Vermont Code of Rules, Agency 30 — Public Utility Commission

Subagency 000 GENERAL

Chapter 001 BOARD RULES (1.000 AND 2.000)

30-001 Code Vt. R. 30-000-001-X BOARD RULES (1.000 AND 2.000)

Section 1.000 GENERAL PROVISIONS

1.100 Definitions.

Unless the context requires otherwise, the following definitions apply throughout the Rules of the Public Service Board:

(A) Board: the Public Service Board of the State of Vermont.

(B) Person: any individual, group, corporation, cooperative, partnership, firm, association or other entity or organization.

(C) Ratepayer: any person receiving or entitled to receive service from a utility.

(D) Utility: any person subject to the general jurisdiction of the Board and owning or operating any public service business or any facility used in the manufacture, transmission or distribution of a utility service.

1.200 Exceptions to Rules.

Except where prohibited by statute or by the terms of the rule, itself, the Board may for good cause grant exceptions in particular cases to any provision of these rules.

Section 2.000 RULES OF PRACTICE

2.100 Scope and Construction of Rules.

2.101 Applicability

These rules shall apply in all proceedings before the Board.

2.102 Definitions

(A) Board: the Vermont Public Service Board and any hearing examiner appointed by the Board wherever the context admits of such a construction.

(B) Clerk: the clerk of the Board.

(C) Filing (when used as a noun): any petition, application, complaint, motion, exhibit or any other document or thing of any description which is required or permitted to be filed with the Board in connection with a pending case.

2.103 Vermont Rules of Civil Procedure

The Vermont Rules of Civil Procedure, whether specifically adopted herein by reference or whether made applicable by Rule 2.105, below, shall, subject to Rule 2.104, below, apply in the form in which they exist on June 1, 1982 and as they may thereafter from time to time be amended. References in such rules to any judge or to any trial court shall be deemed to be a reference to the Board; references to the clerk of the court shall be deemed to be references to the clerk of the Board; references to trials shall be deemed to be references to hearings; references to complaints shall be deemed to be references to petitions, applications or complaints; and references to actions shall be deemed to be references to proceedings before the Board. Where less than the whole of any rule of the Vermont Rules of Civil Procedures is specifically adopted by reference, the provisions of the remainder thereof shall not apply except by specific order of the Board issued pursuant to Rule 2.107.

2.104 Conflicting Authority

In the event of any conflict between the provisions of any other Rule or General Order of the Board and these rules, the former shall prevail. In the event of any conflict between otherwise applicable provisions of the Vermont Rules of Civil Procedure and any Rule or General Order of the Board, including any provision of these rules, the latter shall prevail.

2.105 Procedures Not Specifically Governed

Procedures not specifically governed herein shall be governed by the Vermont Rules of Civil Procedure, by any applicable Rule or General Order, or by any applicable statute.

2.106 Construction

These rules shall be liberally construed to secure the just and timely determination of all issues presented to the Board.

2.107 Waiver of Rules

In order to prevent unnecessary hardship or delay, in order to prevent injustice, or for other good cause, the Board may waive the application of any rule upon such conditions as it may require, unless precluded by the rule, itself, or by statute.

2.108 Severability

In the event that any of these rules is found by a court of competent jurisdication to be illegal or void, the remainder shall be deemed unaffected and shall continue in full force and effect.

2.109 Repeal of Prior Rules

Rules of practice and any amendments or additions thereto previously adopted by the Board are hereby repealed, except that with respect to any proceeding pending on the effective date hereof, the Board may apply any provision of such prior rules where the failure to do so would work an injustice or substantial inconvenience.

2.200 Procedures Generally Applicable.

2.201 Practice Before the Board

(A) Notice of appearance. Attorneys shall file a written notice of appearance with respect to any matter in which they are representing a party. Except in the case of a consumer filing a consumer complaint, pro se representatives shall likewise file a notice of appearance. Except as otherwise provided by law, a party whose attorney has failed to comply with this requirement, or a party appearing by a pro se representative who has failed to comply with the requirements of this rule, shall not be entitled to notice or service of any document in connection with such matter, whether such notice or service is required to be made by the Board, by a party or by a person seeking party status. A copy of each notice of appearance shall, on the same day on which it is filed, be served by the party filing the same upon all persons or parties on whose behalf a notice of appearance has been filed. A list of such persons and parties will be provided by the clerk upon request.

(B) Pro se appearances. For purposes of these rules a person appearing pursuant to the authority of this section shall be known as a pro se representative. In its discretion, the Board may permit persons who are not attorneys to appear before it as follows: a partnership may be represented by a partner, and a corporation, cooperative or association may be represented by an officer thereof or by an employee designated in writing by an officer thereof. Such permission shall be given in all proceedings unless, because of their factual or legal complexity or because of the number of parties, the Board is of the opinion that there is a substantial possibility that the participation of a pro se representative will unnecessarily prolong such proceeding or will result in inadequate exposition of factual or legal matters. Notwithstanding the foregoing, any individual may be a pro se representative in his or her own cause. This rule shall in no respect relieve any person or party from the necessity of compliance with any applicable rule, law, practice, procedure or other requirement. Except as provided in Rule 2.201(D), anyone appearing as a pro se representative shall be under all the obligations of an attorney admitted to practice in this state with respect to the matter in which such person appears.

(C) Attorneys admitted elsewhere. An attorney admitted to practice and in good standing in any other state or American or common law jurisdiction may appear in particular matters with the permission of the board, provided that such attorney must have co-counsel of record who is admitted to practice in Vermont.

(D) Withdrawal of appearance. An attorney who has appeared on behalf of a party may withdraw only upon permission of the Board. A person appearing as a pro se representative may withdraw without permission of the Board, provided, that if other counsel has not appeared for such person, such withdrawal shall be deemed to constitute withdrawal of that person as a party.

(E) Ex parte communications.

(1) Prohibited communications. Unless required for the disposition of ex parte matters authorized by law, upon the filing of a complaint, petition, application or other filing which the Board has treated as the same, no member, employee or agent of the Board may communicate, directly or indirectly, in connection with any issue of fact, with any party or any interested person, or, in connection with any issue of law, with any party or any employee, agent or representative of any party, except with the consent of all parties or upon notice and opportunity for all parties to participate.

(2) Participation in decision. Unless required for the disposition of ex parte matters authorized by law, any member, employee or agent of the Board who has, in connection with a pending, contested case, except with the consent of all parties or upon notice and opportunity for all parties to participate, communicated in connection with any issue of fact with any party or interested person or, in connection with any issue of law, with any party or any employee, agent or representative of any party, shall not participate or advise in the decision, recommended decision or Board review except as a witness or as counsel in public proceedings.

(3) Improper communications by parties. Any person or party who, directly or through an employee, agent or representative, communicates or attempts to communicate with any member, employee or agent of the Board on any subject so as to cause, or with the intent to cause, the disqualification of such member, employee or agent from participating in any manner in any proceeding, may be disqualified from subsequent participation in the proceeding, may be dismissed as a party to the proceeding, may be held in contempt of the Board and/or may be deemed to have waived any objection to the subsequent decision by the Board with respect to any matter which is the subject of such communication.

(4) Exception Notwithstanding any provision of subparagraph (1) or (2), above, members, employees and agents of the Board may communicate with other members, employees or agents, provided that none of the latter has engaged in communications prohibited by (A) above.

2.202 Initiation of Proceedings

Except for cases initiated by the Board, a proceeding is initiated by filing a complaint, petition or other application with the Clerk at the Board's office during normal business hours. If the named defendant or respondent is a utility, service of process shall be completed by the Clerk who shall send a copy of the filing which initiates the proceeding to such utility by certified mail, return receipt requested. If the named defendant, respondent, or other person or entity entitled to notice is not a utility, then the party initiating the proceeding shall procure a summons from the Clerk and shall cause the summons, together with the filing which initiates the proceeding, to be served on such defendant or respondent in the manner provided by the Vermont Rules of Civil Procedure within thirty days after such filing.

2.203 Signing of Petitions, Motions and Other Pleadings

Every petition, motion or other pleading shall be signed by at least one attorney or pro se representative of record in his individual name, whose address and telephone number shall be stated. Except when otherwise specifically provided by rule or statute, pleadings need not be verified or accompanied by affidavit. The signature of an attorney or pro se representative constitutes a certificate by him that the subscriber has read the pleading; that to the best of such subscriber's knowledge, information and belief there are good grounds to support it; and that it is not interposed for delay.

2.204 Pleadings and Other Filings: Service, Filing, Form and Amendment

(A) Service, when required. In addition to any other requirement imposed by law, every filing shall, on the same day on which it is filed, be served by the party filing the same upon every other party who has filed a notice of appearance, unless the Board for good cause otherwise directs.

(B) Service, how made. Whenever under these rules service is required to be made on a party, it shall be made upon the attorney or pro se representative whose appearance has been filed on behalf of such party. In all cases, service may be made by mailing a copy of the filing, first class postage prepaid, to the person whose notice of appearance is on file; but service may also be made by personal delivery or by any other means authorized by the person entitled to service.

(C) Filing, manner and significance. Filing shall be accomplished by delivery to the clerk at the office of the Board or by delivery to the Board during the course of a hearing. Regardless of the method of delivery employed, filing occurs only upon receipt by the clerk or the Board, as the case may be. Such filing shall constitute a representation by the attorney or pro se representative signing the same that a copy thereof has been or will be served on the same day on which it is filed upon every other party on whose behalf a notice of appearance has been filed.

(D) Number of copies. Except as provided herein, or as otherwise ordered by the Board, all materials required to be filed shall require an original and six copies of each document. The exceptions to this rule are as follows:

Rule 2.205 (Statement Regarding Persons Entitled to Notice) - Original plus one copy.

Rule 2.214 (Discovery Responses) - One copy only.

Rule 2.302 (Consumer Complaints) - Original only.

Rule 2.401 (Tariffs) - Original plus nine copies.

Rule 2.403 (Petition for Declaratory Ruling) - Original plus five copies.

Rule 2.404 (Petition for Adoption of Rules) - Original plus five copies.

(E) Form of Filings Generally. Except as provided in Rule 2. 204(F), all filings shall be typewritten on paper 8 1/2" x 11" in size. All filings shall be endorsed in the upper right hand corner with the name and docket number of the case, the page numbering of the filing and the date upon which it was prepared. Page numbering shall show both the number of the particular page and the total number of pages comprising the filing. Filings shall be headed by a descriptive title. The Board or the clerk may refuse to accept for filing or, after filing, may at any time reject any filing which fails to conform to the requirements of this rule, provided, that if no substantial prejudice will occur to any other party, the filing party shall be afforded a reasonable opportunity to cure the defect, and such cure, if made, shall be deemed to relate to the original date of filing.

(F) Special rules for certain exhibits. Exhibits need not comply with the typewriting or size requirement of Rule 2.204(E) when their purpose or content makes it impracticable to do so, but in all cases where it is not manifestly impracticable to do so, exhibits shall be so designed that they can be folded to a size of 8 1/2" x 11". The identity and page number of any exhibit which measures, or which is folded to measure 8 1/2" x 11", shall appear in the upper right hand corner when the exhibit is positioned with the 8 1/2" side as its top and bottom. The identification and page number shall be set out horizontally when the exhibit is positioned in the manner described in the preceding sentence. The Board or the clerk may refuse to accept for filing or, after filing, may at any time reject any exhibit which fails to conform to the requirements of this rule, provided, that if no substantial prejudice will occur to any other party, the filing party shall be afforded a reasonable opportunity to cure the defect, and such cure, if made, shall be deemed to relate to the original date of filing.

(G) Amendments.

(1) In general.

Proposed amendments to any filing may be made at any time. If unobjected to by any party within ten days of filing or at the commencement of any hearing in which the amended matter is at issue, whichever is earlier, such amendments shall be deemed effective, except that the Board may at any time dismiss any proposed amendments which it finds to have the effect of unreasonably delaying any proceeding or unreasonably adversely affecting the rights of any party. Where objection is made, amendments shall not be allowed unless the Board finds (a) that they will not unreasonably delay any proceeding or unreasonably adversely affect the rights of any party and (b) that the requirements of subsection (2), if applicable, are satisfied. The Board may condition the acceptance of any amendment as justice may require. An amendment which is allowed over objection shall be deemed effective as of the date it is approved, unless for good cause, the Board orders that it shall be effective as of a different date. Proposed amendments shall be clearly identified as such and shall clearly indicate the changes they effect. In the event an amendment makes a substantial change in a filing, the Board may order such additional notice to other parties and the public as justice may require.

(2) Rate Filings. No party may amend, supplement or alter an existing filing or substantially revise the proof in support of such filing in order to increase, decrease or substantiate a pending rate request unless, upon hearing, it is demonstrated that such a change in filing or proof is necessary for the purpose of providing adequate and efficient service or for the purpose of avoiding the implementation of rates which exceed a level which is just and reasonable. A change in a filing or in the proof in support thereof shall be deemed to be necessary for the purpose of providing adequate service if the costs or other circumstances reflected therein occurred or were imposed or were incurred prior to such change and/or if such costs or circumstances will be operative or in effect during all of the period within which the rates to be based thereon will be in effect; provided, that the Board may disallow any such change if the costs or other circumstances reflected therein were known to or, by the exercise of reasonable diligence could have been known to, the party filing the same substantially prior to such filing.

(H) Custody. Once it has been filed, any filing shall remain in the custody of the Board until other lawful disposition shall have been made at the conclusion of the case or otherwise.

2.205 Notice to Other Persons or Parties

(A) Statement regarding persons entitled to notice.

At the commencement of any proceeding, the party initiating the same shall file a statement identifying by name and address each person, party or other entity to whom or to which the Board or the Clerk is required to give notice of such proceeding.

(B) Orders of notice. The Board may require any party who seeks the granting or denial of any form of relief to file a proposed order of notice.

(C) Expenses. The expense of furnishing notice shall be borne by the party on whose behalf or for whose benefit such notice is given.

2.206 Motions

Motions not made during the hearing shall be in writing and, if they raise a substantial issue of law, shall be accompanied by a brief or memorandum of law. Motions made during a hearing may be required to be put in writing and supported by a brief or memorandum of law within such period as the Board may direct. The Board may decline to consider a motion not made within a reasonable time after the issue first arises with respect to the moving party.

2.207 Time

The provisions of the Vermont Rules of Civil Procedure, Rule 6(a) and 6(b) (Time - Computation and Enlargement) shall apply in proceedings before the Board.

2.208 Defective Filings

Substantially defective or insufficient filings may be rejected by the Board, provided, that if it will not unreasonably delay any proceeding nor unreasonably adversely affect the rights of any party, the Board shall allow a reasonable opportunity to a party to cure any defect or insufficiency. A filing which is found to be defective or insufficient shall not be deemed to have been cured until the date on which the last document is filed which removes the defect or makes the filing complete. A filing is substantially insufficient if, inter alia, it fails to include all material information required by statute or rule.

2.209 Intervention

(A) Intervention as of right. Upon timely application, a person shall be permitted to intervene in any proceeding (1) when a statute confers an unconditional right to intervene; (2) when a statute confers a conditional right to intervene and the condition or conditions are satisfied; or (3) when the applicant demonstrates a substantial interest which may be adversely affected by the outcome of the proceeding, where the proceeding affords the exclusive means by which the applicant can protect that interest and where the applicant's interest is not adequately represented by existing parties.

(B) Permissive intervention. Upon timely application, a person may, in the discretion of the Board, be permitted to intervene in any proceeding when the applicant demonstrates a substantial interest which may be affected by the outcome of the proceeding. In exercising its discretion in this paragraph, the Board shall consider (1) whether the applicant's interest will be adequately protected by other parties; (2) whether alternative means exist by which the applicant's interest can be protected; and (3) whether intervention will unduly delay the proceeding or prejudice the interests of existing parties or of the public.

(C) Conditions. Where a party has been granted intervention, the Board may restrict such party's participation to only those issues in which the party has demonstrated an interest, may require such party to join with other parties with respect to appearance by counsel, presentation of evidence or other matters, or may otherwise limit such party's participation, all as the interests of justice and economy of adjudication require.

(D) Procedure. An application to intervene shall be by motion made in accordance with these rules. The motion shall be made within a reasonable time after the right to intervene first accrues and shall specifically state the manner in which the conditions of this rule are satisfied.

2.210 Joinder

The provisions of the Vermont Rules of Civil Procedure, Rules 19 (Joinder of Persons Needed for Just Adjudication); 20 (Permissive Joinder of Parties); and 21 (Misjoinder and Nonjoinder of Parties) shall apply in proceedings before the Board.

2.211 Consolidation of Hearings; Separate Hearings

The provisions of the Vermont Rules of Civil Procedure, Rule 42 (Consolidation; Separate Trials) shall apply in proceedings before the Board.

2.212 Prehearing Conferences

In any proceeding, the Board may, and in any rate case, the Board shall direct the parties to appear before it for a conference to consider the following matters:

(A) the simplification of the issues;

(B) the necessity or desirability of amendments to any filing;

(C) the possibility of obtaining admissions of fact and of documents which will avoid unnecessary proof;

(D) the limitation of the number of expert witnesses;

(E) such other matters as may aid in the disposition of the case.

The Board shall make an order which recites the action taken at the conference, including any agreements made by the parties. When entered, such order controls the subsequent course of the proceeding unless later modified.

2.213 Prefiled Testimony

(A) Direct case. Within such time as may be directed by the Board, each party shall file the direct testimony and exhibits of each witness it proposes to call in support of its direct case.

(B) Rebuttal case. In its discretion, the Board may direct any party to file the testimony and exhibits of each witness it proposes to call in rebuttal of the case of any other party.

(C) Form of prefiled testimony. Prefiled testimony shall be in question and answer form. Its form and content shall be such as would entitle the same oral testimony to be admitted in proceedings before the Board. Such testimony shall be typed and double spaced. Line numbers shall be placed in the left hand margin of each page. The prefiled testimony of each witness shall be preceded by a brief statement, set forth on a separate page, containing a narrative summary of the testimony and exhibits referred to in such testimony. The narrative shall not be admitted as evidence.

2.214 Discovery

(A) In general. The provisions of Vermont Rules of Civil Procedure, Rules 26 (General Provisions Governing Discovery), 27 (Discovery Before Action Or Pending Appeal), 28 (Persons Before Whom Depositions May Be Taken), 29 (Stipulations Regarding Discovery Procedure), 30 (Depositions Upon Oral Examination), 31 (Depositions Upon Written Questions), 32 (Use of Depositions In Court proceedings), 33 (Interrogatories To Parties), 34 (Production of Documents And Things And Entry Upon Land For Inspection And Other Purposes), 36 (Requests For Admission) and 37 (Failure To Make Discovery: Sanctions) shall apply in proceedings before the Board. The availability of these procedures shall not limit the availability of any other means of discovery provided by statute or otherwise.

(B) Discovery by the Board. The procedures enumerated in 2.214(A) may be used by the Board or its members, agents or employees, but the availability of such procedures shall in no way limit the authority of the Board, its members, agents or employees, including but not limited to the authority to inquire into and examine any matter within the jurisdiction of the Board, to examine books, accounts and papers of any person or entity subject to the Board's jurisdiction or to enter and examine the property of any person or entity subject to the Board's jurisdiction.

2.215 Conduct of Hearings

(A) Board witnesses. In its discretion, the Board may call witnesses to testify as to any matter in issue in any proceeding. Except as required to establish the subject matter and scheduling of the testimony to be offered, the Board shall not communicate with such witnesses unless it is done in open hearing or upon notice and opportunity for all parties to participate.

(B) Examination of witnesses by Board and staff. Any member of the Board, and any member of its staff, may examine witnesses who testify in any proceeding.

(C) Rulings by hearing examiners. When a matter has been assigned to a hearing examiner, such examiner may make rulings of law on procedural matters, on the admission or exclusion of evidence, and on any other matters necessary to conclude proceedings before the examiner. After the hearing examiner has issued and served a proposal for decision, a party may bring such rulings to the Board for review by requesting, pursuant to 3 V.S.A. § 811, the opportunity to file exceptions and to present briefs and oral argument.

2.216 Evidence

(A) General rule. Evidentiary matters are governed by 30 V.S.A. § 810. In addition, except as to matters covered by the succeeding paragraphs of this rule, the provisions of the Vermont Rules of Civil Procedure, Rules 43 (Evidence), 44 (Proof of Official Record) and 44.1 (Determination of Foreign Law) shall apply in proceedings before the Board.

(B) Use of exhibits. Where evidence to be presented consists of tabulations or figures so numerous as to make oral presentation impracticable, it shall be presented in exhibit form. Such exhibits shall be summarized and explained in testimony.

(C) Procedure with respect to prefiled testimony and exhibits. Prefiled testimony, if admitted into evidence, shall be included in the transcript. Objections to the admissibility of prefiled testimony or exhibits shall be filed in writing not more than thirty days after such evidence has been prefiled or five days before the date on which such evidence is to be offered, whichever is earlier.

(D) Views and inspections. Upon notice to the parties, the Board may, either upon its own motion or upon the request of a party, view or inspect any property which is the subject of or is related to the subject of any proceeding. A view or inspection may be made before, during or after the hearing.

2.217 Objections and Exceptions

The provisions of the Vermont Rules of Civil Procedure, Rule 46 (Exceptions Unnecessary) shall apply in proceedings before the Board.

2.218 Subpoenas

The provisions of the Vermont Rules of Civil Procedure, Rule 45 (Subpoena) shall apply in proceedings before the Board.

2.219 Summary Judgment

The provisions of the Vermont Rules of Civil Procedure, Rule 56 (Summary Judgment) shall apply in proceedings before the Board.

2.220 Harmless Error

The provisions of the Vermont Rules of Civil Procedure, Rule 61 (Harmless Error) shall apply in proceedings before the Board.

2.221 Relief from Order

The provisions of the Vermont Rules of Civil Procedure, Rule 60 (Relief From Judgment Or Order) shall apply in proceedings before the Board.

2.222 Proposed Findings of Fact

In any case the Board may require each party to file proposed findings of fact. Such proposed findings shall conform to the requirements for findings for the Superior Court. Each proposed finding shall deal concisely with a single fact or with a group of facts so interrelated that they cannot reasonably be treated separately. Proposed findings shall be consecutively numbered and shall be logical sequence. Where the party claims to have established more than one ultimate fact, proposed findings shall be arranged into separate groups, appropriately identified as to subject matter. Each proposed finding shall contain a citation or citations to the specific part or parts of the record containing the evidence upon which the proposed finding is based.

2.223 Briefs

Briefs shall address each issue of law which a party desires the Board to consider. Whenever a brief addresses more than one issue, it shall be suitably divided into sections which separately address each issue. Such a brief shall contain, immediately following the cover page, a detailed table of contents.

2.224 Sanctions

An attorney or pro se representative who fails, after having been requested by the Board to do so, to submit proposed findings or briefs, or who manifestly fails to conform to the requirements respecting findings or briefs as specified in Rules 2.222 and 2. 223, may be suspended from further participation in the proceeding or, for such period of time as the Board finds to be just, from participation in other proceedings. In addition, or in the alternative, with respect to any fact as to which a party has manifestly failed to conform to the requirements of Rule 2. 220, such party may be deemed to have withdrawn its offers and claims of proof and to have waived its right to a finding by the Board regarding such fact; and with respect to any issue of law as to which a party has manifestly failed to conform to the requirements of Rule 2. 223, such party may be deemed to have waived any claims of law with respect to such issue, and the claims of opposing parties with respect thereto may be deemed to be the law of the case.

2.300 Consumer Complaints.

2.301 Definition

A consumer complaint is a complaint filed by any person (whether an individual, corporation, association, partnership or other entity) receiving service or entitled to receive service from a utility regulated by the Board seeking a refund of charges and/or an order requiring a utility to comply in a reasonable manner with any applicable tariff, statute, rule or order of the Board.

2.302 Form and Content

A consumer complaint shall set forth in writing a short and plain statement of facts showing that the complainant is entitled to relief. The statement shall be signed by the consumer. Notwithstanding the foregoing, the Board may in its discretion treat any written communication to it concerning a matter within its jurisdiction to be a claim for relief.

2.303 Acknowledgment and Distribution of Complaints

The Board shall acknowledge receipt of all written complaints and shall send a copy thereof to the affected utility.

2.304 Referral to the Department of Public Service

In its discretion, the Board may refer any complaint to the Department of Public Service and request the Department to attempt to resolve the dispute. If the complaint is not thus referred, if the Department of Public Service refuses to accept the referral, or if the Department is unable to resolve the matter, then the Board, if it find, assuming, that the allegations of the complaint are true, that there is a probability of a violation of tariffs, statutes, rules or other orders of the Board, shall set the complaint for a hearing. If, assuming that the allegations of the complaint are true, there is no probability of such a violation, it shall dismiss the complaint.

2.305 Hearings on Consumer Complaints

In setting a case for hearing, the Board shall assign a docket number and shall specifically set forth the issues to be resolved, which issues, unless the requirements of justice dictate otherwise, shall be the only issues controverted at the hearing. If issues in addition to those so specified are to be heard, the parties shall be afforded a reasonable time to prepare and respond. The hearing shall be assigned by the clerk for the earliest practicable date.

2.306 Representation by Persons Not Admitted to Practice

Notwithstanding the provisions of Rule 2.201, the Board may in its discretion permit consumers to be represented in consumer complaint proceedings by persons who are not admitted to the practice of law, provided that such representatives shall demonstrate a sufficient familiarity with these rules and with all substantive and procedural provisions of law applicable to such proceedings. Except for the requirement of admission to practice, such representatives shall comply with all rules, laws, practices, procedures and other requirements applicable to proceedings before the Board.

2.400 Matters Other Than Consumer Complaints.

2.401 Tariff Filings

(A) General. Tariff filings, including amendments to existing tariffs, shall be accompanied by a concise, narrative description of their nature and effect, stated in terminology which is comprehensible to the general public.

(B) Amendments. Except where substantially the whole of a separately identified section of a tariff is affected, an amendment to an existing tariff shall be accompanied by a separate explanatory version which shows deleted material in brackets and broken underline and new material in solid underline.

(C) New services. Where a tariff filing covers a new service, or a modification of an existing service, estimates of revenues and costs attributable to such service for each of the three years succeeding the introduction of the new or modified service. Schedules containing the information called for by this provision shall be accompanied by a statement of the name of the person or persons responsible for their preparation, together with a description of any underlying documentation, which documentation shall be available through discovery immediately after the filing.

2.402 Rate Proceedings

(A) Justification for change in rates. In order to enable the Board to determine whether new rates proposed by any utility should be further investigated or suspended, all rate filings shall contain complete and substantial justification for the proposed change, including the following:

(1) detailed calculation of cost of service;

(2) detailed calculation of cost of capital;

(3) rate base calculation;

(4) the effect of the filing on annual operating revenues;

(5) projected construction expenditures by category for each of the following two years;

(6) for electric utilities, a detailed statement of purchased power and production costs (with fuel costs separately stated) by source for the 12 months prior to the filing and a similar statement of projected purchased power and production costs by source for the 12 months succeeding the filing; such costs for both periods shall be shown net of sales to other utilities or, in the alternative, revenues from such sales shall be separately stated.

(B) Changes from previous order. Where a request for a change in rates proposes or utilizes any change in the ratemaking methodology or principles approved or utilized by the Board in the most recent rate order affecting the same utility, such change shall be clearly identified, and a statement of the reasons for such change shall be given.

(C) Exhibits and other information. A utility whose rates are suspended shall, within thirty days from the date of the suspension order, file ten copies of all exhibits it intends to use in the hearing thereon, together with the names of witnesses it intends to call in its direct case, and a short statement of the purposes of the testimony of each witness. In the case of a municipality or cooperative which has filed a notice of change in rates, if the Board gives notice that it intends to investigate such change, then the municipality or cooperative shall file similar exhibits, names of witnesses and a statement of the purpose of their testimony within thirty days of the giving of such notice. Except in the discretion of the Board, a utility shall not be permitted to introduce into evidence in its direct case exhibits which are not filed in accordance with this rule. This provision shall not be deemed to constitute a limitation on the Board's authority to require the prefiling of direct testimony in any case at such time as the Board may prescribe.

2.403 Petitions for Declaratory Rulings

Pursuant to 3 V.S.A. § 808, an interested person may petition the Board for a declaratory ruling as to the applicability of any statutory provision or of any rule or order of the Board. The petition shall identify the statute, rule or order involved, shall include a proposed order of notice and shall be accompanied by a brief which conforms to the requirements of Rule 2.223.

2.404 Petitions for Adoption of Rules

Pursuant to 3 V.S.A. § 806, an interested person may petition the Board requesting the promulgation, amendment or repeal of a rule. The petition shall describe the action requested, shall state the reasons for the request and shall include a proposed order of notice.

2.405 Request for Tariff Investigation

Any interested person or entity may request that the Board initiate an investigation pursuant to 30 V.S.A. § 227 into the justness and reasonableness of a utility's tariffs. Whether or not to undertake such an investigation shall be within the Board's discretion.

2.406 Injunctions

(A) Definitions.

(1) Temporary restraining order: an injunctive remedy which is issued either ex parte or under circumstances where the respondent has not been afforded an adequate opportunity to present its defense at a hearing held upon such notice as is otherwise required by law.

(2) Preliminary injunction: an injunctive remedy issued after a hearing held upon legal notice but where the proceedings have not allowed the parties adequate opportunity to avail themselves of all procedures provided for by these rules and by all other provisions of law. A preliminary injunction cannot remain in effect beyond the conclusion of the proceeding in which it is issued.

(3) Permanent injunction: an injunctive remedy issued as final relief after a hearing held upon legal notice and where the proceedings have allowed the parties adequate opportunity to avail themselves of all procedures provided for by these rules and by all other provision of law.

(B) Particular requirements for temporary restraining orders; examination of witnesses by the Board A petition for a temporary restraining order must be verified or must be accompanied by affidavits attesting to all of its factual allegations. The Board may require any facts alleged in the affidavits or verified petition to be presented in oral testimony and may examine any witness testifying to such facts as to any matter which is relevant to the subject matter of the proceeding. The petitioner shall deliver a copy of the petition to the respondent before filing or, if such delivery would require delay which might cause irreparable harm, as soon thereafter as possible. If actual delivery to the respondent has not been made prior to filing, the petitioner shall notify the respondent or its attorney by telephone or by other means at the earliest possible time thereafter. A temporary restraining order may be issued only where it clearly appears from specific facts shown by the affidavits or the verified petition, and by testimony if required by the Board, that substantial, immediate and irreparable injury, loss or damage, or danger to health or safety, will result to the petitioner before a hearing can be held upon proper notice.

(C) Further proceedings after issuance of a temporary restraining order. A petition for a temporary restraining order, whether or not it is so designated, shall also constitute a petition for a preliminary injunction and/or a permanent injunction. Unless precluded by the existing scheduling of other matters, or unless the respondent does not object to longer scheduling, a hearing upon such preliminary or permanent injunction shall be held within forty-five days and a decision rendered within sixty days. Wherever possible, the Board shall attempt to make a final disposition of the matter, but if the proceedings do not allow the parties adequate opportunity to avail themselves of all procedures provided for by these rules and by all other provisions of law, then only a preliminary injunction may be issued. If a temporary restraining order has previously been issued, it shall continue in force until a decision is rendered on the preliminary injunction or the permanent injunction, as the case may be, unless it is dissolved by its terms or by further order of the Board.

(D) Particular requirements for preliminary injunctions; further proceedings after issuance.

An application for a preliminary injunction, unless made in consequence of an application for a temporary restraining order as provided above, shall be made by motion in connection with a petition for a permanent injunction. No preliminary injunction may issue unless the petitioner establishes that the irreparable injury which will be caused to it if a preliminary injunction is denied, discounted by the probability that the respondent will prevail in the proceedings on the permanent injunction, will be greater than any injury which the granting of the preliminary injunction will cause to the respondent. If a preliminary injunction is issued, the Board shall schedule such further proceedings as may be required for the permanent injunction; and the preliminary injunction shall continue in force until a decision is rendered on such permanent injunction unless it is dissolved by its own terms or by further order of the Board. Unless the Board otherwise orders, the record made in connection with the preliminary injunction shall also constitute part of the record in the proceedings on the permanent injunction.

(E) Other matters.

(1) Conditions. The Board shall condition the issuance of a temporary restraining order or a preliminary injunction with such terms as justice and equity may require, including the giving of adequate security in favor of the respondent.

(2) Severence. In its discretion, the Board may order the severence of proceedings on a request for injunctive relief from proceedings for other relief.

(3) Motion to dissolve. A motion to dissolve a temporary restraining order or a preliminary injunction may be made at any time. The motion shall state why the further proceedings scheduled on the matter are insufficient to protect the rights and interests of the moving party.

(4) Hearing examiners. Unless the Board determines that it will expedite the resolution of the matter or will otherwise further the ends of justice, no application for a temporary restraining order will be heard by a hearing examiner.

(5) Form of injunctions. A temporary restraining order, preliminary injunction or permanent injunction shall state the date and hour of its issuance and shall be accompanied by findings of fact upon all of the issues specified or referred to in this rule.

2.407 Forms for Certain Purposes

The following forms, which are available on request, must be used for submissions to the Board: annual reports, gross revenue tax reports, property valuation reports, accident reports, interruption of electric service reports, disconnection of service reports and cable TV applications.

Appendix. Rules of Civil Procedure Incorporated by Reference.

These Vermont Rules of Civil Procedure can be obtained at the following website:

http://www.vermontjudiciary.org/

RULE 6. TIME.

RULE 19. JOINDER OF PERSONS NEEDED FOR JUST ADJUDICATION

RULE 20. PERMISSIVE JOINDER OF PARTIES

RULE 21. MISJOINDER AND NONJOINDER OF PARTIES

RULE 26. GENERAL PROVISIONS GOVERNING DISCOVERY

RULE 27. DISCOVERY BEFORE ACTION OR PENDING APPEAL

RULE 28. PERSONS BEFORE WHOM DEPOSITIONS MAY BE TAKEN

RULE 29. STIPULATIONS REGARDING DISCOVERY PROCEDURE

RULE 30. DEPOSITIONS UPON ORAL EXAMINATION

RULE 31. DEPOSITIONS UPON WRITTEN QUESTIONS

RULE 32. USE OF DEPOSITIONS IN COURT PROCEEDINGS

RULE 33. INTERROGATORIES TO PARTIS

RULE 34. PRODUCTION OF DOCUMENTS AND THINGS AND ENTRY UPON LAND FOR INSPECTION AND OTHER PURPOSES

RULE 36. REQUESTS FOR ADMISSION

RULE 37. FAILURE TO MAKE DISCOVERY SANCTIONS

RULE 42. CONSOLIDATION; SEPARATE TRIALS

RULE 44. PROOF OF OFFICIAL RECORD

RULE 44.1. DETERMINATION OF FOREIGN LAW

RULE 45. SUBPOENA

RULE 46. EXCEPTIONS UNNECESSARY

RULE 56. SUMMARY JUDGMENT

RULE 60. RELIEF FROM JUDGMENT OR ORDER

RULE 61. HARMLESS ERROR

History

• STATUTORY AUTHORITY: Statutory authority not provided.
• EFFECTIVE DATE: October 15, 1940
• AMENDED: July 9, 1947; July 26, 1970; July 11, 1983 SOS Rule Log #83-47; February 2010 corrections to history and appendix

Chapter 002 RULES APPLICABLE TO MORE THAN ONE TYPE OF UTILITY

30-002 Code Vt. R. 30-000-002-X RULES APPLICABLE TO MORE THAN ONE TYPE OF UTILITY

Section 3.000 RULES APPLICABLE TO MORE THAN ONE TYPE OF UTILITY

3.100 REPORTS

3.101 Annual Reports

Each utility shall file with the Board one copy of the annual report which it is required to submit to the Department of Public Service. The copy shall be filed with the Board at the same time the report is submitted to the Department.

