CHAPTER Puc
3000 COMPETITIVE NATURAL
PART Puc
3001 PURPOSE
Puc 3001.01 Purpose.
The purpose of Puc 3000 is to
establish requirements for the registration of competitive natural gas suppliers
and aggregators, as defined below, with the commission. Puc 3000 also
establishes consumer protection requirements and enforcement provisions and
procedures.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3001.02 Application of Rules.
(a) These rules shall apply to competitive natural gas
suppliers as defined in Puc 3002.07 and aggregators
as defined in Puc 3002.03.
(b) These rules
shall not apply to the sale of natural gas to residential or non-residential
customers by a local distribution company as defined in Puc
3002.13.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
PART Puc
3002 DEFINITIONS
Puc 3002.01 “Affiliate” means any of the following:
(a) Any person or entity that directly or
indirectly owns, controls, or holds with power to vote a majority of the outstanding voting securities or such minority
thereof as to give such person substantial control of another person or entity;
(b) Any person or entity that is directly or
indirectly owned, controlled, or held by any person or entity described in (a)
above through either power to vote a majority of the outstanding voting
securities or such a minority so as to maintain substantial control of such
person or entity;
(c) Any person or
entity with which another person or entity has a management or service contract
or arrangement that provides such person or entity with effective control over
the management, supervision, or operation of the other person or entity; or
(d) Any person or entity who or which actually
exercises effective control over the management, supervision, or operation of
another person or entity.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3002.02 “Aggregate” means to combine the natural gas
loads of 2 or more customers or a single customer with multiple meters or
multiple locations.
Source. #7811, eff
12-28-02; ss by #9796-A, eff 9-25-10 (from Puc
3002.01)
Puc 3002.03 “Aggregator” means any person or entity that
aggregates natural gas load but takes no ownership of the natural gas supplies
needed to meet that aggregated load. The
term includes, but is not limited to, any person or entity that facilitates or
otherwise arranges for the purchase or sale of natural gas between customers
and approved competitive natural gas suppliers.
The term does not include any employee aggregating load on behalf of her
or his employer.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19 (from Puc 3002.02)
Puc 3002.04 “Applicant” means any person or entity who or
which has filed an application for registration or renewal as a CNGS or
aggregator with the commission pursuant to Puc 3000.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19 (from Puc 3002.03)
Puc 3002.05 “City gate” means the interconnection between
a delivering pipeline and the distribution system of an LDC.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19 (from Puc 3002.04)
Puc 3002.06 “Commission” means the New Hampshire public
utilities commission.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10 (from Puc 3002.03); ss by #12757, eff 6-1-19
(from Puc 3002.05)
Puc 3002.07 “Competitive natural gas supplier (CNGS)”
means any person or entity that sells or offers to sell natural gas to a
customer of an LDC in this state. A CNGS
takes ownership of the natural gas supply to the extent it is the entity
responsible for delivering that supply to the city gates of an LDC in
accordance with the LDC’s balancing requirements. The term does not include any municipal or
county corporation operating within its corporate limits, LDCs supplying natural
gas in accordance with rates and/or practices approved by the commission, third
party suppliers to entities with direct connections to non-utility owned
intrastate or interstate natural gas pipelines, suppliers to electrical
generation facilities with a capacity of 30 megawatts or more, or persons or
entities to the extent that they supply natural gas at wholesale to an LDC.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10 (from Puc 3002.04); ss by #12757, eff 6-1-19
(from Puc 3002.06)
Puc 3002.08
“Confidential customer information” means information that is collected
as part of providing natural gas services to a customer that can identify,
singly or in combination, that specific customer, and includes the customer’s name, address, and account number and
the quantity, characteristics, or time of consumption by the customer, and also
includes specific customer payment, financial, banking, and credit information.
Source. #12757, eff 6-1-19
Puc 3002.09 “Customer” means any person or entity in this
state, including any governmental unit, that utilizes delivery service provided
by an LDC and purchases natural gas at retail from a CNGS or whose load is
aggregated by an aggregator, but does not include residential consumers.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10 (from Puc 3002.05); ss by #12757, eff 6-1-19
(from Puc 3002.07)
Puc 3002.10 “Delivery service” means the distribution of
natural gas by an LDC from a city gate to a meter at a customer’s premises.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19 (from Puc 3002.08)
Puc 3002.11 “Investment grade credit rating” means a
current rating for senior unsubordinated debt of AAA, AA, A, or BBB, as issued
by S&P Global Ratings, or Aaa, Aa, A, or Baa, as
issued by Moody’s Investors Service, Inc.
Source. #12757, eff 6-1-19
Puc 3002.12 “LDC sales service” means natural gas
commodity service provided on a firm basis to a retail customer that is not
receiving service from a CNGS, in accordance with the LDC’s retail natural gas
services tariff.
Source. #12757, eff 6-1-19
Puc 3002.13 “Local distribution company (LDC)” means a
natural gas public utility regulated by the commission which operates a retail
gas distribution system.
Source. #9796-A, eff 9-25-10 (from Puc
3002.06); ss by #12757, eff 6-1-19 (from Puc 3002.09)
Puc 3002.14 “Natural gas supplier service” means the sale
of natural gas to a customer by a CNGS, but does not include any sale by the
LDC itself.
Source. #9796-A, eff 9-25-10 (from Puc
3002.07); ss by #12757, eff 6-1-19 (from Puc 3002.10)
Puc 3002.15 “Natural gas supply offer” means a
solicitation by a CNGS to sell natural gas or a solicitation by an aggregator
to arrange for or facilitate the purchase of natural gas by a customer.
Source. #9796-A, eff 9-25-10 (from Puc
3002.08); ss by #12757, eff 6-1-19 (from Puc 3002.11)
Puc 3002.16 “Principals” means, for a
corporation, any of its officers, directors, or controlling shareholders, for a
limited liability company, any of its managers or controlling members, for a partnership, any of its general partners, and for
any other business entity, any of its personnel exercising executive functions
and any of its controlling equity owners.
Source. #12757, eff 6-1-19
Puc 3002.17
“Sanctionable event” means a CNGS or aggregator has:
(1) Violated any provision of the rules
included in this chapter;
(2) Violated the requirements of RSA 365:8-a
or any other provision of RSA Title XXXIV applicable to CNGS or aggregators; or
(3) Engaged in any unfair or deceptive acts or
practices in the marketing, sale, or solicitation of natural gas or related services.
Source. #12757, eff 6-1-19
PART Puc
3003 REGISTRATION
Puc 3003.01 Initial Registration of Competitive
Natural Gas Suppliers.
(a) Any person or
entity seeking to sell natural gas to customers in the state of New Hampshire
shall complete and submit an application for registration as a CNGS containing
the information and signature as specified in Puc
3006.01.
(b) No person or
entity shall sell, or offer to sell by means of mass media marketing or
otherwise, natural gas to any customer until the person or entity has completed
all aspects of the registration process required by Puc
3003, and has had its registration approved in accordance with Puc 3003.01(e).
(c) Each applicant
shall provide the following in or with its application:
(1) Original
financial security instrument as specified in Puc
3003.03;
(2) Documentation
sufficient to demonstrate that the applicant is an approved shipper on the
upstream pipelines and underground storage facilities on which the LDC will
assign capacity, if any, to the applicant; and
(3) A $250.00 registration fee, with payment
submitted to the executive director.
(d) The commission shall reject the application when
information required to complete a CNGS registration application is not
provided by the applicant within 60 days of request for such information.
(e) Unless an application for CNGS registration is
incomplete, does not meet the application requirements, or is subject to
outstanding requests for additional information or clarification, within 60
days of receipt of a complete application:
(1) The
application shall be approved in writing, which approval shall be issued by the
executive director, unless
the approval requires the grant of a rule waiver under Puc
201.05;
(2) The
application shall be denied in writing; or
(3) The application shall be deemed to have been approved.
