility 22 rankings in November 2007 to conform to the "business 23 risk/financial risk" matrix used by their corporate ratings 24 group.The change by S&P was designed to present their Malquist, Di 9 Avista Corporation 1 rating conclusions in a clear and standardized manner 2 across all corporate sectors. 3 S&P's financial ratio benchmarks used to rate 4 companies such as Avista are set forth below: 5 Table 1 Standard & Poor's Financial Risk Indicative Ratios - US Utilties 6 7 8 9 FFO/Debt (%)FFO/lnterest (x)Debt Ratio (%) Modest 40 - 60 4.0 - 6.0 25 - 40 Intermediate 25 - 45 3.0 - 4.5 35 - 50 Aggressive 10 - 30 2.0 - 3.5 45 - 60 Highly leveraged Below 15 2.5 or less Over 50 December 31, 2007 Ratios: Avista Unadjusted 14.0 2.9 53.8 Avista Adjusted 13.3 2.8 58.7 The ratios above are utilized to determine the financial risk profile.Currently, Avistais in the "Aggressive" category.The financial risk category along 10 with the business risk profile (Avista is in the Strong 11 category) is then utilized in the matrix below to determine 12 a company's rating.S&P currently has Avista' s corporate 13 credit rating as a BBB-, as indicated in the table below. 14 Table 2 Standard & Poor's Business Risk I Financial Risk Matrix Financial Risk Profile Highly Business Risk Profile Minimal Modest Intermediate Aggressive leveraged Excellent AM AA A BBB BB Strong AA A A-BBB-BB- Satisfactory A BBB+BBB BB+B+ Weak BBB BBB-BB+BB.B Vulnerable BB B+B+B B- 15 Malquist, Di 10 Avista Corporation 1 The other rating agencies (Moody's and Fitch) use a 2 similar methodology to analyze and determine utility credit 3 ratings. 4 Q.Please describe how these ratios are calculated 5 and what they mean? 6 A.The first ratio, "Funds from operations/total 7 debt (%)", calculates the amount of cash from operations as 8 a percent of total debt. The ratio indicates the company's 9 ability to fund debt obligations. The second ratio, "Funds 10 from operations/interest coverage (x)", calculates the 11 amount of cash from operations that is available to cover 12 interest requirements.This ratio indicates how well a 13 company's earnings can cover interest payments on its debt. 14 The third ratio, "Total debt/total capital (%)", is the 15 amount of debt in our total capital structure.The ratio 16 is an indication of the extent to which the company is 17 using debt to finance its operations.S&P looks at many 18 other financial ratios; however, these are the three most 19 important ratios they use when analyzing our financial 20 profile. 21 Q.Do rating agencies make adjustments to the 22 financial ratios that are calculated directly from the 23 financial statemnts of the Company? 24 A.Yes. Rating agencies make adjustments to debt to 25 factor in off-balance sheet commitments (for example, the Malquist, Di 11 Avista Corporation 1 accounts receivable program, purchased power agreements and 2 the unfunded status of pension and other post-retirement 3 benefits) that negatively impact the ratios.S&P has 4 historically made adjustments to Avista' s debt totaling 5 approximately $226 million related to the accounts 6 receivable program, purchased power and post-retirement 7 benefits.The adjusted financial ratios for Avista are 8 included in Table 1 above. 9 Q.Where does Avista fall within those coverage 10 ratios? 11 A.Avista's cash flow ratios lag primarily because 12 of high cost debt that is outstanding.The cash flow 13 ratios should improve as the 2008 debt maturities are 14 refinanced.S&P and Moody's took this into account when 15 they upgraded Avista in Decemer 2007 and February 2008. 