3.500. CONSTRUCTION AND MAINTENANCE OF ELECTRIC, TELEPHONE, TELEGRAPH AND CABLE TELEVISION SYSTEMS

All construction and maintenance of electric, telephone, telegraph and cable television systems and facilities in all locations within Vermont shall conform to the standards contained in the 1981 edition of the National Electrical Safety Code or in any subsequent or revised edition thereof.

History

• Effective Date: October 19, 1983 (SOS Rule Log #83-76)

Chapter 003 RATEPAYER DEPOSITS FOR GAS, ELECTRIC, WATER, TELEPHONE AND CABLE TELEVISION SERVICE

30-003 Code Vt. R. 30-000-003-X RATEPAYER DEPOSITS FOR GAS, ELECTRIC, WATER, TELEPHONE AND CABLE TELEVISION SERVICE

Section 3.200 RATEPAYER DEPOSITS FOR GAS, ELECTRIC, WATER, TELEPHONE AND CABLE TELEVISION SERVICE

3.201 Definitions

Primary residence - For purposes of this rule, "primary residence" shall refer to the sole residence of the occupant or occupants, or, if the occupant or occupants have more than one residence, a residence in which the occupant(s) lives or expects to live for more than six months per year. A company may require an applicant to produce, upon request of the utility or cable television company, one of the following to prove primary residence: Vermont driver's licence or state identification card. proof of voter registration, library card, state income tax return, lease or property interests, welfare department proof of residence or similar documents. A primary residence shall not be considered as including the residence of a "seasonal customer."

Seasonal customer - A customer who expects to live in a residence for less than six months per year or who is determined to be residing in a residence which is not their primary residence.

Deposit - Any sum held by a utility or cable television company as security to ensure future payment.

3.202 Conditions for Taking of Deposits.

(A) Any utility or cable television company which requires a deposit from a ratepayer as a precondition of initiating or continuing utility or cable television service, shall:

(1) establish the deposit amount based on the guidelines set forth in Section 3.204;

(2) pay interest on the deposit, as required under subsection (B);

(3) refund the deposit promptly as provided in Section 3.205.

(4) advise any ratepayer required to make a deposit of the reasons for the requirements, of the right to pay it in installments, and of the calculations which the utility or cable television company has used to support the amount of the deposit:

(5) for an account which serves a primary residence, offer the ratepayer for whom the payment presents a burden the opportunity to pay a deposit, at a minimum, in three equal payments with one third due immediately, one third due within thirty days, and the final third due within sixty days; and

(6) inform the ratepayer that the necessity for a deposit or its amount may be disputed by making a complaint to the Consumer Affairs and Public Information Division of the Department of Public Service. The ratepayer shall be informed of the Division's address and telephone numbers, including its toll-free telephone number.

(B) Interest on deposits shall be calculated as follows:

(1) The interest rate applicable to customer deposits shall be established at a constant rate for each calendar year. The rate shall be equal to the Prime Lending Rate, as reported by the Federal Reserve Bank of New York, on November 1 of the preceding calendar year, minus two hundred basis points (2.0%). In the event that a Prime Lending Rate is no longer published, the interest rate shall be equal to the average federal funds rate for one-year notes on November 1, plus one hundred basis points (1.0%).

(2) Interest on each deposit shall be calculated using a simple interest formula using the rate prescribed under subdivision (B)(1) that existed on the date the deposit is made. That rate shall be applied to the entire term of the deposit, up to twelve months. For example, if a customer deposit were made on the first of December, the interest rate for the ensuing twelve months would be the interest rate calculated under subdivision (B)(1) during the calendar year the December deposit was made.

(3) If the deposit is returned sooner than one year, interest shall be pro-rated.

(4) If the deposit is kept longer than one year, interest shall be credited to the customer's bill during the billing period that includes the anniversary of the deposit. Thereafter, interest shall be paid as though the continuing deposit had been newly made.

3.303 Grounds for Requiring a Deposit.

Utilities and cable companies shall limit collection of deposits for service to primary residences to situations where the applicant or existing customer presents a credit risk. Existing customers may be required to pay a deposit only after they have been disconnected for non-payment of valid charges, pursuant to PSB Rule 3.300. Utilities and cable television companies may collect a deposit in the absence of proof from an applicant of creditworthiness. Applicants can show proof of their creditworthiness with one of the following:

(1) a reference from a bank indicating that the applicant has had an active checking account for at least one year and has had no account that has been overdrawn within the last year;

(2) a letter from one or more utilities or cable television companies within or outside of the state of Vermont indicating that the customer has maintained a good credit record for the past two years;

(3) a written statement from a creditworthy customer guaranteeing payment; or

(4) other reasonable demonstrations of creditworthiness.

Utilities and cable television companies are required to provide to a customer a letter of good credit within three working days after the customer requests such a statement. A letter of good credit shall be given if the customer has received no more than one disconnection notice within the last year and no disconnection within the last two years. If a customer has been with a company for less than two years and has not been disconnected nor received more than one disconnection notice, the utility or cable television company shall provide a statement indicating the length of service and the number of disconnection notices received. If a customer does not make the final payment after a letter of good credit rating has been provided, the utility or cable television company sending the letter of good credit may notify the utility or cable television company to whom the letter is sent of the failure of the customer to make the final payment. Based on such information, the utility or cable television company receiving the letter of good credit may require a deposit.

If the utility or cable television company accepts a third-party guarantee, the guarantee agreement must be in writing and must contain the amount and time period covered under the guarantee. The person providing the guarantee will be held responsible for any uncollectible bills of the customer for whom they provide the guarantee. The utility or cable television company may cancel the guarantee agreement, with notice to the customer, if the guarantor loses good credit standing, and a guarantor may cancel the agreement with at least thirty days notice to the utility or cable television company and the customer. If the guarantee agreement is cancelled or the term has expired, the utility or cable television company may demand a deposit from the customer, unless the customer has established a good credit history with the utility or cable television company. A good credit history is shown where, if the customer had not had the guarantee and had been required to pay a deposit, the deposit would have been returned.

3.204 Calculation of Deposit Amount.

Any utility or cable television company requiring a deposit shall limit the deposit to a sum not to exceed two-twelfths of the reasonably estimated charge for utility or cable television service for the ensuing twelve months. In the case of seasonal customers, a deposit shall not exceed one half of the reasonably estimated charge for the ensuing service or two-twelfths of the reasonably estimated charge for 12 months of service, whichever is greater. A reasonably estimated charge should be based on the history of actual usage for the dwelling unit or household. If no actual usage records exist, the reasonably estimated charge should be based on the usage of dwellings or households with similar characteristics. A utility or cable television company may not collect a minimum deposit which exceeds the reasonably estimated charge for the ensuing service.

3.205 Return of Deposits.

Any utility or cable television company collecting a deposit from a ratepayer shall refund the deposit promptly with accrued interest either in cash or by credit to the ratepayer's bill for service if the ratepayer's account is current upon completion of the following requirements:

(1) following a period of twelve consecutive months in which the ratepayer has not been disconnected and has received no more than three disconnection notices, for services billed monthly; or

(2) following a period of twelve consecutive months in which the ratepayer has not been disconnected and has received no more than two disconnection notices for services billed every other month or quarterly; or

(3) after termination of service, when it occurs first prior to the completion of the requirements of Section 3.205(1) or (2).

To meet the requirement that deposits be returned promptly, the utility or cable television company must return the deposit, less any deduction for amount due, in a single payment within thirty days of receipt of the ratepayer's final payment, or at the time of the next billing whichever comes first, or upon completion of requirements for the return of the deposit.

Sec. 2. Effective Date

This rule amendment shall take effect January 1, 1999 and shall apply to all customer deposits made thereafter. Amounts already on deposit on January 1, 1999, shall continue to accrue interest at 10 percent until the 1999 anniversary date of the deposit, and thereafter shall be subject to this rule.

History

• Effective Date: October 19, 1983 (Secretary of State Rule Log # Not Available)
• AMENDED: January 2, 1990 (Secretary of State Rule Log #89-64)
• January 2, 1999 (Secretary of State Rule Log #98-79)

Chapter 004 DISCONNECTION OF RESIDENTIAL GAS, ELECTRIC, AND WATER SERVICE

30-004 Code Vt. R. 30-000-004-X DISCONNECTION OF RESIDENTIAL GAS, ELECTRIC, AND WATER SERVICE

Section 3.301 Definitions

For the purposes of this rule, the following definitions apply:

(A) Disconnection: deliberate interruption, limitation, or disconnection of utility service to a ratepayer by the serving utility, not including disconnection at the request of or with the permission of the ratepayer.

(B) Delinquency: failure of the ratepayer to tender payment for a valid bill or charge (1) within thirty days of the postmark date of that bill or charge, or (2) by a "due date" at least thirty days after mailing, which date shall be printed on the bill.

(C) Notice: except where otherwise provided or where the context otherwise requires, notice shall mean written notice on a form approved by the Board, mailed or delivered within forty days after delinquency but not more than twenty days, nor less than fourteen days prior to the first date on which disconnection of service may occur. Where payment has been made by a check or other instrument which is subsequently dishonored, then the number of days between delivery to the utility of the dishonored instrument and receipt by the utility of notice of dishonor may be deducted from the minimum number of days prior to disconnection that notice must be sent, but in no event may that minimum number of days be less than four.

(D) Physician's Certificate: a written statement by a duly licensed physician certifying that a ratepayer or resident within the ratepayer's household would suffer an immediate and serious health hazard by the disconnection of the company's service, or by failure to reconnect service, to that household. The certificate will be valid for thirty days, or the duration of the hazard, whichever is less, and may be renewed once. Use of a physician's certificate by a customer to prevent disconnection or to cause a reconnection is limited to two consecutive 30-day periods and shall not exceed three 30-day periods in any calendar year, except upon written order of the Board.

(E) Payment of a bill: receipt at the company's business office or authorized payment agency of cash or of a check or other instrument which is subsequently honored.

(F) Business Days: Monday through Thursday, excluding Vermont legal holidays and any other day, when the company's business offices are not open to the public, and any day preceding the day the company's business offices are not open to the public.

Section 3.302 General Rule

Except at the request of the ratepayer or upon order of the Board, no utility shall disconnect residential service of gas, electric, or water unless payment of a valid bill or charge is delinquent and notice of disconnection has been furnished to the ratepayer, as provided in this rule.

(A) Disconnections for Health or Safety Reasons. This rule shall not apply to any disconnection or interruption of service made necessary for reasons of health or safety of the ratepayer or the general public.

(B) Exceptions. The following exceptions shall not apply to payment(s) of deposits, but shall apply to the general rule of this section. Disconnection shall not be permitted if:

(1) the company bills at least as frequently as once every two months, and the delinquent bill or charge, or aggregate delinquent bills and charges, do not exceed $ 50.00, provided that this exception may not be used for more than two billing cycles in one calendar year;

(2) the only charges or bills constituting the delinquency are more than two years old;

(3) the delinquency is due solely to a disputed portion of a charge which has been referred to the Board by the ratepayer or the company, and the Board has advised the company not to disconnect service;

(4) the delinquency is due to a failure to pay a line extension, special construction charge, or other non-recurring charge except that this exception shall not apply to reconnection charges, or charges for personal visits to collect delinquent accounts;

(5) the disconnection would represent an immediate and serious hazard to the health of the ratepayer or a resident within the ratepayer's household, as set forth in a physician's certificate furnished to the company. (Notice by telephone or otherwise that such certificate will be forthcoming will have the effect of receipt, providing the certificate is in fact received within seven days.); or

(6) the ratepayer has not been given an opportunity to enter into (a) a reasonable repayment plan or, having entered into such a plan, has substantially abided by its terms in accordance with Section 3. 305(A); and (b) in the case of gas and electric utilities, a monthly installment plan for the payment of future bills.

(C) Disconnection of Rental Units. If a ratepayer requests that service be disconnected, the electric, gas or water company must ask whether a tenant resides in the dwelling. An electric, water or gas company may not disconnect a dwelling at the request of a lessor, owner, or agent ("landlord") or because the landlord (as a customer) has failed to pay an overdue amount, if it has reason to believe the dwelling is rented and unless the utility gives notice as described below.

A company must make every reasonable attempt with respect to each potentially affected dwelling unit to deliver a notice three days prior to the scheduled disconnection to at least one adult occupant of that dwelling unit or mail a notice to the tenant of that dwelling unit. In buildings where service to two or more units is to be disconnected because of a landlord's request or non-payment, the utility must also post the notice in a secure and obvious place in the affected building or buildings. The notice must, in addition to the applicable disclosures of Section 3. 303, inform the tenant how service can be continued. Notwithstanding the provisions of Section 3. 301(C), a disconnection notice containing a newly established disconnection date shall be provided to the tenant at least ten days prior to the newly established disconnection date. If the disconnection is due to the failure of the landlord to pay an overdue amount, the landlord shall be responsible for usage during the additional ten-day notice period.

A utility must offer the tenant the opportunity either to obtain service in the tenant's name or to otherwise assume responsibility for further payment. If the building has a single master meter for the whole building the utility must make arrangements where possible to provide individual meters to separate dwelling units. Where the wiring and metering arrangements allow, the utility must provide service upon request of the tenant. The utility may not require the tenant to pay any of the bill owed to the utility by the landlord.

If the utility disconnects a household because it is not aware that the household is occupied by the tenant, and the landlord is responsible for payment of the utility bill, the utility must reinstate service upon notification from the tenant. Under such circumstances, the utility shall not require advance payment of any deposit, and the customer shall have the option of paying the deposit, if required, in three equal payments, with one third due in fifteen days, one third due in thirty days and one third due in sixty days.

(D) Budget Billing Plans. Each gas and electric utility shall offer budget payment plans to a customer at a primary residence, as defined in PSB Rule 3.201 in accordance with the following:

(1) The plan shall be designed to reduce fluctuations in the customer's bills due to seasonal patterns of consumption and seasonal rates.

(2) A customer may elect to participate in the budget billing plan at any time of year. A budget payment plan shall be based on the customer's recent twelve-month consumption, adjusted for known changes, including anticipated length of occupancy. If twelve months of billing data are not available for the customer, then twelve months of billing data for the premises shall be used. If twelve months of billing data are not available for the premises, then the utility shall estimate the future consumption over the next twelve-month period. Each plan shall provide that bills clearly identify consumption and state the amounts that would be due without budget billing.

(3) The monthly payment due shall not exceed one-twelfth of the annual estimated bill, or the estimated average monthly amount for customers who expect to be in a dwelling for less than one year, as defined in subsection (D) (2) of this section. Between three and six months after the payment plan is initiated, the utility shall compare the payment plan bill with projected energy consumption and shall make adjustments necessary to minimize under- or over-payment by the customer. Between six and nine months after the payment plan is initiated, the utility may compare the payment plan with the projected energy consumption and if the difference exceeds 10% of the estimated annual consumption, the utility may adjust the monthly payment amount. Additionally, the utility shall reconcile a customer's budget payment plan twelve months after initiating the customer's plan and annually thereafter either on the anniversary of the initiation of the plan or at a set time of the year as filed in the utility's tariff. If the amount of the deficit exceeds $ 50, the customer shall have the option of paying any budget plan deficit in twelve equal monthly installments during the ensuing 12 months.

(4) Any customer who applies for the plan and has a delinquent balance shall have the right to pay the delinquency in an extended repayment plan concurrent with the budget plan.

(5) Any customer who applies for budget billing shall be informed in writing that any disputed terms or conditions for such a billing plan may be referred to the Consumer Affairs Division of the Department of Public Service. Notice to the customer shall include the division's address and toll-tree number.

(E) Equal Treatment of Payments. A company shall treat all payments made by any person including the ratepayer in the same manner unless the utility receives instructions to the contrary. Payments shall be applied toward the delinquent portion of the account before being applied to the current bill unless written instructions from the customer, a disputed bill, or payment arrangements require otherwise.

(F) Household Rule. A company shall not disconnect or refuse service to a customer due to a delinquent bill owed by another person unless a person owing a delinquent bill, resulting from service to that household, resides in the same household.

(G) Establishment of a Reasonable Repayment Plan. When establishing a reasonable repayment plan, the company shall consider the income and income schedule of the customer, if offered by the customer, the customer's payment history, the size of the arrearage and current bill, the amount of time and reason for the outstanding bill and whether the delinquency was caused by unforseen circumstances.

Section 3.303 Disconnection Notice Form

The notice form required under Section 3.302 and defined in Section 3.301 shall contain the following information:

(A) a statement that the ratepayer's account is delinquent, a statement of the amount of the delinquency, and a statement that service will be disconnected unless:

(1) the delinquency is paid in full by a certain date; or

(2) the ratepayer enters into a reasonable agreement with the utility to pay the delinquency by means of a repayment plan; or

(3) the ratepayer denies the existence of any delinquency in excess of $ 50.00, submits the dispute to the Board, and the Board advises the utility not to disconnect service; or

(4) the ratepayer presents to the utility (or gives actual notice that he or she will, within seven days, present to the utility) a statement from a duly licensed physician certifying that disconnection will result in an immediate and serious health hazard to the ratepayer or to a resident within the ratepayer's household, provided that use of physician's certificate to prevent disconnection or to cause a reconnection is limited to two consecutive 30-day periods and shall not exceed three 30-day periods in any calendar year, except upon written order of the Board;

(B) the dates and times of day when the utility may disconnect service if the ratepayer does not take appropriate action as described above;

(C) a statement that the utility will negotiate a reasonable agreement for payment of the delinquency by means of a repayment plan and that if, after entering such negotiations, the ratepayer does not believe the utility's terms to be reasonable, the ratepayer may request the assistance of the Consumer Affairs Division of the Department of Public Service in conducting further negotiations;

(D) the name(s) or title(s), address(es), telephone number(s) and business hours of the company representatives with whom the ratepayer may make any inquiry or complaint, and a statement that telephone calls made from within Vermont for such purposes may be made collect or toll free;

(E) the address, telephone numbers, including the toll-free number, and business hours of the Consumer Affairs Division of the Department of Public Service, and a statement that, in addition to providing assistance or advice as to negotiations with utilities, the Division can provide information as to how to submit to the Board a dispute over the existence of a delinquency;

(F) the itemized cost that may be charged to the ratepayers for disconnection, collection and later restoration of service and, if a deposit may be required for restoration of service, an explanation of how the amount will be calculated;

(G) in the case of gas and electric utilities, if disconnection is to occur between November 1 and March 31, inclusive, a list as annually compiled and distributed by the Department of Public Service, of the names, addresses and telephone numbers of governmental and private agencies which may provide assistance to ratepayers in paying their utility bills;

(H) in the case of gas and electric utilities, an offer to arrange a monthly installment plan for the payment of future bills, provided, that such offer need not be made if the account is for service at premises not used as a principal residence; and

(I) in the case of gas and electric utilities, a statement that service to households with any member aged 62 or older shall not be disconnected between November 1 and March 31 if outdoor temperatures are forecast to fall below 32 degrees Fahrenheit during a 48-hour period beginning at the anticipated time of disconnection, provided that the account holder furnishes advance written notice to the utility that the household qualifies under this paragraph and, if requested by the utility, furnishes reasonable proof of such qualification; and

(J) any other information not inconsistent with the above and which has received prior approval of the Board.

Section 3.304 Winter Disconnections

No gas or electric utility may disconnect service to any residential ratepayer between November 1 and March 31, inclusive, unless, in addition to complying with all other requirements of this rule, the utility has complied with the following:

(A) the utility shall make reasonable attempts to give the ratepayer actual oral notice of the information required by Section 3.303. If actual oral notice has not been given in any other manner, reasonable attempts shall consist of at least the following: three telephone calls made at least three hours apart to a telephone number provided by the ratepayer for this purpose or, if no such number has been provided, to the ratepayer's number as it appears in the telephone directory or as obtained from directory assistance, and a personal visit to the premises at which service is provided. Actual oral notice given by one of these methods (telephone calls or personal visit) eliminates the need for further attempts by any other method.

(1) The notice required by this paragraph may be given to either the ratepayer or to another responsible adult at the premises where service is to be disconnected.

(2) If actual oral notification has not otherwise been given, at least one of the telephone calls made to comply with this section shall be placed between the hours of 5:30 P.M. and 9:30 P.M. on a business day.

(3) A telephone call to a telephone not removed from service which results in a busy signal or in any other condition preventing communication, or an unanswered call which has not been allowed to ring for at least 60 seconds, shall not count toward satisfaction of the requirement of this section.

(4) The unavailability of a ratepayer's telephone number shall excuse compliance with the requirement to attempt notification by telephone.

(5) If no responsible adult is at the premises when a personal visit made in compliance with this paragraph occurs, a notice containing the information required by Section 3.303 shall be left in a secure and conspicuous place.

(6) When oral notification is given in compliance with this paragraph, in addition to giving the information required by Section 3. 303, the utility shall advise the ratepayer or other responsible adult as the case may be, that oral notification is not required to be given in connection with any subsequent disconnection which may occur during the same winter season, unless the utility's tariffs provide otherwise.

(B) If, after complying with the requirements of subparagraph (A), actual oral notification has not been given, then, at least 48 hours before disconnection is to occur, the utility shall report to the Department of Public Service, in writing or by telephone, the ratepayer's name, address and, if available, telephone number. The utility shall be preparedto provide a description of the observations of the person who attempted to give oral notice by personal visit as to whether the premises appear to be occupied.

(C) If the ratepayer has been given actual oral notice during the current winter period with respect to a previous delinquency, compliance with subparagraphs (A) and (B) shall not be required, provided that the utility shall deliver or mail to the premises at which service is to be disconnected (with a copy mailed to the ratepayer's billing address if different) a notice containing the information required by Section 3.303. Delivery is complete (1) if made by personal service, upon actual delivery to the ratepayer or his premises at least 48 hours prior to the disconnection, not counting Vermont holidays, and (2) in the case of notice by mail, by deposit of the notice at any United States post office, postage prepaid, at least four days prior to disconnection, not counting days when the postal service does not make regular deliveries of mail.

(D)

(1) Prior to disconnection during the winter period, the utility shall confirm that outdoor temperatures, as predicted by a current National Weather Service (phone 862-2475) forecast for the Burlington, Vt., area, or by another weather service approved by the Public Service Board, will not drop under 10 degrees Fahrenheit during a 48hour period beginning between 7 a.m. and 10 a.m. on the anticipated date of disconnection. When temperatures are forecast to fall below 10 degrees Fahrenheit during the winter period, the utility is prohibited from performing disconnections.

(2) Utility service to households with any member aged 62 or older shall not be disconnected during the winter period if outdoor temperatures are forecast to fall below 32 degrees Fahrenheit during a 48-hour period beginning between 7 and 10 a.m. on the anticipated date of disconnection, provided that the account holder furnishes advance written notice to the utility that the household qualifies under this paragraph. The utility may require reasonable proof of such qualification under this subparagraph.

Section 3.305 Notice Under Repayment Plan

(A) Notwithstanding the provisions of 3.301(C), when a utility proposes to disconnect service because of a ratepayer's failure to abide by the terms of a repayment plan it shall deliver or mail to the address at which service is to be disconnected (with a copy mailed to the ratepayer's billing address if different) a notice containing the information required by Sections 3.303(A)(1) and 3.303(B). If made in person, delivery shall be effected at least 72 hours prior to disconnection; if the notice is mailed, it shall be deposited in a United States post office at least five days prior to disconnection. In lieu of giving written notice, the utility may give notice orally, in person or by telephone, at least 72 hours prior to disconnection. Substantial compliance with a repayment plan established under Section 3.307(B) or Section 3.302(B) (6) shall be demonstrated if the customer has paid at least 75 percent of each agreed-upon payment as due.

(B) The manner of notice provided for in subparagraph (A) shall be sufficient, even in the case of disconnection by a gas or electric utility in the winter, provided that such utility shall have given oral notice of the information contained in Section 3.303 at the time the repayment plan was entered into and provided the terms of the repayment plan were reasonable.

(C) Disconnection resulting from failure to meet the terms of a repayment plan shall occur only after the utility has issued notice in accordance with Section 3.305(A).

Section 3.306 Time and Notice of Disconnection

Disconnection of utility service shall occur only between the hours of 8:00 A.M. and 2.00 P.M. of the business day, specified on the notice of disconnection, or within four business days thereafter between April 1 and October 31, inclusive, and within eight days thereafter between November 1 and March 31, inclusive; provided, however, if a company has available personnel authorized to reconnect service and enter into arrangements on behalf of the utility until 8:00 P.M. of a normal business day, the utility may disconnect service between the hours of 8:00 A.M. and 5:00 P.M. When service is disconnected at the premises of the ratepayer, which shall include disconnection at a pole at or near the premises of the ratepayer, the individual making the disconnection shall immediately inform a responsible adult on the premises that service has been disconnected, or if no responsible adult is then present, such individual shall leave on the premises in a conspicuous and secure place a notification advising that service has been disconnected and what the ratepayer has to do to have service restored.

Section 3.307 Restoration of Service

(A) If service has been disconnected, the company shall within twenty-four hours restore service upon the ratepayer's request when the cause for disconnection of service has been removed or when an agreement has been reached between the ratepayer and the company regarding the dispute which led to the disconnection or when directed to do so by the Board.

(B) The company shall restore service if the disconnected customer pays one-half of the delinquent bill, or a lesser negotiated amount, before restoration and enters into a repayment plan to pay the balance over a minimum period of three months, except that the utility is not obligated to enter into more than two plans of this type with a particular customer within a calendar year.

(C) Restoration of service, to the extent feasible, shall be done so as avoid charging ratepayers for overtime rates and other abnormal expenses.

(D) A company shall not require prepayment of any non-recurring charges associated with disconnection and restoration of service as a condition of restoration of service. Such charges shall be paid within thirty days unless part of a repayment agreement.

(E) Upon receipt of a Physician's Certificate, as defined in Section 3. 301(D), the company shall reconnect service as soon as possible, but in no event longer than 24 hours.

Section 3.308 Filing Requirements

(A) Within thirty days after the effective date of this rule, all companies subject to its provisions shall submit to the Board for its review a copy of the disconnection notice form described in Section 3.303.

(B) All gas, electric and telephone utilities subject to this rule shall file monthly with the Board, on a form provided by the Board, a statement reporting the following information regarding residential service for the previous month: the number of bills forwarded to ratepayers, the number of disconnection notices sent, the number of actual disconnections, the number of reconnections made within 15 days of disconnection, the number of repayment plans entered into, the number of repayment plans that were broken, and the dollar amount of delinquencies for which disconnections were made.

(C) Companies that fail to file information required in Section 3.308(B) within six months of the month being reported shall be precluded from disconnecting any residential customers.

(D) Within 120 days of the effective date of revisions to this rule, each utility shall file tariff amendments to ensure that they are consistent with the provisions of this rule. None Provided

History

• EFFECTIVE DATE: November 14, 1983
• AMENDED: January 2, 1990 (Secretary of State Rule Log # 89-65); July 21, 2006 (Secretary of State Rule Log # 06-020)

Chapter 005 DISCONNECTION OF CABLE TELEVISION SERVICE AND NON-RESIDENTIAL ELECTRIC, GAS, AND WATER SERVICE

30-005 Code Vt. R. 30-000-005-X DISCONNECTION OF CABLE TELEVISION SERVICE AND NON-RESIDENTIAL ELECTRIC, GAS, AND WATER SERVICE

Section 3.401 Definitions

The following definitions apply to Rule 3. 400:

(A) Disconnection: deliberate interruption or disconnection of utility service to a ratepayer by the serving utility, not including disconnection at the request of or with the permission of the ratepayer.

(B) Delinquency: failure of the ratepayer to tender payment for a valid bill or charge (1) within thirty days of the postmark date of that bill or charge, or (2) by a "due date" at least thirty days after mailing, which shall be printed on the bill and which shall control in the absence of a postmark.

(C) Notice: except where otherwise provided or where the context otherwise requires, notice shall mean written notice on a form approved by the Board, mailed or delivered within forty days after delinquency, but not more than twenty days, nor less than fourteen days -- seven if the ratepayer has failed to abide by the terms of an extended repayment plan -- prior to the disconnection of service. Where payment has been made by a check or other instrument which is subsequently dishonored, then the number of days between delivery to the utility of the dishonored instrument and receipt by the utility of notice of dishonor may be deducted from the minimum number of days prior to disconnection that notice must be sent, but in no event may that minimum number of days be less than four.

(D) Payment of Bill: receipt at the company's business office or authorized payment agency of cash or of a check or other instrument which is subsequently honored.

(E) Business Days: Monday through Thursday, excluding Vermont legal holidays and any other time, or the day before such time, when the Company's business offices are not open to the public.

Section 3.402 General Rule

Except at the request of the ratepayer or upon order of the Board, no utility shall disconnect cable television service or non-residential gas, electric, or water service unless payment of a valid bill or charge is delinquent as defined herein, and notice of disconnection has been provided previously to the ratepayer.

(A) This rule shall not apply to any disconnection or interruption of services made necessary for reasons of health or of safety of the ratepayer or the general public.

(B) Disconnection shall not be permitted if the delinquency is due solely to a disputed portion of a charge which has been referred to the Board by the ratepayer or the utility, and the Board has advised the utility not to disconnect service.

(C) Any utility may elect, at its option, to offer an extended repayment plan for delinquent bills and/or a budget plan for future bills to ratepayers covered by this rule.

Section 3.403 Disconnection Notice Form

The notice form required under Section 3. 402, and defined in Section 3. 401, shall contain at least the following information:

(A) a statement that the ratepayer's account is delinquent, a statement of the amount of the delinquency, and a statement that service will be disconnected unless:

(1) the delinquency is paid in full by a certain date;

(2) the ratepayer submits any disputed portion of the charge to the Board and the Board orders the utility not to disconnect service; or

(3) if the utility offers an extended repayment plan for delinquent bills, the ratepayer enters into such a plan;

(B) the dates and times of day when the utility may disconnect service if the ratepayer does not take any of the actions as described in Section 3.403(A) above;

(C) the names or positions, addresses, telephone numbers and business hours of company representatives with whom the ratepayer may discuss the delinquency or to whom the ratepayer may make an inquiry or complaint;

(D) the address, telephone numbers, including the toll-free number, and business hours of the Consumer Affairs Division of the Department of Public Service, and a statement that, in addition to providing assistance or advice, the Division can provide information as to how to submit the Board a dispute over the existence of a delinquency;

(E) the itemized cost that may be charged to the ratepayer for disconnection, collection and later restoration of service and, if a deposit may be required for restoration of service, an explanation of how the amount will be calculated, and,

(F) any other information not inconsistent with the above and which has received prior approval of the Board.

Section 3.404 Time and Notice of Disconnection

Disconnection of utility service shall occur only between the hours of 8:00 A.M. and 2:00 P.M. of the business day, specified on the notice of disconnection, or within four business days thereafter; provided, however, if a company has available personnel authorized to reconnect service and enter into arrangements on behalf of the utility until 8:00 P.M. of a normal business day, the utility may disconnect service between the hours of 8:00 A.M. and 5:00 P.M.

When service is disconnected or interrupted at the premises of the ratepayer, which shall include disconnection or interruption at a pole at or near the premises of the ratepayer, the individual making the disconnection shall immediately inform a responsible adult on the premises that service has been disconnected or interrupted, or if no responsible adult is then present, shall leave on the premises in a conspicuous and secure place a notification advising that service has been disconnected or interrupted and what the ratepayer has to do to have service restored.

Section 3.405 Restoration of Service

If service has been disconnected or interrupted, the company shall within twenty-four hours restore service upon the ratepayer's request when the cause for disconnection of service has been removed, when an agreement has been reached between the ratepayer and the company regarding the dispute which led to the disconnection or when directed to do so by the Board. Restoration of service, to the extent feasible, shall be done so as to avoid charging ratepayers for overtime wages and other abnormal expenses.

Section 3.406 Filing Requirements

Within thirty days after the effective date of this rule, all utilities subject to its provisions shall submit to the Board for its review a copy of its disconnection notice form.None Provided

History

• EFFECTIVE DATE: October 19, 1983 (Secretary of State Rule Log # 83-77)
• AMENDED: July 21, 2006 (Secretary of State Rule Log # 06-020)

Chapter 006 ELECTRICITY OUTAGE REPORTING

30-006 Code Vt. R. 30-000-006-X ELECTRICITY OUTAGE REPORTING

Section 4.900 ELECTRICITY OUTAGE REPORTING

4.901 Definitions

For purposes of this rule, the following definitions apply:

(A) Outage: a zero-voltage event, exceeding five minutes, to one or more customers. All such events are included as Outages, regardless of underlying cause (except for the interruption of power to a customer in accordance with the terms of a special contract, approved by the Public Service Board, where such contract explicitly envisions that such interruptions may occur). Outage causes include, but are not limited to, company initiated Outages, transmission Outages, power supplier Outages, and Outages resulting from severe weather events.

(B) Customers Out: the number of retail customer meters affected by an Outage net of voltage and current meters, station service meters, interchange meters, and any meters at a retail customer's premises beyond or in addition to the first meter at such customer's premises.

(C) Customers Served: the number of retail customer meters, net of voltage and current meters, station service meters, interchange meters, and any meters at a retail customer's premises beyond or in addition to the first meter at such customer's premises for the system, district, or circuit being evaluated.

(D) Outage Duration: the time between either the first customer call to report an Outage, or the first system data indication of an Outage, until the customer's service is returned.

(E) Customer Hours Out: the summation of Customers Out multiplied by their respective Outage Durations.

| (F) System Average Interruption Frequency Index ("SAIFI"): | Customers Out | | --- | --- | | Customers Served | |

SAIFI is a measure of the average number of times that the average customer experienced an Outage.

| (G) Customer Average Interruption Duration Index ("CAIDI"): | Customer Hours Out | | --- | --- | | Customers Out | |

CAIDI is a measure of the average length of time, in hours, that was required to restore service to customers who experienced an Outage.

(H) Non-Utility Power Supplier: any power supplier not holding a certificate of public good to provide retail distribution service.

4.902 Operating Guidelines

(A) Each electric transmission and/or distribution utility shall use all reasonable means to avoid Outages. Losses of power to customers that are not Outages should be minimized in both frequency and duration, consistent with safety. Any significant degradation of power quality caused by an event listed in section 4.903(B)(2) of this Rule should be remedied in the shortest possible time, consistent with safety.

(B) When service is interrupted to perform work on lines or equipment, such work shall be done at a time causing minimum inconvenience to customers consistent with the circumstances. Customers seriously affected by such Outage shall be notified in advance, if practicable.

(C) The Department of Public Service and the Public Service Board shall be notified whenever evidence indicates the Outage may be of sufficient duration to create serious conditions in homes, farms, or industry.

4.903 Recording and Reporting Requirements

(A) Each electric transmission and/or distribution utility shall keep a record of each Outage, including the date and time of interruption, the actual number of customers affected (to the extent practicable), the date and time of service restoration, the Outage Duration, the Customer Hours Out, identification of the circuit(s) affected, and, when known, the cause of such Outage (using the categories delineated in Section 4.903(B)(2)). This detailed information shall be used to compute the summaries in the reliability reports in Section 4. 903(B), shall be maintained for at least three years following development, and shall be provided to the Public Service Board or the Department of Public Service in the electronic format prescribed by the Board upon request.