(f) The commission shall deny a CNGS application
if it determines that the applicant or any of the applicant’s principals or
affiliates has:
(1) Been found
in other state(s), after notice and opportunity to be heard, to have committed violations, such that the commission determines that it is not in
the public good to allow registration;
(2) Within the
10 years immediately prior to registration, had any civil, criminal or
regulatory sanctions or penalties imposed against it, him, or her pursuant to
any state or federal consumer protection law or regulation, such that the
commission determines that it is not in the public good to allow registration;
(3) Knowingly made a false statement of material fact in the
application; or
(4) Been the
subject of consumer complaints in other states in such number and of such types
as establishes a pattern demonstrating engagement in:
a. Misleading or deceptive marketing or sales
practices;
b. Inaccurate billing when billed by the CNGS;
c. Fraud;
d. Slamming, meaning the initiation of the
transfer of a customer to a new CNGS or
aggregator without the
customer's authorization; or
e. Other practices found by the
commission to be harmful or potentially harmful to customers.
(g) In the event that the commission denies an
application for registration, the applicant may, within 30 days, file a request
for reconsideration or a hearing before the commission.
(h) An approved CNGS
registration shall be valid for a period of 5 years.
(i) If an application is rejected, the
application fee shall be forfeited and the applicant shall be required to
submit a new application and fee prior to acting as a CNGS in
(j) An applicant
shall submit with its application proof that it has notified any LDC in whose
service territory it intends to conduct business as a CNGS of the filing of its
application for registration at the time it files the application with the
commission.
(k) Each CNGS shall
notify the commission of any changes to the information required to be
submitted pursuant to this section and Puc
3006.01. The CNGS shall provide such
notice in advance, when practicable, but no later than 10 business days
following the effective date of the change, in all cases.
(l) If a CNGS fails
to comply with the requirements or obligations of this chapter, the commission
shall determine whether to charge against the CNGS’s financial security by
following the process described in Puc 3005, subject
to the priority set forth in Puc 3003.03(b).
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3003.02 Renewal Registration of Competitive Natural
Gas Suppliers.
(a) Each registered
CNGS shall renew its registration with the commission every 5 years by:
(1) Completing
and submitting an application for renewal registration containing the
information and signature as specified in Puc
3006.01; and
(2) Filing
the original financial security instrument as specified in Puc
3003.03 with the executive director, unless the financial security instrument
previously filed with the commission will remain in effect during the entire
renewal term.
(b) Each application
for renewal shall be submitted no less than 60 days and no more than 120 days
prior to the expiration of the CNGS’s currently effective registration. If a CNGS fails to renew its registration,
its registration shall expire by its terms.
(c) The commission
shall reject an application for renewal when information required to complete
the CNGS registration renewal application is not provided within 60 days of the
request for such information.
(d) Unless a CNGS
renewal application is incomplete, does not meet the application requirements,
or is subject to outstanding requests for additional information or
clarification, within 60 days of receipt of a complete application:
(1) The
application shall be approved in writing, which approval shall be issued by the
executive director, unless the approval requires the grant of a rule waiver
under Puc 201.05;
(2) The
application shall be denied in writing; or
(3) The application shall be deemed to have been approved.
(e) The commission shall deny a CNGS application for renewal if it determines
that the applicant or any of the applicant’s principals or affiliates has:
(1) Been found in New Hampshire or other state(s), after
notice and opportunity to be heard, to have committed violations, such that the
commission determines that it is not in the public good to allow registration;
(2) Since its
registration, had any civil, criminal, or regulatory sanctions or penalties
imposed against it, him,
or her pursuant to any state or federal consumer protection law or regulation,
such that the commission determines that it is not in the public good to allow
registration;
(3) Knowingly made a false statement of material fact in the
renewal application;
(4) Been the
subject of substantiated consumer complaints in New Hampshire or other states
in such number and of such types as establishes a pattern demonstrating
engagement in:
a. Misleading or deceptive marketing or sales
practices;
b. Inaccurate billing;
c. Fraud;
d. Slamming; or
e. Other practices found by the
commission to be harmful or potentially harmful to customers; or
(5) Had its registration suspended or revoked pursuant to Puc 3005 and has not:
a. Demonstrated its ability to avoid a similar
sanctionable event; and
b. Paid all applicable fines and complied fully
with any commission order issued as a result of a sanctionable event.
(f) In the event that
the commission denies an application for renewal registration, the applicant
may, within 30 days, file a request for reconsideration or a hearing before the
commission.
(g) A renewed CNGS registration
shall be valid for a period of 5 years.
(h) If an
application is rejected, the applicant shall be required to submit a new
application and fee prior to acting as a CNGS in New Hampshire.
(i) Each CNGS shall notify the commission of any
changes to the information required to be submitted pursuant to this section
and Puc 3006.01.
The CNGS shall provide such notice in advance, when practicable, but no
later than 10 business days following the effective date of the change, in all
cases.
(j) If a CNGS fails
to comply with the requirements or obligations of this chapter, the commission
shall determine whether to charge against the CNGS’s financial security by
following the process described in Puc 3005, subject
to the priority set forth in Puc 3003.03(b).
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3003.03 Financial Security Requirements of
Competitive Natural Gas Suppliers.
(a) The financial
security instrument required by Puc 3003.01(c)(1) or Puc 3003.02(a)(2) shall:
(1) Be in
the form of:
a. An irrevocable standby letter of credit issued
by a bank with assets of at least $1 billion and presentable at a U.S. office
of such bank;
b. A surety bond issued by an insurance company
or bonding company included on the U.S. Treasury Department’s list of certified
companies and licensed in New Hampshire, with demand to be made on a U.S office
of the named surety; or
c. An unconditional guaranty of payment executed
by the parent company or other affiliate of the CNGS, if the parent company or
affiliate has and maintains an investment grade credit rating;
(2) Be in an amount equal to the greater of:
a. $100,000.00;
b. The estimated highest
month’s aggregated gas usage of all customers served by the CNGS in New
Hampshire multiplied by the same month’s Tennessee Gas Pipeline Zone 6 monthly
index, for a CNGS’s first year of operation; or
c. The actual highest month’s aggregated gas
usage of all customers served by the CNGS in New Hampshire multiplied by the
same month’s Tennessee Gas Pipeline Zone 6 monthly index, for any year after
the CNGS’s first year of operation;
(3) Not
exceed $500,000.00, notwithstanding (2) above;
(4) Name
the commission as beneficiary, obligee, or guaranteed
party, as applicable;
(5) Have an effective term of not less than 12
months with a 6-month extended claims, draws, or demand period;
(6) Have no
right of cancellation during the initial effective term of the financial
security instrument; and
(7) Be adjusted annually, if based upon natural
gas usage or estimated usage, under (2)b or (2)c above. The CNGS shall report its monthly and annual
usage for the prior year ending March 31, as used to determine the amount of financial
security, on or before May 31 of each year.
(b) The commission
shall make a claim under, or pursue an action against, financial security
instruments for the following purposes and in the following order of payment
priority:
(1) Customer
complaint reparations, ordered by the commission following notice and hearing
and remaining unpaid by the CNGS after 30 days;
(2) Costs incurred as necessary to ensure continuous service to a CNGS’s
customers through LDC sales service or another CNGS;
(3) Fines or
sanctions for violation of applicable laws or rules, assessed by the commission
following notice and hearing and remaining unpaid by the CNGS after 30
days; and
(4) Commission
annual assessment remaining unpaid by the CNGS on June 1 of any calendar year,
in the absence of exemption or good faith objection.
(c) Each financial
security instrument shall contain the following operative language:
“The New Hampshire Public Utilities Commission may
draw upon this financial security instrument if and when the Company has failed
to make required payment(s) and/or payment arrangements
in accordance with the terms and conditions of an order issued by the New
Hampshire Public Utilities Commission.”
(d) In the event the
commission draws on a financial security instrument pursuant to Puc 3005 and Puc 3003.03(b)
above, the CNGS shall replenish the financial security instrument to the full
amount required by (a)(2) and (a)(3) above within the timeframe specified by
the commission in any decision or order.