16 Progress in increasing the cash flow ratios has been slower 17 than anticipated due to below normal stream flows affecting 18 hydro generation, higher thermal fuel costs than the amount 19 included in rates and resulting inability to eliminate 20 electric deferral balances, and higher capital expenditures 21 that require cash up front before we can recover the costs 22 from customers.Each has an impact on the Company by 23 reducing the amount of available cash flow from operations, 24 requiring external financing and ultimately resulting in 25 higher debt and lower cash flow ratios.In fact, S&P Malquis t, Di 12 Avista Corporation 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 stated the following in a January 2008 research report on Pacific Northwest Hydrology: We find that Avista and Idaho Power, which are comparably sized companies, face the most substantial risk (related to hydro power) despite their PC As and cost update mechanisms. 2 Additionally, S&P stated the following in its February 2008 research update of Avista Corporation: The Company's financial performance will continue to be significantly affected by hydro conditions and gas prices. And the Company's key utility risk going forward is its exposure to high-cost replacement power, particularly in low water 3years. In order to improve the cash flow ratios, Avista must reduce its total debt balances and increase its available 19 funds from operations. Although the Company has continued 20 to work towards paying down its total debt, the negative 21 impacts to cash flow caused by below-normal hydroelectric 22 generation and volatility of wholesale electric market 23 prices and natural gas prices in recent years, has 24 adversely affected Avista' s progress in improving the cash 25 flow ratios. 26 Do the rating agencies look at any other factorsQ. 27 when evaluating a company's credit quality? 28 29 Yes, they also look at a numer of qualitativeA. factors.The rating agencies evaluate the company's 2 Standard and Poor's, Pacifc Northwest Hydrology and Its Impact on Investor-Owned Utilties' Credit Quality, Januar 2008 Malquist, Di 13 Avista Corporation 1 resource picture, the competitive environment in which we 2 operate, the regulatory environment including the timely 3 recovery and certainty of recovery of costs, quality of 4 management and financial policy.Therefore, while the 5 ratios are utilized in their quantitative evaluation of a 6 company, they are not the only factors that are taken into 7 account. 8 Q.How important is the regulatory environment in 9 which a Company operates? 10 A.The regulatory environment in which a company 11 operates is a major qualitative factor in determining a 12 company's creditworthiness.Moody's stated the following 13 regarding Avista's regulatory environment in a Decemer 14 2007 credit ratings report: 15 Moody's is assuming that the company i s regulators16 in its washington, Idaho, and Oregon17 jurisdictions will continue to support timely and18 adequate recovery of, and return on, the capital19 investments through decisions in future general20 rate cases that we expect will be filed on a21 regular basis. 4 2223 Additionally, in a January 2008 article published by 24 S&P entitled "Top Ten US Electric Utility Credit Issues for 25 2008 and Beyond", S&P stated that "Recovering in a timely 26 manner federally and/or state mandated compliance costs is 3 Stadard and Poor's, Avista Corp's Corporate Credit Rating Raised One Notch to BBB-, Februar 2008 4 Moody's Investor Servce, Moody's Upgrades Avista Corp (December 20,2007) Malquist, Di 14 Avista Corporation 1 paramount to preserving credit quality for regulated 2 electric utili ties. "5 3 Due to the maj or capi tal expendi tures planned by 4 Avista, the continued supportive regulatory environment 5 will be important to Avista's financial health. 