CHAPTER En 2100
AFFILIATE TRANSACTIONS RULES
PART En 2101
APPLICABILITY
En
2101.01 Purpose. En 2100 sets forth the department’s
regulatory oversight concerning certain standards of conduct and related
procedures which the public utilities commission (commission) has established in
Puc 2100 rules governing the relationship between a utility and its affiliates
transacting business in New Hampshire by requiring utilities to make an annual
compliance filing. Additionally, the En
2100 rules include provisions concerning the utility’s obligation to file service
contracts and arrangements exceeding $500 which are entered into between a
public utility and its affiliates with the department.
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En 2101.02 Scope. En 2100 shall apply to public utilities as
defined in En 2102.12.
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PART En 2102
DEFINITIONS
En
2102.01 “Affiliate” means “affiliate” as
defined in RSA 366:1, II.
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En
2102.02 “Commission” means the New
Hampshire public utilities commission.
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En
2102.03 “Competitive affiliate” means
any affiliate of a utility that is engaged in the sale or marketing of products
or services on a competitive basis and includes any competitive energy
affiliate.
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En
2102.04 “Competitive energy affiliate”
means any competitive affiliate of a utility that is engaged in the sale,
brokering, or marketing of natural gas or electricity to retail customers, the
development of an energy related generation, transmission, or distribution
project, or the provision of related products or services. Competitive energy affiliate does not include
an affiliate to the extent that the affiliate performs corporate support
services for the utility as described in Puc 2105.04.
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En
2102.05 “Customer information” means any
non-public information and data specific to a utility customer that the utility
acquires or develops in the course of its provision of utility services.
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En
2102.06 “Department” means the New
Hampshire department of energy.
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En
2102.07 “Distribution system information”
means information concerning the specific location or characteristics of part
or all of the utility’s distribution system or other non-customer-specific,
non-public information that is not available on an equivalent basis to
non-affiliated competitors.
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En
2102.08 “Non-affiliated competitor”
means any entity that is not an affiliate and that is engaged in the sale or
marketing of products or services where such product or service is also
provided by a competitive affiliate, and includes any non-affiliated energy
competitor.
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En
2102.09 “Non-affiliated energy
competitor” means any entity that is not an affiliate and that is engaged in
the sale, brokering, or marketing of natural gas or electricity to retail
customers, the development of an energy related generation, transmission, or
distribution project, or the provision of related products or services.
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En
2102.10 “Substantial control” as used in
the definition of “affiliate” at RSA 366:1, II means the possession, directly
or indirectly, and whether acting alone or in conjunction with others, of the
authority to direct or cause the direction of the management or policies of an
entity. Substantial control includes a
minority voting interest established by a direct or indirect voting interest of
10 percent or more in the entity.
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En
2102.11 “Utility” means every electric,
gas, sewer, and water system or part thereof owned, operated, or managed by an individual
or business entity determined to be a public utility under New Hampshire
statutes, and every municipal authority furnishing any of the above services
outside its municipal boundaries excluding those municipalities exempted from
regulation by RSA 362:4.
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En
2102.12 “Utility employee” means an
officer, director, employee, or agent of the utility who has specific knowledge
of or who accesses customer information or distribution system information that
could provide a competitive affiliate with an undue advantage.
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PART En 2103
REGULATORY OVERSIGHT
En
2103.01 Filing of Compliance Plan.
(a) Each utility shall file with the department a
compliance plan that discloses its affiliates and demonstrates that there are
adequate procedures and policies in place for complying with En 2103.01(d), En
2103.02, En 2103.03, and En 2103.04 and the Puc 2100 rules.
(b) Compliance plans shall be filed with the department
by July 1 each year and updated as required by En 2103.04.
(c) The compliance plan shall take effect upon
its filing.
(d) The compliance plan shall include the
following:
(1) Copies of all utility procedures and policies
for complying with Puc 2100 and RSA 366;
(2) Identification of all affiliates with which
the utility has a contract or arrangement that is subject to Puc 2100 or RSA
366, including contact information for all offices and officers of those
affiliates;
(3) A description of the business purpose and
nature of the business conducted by each affiliate disclosed pursuant to (2)
above;
(4) Copies of all written contracts and
arrangements, detailed descriptions of all unwritten contracts and arrangements,
and any modifications thereof with each competitive affiliate disclosed
pursuant to (2) above except under the circumstances that such copies have already
been provided in accordance with (e) below and the utility has so indicated in its
compliance filing;
(5) Corporate officer certifications required by
Puc 2105.05(d);
(6) Employee transfer tracking information
required by Puc 2105.06(a) and (b);
(7) Employee statements required by Puc
2105.06(l); and
(8) Corporate officer certifications required by En
2103.02.