(e) If the financial
security instrument provided by a CNGS to the commission in connection with its
original or any renewal registration will not be renewed or extended beyond its
expiration date, the CNGS shall:
(1) Provide written notice to the commission of such non-renewal
or non-extension not less than 60 days prior to the expiration date; and
(2) File with
the executive director a replacement financial security instrument meeting the requirements
of (a) above no less than 30 days prior to the expiration date.
(f) A CNGS that fails to comply with the
requirement to file a replacement financial security instrument under (e)(2)
above shall be subject to fines, suspension, or revocation pursuant to Puc 3005.
Source. #9796-A, eff 9-25-10;
ss by #12757, eff 6-1-19
Puc 3003.04 Reporting Requirements of Competitive Natural
Gas Suppliers.
(a) Each CNGS shall
file annually, by no later than March 1 of each year, a report of its sales in
the prior calendar year.
(b) The report
required by (a) above shall include:
(1) The name
of and responsible reporting agent for the CNGS;
(2) The date of the report;
(3) The year covered in the report;
(4) The number of
(5) Sales volumes to
(c) With each
application for renewal, each CNGS shall file, on a confidential basis, a
report listing any aggregators currently using the CNGS to provide service to
New Hampshire customers, and the number of customers served by each listed
aggregator.
Source. #9796-A, eff 9-25-10; ss by #12757, eff 6-1-19
(from Puc 303.03)
Puc 3003.05 Initial Registration of Natural Gas
Aggregators.
(a) Any person or entity seeking to provide
aggregation services to customers shall register with the commission prior to
providing such services. No aggregator
shall enroll customers, or arrange to sell to or contract with customers, or
solicit specific customers for such purposes, until such aggregator has
completed all aspects of the registration process required by this chapter.
(b) An applicant seeking to register as an
aggregator shall:
(1) Complete and submit an application for
registration containing the information and signature as specified in Puc 3006.02;
and
(2) Pay the application fee of $250 to the commission by submitting payment to the executive
director.
(c) The commission shall reject an application for
aggregator registration when information required to complete such application
is not provided within 60 days of request for such information.
(d) Unless an application for aggregator
registration is incomplete, does not meet the application requirements, or is
subject to outstanding requests for additional information or clarification,
within 60 days of receipt of a complete application:
(1) The application shall be approved in writing
by the executive director, unless the approval requires the grant of a rule
waiver under Puc 201.05;
(2) The application
shall be denied in writing; or
(3) The application shall be deemed to have been
approved.
(e)
The commission shall deny an application for aggregator registration if
it determines that the applicant or any of the applicant’s principals or
affiliates has:
(1) Been found in other state(s), after notice
and opportunity to be heard, to have committed violations, such that the
commission determines that it is not in the public good to allow registration;
(2) Within the 10 years
immediately prior to registration, had any civil, criminal, or regulatory
sanctions or penalties imposed against it, him, or her pursuant to any state or
federal consumer protection law or regulation, such that the commission
determines that it is not in the public good to allow registration; or
(3) Knowingly made a
material false statement of fact in the application.
(f)
In the event that the commission denies an application for registration,
the applicant may, within 30 days, file a request for reconsideration or a
hearing before the commission.
(g)
The application fee shall be forfeited for aggregator applications which
are rejected.
(h) A new application fee pursuant to
(b)(2) above shall apply to submission of an aggregator application which has
previously been rejected.
(i)
An approved initial aggregator registration shall be valid for a period of 2
years.
(j) Each aggregator shall notify the commission
of any changes to the information required to be submitted pursuant to this section and Puc 3006.02. The aggregator shall provide such notice in
advance, when practicable, but no later than 10 business days following the
effective date of the change, in all cases.
Source. #9796-A, eff 9-25-10; ss by #12757, eff
6-1-19 (from Puc 303.04)
Puc 3003.06 Renewal Registration of Natural Gas
Aggregators.
(a) Each registered aggregator shall renew its registration after the initial 2
year period, and after any 2 year renewal period as applicable, by completing
and submitting an application for renewal registration no less than 60 days and
no more than 120 days prior to the expiration of the aggregator’s currently
effective registration.
(b) The aggregator
shall include in each application for renewal registration the information and
signature as specified in Puc
3006.02, and shall note any changes to the information contained in the
aggregator’s most recent previous application.
(c) An aggregator renewing
its registration, and not assessed for the fiscal year preceding such renewal,
shall include with its application for
aggregator registration a renewal fee of $125.00 payable to the commission and
submitted to the executive director.
(d) An aggregator renewing its registration, and
assessed for the fiscal year preceding such renewal, shall not be required to
pay a renewal fee.
(e) Unless an
application for aggregator registration renewal is incomplete, does not meet
the application requirements, or is subject to
outstanding requests for additional information or clarification, within 60
days of receipt of a complete application:
(1) The application shall be approved in writing by the executive
director, unless the approval requires the grant of a rule waiver under Puc 201.05;
(2) The application shall be denied in writing; or
(3) The application
shall be deemed to have been approved.
(f) The commission shall deny an aggregator
application for renewal if it determines that the applicant or any of the applicant’s principals or affiliates has:
(1) Been the
subject of substantiated consumer complaints in New Hampshire or other states
in such number and of such types as establishes a pattern
demonstrating engagement in:
a. Misleading or deceptive marketing or sales
practices;
b. Fraud;
c. Slamming; or
d. Other practices found by the
commission to be harmful or potentially harmful to customers;
(2) Since its
registration, had any civil, criminal, or regulatory sanctions or penalties
imposed against it, him, or her pursuant to any state
or federal consumer protection law or regulation, such that the commission
determines that it is not in the public good to allow registration;
(3) Knowingly made a false statement of material fact in the
renewal application; or
(4) Had its registration suspended or revoked pursuant to Puc
3005 based on the occurrence of a sanctionable event and has not:
a. Demonstrated its ability to avoid a similar
sanctionable event; and
b. Paid all applicable fines and complied fully
with any commission order issued as a result of the sanctionable event.
(g) In the event that the commission denies an
application for registration, the applicant may, within 30 days, file a request
for reconsideration or a hearing before the commission.
(h) A renewed aggregator registration, approved by the
commission, shall be valid for a period of 2 years from the effective date of
approval.
(i) Each aggregator shall notify the
commission of any changes to the information required to be submitted pursuant
to this section and Puc 3006.02. The CNGS shall provide such notification in
advance, when practicable, but no later than 10 business days following the
effective date of the change, in all cases.
Source. #9796-A, eff 9-25-10; ss by #12757, eff
6-1-19 (from Puc 303.05)
Puc 3003.07 Assessment.
(a) Each CNGS that is registered as of July 1 of
any year shall be billed for a $10,000 assessment, unless an exemption claim
containing the information specified in Puc 3006.04
is submitted by the CNGS to the commission on or before July 10 of the same
year.
(b) Each aggregator that is registered as of July
1 of any year shall be assessed $2,000, unless an exemption claim containing
the information specified in Puc 3006.04 is submitted
by the aggregator to the commission on or before July 10 of the same year.
(c) Annually, a CNGS or an aggregator earning
less than $10,000 in gross revenue in New Hampshire during the most recent
fiscal year, from July 1 through June 30, shall complete and submit an
exemption claim containing the information specified in Puc
3006.04 or the CNGS or aggregator shall be assessed the amount specified in (a)
or (b) above.
Source. #12757, eff 6-1-19
Puc 3003.08 Withdrawal
of Registration.
(a) A CNGS
which no longer sells natural gas to customers in New Hampshire shall request
withdrawal of its registration in order to be released from its financial
security obligation and subsequent assessment by filing a letter with the
executive director confirming that the CNGS has:
(1) Served no customers for the past 120 days; and
(2) Complied
with the applicable provisions of Puc 3004.04 through
3004.06.
(b) An aggregator which no longer serves
customers in New Hampshire shall request withdrawal of its registration to
avoid subsequent assessment by:
(1) Filing a
letter with the executive director; and
(2) Attaching a copy of its notice, sent to customers no less than
30 days prior to the request for withdrawal, informing customers that the
aggregator will no longer provide service by a specified date.