6 Additionally, although Avista has electric and natural gas 7 tracking mechanisms (PCA and PGA) to provide recovery of 8 the majority of the variability in commodity costs, these 9 changes in costs must be financed until the costs are 10 recovered from customers.Investors and rating agencies 11 are concerned about regulatory lag and cost-recovery 12 related to these items. 13 14 15 iV. CASH FLOW Q.What are the Company's sources of funding capital 16 requirements? 17 A.The Company utilizes cash flow from operations, 18 long-term debt and common stock issuances to fund its 19 capi tal expendi tures .Additionally, on an interim basis, 20 the Company utilizes its credit facility to fund capital 21 expenditures until longer-term financing can be obtained. 22 Q.What are the Company's near-term capital 23 requirements? S Stadad and Poor's, Top Ten US Electric Utilty Credit Issues for 2008 and Beyond, Janua 2008 Malquist, Di 15 Avista Corporation 1 A.As a combination electric and natural gas 2 utility, over the next few years, capital will be required 3 for customer growth, investment in generation, transmission 4 and distribution facilities for the electric utility 5 business, as well as necessary maintenance and replacements 6 of our natural gas systems. 7 The amount of capital expenditures planned for 2008- 8 2009 is approximately $390 million. For 2008 alone, these 9 costs equate to a total of $190 million.Total net rate 10 base at Decemer 31, 2007 was $1.7 billion for the total 11 Company;therefore,these planned capi tal additions 12 represent substantial new investments. A few of the major 13 capital expenditure items on a system basis for 2008 14 include $46 million for electric transmission and 15 distribution upgrades, $43 million for electric and natural 16 gas customer growth, $21 million for natural gas system 17 upgrades, $9 million for environmental (associated with the 18 Spokane River relicensing and the 2001 Clark Fork River 19 license implementation issues), $26 million for generation 20 upgrades, and $15 million for Jackson Prairie capacity and 21 deliverability expansions. 22 Q.What are the Company's long-term capital 23 requirements? 24 A.Avista's integrated Resource Plan has identified 25 the potential need for the Company to finance significant Malquist, Di 16 Avista Corporation 1 expendi tures for electric facilities.The preferred 2 strategy outlined in our 2007 Integrated Resource Plan 3 included total expenditures of $1.25 billion by 2018, 4 including investment in wind resources and upgrades at 5 hydroelectric stations. 6 7 Major capital expenditures are a normal part of utility operations.Customers are added to the service 8 area, roads are relocated and require existing facilities 9 to be moved, and facilities continue to wear out and need 10 replacement. These and other requirements create the need 11 for significant capital expenditures each year.We are 12 seeing significant increases in the costs of materials, 13 14 including the cost of steel,cement,asphalt,and transformers.Access to capital at reasonable rates is 15 dependent upon the Company maintaining a strong capital 16 structure, sufficient interest coverage, and investment 17 grade credit ratings. 18 Q.What are the Company's near-term plans related to 19 its debt? 20 21 A.The Company plans to issue up to $350 million of secured, fixed rate bonds during 2008.The proceeds from 22 the issuance of the securities will be utilized to fund 23 debt maturities and repay funds borrowed under our credit 24 facility. The Company has $318 million of debt maturing in 25 2008 and capital expenditures of approximately $190 million Malquist, Di 17 Avista Corporation 1 during 2008. The proposed 2008 issuance of debt securities 2 has been reflected in the chart below. Debt Maturities by Year (pro forma) as of December 31,2008 $50 - - I -..