(B) Each electric transmission and/or distribution utility shall develop reliability reports on a calendar-year basis beginning with calendar year 2001. Reports shall be filed with the Public Service Board and the Department of Public Service no later than 30 days after the end of each calendar year. The format of the reports shall be that prescribed by the Board. At a minimum, each report shall include:

(1) SAIFI and CAIDI reliability indices on a system-wide basis;

(2) A table showing the number of Outages and the total Customer Hours Out, system-wide, experienced during the reporting period due to each of the following categories of causes:

(a) Trees - Outages caused by the interaction of trees and tree branches (regardless of whether the tree originated inside or outside of the right-of-way) with the electric system, including Outages resulting from trees interacting with the electric system during severe weather. Tree-related Outages which result from operator error, accidents, or animals (e.g., beavers) should be listed under the respective cause-related category.

(b) Weather - Outages caused by wind, snow, lightning, ice, and flooding. Outages from weather events which cause trees to interact with the electrical system should be listed in the trees category.

(c) Company Initiated Outage - Outages caused by utility scheduled construction and maintenance.

(d) Equipment Failure - Outages caused by specific equipment failures such as transformer or arrester failures.

(e) Operator Error - Outages caused by utility or utility contractor error, including contract tree trimmer error.

(f) Accidents - Outages caused by accidents by other than utility employees or contractors, including the felling of trees into utility lines, as well as Outages resulting from emergencies such as police or fire department requests for shutdowns.

(g) Animals - Outages caused by the interaction of animals such as birds, squirrels, and racoons with the electric system. Outages also caused by trees, in which the root cause is the action of an animal, should also be placed in this category.

(h) Power Supplier - Outages caused by the loss of power supply from another utility.

(i) Non-Utility Power Supplier - Outages caused by the loss of power supply from a non-utility provider.

(j) Other - Outages with known causes that fall outside of the categories listed above.

(k) Unknown

• Outages with causes unknown.

(3) An overall assessment of system reliability that addresses the areas where most Outages occur and the causes underlying most Outages. This assessment should be based on long-term reliability trends and consider the most recently compiled reliability data. Based on this assessment, the utility should describe, for both the long and short terms, appropriate and necessary activities, action plans, and implementation schedules for correcting any problems identified in the above assessment.

(C) At its option, a utility's annual reliability report may include an explanation of Outage anomalies that significantly impacted the reliability indices and provide supplemental indices that net the affect of these anomalies. Such anomalies could include, though not necessarily be limited to, extremely severe and unusual weather events and region-wide blackouts.

History

• Effective Date: December 1, 1959 (Original Title: Interruptions of Service)
• AMENDED: November 1, 2000 (Secretary of State Rule Log 00-060)

Chapter 007 POLE ATTACHMENTS (3.700)

30-007 Code Vt. R. 30-000-007-X POLE ATTACHMENTS (3.700)

Section 3.701 Applicability and General Provisions

(A) This Rule governs the attachment of lines, wires, cables, or other facilities by any Attaching Entity seeking to attach to a pole owned by a Pole-Owning Utility, at rates, terms, and conditions that are just and reasonable. This Rule applies to poles used in the distribution system used to serve customers, and not to poles used as part of a company's transmission system. In applying this Rule, the Board shall consider the interests of entities seeking or having attachments, Pole-Owning Utilities, and the customers of each.

(B) Except as specifically provided, nothing in this Rule shall be construed to confer a right upon any Attaching Entity to alter, move, or otherwise perform work upon facilities owned by another Attaching Entity or by a Pole-Owning Utility.

(C) Except as specifically provided, nothing in this Rule shall be construed to supersede, overrule, or replace any applicable safety code (including the National Electrical Safety Code [NESC]) or safety rules, VOSHA regulations, any other law or regulation, tariffs and protocols approved by the Board, nor the reasonable engineering standards and good-faith work practices of any Attaching Entity or Pole Owner.

Section 3.702 Definitions

(A) Access means physical access to poles and rights-of-way necessary and sufficient to allow connection of cables and other appurtenances by an Attaching Entity, and to inspect, maintain, and repair such cables and other appurtenances.

(B) Attaching Entity means an entity holding a certificate of public good from the Board, or a Broadband Service Provider, that seeks to attach a facility (or has attached a facility) of any type to a pole or right-of-way for the purpose of providing service to one or more customers, including but not limited to telecommunications providers, cable television service providers, incumbent local exchange carriers, competitive local exchange carriers, electric utilities, and governmental entities.

(C) Broadband Service Provider means an entity authorized to do business in the state of Vermont that seeks to attach facilities that ultimately will be used to offer Internet access to the public. Wireless Broadband Service Providers must hold an FCC license or use equipment that complies with applicable FCC requirements [n1]. A Broadband Service Provider who does not hold a certificate of public good from the Board must, before availing itself of the provisions of this Rule, file with the Board and with any affected Pole-Owning Utility an affidavit that sets forth the Provider's name, form of legal entity, contact information, agent for service of process, proposed general area of service, proof of insurance, and a representation that the Provider will abide by the terms and conditions of this Rule and any applicable pole attachment tariffs, including any protocols filed pursuant to section 3.708(K) of this Rule and Orders issued by the Board.

[n1. See 47 C.F.R. Part 15.]

(D) Core Services means the original regulated business of a utility company. For example, the Core Service of an electric utility is the provision of electric service, but not the provision of telephone or cable television service.

(E) Make-ready means work necessary to make a pole available for attachment of additional facilities.

(F) Pole Attachment or Attachment means an attachment or addition by an Attaching Entity to a pole or right-of-way.

(G) Pole-Owning Utility means a company, as defined in 30 V.S.A. § 201, that is subject to regulation by the Board, and that has an ownership interest in utility poles or rights-of-way.

Section 3.703 Tariff Required

(A) Each Pole-Owning Utility shall file a pole attachment tariff with the Board. The tariff shall include rates, terms, and conditions governing attachment to poles and rights-of-way in which the Pole-Owning Utility has an ownership interest.

(B) The tariff may incorporate a standard contract or license for attachments, so long as it is available to any Attaching Entity within the scope of this Rule and its provisions are not contrary to the provisions of this Rule.

(C) The tariff may include terms that are just and reasonable subject to approval by the Board, and it may include limitations on liability, indemnification, insurance requirements, and restrictions on access to Pole-Owning Utility facilities.

(D) Tariff provisions filed under this section shall not supercede the terms of any applicable contract.

Section 3.704 Contracts for Cost, Maintenance, and Use of Poles

(A) Contracts Authorized. Pole-Owning Utilities and Attaching Entities may enter contracts concerning the cost, maintenance, and use of poles.

(1) Any contract purporting to take effect after the effective date of this Rule shall be submitted to the Board for review pursuant to 30 V.S.A. § 229.

(2) Unexpired contracts on the effective date of this Rule between Attaching Entities and Pole-Owning Utilities shall remain in effect until they expire according to their terms.

(B) Investigations. The Board may investigate the terms and rental rate of any proposed or existing contract between Attaching Entities and Pole-Owning Utilities. Where the public interest so requires, the Board may order that terms or rates be modified.

(C) Expiring Contracts. When a pole attachment contract has expired or is about to expire, and an Attaching Entity cannot reach agreement on a rental rate with the Pole-Owning Utility, any party may petition the Board to set an attachment rate. In reaching a decision the Board may consider the terms and conditions of previous contracts between the parties and the rental calculation in section 3.706.

(D) Public Records. A pole attachment contract in the possession of the Board is a public record unless the Board orders otherwise, for good cause shown.

Section 3.705 Joint Ownership of Poles

(A) Joint Ownership. Two or more utilities may own poles jointly. The cost, maintenance, and use of such poles may be controlled by a contract under section 3.704 and shall be reviewed as required under that section.

(B) Shared Revenue. Unless otherwise provided by contract, each owner of a jointly-owned pole shall receive rental payment from each Attaching Entity in accordance with its ownership interest.

Section 3.706 Rental Calculation

(A) Scope. This section establishes pole attachment rates for inclusion in the tariffs of Pole-Owning Utilities.

(1) Unless the Board rules to the contrary in a particular case, rates under this section do not apply where the rights of the Attaching Entity and the Pole-Owning Utility are defined by a contract (including a Joint Ownership Agreement or Joint Use Agreement).

(2) Where an electric utility or an incumbent local exchange carrier cannot reach agreement on a rental rate with the Pole Owner, either party may petition the Board to set a rate. The Board may consider the terms and conditions of any previous attachment or joint-use contracts between the parties in setting a rate not inconsistent with the principles of this Rule.

(B) Single Rate. Each Pole-Owning Utility shall calculate a single pole rental rate and shall include that rate in its pole attachment tariff.

(C) Rental Charge Formula. The annual rental rate per pole shall be calculated using the following formula:

Click here to view image

(D) Definitions.

(1) Except where otherwise controlled by contract, "Space Occupied by Attachment" is defined as follows.

(a) If the Pole-Owning Utility has conducted a study of the space actually occupied by a particular type of attachment (including safety space) on the Pole-Owning Utility's poles, then an amount defined in a tariff, but in no event less than the amounts specified in paragraph (b) below.

(b) Otherwise, the following quantities:

(i) 1.0 foot for Attaching Entities that are cable television operators and that do not provide local exchange telephone service; and

(ii) 2.0 feet for all other Attaching Entities except incumbent local exchange carriers and electric utilities.

(2) "Total Usable Space" is defined as follows.

(a) If the Pole-Owning Utility has conducted a study of its average pole height, total usable space means the Pole-Owning Utility's average pole height less the unusable space on the pole. Any study may be based upon plant records or field inspections. Poles not suitable for bearing an Attaching Entity's attachments shall be excluded. The forty-inch safe space below the electric attachments, as required by the National Electrical Safety Code, shall be counted as usable space.

(b) "Unusable space" shall mean the 6 feet buried in the ground plus the first 18 feet above ground and below the first attachment, unless the Pole-Owning Utility has conducted a study of the actual average amount buried or the clearance above ground below the first attachment.

(c) Otherwise, total usable space shall be 16 feet, which is based upon a presumed pole height of 40 feet, less 24 feet presumed unusable space.

(3) "Net Investment per Pole" is that part of pole account attributable to poles physically located in Vermont, and adjusted for depreciation and deferred taxes. This net amount is then divided by the number of poles owned by the Pole-Owning Utility in Vermont.

(4) "Carrying Cost Ratio" is the allowable revenue for each dollar of net pole investment, taking into account annual maintenance expense, depreciation, administrative expense, taxes, and return on net investment.

(E) Associated Companies. A Pole-Owning Utility that also engages in the provision of another utility service or cable service shall impute to its costs of providing such other services (and charge any affiliate, subsidiary, or associated company engaged in the provision of such other services) an amount equal to the pole attachment rate for which a company providing such other service would be liable under this section if it were not the pole owner.

Section 3.707 Non-exclusive Right of Access

(A) Right of Access. A Pole-Owning Utility shall provide all Attaching Entities non-discriminatory access to any pole, support structure, or right-of-way in which it has an ownership interest.

(1) A Pole-Owning Utility may deny access for reasons of safety, reliability, or generally applicable and accepted engineering standards.

(2) A Pole-Owning Utility may deny access on a non-discriminatory basis where there is insufficient capacity. Insufficient capacity shall not be a legitimate grounds for denial of access where Make-ready work can be used to increase or create capacity.

(3) A Pole-Owning Utility may not favor itself over any Attaching Entity, nor deny access based on a reservation of space for its own use. However, a Pole-Owning Utility may favor itself when it has a need for space on a pole or poles in order to provide its core service and when it also has a bona fide development plan that shows a need for additional attachments to the poles in question within three years of the date of adoption of the plan; provided that the Pole-Owning Utility may not so favor itself for more than three years in any ten-year period.

(4) Broadband Service Providers and wireless telephone providers shall be authorized to have antennas installed within or above the electric supply space. All such installations of Broadband Service Provider and wireless telephone provider facilities on utility poles must conform to the most recent edition of the NESC as well as the other rules and practices in 3.701(C). Installation and maintenance work in this area shall be done only by the electric utility or Outside Contractors as provided in 3.708(G).

(5) Termination demarcation. An Attaching Entity may designate one or more utility poles as its customer interface location for purposes of utility service delivery to the Attaching Entity.

(B) Exclusive Access Prohibited. No utility, cable television system, or telecommunications carrier subject to the Board's jurisdiction may enter into a contract with a property owner that provides exclusive access to poles or rights-of-way inside or upon commercial or residential buildings.

(C) Burden. In any proceeding before the Board or a court concerning a denial of access to a pole or right-of-way, the party contending that access is not available shall have the burden of making a prima facie case.

Section 3.708 Applications for Attachment and Make-Ready Work

(A) Application. Applications for attachment by an Attaching Entity to a Pole-Owning Utility shall be submitted in writing.

(B) Responsibility. During the Make-ready process, the Pole Owner is presumed to have control of the pole and is responsible for meeting all time limits in this section. Pre-existing Attaching Entities are responsible for completing their work within a time that allows the Pole Owner to comply with the requirements of this section.

(1) If the work on a pole is not completed within the allowed time because of delays caused by another entity attached to the pole, and the Pole Owner is liable for any penalties or damages because of the delay, the Entity causing the delay shall indemnify the Pole Owner for penalty or damages paid.

(2) The allowed time periods and deadlines in this section apply unless otherwise agreed by the various parties, and except for extraordinary circumstances and reasons beyond the Pole-Owner's control.

(3) If an application involves poles owned by multiple owners, then the longest applicable time limit applies.

(C) Initial Action and Survey. Any required Make-ready survey is to be completed within the time period set out in this subsection, starting from the date the completed application is received, unless otherwise agreed by the parties. The Make-ready survey period shall depend on the number of poles or attachments involved, as a percentage of the total number of poles owned. If a Pole-Owning Utility intends to deny access to poles under 3.707(A)(1),(2),or (3), it shall state with specificity the grounds for the denial.

(1) Make-ready survey work on fewer than 0.5% of a company's poles or attachments shall be completed within 60 days.

(2) Make-ready survey work on 0.5% or more but less than 3% of a company's poles or attachments shall be completed within 90 days.

(3) Make-ready survey work on 3% or more of a company's poles or attachments shall be completed within a time to be negotiated between all the affected owners and attachers. The time shall be negotiated in good faith and shall be reasonable in light of subsections (1) and (2), above.

(D) Applicant's Authorization and Payment. After completion of the Make-ready survey, the entity seeking attachment shall authorize the Pole-Owning Utility to complete Make-ready work and shall make all required advance payments.

(1) Unless otherwise agreed, Make-ready work, permits, inspection, and rearrangement costs shall be based on a reasonable estimate of costs and shall be paid in advance.

(2) The Pole-Owning Utility's tariff may require prepayment, or other reasonable assurance of credit worthiness, before performing the Make-ready survey.

(3) The costs of the Make-ready survey shall be payable even if the entity decides not to go forward with construction of its attachments.

(E) Time to Complete Make-ready. The Pole-Owning Utility and Attaching Entities already attached to the pole shall complete necessary Make-ready work within the periods allowed by this section.

(1) The Make-ready completion period shall depend on the number of poles or attachments involved, as a percentage of the total number of poles owned.

(a) Make-ready work on fewer than 0.5% of a company's poles or attachments shall be completed within 120 days of authorization and payment.

(b) Make-ready work on 0.5% or more but less than 3% of a company's poles or attachments shall be completed within 180 days of authorization and payment.

(c) Make-ready work on 3% or more of a company's poles or attachments shall be completed within a time to be negotiated between all the affected owners and attachers. The time shall be negotiated in good faith and shall be reasonable in light of subsections (a) and (b), above.

(2) Time shall be measured from the later to occur of:

(a) receipt of the authorization and payment (if any) under subsection (D); and

(b) all applicable state or municipal permits have been obtained. If the permitting authority requires participation by the Pole-Owning Utility, the latter shall act in good faith.

(F) Least Cost Methods. In completing Make-ready work, a Pole-Owning Utility shall pursue reasonable least-cost alternatives, including space saving techniques currently relied upon by that utility; however, it shall at all times maintain compliance with the National Electrical Safety Code, state and local laws and regulations, and Pole-Owning Utility construction standards.

(G) Outside Contractors. All Pole-Owning Utilities and Attaching Entities shall maintain a list of contractors whom they allow to perform Make-ready surveys, Make-ready, installation or maintenance, or other specified tasks upon their equipment. In the event that a Pole-Owning Utility cannot perform such work in a timely manner, the Attaching Entity may demand that outside contractors be sought. The Pole-Owning Utility shall thereupon exercise best efforts to hire one or more contractors from the list to perform such work, under the supervision and control of the Pole-Owning Utility. If the Pole-Owning Utility is not an electric utility and there are electric lines on the pole, the pole owner shall provide the operator of the electric lines with advance notice of the work to be done and shall allow the electric utility to join or take over the supervision and control of the work of the outside contractor.

(H) Payments. After completion of Make-ready work, the applicant shall pay the cost of all Make-ready work actually required for the attachment that has not been pre-paid, or shall be refunded any excess of the pre-payment not actually required.

(1) The applicant shall not be responsible for any portion of the Make-ready expense that is attributable to the correction of pre-existing violations, unless the applicant has caused a portion of the violation.

(2) The costs of any modification that is also specifically used by other existing Attaching Entities shall be apportioned accordingly.

(3) Where a Pole-Owning Utility currently relies upon one or more techniques referenced in subsection (F) as part of its normal operating procedures but refuses to utilize such techniques for the benefit of the entity seeking attachment, that entity shall only be responsible for the cost that would have been incurred had such techniques been utilized (provided such use would have been in accordance with generally accepted engineering practices).

(I) Overlashing. Any overlashing must be done in accordance with generally accepted engineering standards. The Attaching Entity shall give ten days' notice to the Pole-Owning Utility before beginning such overlashing.

(1) No additional application or payment is required for an Attaching Entity to overlash more of its facilities to its existing attached facilities, unless it necessitates additional costs such as guying or additional pole strength, occupies additional attachment space on the pole, or provides a different utility service than the existing facilities.

(2) If the new facilities deliver a utility service that ought to pay a higher rental under this rule, the Attaching Entity shall begin paying the higher rate.

(3) If the new facilities are owned by someone other than the existing Attaching Entity, then both shall pay rental, each at the rate designated by this rule.

(J) Lowest Attachment Point. No Attaching Entity shall be denied attachment solely because the only space available for attachment on a pole is below the lowest attached facility. If the owner of the lowest facility wishes to relocate its existing facilities to a lower allowable point of attachment so that the new Attaching Entity will be above all existing facilities, the owner of such existing facilities shall pay one-half of the cost of moving its facilities.

(K) Attachment Protocol. Each Pole-Owning Utility shall include in its pole-attachment tariff required by section 3.703 a reasonable protocol under which it will allow attachments by Broadband Service Providers or wireless telephone providers in areas of its poles that are not ordinarily used for attachments or for equipment that is unusually large. Such protocol may include the provision of a separate pole for the attachment of this equipment if:

(1) the proposed attachment cannot be made to the existing pole consistent with 3.701(C);

(2) the separate pole is requested by the attaching entity; or,

(3) the provision of the separate pole is less expensive than the proposed attachment to the existing pole.

Section 3.709 Notices from Pole-Owning Utility

(A) A Pole-Owning Utility shall provide each Attaching Entity 60 days' written notice prior to:

(1) Removing facilities or terminating service to those facilities, where that action arises out of a rate, term, or condition of the pole attachment agreement; or

(2) Increasing pole attachment rates by contract or tariff.

(B) Unless otherwise agreed, a Pole-Owning Utility shall provide an Attaching Entity 30 days' written notice before modifying any of the Attaching Entity's facilities. Less than 30 days' notice may be provided for routine maintenance, modification in response to emergencies, or modifications that are beyond the reasonable control of the Pole-Owning Utility, provided that the notice is reasonable under the circumstances and as prompt as practicable.

Section 3.710 Complaint Procedures

(A) A party aggrieved by a violation of these rules may file a complaint or petition with the Board. The Board shall take final action within 180 days after the filing of the complaint or petition.

(B) An Attaching Entity aggrieved by a proposed change to a Pole-Owning Utility's tariff may intervene in any rate case following such a tariff filing.

Section 3.711 Effective Date

This rule shall take effect on July 14, 2008. However, any new pole attachment tariffs required by the 2008 amendment need not take effect until September 1, 2008, and Pole-Owning utilities need to file new tariffs that will take effect on that date.

History

• STATUTORY AUTHORITY: 30 V.S.A. § 209
• EFFECTIVE DATE: November 15, 1985 Secretary of State Rule Log #85-70
• AMENDED: September 1, 2001 Secretary of State Rule Log #01-39; July 14, 2008 Secretary of State Rule Log #08-026

Chapter 008 RULE 3.800 - UNDERGROUND UTILITY DAMAGE PREVENTION

30-008 Code Vt. R. 30-000-008-X RULE 3.800 - UNDERGROUND UTILITY DAMAGE PREVENTION

Section 3.800 UNDERGROUND UTILITY DAMAGE PREVENTION

3.801 Definitions

For the purpose of interpreting Chapter 86 of Title 30, the following definitions shall apply:

(A) "Underground utility easement" shall include:

(1) Rights of way, whether by deed, oral license, or otherwise, for transmission and distribution lines.

(2) Service drops which are owned by the utility.

(B) "Public right of way" shall include streets, roads, sidewalks, and any other way created for use by the public, including ways under construction.

(C) "Routine highway maintenance" shall include snow removal, patching, salting, grading, and other day to day operations, but not ditching, signpost setting, guardrail placement or removal, or culvert work. Operations which do not disturb the subsurface of the earth, or which involve only the replacement of a post in the same location, shall be deemed to be routine.

(D) "Company" means any public utility company, as defined in 30 V.S.A. § 201(a), which supplies gas, electricity, or telephone service and which maintains underground facilities, and any cable television company operating a cable television system as defined in 30 V.S.A. § 501 and which maintains underground utility facilities.

3.802 Designation of Damage Prevention System

(A) Dig Safe System, Inc., is hereby designated the damage prevention system for Vermont.

(B) Each company shall become a member of Dig Safe System, Inc.

(C) If a substantial number of companies wish to join or create a system other than Dig Safe System, Inc., they may petition the Board for permission. Permission will not be unreasonably withheld; however, permission will be granted only if the benefits clearly outweigh the potential confusion of having a second system operating in the state.

(D) If Dig Safe System, Inc., ceases or indicates that it will cease operation in Vermont, the Board will open a proceeding to designate or create a new system.

(E) No company shall be exempt from membership in the damage prevention system unless it can show that the cost of such membership outweighs the benefit, both to such company and to other affected persons. In ruling on a company's request for exemption, the Board shall consider the following factors:

(1) The estimated cost to the company, both in absolute terms and as a percentage of the company's revenues, of joining the damage prevention system.

(2) The expected impact on rates of joining the damage prevention system.

(3) A comparison of the expected frequency of damage to the company's underground plant, and likely consequences of such damage, under the company's proposed alternative and as a member of the system. Considerations shall include:

(a) the nature of the utility service provided;

(b) miles and percentage of plant underground;

(c) population density and expected frequency of excavation in areas where the company has underground plant.

(4) The disadvantages of not having uniform statewide coverage for the damage prevention system.

(5) Alternative types of membership which may be offered by the system.

(6) Any other factors which the Board finds relevant.

3.803 Notice of Excavation and Marking of Facilities

(A) As required by 30 V.S.A. § 7004, no person shall engage in excavation activities without first giving at least forty eight hours (but no more than thirty days) notice to the underground facility damage prevention system designated in section 3.802 above.

(B) As defined in 30 V.S.A. § 7001, "Excavation activities" means activities involving the removal of earth, rock or other materials m the ground, disturbing the subsurface of the earth, or the demolition of any structure, by the discharge of explosives or the sue of powered or mechanized equipment, including but not limited to digging, trenching, blasting, boring, drilling, hammering, post driving, wrecking, razing, or tunneling, within an underground utility easement or the area of a public right-of-way in which an underground utility facility is located. Excavation activities shall not include the tilling of the soil for agricultural purposes or activities relating to routine public highway maintenance.

(C) Within forty eight hours of the receipt of notice from the damage prevention system pursuant to 30 V.S.A. § 7005, each utility concerned shall determine whether it has facilities in place and, if so, shall mark or cause to be marked their approximate location, as required by law.

(D) Such markings shall be with stakes or waterproof paint, using colors prescribed by the American Public Works Association or the American Society of Mechanical Engineers to identify the type of utility facility in place, or by other means acceptable to the company and the excavator.

(E) For the purpose of computing time under this section and the preceding section concerning notice, Saturdays, Sundays, and legal Vermont and Federal holidays shall not be included.

(F) As provided in 30 V.S.A. § 7006, in the case of extensive excavation activities where the facilities cannot reasonably be marked within 48 hours, the affected companies shall mark or cause to be marked within 48 hours the facilities where excavation will first occur and the remaining facilities in a timely manner thereafter. In addition, the excavator and the affected companies may by agreement alter the timing of the notice or the marking, provided the marking is made prior to excavation activities.

3.804 Emergencies

(A) In the event of a situation which poses a threat to life, health, property, continued utility service, or the operation of a major industrial plant or public facility, excavation may begin as soon as notice thereof is given to the damage prevention system. Such notice must be given by telephone. If the threat is of such an immediate nature that the delay caused by notifying the damage prevention system would itself increase the threat, excavation may begin at once. The excavator shall thereafter use due care to ensure that the underground plant of utilities in the area of said excavation is not damaged.

(B) A utility may agree with an excavator, in advance, on conditions in which notice is waived or upon provisions for notice not consistent with this rule.

3.805 Investigation of Complaints

(A) Companies shall institute procedures to receive and resolve complaints of excavators or the general public, and to take action against excavators for failure to comply with the requirements under this Rule or Chapter 86 of Title 30.

(B) The Board shall hear unresolved complaints arising under this Rule or Chapter 86 of Title 30; procedure in such disputes shall be as provided by statute and by the Board's rules of practice. This provision is in addition to any other remedies parties may have at law.

(C) Upon discovery of damage to underground facilities by excavation activities or other action that may constitute a probable violation of 30 V.S.A. §§ 7004, 7006a, 7006b, or 7007, a company shall forward an Underground Facility Damage Prevention Report to the Board and to the Department on the form prescribed by the Board. In addition, reports of damages shall be forwarded by each company to the Board and the Department of Public Service along with the annual report required under 30 V.S.A. § 22.

(D) Following receipt of an Underground Facility Damage Prevention Report or annual report, the Board may request the Department of Public Service to investigate the facts and make a report.

(E) The reporting and investigation provisions in this section are in addition to those of 30 V.S.A. § 207 and VPSB Rule 3.807.

3.806 Standards for New Underground Facilities

After the effective date of this rule:

(A) All underground utility facilities shall be built in accordance with industry practices and any applicable federal requirements; in addition, such construction shall at least conform to the following standards:

(1) For gas, the federal safety standards defined in 49 C.F.R. Parts 191 - 192.

(2) For electricity, the National Electric Safety Code.

(3) For telephone and cable television, the National Electric Safety Code as applicable, and BSP 629-200-206 as applicable.

(B) Any above-ground markings and location indicators shall conform to industry practices and to the color scheme designated by the American Public Works Association or the American Society of Mechanical Engineers.

(C) Nothing in this rule shall be construed to require construction techniques or materials inconsistent with the requirements of any federal law or regulation.

(D) Codes, statutes, or regulations referred to above shall be as in effect at the time of construction.

(E) In the case of electric or gas facilities, a subsurface marker shall be placed above the entire length of each line or conduit to alert an excavator of the presence of such facility. If the line or conduit is not metallic or otherwise detectable from the surface using a locating device, the subsurface marker shall be of a material so detectable.

(F) Within a reasonable time after installation of a line or conduit is completed, the company shall, upon request of an entity listed in paragraph (1) or (2) of this subsection, submit a drawing indicating the areas where underground facilities have been placed. Such drawing need not specify the location of facilities with the precision required by section 3. 803, but it shall be sufficient to alert the viewer to the need for care.

(1) If the facilities are within the right of way of a state highway, upon request the drawing shall be sent to the Transportation District Office for the district where such facilities are located.

(2) For any facilities, such drawing shall be filed with the legislative body of the municipality where they are located upon request of the municipality.

3.807 Enforcement

(A) The Department may investigate any Underground Facility Damage Prevention Report. If after investigation the Department finds a probable violation of 30 V.S.A. §§ 7004, 7006a, 7006b, or 7007, VPSB Rule 3.803, or an order or orders issued thereunder, the Department may in its discretion issue a "Notice of Probable Violation" ("Notice") to the person alleged to have violated these sections with copies to the Board and the company that submitted the Underground Facility Damage Prevention Report. A copy of said Notice shall be filed with the Board and shall be treated as a petition to impose penalties under 30 V.S.A. § 7008.

(B) A Notice of Probable Violation shall include:

(1) Statement of the statute, rule, regulation, or order issued thereunder which the person is alleged to have violated;

(2) A brief statement of the evidence upon which the allegation(s) is based;

(3) Notice of response options available (See Section (E) of this Rule);

(4) Statement of remedial action sought;

(5) If a civil penalty is proposed, the amount of the proposed civil penalty (See 30 V.S.A. § 7008) .

(C) Within 30 days of receipt of a Notice of Probable Violation, any person who is the subject of an enforcement proceeding pursuant to that Notice shall make a written response to the Department and to the Board, with a copy to the Company that reported the alleged violation.

(D) The Department may amend a Notice of Probable Violation at any time prior to issuance of a final Board order. If an amendment includes any new material allegations of fact or proposes new or additional remedial action or an increased civil penalty, any person who is the subject of an enforcement proceeding pursuant to that amended Notice is directed shall have an additional 15 days from the time the amended Notice is received to respond.

(E) Where the Notice of Probable Violation contains a statement of remedial action sought or proposes the imposition of a civil penalty, any person who is the subject of enforcement proceedings pursuant to that Notice may:

(1) Agree to take the remedial action sought and submit a plan for compliance which shall include a schedule of steps to be taken and a date by which complete compliance shall be obtained;

(2) Pay the proposed civil penalty by certified check; and/or

(3) Object to imposition of the remedial action and the imposition of the penalty and request a hearing before the Board.

(F) A request for hearing under Section 3.807(E)(3) of this rule in response to a Notice of Probable Violation issued pursuant to this rule must include a statement of the issues intended to be raised at hearing. In the statement of issues, the person requesting the hearing shall assert any defenses he or she intends to raise ana, if the person intends to claim that mitigating factors are present, shall include an explanation of those factors, accompanied by supporting data or other information. The request may also include any offer made in compromise of the proposed civil penalty or remedial action.

(G) If the alleged violator agrees to the remedial action sought by the Department and agrees to pay the proposed civil penalty, pursuant to Section 3.808(E)(1) and (2) of this section, the alleged violator will be deemed to have waived notice and an opportunity for hearing provided the Board's final Order is consistent with the remedial action and penalty agreed to by the Department and the alleged violator.

(H) After notice and an opportunity for hearing, the Board shall enter its final Order in the matter. The final Order may include:

(1) A statement of actions, if any, required to be taken and the date by which such actions must be taken; and

(2) The amount of any civil penalty imposed.

(I) In addition to the procedures set forth in this section, the Board, on its own initiative or in response to a petition, may initiate an investigation into a possible violation of any statute, rule, regulation, or order issued thereunder related to Underground Utility Damage Prevention.

(J) Any person found to be in violation of any statute, rule, regulation, or order issued thereunder related to Underground Utility Damage Prevention may be subject to a civil penalty in accordance with 30 V.S.A. §§ 30 and 7008. In imposing a civil penalty on any person, the Board shall consider the gravity of the violation, the culpability of the person responsible for the violation, any history of prior violations, the good faith of the person in attempting to achieve compliance, the size of the business of the person being charged, the likely deterrent effect of the penalty, and any other relevant or mitigating factors.

History

• Effective Date: March 15, 1988 (Secretary of State Rule Log #88-10)
• AMENDED: March 1, 1999 (Secretary of State Rule Log #99-9)

Chapter 010 RULE 5.200: NOTIFICATION OF POWER SUPPLY TRANSACTIONS

30-010 Code Vt. R. 30-000-010-X RULE 5.200: NOTIFICATION OF POWER SUPPLY TRANSACTIONS

PSB Rule 5.200 - Power Supply Transactions

Effective: March 1, 2004

Section 1. General Order 45, and all subsequent clarifying letters and orders issued by the Public Service Board, are hereby rescinded.

Section 2. Public Service Board Rule 5.200 is adopted to read as follows:

SUBCHAPTER 5.200 NOTIFICATION OF POWER SUPPLY TRANSACTIONS

5.201 Purpose

The purpose of this Rule is to require private, municipal, and cooperative electric utilities to notify the Public Service Board and the Department of Public Service of power supply transactions. This shall be accomplished by notification to the Board and Department of power supply contracts entered into by Vermont's electric utilities and through the filing of quarterly and annual reports detailing past and proposed power supply transactions of Vermont's electric utilities. Additionally, all Vermont electric utilities are required to notify the Board and Department of certain contracts, as specified in section 5. 202, entered into by an electric utility for the purpose of purchasing or leasing electrical generation or transmission facilities within Vermont.

5.202 Notification to the Public Service Board and Department of Public Service

Each private, municipal, and cooperative electric utility is required to give the Public Service Board and the Department of Public Service notice in writing, at least ninety (90) days in advance unless the period of advance notice is reduced under section 5. 204, of any of the following events:

(A) the execution of any contract which is more than five years in duration with any party for the purchase or lease of any electrical generation facility within the State of Vermont;

(B) the execution of any contract which is more than five years in duration with any party for the purchase or lease of any electrical transmission facility within the State of Vermont which is designed for immediate or eventual operation at any voltage equal to or in excess of 46 kV;

(C) the execution of any contract for the purchase or sale of capacity in, or energy from, any electrical generation or transmission facility located within the State of Vermont provided that such contracts are more than five years in duration;

(D) the execution of any contract for the purchase or sale of capacity in, or energy from, any electrical generation or transmission facility, provided that such contract is more than six months in duration and:

(1) for a utility with a peak load, within the previous calender year, greater than 100 MW, represents more than 25% of the utility's peak load; or

(2) for a utility with a peak load, within the previous calender year, of 100 MW or less, represents more than 50% of the utility's peak load.

5.203 Sufficiency of Notice

For purposes of section 5. 202, notice shall include a copy of the proposed contract. Notice from one of the parties to any transaction specified in section 5.202 is sufficient.

5.204 Requests for Reduction of Time or Waiver of Notification

(A) An electric utility submitting a written notice under section 5.202 may incorporate therein a request for a reduction in or waiver of the period of advance notice requested and required for the commitment proposed therein, and the Public Service Board will consider and address any such request expeditiously.

(B) Any reduction in or waiver of the period of advance notice granted under this section shall not constitute Public Service Board approval or review of any contractual commitment or transaction.

5.205 Extent of Contractual Commitment

For the purpose of this Rule, a letter of intent signed by or on behalf of two or more parties is deemed to be a contractual commitment.

5.206 Reporting Power Supply Transactions

(A) Each private, municipal, and cooperative electric utility must file, with the Public Service Board and the Department of Public Service, after-the-fact reports of power supply transactions, including transactions involving generation and transmission facilities, within 30 days following the end of each calendar quarter. The format of these quarterly reports shall be as designated by the Public Service Board.