(c) The commission shall approve withdrawal of
registration of a CNGS or aggregator if there are no pending customer
complaints against the CNGS or aggregator requesting withdrawal.
(d) If there are pending customer complaints
against the CNGS or aggregator requesting withdrawal of registration, the
commission shall approve the withdrawal after the complaints are resolved.
Source. #12757, eff 6-1-19
PART Puc
3004 CONSUMER PROTECTION REQUIREMENTS
Puc 3004.01 Applicability.
(a) Except as specified herein, each CNGS who sells natural gas either directly
or indirectly shall comply with the terms of service provisions that are
described in the disclosure statement set forth in Puc
3004.02.
(b) Except as noted,
all consumer protection provisions in this chapter apply to any CNGS or
aggregator operating in New Hampshire.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3004.02 Provision of Information
to Customers by Competitive Natural Gas Suppliers.
(a) Each CNGS shall
provide to each of its customers a written statement regarding terms of service
within 3 business days of entering into an
agreement to sell natural gas.
(b) Each CNGS shall include in the written statement disclosing the terms of
service required by (a) above the following:
(1) The name, business address, telephone number,
toll free telephone number, if available, and e-mail address of the CNGS;
(2) All fixed and variable
prices of the service being offered to the customer, including an explanation
of any variable price and the circumstances that would cause the price to vary;
(3) The due date of bill payments and the
consequences of late payments, including the amount of any late payment fee or
the interest or finance charge assessed for late payments;
(4) The duration of the CNGS’s commitment for
price, terms, and conditions;
(5) A statement that the CNGS’s price does not
include other costs, including, but not limited to, the price of natural gas
transportation and distribution;
(6) The duration of the
customer's commitment to purchase from the CNGS, including a statement that the
customer has a right to change its CNGS, subject to the terms of the commitment;
(7) Any fees payable to the CNGS for early
termination of the natural gas supply agreement by the customer;
(8) Any other fees, penalties, or charges for
which the customer would be responsible;
(9) An explanation of how the customer will be
billed for natural gas supplier service and the name, address, and telephone
number of the CNGS's billing agent, if any;
(10) A description of the CNGS’s dispute
resolution process available to the customer;
(11) The toll free telephone
number of the commission's consumer services and external affairs division and
a statement that customers may contact the commission if they have any
questions about their rights and responsibilities;
(12) Deposit requirements, if any, and the rate of
interest paid on any required deposits;
(13) A statement that, by accepting the terms of
service, the customer affirmatively consents to the LDC sharing billing and
payment information with the CNGS, including the customer’s participation in
any budget billing or extended payment arrangements; and
(14) A statement that the CNGS shall not release
confidential customer information, except as otherwise permitted under Puc 3004.11, without written authorization from the
customer, and a description of confidential customer information and any other
information considered confidential by the CNGS.
(c) The disclosure
statement required by this section shall be written in plain language, and be
legibly typed or printed in a font size no smaller than 12 point.
(d) A CNGS shall not rely on an aggregator to
satisfy any of its obligations required by this chapter unless:
(1) The CNGS has a written agreement with an aggregator specifying
that the aggregator accepts the obligations of the CNGS pursuant to this chapter;
(2) The CNGS
agrees to provide a copy of the written agreement pursuant to (1) above at the Commission’s request; and
(3) The CNGS accepts all financial responsibility for any remedies
or damages as a result of the aggregator’s failure to satisfy the CNGS’
obligations pursuant to this chapter.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3004.03 Telephone Solicitation of Customers. A CNGS or aggregator, or its representative,
shall not while soliciting by telephone:
(a) Initiate any
telephone call to any of the following:
(1) An emergency telephone line, including any
911 line or any emergency line of a hospital, medical physician or service
office, health care facility, poison control center, or fire protection or law
enforcement agency;
(2) The telephone line of any guest room or
patient room of a hospital, health care facility, home for the elderly, or
similar type of establishment;
(3) A telephone number assigned to a paging
service, specialized mobile radio service, or other radio common carrier
service, or any other service for which the called party is charged for the
call; or
(4) A telephone number assigned to a cellular telephone service,
unless the call is directly placed to the number and not initiated using an
automatic telephone dialing system;
(b) Use any device to send an unsolicited advertisement to a telephone facsimile
machine;
(c) Use a pre-recorded automated message to send
unsolicited advertisements to potential customers;
(d) Initiate any telephone solicitation to a customer or
potential customer before 8:00 a.m. or after 9:00 p.m. eastern time; or
(e) Initiate any telephone solicitation to a customer or
potential customer before 11:00 a.m. or after 8:00 p.m. on Sunday or on any
state or federal holiday.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3004.04 Transfer of Service by Competitive Natural
Gas Suppliers.
(a) A CNGS shall not submit a change on behalf of
a customer in the customer’s selection of a natural gas supplier without first obtaining authorization from the customer through one of the
following means:
(1) The customer’s written
authorization in a form that meets the requirements of (f) below; or
(2) Verbal authorization from
the customer as described in (c), (d), and (e) below and which is made in the
same language as the underlying solicitation made to the customer.
(b) Each CNGS shall maintain records of
verification of customer authorization for a minimum period of 2 years after obtaining the verification.
(c) Verbal authorization for the transfer of service shall be verified by a third party that:
(1) Is not owned, affiliated,
managed, controlled, or directed by the CNGS or any marketing representative
involved in the transaction;
(2) Has no financial incentive
to confirm CNGS change orders for the CNGS or the CNGS’s marketing
representative;
(3) Obtains the customer’s
consent, as required by RSA 570-A, to the tape recording of the customer’s
authorization for a change in service; and
(4) Operates in a location
physically separate from the CNGS and from the CNGS’s marketing representative.
(d) The CNGS shall disclose to the
commission the name, telephone number, and e-mail address of the person or
entity acting as a third party verifier for purposes of (c) above.
(e) Verbal authorization verified by
the independent third party shall consist of the following:
(1) A statement, made by the
customer, providing the customer’s name;
(2) Confirmation that the caller
is the customer authorized to request the CNGS change;
(3) Confirmation that the
customer wants to make the change in CNGS for the applicable service location;
(4) The name of the customer’s
current natural gas supplier for that service location;
(5) The name of the CNGS the
customer wishes to select; and
(6) The service location and
account number or meter number that the customer wishes to switch to the new
CNGS.
(f) The written authorization referenced in (a)(1) above shall:
(1) Not be combined with other materials sent to the customer,
including, but not limited to, checks or other inducements to change service;
(2) Be a separate plainly
identifiable document, whether provided in tangible form, by electronic mail,
or through a secure customer portal or other electronic online enrollment
process;
(3) Contain the customer's
billing name and address;
(4) Contain the account
number(s) to be covered by the request for change in CNGS;
(5) Contain the service location
and account number or meter number that is being changed to a new CNGS;
(6) Contain a statement that the
customer is changing from the customer’s current natural gas supplier to the
new CNGS in which each supplier is identified by name;
(7) Be signed by the customer,
which signature may be in electronic form; and
(8) Be written in plain
language, and be legibly typed or printed in a font size no smaller than 12
point.
(g) When a customer’s request for a change in
CNGS is received over the telephone or by verbal request, the CNGS shall mail
an information package to the customer within 3 business days of the customer’s
request.
(h) The information package described in (g)
above shall include:
(1) A statement that the information is being sent to confirm the telephone
order or verbal request;
(2) The name, address, and
telephone number of the newly-requested CNGS; and
(3) The disclosure statement
required pursuant to Puc 3004.02.
(i) Upon receipt of valid authorization from a
customer, the CNGS shall notify the applicable LDC electronically or by other
means, as required by the LDC, of the customer’s request to switch service to the
CNGS.
(j) No CNGS customer enrollment shall be deemed
to have been consented to or deemed a valid request for service authorizing the
CNGS to enroll the customer unless authorization has been obtained from the
customer as required under this section.
A CNGS shall provide the commission with proof of valid customer
authorization whenever requested by the commission.