~ $300 $250 $200 $150 $100 $0 09 10 11 12 13 14 15 16 17 18 19 20 21 22 ~.~~~u~~~~~~~~u~ 3 4 . Long-term debt outtanding C Propoed 2008 debt l&uanc In addition to the $318 million of debt maturities in 5 2008, we have $83.7 million of Pollution Control Bonds 6 ($66.7 million with a maturity date of October 2032 and 7 $17.0 million with a maturity date of March 2034) that are 8 subj ect to remarketing on December 30, 2008.These bonds 9 are puttable at the option of the security holders on 10 December 30, 2008.If the bonds cannot be remarketed on 11 that date, we will be required to purchase the outstanding 12 bonds.In addition, we have $25 million of Medium-Term 13 Notes with a maturity date of June 2028 that are puttable 14 at the option of the security holders in June 2008. Malquist, Di 18 Avista Corporation 1 Q.The debt maturities graph above reflects a 2 proposed 2008 debt issuance of $250 million maturing in 3 2018. Why is the Company proposing such a large maturity 4 in one year? 5 A.Avista has had discussions with various 6 investment bankers regarding our proposed 2008 debt 7 issuances.The investment bankers have indicated that 8 investors are charging a premium for debt issuance 9 transactions that are not "index eligible" ,due to 10 volatilities that have occurred in the market over the past 11 12 year.A debt issuance must be at least $250 million in order to be index eligible.The investment bankers have 13 indicated that the premium could range from 10 - 15 bps, 14 which is $250,000 to $375,000 annually.Due to the 15 significance of the premium, Avista believes it would be 16 beneficial to customers to issue debt that is index 17 eligible. Additionally, based upon the projected growth of 18 Avista, the maturity will be much smaller by the time the 19 debt issuance is required to be refinanced, on a relative 20 basis. Avista will continue to monitor the capital markets 21 and balance the impact of debt issuances on the maturity 22 graph and the cost of debt as well as the impact to 23 customers and rates. Malquist, Di 19 Avista Corporation 1 Q.Has the Company taken any steps to address the 2 uncertainty related to interest rate exposure for the 3 significant debt maturities it faces in 2008? 4 A.Yes, it has. As a result of the historically low 5 interest rate environment that existed in 2004, the Company 6 entered into two forward-starting interest rate swaps 7 totaling $125 million or almost 46% of the June 1, 2008 8 debt maturity. The swaps have contract terms of ten years 9 beginning in 2008.These agreements secured a fixed rate 10 for a significant portion of the total future interest 11 rate. These agreements only lock in a portion of Avista' s 12 credit spread. The swaps will be cash settled on the same 13 day we issue new debt securities to fund the June 1, 2008 14 maturity. 15 Q.What other financing activities did the Company 16 complete in 2004 through 2007 that will lower its interest 17 costs? 18 A.The Company completed the following financing 19 activities from 2004 through 2007 that lowered interest 20 costs: 21 Table 3 Description of Securities Amount (in Issued milions)Rate Life Trust Preferred Stock: April 2004 $60 6.50%5 First Mortoaoe Bonds: Novem ber 2004 $90 5.45%15 November 2005 $150 6.25%30 December 2006 $150 5.70%30.5 Malquist, Di 20 Avista Corporation 1 2 The financing activity described in Table 3 above has had a direct impact on the Company's debt costs.Cost of 3 total debt has decreased from 8.68% at Decemer 31, 2003 to 4 7.91% at Decemer 31, 2007.The cost of debt should 5 decrease significantly once the 2008 debt maturities are 6 refinanced, as evidenced by the pro forma cost of debt of 7 6.84% as of December 31, 2008 reflected in this filing. 8 Q.What is the status of the Company's line of 9 credit secured by first mortgage bonds and its accounts 10 receivable program? 