(B) Each private, municipal, and cooperative electric utility must file by January 30th of each year, but no earlier than the preceding November 1st, with the Public Service Board and the Department of Public Service, a Resource Report generally reflecting the utility's power supply needs and acquisition strategy. The Resource Report must, at a minimum, address what resource transactions the utility reasonably expects to enter into during the ensuing year, regardless of the length of the transactions. The Resource Report must include:

(1) a general description of the products that the utility expects to purchase or sell;

(2) anticipated quantities of each product;

(3) anticipated price ranges for each product;

(4) an estimate of the timing of each transaction contemplated; and

(5) anticipated transactions involving generation and transmission facilities.

The time period covered by the Resource Report shall be commensurate with the duration of the longest-term transaction contemplated in the Report, but not less than one year. An amendment must be filed with the Public Service Board and the Department of Public Service in the event of any material change in the utility's resource requirements or the resource transactions which the utility has entered into.

(C) Due to the potentially confidential nature of the reports to be filed under this section, the utility may file both confidential and non-confidential reports as required by this section. Any confidential report must be accompanied by a nonconfidential explanation justifying confidential treatment of the report.

(D) The reports required under this section are independent of, and do not replace, the least-cost integrated plans that electric utilities are required to file with the Public Service Board under 30 V.S.A. § 218c.30 V.S.A. §§ 2(c), 209

History

• EFFECTIVE DATE: October 1, 1965
• AMENDED: March 1, 2004 Secretary of State Rule Log # 04-05

Chapter 011 ELECTRIC BILL INFORMATION

30-011 Code Vt. R. 30-000-011-X ELECTRIC BILL INFORMATION

Rule No.4.200 ELECTRIC BILL INFORMATION

4.201 Requirement

Every company selling electricity at retail shall provide to each customer a listing of the price components of that customer's rate or rates. The listing need not show the actual usage of the customer, but shall identify the customer charge, the rate or rates per KW and KWH, and whatever additional information may be necessary to calculate an actual bill. The price components of electricity provided by the Vermont Department of Public Service shall be identified as such.

4.202 Frequency

The listing shall be sent to each customer on at least the following occasions:

(A) No more than sixty days nor less than fifteen days prior to the start of any peak-season rate period.

(B) As soon as practicable after the company knows that it will put a rate change into effect.

(C) During January of any year when neither of the above events has occurred within the previous twelve months.

History

• Effective Date: November 17, 1986 (SOS Rule Log #86-68)

Chapter 012 INTERPRETATION OF TRANSMISSION AND DISTRIBUTION LINES

30-012 Code Vt. R. 30-000-012-X INTERPRETATION OF TRANSMISSION AND DISTRIBUTION LINES

STATE OF VERMONT PUBLIC SERVICE BOARD GENERAL ORDER NO. 51

INTERPRETATION OF 30 V.S.A. § 248

IT IS HEREBY ORDERED, ADJUDGED AND DECREED that the following rule shall govern the interpretation and applicability of 30 V.S.A. § 248:

A transmission line within the meaning of 30 V.S.A. § 248, as amended effective March 31, 1972, is a line and related facilities whose primary purpose is the delivery of electric power in bulk to a distribution system or portion thereof which serves individual customers. The Public Service Board will assume that each of the following two types of lines are transmission lines within the meaning of 30 V.S.A. 5248, as amended, in the absence of a specific declaration by the Public Service Board to the contrary:

(1) any line or facility designed to operate or capable of operating over 30 EV; and

(2) any tie-line designed to operate or capable of operating at any voltage. A tie line is a line whose primary purpose is to interconnect portions of an electric system for area reliability purposes. Specification (1) above does not exclude any line of lower voltage if it would function primarily as a transmission line within the meaning of the first sentence of this definition.

A distribution line (or facility) whose principal purpose is to serve individual customers, and whose service to individual customers is physically interrupted only by a transformer and service drop, remains under the jurisdiction of the Environmental Board and District Environmental Commissia as provided by Act 250, 10 V.S.A. § 6001.

30 V.S.A. § 248 does not include any transmission line for which a permit had been granted pursuant to 10 V.S.A. § 6001 et seq. which remains effective. This latter provision is included to comply with 1 V.S.A. § 214(b) (2).

History

• Effective Date: March 31, 1972.
• Statutory Authority: V.S.A. 30, C. 5, § 248

Chapter 013 MAINTENANCE OF ELECTRIC UTILITY RIGHTS OF WAY

30-013 Code Vt. R. 30-000-013-X MAINTENANCE OF ELECTRIC UTILITY RIGHTS OF WAY

SUBCHAPTER 3.600 MAINTENANCE OF ELECTRIC UTILITY RIGHTS OF WAY

3.610 ACCOUNTING

3.611 Separate Accounts

Each company shall keep a separate account of all expenses incurred in maintaining transmission or distribution rights of way. The accounts shall be kept in such a way that the following information can readily be extracted:

(A) Transmission maintenance costs can be segregated from distribution maintenance costs and expressed in dollars per brush-acre; transmission and distribution shall be defined for these rules the same as for FERC Form 1 reporting.

(B) Estimates of the average per acre costs for foliar, stem treatment, and hand cutting, expressed in dollars per brush-acre.

This information shall be filed with the Board and the Department of Public Service at the same time as the FERC Form 1 or the Department of Public Service annual report is filed.

3.612 Consistency

This rule shall not be construed to require the use of accounts inconsistent with those mandated by any state or federal regulatory body.

3.620 NOTICE

3.621 Personal Notification

(A) Persons owning or occupying land lying within 1,000 feet of a utility right of way may request of the utility, in writing, that they be notified individually by mail during the year, but not less than 30 days before, any treatment of the line with herbicides.

(B) The landowner or resident is responsible for contacting the company, in writing before February 15, to request placement on the mailing list.

(C) The company may, as an alternative, place all residents of a town in which herbicides are to be used on its mailing list.

(D) The company may assure itself that a requesting party meets the qualifications of paragraph A, and may drop from its list a person determined not to meet those qualifications.

(E) The utility shall annually report to the Board and the Department of Public Service the number of written inquiries received concerning notification and the number of notifications actually sent.

(F) After each maintenance cycle the utility may destroy its mailing list and begin anew; if it does so, it shall include as part of its notice provided in subsection (A) a coupon for the recipient to return for entry on the new list.

(G) Inadvertent failure to comply with this section shall not raise any presumption of negligence in any civil action.

3.622 Information Sheet

(A) Each year the Vermont Electric Power Company, Inc., (VELCO) shall prepare an information sheet explaining, in neutral terms:

(1) Methods of herbicide application used in Vermont.

(2) Types of rights of way which are treated.

(3) A method to identify the owner of a utility line by examining the poles or other landmarks.

(4) How to contact distribution utilities for further information.

(5) How to determine whether a particular line is to be treated.

(6) The right to notice by mail as set forth in Section 3.621 hereof.

(7) The right to alternative treatment methods as set forth in Section 3.640 hereof.

(8) The address and telephone numbers, including any toll-free numbers, of the Consumer Affairs Division of the Department of Public Service and of the Plant Industry Section of the Department of Agriculture.

(9) The duty of each landowner or resident to make the utility aware of the location of a potentially affected water supply, and of any other environmentally sensitive area where herbicide application ought to be avoided.

(10) The fact that herbicide applications may start as early as April 1, so that requests to utilities for notice by mail must, unless waived by the utility, be made by February 15 in order to be placed on the mailing list.

(B) The information sheet shall be submitted to the Board and the Department of Public Service for review by November 1.

(C) The information sheet shall be distributed in camera-ready form to the distribution utilities by December 1 of each year.

(D) The distribution utilities shall print and mail the information sheet to each of their customers, either separately or as a bill stuffer, before February 1 of each year. If editorial comments are added by the utility, they shall be separated from the information sheet content and identified as such.

(E) If by January 1 of any year a distribution utility files a certificate with the Board and the Department of Public Service which states that no herbicides will be used in that year within that utility's service territory, either by that utility or by any other utility with rights of way within that service territory, the provision of subsection (D) above shall be waived for that year. The Board may require the utility to substantiate its certification.

3.623 Published Notification

(A) VELCO shall also prepare newspaper advertising containing the information required by Section 3.622 above.

(B) Once each week for four weeks in January, the advertising shall be placed in those newspapers listed in Appendix B of the Department of Agriculture's Regulations for the Control of Pesticides, or any successor list which is used for similar purposes.

3.624 Coupon; Costs

(A) The mailer required by Section 3.622 and the newspaper advertisements required by Section 3.623 shall each include a coupon for use by a person wishing to exercise the notice privilege created by Section 3.621.

(B) VELCO shall bear the costs of developing and distributing the information sheet to the distribution utilities as required by Section 3.622 and of creating and causing to be published the advertising required by Section 3. 623; provided, however, that VELCO shall be compensated by any other transmission-only company doing business in Vermont, in the proportion that such company's line mileage bears to the total transmission line mileage in the State.

3.630 PLANS

3.631 Plan Required

Each utility, including VELCO, shall submit to the Board and the Department a long-term vegetation management plan which should include:

(A) A general statement of policy and goals;

(B) Identification of a biologically sound schedule to achieve long-term objectives, including a specified time interval between original control and subsequent scheduled control;

(C) Description and identification of the species to be eliminated or controlled, versus the species to be left, in various types of vegetative settings;

(D) List and description of techniques and conditions under which given mechanical, chemical, and other methods would normally be considered appropriate;

(E) Procedure for identifying, evaluating, reporting, and responding to right of way maintenance problems;

(F) Establishment of clearance standards sought, based on voltage of transmission line, and the part of the right of way to be controlled; i.e., central strip, side strip, high visibility, other;

(G) Establishment of standards and practices for:

(1) Wetlands;

(2) Wildlife;

(3) Erosion control;

(4) Aesthetic considerations;

(H) Establishment of right of way inspection and monitoring standards including frequency of inspection, manner of inspections, and criteria. Standards shall relate to at least the following matters: heights of road-crossing screens or ideal clearance levels, danger trees, evidence of tree-conductor contact, species identification, conditions of sensitive areas, notation of condition of specially or experimentally treated areas;

(I) Retention of records to coincide with maintenance cycle of the company including right of way inspection dates, maintenance schedules, and maintenance activities;

(J) Provisions for periodically reviewing, evaluating, and revising the long-range plan, and the time interval for such revisions;

(K) Provision to assure contractor accountability in implementing the plan.

3.632 Exemption

If a utility believes that it should not be required to have such a plan in place, or that only a brief summary is required because its lines are located solely in urban or other clear areas, it may file instead a request for exemption with the Board, with a copy to the Department of Public Service.

3.633 Filing

Plans shall be filed with the Board and the Department of Public Service.

3.634 Consistency

It shall be no objection to a plan that it includes provisions to comply with the requirements of some other state or federal agency.

3.640 ALTERNATIVES

3.641 Alternatives Provided

(A)

(1) When a landowner whose property is traversed by a utility right of way, the maintenance of which is governed by these regulations, requests of a company in writing that it refrain from using herbicides in clearing the right of way, the company shall initially offer to perform the work using stump treatment or stem injection only. If the landowner accepts this level of herbicide use, the company shall perform the maintenance work using stump treatment or stem injection methods, free of charge to the landowner. If the landowner refuses the use of any herbicide whatsoever, the company shall be paid the rate determined in subsection (B) below if the right of way is for transmission or subtransmission line; but no payment shall be required if the right of way is for distribution line.

(2) The landowner's written request must be delivered to the company not less than 14 days before any scheduled use of herbicides.

(3) The terms "stump treatment or stem injection methods" shall, respectively, have the meanings defined in the regulations of the Vermont Department of Agriculture, that is, the placement of herbicide on the cut surface of a stump or inside a wound made with a cutting tool.

(4) Payment required under this subsection shall be made to the company not less than 7 days before the scheduled use of herbicides.

(B) A landowner who elects not to permit any herbicides under subsection (A) above shall pay a charge of $ 30 toward the company's administrative costs. A separate charge shall apply for each non-contiguous property with respect to which the election is made; however, a farm or a non-corporate landowner which is not a governmental entity shall not be required to pay more than $ 120 to any one utility in any one year.

(C) The utility company shall perform maintenance in the manner required under (A) or (B) above, provided, however, that the company may require each landowner requesting an alternative method to indicate the location and boundaries of the portion of the right of way concerned. The company may require the landowner or the landowner's agent to mark the property in a distinctive fashion or to attend an on-site meeting with designated maintenance personnel.

(D) For purposes of this Section 3.641, "landowner" shall include the owner of land which abuts a distribution right of way located along a public highway.

(E) Each utility shall prepare and send to the Board and the Department by June 15 of each year a statement showing the number of persons who have made an initial request under subsection (A) above, the number who have agreed to stump treatment or stem injection methods, and the number who have refused all use of herbicides.

The listing need only cover those rights of way which are chemically treated during the year of submission.

History

• Effective Date: March 27, 1985
• AMENDED: May 12, 1986;
• November 7, 1988 (SOS Rule Log #88-50)

Chapter 014 SAFETY OF HYDROELECTRIC DAMS

30-014 Code Vt. R. 30-000-014-X SAFETY OF HYDROELECTRIC DAMS

SUBCHAPTER 4.500 SAFETY OF HYDROELECTRIC DAMS

4.510 SIZE AND HAZARD CLASSIFICATIONS

(A) Dams shall be categorized by size. The size category shall be determined by height or storage, whichever gives the larger size category. The height of a dam and its storage shall both be established with respect to its maximum storage potential, measured from the natural bed of the water course to the maximum water storage elevation. For the purpose of determining size category, the maximum water storage elevation shall be considered to be the height above streambed as defined in section 4.521(B).

| Category | Storage (ac-ft) | Height (ft) | | --- | --- | --- | | Small | <1,000 | <40 | | Medium | >/=1,000 and<50,000 | >/=40 and<100 | | Large | >/=50,000 | >/=100 |

(B) Dams shall also be classified by hazard potential. The hazard potential classification of a dam pertains to potential loss of human life or property damage in the area downstream of the dam in the event of failure of the dam.

| Hazard Class | Potential Loss of Life | Potential Economic Loss | | --- | --- | --- | | Minimal | None expected | None expected | | Low | None expected(no permanent structures for human habitation) | Minimal (undeveloped to occaisional structures or agriculture) | | Significant | Few (no urban development and no more than a small number of inhabitable structures) | Appreciable (notable agriculture, industry,or structures) | | High | More than a few | Excessive (extensive community, industry,or agriculture) |

(C) At the request of its owner or operator, a dam which both impounds less than fifty acre-feet and is less than twenty-five feet tall may be placed in the 'Minimal' hazard class for purposes of this rule. A dam which is less than six feet tall or which has a maximum storage potential of less than fifteen acre feet shall be classified in the 'Minimal' hazard class, unless reclassified pursuant to paragraph (D).

(D) Any dam may be reclassified to another hazard class by means of a petition brought by the owner or operator of the dam, the Department of Public Service, on the Board's own motion, or by a petition brought pursuant to section 1095 of Title 10 of the Vermont Statutes Annotated. A proceeding based upon such a petition shall be a contested case for purposes of Chapter 25 of Title 3 of the Vermont Statutes Annotated.

(E) Unless classified or reclassified pursuant to paragraphs (C) or (D), a dam shall be classed in the same hazard class to which it is assigned by the U.S. Army Corps of Engineers on its inventory made pursuant to the National Dam Inspection Act , Public Law 92-367. If a dam is not included in the inventory, it shall be placed in the Low hazard class if it is of Small size, in the Significant hazard class if it is of Medium size, and in the High hazard class if it is of Large size. Classifications of such non-inventoried dams shall be reviewed by the Board as soon as practicable.

4.515 INVENTORY

The Board shall maintain at its offices an inventory of all dams in the state which are subject to the Board's regulatory jurisdiction under 10 V.S.A. § 1105. It shall be the duty of each owner or operator, upon request, to inspect such inventory and inform the Board of any inaccuracies or omissions. In addition, it shall be a continuing duty of each owner or operator to inform the Board of any change made to the height, storage, installed capacity, or ownership of a dam.

4.520 SAFETY INSPECTION

4.521 Definitions

For purposes of this Rule:

(A) "Independent consultant" means any person who:

(1) Is approved by the Federal Energy Regulatory Commission to do inspections pursuant to 18 C.F.R. Chapter I Part 12 Subpart D.; and

(2) Is not, and has not been within two years before being retained to perform an inspection under this subpart, an employee of the owner or operator or its affiliates or an agent acting on behalf of the owner or operator or its affiliates. Having been retained to perform an inspection shall not constitute having been an employee or agent.

(B) "Height above streambed" means:

(1) For a dam with a spillway, the vertical distance from the lowest elevation of the natural streambed at the downstream toe of the dam to the maximum water storage elevation possible without any discharge from the spillway. The maximum water storage elevation is the elevation of the spillway crest or the top of any gates or flashboards, whichever is higher. If the spillway is determined to be inadequate, under standards of or accepted by the U. S. Army Corps of Engineers, the maximum water storage elevation will be the elevation of the non-overflow section of the top of the dam;

(2) For a dam without a spillway, the vertical distance from the lowest elevation of the natural streambed at the downstream toe of the dam to the lowest point on the crest of the dam.

(C) "Dam" means any barrier (including its appurtenant structures and adjacent supporting natural features) constructed across a waterway to control the flow or raise the level of water, or behind which water is impounded or pumped for later release, over which the Board has jurisdiction pursuant to Chapter 43 of Title 10 of Vermont Statutes Annotated.

4.522 Applicability

(A) Safety Inspection shall be required of any dam:

(1) That is more than twenty-five feet in height above streambed or that has a gross storage capacity of more than 750 acre-feet; or

(2) That has a significant or high hazard potential or is determined by the Board to require inspection under this Rule.

(B) The owner of any dam which must be inspected by an independent consultant pursuant to regulation by the Federal Energy Regulatory Commission, or which is inspected for safety by employees or agents of the Federal Energy Regulatory Commission, may file with the Board a copy of the report of such inspection. Unless otherwise determined by the Board, such filing shall satisfy the inspection requirement of this Rule.

(C) The owner of any dam included in the description set forth in subsection (A), but which is not inspected pursuant to Federal Energy Regulatory Commission regulations as defined in subsection (B), must file a report of an independent consultant as defined in the ensuing sections of this Rule.

4.523 Exemption

(A) Upon written request from the owner or operator, the Board may grant an exemption from the requirement for inspection (or any part of that requirement) in extraordinary circumstances that clearly establish good cause for exemption.

(B) Good cause for exemption may include the finding that the dam in question meets the criteria for low hazard potential as defined by section 4.510(B).

4.524 Initial Reports

The initial inspection and report under this rule shall be completed not later than:

(A) For dams which are inspected pursuant to Federal Energy Regulatory Commission rule, a copy of the most recent inspection report shall be filed within ninety days of the effective date of this Rule.

(B) For dams not subject to federal inspection requirements:

(1) For dams in the large size category or the high hazard class, two years from the effective date of this rule.

(2) For all other dams to which the inspection requirement applies, three years from the effective date of this rule.

4.525 Time of Subsequent Inspections and Reports

(A) General rule. After the initial inspection and report under this subpart, subsequent inspections under this subpart must be completed and the reports on them filed at the following intervals:

(1) For dams which are inspected pursuant to Federal Energy Regulatory Commission rule, within thirty days of the availability of each scheduled inspection report.

(2) For dams not subject to federal inspection requirements:

(a) Five years for dams classed as large or high hazard under section 4.510;

(b) Ten years for dams classed as medium or of significant hazard.

(B) Extension of time. For good cause shown, the Board may extend the time for filing an independent consultant's report under this subpart.

4.526 Specific Inspection Requirements

Scope of inspection. The inspection by the independent consultant shall include:

(A) Due consideration of all relevant reports on the safety of the dam made by, or written under the direction of, federal or state agencies or made by other consultants;

(B) Physical field inspection of the project works and review and assessment of all relevant data concerning:

(1) Settlement;

(2) Movement;

(3) Erosion;

(4) Seepage;

(5) Leakage;

(6) Cracking;

(7) Deterioration;

(8) Seismicity;

(9) Internal stress and hydrostatic pressures;

(10) The functioning of foundation drains and relief wells;

(11) The stability of critical slopes;

(12) Regional and site geological conditions.

(C) Specific evaluation of:

(1) The effects of overtopping of non-overflow structures;

(2) The structural adequacy and stability of structures under all credible loading conditions;

(3) The relevant hydrological data accumulated since the dam was constructed or last inspected under this subpart;

(4) The history of the performance of the dam through analysis of data from monitoring instruments; and

(5) The quality and adequacy of maintenance, surveillance, and methods of operations for the protection of public safety.

(D) Evaluation of spillway adequacy. The adequacy of any spillway must be evaluated by considering hazard potential which would result from failure of the project works during flood flows.

(1) If structural failure would present a hazard to human life or cause significant property damage, the independent consultant must evaluate the ability of project works to withstand the loading or overtopping which may occur from a flood up to the probable maximum flood or the capacity of spillways to prevent the reservoir from rising to an elevation that would endanger the project works.

(2) If structural failure would not present a hazard to human life or cause significant property damage, spillway adequacy may be evaluated by means of a design flood of lesser magnitude than the probable maximum flood, if the report of the independent consultant pursuant to subsection 4.527 provides a detailed explanation of the basis for the finding that structural failure would not present a hazard to human life or cause significant property damage.

4. 527 Report of the Independent Consultant

General requirement. Following inspection of a project development as required under this subpart, the independent consultant shall prepare a report, and the owner or operator shall file two copies of that report with the Board. The report shall conform to the provisions of this section.

(A) General information in the initial report. The first report filed under this subpart for any dam shall contain:

(1) A map of the region indicating the location of the dam;

(2) Plans, elevations, and sections of the dam;

(3) A summary of the design assumptions, design analyses, spillway design flood, and the factors of safety used to evaluate the structural adequacy and stability of the dam; and

(4) A summary of the geological conditions that may affect the safety of the project works.

(B) Information required for all reports. Any report of an independent consultant filed under this subpart shall contain the information specified in this paragraph:

(1) Analyses. The report shall:

(a) Analyze fully the safety of the dam and the maintenance and methods of operation of the development in light of the independent consultant's reviews, field inspections, assessments, and evaluations described in subsection 4.526;

(b) Identify any changes in the information and analyses required by paragraph (a) of this subsection that have occurred since the last report by an independent consultant and analyze the implications of those changes; and

(c) Analyze the adequacy of existing monitoring instruments, periodic observation programs, and other methods of monitoring project works and conditions affecting the safety of the project or project works with respect to the dam.

(2) Recommendations. Based on the independent consultant's field observations and evaluations of the project works and the maintenance, surveillance, and methods of operations of the dam, the report shall contain the independent consultant's recommendations regarding:

(a) Any corrective measures necessary for maintaining the integrity of the structures, for improving methods of operation of the dam, or for improving maintenance or surveillance procedures; and

(b) A reasonable time to carry out each corrective measure.

(3) Dissenting views. If the inspection and report were conducted and prepared by more than one independent consultant, the report shall clearly indicate the substance of any dissenting views concerning the analyses or recommendations of the report that may be held by any individual consultant.

(4) List of participants. The report shall identify all professional personnel who have participated in the inspection of the project or in preparation of the report and shall identify the independent consultant who directed those activities.

(5) Statement of independence. The independent consultant shall declare that all conclusions and recommendations in the report are made independently of the owner or operator and its employees and representatives.

(6) Signature. The report shall be signed by each independent consultant responsible for the report.

4.528 Review

Every five years the Board shall conduct a review of the exemptions of dams which have been exempted from periodic inspection pursuant to 4.522(A) or 4.523. Such review shall focus on changed conditions concerning each dam which may indicate that inspection ought to be required.

4.530 CORRECTIVE MEASURES

4.531 Emergency Corrective Measures

If, in the course of an inspection, an independent consultant discovers any condition for which emergency corrective measures are advisable, the independent consultant shall immediately notify the owner or operator, and the owner or operator shall report that condition to the Board and take corrective action as required under subsection 4.532.

4.532 Taking Corrective Measures After the Report

(A) Corrective plan and schedule.

(1) Not later than sixty days after the report of the independent consultant is filed with the Board, or fifteen days in the case of emergency corrective measures reported pursuant to 4.531, the owner or operator shall submit to the Board two copies of a plan and schedule for designing and carrying out any corrective measures that the owner or operator proposes.

(2) The plan and schedule may include any proposal, including taking no action, that the owner or operator considers a preferable alternative to any corrective measure recommended in the report of the independent consultant. Any proposed alternative must be accompanied by the owner or operator's complete detailed analysis and evaluation in support of that alternative.

(B) Carrying out the plan. The owner or operator shall complete all corrective measures in accordance with the plan and schedule submitted to the Board, as approved or modified by the Board.

(C) Notwithstanding the above, if corrective action is required by any federal agency, including the Federal Energy Regulatory Commission, and the owner or operator complies with the instructions provided by such federal agency, such compliance shall constitute sufficient action under this section.

(D) Extension of time. For good cause shown, the Board may extend the time for filing the plan and schedule required by this section.

4.540 ON-GOING CARE

4.541 Reporting of Safety-related Conditions

(A) Oral report. An owner or operator shall report to the Board by telephone any condition affecting the safety of a dam, as defined in subsection (C) of this section. The oral report shall be made as soon as practicable after that condition is discovered, without interfering with any necessary or appropriate emergency repair, alarm, or other emergency action.

(B) Written report. Following the initial oral report required in subsection (A), the owner or operator shall submit to the Board a written report on the condition affecting the safety of the dam. The written report shall be submitted within thirty days and shall contain such information as the Board directs including:

(1) The causes of the condition;

(2) A description of any unusual occurrences or operating circumstances preceding the condition;

(3) An account of any measure taken to prevent worsening of the condition;

(4) A detailed description of any damage to the dam and the status of any repair;

(5) A detailed description of any personal injuries;

(6) A detailed description of the nature and extent of any property damages; and

(7) Any other relevant information requested by the Board.

(C) "Condition affecting the safety of a dam" means any condition, event, or action which might compromise the safety, stability, or integrity of the dam or its ability to function safely for its intended purpose, or which might otherwise adversely affect life, health, or property. Conditions affecting the safety of a dam include, but are not limited to:

(1) Unscheduled rapid draw-down of impounded water;

(2) Failure of any facility that controls the release or storage of impounded water, such as a gate or a valve;

(3) Failure or unusual movement, subsidence, or settlement of any part of a dam;

(4) Unusual concrete deterioration or cracking, including development of new cracks or the lengthening or widening of existing cracks;

(5) Piping, slides, or settlements of materials in any dam, abutment, dike, or embankment;

(6) Significant slides or settlements of materials in areas adjacent to reservoirs;

(7) Significant damage to slope protection;

(8) Unusual instrumentation readings;

(9) New seepage or leakage or significant gradual increase in pre-existing seepage or leakage;

(10) Sinkholes;

(11) Significant instances of vandalism or sabotage;

(12) Natural disasters, such as floods or earthquakes;

(13) Any other signs of instability.

4.542 Board Action

On the basis of any oral or written report made under this section, the Board may order the owner or operator to take any action reasonably required to correct the condition or conditions reported. The Board may retain a consultant to inspect any dam and, if the inspection reveals any unsafe condition which the owner or operator should have discovered and reported, may require the owner or operator to pay the cost of the inspection.

4.543 Emergency Plans

(A) The owner or operator of any dam which is required to maintain an emergency action plan by the Federal Energy Regulatory Commission shall file a copy of the Commission's approval letter for its most recent plan.

(B) The copy of the emergency action plan approval letter shall be filed within sixty days of the adoption of this rule, or within thirty days of an owner's receipt of such letter, whichever is later.

(C) The owner of a dam which is classified as high or intermediate hazard, but which is not required by the Federal Energy Regulatory Commission to maintain an emergency action plan, may be required by the Board to develop a plan to protect lives and property downstream. Any plan so developed shall be filed with the Vermont Emergency Management Division.

History

• Effective Date: November 14, 1986 (SOS Rule Log #86-73)

Chapter 015 SMALL POWER PRODUCTION AND COGENERATION

30-015 Code Vt. R. 30-000-015-X SMALL POWER PRODUCTION AND COGENERATION

Rule No.4.100 SMALL POWER PRODUCTION AND COGENERATION

4.101 Purpose

The purpose of this rule is to encourage development of electricity through use of biomass, other renewable resources, waste and cogeneration, while giving due consideration to the duties and responsibilities of utilities. The rule implements the provisions of 30 V.S.A. § 209(a)(8) and 16 U.S.C. § 824a-3.

4.102 Scope

(A) This rule applies to Vermont electric utilities and to those qualifying facilities that fall within the definitions contained in 30 V.S.A. § 209(a)(8) or 18 C.F.R. §§ 292.201 - 207.

(B) This rule shall not be construed as prohibiting voluntary contracts with terms different from the terms contained herein. Every contract for the purchase of electricity by a Vermont utility from a qualifying facility shall be filed with the Board and with the Department of Public Service, in accordance with General Order 45 or any successor rule.

(C) The Board may by order designate one or more Purchasing Agents. Such an order may define appropriate terms and conditions, including the rights, authority, duties and obligations of the Purchasing Agent, and the authority of the Board to regulate and supervise the Purchasing Agent. In such an Order the Board may incorporate provisions that reflect its consideration of such factors as:

• ownership, management, financial stability and expertise of the purchasing agent,

• issuance of indebtedness by, and protection of the assets of, the purchasing agent,

• changes in management or control of the purchasing agent,

• the quality and value of the services provided by the purchasing agent,

• the continuance or the abandonment of provision of service by the purchasing agent,

• the manner of operating and conducting business by the purchasing agent,

• the prices, terms, or rates charged by the purchasing agent, and

• the general good of the State.

If the Purchasing Agent accepts such a designation, the Purchasing Agent, and all parties which transact business with the Purchasing Agent, shall, in the conduct of their business under this Rule, be subject to the terms and conditions of the designation order. Any previous designation shall remain in full force and effect unless and until specifically modified by the Board on a prospective basis.

4.103 Definitions

(A) For purposes of this rule, the following definitions apply:

"Avoided cost" means the incremental cost to electric utilities of electric energy or capacity or both, which, but for the purchase from the qualifying facility, such utilities would generate themselves or purchase from another source.

2. "Capacity" means the capability to produce, transmit or deliver electric energy, measured in kilowatts (KW).

"Capacity costs" means the costs associated with providing the capability to produce, transmit or deliver energy. They consist of the capital costs of facilities used to generate, transmit and distribute electricity and the fixed operating and maintenance costs of those facilities.

"Energy" means electric energy measured in kilowatt-hours (KWH).

5. "Energy costs" means the variable costs associated with the production of electric energy. They consist of fuel costs and variable operating and maintenance expenses.

"Firm capability" means the accredited New England Power Pool capacity rating of the qualifying facility, which may be used by the utility or purchasing agent as a capacity source in meeting its capability responsibility as defined by NEPOOL.

7. "Levelized rate" means the result of the use of present worth arithmetic to convert a series of annual rates to an equivalent annuity.

8. "Purchasing agent" means an entity designated by the Board to perform the power and financial accounting requirements of this rule.

9. "Qualifying facility" means a cogeneration facility or a small power production facility, which is a qualifying facility under 18 C.F.R. §§ 292.201 - 207 and 30 V.S.A. § 209(a)(8), and which has received a certificate of public good under 30 V.S.A. § 248 or other construction and operating authority under any other applicable state statute.

10. "Reserve fund" means a trust fund established by the qualifying facility to be used solely for the purposes specified in 4.104(E)6. Any investment by the qualifying facility of reserve fund assets shall be limited to Qualified Investments described below, with maturities at or before the time when such assets are required to be available. Interest or profit derived therefrom shall not be deemed part of the reserve fund and may be used for any lawful purpose by the qualifying facility. The term "Qualified Investments" means

(a) obligations issued by the United States of America or any agency or instrumentality thereof,

(b) re-purchase agreements with respect to obligations described in clause (a), above,

(c) certificates of deposit of a bank or trust company,

(d) daily interest savings accounts in a bank or trust company to the extent of any deposit insurance applicable to such accounts,

(e) short-term money market funds in which a trustee customarily invests moneys entrusted to it in a fiduciary capacity,

(f) securities commonly known as "commercial paper" issued by any company organized and existing under the laws of the United States of America which at the time of purchase have been rated and the ratings for which are not less than "P - 1" if rated by Moody's Investors Service, Inc. and not less than "A - 1" if rated by Standard and Poor's Corporation, or

(g) bankers acceptances drawn on or accepted by a bank or trust company described in clause (c) above.

"Vermont composite electric utility system" means the combined generation, transmission and distribution resources along with the combined retail load requirements of the Vermont retail electric utilities.

"Interconnecting utility" means the electric utility in whose service territory the qualifying facility is located and/or to whose electric system the qualifying facility is connected.

13. "Electricity" means energy or capacity or both.

4.104 Utility Purchase of Small Power Producer Output

(A) The purchasing agent for the Vermont retail electric utility companies shall purchase electricity offered by any qualifying facility located within Vermont (or within the service territory of any utility which is an all-requirements customer of a Vermont utility) with an installed capacity greater than one hundred kilowatts or with a lesser capacity if the interconnecting utility has obtained an exemption under section 4.104(B). The purchasing agent shall not be empowered to enter into any agreement for purchases from a qualifying facility until such agreement shall have been approved by the Board. Such approval shall be granted only after notice to the purchasing agent, the qualifying facility and all Vermont retail electric utility companies and opportunity for a hearing. The rate to be paid for such electricity shall be based on the full avoided costs of the alternative energy sources of the Vermont composite electric utility system, as specified under 4. 104(E). The electricity purchased and the costs associated therewith shall be distributed to the Vermont retail electric utilities based on their pro-rata share of total Vermont retail kilowatt-hour sales for the previous calendar year, for distributions commencing May 1st of each year. Notwithstanding the foregoing, the purchasing agent shall be liable for payment for electricity purchased from qualifying facilities only to the extent that the utilities to which such electricity has been distributed have paid the purchasing agent therefor. In no event shall the State of Vermont or any agency or employee thereof be held liable, in this or any other respect, for the failure of any party to comply with these rules. Regardless of whether a retail electric utility company accepts the electricity or costs distributed to it by the purchasing agent, electric utility company accepts the electricity or costs distributed to it by the purchasing agent, it shall be responsible for the payment of costs allocated to it by the purchasing agent in compliance with these rules.

(B) The interconnecting retail electric utility shall purchase electricity offered by any qualifying facility located within Vermont (or within the service territory of a utility which is an all-requirements customer of a Vermont utility) with an installed capacity of one hundred kilowatts or less, unless the qualifying facility elects to sell to the purchasing agent under 4.104(A), provided that the utility may obtain an exception to this requirement for good cause shown. The rate to be paid for such electricity shall be based on the full avoided costs of the alternative energy sources of the Vermont composite electric utility system, as specified under 4.104(E). If a qualifying facility agrees, a utility which would otherwise be obligated to purchase electricity offered by the qualifying facility under 4.104(B), may transmit the electricity to any other utility. Any electric utility to which such electricity is transmitted shall purchase such electricity as if it were the interconnecting utility in 4.104(B). The utility required to purchase electricity under this subsection shall not be subject to charges for transmission; such charges shall be governed by the provisions of 4.108(B).

(C) The purchasing agent shall issue bills to utilities as soon as possible after the end of each month and, in any event, in time to assure receipt through the ordinary operation of the postal service by the 10th of the succeeding month. Utilities receiving such bills shall cause payment therefor to be delivered to the purchasing agent not later than the 25th of such succeeding month or, if the bill shall have arrived after the 10th, within fifteen days of its receipt. If payment is not made when due under the provisions hereof, one percent of the amount unpaid shall be added as liquidated damages, and an additional one and one-half percent interest shall be added every thirty days thereafter; provided, that for good cause, the purchasing agent or the Board may waive all or part of such damages.