(k) A CNGS who fails to obtain customer
authorization in accordance with this section and initiates a customer change
in service with the LDC shall:
(1) Be liable for all charges
billed to the customer by the LDC or any other party arising from the change in
service;
(2) Be liable for all charges
for supply it billed to the customer; and
(3) Be subject to the penalty
and other enforcement provisions of Puc 3005.
(l) If a CNGS proposes to transfer or sell the
right to serve any customer of the CNGS, or if the ultimate control of a CNGS
is proposed to be transferred or sold as a result of a change of ownership of a
majority of the ownership interests in such CNGS or in any entity owning,
either directly or indirectly, the ownership interests in the CNGS, then prior
to such proposed transfer or sale the CNGS shall:
(1) Provide notice to each
affected customer pursuant to (m) below, as follows:
a. With the customer’s billing
statement;
b. By the original CNGS, not the
proposed transferee or purchaser; and
c. Separately from promotional
materials relating to services proposed to be provided by the proposed
transferee or purchaser;
(2) Provide a copy of such
notice to the commission and the LDC on whose system any such customers are
served at the same time notice is sent to affected customers; and
(3) Ensure that the entity to which
the customers will be transferred is registered as a CNGS pursuant to Puc 3003, if not already so registered.
(m) Not less than 30 days prior to the effective
date of any transfer or sale described in (l) above, the CNGS proposing such
transfer or sale shall provide clear and conspicuous written notice to each
affected customer which includes:
(1) A brief description of the
nature of the proposed transaction and the effective date of the proposed
transaction;
(2) A statement that the
customer may elect to terminate service from the CNGS and either enroll with a
different CNGS or receive LDC sales service if such election is made within the
timeframe established by the LDC’s tariff, but only if:
a. The customer's contract with
the CNGS provides the customer with the right to elect an alternate supplier or
to terminate the contract with the CNGS and purchase supply from an LDC; or
b. The customer does not have a
contract with the CNGS for a term that extends beyond the date of the proposed
transaction;
(3) Notice of the latest date by
which the customer, or a new CNGS supplying the customer, must notify the LDC
of its election to receive LDC sales service or be supplied by the new CNGS,
unless such change is not permitted under the customer's contract with the
existing CNGS;
(4) Notice to any customer not
previously subject to capacity assignment that, if the customer elects to take LDC
sales service, the customer will become subject to capacity assignment if the
customer later elects to purchase gas from a CNGS;
(5) Notice that if the customer
is eligible to select an alternate CNGS or to purchase LDC sales service but
fails to do so in the time provided, the customer will either be assigned to
the proposed transferee or purchaser or remain with the existing CNGS,
depending on the nature of the proposed transaction;
(6) The information required by Puc 3004.02(b) regarding the proposed transferee or
purchaser;
(7) Notice of the amount of any
charge that the customer will incur if it changes from its existing CNGS,
whether to a new CNGS or to LDC sales service, in accordance with (2) above;
(8) Notice that if consummation
of the transaction described in (1) above results in a charge by an LDC for a
change in the identity of the customer's CNGS, the customer will not be liable
for any such charge; and
(9) A clear statement of the
information in a. or b. below, if the customer does not have a contract with
the CNGS for a term that extends beyond the effective date of the proposed
transaction:
a. Any differences between the
rates, terms, and conditions of service provided to the customer by the CNGS
and the rates, terms, and conditions of service to be provided to the customer
by the proposed transferee or purchaser; or
b. Confirmation that the rates,
terms, and conditions of service of the CNGS and the proposed transferee or
purchaser are the same.
(n) If a CNGS undergoes any transaction described
in (l) above, then within 60 days of receipt of information from an LDC
regarding the customer's gas usage, the CNGS shall bill the customer for any
amounts due or refund any amounts owed to the customer.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10 (from Puc 3004.03); ss by #12757, eff 6-1-19
Puc 3004.05 CNGS
Voluntary Discontinuance of Service.
(a)
Any CNGS that
intends to cease selling natural gas to all customers or to any class of
customers within the state, does not intend to transfer or sell its customer
base pursuant to Puc 3004.04 above, and is not
subject to any event as described in Puc 3004.06
below, shall prior to discontinuing such service:
(1) Provide no less than
60 days written notice to any affected LDC and to the commission, which notice
shall include the following:
a. The date the CNGS
intends to cease selling natural gas to all customers or to any class of
customers within the state; and
b. A detailed plan for transfer of any customers
it will no longer serve to LDC sales service; and
(2) Provide to each
affected customer no less than 45 days and no more than 60 days prior to the
start of the customer’s next billing cycle:
a. Written notice of the date on which the CNGS
intends to cease service to the customer; and
b. The date by which the
customer must select an alternate CNGS or be transitioned to LDC sales service.
(b)
When a CNGS discontinues service pursuant to (a) above, the CNGS shall:
(1) Ensure that customers who choose an alternate
CNGS are not inadvertently switched to LDC sales service; and
(2) Refund any
outstanding deposits or prepayments within 30 days of the final bill containing
charges for service provided by the CNGS to the affected customers.
(c)
Upon notification pursuant to (a)(1) above that a CNGS will discontinue
service to all customers within the state, the commission shall:
(1) Suspend the CNGS’s
registration for 120 days from the date the CNGS:
a. Notifies the commission
it has no customers within the state; or
b. Ceases to provide
service to all customers within the state; and
(2) After the 120 days specified in (1) above:
a. Terminate the CNGS’s
registration, if there are no unresolved consumer complaints; or
b. Extend suspension of
the CNGS’s registration for an additional 90 days while the remaining consumer
complaints are resolved.
(d)
A CNGS that has discontinued service to all customers within the state
shall maintain adequate financial security as required by Puc
3003.03 during the period its registration is suspended pursuant to (c) above.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10 (from Puc 3004.04); ss by #12757, eff 6-1-19
Puc 3004.06 Transfer
of Customers Resulting from Unexpected Cessation of CNGS Service.
(a) If an event occurs that causes a CNGS to be
unable to provide service to its customers within the state, the CNGS shall:
(1) Provide immediate notice to the commission and to
the LDC describing the event and the effective time
of the inability to provide service;
(2) Provide
immediate notice to all customers describing the event and the effective time
of the inability to provide service;
(3) Provide a
copy of the notice sent to customers required in (2) above to the commission at
the time it is delivered to customers;
(4) Reimburse the LDC at its filed and approved tariffed rate for
transferring the CNGS’s customers to LDC sales service;
(5) Refund any outstanding deposits or prepayments to customers
within 30 days of the event which caused the CNGS to be unable to provide natural
gas to its customers within the state; and
(6) Pay
reparations for customer losses if so ordered by the commission following a
proceeding conducted in accordance with Puc 3005.
(b) Upon notification pursuant to (a)(1) above,
the commission shall suspend the CNGS’s registration for 60 days from the date
of the event which caused the CNGS to be unable to provide natural gas to its
customers within the state.
(c) The commission shall restore the registration
if within 60 days of suspension pursuant to (b) above the CNGS demonstrates:
(1) Proof of financial capitalization;
(2) Financial security is retained or obtained pursuant to Puc 3003.03;
(3) All pending consumer complaints are resolved; and
(4) Financial obligations resulting from (a) above have been met.
(d) The commission shall terminate the CNGS’s
registration after notice and an opportunity to be heard if the requirements in (c)(1)-(4)
above are not satisfied.
(e) In the event there are unresolved consumer
complaints after 60 days of suspension, the commission shall extend suspension
of the registration for an additional 90 days while the remaining consumer
complaints are resolved.
(f) The CNGS shall maintain adequate financial
security as required by Puc 3003.03 during the period
its registration is suspended pursuant to (b) above, and as extended pursuant
to (e) above.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10 (from Puc 3004.05); ss by #12757, eff 6-1-19
Puc 3004.07 Commission
Action When Necessary to Maintain Continuous Service.