11 A.The Company has a $320 million line of credit 12 that expires in April 2011. The Company has the option of 13 increasing the line by $100 million (up to $420 million) at 14 any time during the term of the agreement, subj ect to 15 additional fees and obtaining bank commitments.The 16 agreement includes the option to release the first mortgage 17 bond security when the Company has an investment grade 18 credit rating.Additionally, the Company has an $85 19 million accounts receivable funding program that expires in 20 March 2009. This demonstrates increased confidence by our 21 banks in Avista's financial condition. 22 The facilities have been sized to allow the Company to 23 fund at least one year of capital expenditures, plus 24 required working capital and counterparty collateral Malquist, Di 21 Avista Corporation 1 requirements to assure flexibility given both the volatile 2 financial markets and volatile energy commodity prices. 3 Many purchases of natural gas, or contracts for 4 pipeline capacity to provide natural gas transportation, 5 require collateral, and/or prepayments, based upon the 6 Company's credit rating.Upgrades to Avista' s credit 7 ratings during 2007 and 2008 have reduced the amount of 8 collateral required to be posted with counterparties. If 9 Avista is upgraded above its current credit ratings, the 10 collateral requirements are expected to decrease, resulting 11 in reduced borrowing cos ts .The line of credit and 12 accounts receivable program are our primary sources of 13 immediate cash for borrowing to meet these needs and for 14 supporting the use of letters of credit. A line of credit 15 is required to manage daily cash flow since the timing of 16 cash receipts versus cash disbursements is never totally 17 balanced. 18 Q.Wht are Avista's plans regarding comon equity 19 and why is this important? 20 21 A.Avista will continue to monitor the common equity ratio of its capital structure.We will continuously 22 assess the need to issue additional common equi ty based 23 upon our overall capital structure. Avista entered into a 24 sales agency agreement in December 2006 to issue up to two 25 million shares of our common stock from time to time. Malquist, Di 22 Avista Corporation 1 During the second half of 2008, we are planning to issue 2 common stock under this sales agency agreement in order to 3 maintain our equity ratio at an appropriate level.It is 4 important to the rating agencies who rate the Company's 5 securi ties, and hence an important component of the 6 Company's cost of doing business, for Avista to maintain a 7 balanced debt/equity ratio in order to minimize the risk of 8 default on required debt interest payments.Avista is 9 committed to maintaining an appropriate level of equity to 10 support a strong credit rating. 11 Q.What are Avista's plans regarding preferred 12 equity and other financing structures (for exale hybrid 13 instruents)? 14 A.Avista does not have any preferred equity or 15 other financing structures outstanding at December 31, 16 2007.Currently, Avista does not plan to issue preferred 17 equity or other financing structures. Avista will continue 18 to evaluate the appropriateness of preferred equity and 19 other financing structures within its overall capital 20 structure. 21 22 23 V. CAPITAL STRUCTU Q.Please explain the capital structure proposed by 24 Avista in this case. Malquist, Di 23 Avista Corporation 1 A.Avista's current capital structure consists of a 2 blend of long-term debt and common equity necessary to 3 support the assets and operating capital of the Company. 