(e) Each utility shall file, consistent with RSA 366:3,
copies of all service contracts or arrangements which are written or detailed descriptions
of all unwritten contracts or arrangements exceeding $500 as follows:
(1)
No later than 10 business days after the
execution of the contract or the arrangement having been entered into; and
(2)
By electronic mail with the department at
proceedings@energy.nh.gov.
(f) Any contract or arrangement not filed with
the department or whose later filing is not approved pursuant to this section
shall be subject to the provisions of RSA 366:4.
(g) In assessing whether to approve the late
filing of a contract under En 2103.01(f), the department shall take into account:
(1)
The nature, extent, and gravity of the late
filing:
(2) The utility’s history of violations of RSA
366 and related rules of the department or commission;
(3) The good faith efforts, if any, of the
utility to comply with the department’s filing requirements;
(4) The nature and degree of economic benefit
gained by the utility or its affiliate;
(5) Deterrence of future violations; and
(6) Such other factors that are relevant and
material to the particular circumstances.
(h) If a utility fails to provide the information
required by En 2103 in the manner and time required, it shall be subject to the
provisions of RSA 366:7 and the commission’s determination
in disallowing payments as set forth at Puc 2106.01.
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En 2103.02 Initial Certification of Officer. In the compliance plan, a corporate officer
from the utility and holding company with direct knowledge of the operations of
the utility and its affiliates shall certify under penalty of false statement
that:
(a) Such officer
has reviewed the plan; and
(b) To the best
of such officer’s knowledge and belief, the specific mechanisms, procedures,
and policies in the plan are adequate to ensure that the utility is not using
the holding company or any of its affiliates not covered by these rules or any
unaffiliated entities as a means to circumvent any commission or department
rule or RSA 366.
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En 2103.03 Annual
Certifications. No later than July 1
of each year subsequent to filing its initial compliance plan, a utility shall:
(a) Certify that
its compliance plan continues to meet the requirements of En 2103, Puc 2100,
and RSA 366; and
(b) If necessary,
file an updated compliance plan which meets the requirements of En 2103.04.
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En 2103.04 Notification to Department and Updates to
Compliance Plan.
(a) In addition to the requirements of En 2103,
the utility shall notify the department of any new competitive energy affiliate
within 10 business days of its acquisition or creation, as applicable.
(b) When notifying the department pursuant to (a)
above, the utility shall provide the department with a description of the
business purpose of the additional competitive energy affiliate.
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En 2103.05 Compliance Audit. On the department’s own motion or upon
receipt of a complaint, in order to verify that the
utility is in compliance with RSA 366 or related rules
of the department or commission, the department shall, as warranted:
(a) Assign its staff to perform a review,
investigation, or inquiry; and
(b) Petition the commission to open an adjudication.
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En 2103.06 Submission of Compliance
Plans. Each utility shall file a
compliance plan in accordance with En 2103 by electronic mail to proceedings@energy.nh.gov.
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PART En 2104 UTILITY AND AFFILIATE BOOKS AND RECORDS
En 2104.01 Access
by Department to Utility and Affiliate Books and Records. The books and records of affiliates, including vouchers,
memoranda, documents, letters, contracts, or other papers, shall be open during
normal business hours for examination by the department and its staff with
respect to transactions and other matters involving the relationship between
the utility and its affiliates.
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PART En 2105 LIST OF REGISTERED
ELECTRIC ENERGY OR NATURAL GAS SUPPLIERS MAINTAINED BY THE DEPARTMENT
En 2105.01 Utility’s
Provision of List of Suppliers Registered with the Department to Customers. If a customer requests information about any
energy supplier, the utility shall provide the list of registered electric
energy or natural gas suppliers, maintained by the department, including
a disclaimer on behalf of the department stating that the department, in making
the list available, does not guarantee or make any representation regarding the
financial stability or service quality of the suppliers listed.
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Appendix
|
Rule(s) |
State
Statute (RSA) |
|
En 2101.01 – 2101.02 |
RSA 12-P:5,
IV; RSA 366:1, II; RSA 365:6, 7; RSA 374:4 |
|
En 2102.01 – 2102.13 |
RSA 12-P:5, IV; RSA 366:1, II |
|
En 2103.01 – 2103.05 |
RSA 12-P:5, IV; RSA 365:6, 7; RSA 366:3, RSA 366:4, RSA 366:7; RSA 366:9; RSA
374:4 |
|
En 2104 |
RSA 12-P:2, IV; RSA 12-P:5, IV |
|
En 2105 |
RSA 374-F:4-b, II |