(a) In the event a CNGS does not make adequate
provisions for transfers of affected customers to LDC sales service or to
another CNGS pursuant to Puc 3004.05 or Puc 3004.06, or pursuant to Puc
3005.03 or Puc 3005.04, the commission shall:
(1) Direct the affected LDC or LDCs to immediately take steps to
transfer the CNGS’s affected customers to LDC sales service as soon as possible;
and
(2) Direct the issuer or guarantor providing the CNGS’s
financial security to pay to the commission an
amount of that financial security determined to be necessary to ensure
continuous service to customers through LDC sales service or another CNGS, pursuant
to Puc 3005.06.
(b) If
the commission determines that a CNGS has not complied with the provisions for
discontinuance of service or for a successor natural gas supplier pursuant to Puc 3004.05 or Puc 3004.06, then,
in addition to any action the commission may take pursuant to Puc 3005, the commission shall order notice be given by the
CNGS to affected customers clarifying the customers’ rights and obligations.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3004.08 Bill
Disclosure Information.
(a) The CNGS shall include on any
bills it issues or which are issued on its behalf, the following information:
(1) The starting and ending date
of the billing period;
(2) Any fixed monthly charges;
(3) The price structure for
natural gas therm usage and all other applicable
billing determinants;
(4) The total number of therms used during the billing period;
(5) For those CNGSs providing
separate bills, a statement that the customer’s meter readings are available on
the LDC’s bill;
(6) Any applicable penalty date,
including, but not limited to, penalties for late payments, and the related
penalty amount;
(7) Any other factors necessary
to compute the charges;
(8) An itemized breakdown of the
charges, including any late fee, penalty, or aggregation fee, if applicable,
and the name of the company or other entity assessing the charge;
(9) The telephone number, e-mail
address, and toll free telephone number, if available, of the CNGS’s customer
service department or customer service contact person;
(10) A statement that the
customer has the right to file a complaint with the commission after the
customer has attempted to resolve the dispute with the CNGS; and
(11) The toll free telephone
number of the commission's consumer services and external affairs division.
(b) Upon request of a customer, the
CNGS shall provide the customer with a clear and concise statement of the
customer’s actual consumption for each billing period during the prior year or
the months in which the CNGS sold natural gas to the customer.
Source. #7811,
eff 12-28-02; ss by #9796-A, eff 9-25-10 (from Puc
3004.04); ss by #12757, eff 6-1-19 (from Puc 3004.05)
Puc 3004.09 Notice of Termination of Service.
(a) When a customer has failed to
meet any of the material terms and conditions of its agreement for natural gas
service with a CNGS, the CNGS may terminate the agreement pursuant to (b)
below.
(b) The CNGS shall provide written notice of
termination of the agreement to the customer no less than 30 days prior to the
termination, which notice shall state the reason(s) for termination and the
date upon which the termination will be effective.
Source. #7811,
eff 12-28-02; ss by #9796-A, eff 9-25-10 (from Puc
3004.05); ss by #12757, eff 6-1-19 (from Puc 3004.06)
Puc 3004.10 Customer Protections
Required of Aggregators.
(a) An aggregator shall, within 5 days of
entering into an agreement with a customer, provide the customer with a written
statement disclosing the following information:
(1) The name, business address,
telephone number, and e-mail address of the aggregator;
(2) The nature of any business
relationships or affiliations with any CNGS or LDC;
(3) The toll free telephone
number of the commission’s consumer services and external affairs division and
a statement that customers may contact the commission if they have any
questions about their rights and responsibilities; and
(4) A statement, not
inconsistent with Puc 3004.11, of the customer
information that will be accorded confidential treatment.
(b) The disclosure statement required by this
section shall be written in plain language, and be legibly typed or printed in
a font size no smaller than 12 point.
(c) An aggregator shall comply with the telephone
solicitation provisions of Puc 3004.03.
Source. #7811,
eff 12-28-02; ss by #9796-A, eff 9-25-10; ss by #12757, eff 6-1-19 (from Puc 3004.07)
Puc
3004.11 Protection of Confidential Customer
Information.
(a) No CNGS or aggregator shall,
except as permitted under (c) below or as otherwise required by law, release
confidential customer information without express written authorization from
the customer.
(b) A CNGS or aggregator shall implement and
maintain reasonable security procedures and practices appropriate to the nature of the information, to protect confidential customer
information from unauthorized access, use, destruction, modification, or
disclosure, and to prohibit the use of the confidential customer information
for a secondary commercial purpose not related to the primary purpose of the
service provided to the customer, without the express written consent of the
customer.
(c) A CNGS or aggregator may disclose to a third
party subject to non-disclosure restrictions confidential customer information
as necessary for any one or more of the following purposes:
(1) Billing for natural
gas service;
(2) Meeting natural gas
system or other operational needs;
(3) Implementing any one or
more of the following programs:
a. Demand response;
b. Customer assistance;
c. Energy management; and
d. Energy efficiency.
(d) For purposes of this section, the term
“non-disclosure restrictions” means that the CNGS or aggregator has required by
contract that the third party implement and maintain reasonable security
procedures and practices appropriate to the nature of the information, to
protect the confidential customer information from unauthorized access, use,
destruction, modification, or disclosure, and to prohibit the use of the
confidential customer information for a secondary commercial purpose not
related to the primary purpose of the contract without the express consent of
the customer.
(e) A customer granting authorization to release
confidential customer information for purposes described in the terms and
conditions of service shall satisfy the requirement in (a) above.
(f) A CNGS shall be deemed authorized to obtain
customer usage information when it has received customer authorization as
described in Puc 3004. 04.
(g) In the event of a dispute about the release
of confidential customer information, including whether the information is or
should be confidential, a CNGS, aggregator, or customer may file a complaint
with the commission for resolution.
Source. #9796-A,
eff 9-25-10; ss by #12757, eff 6-1-19 (from Puc
3004.08)
Puc
3004.12 Other Consumer Protections.
(a) No CNGS or aggregator shall include
provisions in its customer contracts that would waive the requirements of Puc 3004.
(b) Any person may submit a complaint with the
commission that a CNGS or aggregator has engaged in slamming. For purposes of this paragraph, “slamming”
means initiating the transfer of a customer to a new CNGS or aggregator without
the customer’s authorization.
(c) The commission shall, within 10 business days
of receipt of a complaint alleging that a CNGS or aggregator has engaged in
slamming, investigate the facts and circumstances related to the complaint.
(d) If, after an investigation, the commission
determines that a CNGS or aggregator does not possess evidence of the
customer’s or customers’ affirmative selection or authorization, the commission
shall require the unauthorized CNGS or aggregator to refund to the customer or
customers within 45 days any charges already paid and any expenses incurred in connection
with the unauthorized transfer of service for up to 9 months.
(e)
An aggregator discontinuing service to all customers or any class of
customers shall provide no less than 30 days prior written notice of such
discontinuance to all affected customers.
(f)
The provisions regarding terms of service and disclosure prior to
enrollment as set forth in Puc 3004.02 and Puc 3004.10(a)
and (b), shall not apply to any contract for service entered into prior to the 2019
effective date of these rules during the original term of such contract,
provided that such contract complied with the Puc 3000
rules applicable as of its initial effective date.
Source. #9796-A,
eff 9-25-10 (from Puc 3004.07); ss
by #12757, eff 6-1-19 (from Puc 3004.09)
PART Puc
3005 ENFORCEMENT PROVISIONS
Puc 3005.01 Assessment of Fines Through Notice of
Violation.
(a)
If the commission or the commission's
division that processes customer complaints, after reviewing evidence and
testimony obtained in writing or conferences, determines that a sanctionable
event has occurred for which the assessment of fines would serve a punitive or
deterrent purpose, the commission or that division shall issue a notice of
violation (NOV) to the CNGS or aggregator.
(b) The NOV so issued shall include the
following:
(1) The factual
basis and the statutory or regulatory basis for the preliminary determination
that a sanctionable event has occurred;
(2) The fines
proposed to be assessed, which shall not exceed $1,000.00 per day for each sanctionable event;
(3) Procedures for remitting payment of the assessed fines; and
(4) The right of the CNGS or aggregator to file a request in
writing for a hearing before the commission, under (c)(2) below.