4 The proportionate shares of Avista Corp.'s actual capital 5 structure on December 31, 2007, are shown on page 2 of 6 Exhibit NO.2. A pro forma capital structure is also shown 7 on page 2 in the Exhibit, which reflects expected changes 8 for the period ending December 31, 2008.Supporting 9 workpapers provide additional details related to these 10 adjustments on pages 3 through 4. 11 The rate of return to be applied to rate base in this 12 proceeding is equal to the weighted average cost of 13 capital, taking into account the pro forma adjusting items. 14 As shown on page 2 of Exhibit No.2, Avista Utilities is 15 proposing an overall rate of return of 8.74%. 16 17 18 19 20 VI. COST OF DEBT Q.How have you deter.ined the cost of debt? A.Cost of debt in the Company's proposed capital structure includes long-term debt.As shown on page 2 of 21 Exhibit No.2, the actual weighted average cost of long- 22 term debt outstanding on December 31, 2007 was 7.91%. The 23 size and mix of debt changes over time based upon the 24 actual financing completed. We have made certain pro forma 25 adjustments to update the debt cost through Decemer 31, Malquist, Di 24 Avista Corporation 1 2008 to 6.84%.Pro forma adjustments to long-term debt 2 reflect expected maturities of outstanding debt and the 3 issuance of new debt to fund those maturities.The pro 4 forma weighted cost of long-term debt was reduced from 5 4.17% to 3.56%. 6 7 8 VII. COST OF COMMON EQUITY Q.What rate of return on commn equity is the 9 company proposing in this proceeding? 10 A.The company is proposing a 10.8% return on common 11 equity (ROE), which is within the lower end of Dr. Avera's 12 recommended range of required return on equi ty . Dr. Avera 13 testifies to analyses related to the cost of common equity 14 with an ROE range of 10.7% to 12.2%. In his testimony Dr. 15 Avera states that: 16 Considering investors' expectations for17 capi tal markets and the need to support18 financial integrity and fund crucial19 capital investment even under adverse20 circumstances, I concluded that Avista' s21 requested ROE of 10.8% percent is22 reasonable. (P. 5, L. 19-23) 23 24 Q. Dr. Avera suggests an ROE range of 10.7% to 25 12.2%. Why is Avista requesting an ROE on the lower end of 26 the range? 27 A.As I have testified, Avista has made solid 28 progress towards improving its financial health. If Avista 29 can earn a 10.8% ROE in 2009, I believe the financial Malquist, Di 25 Avista Corporation 1 condi tion would continue to improve and would further 2 strengthen the credit ratings ratios. 3 Furthermore,as the Company has worked toward 4 improving its financial condition over the last several 5 years, it has done so with the customer in mind. Avista is 6 attempting to balance the ability to continue to improve 7 our financial health and access capital markets under 8 reasonable terms with the impacts that increased retail 9 rates have on its customers.In this case, although we 10 believe an ROE greater than 10.8% is supported and is 11 warranted, we also believe the 10.8% provides a reasonable 12 balance of the competing objectives. 13 Q.Please sumrize the proposed capital structure 14 and the cost components for debt and common equity. 15 A.As also shown on page 2 of Exhibit No.2, the 16 following table shows the capital structure and cost 17 components proposed by the Company. 18 19 20 21 Malquist, Di 26 Avista Corporation 1 Q. 2 testimony? 