(D) The purchasing agent may assess against qualifying facilities and electric utilities, from each group in equal shares, fees in amounts set in accordance with this subsection. Such fees shall be retained by the purchasing agent and shall be set so as to cover its reasonable and necessary expenses of performing its functions under this Rule in accordance with generally accepted utility ratemaking practices.

(i) Not less than thirty days prior to the time that the proposed fee schedule is intended to take effect, the purchasing agent shall file the proposed fee schedule and adequate supporting financial statements with the Board. Copies of the filing and supporting material shall be served on the Department of Public Service, and upon all Vermont retail electric utilities and qualifying facilities selling, or having filed letters of intent to sell, through the purchasing agent. If no written objection to the proposed fee schedule is filed within 15 days of filing, the Board may allow such schedule to take effect without a hearing.

(ii) Upon receipt of a written objection timely filed or upon its own motion, the Board may open an investigation into the proposed fee schedule and may suspend its implementation. After hearing, the Board may approve, modify or reject the proposed fee schedule. If the Board fails to make its determination within 120 days of the issuance of an order opening an investigation, the proposed schedules shall become effective and final.

(iii) Nothing in this subsection shall be construed as limiting the right of the Board to investigate at any time the reasonableness of fees assessed by the purchasing agent pursuant to this subsection.

(iv) At any time after Board approval of a fee schedule, any Vermont retail electric utility may request a prospective reduction in the fees assessed against utilities on the grounds that the avoided costs of contract administration and overhead associated with power purchases for the Vermont composite electric utility system are significantly lower than the sum of the fees charged to such utilities under the schedule approved by the Board. Such a request shall be filed with the Board and served upon the purchasing agent and shall include adequate supporting financial statements. If the Board fails to rule upon such a request within seven months it shall be deemed to be final and effective. However, a reduction in such fees shall be granted only on a clear showing that the approved fees exceed such costs, and fees which have previously been approved by the Board under this paragraph shall be presumed not to exceed such costs. The petitioner in such case shall bear the burden of proof.

(E) The Department of Public Service shall annually determine the avoided capacity and energy costs of the Vermont composite electric utility system, and shall file proposed rate schedules with the Board for approval, and the Board, after hearing, shall approve or modify such schedules. The proposed rates shall be for the period of delivery of power and shall reflect the following sales options available to the qualifying facility:

1. Short-term sales shall have a term of one year and shall be based on projected avoided energy costs associated with various levels of purchases from qualifying facilities, as adjusted for transmission and distribution loss credits, if any, for the period. The rates shall be seasonally and time-of-day differentiated.

2. Long-term non-firm sales shall have a term of five, ten or fifteen years and shall be based on projected avoided energy costs associated with various levels of purchases from qualifying facilities, as adjusted for transmission and distribution loss credits, if any, for those periods. The rates shall be seasonally and time-of-day differentiated.

3. Long-term firm sales shall have a term of ten, twenty or thirty years and shall be based on projected avoided system energy costs and projected incremental costs of peaking capacity associated with various levels of purchases from qualifying facilities, as adjusted for transmission and distribution loss credits, if any, for those periods. The rates shall be seasonally and time-of-day differentiated. A qualifying facility shall be entitled to be paid the capacity-based portion of a long-term firm rate only to the extent of its firm capacity.

4. All rates shall be in terms of cents per kilowatt-hour ([cent] /KWH), and the level of purchases from qualifying facilities shall be modeled in twenty-five MW blocks.

Long-term sales rates, both firm and non-firm, shall be determined on a levelized and non-levelized basis. The capacity and energy components of long-term firm rates shall be determined separately. A qualifying facility which is eligible for firm rates may elect non-levelized rates or, with the permission of the Board, fully levelized rates, or a levelized capacity component and non-levelized energy components. In the latter case, the qualifying facility shall be paid, in addition to the capacity component, the short-term energy rate in effect while deliveries are being made, provided that a change in energy rates shall, in such cases, be deemed to take effect only at the beginning of any month.

6. A qualifying facility seeking a long-term levelized firm rate shall establish a reserve fund to cover anticipated capital replacements and maintenance requirements over the term of the sales period, and shall be required to maintain adequate business interruption insurance, property damage insurance and liability insurance.

7. A qualifying facility seeking a long-term levelized non-firm rate shall not be required to establish the reserve fund as required in 4.104(E)6, but shall maintain insurance coverages as required therein.

(E) At the conclusion of each rate-setting proceeding held pursuant to section 4.104(E), the purchasing agent shall submit to each Vermont electric utility, and each such utility shall execute, a contract by which the utility signifies its agreement to accept and to pay for all electricity properly allocated to it by the purchasing agent at the rates finally approved by the Board. Purchase agreements executed by the purchasing agent shall make reference to such contract, but nothing provided for herein shall obligate any utility, other than an interconnecting utility, with respect to matters other than its purchase obligation.

(F) Neither the qualifying facility nor the purchaser may unilaterally alter the duration of the sales period or the terms and conditions of the transaction after it has become effective. After notice and hearing, the Board may alter such contracts for good cause but, except to the extent that alteration is permitted by the terms of the contract, no such alteration may be made over the objection of any utility or of the qualifying facility if it would materially affect substantial rights or obligations of either the utility or of the ratepaying public.

(G) All existing projects, as well as those which have received or petitioned for Public Service Board approval prior to December 3, 1982, will be entitled to a minimum rate of 7.8 [cent] /KWH until June 1, 1984. At that time and on each subsequent June 1st, the minimum rate shall be decreased by 10%. A potential qualifying facility which has, prior to December 3, 1982, incurred project development costs predicated upon the 7.8 [cent] /KWH rate, but which had not filed for Public Service Board approval by that date, may petition the Board for similar treatment. At any time, such a qualifying facility may elect to sell its output pursuant to the other provisions of this rule.

(H) Notwithstanding any other provision herein, long-term rates and levelized rates shall be available only to qualifying facilities which have been found by the Board, after due hearing, to satisfy the substantive criteria of 30 V.S.A. § 248(b).

4.105 Utility Sale of Electricity

(A) Rates for sales to qualifying facilities shall not discriminate against qualifying facilities in comparison to rates for sales to other customers served by the electric utility. Rates for sales which are based on accurate data and consistent system-wide costing principles shall not be considered to discriminate against any qualifying facility to the extent that such rates apply to the utility's other customers with a similar load or other cost-related characteristics. Optional rates shall not be mandated by the interconnecting utility.

(B) Upon the request of a qualifying facility, the interconnecting utility shall, by tariff or by special contract, provide the following: supplementary power; back-up power; maintenance power; and interruptible power. Rates for these sales shall not be based upon the assumption (unless supported by factual data) that forced outages or other reductions in electric output by all qualifying facilities on the interconnecting utility's system will occur simultaneously, or during the system peak, or both.

4.106 Interconnection and Operating Standards

(A) The following shall be the minimum standards applicable to the purchase of electricity from a qualifying facility by a utility or by the purchasing agent.

1. There shall be circuit breakers which automatically disconnect current for line to ground faults and, if applicable, phase to phase and three-phase faults.

2. The qualifying facility's circuit breaker shall be inhibited from automatically or manually closing into the utility's system if the system is de-energized. Qualifying facilities that are inherently incapable of operating in such a case need no further equipment.

3. All interconnections shall have equipment to allow manual isolation of the qualifying facility, which equipment shall be accessible to utility employees.

4. There shall be adequate assurance that the utility system is protected from any qualifying facility electricity that varies more than +/- 10% of system voltage or more than +/- 1% of system frequency. This assurance is satisfied if (1) the qualifying facility is inherently incapable of supplying electricity with such variations, (2) there is equipment that automatically isolates the qualifying facility if such variation occurs or (3) there is equipment sufficient to protect the utility if such variation occurs.

There shall be adequate assurance of proper synchronization, including resynchronization following interruptions.

6. The qualifying facility shall provide a power factor which is sufficient to maintain system voltage within standard operating limits (97% to 105% of nominal).

(B) The protective relaying equipment required under Section 4.106(A) shall meet the following requirements:

1. The ambient temperature rating of the device, as certified by the manufacturer, must be sufficient for the environment in which it must operate.

2. The device must be certified to pass a high potential test which is similar to or in accordance with that required by ANSI standards for other equipment in the same voltage class.

3. The ability of the device to withstand transients and surges must be tested and certified to be in compliance with ANSI C 37.90a - 1974.

4. The device must perform the required function within the accuracy necessary to comply with this rule.

(C) For good cause shown, the Board may require stricter standards, provided they are standards generally applicable in the industry.

4.107 Metering

(A) The interconnecting utility, the purchasing utility or the purchasing agent may require a meter to measure the output of the qualifying facility in addition to the retail meter, if applicable.

1. The purchasing agent shall determine the metering requirements of the qualifying facilities from which it purchases electricity with due consideration of the power accounting requirements of the utilities.

2. A utility which purchases electricity from a qualifying facility whose installed capacity is one hundred KW or less shall not require the hourly metering of output except upon Board order for good cause shown.

4.108 Allocation of Metering and Interconnection Costs

(A) The qualifying facility shall pay the reasonable costs of connection, switching, metering, transmission distribution, safety provisions and administrative costs directly related to the installation and maintenance of the physical facilities necessary to permit interconnected operations to the extent that such costs are in excess of the corresponding costs which the utility would have incurred if it had purchased an equivalent amount of electric energy or capacity from other sources. Any costs which would have been incurred if the qualifying facility had received only retail electric service shall be governed by the applicable retail tariff. The interconnecting utility shall offer the qualifying facility the option of paying such costs at the time they are incurred or over a period of twelve months in equal monthly installments, including interest at a rate equal to the utility's current allowed rate of return on equity.

(B) Qualifying facilities shall not be charged by the interconnecting utilities for the transmission of their electricity to other utilities, unless the transmitting utility can demonstrate that it must actually reserve transmission system capacity for that purpose.

4.109 Exemption from Utility Regulation

Those qualifying facilities within the scope of this general order and which sell electricity only at wholesale shall be exempt from all regulation under Title 30 except under 30 V.S.A. §§ 202, 209(a)(3), 209(a)(8), 214 and 248. Qualifying facilities which meet the above definitions and whose facilities have an installed capacity of ten KW or less shall be exempt from all regulation under Title 30 except 30 V.S.A. §§ 209(a)(3), 209(a)(8) and 248. The Board may expand or reduce the scope of these exemptions for good cause shown.

4.110 Reporting Requirements

When requested by the Board, qualifying facilities shall submit information concerning the operation, management and physical condition of a particular facility as necessary for the Board to insure the safe operation and management of the particular facility.

4.111 Exceptions

(A) The Public Service Board may grant exceptions to the requirements of this rule for good cause shown. The petitioner in such case shall bear the burden of proof.

(B) A utility seeking exemption from the purchase requirements of Section 4.104 shall, at a minimum, satisfy the following requirements:

1. A petition for exemption and supporting documentation shall be filed with the Board within thirty days of the annual adoption of rate schedules pursuant to 4.104(C).

2. The supporting documentation shall include complete rate schedules, and statistical and technical foundation that is directly comparable in format and detail to the evidence offered by the Department of Public Service in its filing.

Any petition which is found deficient shall be dismissed by the Board.

4.112 Utility Ratemaking

All reasonable costs incurred by a utility pursuant to this rule shall be included in that utility's revenue requirement for ratemaking purposes.

4.113 Effective Date and Filing Requirements

This rule shall become effective fifteen days after adoption and filing. * Within forty-five days thereafter, and then annually on or before April 1, the Department of Public Service shall file proposed rate schedules which conform to this rule.

History

• Effective Date: May 6, 1983.
• AMENDED: August 28, 1985.
• January 8, 1989
• January 8, 1999 (SOS Rule Log #89-66)

Chapter 022 RULES AND REGULATIONS PRESCRIBING STANDARDS FOR GAS UTILITIES

30-022 Code Vt. R. 30-000-022-X RULES AND REGULATIONS PRESCRIBING STANDARDS FOR GAS UTILITIES

GENERAL ORDER NO. 43

Rules and Regulations Prescribing Standards For Gas Utilities

March 30, 1965

It is HEREBY ORDERED that the following Rules and Regulations Prescribing Standards for Gas Utilities are adopted by the Public Service Board, effective March 30, 1965.

These Rules and Regulations shall apply to every person, firm, company, corporation and municipality engaged in the business of manufacturing, distributing, selling or transmitting gas in the State of Vermont and which is or shall become subject to the jurisdiction of this Board.

Section 1 DEFINITIONS

In the interpretation of these Rules the following definitions shall apply:

"Board" shall mean the Public Service Board of the State of Vermont.

"Customer" shall mean any person, company, corporation, municipality, or other agency supplied with gas by any utility.

"Cubic Foot" shall mean, for the purpose of measurement to a customer, the amount of gas which occupies a volume of one (1) cubic foot under the conditions existing in such customer's meter as and where installed, provided such meter is not subjected to abnormal temperature conditions unless the meter is designed with temperature compensation. For the purpose of measurement for testing, "Cubic Foot" shall mean that quantity of gas which occupies one (1) cubic foot at a temperature of sixty degrees Fahrenheit (60 [degrees] F), when saturated with water vapor, and under a pressure of thirty (30) inches of mercury.

"Gas" shall mean any manufactured fuel gas, including propane-air mixtures, propane or natural gas, or any combination thereof.

"Liquefied Petroleum Gas" shall mean a fuel gas composed predominantly of any or a mixture of the following:

Propane, Propylene, Normal Butane, Iso Butane, and Butylenes

"Total Heating Value" shall mean the number of British Thermal Units (BTU) produced by the combustion, at constant pressure, of the amount of gas that would occupy a volume of one (1) cubic foot at a temperature of sixty degrees Fahrenheit (60 [degrees] F) and under a pressure equivalent to that of thirty (30) inches of mercury, with air at the same temperature and pressure as the gas, when the products of combustion are cooled to the initial temperature of the gas and air, and when the water formed by the combustion is condensed to the liquid state.

"Utility" shall mean any person, firm, association, partnership, company, corporation, their lessees, trustees, or receivers appointed by any court, who come within the jurisdiction of the Public Service Board and own, operate or manage any plant or equipment, or any part of same, for the manufacture and/or furnishing of gas for domestic, commercial and industrial users within this State.

Section 2 MODIFICATIONS OR REVISIONS

Upon its own motion, or upon application, and for good cause shown, the Board may modify, suspend, or repeal the provisions of any Rule herein. Application may be made to the Board for the modification of any Rule or for temporary or permanent exemption from its provisions, provided however, that no utility shall submit such application for modification or exemption unless submitted therewith is a full and complete justification for the proposed change.

Section 3 FILING OF TARIFFS

No utility shall render service to any customer until a complete tariff containing rules, regulations, terms and conditions, and rate schedules, shall be published and filed with the Board in accordance with the Rules governing the filing of tariffs as prescribed by the Board.

Section 4 APPLICATION FOR SERVICE

An applicant desiring service under the utility's filed tariff may be required to make application for such service in writing, in accordance with the forms prescribed by the utility.

Whenever an applicant desires service of a character for which there is no rate of general application on file, a contract shall be executed between the applicant and the utility, and it shall become effective only after prior approval by the Board.

Section 5 INFORMATION TO CUSTOMERS

Each utility shall, upon request, give to its customers such information and assistance as is reasonable, in order that the customers may secure safe and efficient service at the most advantageous rate.

Each utility shall, upon request, explain to any customer the method of reading his meter and the calculation of his bill.

Section 6 DEPOSIT REQUIREMENTS

A utility, to protect against loss, may require a satisfactory deposit before rendering service to any customer. This deposit shall be not less than five dollars ($ 5.00) nor more than the estimated bill to cover a period of sixty (60) days of normal billing.

Section 7 MEASUREMENT OF SERVICE

All gas sold by a utility shall be charged for on a metered basis except when otherwise authorized by the Board.

Section 8 METER READING AND BILL FORMS

Each service meter of the displacement type shall indicate clearly the quantity of gas registered. When gas is measured under high pressure or when the quantity is determined by calculation from recording devices, the utility shall, upon request, supply to the customer all information needed to make clear to the customer the method used to determine the quantity of gas registered. All meter constants shall be plainly marked on the meter.

All service meters shall be read insofar as practical at regular intervals.

Bills shall be rendered at regular intervals and shall show the meter readings at the start and the end of the period for which the bill is rendered, the amount of gas registered, the date and the amount of the bill.

All bill forms for Domestic and General Service customers shall have thereon a notice to the effect that all rates are on file at the office of the utility and also with the Public Service Board.

Each utility having prepayment meters in service shall, upon request, at the end of each collection period inform the customer of the meter readings at the start and at the end of the period, and the amount of money taken from the meter for the period corresponding to the readings.

Each utility shall keep an accurate account of all charges for service billed to each customer and shall maintain records showing information from which each bill rendered may be readily computed.

Section 9 COMPLAINTS BY CUSTOMERS

Each utility shall make a prompt investigation of complaints received from customers including unsatisfactory pressure conditions, leaks and any other unsatisfactory or hazardous conditions. A record shall be kept including the name of the complainant, the date and character of the complaint, and the action required. This record shall not include data on service calls. The records of complaints shall be kept on file at least two (2) years and shall not be destroyed until a summary has been made for permanent record indicating the character of complaints made and the number of each type received each month.

Section 10 CHANGE IN CHARACTER OF SERVICE

In the event that any substantial change is contemplated by any utility in the composition of the gas, the pressure, or other service conditions that would necessitate adjustment of gas appliances, the appliances of all customers in the affected area shall be readjusted for the new conditions with a minimum of delay by the utility and without charge to the customers. In the event of any such proposed change the Board shall be notified before the change is made.

Section 11 DISCONTINUANCE OF SERVICE

A. By Customer

A customer may be required to give reasonable notice of his intention to discontinue service in accordance with tariff provisions and shall be responsible for all charges for service until the expiration of such notice period.

B. By Utility

(1) For Non-payment of Bills

A utility may require, in accordance with tariff provisions, that bills be paid within a specified time after presentation. Service may be disconnected for non-payment of bill following the expiration of the grace period provided the customer has been given written notice at least five (5) days prior to disconnection of service. If the service is disconnected for non-payment of bill the utility may make a reasonable charge to reconnect the service, the amount of such charge to be specified in the terms of the filed tariff.

(2) For Violation of Rules

No utility shall discontinue service to a customer for violation of any rule without written notice to the customer at least five (5) days prior to the disconnection of service except that service may be terminated immediately and without such notice when the violation of the rules is such as to cause a hazard to life and/or property. Such notice to a customer concerning proposed discontinuation of service for violation of any rule shall specify to the customer the character of the violation.

(3) For Fraudulent Use of Service

Any utility may discontinue service without notice to the customer whenever a fraudulent use of the service by the customer is detected.

Section 12 HEATING VALUE REOUIREMENTS

Every gas utility shall file with the Board, along with the rate schedule, the standard of heating value of the gas furnished to the public. This heating value shall be expressed in British thermal units (BTU) per cubic foot and the monthly average heating value shall equal or exceed the heating value filed with the Board. At no time shall the heating value of the gas deviate by more than plus or minus five percent (+/-5%) from the heating value filed with the Board.

Section 13 CALORIMETER EQUIPMENT

Each utility, unless specifically directed otherwise by the Board, shall maintain a standard calorimeter outfit or a Thermeter for the regular determination of the heating value of the gas sold.

The accuracy of all calorimeters and Thermeters as well as the method of making heating value tests shall be subject to the determination and approval of the Board.

Every recording Thermeter or calorimeter used to determine the heat content of gas or to control the gas mixing equipment shall be tested for accuracy by a qualified person or service agency and a copy of the report of each such test shall be sent to the Board. Each recording Thermeter or calorimeter shall be tested for accuracy at least three (3) times annually at approximately four (4) month intervals or more frequently if necessary to maintain accuracy.

Section 14 HEATING VALUE TESTS

The heating value of the gas shall be determined periodically as directed by the Board to obtain an accurate record of the average heating value and of the fluctuation in heating value.

The average monthly heating value of the gas shall be determined by taking the average of the daily heating value readings for the month. If a utility's calorimeter or thermeter is of the recording type this record shall be used in calculating the average monthly heating value.

Heating value reports shall be kept on file for the examination of a representative of the Board.

Section 15 GAS PURITY REQUIREMENTS

A. Hydrogen Sulphide

All gas distributed in this State shall be free from hydrogen sulphide. The gas shall be considered as hydrogen sulphide free if a strip of white filter paper, moistened with a solution containing five percent (5%) by weight of lead acetate, is not distinctly darker than a second strip of filter paper freshly moistened with the same solution after the first paper has been exposed to the gas for one (1) minute in an apparatus of approved form, through which the gas flows at the rate of approximately five (5) cubic feet per hour, the gas not impinging directly from a jet upon the filter paper.

B. Total Sulphur

No gas distributed in this State shall contain more than thirty (30) grains of total sulphur in each one hundred (100) cubic feet.

C. Any utility supplying manufactured gas in which hydrogen sulphide is normally a component shall make daily tests of the gas leaving its holders for the presence of hydrogen sulphide.

Section 16 GAS PRESSURE REQUIREMENTS

The pressure at the outlet of the customer's meter shall be adequate and reliable for safe and efficient operation of the customer's equipment and shall be held within standards of variation prescribed by the Board.

Every gas utility shall make such determinations and keep such records of pressures as will enable it to have a substantially accurate knowledge of the pressures existing throughout the distribution system.

Section 17 INTERRUPTIONS OF SERVICE

Each utility shall use all reasonable means to avoid interruptions to service it should such interruptions occur, service shall be restored in the shortest time possible consistent with safety.

Each utility shall keep a record of all interruptions to service affecting a major group of customers. This record shall include the date and time of the interruption, the approximate number of customers affected, the duration of the interruption, the cause, and the steps taken, if any, to prevent a recurrence.

When service must be interrupted to perform necessary work on piping or equipment such work shall be scheduled at a time that will cause a minimum of inconvenience to customers except in an emergency when there is no choice. When possible, customers who will be affected by such interruption in service shall be notified in advance.

Section 18 METER INSTALLATIONS

All gas sold by utilities shall be charged for on the basis of the quantity catered unless otherwise authorized by the Board.

Unless otherwise authorized by the Board, each utility shall provide and install at its own expense and shall continue to own, maintain and operate all equipment necessary for the regulation and measurement of gas to its customers. Where additional meters are furnished by the utility to be used for the convenience of the customer, a charge for such meters may be made in accordance with a tariff schedule filed with the Board.

Section 19 INSPECTION AND ACCURACY OF METERS

No new meter shall be placed in service unless the utility is assured that the register ratio and register constant are correct.

All meters removed from service and which are to be reinstalled shall be inspected for correctness of register ratio and register constant and any worn or damaged parts shall be replaced. This requirement shall be considered as met if a meter has been relocated after limited use and there is no evidence of damage to the meter.

Every gas service meter, whether new or repaired, shall be correct to within two percent (2%) before being installed. For the purpose of determining compliance with this rule, the registration of a displacement meter shall be determined by one test at a rate of flow of approximately one-fifth to one-fourth of the rated capacity of that meter and one test at a rate of flow of approximately the rated capacity of the meter. The tests at the two rates shall agree within one percent (1%). The accuracy of the meter at the lower rate of flow shall be considered as its accuracy in determining compliance with this rule and for the purpose of computing bill adjustments.

All tests to determine the accuracy of any gas service meter shall be made with a meter prover, unless, because of the unusual capacity or construction of the meter, such method of test shall be considered impractical and another method of test shall be approved by the Board.

All gas meters shall be tested for correct connection and proper mechanical condition in the permanent position at the time of installation or within sixty (60) days thereafter. ( Section 2813 of Title 30, Vermont Statutes Annotated.)

Section 20 METER PROVER

Each utility furnishing metered gas service shall maintain the equipment and facilities necessary for accurate testing of all types and sizes of meters employed for the measurement of gas to its customers unless arrangements approved by the Board shall have been made to have such testing done elsewhere. Each utility shall provide and maintain a meter prover of approved type and of a capacity of not less than five (5) cubic feet for the testing of the most numerous class of customers' meters. Each meter prover shall be supplied with all accessories needed for accurate meter testing and shall be located in a room suitable for the work to be done. The utility shall maintain this equipment in good condition and correct adjustment so that it can determine the accuracy of any service meter to within one half of one percent (1/2%). It is permissible for any utility to utilize the services of a meter prover in conjunction with other utilities in the interest of economy.

The accuracy of all provers and the methods of operation may be established from time to time by the Board.

Section 21 METER TEST REQUESTED BY CUSTOMER

Upon demand of any customer each gas utility shall test without charge the meter used to measure gas sold to such customer, provided the customer does not request such test more frequently than once in twelve (12) months. ( Section 2812 of Title 30, Vermont Statutes Annotated.)

When a customer demands a meter test within twelve (12) months after the date of meter installation or after the last previous test, he may be required by the utility to deposit a reasonable amount to cover the cost of the meter test. The amount so deposited with the utility shall be refunded or credited to the customer if the meter on test shows a positive average error of four percent (4%) or over, otherwise the deposit may be retained by the utility. The customer may be present when the utility tests his meter or he may select a representative to be present. A written report giving the results of such test shall be made to the customer by the utility within a reasonable time after completion of the test. ( Section 2814 of Title 30, Vermont Statutes Annotated.)

Section 22 INACCURATE METERS

Each utility shall remove from service any gas meter that has an error in measurement in excess of four percent (4%). ( Section 2815 of Title 30, Vermont Statutes Annotated.)

Section 23 ADJUSTMENT OF BILL FOR INACCURATE METER

If a meter is found to be in error and reads in excess of four percent (4%) positive error the utility shall make a refund to the customer for the excess gas billed from the date two months prior to the last meter reading.

If a meter is found to be in error and reads in excess of four percent (4%) negative average error the utility may bill the customer for the unbilled gas from the date two months prior to the last meter reading.

Section 24 METER RECORDS

Each utility shall keep numerically arranged and properly classified records giving for each meter owned and used by the utility for any purpose the identification number, date of purchase, name of the manufacturer, serial number, type, rating, and name and address of each customer on whose premises the meter has been in service, with the date of installation and removal. These records shall be kept in a manner so that the date of the last test is readily ascertainable. The above requirements shall be met in connection with all meters purchased and installed from the date of adoption of this Order and where information is available the above requirements shall be met in connection with all meters owned by the utility prior to this date.

Section 25 MAINTENANCE OF PLANT AND EQUIPMENT

Each utility shall inspect its plant, distribution system, and facilities in such manner and with such frequency as may be necessary to insure a reasonably complete knowledge as to their condition and adequacy at all times. Such record shall be kept of the conditions found as the utility shall consider necessary for the proper maintenance of its system, unless in special cases a more complete record be specified by the Board.

Each utility shall keep a daily record of the operation of its physical plant, so far as practical, in such detail as may be necessary to substantially disclose its operations.

Utilities engaged in the storage, handling, processing and distribution of liquefied petroleum gases, or mixtures thereof, shall comply with the standards prescribed in the National Fire Protection Association codes "Standard for the Storage and Handling of Liquefied Petroleum Gases" - NFPA No. 58 - 1963 and "Standard for the Storage and Handling of Liquefied Petroleum Gases at Utility Gas Plants" - NFPA No. 59 - 1963. (These are published by the National Fire Protection Association, 60 Batterymarch Street, Boston 10, Mass.)

Section 26 RECORDS

A complete record shall be kept of all tests and inspections required by these Rules.

All records of tests shall contain complete information concerning the test, including the date and place where the test was made, the name of the person making the test, and the test results.

Each utility shall keep a customer's ledger or other record, which shall contain an accurate account of all revenues derived from each customer. In addition it shall contain the dates of the period for which each bill is rendered, the meter readings on those dates, reference to the applicable rate schedule, and any additional data necessary in computing the bill.

All records required by these Rules shall be preserved by the utility for such period as the Board may designate. Such records shall be kept within the State at the local office or a central office of the utility and shall be available at reasonable hours for examination by the Board or its representatives.

Section 27 ACCIDENTS AND EMERGENCIES

Each utility shall, as soon as possible, report to the Board any accident occurring in connection with the operation of its property, facilities or service, wherein any person shall suffer injury or death or whereby any damage shall have been caused to property. The first report shall be supplemented by as full a statement as possible of the cause and details of the accident and the precautions, if any, which have been taken to prevent similar accidents. Accidents shall be reported to the Board in the manner prescribed in Section 207 of Title 30, Vermont Statutes Annotated.

Every utility operating a gas pipeline or a gas distribution system in the State of Vermont shall file with the Board and with all villages, towns or cities wherein such facilities are located, the names, addresses and telephone numbers of responsible officials of such utility who may be contacted in an emergency. In the event that any changes are made in the names, addresses or telephone numbers of such persons to be contacted in an emergency prompt notification shall be given to the Board and village, town or city authorities.

Dated at Montpelier, County of Washington, State of Vermont, this .... day of March, A. D. 1965.

| .....) | | | --- | --- | | ) | PUBLIC | | ) | SERVICE | | .....) | BOARD | | OF | | | ) | VERMONT | | .....) | |

OFFICE OF CLERK

Filed: March 31, 1965

Attest: CLERK

History

• Effective Date: March 30, 1965

Chapter 029 GENERAL ORDER NO. 29 WATER UTILITY REGULATIONS

30-029 Code Vt. R. 30-000-029-X GENERAL ORDER NO. 29 WATER UTILITY REGULATIONS

Introduction.

There are three agencies of Vermont State Government involved with water systems in Vermont. Each agency has a set of rules and regulations governing water systems, and any person, corporation or association planning to build, modify, finance, or operate a water utility in Vermont must be familiar with each agency's regulations.

The Vermont State Health Department has water quality responsibilities for all public water supply systems serving 10 users or more, pursuant to Title 18 V.S.A. 1203. Its regulations cover bacteriological, chemical, physical and radiological quality. Health Department regulations also cover test and operation, registration and certification of water plant operators. A copy of these regulations is available from the Department of Health, 115 Colchester Avenue, Burlington, Vermont. A permit to operate a water system must be obtained from the Department of Health prior to operation.

The Department of Water Resources of the Agency of Environmental Conservation is the responsible agency concerned with the quality of all waters of the State, including water systems not under the jurisdiction of the Public Utility Commission or the Department of Health, pursuant to Title 3 V.S.A. 2801, 2873. Its regulations include all lakes, rivers and streams and municipal water systems. A copy of the Water Conservation Policy of the Department of Water Resources can be obtained from the Department of Water Resources.

The Department of Public Service has jurisdiction over private water utilities serving one or more customers, pursuant to Title 30 V.S.A. 203(3). This Order pertains to water utilities serving 10 users or more. A Certificate of Public Good must be obtained from the Public Utility Commission before a private water system can be operated. This Order supersedes Public Utility Commission General Order No. 29 dated September 30, 1947.

Part I GENERAL PROVISIONS

Section 1 Application of Regulations

These rules are established to promote continuous, safe and adequate service to the public, to provide standards for uniform and reasonable practices and to establish a basis for determining the responsibility of both the public and the utility. These Water System Regulations shall in no way relieve the utility from the general laws governing utility regulation in Vermont.

Section 2 Suspension of Regulations

Upon its own motion, or upon application, and for good cause, the Public Utility Commission may modify, suspend or repeal the provisions of any regulation herein, pursuant to the Vermont Administrative Procedures Act ( 3 V.S.A. 801 et. seq.) and the General Orders of this Commission.

Section 3 Definitions

For the purpose of this General Order:

(a) The word "Commission" shall mean the Public Utility Commission.

(b) The words "public utility", "water utility" or "utility" shall mean any person, partnership or corporation engaged in the collecting, sale and distribution of water for domestic, industrial or fire protection purposes. Municipal water systems are the responsibility of the Department of Health and the Department of Water Resources and not subject to these regulations. Vermont water utilities serving 10 customers or more are classified as Class D water utilities according to standards adopted by the National Association of Regulatory Utility Commissioners (NARUC).

(c) The word "customer" shall mean any person, partnership, association, corporation or agency of the Federal, State or local government being supplied with water by a water utility for domestic, industrial, business or fire protection purposes.

(d) The term "water service" shall mean the furnishing of water to a customer by a utility.

(e) The word "meter" shall mean any device used for the purpose of measuring the quantity of water delivered by a utility to a customer.

(f) The word "main" shall mean a water pipe owned or maintained by a utility which is used for the purpose of transmission or distribution of water, not including the service pipe.

(g) The words "service pipe" shall mean the connection between the main and the customer's property and shall include all the pipe fittings and valves to make the connection.

(h) The words "curb stop" shall mean the connection between the main and the customer's service pipe.

(i) The words "service connection" shall mean the point of connection of the customer's property with the service pipe.

(j) The words "water plant" shall mean any facilities owned by a water utility for the pumping, purification, storage, transmission and distribution of water.

Section 4 Location of Records

All records required by these regulations or necessary for the administration thereof shall be kept within the State of Vermont unless otherwise authorized by the Commission. Said records shall be available for examination by the Commission or its authorized representatives during all reasonable business hours.

Section 5 Uniform System of Accounts

All Class D water utilities defined in Vermont as private utilities serving 10 customers or more shall keep a uniform system of accounts as specified by the National Association of Regulatory Utility Commissioners and adopted by the Commission.

Section 6 Filing with the Commission

Tariffs, rules and regulations, other than what is documented in the Annual Report, created by Class D water utilities pertaining to service policy shall be filed with the Commission in accordance with this General Order and shall include:

(a) Minimum annual connection charge (if any) by type of customer: residential, commercial, etc.

(b) Water rates for both metered (charge per cubic foot or charge per gallon) and flat rate by type of customer: residential, commercial, etc.

(c) Terms of payment.

(d) New connection charge by type of customer.

(e) Date filed and date effective.

(f) Deposit required (if any).

(g) Other terms and conditions set by the Company.

The Commission may require any utility to file other information or reports as required to aid in the performance of its duties. Existing water utilities proposing changes in tariffs, rules or regulations shall petition the Commission for approval of changes prior to them becoming effective, pursuant to 30 V.S.A. 225.

Section 7 Annual Report Filing

All water utilities of 10 customers or more shall file an annual report with the Commission on or before April 15 of each year in the form developed and used previously by the Commission for Class D water utilities as noted in Section 26. Copies of the annual report form are available from the Commission.

Section 8 New Water Utilities

Prior to the issuance of a Certificate of Public Good by the Commission to a new or planned utility of 10 customers or more, the following information must be provided to the Commission:

(a) Proposed tariffs, rules and regulations pertaining to service as outlined in Section 6.

(b) Five year plan for the financing, management and operation of the utility including bylaws of proposed utility.

(c) Description of planned method of recovering original water utility development cost including the approximate per lot or per unit cost of water systems.

(d) Details of water rate structure including expected annual operating expenses.

(e) Completed pro forma annual report in the form for Class D water utilities noted in Section 26.

(f) Utility diagram described in Section 10.

After reviewing the preceding information, the Commission may require a bond, not to exceed 100% of the value of the proposed water system, from the water utility. The terms and conditions of the bond shall be proposed by the applicant and approved by the Commission.

Section 9 Health Department Regulation Compliance

Prior to the issuance of a Certificate of Public Good to new utilities, written proof of compliance with Vermont Health Department regulations must be received by the Commission.

Section 10 Utility System Diagram

All Class D utilities of 10 customers or more shall no later than September 1, 1973, provide the Commission with a clear and legible diagram of the utility's operating area. Said diagram shall contain the following:

(a) Location of well or pumping station or other sources of supply.

(b) Storage facilities.

(c) Mains by size.

(d) Locations of valves and fire hydrants.

(e) Service area.