(c) Within 15 business days following the date of
issuance of the NOV, the CNGS or aggregator to which the NOV was issued shall:
(1) Sign a
consent agreement and remit the assessed fines to the commission;
(2) File a request in writing for a hearing before the commission with
respect to the sanctionable event described in the NOV; or
(3) Be deemed
to have agreed to the findings described in the NOV and the fines assessed
under the NOV, if the CNGS or aggregator failed to respond to the NOV
within such 15 business day period.
(d) Upon such a hearing request, the commission shall
provide the CNGS or aggregator with notice and an opportunity for a hearing, to
be held pursuant to Chapter Puc 200.
(e) At the hearing, the CNGS or aggregator may
demonstrate with evidence that the determination in the NOV that a sanctionable
event has occurred is incorrect or that the level of fines proposed to be
assessed is excessive.
(f) If the commission finds, after the hearing
and based on the record in the proceeding and after consideration of the factors
described in Puc 3005.05, that the sanctionable event
has occurred with respect to the CNGS or aggregator, the commission shall
assess against the CNGS or aggregator the proposed fines recommended in the NOV
or such greater or lesser fines, not to exceed $1,000.00 per day for each
sanctionable event, as the commission finds to be necessary to serve the
punitive or deterrent purposes.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3005.02 Prospective Suspension of Marketing and
Sales Activities.
(a) If the commission finds, after notice and an opportunity to be heard and after
consideration of the factors described in Puc 3005.05,
that a sanctionable event has occurred with respect to a CNGS or aggregator and
that the interests of customers of the CNGS or aggregator would be protected by
such action, the commission shall suspend the right of the CNGS or aggregator
to engage in marketing or sales activities on a prospective basis for a
specified period of time not to exceed the remaining term of the CNGS’s or
aggregator’s current registration under Puc 3003.
(b) Upon the issuance by the commission of an
order under (a) above, the CNGS or aggregator shall not engage, either directly
or indirectly, in any marketing or sales activities in the state with respect
to the supply of natural gas or the procurement of such supply during the
specified period of time.
Source. #7811, eff 12-28-02; ss by #9796-A, eff
9-25-10; ss by #12757, eff 6-1-19
Puc 3005.03 Suspension
of Registration of CNGS or Aggregator.
(a) If the commission finds, after notice and an
opportunity to be heard and after consideration of the factors described in Puc 3005.05 , that a sanctionable event has occurred with
respect to a CNGS or aggregator and that the interests of customers of the CNGS
or aggregator would not be harmed by such action, the commission shall suspend
the registration of the CNGS or aggregator for a specified period of time not
to exceed the remaining term of the CNGS’s or aggregator’s current registration
under Puc 3003.
(b) Upon the issuance by the commission of an
order under (a) above, the registration of the CNGS or aggregator shall be suspended
and the CNGS or aggregator shall not provide service, either directly or
indirectly, to any customers in the state with respect to the supply of natural
gas or the procurement of such supply during the specified period of
suspension.
(c) The CNGS or aggregator subject to a suspension order
issued under (a) above shall make arrangements for all of its customer accounts
to be transferred and provide prior written notice to customers of such
transfers in compliance with the provisions of such order and the requirements
of this chapter. The CNGS or aggregator
shall provide the commission with written confirmation and supporting evidence
that it has complied with the foregoing requirements.
Source.
#12757, eff 6-1-19
Puc 3005.04 Revocation
of Registration of CNGS or Aggregator.
(a) If the commission finds, after notice and an
opportunity to be heard and after consideration of the factors described in Puc 3005.05, that a sanctionable event has occurred with
respect to a CNGS or aggregator and that the interests of customers of the CNGS
or aggregator would not be harmed by such action, the commission shall revoke
the registration of the CNGS or aggregator.
(b) Upon the issuance by the commission of an
order under (a) above, the registration of the CNGS or aggregator shall
be revoked and the CNGS or aggregator shall not provide service, either directly
or indirectly, to any customers in the state with respect to the supply of
natural gas or the procurement of such supply from and after the effective date
of revocation.
(c) The CNGS or aggregator subject to a
revocation order issued under (a) above shall make arrangements for all of its
customer accounts to be transferred and provide prior written notice to
customers of such transfers in compliance with the provisions of such order and
the requirements of this chapter. The CNGS
or aggregator shall provide the commission with written confirmation and
supporting evidence that it has complied with the foregoing requirements.
Source.
#12757, eff 6-1-19
Puc 3005.05 Factors
to be Considered Regarding Sanctions.
(a) The amount of any fines to be assessed under Puc 3005.01, the period and scope of any suspension under Puc 3005.02 or Puc 3005.03, as
applicable, or the decision to revoke the registration of a CNGS or aggregator
under Puc 3005.04, shall be determined based on
consideration of the following factors:
(1) The severity of the sanctionable event;
(2) Whether the sanctionable event was unintentional or
immaterial;
(3) Whether the CNGS or aggregator acted in good faith to comply
with all applicable statutory and regulatory requirements;
(4) Mitigating circumstances, if any, with respect to the
sanctionable event; and
(5) Other
relevant information pertaining to the business practices of the CNGS or
aggregator and its principals.
(b) For the purposes of this section, “mitigating
circumstances” means facts, actions, or conditions which might excuse or
justify a particular course of action.
Source.
#12757, eff 6-1-19
Puc 3005.06 Commission
Claims Against CNGS’s Financial Security.
(a) Upon the occurrence of a sanctionable event
by or with respect to a CNGS that requires or involves the payment of money and
if payment has not been made by the CNGS within 14 days of a commission order
requiring such payment, the commission shall make a claim under, or pursue an
action against, the financial security provided by the CNGS under Puc 3003.01(c)(1), Puc
3003.02(a)(2), and Puc 3003.03.
(b) The amounts and order of payment priority shall be as
follows:
(1) Customer
complaint reparations or restitution amounts, ordered by the commission to be
paid following notice and hearing, and remaining unpaid by the CNGS
for 30 days or more after the date due;
(2) Costs
incurred as necessary to ensure continuous service to a CNGS’s customers
through LDC sales service or another CNGS;
(3) Fines
assessed by the commission under Puc 3005.01, and
remaining unpaid by the CNGS for 60 days or more after the date due; and
(4) Commission
annual assessment amounts remaining unpaid by the CNGS on June 1 of any
calendar year, in the absence of a pending objection under RSA 363-A:4 or an
exemption under RSA 363-A:5.
Source.
#12757, eff 6-1-19
Puc 3005.07 Investigation by Commission By Reason of
Consumer Complaint.
(a) Upon the filing of a complaint with the commission’s division that
processes customer complaints, either verbally or in writing, against a CNGS or
aggregator alleging that the CNGS or aggregator is not in compliance with the
provisions of this chapter, that division shall be authorized to begin an
investigation.
(b) The CNGS or aggregator shall provide any relevant information to the commission’s
division that processes customer complaints which would assist that division in
its efforts to investigate and resolve the dispute that is the subject of such
complaint.
(c) The CNGS, the aggregator,
or the customer may request a hearing before the commission if dissatisfied
with the resolution of the dispute that is the subject of such complaint by the
commission’s division that processes customer complaints.
(d) The commission’s
division that processes customer complaints shall request a hearing before the
commission when it determines that the dispute that is the subject of such
complaint remains unresolved and requires resolution by the commission.
Source.