3 A. Does Yes. that conclude your pre-filed direct Malquist, Di 27 Avista Corporation RECEive DAVID J. MEYER VICE PRESIDENT, GENERA COUNSEL, GOVERNENTAL AFFAIRS AVISTA CORPORATION P.O. BOX 3727 1411 EAST MISSION AVENUE SPOKA, WASHINGTON 99220-3727 TELEPHONE: (509) 495-4316 FACSIMILE: (509) 495-8851 ZODS APR-3 REGULATORY &, BEFORE THE IDAHO PUBLIC UTILITIES COMMISSION IN THE MATTER OF THE APPLICATION ) CASE NO. AVU-E-08-01 OF AVISTA CORPORATION FOR THE ) CASE NO. AVU-G-08-01 AUTHORITY TO INCREASE ITS RATES ) AN CHAGES FOR ELECTRIC AN ) NATURA GAS SERVICE TO ELECTRIC ) EXHIBIT NO. 2 AND NATURAL GAS CUSTOMERS IN THE )STATE OF IDAHO ) MALYN K. MAQUIST ) FOR AVISTA CORPORATION (ELECTRIC AN NATURAL GAS) A V I S T A C O R P O R A T I O N Lu n g - t e r m S c c u r i t i l ' ~ C r c d i t R a t i n g s St a n d a r d & P o o r ' s Mo o d y ' s Fi t c h La s t R e v i e w e d Fe b r u 2 0 0 8 De c e m b e r 2 0 0 7 Au g u t 20 0 7 Cr e d i t O u t l o o k St a b l e St a b l e Po s i t i v e A+ Al A+ A A2 A A- A3 A- BB B + F i r s t M o r t g a g e B o n d s Ba a l Se c u r e M e d i u m - T e r N o t e s BB B Ba a 2 Fi r s t M o r t g a g e B o n d s Se c u r e d M e d i u m - T e r N o t e s BB B - Av i s t a C o r p . / C o r p o r a t e r a t i n g Ba a 3 Av i s t a C o r p . / I s u e r r a t i n g Se n i o r C o r p o r a t e N o t e s 9 . 7 5 % Se n i o r C o r p o r a t e N o t e s 9 . 7 5 % IN V E S T M E N T G R A E BB + Ba l Tr u t - O n g i n a t e d P r e f e r e d S e c u n t i e s BB B + BB B F i r s t M o r t g a g e B o n d s Se c u r M e d i u m - T e r N o t e s BB B - S e n o r C o r p o r a t e N o t e s 9 . 7 5 % BB + A v i s t a C o r p . / I s s u e r r a t i n g Tr u t - O n g i t e d P r f e r r S e c u n t i e s BB Tr u t - o n g i n a t e d P r e f e r r e d S e c u n t i e s Ba 2 BB BB - Ba 3 BB - Ex h i b i t N o . 2 Ca s e N o . A V U - E - G 8 - G 1 a n d A V U - G - G 8 - 0 1 M. M a l q u i s t . A v i s t a C o r p r a t i o n Pa g e 1 o f 4 AVISTA CORPORATION Capital Structure and Overall Rate of Retum PROFORM Cost of Capital as of Percent of December 31, 2008 Amount Total Capital Cost Component Long-Ter Debt $1,075,800,000 52.06%6.84%3.56% 10.80%1(1 )Common Equity 990,683,000 47.94%5.18% TOTAL $2,066,483,000 100.00%I 8.74%~ (1) Proposed Retu on Common Equity - See Avera testimony See supporting documentation All costs are shown before tax Assumptions 1. Stared with 12-31-2007 actual 2. Proforma though 12-31-2008 3. The forecasted equity and debt numbers come from forecast DEC6 model ru 4. Equity is adjusted for Other Comprehensive Income and capital stock expense of$21,921,000 5. Forecasted issuance of$12.5 milion of additional equity though different company programs Exhibit NO.2 Case No. AVU-E-08-01 and AVU-G-08-01 M. Malquist, Avista Corporation Page 2 of4 AV I S T A ( : O l l l O H A l l O N ,~ f L ( ' 1 \ , ~ - T c n i i D d i l D c t m l lk , - L ' l l l h c r 2 ( ) l j ~ Pr i a l Co u p o M a t y S e t e m e n t P r i c i & 1 I s i u m c e R c d p 1 i n N e t Y i e l t o O u t s t a d i E f e c v e De s c r p t i o n R a D a t e D a t e A m u n t C o s t s C o s t s P r o c e M a t y 1 2 - 3 1 . 2 0 0 8 ~ (a ) ( b ) ( 0 ) ( d ) ( . ) ( f ) ( g ) ( h ) ( i ) ( j ) ( k ) I S M r N S m . A S m . C o , . . A O S - 3 1 - 2 0 1 0 0 5 - 0 1 - 1 9 9 3 3 7 3 , 6 9 2 1 , 6 6 3 2 S M l N S e r . . A 6 . 7 % 0 7 . 1 2 - 2 0 1 0 0 7 . 1 2 . 1 9 9 5 , 0 0 , 0 0 3 5 , O S I 6 9 , _ 4 , 2 7 4 , 4 5 5 8 . 2 7 5 % 5 , 0 0 0 0 4 1 3 , 7 6 5 3 S M l N S e r . . A 7 . 1 8 % O S - 1 1 - 2 0 2 3 O S - 1 2 - 1 9 9 7 , 0 0 , 0 0 5 4 , 3 6 4 6 , 9 4 5 , 6 3 6 7 . 2 4 4 % 7 , 0 0 0 0 5 0 7 , 0 6 4 S M l N S e r . . A 7 . 3 7 % 0 5 - 1 0 - 2 0 U 0 5 - 1 0 - 1 9 9 7 , 0 0 0 0 4 9 , 1 1 4 1 , 2 2 7 , 8 8 3 5 , 7 2 3 , 0 0 9 . 4 5 5 % 7 , 0 0 0 0 6 6 1 , 8 7 7 5 S M f N S e r . . A 7 . 3 9 % 0 5 - 1 1 - 2 0 1 8 0 5 . 1 1 - 1 9 9 3 7 , 0 0 , 0 0 5 4 , 3 6 4 1 , 2 2 7 , 8 8 3 5 , 7 1 7 , 7 5 3 9 . 2 8 7 % 7 , 0 0 0 0 6 5 0 , 1 1 4 6 S M f N S m . A 7 . 4 5 % 0 6 1 1 - 2 0 1 8 0 6 0 9 . 1 9 9 3 1 5 , 5 0 0 , 0 0 1 7 0 , 5 9 7 2 , 1 4 0 , 4 4 0 1 3 , 1 8 8 , 9 6 3 8 . 9 5 3 % 1 5 , 5 0 0 0 0 1 , 3 8 7 , 7 1 5 7 S M f N S m . A 7 . 5 3 % 0 5 . 0 5 . 2 0 2 3 0 5 . 