(f) Any other information required by the Commission.

This diagram shall be updated annually and included with the Annual Report.

Part II CUSTOMER RELATIONS

Section 11 Application for Service

An applicant desiring service from any utility may be required to make application in writing. The utility must serve the applicant unless the applicant is in violation of Commission regulations.

Section 12 Service Provisions

A water utility is not allowed to add customers if the average pressure would decrease below 20 p.s.i. to either existing customers or new customers. The utility has an obligation to improve the water system to bring it up to the 20 p.s.i. acceptable pressure level. In systems of varying elevations, a utility may, with approval by the Public Utility Commission, undertake service which does not comply with the foregoing regulations if the customer is fully advised of the conditions under which average service may be expected and the customer's agreement secured in writing.

Section 13 Service Extensions

Extension of service for utilities shall be made upon petition to the utility by prospective customers subject to the following terms and conditions:

(a) Service mains will be laid by and will be the property of the utility. When two or more new customers or a development requests water service, the cost of extending the main to serve these new customers shall be paid by the new customers.

(b) The service pipe which extends from the service main to the customer's property shall be provided and maintained by the customer. The cost of the service pipe shall be paid by the customer including any necessary road crossings. The size and specifications of the customer's service pipe shall be determined by the utility in accordance with conditions surrounding the extension and good engineering practice.

(c) All costs incurred to the water utility as a result of serving a new customer shall be paid by the new customer as a surcharge on his normal water bill over a five year period. When service is requested by three or more new customers in a new development or condominium, the cost of extending and expanding the existing water utility to serve these new customers may be recovered by the utility upon completion of the extension, or by agreement between the utility and the new customers. These costs shall include necessary increased storage capacity, pumping capacity, metering, and additions to the distribution system (water mains) necessary to serve the new customer(s) and to maintain a system-wide 24 hour pressure of 20 p.s.i. A utility may petition the Commission to treat as a new customer any existing customer with increased water consumption of more than 20% in any one year where such increased consumption will continue. Costs of improvements to the system may be billed as a service extension surcharge. All existing customers served by the utility at the time this Order becomes effective shall be entitled to water at their average consumption rate without a surcharge except under the 20% increase provision noted above.

(d) The customer shall not permit access to anyone, except authorized employees of the company, to the meter and equipment of the company or interfere with the same.

Section 14 Complaints

Upon customer complaint as to quantity and cost of service to the utility in person, by letter, or by telephone, the utility shall promptly make an investigation thereof and report the results to the complainant. If the matter needs further investigation, it may be brought before the Commission. The utility shall keep a written record of all complaints and shall annually file with the Commission a report summarizing such records as to type of complaint and action taken.

Section 15 Inspection

The management will have the right at reasonable times, but only upon reasonable advance notice, to enter the premises of the customer for the purpose of inspecting the company's property or reading meters.

Section 16 Waste of Water

The customer shall maintain the service pipe and all piping and fixtures on his premises so that leakage of water is kept to a minimum.

Section 17 Refusal to Serve

The utility may, after written notice to applicant, refuse to serve an applicant under the following conditions:

(a) Failure of applicant to comply with the rules of the utility filed with the Commission.

(b) If the intended use is of such a nature that it will be detrimental, injurious, or materially downgrade the service of existing customers. Refusals to serve based upon this subsection shall be reported to the Commission within seven days after refusal to serve.

(c) If, in the judgment of the utility, the service may be hazardous or unsafe.

Disconnection may result because of:

(a) Unauthorized use of water.

(b) Customer tampering with equipment furnished and owned by the utility.

(c) Violation of and/or non-compliance with this General Order or other applicable orders of the Commission.

(d) Failure of the customer to permit the utility reasonable access to its equipment or to his premises for purposes of inspection.

Section 18 Interruption of Service

All utilities shall use all reasonable means to avoid interruption of service, but should such interruptions occur, service shall be reestablished within the shortest time practicable at minimum inconvenience to customers, consistent with safety. Whenever a utility finds it necessary to interrupt service for one hour or more to its customers, it shall notify all customers who will be affected at least 48 hours prior to the scheduled interruption. Where public fire protection is provided by the mains affected by the interruptions, the utility shall promptly notify, prior to interruption, the Fire Chief or other officials responsible for fire protection. Reports of interruptions of one hour or more shall be maintained by the utility for inspection by the Commission. The Commission shall be notified if the interruption is of sufficient duration to cause serious conditions in homes, farms or industry. This section supersedes the entire Public Utility Commission General Order No. 37, dated December 1, 1959, concerning interruptions of service.

Section 19 Water Rates

Water shall be sold on a metered basis by all new utilities of 10 customers or more. Charges shall be on a cubic foot or gallon basis and recorded annually by type of customer: residential; commercial; seasonal; etc. Existing utilities shall meter all new customers and create a metered service rate. Flat rate service is allowed existing utilities and customers only.

Rates charged will be designed to discourage waste, provide for improvements, and allow an adequate revenue level to meet expenses and a reasonable rate of return. Rates shall be designed to reflect recovery of costs associated with each class of user.

Part III ENGINEERING

Section 20 General Provisions

The design and construction of a new utility's water plant shall conform to good standard engineering practices including the minimum standards of the American Water Works Association Code in effect at time of construction. The utility will also conform to the Rules and Regulations of the Plumber's Engineering Board and will comply with such specific additional design and construction regulations as the Commission may prescribe. The water system shall be designed to provide reasonable service for a period of 20 years or more. The system shall conform to the regulations of the State Department of Health unless exempted in writing by the Department of Health. New utilities shall forward their plans to the Public Utility Commission and to the Department of Health for examination. In the absence of disapproval within 30 days of receipt of the plans, such plans shall be deemed approved by the Commission.

Section 21 Minimum Standards of Construction

(a) Mains shall be installed below ground level or otherwise protected from freezing.

(b) Insofar as practicable, the utility shall design its distribution system so as to avoid deadends on its mains. Where deadends are unavoidable the utility shall provide hydrants or valves for the purpose of flushing as often as necessary to provide the proper quality of water.

(c) Wherever feasible, all systems shall be laid out in a segmented grid so that in case of trouble, interruptions in service will be kept to a minimum.

(d) All new utilities will provide each customer with an individual shut-off. Tandem services where they now exist will be eliminated when possible.

(e) All service pipes shall not be less than 3/4 inch nominal size except under unusual circumstances, which shall be clearly defined, and will be laid at such a depth below ground level or otherwise protected from freezing.

Section 22 Fire Protection

New utilities shall provide for proper fire protection unless exempted by the Commission. Town or city fire departments shall be given an opportunity to be heard before a Certificate of Public Good will be issued by the Commission.

Section 23 Pressure Surveys

Periodic pressure checks shall be made. Public Utility Commission pressure testing equipment is available for use by utilities upon request. Such tests shall be made by utilities of 10 customers or more at least ever two years to insure an average daily pressure of 20 p.s.i. Reports of these tests shall be on record with the company and shall be available for inspection by the Commission.

Section 24 Meters and Testing

The customer shall furnish free of cost at its facilities the necessary frost free space, foundations, supports and housings required to protect the company's property used to serve the customer. Meters shall be installed, at the utilities' expense, by the utility. The meters shall meet the following specifications:

(a) Be in good mechanical condition.

(b) Be inspected for correctness of register ratio and register constant before being installed on a customer's premises.

(c) Be tested for accuracy at least every five years.

(d) Be sealed upon installation to prevent tampering.

(e) Be tested at least once annually at no charge if such request is made by the customer.

(f) Each utility having metered service will keep properly classified records giving for each meter: the serial number; make; date of purchase; the name and address of each customer on whose premises the meter has been installed; and the date it was last tested.

(g) In the case of a meter failing materially to record properly the quantity of water used in any period, the parties shall estimate the quantity of water used by the customer during the period in which the meter shall have been non-operative or shown to be incorrect.

Section 25 Analysis of Water

Each utility of 10 or more customers shall maintain a record of chemical analysis of its water as required by the Vermont Department of Health. Samples shall be furnished to the Health Department as required.

Part IV APPENDIX

Section 26 Annual Report Form

The annual report form is for Class D water utilities defined by the Commission as utilities serving ten customers or more. The form is available from the Commission.

History

• EFFECTIVE DATE:
• November 16, 1973
• AMENDED:
• December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 030]
• STATUTORY AUTHORITY: 30 V.S.A. Ch. 5, § 203

Chapter 030 WATER UTILITY REGULATIONS GENERAL ORDER NO. 29

30-030 Code Vt. R. 30-000-030-X WATER UTILITY REGULATIONS GENERAL ORDER NO. 29

INTRODUCTION

There are three agencies of Vermont State Government involved with water systems in Vermont. Each agency has a set of rules and regulations governing water systems, and any person, corporation or association planning to build, modify, finance, or operate a water utility in Vermont must be familiar with each agency's regulations.

The Vermont State Health Department has water quality responsibilities for all public water supply systems serving 10 users or more, pursuant to Title 18 V.S.A. 1203. Its regulations cover bacteriological, chemical, physical and radiological quality. Health Department regulations also cover test and operation, registration and certification of water plant operators. A copy of these regulations is available from the Department of Health, 115 Colchester Avenue, Burlington, Vermont. A permit to operate a water system must be obtained from the Department of Health prior to operation.

The Department of Water Resources of the Agency of Environmental Conservation is the responsible agency concerned with the quality of all waters of the State, including water systems not under the jurisdiction of the Public Service Board or the Department of Health, pursuant to Title 3 V.S.A. 2801, 2873. Its regulations include all lakes, rivers and streams and municipal water systems. A copy of the Water Conservation Policy of the Department of Water Resources can be obtained from the Department of Water Resources.

The Department of Public Service has jurisdiction over private water utilities serving one or more customers, pursuant to Title 30 V.S.A. 203(3). This Order pertains to water utilities serving 10 users or more. A Certificate of Public Good must be obtained from the Public Service Board before a private water system can be operated. This Order supersedes Public Service Board General Order No. 29 dated September 30, 1947.

Section 1 Application of Regulations

These rules are established to promote continuous, safe and adequate service to the public, to provide standards for uniform and reasonable practices and to establish a basis for determining the responsibility of both the public and the utility. These Water System Regulations shall in no way relieve the utility from the general laws governing utility regulation in Vermont.

Section 2 Suspension of Regulations

Upon its own motion, or upon application, and for good cause, the Public Service Board may modify, suspend or repeal the provisions of any regulation herein, pursuant to the Vermont Administrative Procedures Act ( 3 V.S.A. 801 et. seq.) and the General Orders of this Board.

Section 3 Definitions

For the purpose of this General Order:

(a) The word "Board" shall mean the Public Service Board.

(b) The words "public utility", "water utility" or "utility" shall mean any person, partnership or corporation engaged in the collecting, sale and distribution of water for domestic, industrial or fire protection purposes. Municipal water systems are the responsibility of the Department of Health and the Department of Water Resources and not subject to these regulations. Vermont water utilities serving 10 customers or more are classified as Class D water utilities according to standards adopted by the National Association of Regulatory Utility Commissioners (NARUC).

(c) The word "customer" shall mean any person, partnership, association, corporation or agency of the Federal, State or local government being supplied with water by a water utility for domestic, industrial, business or fire protection purposes.

(d) The term "water service" shall mean the furnishing of water to customer by a utility.

(e) The word "meter" shall mean any device used for the purpose of measuring the quantity of water delivered by a utility to a customer.

(f) The word "main" shall mean a water pipe owned or maintained by a utility which is used for the purpose of transmission or distribution of water, not including the service pipe.

(g) The words "service pipe" shall mean the connection between the main and the customer's property and shall include all the pipe fittings and valves to make the connection.

(h) The words "curb stop" shall mean the connection between the main and the customer's service pipe.

(i) The words "service connection" shall mean the point of connection of the customer's property with the service pipe.

(j) The words "water plant" shall mean any facilities owned by a water utility for the pumping, purification, storage, transmission and distribution of water.

Section 4 Location of Records

All records required by these regulations or necessary for the administration thereof shall be kept within the State of Vermont unless otherwise authorized by the Board. Said records shall be available for examination by the Board or its authorized representatives during all reasonable business hours.

Section 5 Uniform System of Accounts

All Class D water utilities defined in Vermont as private utilities serving 10 customers or more shall keep a uniform system of accounts as specified by the National Association of Regulatory Utility Commissioners and adopted by the Board.

Section 6 Filing with the Board

Tariffs, rules and regulations, other than what is documented in the Annual Report, created by Class D water utilities pertaining to service policy shall be filed with the Board in accordance with this General Order and shall include:

(a) Minimum annual connection charge (if any) by type of customer: residential, commercial, etc.

(b) Water rates for both metered (charge per cubic foot or charge per gallon) and flat rate by type of customer: residential, commercial, etc.

(c) Terms of payment.

(d) New connection charge by type of customer.

(e) Date filed and date effective.

(f) Deposit required (if any).

(g) Other terms and conditions set by the Company.

The Board may require any utility to file other information or reports as required to aid in the performance of its duties. Existing water utilities proposing changes in tariffs, rules or regulations shall petition the Board for approval of changes prior to them becoming effective, pursuant to 30 V.S.A. 225.

Section 7 Annual Report Filing

All water utilities of 10 customers or more shall file an annual report with the Board on or before April 15 of each year in the form developed and used previously by the Board for Class D water utilities as noted in Section 26. Copies of the annual report form are available from the Board.

Section 8 New Water Utilities

Prior to the issuance of a Certificate of Public Good by the Board to a new or planned utility of 10 customers or more, the following information must be provided to the Board:

(a) Proposed tariffs, rules and regulations pertaining to service as outlined in Section 6.

(b) Five year plan for the financing, management and operation of the utility including by-laws of proposed utility.

(c) Description of planned method of recovering original water utility development costs including the approximate per lot or per unit cost of water system.

(d) Details of water rate structure including expected annual operating expenses.

(e) Completed pro forma annual report in the form for Class D water utilities noted in Section 26.

(f) Utility diagram described in Section 10.

After reviewing the preceding information, the Board may require a bond, not to exceed 100% of the value of the proposed water system, from the water utility. The terms and conditions of the bond shall be proposed by the applicant and approved by the Board.

Section 9 Health Department Regulation Compliance

Prior to the issuance of a Certificate of Public Good to new utilities, written proof of compliance with Vermont Health Department regulations must be received by the Board.

Section 10 Utility System Diagram

All Class D utilities of 10 customers or more shall no later than September 1, 1973, provide the Board with a clear and legible diagram of the utility's operating area. Said diagram shall contain the following:

(a) Location of well or pumping station or other sources of supply.

(b) Storage facilities.

(c) Mains by size.

(d) Locations of valves and fire hydrants.

(e) Service area.

(f) Any other information required by the Board.

This diagram shall be updated annually and included with the Annual Report.

PART II : CUSTOMER RELATIONS

Custoemr deosits are cover by Public Service Board General Order No. 45.

Section 11 Application for Service

An applicant desiring service from any utility may be required to make application in writing. The utility must serve the applicant unless the applicant is in violation of Board regulations.

Section 12 Service Provisions

A water utility is not allowed to add customers if the average pressure would decrease below 20 p.s.i. to either existing customers or new customers. The utility has an obligation to improve the water system to bring it up to the 20 p.s.i. acceptable pressure level. In systems of varying elevations, a utility may, with approval by the Public Service Board, undertake service which does not comply with the foregoing regulations if the customer is fully advised of the conditions under which average service may be expected and the customer's agreement secured in writing

Section 13 Service Extensions

Extension of service for utilities shall be made upon petition to the utility by prospective customers subject to the following terms and conditions:

(a) Service mains will be laid by and will be the property of the utility. When two or more new customers or a development requests water service, the cost of extending the main to serve these new customers shall be paid by the new customers.

(b) The service pipe which extends from the service main to the customer's property shall be provided and maintained by the customer. The cost of the service pipe shall be paid by the customer including any necessary road crossings. The size and specifications of the customer's service pipe shall be determined by the utility in accordance with conditions surrounding the extension and good engineering practice.

(c) All costs incurred to the water utility as a result of serving a new customer shall be paid by the new customer as a surcharge on his normal water bill over a five year period. When service is requested by three or more new customers in a new development or condominium, the cost of extending and expanding the existing water utility to serve these new customers may be recovered by the utility upon completion of the extension, or by agreement between the utility and the new customers. These costs shall include necessary increased storage capacity, pumping capacity, metering, and additions to the distribution system (water mains) necessary to serve the new customer(s) and to maintain a system-wide 24 hour pressure of 20 p.s.i.

A utility may petition the Board to treat as a new customer any existing customer with increased water consumption of more than 20% in any one year where such increased consumption will continue. Costs of improvements to the system may be billed as a service extension surcharge. All existing customers served by the utility at the time this Order becomes effective shall be entitled to water at their average consumption rate without a surcharge except under the 20% increase provision noted above.

(d) The customer shall not permit access to anyone, except authorized employees of the company, to the meter and equipment of the company or interfere with the same.

Section 14 Complaints

Upon customer complaint as to quantity and cost of service to the utility in person, by letter, or by telephone, the utility shall promptly make an investigation thereof and report the results to the complainant. If the matter needs further investigation, it may be brought before the Board. The utility shall keep a written record of all complaints and shall annually file with the Board a report summarizing such records as to type of complaint and action taken.

Section 15 Inspection

The management will have the right at reasonable times, but only upon reasonable advance notice, to enter the premises of the customer for the purpose of inspecting the company's property or reading meters.

Section 16 Waste of Water

The customer shall maintain the service pipe and all piping and fixtures on his premises so that leakage of water is kept to a minimum.

Section 17 Refusal to Serve

The utility may, after written notice to applicant, refuse to serve an applicant under the following conditions:

(a) Failure of applicant to comply with the rules of the utility filed with the Board.

(b) If the intended use is of such a nature that it will be detrimental, injurious, or materially downgrade the service of existing customers. Refusals to served based upon this subsection shall be reported to the Board within seven days after refusal to serve.

(c) If, in the judgment of the utility, the service may be hazardous or unsafe.

Disconnection may result because of:

(a) Unauthorized use of water.

(b) Customer tampering with equipment furnished and owned by the utility.

(c) Violation of and/or non-compliance with this General Order or other applicable orders of the Board.

(d) Failure of the customer to permit the utility reasonable access to its equipment or to his premises for purposes of inspection.

Section 18 Interruption of Service

All utilities shall use all reasonable means to avoid interruption of service, but should such interruptions occur, service shall be reestablished within the shortest time practicable at minimum inconvenience to customers, consistent with safety. Whenever a utility finds it necessary to interrupt service for one hour or more to its customers, it shall notify all customers who will be affected at least 48 hours prior to the scheduled interruption. Where public fire protection is provided by the mains affected by the interruptions, the utility shall promptly notify, prior to interruption, the Fire Chief or other officials responsible for fire protection. Reports of interruptions of one hour or more shall be maintained by the utility for inspection by the Board. The Board shall be notified if the interruption is of sufficient duration to cause serious conditions in homes, farms or industry. This section supersedes the entire Public Service Board General Order No. 37, dated December 1, 1959, concerning interruptions of service.

Section 19 Water Rates

Water shall be sold on a metered basis by all new utilities of 10 customers or more. Charges shall be on a cubic foot or gallon basis and recorded annually by type of customer: residential; commercial; seasonal; etc. Existing utilities shall meter all new customers and create a metered service rate. Flat rate service is allowed existing utilities and customers only.

Rates charged will be designed to discourage waste, provide for improvements, and allow an adequate revenue level to meet expenses and a reasonable rate of return. Rates shall be designed to reflect recovery of costs associated with each class of user.

PART III : ENGINEERING

Section 20 General Provisions

The design and construction of a new utility's water plant shall conform to good standard engineering practices including the minimum standards of the American Water Works Association Code, in effect at time of construction. The utility will also conform to the Rules and Regulations of the Plumber's Engineering Board and will comply with such specific additional design and construction regulations as the Board may prescribe. The water system shall be designed to provide reasonable service for a period of 20 years or more. The system shall conform to the regulations of the State Department of Health unless exempted in writing by the Department of Health. New utilities shall forward their plans to the Public Service Board and to the Department of Health for examination. In the absence of disapproval within 30 days of receipt of the plans, such plans shall be deemed approved by the Board.

Section 21 Minimum Standards of Construction

(a) Mains shall be installed below ground level or otherwise protected from freezing.

(b) Insofar as practicable, the utility shall design its distribution system so as to avoid deadends on its mains. Where deadends [dead ends] are unavoidable the utility shall provide hydrants or valves for the purpose of flushing as often as necessary to provide the proper quality of water.

(c) Wherever feasible, all systems shall be laid out in a segmented grid so that in case of trouble, interruptions in service will be kept to a minimum.

(d) All new utilities will provide each customer with an individual shut-off. Tandem services where they now exist will be eliminated when possible.

(e) All service pipes shall not be less than 3/4 inch nominal size except under unusual circumstances, which shall be clearly defined, and will be laid at such a depth below ground level or otherwise protected from freezing.

Section 22 Fire Protection

New utilities shall provide for proper fire protection unless exempted by the Board. Town or city fire departments shall be given an opportunity to be heard before a Certificate of Public Good will be issued by the Board.

Section 23 Pressure Surveys

Periodic pressure checks shall be made. Public Service Board pressure testing equipment is available for use by utilities upon request. Such tests shall be made by utilities of 10 customers or more at least every two years to insure an average daily pressure of 20 p.s.i. Reports of these tests shall be on record with the company and shall be available for inspection by the Board.

Section 24

Meters and Testingzz - The customer shall furnish free of cost at its facilities the necessary frost free space, foundations, supports and housings required to protect the company's property used to serve the customer. Meters shall be installed, at the utilities' expense, by the utility. The meters shall meet the following specifications:

(a) Be in good mechanical condition.

(b) Be inspected for correctness of register ratio and register constant before being installed on a customer's premises.

(c) Be tested for accuracy at least every five years.

(d) Be sealed upon installation to prevent tampering.

(e) Be tested at least once annually at no charge if such request is made by the customer.

(f) Each utility having metered service will keep properly classified records giving for each meter: the serial number; make; date of purchase; the name and address of each customer on whose premises the meter has been installed; and the date it was last tested.

(g) In the case of a meter failing materially to record properly the quantity of water used in any period, the parties shall estimate the quantity of water used by the customer during the period in which the meter shall have been non-operative or shown to be incorrect.

Section 25 Analysis of Water

Each utility of 10 or more customers shall maintain a record of chemical analysis of its water as required by the Vermont Department of Health. Samples shall be furnished to the Health Department as required.

PART IV : APPENDIX

Section 26 Annual Report Form

The annual report form is for Class D water utilities defined by the Board as utilities serving ten customers or more. The form is available from the Board.

History

• Effective Date: November 16, 1973
• Statutory Authority: 30 V.S.A. C. 5 § 203

Chapter 040 EMERGENCY PETROLEUM SETASIDE

30-040 Code Vt. R. 30-000-040-X EMERGENCY PETROLEUM SETASIDE

Preamble

Adequate supplies of fuel are essential to the health, welfare and safety of the people of Vermont; any severe disruption in fuel supplied for use within the state would cause grave hardship and pose a threat to the health and economic wellbeing [well-being] of the people of the state; such interruptions should be responded to by reliance to the greatest extent practicable on the free market system; and that temporary and concurrent state authority for a fuel setaside program should be in place as the federal government terminates, suspends or fails to implement all or part of the federal program.

In response to the needs enumerated above, the 1981 adjourned session of the Vermont General Assembly passed Public Act 162 which was signed into law by Governor Richard A. Snelling on April 15, 1982.

Section 1.1 PURPOSE

The Vermont Emergency Petroleum Set-Aside Act requires the VSEO to establish and maintain a standby petroleum set-aside program for use during an energy emergency; specifying the maximum set-aside percentage level for each type of fuel; specifying the activities for which set-aside fuel can be made available; authorizing the VSEO to collect certain information from prime suppliers during an energy emergency; requiring suppliers to provide set-aside product to applicants as authorized by the VSEO; providing for procedures for appealing actions of the VSEO related to the set-aside program during an energy emergency; authorizing the VSEO to require prime suppliers to release set-aside product into an area which has been designated by the Governor as suffering from an intrastate supply imbalance; requiring any state set-aside program to be consistent with a federal set-aside program if one is in effect; providing for certain penalties; providing that these regulations terminate on July 1, 1984; and relating generally to the establishment of a standby emergency petroleum set-aside.

Section 1.2 DEFINITIONS

Definitions as used in these regulations:

"Assignment" means a written authorization by the VSEO ordering that a specified purchaser be supplied state set-aside product by a specified prime supplier.

"Agricultural Production" means activities for the commercial production of food, including farming, dairying, and fishing, and related support services.

"Base Period" The base period will cover the most recent 12 month period prior to the month in which the set-aside is activated, e.g., if the state set-aside were activated in May of 1982 the base period would be for the period May 1981 through April 1982.

"Consumer" means any individual, trustee, agency, partnership, association, corporation, company, municipality, political subdivision or other legal entity which purchases liquid fossil fuels for ultimate consumption within Vermont.

"Cross Branding/Commingling" means petroleum products with one brand label/logo delivered into tanks at locations displaying another brand label/logo by prime suppliers and wholesale purchaser resellers who are ordered to do so by the Director of the VSEO.

"Director" means the director of the Vermont State Energy Office.

"Distributor" means any individual, trustee, agency, partnership, association, corporation, company, municipality, political subdivision or other legal entity which purchases or markets liquid fossil fuels from a prime supplier or any other source and resells those fuels to consumers within Vermont.

"Emergency Care Facilities" means public or private buildings used to lodge and care for individuals whose place of lodging are rendered uninhabitable due to an energy supply disruption.

"Emergency Services" means but is not limited to law enforcement, fire fighting, emergency road services, emergency medical services.

"End-User" means any firm which is an ultimate consumer of an allocated product other than a Wholesale Purchaser-Consumer.

"Energy Production" means but is not limited to the processing, production, and distribution of energy resources including solar energy, fuel produced from any organic material (including wood, wastes, petroleum, coal, and natural gas), geothermal, nuclear energy and electrical energy.

"Hardship" means a situation involving or potentially involving substantial discomfort or danger and or economic dislocation caused by a shortage of a petroleum product.

"Health Care Facility" means usage by public or private social services agencies which operate programs for the provision of essential health and welfare service.

"Liquid Fossil Fuel" means heating oils, light and heavy diesel oil, motor gasoline, propane, butane, residual fuel oils, kerosene and aviation fuels.

"Passenger Transportation Services" means publicly and privately owned air, marine and surface operations for transporting the general public; bus transportation of pupils to and from schools; vanpooling; and including facilities necessary to support such operations.

"Petroleum Products" means butane, propane (LPG), Gasoline (leaded, unleaded, premium and aviation), Kerosene (No. 1K, No. 2K, range oil and store oil), No. 2 Heating Oil (home heating oil), Diesel Fuel (No. 1D and No. 2D), Jet fuel (kerosene base), No. 4 Fuel Oil (including 4D) and Residual Fuel Oil (No. 5 and No. 5 fuel oil), as defined by ASTM.

"Petroleum Set-aside" means the amount of liquid fossil fuel which is made available from the total supply of a prime supplier for utilization by the State Energy Office pursuant to this chapter to resolve hardships and emergencies due to energy shortages.

"Prime Supplier" means any individual, trustee, agency, partnership, association, corporation, company, municipality, political subdivision or other legal entity which makes the first sale of any liquid fossil fuel into the state distribution system for consumption within the state.

"Public Utility" an enterprise engaged in the production, transmission or distribution of electricity or pipeline gas, (natural or propane) which is regulated by Vermont law.

"Purchaser" means a wholesale purchaser, and end user or both.

"Residential Use" means direct use in residential dwellings or churches or other place of worship for space heating, refrigeration, cooking, water heating and other residential uses.

"Shortfall" means the difference between supply and demand for a covered product.

"State Set-aside" means with respect to a particular state set-aside product, a particular time period, and a particular prime supplier, the state set-aside percentage level for that product applied to that prime supplier's total supply available for that time period which will be sold into the state distribution system for consumption within the state. (See also, Petroleum Set-aside.)

"Supplier" (See prime supplier).

"Supply Obligation" means a prime supplier's obligation to supply all wholesale purchaser-resellers and all wholesale purchaser consumers which purchased or obtained petroleum products from that supplier during the base period as defined above.

"Telecommunication Services" means the emergency or essential installation, repair, operation, and maintenance of voice, telegraph, video, and similar communication services to the public.

"VSEO" means the Vermont State Energy Office.

"Wholesale Purchaser-Consumer" means any firm that is an ultimate consumer which, as part of its normal business practices, purchases or obtains an allocated product from a prime supplier or wholesale purchaser-reseller and receives delivery of the product into a storage tank substantially under the control of that firm at a fixed location.

"Wholesale Purchaser-Reseller" means any firm which purchases, receives through transfer or otherwise obtains (as by consignment) an allocated product and resells or otherwise transfers it to other purchasers without substantially changing its form.

Section 1.3 PETROLEUM DATA COLLECTION TO OPERATE AN EMERGENCY PETROLEUM SET-ASIDE PROGRAM

A. Upon a determination by the Governor that a Petroleum Set-Aside Program is required, the Director of the VSEO will implement the following information collection procedures:

1. The Director shall determine what petroleum data is required to operate a set-aside to meet the current emergency and hardship needs of Vermont's citizens and businesses and shall take action to acquire such information. If the Director determines that the necessary energy information to operate the State Set-Aside Program is unavailable from the Federal Government or any other known source, then such Energy Information will be collected by the VSEO.

a. The Director may require the reporting of the necessary energy information from any prime supplier. (See definitions.)

b. The Director may require the reporting of energy information by order, questionnaire or such means as is deemed appropriate.

c. Whenever reports from prime suppliers are requested under this subpart, order, questionnaire or other means shall reference that such reports are being requested under the authority of V.S.A. Title 9, Chapter 112. The information to be reported to the VSEO by every prime supplier on or before the 20th of each month during the period the Emergency Petroleum Set-Aside is in operation shall include, but not be limited to the following:

1. Total actual deliveries into the state during the preceding month by set-aside product;

2. The total supply available for distribution into the state for consumption in the state during the upcoming month.

3. The state set-aside volume for distribution in the state during the coming month by set-aside product.

d. The Director shall notify prime suppliers of each type of covered set-aside product and the monthly petroleum set-aside percentage (not exceeding three percent) for such products on or before the 1st of the month prior to month in which the product is to be made available.

Section 1.4 PROCEDURES FOR APPLYING FOR A STATE SET-ASIDE ASSIGNMENT

Purpose: The following procedures establish how to apply for an assignment under the state set-aside system.

Who May Apply

A prime supplier, a wholesale purchaser-reseller or a wholesale purchaser-consumer may apply for an assignment from the state set-aside system to meet a hardship or emergency requirement, or a wholesale purchaser-reseller may apply for an assignment to enable him to supply wholesale purchaser-consumers and end users. A prime supplier shall continue all supply obligation's during the period a petroleum set-aside is in effect.

What to File

a) Application for assignment from the state set-aside system shall be made on form VSEO-1. Written requests not on Form VSEO-1 or, where time is of the essence, verbal requests including those made by telephone will be accepted but the applicant shall file a VSEO-1 within 10 days of the original application date.

Where to File

Applications for all types of assignments from the state set-aside shall be made to the Vermont State Energy Office, State Office Building, Montpelier, Vermont 05602. Area Code 802-828-2393.

Contents

a) Set-aside

1. The VSEO requires that an applicant provide sufficient information in an application for an assignment from the state set-aside system, whether such application is in writing or by verbal request, to enable the state office to determine whether a hardship or an emergency need exists.

With respect to verbal applications, the VSEO will establish internal procedures for the recording and verification of any information provided by an applicant. At a minimum, the information received by the VSEO is that required on form VSEO 1. Such information shall include, but not be limited to:

(i) The applicants hardship or emergency needs.

(ii) A statement that the applicant's base period supplier or new supplier is unable to supply his requirements or, if the applicant does not have a local supplier, a statement that he has contacted two suppliers that could supply the allocated product and the identification of those suppliers.

2. Where the application is on behalf of an end-user it shall contain a description of the end-users that will be supplied and their hardship and emergency requirements.

VSEO Evaluation

A. Consideration of Application

Applications for assignment from the state set-aside shall be processed according to the following:

a. The VSEO will develop internal office procedures for processing applications.

b. The VSEO may investigate any factual allegation in an application and take it into consideration in granting or denying an application for state set-aside.

c. If the Director determines that there is insufficient information upon which to base a decision and if upon request the necessary additional information is not submitted, the Director may dismiss the application without prejudice. If the failure to supply additional information is repeated or willful, the Director may dismiss the application with prejudice.

Decision and Order

1. Upon consideration of the set-aside application, whether written or verbal, and other relevant information received or obtained during the proceeding, the Director or his/her designated representative shall issue an order denying or granting the application. (9 V.S.A. Chapter 112 4133 Subsection (b-4).)

2. The order shall include a brief written statement of the basis upon which the order was issued.

3. The order shall state that it is effective upon issuance and shall expire within ten days of its issuance to the prime supplier or the designated local representative of such prime supplier.

4. An assignment is effective upon issuance, and represents an encumbrance on the prime supplier's set-aside volumes for the month of issuance of the order regardless of the actual date of pick up and delivery of the product to the applicant.

Even if an order is appealed a prime supplier shall honor assignments on presentation, and shall not delay delivery while appealing such order to the VSEO.

The Director may direct that a wholesale purchaser-seller be supplied from the state set-aside in order that the wholesale purchaser-reseller can supply specified individual consumers who would not otherwise be eligible for an assignment. If the state set-aside volumes are not sufficient to satisfy all requests for assignments the VSEO may determine priorities for making assignments among the activities for which the request is made.

The Director shall require each prime supplier to designate a Primary representative and an alternate representative with full authority to act on behalf of the prime supplier with respect to state set-aside applications and assignments. The VSEO shall to the maximum extent feasible consult with a prime supplier's representative prior to issuing any authorizing document affecting the amount of state set-aside product to be provided by the prime supplier.

The state set-aside volumes for a particular month cannot be accumulated or deferred. The State set-aside shall be made available from stocks of prime suppliers, whether directly or through their normal distribution system prior to the end of the month for which the product is made available to the state set-aside.

Timeliness (Processing applications)

(a) If the VSEO fails to take action on an application, whether verbal or written, within ten days of filing (if the application is verbal, it shall be considered to be filed on the date that it is verbally communicated to the VSEO) the applicant may treat the application as having been denied in all respects.

(b) In certain instances the VSEO may temporarily suspend the running of the tenday [ten day] period if it finds that additional information is necessary. The VSEO may suspend action until it notifies the applicant that the additional information is necessary or that an application has otherwise been improperly filed.

Section 1.5 EXCEPTIONS AND APPEALS

(a) Any person aggrieved by a decision issued pursuant to the state set-aside program may appeal to the Director of the VSEO.

(b) Any person aggrieved by the denial of an assignment from the state set-aside may appeal to the Director for reconsideration of their applications.

Section 1.6 CONFIDENTIALITY OF ENERGY INFORMATION

(a) Energy information obtained by the VSEO shall be an exempt record and confidential pursuant to subdivision (1) of subsection

(b) of section 317 of Title I V.S.A.