#12757, eff 6-1-19
PART Puc
3006 INFORMATION SUBMISSION REQUIREMENTS
Puc 3006.01 Information Required for Initial and
Renewal Registration of CNGS. The
registration application required by Puc 3003.01(a) and Puc 3003.02(a)
shall include the following information and signature:
(a) The legal name
of the applicant as well as the trade name, if any, under which it intends to
operate in this state;
(b) The applicant’s
business address, telephone number, e-mail address, and website address;
(c) The applicant’s state or jurisdiction of organization, if anything other
than an individual;
(d) The name(s), title(s), business address(es), telephone number(s), and
e-mail address(es) of the applicant, if an individual, or of the applicant’s
principal(s), if the applicant is anything other than an individual;
(e) The following regarding any affiliate or subsidiary of the applicant that
is conducting business in New Hampshire:
(1) The name, business address, and telephone
number of the entity;
(2) A description of the business purpose of the
entity; and
(3) A description of any
agreement(s) with any affiliated New Hampshire LDC(s), and the docket number
relative to the filing of such agreement(s) with the commission;
(f) The telephone
number of the applicant’s customer service department or the name, title,
telephone number, and e-mail address of the customer service representative of
the applicant, including toll free telephone numbers, if available;
(g) The name, title,
business address, telephone number, and e-mail address of each individual
responsible for responding to commission inquiries regarding:
(1) Customer complaints;
(2) Regulatory compliance matters; and
(3) Commission assessment payments;
(h) Evidence of the
applicant's authorization to do business in New Hampshire from the New Hampshire secretary of state, if anything other than an
individual;
(i) Evidence of the applicant’s
registration of the trade name, if any, to be used by the applicant in New
Hampshire from the New Hampshire secretary of state;
(j) A list of LDCs
in New Hampshire through which the applicant intends to provide service, and,
to the extent the applicant does not intend
to provide service in the entire franchise area of an LDC, a list of the cities
and towns in which the applicant intends to provide service within such LDC
franchise area;
(k) A description of
the types of customers the applicant intends to serve;
(l) A list of other states or jurisdictions in
which the applicant currently conducts business relating to the sale of natural
gas;
(m) A list
disclosing the number and type of customer complaints concerning the applicant
or its principals and affiliates filed with or by any commission
or regulatory agency, attorney general’s office, or other governmental consumer
protection regulatory authority, for the most recent 2 calendar years in every
state or other jurisdiction in which the applicant or any such principal or
affiliate has conducted business relating to the sale of natural gas;
(n) A statement as
to whether the applicant or any of the applicant’s principals:
(1) Has ever been convicted of any felony that
has not been annulled by a court;
(2) Has, within the 10 years
immediately prior to application, had any civil, criminal, or regulatory sanctions
or penalties imposed against it, him, or her pursuant to any state or federal
consumer protection law or regulation;
(3) Has, within the 10 years immediately prior to
application, settled any civil, criminal, or regulatory investigation or
complaint involving any state or federal consumer protection law or regulation;
(4) Is currently the subject of any pending civil,
criminal, or regulatory investigation or complaint involving any state or
federal consumer protection law or regulation; or
(5) Has been denied
authorization to provide competitive natural gas supply service or natural gas aggregation service in any other state or jurisdiction;
(o) If an
affirmative answer is given to any item in (n) above, a detailed explanation of
the occurrence and the related circumstances;
(p) For those applicants intending to telemarket, a
statement that the applicant shall:
(1) Maintain a list of consumers who request
being placed on the applicant’s do-not-call list for the purposes of
telemarketing;
(2) Obtain monthly updated do-not-call lists from
the National Do Not Call Registry; and
(3) Not initiate calls to New Hampshire customers
who have either requested being placed on the applicant’s do-not-call list(s)
or customers who are listed on the National Do Not Call Registry;
(q) For those
applicants not intending to telemarket, a statement
to that effect;
(r) A sample of the bill form(s) the applicant intends to use if the applicant does
not intend to use the LDC’s billing service or a statement that the applicant
intends to use the LDC’s billing service;
(s) A copy of any customer contract forms or representative samples of contracts
the applicant intends to use, including any schedules or other documentation
attached to, incorporated into, or referenced in such contracts;
(t) A statement that
the applicant has verified the registration of any aggregator with which it has
any agreements to provide service to New Hampshire
customers, prior to entering into such agreements;
(u) The date upon
which the applicant expects to commence marketing its natural gas supply
services to customers in New Hampshire;
(v) A statement certifying that the applicant has the authority to
file the application on behalf of the CNGS and an attestation that its contents
are truthful, accurate, and complete; and
(w) The signature of the applicant or its authorized representative.
Source. #9796-B,
eff 9-25-10; ss by #12757, eff 6-1-19
Puc 3006.02 Information Required for Initial and
Renewal Registration of Aggregators.
The registration application required by Puc
3003.05(a) and Puc 3003.06(b) shall include the
following information and signature:
(a) The legal name
of the applicant as well as the trade name, if any, under which it intends to
operate in this state;
(b) The applicant’s
business address, telephone number, e-mail address, and website address, if
applicable;
(c) The name(s),
title(s), business address(es), telephone number(s), and e-mail address(es) of
the applicant if an individual or of the applicant’s
principal(s), if the applicant is anything other than an individual;
(d) The telephone
number of the customer service department or the name, title, telephone number,
and e-mail address of the customer service representative
of the applicant, including toll free telephone numbers if available;
(e) The name, title, business
address, telephone number, and e-mail address of each individual responsible
for responding to commission inquiries regarding:
(1) Customer
complaints;
(2) Regulatory
compliance matters; and
(3) Commission
assessment payments;
(f) Evidence of the applicant’s registration to do business in
New Hampshire from the New Hampshire secretary of state, if anything other than
an individual;
(g) Evidence of the applicant’s registration of
the trade name, if any, to be used by the applicant in New Hampshire from the
New Hampshire secretary of state;
(h) A list of other states or jurisdictions in
which the applicant currently conducts business relating to the aggregation of
natural gas customers;
(i) A statement as to whether
the applicant or any of the applicant’s principals:
(1) Has ever
been convicted of any felony that has not been annulled by a court;
(2) Has, within the 10 years
immediately prior to application, had any civil, criminal, or regulatory
sanctions or penalties imposed against it, him, or her pursuant to any state or
federal consumer protection law or regulation;
(3) Has, within the 10 years
immediately prior to application, settled any civil, criminal, or regulatory investigation or complaint involving any
state or federal consumer protection law or regulation;
(4) Is currently the subject of any pending civil, criminal, or
regulatory investigation or complaint involving any state or federal consumer
protection law or regulation; or
(5) Has been denied authorization to provide competitive natural
gas supply service or natural gas aggregation service in any other state or
jurisdiction;
(j) If an affirmative answer is given to any item
in (i) above, a detailed explanation of the
occurrence and the related circumstances;
(k) A list of the CNGSs in New Hampshire through which the applicant intends to
provide service;
(l) A statement that
the applicant is not representing any supplier interest or a list of any
supplier interest(s) the applicant intends to represent;
(m) The date upon which the applicant expects to commence marketing its
services to customers in New Hampshire;
(n) A statement certifying that the applicant has
the authority to file the application on behalf of the aggregator and an
attestation that its contents are truthful, accurate, and complete; and
(o) The signature of the applicant or its authorized representative.
Source. #9796-B,
eff 9-25-10; ss by #12757, eff 6-1-19
Puc 3006.03 Information
Required for Assessment Exemption Claim.
The commission assessment exemption claim required by Puc 3003.07 shall include the following information and
signature:
(a) The legal name of the CNGS or aggregator and
the trade name, if any, under which it is registered to conduct business in New
Hampshire;
(b)
The docket number under which the CNGS’s
or aggregator’s most recent registration was approved by the commission;
(c) The gross revenue earned in New Hampshire by
the CNGS or aggregator during the most recent fiscal year, which is the period
from July 1 through June 30;
(d) A statement identifying the fiscal year for
which the exemption is claimed;
(e)
The name, telephone number, and e-mail address of the authorized individual
preparing the exemption claim;
(f) The date on which the exemption claim was
completed, which shall not be prior to July 1 of the applicable year; and
(g) The signature of the exemption claim preparer
and an attestation that the information provided in the exemption claim is
truthful, accurate, and complete.
Source. #12757,
eff 6-1-19
APPENDIX
Rule |
Specific State Statute the Rule Implements |
Puc 3000 (other specific statute
provisions implemented by specific rules are listed below) |
RSA 365:8-a |
Puc 3004.11 |
RSA 363:37-38; RSA 365:8-a |
Puc 3005 |
RSA 365:8-a; RSA
541-A:30,II |
Puc 3006 |
RSA 365:8-a |