0 6 1 9 9 5 , 5 0 0 , 0 0 4 2 , 7 1 2 9 6 3 , 0 1 1 4 , 4 9 4 , 2 7 7 9 . 3 5 9 % 5 , 5 0 , 0 0 5 1 4 , 7 4 4 8 S M f N S e r . . A 7 . 5 4 % 0 5 . 0 5 . 2 0 2 3 0 5 . 0 7 . 1 9 9 1 , 0 0 0 0 7 , 7 2 6 1 7 5 , 4 1 2 8 1 6 , 8 6 2 9 . 3 7 4 % 1 , 0 0 , 0 0 9 3 , 7 4 2 9 S M f N S m . B S e r . . C o . " B 0 5 . 0 1 . 2 0 0 0 5 . 0 1 . 1 9 9 3 2 9 , 0 2 2 1 , 9 3 5 10 S M l N S e r e s B 6 . 9 0 0 7 . 0 1 . 2 0 1 0 0 6 . 1 9 9 5 5 , 0 0 , 0 0 3 7 , 9 4 4 , 9 6 , 0 5 6 6 . 9 8 % 5 , 0 0 , 0 0 3 4 9 , o n 11 5 . 7 0 % F M B ' , 5 . 7 0 % 0 7 . 0 1 . 2 0 3 7 1 2 . 1 5 . 2 0 0 1 5 0 , 0 0 , 0 0 8 , 6 4 6 , 7 9 3 1 4 1 , 3 5 3 , 2 0 7 6 . 1 1 9 % 1 5 0 , 0 0 0 0 9 , 1 7 8 , 4 9 3 12 6 . 1 2 5 % F M B " 6 . 1 2 5 % 0 9 . 0 1 . 2 0 1 3 0 9 . O S . 2 O O 3 4 5 , 0 0 0 0 9 3 1 , 4 1 3 8 1 5 , 8 2 4 4 3 , 2 5 2 , 7 6 3 6 . 6 4 % 4 5 , 0 0 , 0 0 2 , 9 9 , 6 1 5 13 5 . 4 5 % F M B ' , 5 . 4 5 0 % 1 2 . 0 1 . 2 0 1 9 1 1 . 1 8 . 2 0 0 9 0 0 0 0 0 1 , 4 3 5 , 9 2 4 8 8 , 5 6 4 , 0 7 6 5 . O S % 9 0 0 0 0 0 5 , 0 4 7 , 3 8 7 14 6 . 2 5 % F M B ' , 6 . 2 5 0 % 1 2 . 0 1 . 2 0 3 5 1 1 - 1 7 . 2 0 0 5 1 5 0 , 0 0 0 0 - 2 , 1 8 5 , 8 3 0 1 , 6 9 , 6 9 1 5 0 , 4 8 9 , 1 3 6 6 . 2 2 6 % 1 5 0 , 0 0 0 0 9 , 3 3 8 , 4 2 7 15 P C B ' , K e U . F ø 1 6 . 0 0 % , 1 2 - 0 1 - 2 0 2 0 7 - 2 9 1 9 9 4 , 1 0 0 0 0 2 8 2 , 2 4 8 3 , 8 1 7 , 7 5 2 6 . 5 2 3 % 4 , 1 0 0 , 0 0 2 6 7 , 4 4 1 16 i P C B ' , S e r . . I 9 9 A 5 . 0 0 1 0 - 0 1 . 2 0 3 2 0 9 0 1 . 1 9 9 6 6 7 0 0 0 0 2 , 8 0 0 6 3 1 4 , 7 5 1 , 9 8 5 9 , 1 4 7 , 3 8 5 5 . 7 7 O " A i 6 6 7 0 0 , 0 0 3 , 8 4 8 , 8 8 3 17 i P C B " S m . 1 9 9 5 . 1 2 5 % 0 3 0 1 - 2 0 3 4 0 9 - 0 1 - 1 9 9 1 7 , 0 0 0 0 9 7 , 8 8 6 1 , 2 6 6 , 2 6 5 1 4 , 7 5 3 , 8 4 9 6 . 0 4 1 % 1 7 , 0 0 0 0 1 , 0 2 6 , 9 0 18 M f N ' S m . C S e r . . C o l l C 0 6 1 5 . 2 0 1 3 0 6 1 5 - 1 9 9 6 1 0 , 7 9 4 0 , 7 2 0 19 M f N ' , S e r . . C 6 . 3 7 % 0 6 1 9 - 2 0 2 8 0 6 1 9 - 1 9 9 1 5 , 0 0 , 0 0 1 7 4 , 1 7 8 1 4 , 8 2 5 , 8 2 6 . 4 5 8 % 1 5 , 0 0 0 0 9 6 , 7 1 1 20 M f N ' S m . C 6 . 3 7 % 0 6 1 9 - 2 0 2 8 0 6 1 9 - 1 9 9 1 0 , 0 0 0 0 1 7 2 7 7 5 9 , 8 2 7 , 2 2 5 6 . 5 0 2 % 1 0 , 0 0 0 0 6 5 0 , 1 6 4 21 M f N ' , S m . C 8 . 0 2 % 1 0 - 2 6 - 2 0 1 0 1 0 - 2 6 - 1 9 9 2 5 , 0 0 0 0 1 6 1 , 2 8 7 7 0 7 , 5 2 7 2 4 , 1 3 1 , 1 8 6 8 . 5 1 3 % 2 5 , 0 0 0 0 2 , 1 2 8 , 2 0 7 22 T r u l P r e S e a l i . . 6 . 5 0 0 0 4 - 0 1 . 2 0 3 4 0 4 0 5 - 2 0 0 6 0 0 0 0 0 3 , 3 8 9 7 2 6 3 , 5 0 1 , 2 7 0 5 3 , 1 0 9 , 0 0 7 . 4 6 4 % 6 0 0 0 0 0 4 , 4 7 8 , 5 5 9 25 26 27 28 29 30 31 32 33 34 35 36 37 Li . .1 99 5 , 8 9 4 , 4 1 0 6.5 1 3 % Re p . . 7.7 4 0 " A i 12 . 3 1 . 2 0 1 7 06 3 0 - 2 0 0 6, 8 7 5 , 0 0 48 3 , 5 8 6,3 9 1 , 4 1 8 8.7 2 1 % Re p c l . 8.7 0 % 06 3 0 2 0 1 5 06 3 0 - 2 0 0 5 26 , 0 0 , 0 0 1,6 9 6 9 4 24 , 3 0 3 , 3 0 6 9.1 8 1 % Re p . . . . 8. 4 1 0 % 06 3 0 - 2 0 1 4 06 3 0 - 2 0 0 36 5 9 0 , 0 0 7,2 4 4 , 8 9 5 29 , 3 4 5 , 1 0 5 11 . 8 4 0 % Re p . . 8.6 8 O " A i 09 3 0 - 2 0 1 2 06 3 0 - 2 0 0 52 , 4 8 5 , 0 0 2, 7 3 5 , 0 4 49 , 7 4 9 , 9 5 6 9.5 3 6 % Re p c l . . 8. 7 6 0 09 3 0 - 2 0 1 0 06 3 0 - 2 0 0 20 3 , 5 9 0 , 0 0 11 , 5 4 9 , 0 9 19 2 , 0 4 0 , 9 0 9.7 7 3 % . 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R a L o - T e r t a 1,0 3 5 , 8 0 0 , 0 0 67 , 4 6 5 , 6 0 1 66 5 8 6 26 6 4 8 9 1, 2 7 3 8 4 5 46 6 1 9 0 2,1 4 6 , 9 5 0 4,2 0 , 0 6 40 , 0 0 , 0 0 1, 8 8 3 , 6 1 6 1,Ð 5 , 8 0 0 0 0 73 , 5 6 9 , 2 7 7 Un . .1 I 2 3 4 5 6 7 8 9 W 11 U 13~15 W U ~~W D 22n 24~Un 28 29 m U II D 34 H~n Ex h i b i t N O . 2 Ca s e N o . A V U - E - 0 8 - 0 1 a n d A V U - G - 0 8 - 0 1 M. M a l q u i s t , A v i s t a C o r p o r a t i o n Pa g e 3 o f 4 \\ I S I A C O I ~ l O R Y I I O , \ l' n d ~ l I n ; i ! I T 1 T l \ ; i i i ~ i l i k R a i l ' !) 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