History

• Effective Date: March 26, 1983 (SOS Rule Log #83-21)

Chapter 041 HOME ENERGY AUDIT TEAM (HEAT) FEE SCHEDULE

30-041 Code Vt. R. 30-000-041-X HOME ENERGY AUDIT TEAM (HEAT) FEE SCHEDULE

Section 1.0 PREAMBLE

The Vermont Public Service Department, through a contract with the University of Vermont Extension Service, provides residential audit services to Vermonters statewide on a first come first served basis. In the past, there has been no charge for such services. The cost of providing these services continues to rise at a point in time when federal funds supporting this program have been reduced. In recognition of this fact, legislation was passed during the Adjourned Session of the 1981 General Assembly instructing the Commissioner of the Vermont Public Service Department to establish a fee schedule for Home Energy Audits (HEAT).

Section 2.0 DEFINITIONS

"Commissioner" - Commissioner of the Vermont Public Service Department.

"Department" - The Vermont Public Service Department (PSD).

"Fees" - Monetary payment made to the Vermont Public Service Department (PSD) by Vermont householders to partially offset the costs of audit services provided them by the PSD or its agent.

"HEAT" - Home Energy Audit Teams, the name given to the PSD program to provide residence audit services to Vermont's householders.

"Home Energy Audits (HEAT)" - audits of Vermont residences provided by the PSD or its agent.

Section 3.0 PURPOSE

To establish a fee schedule for Home Energy Audits (HEAT) as mandated in 3 V.S.A. Section 2286(e).

Section 3.1 HEAT AUDIT FEE SCHEDULE

A. The PSD shall charge a $ 15 fee to each eligible Vermont householder receiving a HEAT audit.

B. The $ 15 fee will take into consideration the ability of the recipient to pay. This will be determined by existing applicable federal low income guidelines.

Section 3.2 PAYMENT OF FEES

A. Payment of fees shall be made to the HEAT Program in a manner to be developed by the PSD.

B. Fees shall be charged for an audit performed on or after the first of the month following the effective date of these rules.

C. Persons asking to be exempted from the payment of fees shall self-certify on a form provided by the PSD.

D. Exceptions and appeals to the payment of audit fees - Any person aggrieved by the payment of the fee may appeal to the Commissioner of the Vermont Public Service Department.

History

• Effective Date: August 2, 1984 (SOS Rule Log #84-32)
• Statutory Authority: 3 V.S.A. C. 45 § 2286

Chapter 042 REPORTING OF ENERGY INFORMATION

30-042 Code Vt. R. 30-000-042-X REPORTING OF ENERGY INFORMATION

Section 2.1 Scope

The Director has determined that:

(1) Certain petroleum inventories, storage capacities or product receipts information are necessary to assist in the formulation of policy or to carry out the purpose of the Energy Emergency Petroleum Set-aside Act or the emergency powers of the Governor.

(2) As such energy information is not available from the Department of Energy or any other source known to the Vermont State Energy Office, then such energy information shall be collected by this office.

(a) The Director requires such reports from any prime supplier by methods to be developed by the VSEO. The Director may change the reporting requirements from time to time.

Section 2.2 Definitions

As used in this part:

(1) "DIRECTOR" means the Director of the Vermont State Energy Office.

(2) PETROLEUM PRODUCTS" means propane (LPG), gasoline (leaded, unleaded, premium and aviation), kerosene (No. 1K & 2K, range oil and stove oil), No. 2 heating oil (home heating oil), diesel fuel (No. 1D and No. 2D), jet fuel (kerosene base), No. 4 fuel oil (including No. 4D), and residual fuel oil (No. 5 and No. 6 fuel oil), as defined by ASTM.

(3) "VSEO" means Vermont State Energy Office.

(4) "PRIMARY STORAGE FACILITY" means any storage facility or terminal that can store at least 50,000 gallons or more which receives petroleum products by ship (tanker), barge, pipeline, truck (transport), or railroad tank car (tank train) for holding within the state.

(5) "PRIME SUPPLIER" means any supplier or entity that owns, leases, maintains or operates a primary storage facility of petroleum products as defined in this section.

(6) "DOE" means Department of Energy at the federal level, or its designated representative.

Section 2.3 General Description of the Report

The "Prime Supplier Report" shall provide for reporting of storage capacities, inventory levels, purchases and sales of the following petroleum products: propane, gasoline (regular leaded, premium leaded, regular unleaded, super unleaded and aviation), kerosene, No. 2 heating oil, No. 2 diesel fuel, jet fuel, No. 5 fuel oil and residual oils. This report shall be supplied to prime suppliers by the VSEO.

Section 2.4 Who Must Submit

The "Prime Supplier Report" shall be completed by every prime supplier and shall include information on products held in its custody, regardless of ownership of the petroleum product for each primary storage facility it operates within the State of Vermont.

Section 2.5 When to Submit

The "Prime Supplier Report" shall be filed with the Vermont State Energy Office monthly by the 20th calendar day following the report period, e.g., the reporting covering January 1983 shall be mailed (postmarked) by February 20, 1983.

All Prime Suppliers shall file reports commencing 30 days after the effective date of these rules.

Section 2.6 Where to Submit

Mail completed form to:

Vermont State Energy Office

Fuel Management Division

State Office Building

Montpelier, VT 05602

Section 2.7 Exceptions, Exemptions and Interpretations and Rulings

Any application for exceptions, exemptions or request for interpretations relating to this subpart shall be filed in writing to the Director.

Section 2.8 Confidentiality

(a) Energy information obtained by the VSEO shall be an exempt record and confidential pursuant to Title 9, Chapter 110, Section 4113(b).

History

• Effective Date: March 6, 1983 (SOS Rule Log #83-22)

Chapter 043 GENERAL ORDER NO. 43 RULES AND REGULATIONS PRESCRIBING STANDARDS FOR GAS UTILITIES

30-043 Code Vt. R. 30-000-043-X GENERAL ORDER NO. 43 RULES AND REGULATIONS PRESCRIBING STANDARDS FOR GAS UTILITIES

It is HEREBY ORDERED that the following Rules and Regulations Prescribing Standards for Gas Utilities are adopted by the Public Utility Commission, effective March 30, 1965.

These Rules and Regulations shall apply to every person, firm, company, corporation, and municipality engaged in the business of manufacturing, distributing, selling, or transmitting gas in the State of Vermont and which is or shall become subject to the jurisdiction of this Commission.

Section 1 DEFINITIONS

In the interpretation of these Rules the following definitions shall apply: "Commission" shall mean the Public Utility Commission of the State of Vermont.

"Customer" shall mean any person, company, corporation, municipality, or other agency supplied with gas by any utility.

"Cubic Foot" shall mean, for the purpose of measurement to a customer, the amount of gas which occupies a volume of one (1) cubic foot under the conditions existing in such customer's meter as and where installed, provided such meter is not subjected to abnormal temperature conditions unless the meter is designed with temperature compensation. For the purpose of measurement for testing, "Cubic Foot" shall mean that quantity of gas which occupies one (1) cubic foot at a temperature of sixty degrees Fahrenheit (60 F), when saturated with water vapor, and under a pressure of thirty (30) inches of mercury.

"Gas" shall mean any manufactured fuel gas, including propane-air mixtures, propane or natural gas, or any combination thereof.

"Liquefied Petroleum Gas" shall mean a fuel gas composed predominantly of any or a mixture of the following:

Propane, Propylene, Normal Butane, Iso Butane, and Butylenes

"Total Heating Value" shall mean the number of British Thermal Units (BTU) produced by the combustion, at constant pressure, of the amount of gas that would occupy a volume of one (1) cubic foot at a temperature of sixty degrees Fahrenheit (60 F) and under a pressure equivalent to that of thirty (30) inches of mercury, with air at the same temperature and pressure as the gas, when the products of combustion are cooled to the initial temperature of the gas and air, and when the water formed by the combustion is condensed to the liquid state.

"Utility" shall mean any person, firm, association, partnership, company, corporation, their lessees, trustees, or receivers appointed by any court, who come within the jurisdiction of the Public Utility Commission and own, operate, or manage any plant or equipment, or any part of same, for the manufacture and/or furnishing of gas for domestic, commercial, and industrial users within the State.

Section 2 MODIFICATIONS OR REVISIONS

Upon its own motion, or upon application, and for good cause shown, the Commission may modify, suspend, or repeal the provisions of any Rule herein. Application may be made to the Commission for the modification of any Rule or for temporary or permanent exemption from its provisions, provided however, that no utility shall submit such application for modification or exemption unless submitted therewith is a full and complete justification for the proposed change.

Section 3 FILING OF TARIFFS

No utility shall render service to any customer until a complete tariff containing rules, regulations, terms and conditions, and rate schedules, shall be published and filed with the Commission in accordance with the Rules governing the filing of tariffs as prescribed by the Commission.

Section 4 APPLICATION FOR SERVICE

An applicant desiring service under the utility's filed tariff may be required to make application for such service in writing, in accordance with the forms prescribed by the utility.

Whenever an applicant desires service of a character for which there is no rate of general application on file, a contract shall be executed between the applicant and the utility, and it shall become effective only after prior approval by the Commission.

Section 5 INFORMATION TO CUSTOMERS

Each utility shall, upon request, give to its customers such information and assistance as is reasonable, in order that the customers may secure safe and efficient service at the most advantageous rate.

Each utility shall, upon request, explain to any customer the method of reading his meter and the calculation of his bill.

Section 6 DEPOSIT REQUIREMENTS

A utility, to protect against loss, may require a satisfactory deposit before rendering service to any customer. This deposit shall be not less than five dollars ($ 5.00) nor more than the estimated bill to cover a period of sixty (60) days of normal billing.

Section 7 MEASUREMENT OF SERVICE

All gas sold by a utility shall be charged for on a metered basis except when otherwise authorized by the Commission.

Section 8 METER READING AND BILL FORMS

Each service meter of the displacement type shall indicate clearly the quantity of gas registered. When gas is measured under high pressure or when the quantity is determined by calculation from recording devices, the utility shall, upon request, supply to the customer all information needed to make clear to the customer the method used to determine the quantity of gas registered. All meter constants shall be plainly marked on the meter.

All service meters shall be read insofar as practical at regular intervals.

Bills shall be rendered at regular intervals and shall show the meter readings at the start and the end of the period for which the bill is rendered, the amount of gas registered, the date and the amount of the bill.

All bill forms for Domestic and General Service customers shall have thereon a notice to the effect that all rates are on file at the office of the utility and also with the Public Utility Commission.

Each utility having prepayment meters in service shall, upon request, at the end of each collection period inform the customer of the meter readings at the start and at the end of the period, and the amount of money taken from the meter for the period corresponding to the readings.

Each utility shall keep an accurate account of all charges for service billed to each customer and shall maintain records showing information from which each bill rendered may be readily computed.

Section 9 COMPLAINTS BY CUSTOMERS

Each utility shall make a prompt investigation of complaints received from customers including unsatisfactory pressure conditions, leaks and any other unsatisfactory or hazardous conditions. A record shall be kept including the name of the complainant, the date and character of the complaint, and the action required. This record shall not include data on service calls. The records of complaints shall be kept on file at least two (2) years and shall not be destroyed until a summary has been made for permanent record indicating the character of complaints made and the number of each type received each month.

Section 10 CHANGE IN CHARACTER OF SERVICE

In the event that any substantial change is contemplated by any utility in the composition of the gas, the pressure, or other service conditions that would necessitate adjustment of gas appliances, the appliances of all customers in the affected area shall be readjusted for the new conditions with a minimum of delay by the utility and without charge to the customers. In the event of any such proposed change the Commission shall be notified before the change is made.

Section 11 DISCONTINUANCE OF SERVICE

A. By Customer. A customer may be required to give reasonable notice of his intention to discontinue service in accordance with tariff provisions and shall be responsible for all charges for service until the expiration of such notice period.

B. By Utility

(1) For Non-payment of Bills. A utility may require, in accordance with tariff provisions, that bills be paid within a specified time after presentation. Service may be disconnected for nonpayment of bill following the expiration of the grace period provided the customer has been given written notice at least five (5) days prior to disconnection of service. If the service is disconnected for non-payment of bill the utility may make a reasonable charge to reconnect the service, the amount of such charge to be specified in the terms of the filed tariff.

(2) For Violation of Rules. No utility shall discontinue service to a customer for violation of any rule without written notice to the customer at least five (5) days prior to the disconnection of service except that service may be terminated immediately and without such notice when the violation of the rules is such as to cause a hazard to life and/or property. Such notice to a customer concerning proposed discontinuation of service for violation of any rule shall specify to the customer the character of the violation.

(3) For Fraudulent Use of Service. Any utility may discontinue service without notice to the customer whenever a fraudulent use of the service by the customer is detected.

Section 12 HEATING VALUE REQUIREMENTS

Every gas utility shall file with the Commission, along with the rate schedule, the standard of heating value of the gas furnished to the public. This heating value shall be expressed in British thermal units (BTU) per cubic foot and the monthly average heating value shall equal or exceed the heating value filed with the Commission. At no time shall the heating value of the gas deviate by more than plus or minus five percent (+/- 5%) from the heating value filed with the Commission.

Section 13 CALORIMETER EQUIPMENT

Each utility, unless specifically directed otherwise by the Commission, shall maintain a standard calorimeter outfit or a Thermeter for the regular determination of the heating value of the gas sold.

The accuracy of all calorimeters and Thermeters as well as the method of making heating value tests shall be subject to the determination and approval of the Commission.

Every recording Thermeter or calorimeter used to determine the heat content of gas or to control the gas mixing equipment shall be tested for accuracy by a qualified person or service agency and a copy of the report of each such test shall be sent to the Commission. Each recording Thermeter or calorimeter shall be tested or accuracy at least three (3) times annually at approximately four (4) month intervals or more frequently if necessary to maintain accuracy.

Section 14 HEATING VALUE TESTS

The heating value of the gas shall be determined periodically as directed by the Commission to obtain an accurate record of the average heating value and of the fluctuation in heating value.

The average monthly heating value of the gas shall be determined by taking the average of the daily heating value readings for the month. If a utility's calorimeter or thermeter is of the recording type this record shall be used in calculating the average monthly heating value.

Heating value reports shall be kept on file for the examination of a representative of the Commission.

Section 15 GAS PURITY REQUIREMENTS

A. Hydrogen Sulphide. All gas distributed in this State shall be free from hydrogen sulphide. The gas shall be considered as hydrogen sulphide free if a strip of white filter pater, moistened with a solution containing five percent (5%) by weight of lead acetate, is not distinctly darker than a second strip of filter paper freshly moistened with the same solution after the first paper has been exposed to the gas for one (1) minute in an apparatus of approved form, through which the gas flows at the rate of approximately five (5) cubic feet per hour, the gas not impinging directly from a jet upon the filter paper.

B. Total Sulphur. No gas distributed in this State shall contain more than thirty (30) grains of total sulphur in each one hundred (100) cubic feet.

C. Any utility supplying manufactured gas in which hydrogen sulphide is normally a component shall make daily tests of the gas leaving its holders for the presence of hydrogen sulphide.

Section 16 GAS PRESSURE REQUIREMENTS

The pressure at the outlet of the customer's meter shall be adequate and reliable for safe and efficient operation of the customer's equipment and shall be held within standards of variation prescribed by the Commission.

Every gas utility shall make such determinations and keep such records of pressures as will enable it to have a substantially accurate knowledge of the pressures existing throughout the distribution system.

Section 17 INTERRUPTIONS OF SERVICE

Each utility shall use all reasonable means to avoid interruptions to service but should such interruptions occur, service shall be restored in the shortest time possible consistent with safety.

Each utility shall keep a record of all interruptions to service affecting a major group of customers. This record shall include the date and time of the interruption, the approximate number of customers affected, the duration of the interruption, the cause, and the steps taken, if any, to prevent a recurrence.

When service must be interrupted to perform necessary work on piping or equipment such work shall be scheduled at a time that will cause a minimum of inconvenience to customers except in an emergency when there is no choice. When possible, customers who will be affected by such interruption in service shall be notified in advance.

Section 18 METER INSTALLATIONS

All gas sold by utilities shall be charged for on the basis of the quantity metered unless otherwise authorized by the Commission.

Unless otherwise authorized by the Commission, each utility shall provide and install at its own expense and shall continue to own, maintain and operate all equipment necessary for the regulation and measurement of gas to its customers. Where additional meters are furnished by the utility to be used for the convenience of the customer, a charge for such meters may be made in accordance with a tariff schedule filed with the Commission.

Section 19 INSPECTION AND ACCURACY OF METERS

No new meter shall be placed in service unless the utility is assured that the register ratio and register constant are correct.

All meters removed from service and which are to be reinstalled shall be inspected for correctness of register ratio and register constant and any worn or damaged parts shall be replaced. This requirement shall be considered as met if a meter has been relocated after limited use and there is no evidence of damage to the meter.

Every gas service meter, whether new or repaired, shall be correct to within two percent (2%) before being installed. For the purpose of determining compliance with this rule, the registration of a displacement meter shall be determined by one test at a rate of flow of approximately one-fifth to one-fourth of the rated capacity of that meter and one test at a rate of flow of approximately the rated capacity of the meter. The tests at the two rates shall agree within one percent (1%). The accuracy of the meter at the lower rate of flow shall be considered as its accuracy in determining compliance with this rule and for the purpose of computing bill adjustments.

All tests to determine the accuracy of any gas service meter shall be made with a meter prover, unless, because of the unusual capacity or construction of the meter, such method of test shall be considered impractical and another method of test shall be approved by the Commission.

All gas meters shall be tested for correct connection and proper mechanical condition in the permanent position at the time of installation or within sixty (60) days thereafter. ( Section 2813 of Title 30, Vermont Statutes Annotated.)

Section 20 METER PROVER

Each utility furnishing metered gas service shall maintain the equipment and facilities necessary for accurate testing of all types and sizes of meters employed for the measurement of gas to its customers unless arrangements approved by the Commission shall have been made to have such testing done elsewhere. Each utility shall provide and maintain a meter prover of approved type and of a capacity of not less than five (5) cubic feet for the testing of the most numerous class of customers' meters. Each meter prover shall be supplied with all accessories needed for accurate meter testing and shall be located in a room suitable for the work to be done. The utility shall maintain this equipment in good condition and correct adjustment so that it can determine the accuracy of any service meter to within one half of one percent (1/2%). It is permissible for any utility to utilize the services of a meter prover in conjunction with other utilities in the interest of economy.

The accuracy of all provers and the methods of operation may be established from time to time by the Commission.

Section 21 METER TEST REQUESTED BY CUSTOMER

Upon demand of any customer each gas utility shall test without charge the meter used to measure gas sold to such customer, provided the customer does not request such test more frequently than once in twelve (12) months. ( Section 2812 of Title 30, Vermont Statutes Annotated.)

When a customer demands a meter test within twelve (12) months after the date of meter installation or after the last previous test, he may be required by the utility to deposit a reasonable amount to cover the cost of the meter test. The amount so deposited with the utility shall be refunded or credited to the customer if the meter on test shows a positive average error of four percent (4%) or over, otherwise the deposit may be retained by the utility. The customer may be present when the utility tests his meter or he may select a representative to be present. A written report giving the results of such test shall be made to the customer by the utility within a reasonable time after completion of the test. ( Section 2814 of Title 30, Vermont Statutes Annotated.)

Section 22 INACCURATE METERS

Each utility shall remove from service any gas meter that has an error in measurement in excess of four percent (4%). ( Section 2815 of Title 30, Vermont Statutes Annotated.)

Section 23 ADJUSTMENT OF BILL FOR INACCURATE METER

If a meter is found to be in error and reads in excess of four percent (4%) positive error the utility shall make a refund to the customer for the excess gas billed form the date two months prior to the last meter reading.

If a meter is found to be in error and reads in excess of four percent (4%) negative average error the utility may bill the customer for the unbilled gas from the date two months prior to the last meter reading.

Section 24 METER RECORDS

Each utility shall keep numerically arranged and properly classified records giving for each meter owned and used by the utility for any purpose the identification number, date of purchase, name of the manufacturer, serial number, type, rating, and name and address of each customer on whose premises the meter has been in service, with the date of installation and removal. These records shall be kept in a manner so that the date of the last test is readily ascertainable. The above requirements shall be met in connection with all meters purchased and installed from the date of adoption of this Order and where information is available the above requirements shall be met in connection with all meters owned by the utility prior to this date.

Section 25 MAINTENANCE OF PLANT AND EQUIPMENT

Each utility shall inspect its plant, distribution system, and facilities in such manner and with such frequency as may be necessary to insure a reasonably complete knowledge as to their condition and adequacy at all times. Such record shall be kept of the conditions found as the utility shall consider necessary for the proper maintenance of its system, unless in special cases a more complete record be specified by the Commission.

Each utility shall keep a daily record of the operation of its physical plant, so far as practical, in such detail as may be necessary to substantially disclose its operations.

Utilities engaged in the storage, handling, processing and distribution of liquefied petroleum gases, or mixtures thereof, shall comply with the standards prescribed in the National Fire Protection Association codes "Standard for the Storage and Handling of Liquefied Petroleum Gases" - NFPA No. 58 - 1963 and "Standard for the Storage and Handling of Liquefied Petroleum Gases at Utility Gas Plants" - NFPA No. 59 - 1963. (These are published by the National Fire Protection Association, 60 Batterymarch Street, Boston 10, Mass.)

Section 26 RECORDS

A complete record shall be kept of all tests and inspections required by these Rules.

All records of tests shall contain complete information concerning the test, including the date and place where the test was made, the name of the person making the test, and the test results.

Each utility shall keep a customer's ledger or other record, which shall contain an accurate account of all revenues derived from each customer. In addition it shall contain the dates of the period for which each bill is rendered, the meter readings on those dates, reference to the applicable rate schedule, and any additional data necessary in computing the bill.

All records required by these Rules shall be preserved by the utility for such period as the Commission may designate. Such records shall be kept within the State at the local office or a central office of the utility and shall be available at reasonable hours for examination by the Commission or its representatives.

Section 27 ACCIDENTS AND EMERGENCIES

Each utility shall, as soon as possible, report to the Commission any accident occurring in connection with the operation of its property, facilities or service, wherein any person shall suffer injury or death or whereby any damage shall have been caused to property. The first report shall be supplemented by as full a statement as possible of the cause and details of the accident and the precautions, if any, which have been taken to prevent similar accidents. Accidents shall be reported to the Commission in the manner prescribed in Section 207 of Title 30, Vermont Statutes Annotated.

Every utility operating a gas pipeline or a gas distribution system in the State of Vermont shall file with the Commission and with all villages, towns or cities wherein such facilities are located, the names, addresses and telephone numbers of responsible officials of such utility who may be contacted in any emergency. In the event that any changes are made in the names, addresses or telephone numbers of such persons to be contacted in an emergency prompt notification shall be given to the Commission and village, town or city authorities.

History

• EFFECTIVE DATE:
• March 30, 1965
• AMENDED:
• December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 022]
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 044 CAMPGROUND SUBMETERING

30-044 Code Vt. R. 30-000-044-X CAMPGROUND SUBMETERING

SUBCHAPTER 4.800 CAMPGROUND SUBMETERING

4.801 Authority

Vermont Statutes Annotated, Title 30, section 249a authorizes a recreational campground to provide submetered electric service to campground users on a nonprofit basis. Such service must be provided in accordance with rules adopted by the Public Service Board. This rule establishes the standards for such submetered service in campgrounds.

4.802 Definitions

(1) "Campground" means a tract or parcel of land occupied by more than three campers for a brief period for vacational or recreational purposes, whether or not as part of a commercial operation. A camper may camp in an automobile trailer, a recreational vehicle, a tent or a temporary cabin, but not in a mobile home that is used as a residence.

(2) "Customer" means the ultimate customer of a campground who rents or uses space at a campground and whose electricity is submetered.

(3) "Average cost per KWH" for a campground means the bill for electric power delivered to the campground's master meter (excluding charges for disconnection, late payment, or other similar service charges) divided by the KWH so delivered, and rounded to the nearest tenth of a cent per KWH.

4.803 Meters

(A) In any campground that sells electricity through submetering, customer submeters shall be provided, installed and maintained by the campground.

(B) All meters shall meet any applicable building codes or other local ordinances. Each customer's meter shall be visible to the customer. Customer submeters shall provide service for the customer's site only, and not for any common facility such as lighting for roadways or common buildings.

(C) Meters shall be calibrated when initially placed in service and at least every 24 months thereafter. Calibration may be performed by a licensed electrician, an electric utility, or any other entity authorized by the Public Service Board to perform this function. The cost of calibration will be paid by the campground. The calibration shall be noted on the meter itself or recorded in a calibration log. Calibration records shall be available upon request at each campground to customers and to the Department of Public Service and the Public Service Board.

(D) When submeters are calibrated, they shall be set as closely as possible to a condition of zero error. Whenever an inspection, calibration or other test discloses that a submeter has an error of more than two percent, it shall be adjusted, repaired, or replaced. Any submeter that is removed from service and replaced by another submeter shall be tested and adjusted before it is again placed in service.

4.804 Rates

(A) Whenever a campground charges for electricity, the charge shall be based upon the customer's measured kilowatt-hour (KWH) usage.

(B) Rates charged to customers shall not exceed the campground's most current average cost per KWH for the relevant seasonal rate period. Rates shall be recalculated each month based upon the most recent bill received at the campground. The campground may apply those rates for a calendar month thereafter.

(1) For example, assume that a utility's off-peak season extends from April 1 to October 31, that the utility bills on a calendar month basis and sends bills out on the fifth month, and that the campground also bills for submetered electricity on a calendar month basis. The utility's summer period begins on April 1, but on May 1, the last "summer rate period" bill on hand at the campground would normally be from the preceding October. Therefore, in setting the submetering rate for May, the campground would measure its own costs from the preceding October. By June, however, the campground would use data from the bill sent out by the utility on May 5 (for April usage).

(C) Customers shall not be required to prepay separately for expected electrical usage. However, this paragraph does not prohibit a campground from requiring prepayment for use of a campsite, and then crediting the customer's electric bill with some or all the amount prepaid.

4.805 Registration of Customers

Each campground customer who will pay a separate electric charge shall be provided with a written statement (which need not be separate) when the customer registers stating:

(1) that electricity used at the customer's site will be billed to the customer;

(2) that electricity used for common areas and common facilities will be the responsibility of the campground;

(3) the current rate charged for electricity, per KWH;

(4) the initial meter reading for the assigned site; and

(5) a summary of complaint procedures.

4.806 Bills

(A) Customers may be billed at checkout for actual electric usage, based upon the customer's report of the meter reading or upon the campground's reading of the meter.

(B) Notwithstanding subsection (A), customers who anticipate staying at the same site for more than seven days may be billed on a weekly or monthly basis for actual electric usage. Customers who anticipate staying at the same site for 30 days or more shall be billed at least monthly. Weekly or monthly customers shall be billed promptly after meters are read.

(C) A customer's electric bill shall contain the following:

(1) the initial KWH reading and date for the current billing period;

(2) the final KWH reading and date for the current billing period;

(3) the applicable rate;

(4) the amount due; and

(5) a statement that payment is due immediately or a date on which payment is due.

(D) On request of a customer who has been or will be billed for electric usage, a campground shall show the customer the campground's utility bill from which the campground's current average cost per KWH has been calculated.

(E) A campground may provide customers with a budget billing plan under which charges are averaged over time.

4.807 Bill Adjustments

(A) Where a billing adjustment is necessary due to meter error or other causes, the adjustment shall not apply earlier than the beginning of the current camping season. If the error has a known beginning date after the beginning of the current camping season, that beginning date shall be used.

(B) A campground may make adjustments for fast, slow, stopped, tampered or removed meters based upon the customer's actual usage during a period when the meter was accurate, either before or after the period when the meter was not accurate. If no period can be found when the meter was accurate, an adjustment can be made based upon all relevant information about the customer and upon average usage of customers who are similarly equipped. Any bill based on estimated usage shall be clearly marked as such.

4.808 Complaints

(A) A customer may complain orally or in writing to the campground about any bill and may request a conference on that bill. A complaint shall state the customer's name, location, and the general nature of the complaint.

(B) Upon receiving a complaint, a campground shall:

(1) record the complaint in a complaint log, which shall be made available to customers and the Department of Public Service for inspection at reasonable times;

(2) promptly, thoroughly and completely investigate the complaint and confer with the complainant as needed.

(3) notify the complainant in writing of the results of the investigation and any proposed action.

(C) Complaints not resolved by the campground may be brought to the Consumer Affairs Division of the Department of Public Service. If not resolved there, complaints may be brought to the Public Service Board.

History

• Effective Date: April 15, 1997

Chapter 045 SELECTION OF PRIMARY TELECOMMUNICATIONS CARRIER

30-045 Code Vt. R. 30-000-045-X SELECTION OF PRIMARY TELECOMMUNICATIONS CARRIER

SUBCHAPTER 4.700 SELECTION OF PRIMARY TELECOMMUNICATIONS CARRIER

4.701 Definitions

For purposes of this rule, the following definitions apply:

(A) "Interexchange carrier" ("IXC"): a provider of interLATA or intraLATA long distance telecommunications services. Facilities-based carriers of long distance service, resellers of long distance service, and local exchange carriers providing long distance service are included in this definition.

(B) "Letter of Agency" ("LOA"): a customer's written statement that authorizes a change to that customer's primary interexchange carrier or local exchange carrier and bears the customer's signature.

(C) "Local Exchange Carrier" ("LEC"): a provider of switched telecommunications service that carries calls originating and terminating within the local calling area.

(D) "Long Distance Telecommunications Service": service that carries calls to exchanges that are not within the local calling area of the originating number.

(E) "Primary Interexchange Carrier" ("PIC"): a carrier to which a customer has presubscribed for either interLATA or intraLATA long distance service.

(F) "Primary Local Exchange Carrier" ("PLEC"): a carrier to which a customer has presubscribed for local exchange service.

4.702 Changes to Primary Interexchange Carrier

(A) Verification Procedures

(1) No IXC shall submit to a LEC a PIC change order unless the IXC has first obtained express authorization from the customer. "Express authorization" means an express, affirmative act by the customer clearly agreeing to the change in PIC in the form of:

(a) a written authorization;

(b) a customer initiated call to the IXC;

(c) an oral authorization verified, and recorded, by an independent third party;

(d) a recorded electronic authorization; or

(e) some other form of recorded authorization.

(2) The IXC shall confirm such express authorization through one of the following three procedures:

(a) The IXC has obtained the customer's written authorization in a form that meets the requirements of Board Rule 4. 702(B); or

(b) The IXC has obtained the customer's electronic authorization, placed from the telephone number(s) on which the PIC is to be changed, to submit a PIC change order. The authorization shall include the information described in Board Rule 4.702(B)(5). IXCs electing to confirm sales electronically shall establish one or more toll-free telephone numbers exclusively for that purpose. A call to the number(s) will connect a customer to a voice response unit, or similar mechanism, that records the required information regarding the PIC change, including automatically recording the automatic number identification ("ANI"); or

(c) An appropriately qualified and independent third party operating in a location physically separate from the IXC's telemarketing representative has obtained the customer's recorded electronic authorization, or some other form of recorded authorization, to submit the PIC change order. Such authorization shall confirm and include appropriate verification data (e.g., the customer's date of birth or social security number). Such authorization is valid only if the entity that obtained the authorization meets the following requirements:

(1) it is independent of the IXC or the IXC's telemarketing representative;

(2) it complies with the Board's rules regarding changes to telecommunications carriers;

(3) it has a written policy regarding customer complaints and it abides by that policy;

(4) it has a written policy requiring the maintenance and storage of recorded electronic authorizations for a minimum period of one year and it abides by that policy;

(5) it has a written script that it uses when obtaining verifications, and the script provides clear and unambiguous notice to the customer of the following:

(a) that the customer is authorizing a change in primary interexchange carrier;

(b) the identity of the new primary interexchange carrier; and

(c) a toll-free number that the customer can call to verify whether the change has occurred; and

(6) it is in a location that is physically separate from that of the IXC or the IXC's telemarketing representative.

(3) A PIC change made in violation of any of the requirements of Rule 4.700 is invalid.

(B) Letter of Agency Form and Content

(1) An IXC shall obtain any necessary written authorization from a subscriber for a PIC change by using a letter of agency as specified in this section. Any letter of agency that does not conform with this section is invalid.

(2) The letter of agency shall be a separate document (an easily separable document containing only the authorizing language described in paragraph (5) of this section) whose sole purpose is to authorize an interexchange carrier to initiate a primary interexchange carrier change. The letter of agency must be signed and dated by the subscriber to the telephone line(s) requesting the primary interexchange carrier change.

(3) The letter of agency shall not be combined with inducements of any kind on the same document.

(4) Notwithstanding paragraphs (2) and (3) of this section, the letter of agency may be combined with checks that contain only the required letter of agency language prescribed in paragraph (5) of this section and the necessary information to make the check a negotiable instrument. The letter of agency check shall not contain any promotional language or material. The letter of agency check shall contain in easily readable, bold-face type on the front of the check, a notice that the consumer is authorizing a primary interexchange carrier change by signing the check. The letter of agency language also shall be placed near the signature line on the back of the check.

(5) At a minimum, the letter of agency must be printed with a type of sufficient size to be clearly legible and must contain clear and unambiguous language that confirms:

(a) The subscriber's billing name and address and each telephone number to be covered by the primary interexchange carrier change order;

(b) The decision to change the primary interexchange carrier from the current interexchange carrier to the prospective interexchange carrier;

(c) That the subscriber designates the interexchange carrier to act as the subscriber's agent for the primary interexchange carrier change;

(d) That the subscriber understands that only one interexchange carrier may be designated as the subscriber's interstate primary interexchange carrier, and only one as the subscriber's intrastate primary interexchange carrier, for any one telephone number. Any carrier designated as a primary interexchange carrier must be the carrier directly setting the rates for the subscriber;

(e) That the subscriber understands that any primary interexchange carrier selection the subscriber chooses may involve a charge to the subscriber for changing the subscriber's primary interexchange carrier. The precise amount of any such charge shall be specified in the letter of agency; and

(f) A toll-free number that the customer can call to verify whether the change has occurred.

(6) Letters of agency shall not suggest or require that a subscriber take some action in order to retain the subscriber's current interexchange carrier.

(7) If any portion of a letter of agency is translated into a language other than English, then all portions of the letter of agency must be translated into that language.

(8) The letter of agency shall provide the toll-free telephone number and mailing address of the Consumer Affairs Division of the Department of Public Service, and shall inform the customer of his/her right to file a complaint with the Consumer Affairs Division.

(C) Provision of Offers in Written Form

Upon request of the customer, offers to provide telecommunications interexchange services shall be sent to the customer in written form, describing the terms and conditions of service.

(D) Applicability

This rule shall apply only to the extent not preempted by federal law.

4.703 Changes to Primary Local Exchange Carrier

(A) Verification Procedures

(1) No LEC shall submit a PLEC change order unless the LEC has first obtained express authorization from the customer. "Express authorization" means an express, affirmative act by the customer clearly agreeing to the change in PLEC in the form of:

(a) a written authorization;

(b) a customer initiated call to the prospective LEC;

(c) an oral authorization verified, and recorded, by an independent third party;

(d) a recorded electronic authorization; or

(e) some other form of recorded authorization.

(2) The LEC to whom service is to be changed shall confirm such express authorization through one of the following three procedures:

(a) The LEC has obtained the customer's written authorization in a form that meets the requirements of Board Rule 4. 703(B); or

(b) The LEC has obtained the customer's electronic authorization, placed from the telephone number(s) on which the PLEC is to be changed, to submit a PLEC change order. The authorization shall include the information described in Board Rule 4.703(B)(5). Prospective LECs electing to confirm sales electronically shall establish one or more toll-free telephone numbers exclusively for that purpose. A call to the number(s) will connect a customer to a voice response unit, or similar mechanism, that records the required information regarding the PLEC change, including automatically recording the automatic number identification ("ANI"); or

(c) An appropriately qualified and independent third party operating in a location physically separate from the prospective LEC's telemarketing representative has obtained the customer's recorded electronic authorization, or some other form of recorded authorization, to submit the PLEC change order. Such authorization shall confirm and include appropriate verification data (e.g., the customer's date of birth or social security number). Such authorization is valid only if the entity that obtained the authorization meets the following requirements:

(1) it is independent of the LEC or the LEC's telemarketing representative;

(2) it complies with the Board's rules regarding changes to telecommunications carriers;

(3) it has a written policy regarding customer complaints and it abides by that policy;

(4) it has a written policy requiring the maintenance and storage of recorded electronic authorizations for a minimum period of one year and it abides by that policy;

(5) it has a written script that it uses when obtaining verifications, and the script provides clear and unambiguous notice to the customer of the following:

(a) that the customer is authorizing a change in primary local exchange carrier;

(b) of the identity of the new primary local exchange carrier; and

(c) a toll-free number that the customer can call to verify whether the change has occurred; and

(6) it is in a location that is physically separate from that of the LEC or the LEC's telemarketing representative.

(3) A PLEC change made in violation of any of the requirements of Rule 4.700 is invalid.

(B) Letter of Agency Form and Content

(1) A LEC to whom service is to be changed shall obtain any necessary written authorization from a subscriber for a PLEC change by using a letter of agency as specified in this section. Any letter of agency that does not conform with this section is invalid.

(2) The letter of agency shall be a separate document (an easily separable document containing only the authorizing language described in paragraph (5) of this section) whose sole purpose is to authorize a LEC to initiate a PLEC change. The letter of agency must be signed and dated by the subscriber to the telephone line(s) requesting the PLEC change.

(3) The letter of agency shall not be combined with inducements of any kind on the same document.

(4) Notwithstanding paragraphs (2) and (3) of this section, the letter of agency may be combined with checks that contain only the required letter of agency language prescribed in paragraph (5) of this section and the necessary information to make the check a negotiable instrument. The letter of agency check shall not contain any promotional language or material. The letter of agency check shall contain in easily readable, bold-face type on the front of the check, a notice that the consumer is authorizing a primary local exchange carrier change by signing the check. The letter of agency language also shall be placed near the signature line on the back of the check.

(5) At a minimum, the letter of agency must be printed with a type of sufficient size to be clearly legible and must contain clear and unambiguous language that confirms:

(a) The subscriber's billing name and address and each telephone number to be covered by the PLEC change order;

(b) The decision to change the PLEC from the current LEC to the prospective LEC;

(c) That the subscriber designates the prospective LEC to act as the subscriber's agent for the PLEC change;

(d) That the subscriber understands that only one LEC may be designated as the subscriber's intrastate primary LEC for any one telephone number. Any carrier designated as a primary LEC must be the carrier directly setting the rates for the subscriber;

(e) That the subscriber understands that any primary LEC selection the subscriber chooses may involve a charge to the subscriber for changing the subscriber's primary LEC. The precise amount of any such charge shall be specified in the letter of agency; and

(f) A toll-free number that the customer can call to verify whether the change has occurred.

(6) Letters of agency shall not suggest or require that a subscriber take some action in order to retain the subscriber's current LEC.

(7) If any portion of a letter of agency is translated into a language other than English, then all portions of the letter of agency must be translated into that language.

(8) The letter of agency shall provide the toll-free telephone number and mailing address of the Consumer Affairs Division of the Department of Public Service, and shall inform the customer of his/her right to file a complaint with the Consumer Affairs Division.

(C) Provision of Offers in Written Form

Upon request of the customer, offers to provide telecommunications local exchange services shall be sent to the customer in written form, describing the terms and conditions of service.

(D) Applicability

This rule shall apply only to the extent not preempted by federal law.

This rule shall become effective upon adoption and filing. *

History

• EFFECTIVE DATE: August 1, 1997 (Secretary of State Rule Log # 97-31)
• Adopted by the Board on July 14, 1997 to take effect on August 1, 1997.

Chapter 046 UNIVERSAL SERVICE SUPPORT FOR LIBRARIES, SCHOOLS, AND HEALTH CARE FACILITIES

30-046 Code Vt. R. 30-000-046-X UNIVERSAL SERVICE SUPPORT FOR LIBRARIES, SCHOOLS, AND HEALTH CARE FACILITIES

SUBCHAPTER 7.200 Universal Service Support for Schools, Libraries, and Health Care Facilities

7.210 Discounts

7.211 Establishment of Discount

(A) Schools and libraries in Vermont shall be eligible to receive discounts on telecommunications services.

(B) It is the purpose and intent of this rule to conform with the discount for schools and libraries created by the Federal Communications Commission (the FCC) in its May 8, 1997, Order in CC Docket No. 96-45, as amended.

(C) Unless otherwise specifically stated otherwise, the definitions of terms, the eligibility of entities for discounts, and the applicability of discounts to services are all controlled by the federal program.

7.212 Amount of Discount

(A) Schools and libraries qualify for the following discounts on intrastate telecommunications services, but only if the federal rule provides the same discount levels for interstate telecommunications services:

| SCHOOLS AND LIBRARIES DISCOUNT MATRIX | DISCOUNT LEVEL | | | --- | --- | --- | | HOW DISADVANTAGED? | urban discount | rural discount | | % of students eligible for national school lunch program | (%) | (%) | | < 1 | 20 | 25 | | 1-19 | 40 | 50 | | 20-34 | 50 | 60 | | 35-49 | 60 | 70 | | 50-74 | 80 | 80 | | 75-100 | 90 | 90 |

(B) Eligibility and qualification shall be governed by the federal rule.

7.213 Lowest Corresponding Price

The FCC program requires that telecommunications services be offered at the "lowest corresponding price," that is, the lowest price that a service provider charges to non-residential customers who are similarly situated to a particular school, library, or consortium for similar services. It is this price that is discounted under the program.

7.220 Rate Disputes

7.221 Schools and Libraries

Rate relief to schools, libraries, consortia, as well as service providers, may be sought in three particular situations:

(A) where the lowest corresponding price is unfairly high or low;

(B) where the rate offered by the provider does not represent the lowest corresponding price; and

(C) where the lowest corresponding price is not compensatory because the relevant entity is not similarly situated to and subscribing to a similar set of services to the customer paying the lowest corresponding price.

7.222 Rural Health Providers

For rural health providers, if there are no tariffed or publicly available rates for supported services, or if the carrier believes the rate calculated by the FCC's methodology is unfair, the carrier may submit a cost-based rate. The filing by the carrier must be supported by a justification that includes an itemization of the costs of providing the service.

7.223 Procedure

Requests for relief by a school, library, or consortium will be processed by the Board using the procedures for a consumer complaint.

History

• Effective date: October 27, 1997Statutory Authority: 30 V.S.A. §§ 2 and 209
• EFFECTIVE DATE: October 27, 1997 (Secretary of State Rule Log #97-47)

Chapter 047 RULE 6.100 - RELATING TO GAS SAFETY

30-047 Code Vt. R. 30-000-047-X RULE 6.100 - RELATING TO GAS SAFETY

SUBCHAPTER 6.100 ENFORCEMENT OF SAFETY REGULATIONS PERTAINING TO INSTRUSTATE GAS PIPELINE AND TRANSPORTATION FACILITIES

6.101 Purpose and Scope

These rules describe the enforcement authority and procedures to achieve and maintain gas pipeline and transportation safety within the State of Vermont. They also prescribe the sanctions which may be requested by the Department of Public Service and imposed by the Vermont Public Service Board for safety violations.

6.102 Inspections & Information

(A) The Department may conduct inspections of gas pipelines or transportation and storage facilities.

(B) The Department may at any time request information reasonably related to enforcement of gas safety rules or regulations. Such information shall be provided within fifteen (15) days. Where the Department determines that an emergency need for such information exists, the Department may require information to be provided immediately.

6.103 Warnings

(A) When, based upon an inspection or other information, the Department has reason to believe that a person is not in compliance with applicable gas safety rules or regulations or orders issued thereunder, the Commissioner of the Department or the Commissioner's designee may issue a warning in accordance with subsection (B) of this section.

(B) A warning of non-compliance shall notify the owner or operator of the facility that is alleged to be in non-compliance of the alleged violation(s), or the person involved in the alleged violation(s) if different, and shall advise the person, owner, or operator involved to correct the violation(s) or be subject to further enforcement proceedings. All warnings shall be in writing, shall state the probable violation(s) and shall state the date by which each violation is to be corrected.

6.104 Enforcement Proceedings

(A) If the Department determines that a person has violated a statute, rule, regulation, or any order of the Board pertaining to gas safety, the Department may initiate an enforcement proceeding by serving a Notice of Probable Violation on said person. A copy of said Notice shall be filed with the Board and shall be treated as a petition to impose penalties under 30 V.S.A. § 2816. The Department or Board may initiate an enforcement proceeding without first sending a warning under Section 6.103 of this rule to that person alleged to have violated the statute, rule, regulation, or Board Order.

(B) A Notice of Probable Violation shall include:

(1) A statement of the statute, rule, regulation, or order issued thereunder which the person is alleged to have violated;

(2) A brief statement of the evidence upon which the allegation(s) is based;

(3) Notice of response options available (See Section (E) of this Rule);

(4) Statement of remedial action sought;

(5) If a civil penalty is proposed, the amount of the proposed civil penalty (See 30 V.S.A. § 2816) .

(C) The Department may amend a Notice of Probable Violation at any time prior to issuance of a final Board order. If an amendment includes any new material allegations of fact or proposes new or additional remedial action or an increased civil penalty, the person to whom the Notice is directed shall have an additional 15 days from the time the amended Notice is received to respond.

(D) Within 30 days of receipt of a Notice of Probable Violation any person who is the subject of an enforcement proceeding shall make a written response to the Department and to the Board.

(E) Where the Notice of Probable Violation contains a statement of remedial action sought or proposes the imposition of a civil penalty, any person who is the subject of enforcement proceedings pursuant to that Notice may:

(1) Agree to take the remedial action sought and submit a plan for compliance which shall include a schedule of steps to be taken and a date by which complete compliance shall be obtained;

(2) Pay the proposed civil penalty by certified check payable to the Board; and/or

(3) Object to imposition of the remedial action and the imposition of the penalty and request a hearing before the Board.

(F) A request for hearing under Section 6.104(E) of this rule in response to a Notice of Probable Violation issued pursuant to this rule must include a statement of the issues intended to be raised at hearing. In the statement of issues, the person requesting the hearing shall assert any defenses he or she intends to raise and, if the person intends to claim that mitigating factors are present, shall include an explanation of those factors, accompanied by supporting data or other information. The request may also include any offer made in compromise of the proposed civil penalty or remedial action.

(G) If the alleged violator agrees to the remedial action sought by the Department and agrees to pay the proposed civil penalty, pursuant to Section 6.104(E)(1) and (2) of this rule, the alleged violator will be deemed to have waived notice and an opportunity for hearing provided the Board's final Order is substantially consistent with the remedial action and/or penalty agreed to by the Department and the alleged violator.

(H) After notice and an opportunity for hearing, the Board shall enter its final order in the matter. The final order may include:

(1) A statement of actions, if any, required to be taken and the date by which such actions must be taken; and

(2) The amount of any civil penalty imposed.

(I) Any person found to be in violation of any statute or rule, regulation, or order issued thereunder may be made subject to a civil penalty in accordance with 30 V.S.A. § 2816. In imposing a civil penalty on any person, the Board shall consider the gravity of the violation, the culpability of the person responsible for the violation, any history of prior violations, the good faith of the person charged in attempting to achieve compliance, the size of the business of the person being charged, and the likely effect of the penalty.

(I) sic(J) In addition to the procedures set forth in this section, the Board, on its own initiative or in response to a petition, may initiate an investigation into a possible violation of any statute, rule, regulation, or order issued thereunder pertaining to gas safety.

6.105 Expedited Hearing

(A) If the Department determines during or after inspection that a gas facility presents an immediate hazard to life, health, property, or continued utility service, the Department may file with the Board a Request for Expedited Hearing or for a Temporary Restraining Order along with the Department's Notice of Probable Violation. The Request shall be accompanied by supporting Affidavit(s) which state plainly the hazard(s) and the Department's best estimate of the time in which action must be taken. Upon receipt of the Department's Request, the Board shall schedule an expedited hearing or shall deny the Request, stating its reasons.

(B) Whenever an expedited hearing is held the Board may enter a temporary order, including a Temporary Restraining Order and impose any of the sanctions outlined in Section 6.104(H) of this rule in the same manner as if it had held a regular hearing. The temporary order shall remain in effect until a regular hearing is held in due course.

SUBCHAPTER 6.150 ENFORCEMENT OF SAFETY REGULATIONS PERTAINING TO CONSTRUCTION AND OPERATION OF GAS TRANSMISSION AND DISTRIBUTION SYSTEMS

6.151 Purpose and Scope

These Rules cover the design, construction, installation, operation, maintenance, testing, inspection, and safety features of gas transmission and distribution systems, including gas storage, metering and regulating stations, mains and services up to the outlet of the customer's meter assembly, or outside the building wall, whichever is further downstream.

These Rules and Regulations shall be complied with in all new installations but shall not apply retroactively to existing facilities except where specifically indicated or if the Public Service Board determines that existing equipment or operations are hazardous to the public.

These Rules and Regulations shall apply to every person, firm, company, corporation and municipality engaged in the construction or operation of any gas transmission or distribution system in the State of Vermont which is or shall become subject to the jurisdiction of this Board.

6.152 Definitions

The definitions in effect as of the date of the adoption of the rules, and as they may thereafter from time to time be amended, contained in the regulations of the Transportation of Natural and Other Gases by Pipeline, parts 191, 192, 193, 198, and 199, Title 49, The Code of Federal Regulations, as in effect as of the effective date of these Rules, shall apply.

"Gas Corporation" shall mean any person, firm, company, corporation or municipality engaged in the transmission or distribution of gas by a piping system.

"Federal Regulations" shall mean the regulations of the Transportation of Natural and Other Gases by Pipeline, parts 191, 199, 193, 198 and 199, Title 49, Code of Federal Regulations and any subsequent revisions.

"Board" shall mean the Public Service Board of the State of Vermont.

6.153 Modifications or Revisions

Upon its own motion, or upon application, and for good cause shown, the Board may modify, suspend or repeal the provisions of any rule herein, provided the modification, suspension, or repeal does not violate the Federal Regulations. Only in the case of an emergency may these regulations be waived. Application may be made to the Board for modification of any rule or for temporary or permanent exemption from its provision. However, in instances where the requested modification or exemption would also require a departure from the applicable Federal Regulations, such application also must be submitted to the Office of Pipeline Safety. A copy of the Office of Pipeline Safety decision shall be submitted to the Public Service Board. Such an application for modification for exemption must be accompanied by a full and complete justification for the proposed change.

6.154 Compliance With Federal Regulations

Every gas transmission or distribution system shall be constructed, tested, and operated, except as otherwise provided in these Rules, in compliance with the provisions of the presently effective Federal Regulations and any future revisions of that code. When the regulations stated in these Rules are more stringent than the Federal Regulations, provisions in these Rules shall apply; if the provisions as stated in these Rules are less stringent than the Federal Regulations, the Federal Regulations shall take precedence.

6.155 Service Piping

Gas service piping up to the entry of the first building downstream of that customer, or, if the buried pipe does not enter a building, up to the principle gas utilization equipment or the first fence (or wall) that surrounds that equipment, shall be installed and maintained pursuant to these Rules and the Federal Regulations. However, for a customer-owned service line, as defined in the Federal Regulations, for an industrial application, responsibility for compliance with these Rules and the Federal Regulation resides with the industrial customer.

For a customer-owned service line, as defined in the Federal Regulation, the Gas Corporation may assess the reasonable cost of complying with this section to the customer owning or using such customer-owned service line. Such assessment must be reviewed and approved by the Board pursuant to a tariff filing under 30 V.S.A. §§ 218, 225, 226, and 227.

6.156 Curb Shut-Offs

Curb shut-offs, usable in an emergency to shut off the supply of gas, shall be installed on all high-pressure gas services whenever the regulator is located within the customer's premises and on all low-pressure gas services whenever gas is supplied to a building where the public assembles, e.g., a school or theater.

Curb shut-offs shall be inspected at reasonable intervals, and when such devices are located on services supplying a building where the public assembles, e.g., a school or theater, they shall be inspected by the Gas Corporation at least once each year.

All gas service piping not requiring a curb shut-off pursuant to Federal Regulations shall have a device installed to cut off the gas outside the cellar wall area, whenever service has been discontinued for a period in excess of twelve (12) consecutive months. A service line that has been disconnected for a period of five (5) years or longer must be physically disconnected at the main. This physical disconnection mav be waived if the service line was built after July 31, 1971, and it is being maintained as if it is an active service line.

6.157 Maps of Transmission and Distribution System

Upon request of the Board or Department of Public Service, the Gas Corporation shall file with the Board and the Department of Public Service a complete set of maps of the requested area showing the location of the pipes and grids, pipe sizes, operating pressures, valves, regulator stations, and other pertinent data showing that the transmission or distribution system has been constructed or reconstructed in accordance with these Rules.

6.158 Reports of Proposed Construction

Upon request by the Board or the Department of Public Service, a report setting forth the specifications, including application of other design criteria, of the construction or the reconstruction of any gas transmission or distribution system, shall be filed with the Board and the Department of Public Service.

6.159 Interruptions of Service

In the event of a failure of service of gas transmission or a major failure of service of a distribution system, immediate notice shall be given to the Department of Public Service, by telephone or other means of prompt notification to be followed by a written report to the Department of Public Service and the Board. Such written report shall contain all pertinent information known to the Gas Corporation concerning the cause of the failure and the steps proposed or taken to remedy the defect, and shall be submitted within 30 days of the service failure. This requirement shall not apply to any interruptions of service made by a Gas Corporation in accordance with the provisions of contracts between such corporations and their customers.

6.160 Accidents and Emergencies

Accidents occurring on gas transmission or distribution systems and facilities and causing in-patient hospitalization or death to any person or persons, or damage to property in excess of $ 5,000, shall be reported immediately to the Board and Department of Public Service by telephone or other means of prompt notification.

Every Gas Corporation operating a gas transmission or distribution system in the State of Vermont shall file with the Department of Public Service and the Board and with every municipality within which the gas transmission distribution system is located, the names, addresses and telephone numbers of two responsible officials of such gas corporations who may be contacted in the event of an emergency.

6.161 Application of Other Design Criteria

When specifying materials for gas transmission pipelines, current industry standards, including criteria for pipe fracture toughness shall be considered.

6.162 Gas Unaccounted For

Within 12 months of the effective date of these Rules, or sooner if required, as a condition of a certificate of public good under 30 V.S.A. §§ 102 and 231, a program shall be adopted by every Gas Corporation to keep to a minimum the amount of gas that is lost or unaccounted for. Gas Corporations shall file an annual statement with the Department of Public Service of the Gas Corporation's gas unaccounted for.

Upon notice from the Board that the twelve-month rolling average of gas unaccounted for by a Gas Corporation appears to exceed the national average, and if upon examination the Board determines that the actual amount unaccounted for does actually exceed the national average, such Gas Corporation within ninety (90) days of such determination, shall state in writing its plans for reducing this unaccounted for gas. In addition, such Gas Corporation shall file a report every three (3) months thereafter of its progress in reducing that unaccounted for gas until the Board, by further Order, dispenses with this reporting requirement.

When natural gas is to be introduced into a distribution system previously used to supply manufactured gas to customers, appropriate measures shall be taken before the introduction of natural gas to prevent drying out of joints and the formation of dust within the mains.

Consideration should be given to installations of fogging and dust collecting equipment as well as application of sealing compounds prior to the change to natural gas. Routine tests normally made to detect gas leaks in the distribution system shall be intensified for a reasonable period following the conversion to natural gas to facilitate prompt discovery and repair of gas leaks.

6.163 Applicability

All of the above state and federal statutes shall be effective in their present and any future revisions. This Rule supersedes General Order No. 59.63 dated May 5, 1977, and General Order No. 41 dated February 1, 1965.

History

• Effective Date: March 1, 1999 (Secretary of State Rule Log #99-10)
• AMENDED: December 10, 1999 (Secretary of State Rule Log #99-70)

Chapter 048 5.100 CONSTRUCTION AND OPERATION OF NET METERING SYSTEMS

30-048 Code Vt. R. 30-000-048-X 5.100 CONSTRUCTION AND OPERATION OF NET METERING SYSTEMS

Section 5.101 Purpose and Scope

This rule establishes the standards and procedures governing application for, and issuance or revocation of, a certificate of public good for net metering systems under the provisions of 30 V.S.A §§ 219a, 219b and 248. This rule also incorporates the technical specifications related to interconnection requirements and safety standards for net metering systems.

This rule is applicable to all net metered installations in Vermont, and applies to every person, firm, company, corporation and municipality engaged in the construction or operation of any net metering system which is or shall become subject to the jurisdiction of this Board.

Section 5.102 Definitions

For the purposes of this rule, the following definitions apply:

(A) "Account" means a unique identifier assigned by the serving electric utility to a customer for billing purposes. A customer account may include one or more meters.

(B) "Billing Meter" means an electric meter that measures the consumption of electricity by a utility customer.

(C) "Board" means the Public Service Board of the State of Vermont.

(D) "Conditional waiver of a criterion of 30 V.S.A. § 248 " means that the requirements for the presentation of evidence under the criterion, a specific review of the project by the Board under the criterion, and the development of specific findings of facts for the criterion by the Board will be waived, unless any party, or the Board on its own motion, raises, and the Board finds that the application raises, a significant issue under the criterion.

(E) "Customer" means a retail electric consumer.

(F) "Department" means the Department of Public Service of the State of Vermont.

(G) "Facility" means a structure or piece of equipment and associated machinery and fixtures that generates electricity. A group of structures or pieces of equipment shall be considered one facility if it uses the same fuel source and infrastructure and is located in close proximity. Common ownership shall be relevant but not sufficient to determine that such a group constitutes a facility.

(H) "Group net metering" means a group of customers, or a single customer with multiple electric meters, located within the same electric company service territory, where the customer or customers have elected to combine meters in order to offset that billing against a net-metered system.

(I) "kW" means kilowatt or kilowatts (AC).

(J) "kWh" means kilowatt hours.

(K) "Net metering" means measuring the difference between the electricity supplied to a customer and the electricity fed back by a net metering system(s) during the customer's billing period.

(L) "Net metering system" means a facility, as defined in this subsection, that is no more than 500 kW capacity; operates in parallel with facilities of the electric distribution system; is intended primarily to offset part or all of the customer's or group's own electricity requirements; is located on the customer's or a member of the group's premises; and employs a renewable energy source produced using a technology that relies on a resource that is being consumed at a harvest rate at or below its natural regeneration rate pursuant to 30 V.S.A. § 8002(2); or is a combined heat and power system with a capacity up to 20 kW that meets the definition of a combined heat and power facility under 10 V.S.A. § 6523(b)(2). A net metering customer or group may employ one or more net metering systems.

(M) "Net Metering Technical Specifications" mean the technical and safety requirements for interconnection of net metering systems with electric companies' distribution systems as attached in Appendix A (Tables 1 through 5). From time to time, the Board may, after opportunity for comment, by rule amendment or order, modify or revise the specifications.

(N) "Peak Demand" means the highest monthly peak reported in either the electric company's FERC form 1, page 401b, column (d); or the electric company's Electric Annual Report to the Vermont Department of Public Service for the Year End, page E-8, column (b).

(O) "Production Meter" means an electric meter that measures the amount of kWh produced by a net-metered generation source.

(P) "Net Metering Application Form" means the current Board application form for net metering systems in effect at the time the form is filed. From time to time the Board may modify or revise such application form.

(Q) "Net Metering Registration Form" means the current Board registration form for net-metered photovoltaic systems in effect at the time the form is filed. From time to time the Board may modify or revise such registration form.

(R) "Residential rate" means the kWh rate component of the serving utility's general residential rate schedule that consists of two rate components: a service charge and a kWh rate, excluding time-of-use and demand rates. If a utility's general residential rate schedule includes inclining block rates, the residential rate shall be the highest of those block rates.

(S) "Technical evidentiary hearing" means a quasi-judicial proceeding, under the Board's Rules of Practice, where all parties have opportunity to present evidence and to cross-examine witnesses presented by other parties.

(T) "Time-of-Use Meter" means an electric meter that measures the consumption of electricity at the time it is consumed.

Section 5.103 Rates, Fees and Payments

Net-metered customers shall pay the same rates, fees or other payments and be subject to the same conditions and requirements as all other purchasers from the electric company in the same rate class, except for appropriate and necessary conditions approved by the Board for the safety and reliability of the electric distribution system.

Section 5.104 Energy Measurement for Net Metering Systems

(A) Electric energy measurement for net metering systems shall be calculated in the following manner:

1. The electric company which serves the customer or group shall measure the net electricity produced or consumed during a billing period, in accordance with normal metering practices.

2. If, at the end of a billing period, the electricity supplied by the electric company exceeds the electricity generated and fed back to the electric distribution system during the billing period, then the customer or group shall be billed for the net electricity supplied by the electric company, net of any credit accumulated in the preceding 12 months, in accordance with normal metering practices.

3. If, at the end of a billing period, the electricity generated by the customer or group exceeds the electricity supplied by the electric company the electric company shall calculate a monetary credit to the customer pursuant to the billing procedures set forth in Section 5.105.

4. Any accumulated credits shall be used within 12 months from the month earned or shall revert to the electric company without any compensation to the net metering system customer.

5. Any net excess generation reverting to the company shall be considered SPEED resources pursuant to 30 V.S.A. § 8005 and Rule 4.300.

6. For net metering systems using time-of-day, demand or other types of metering, the manner of measurement and the application of bill credits for the electric energy produced or consumed shall be substantially similar to that specified for use with a single non-demand meter.

Section 5.105 Billing Standards and Procedures

(A) Customer Billing Requirements: The bill of a net metering customer should include the dollar amount of any credits for generation carried forward from the previous months, the dollar amount of credits for generation that have expired in the current month, the dollar amount of credits generated in the current month, the dollar amount of credits for generation remaining, the total kWh generated by the generation facility or facilities (if separately metered), the total kWh allocated to a group net metering customer (if applicable), and the credits for solar generation (if applicable).

(B) Membership in Multiple Net Metering Groups: Individual customer accounts may be enrolled in only one group net metering arrangement at one time. Customers with multiple accounts may enroll each of the accounts in separate group net metering arrangements at one time. In addition, groups may, subject to Board approval, have more than one generation facility attributed to the group, may increase the capacity of existing generation attributed to the group, and may merge separate groups.

(C) Demand and Time-of-Use ("TOU") Customer Interconnection Requirements: In order for a demand or TOU customer to receive credits valued at the utility's residential rate, the customer must, at its own expense, install a separate meter to measure production from the generation source and the generator must be interconnected directly to the utility grid such that the generation does not offset consumption measured by the customer's meter or meters.

(D) Billing for Customers with One Billing Meter: In the case of a customer account with a Billing Meter measuring net consumption, the billing credit calculation is made by multiplying any excess production registered on the meter by the underlying energy rate for that customer and applying that credit to the customer's bill.

(E) Billing for Group Systems and Customers with Multiple Billing Meters: In the case of a single customer with multiple Billing Meters or a group of customers where the generation is interconnected to the utility grid such that the generation does not offset consumption of the customer or group, the billing calculation involves allocating the total production associated with the group in the manner prescribed by the group to each group member. Each customer is credited at the underlying energy rate for that customer. In the case of demand or time-of-use customers under this scenario, the calculation is the same except that the customer is credited at the residential rate rather than the demand or TOU energy rate. Under this scenario customers are required to install a Production Meter to measure total generation.

In the case of a single customer with multiple Billing Meters or a group of customers where the generation is physically connected to a Billing Meter such that the generation offsets consumption of the customer or group member(s), the billing calculation involves allocating the net production on the Billing Meter(s) in the manner prescribed by the group to each group member. Each customer is credited at the underlying energy rate for that customer. In the case of demand or time-of-use customers under this scenario, the calculation is the same and the customers are credited at the demand or TOU energy component rate. Under this scenario, installation of a Production Meter is optional.

Customers may allocate kWh credits on a percentage basis to each group member account or they may elect to allocate kWh credits such that the bill of one member or account is first offset, with any additional kWh credits applied to the next group member(s) or account(s) in an order selected by the customer or group.

(F) Incentives. Bills to net metering customers shall reflect any additional incentives or credits required by 30 V.S.A. § 219a or allowed under a tariff approved under that statute.

Section 5.106 Group System Requirements

(A) In addition to any other requirements of 30 V.S.A. §§ 219a and 248 and Board rules, before a group system may be formed and served by an electric company, the group shall file with the Board and all other parties required by the application form, the following information:

1. The meters to be included in the group system, which shall be located within the same electric company service territory;

2. A method for adding and removing meters included in the group system and direction as to the manner in which the electric company shall allocate any credits among the meters included in the system, which allocation subsequently may be changed only on written notice to the company by the person designated under 5.106(A)(3);

3. A designated person responsible for all communications from the group system to the serving electric company, except for communications related to billing, payment, and disconnection; and

4. A binding process for the resolution of any disputes within the group system relating to net metering that does not rely on the serving electric company, the Board, or the Department. This process does not apply to disputes between the electric company and individual group members regarding billing, payment, or disconnection.

(B) The electric company shall implement appropriate changes to a group system within thirty days after receiving written notification from the person designated under subsection 5.106(A)(3). However, written notification of a change in the person designated under subsection 5.106(A)(3) shall be effective upon receipt by the company. The company shall not be liable for action based on such notification, but shall make any necessary corrections and bill adjustments to implement revised notifications.

(C) The electric company shall bill directly and send all communications related to billing, payment, and disconnection directly to each individual group member customer account. The usage charges for any account so billed shall be based on the individual meter for the account.

(D) If it determines that it would promote the general good, the Board shall permit a noncontiguous group of net metering customers to comprise a group net metering system. In making its determination, the Board shall give due consideration to any comments filed regarding the net metering application.

Section 5.107 Electric Company Requirements

(A) Electric companies:

1. Shall make net metering available to any customer using a net metering system on a first-come, first-served basis until the cumulative output capacity of net metering systems equals 4.0 percent of the distribution company's peak demand during 1996 or the peak demand during the most recent full calendar year, whichever is greater;

2. Shall allow net metering systems to be interconnected using a kWh meter capable of registering the flow of electricity in two directions or such other comparably equipped meter that would otherwise be applicable to the customer's usage but for the use of net metering;

3. May, at their own expense, and with the written consent of the customer, install one or more additional meters to monitor the flow of electricity in each direction;

4. Shall charge the customer a minimum monthly fee that is the same as other customers of the electric distribution company in the same rate class, but shall not charge the customer any additional standby, capacity, interconnection, or other fee or charge related to net metering;

5. May charge reasonable fees for interconnection, establishment, special meter reading, accounting, account correcting and account maintenance of group systems and systems greater than 15 kW;

6. May charge a reasonable fee to cover the cost of electric company improvements necessary to distribute power if the capacity of the distribution system is determined by the Board to be insufficient for the designed generation;

7. May require that all meters included within a group system be read on the same billing cycle;

May book and defer, with carrying costs, additional incremental costs, to the extent that such costs are not already recovered directly related to implementing group systems and systems greater than 15 kW in capacity.

(B) All such requirements shall be pursuant to and governed by a tariff approved by the Board and any applicable Board rule or order, which tariffs shall be designed in a manner likely to facilitate net metering.

(C) Notwithstanding the provisions of section 5.104, an electric company may contract to purchase all or a portion of the output products from a group net metering system, provided:

1. The system obtains a certificate of public good pursuant to section 5.110.

2. Any contracted power shall be subject to the limitations set forth in subsection 5.107(A)

4. Any contract shall be subject to interconnection and metering requirements in subsection 5.107(A) and section 5.111.

5. Any contract may permit all or a portion of the tradeable renewable energy credits for which the system is eligible to be transferred to the electric company.

Section 5.108 Conditional Waiver of 30 VSA Section 248(b) Criteria

Pursuant to 30 V.S.A. § 219a(c)(2)(a), which provides that the Board may waive the requirements of 30 V.S.A. § 248(b) that are not applicable to net metering systems, the Board conditionally waives the following criteria:

(A) For net metering systems which are installed on or in an existing structure or new home or business, all criteria under 30 V.S.A. § 248(b), with the exception of 30 V.S.A. § 248(b)(3) (stability and reliability).

(B) For wind turbines and other systems which are installed on, as, or within a new structure which is not a home or business:

1. All criteria under 30 V.S.A. § 248(b), with the exception of 30 V.S.A. §§ 248(b)(1) (orderly development), (3)(stability and reliability), (5)(environmental considerations), and (8)(outstanding resource waters).

2. With respect to 30 V.S.A. § 248(b)(5), all criteria and subcriteria, except for compliance with 10 V.SA. §§ 6086(a) 1(A)(headwaters), 1(B)(waste disposal), 1(D)(floodways), 1(E)(streams), 1(F)(shorelines), 1(G)(wetlands), 4(soil erosion), 5(traffic; impacts during construction only), 8(aesthetics, historic sites, natural areas), 8(A)(necessary wildlife habitat), and (9)(K) (public facilities). If the system uses biomass as a fuel, compliance shall also be required with 10 V.S.A. § 6086(a)(1) (air pollution).

Section 5.109 Aesthetic Evaluation of NetMetered Projects

(A) The Board has adopted the Vermont Environmental Board's Quechee analysis for guidance in assessing the aesthetic impacts of net-metered projects, including wind turbines. In determining whether a project raises a significant issue with respect to aesthetic criteria contained in 30 V.S.A. § 248(b)(5), the Board is guided by the two-part test outlined below:

1. First a determination must be made as to whether a project will have an adverse impact on aesthetics and the scenic and natural beauty. In order to find that it will have an adverse impact, a project must be out of character with its surroundings. Specific factors used in making this evaluation include the nature of the project's surroundings, the compatibility of the project's design with those surroundings, the suitability of the project's colors and materials with the immediate environment, the visibility of the project, and the impact of the project on open space.

The next step in the two-part test, once a conclusion as to the adverse effect of the project has been reached, is to determine whether the adverse effect of the project is "undue." The adverse effect is considered undue when a positive finding is reached regarding any one of the following factors:

a. Does the project violate a clear, written community standard intended to preserve the aesthetics or scenic beauty of the area?

b. Have the applicants failed to take generally available mitigating steps which a reasonable person would take to improve the harmony of the project with its surroundings?

c. Does the project offend the sensibilities of the average person? Is it offensive or shocking because it is out of character with its surroundings or significantly diminishes the scenic qualities of the area?

Analysis of whether a particular project will have an "undue" adverse effect on aesthetics and scenic or natural beauty is also significantly informed by the overall societal benefits of the project.

(B) With respect to the Board's review of an application for a single wind turbine under 150 feet in height, there shall be a rebuttable presumption that the wind turbine does not have an undue adverse aesthetic impact.

Section 5.110 Certificates of Public Good

(A) Applications for photovoltaic systems of 10 kW or less in capacity:

A application for a certificate of public good under this subsection shall use the Board's Net Metering Registration Form in lieu of the Board's Net Metering Application Form.

1. Service. Upon filing the Net Metering Registration Form with the Board, in accordance with the current filing procedures prescribed by the Board, the applicant must also submit a copy of the form to the serving electric company and the Vermont Department of Public Service. The applicant shall ensure that the form is complete and includes all required information.

2. Completed Forms. Upon receiving a Net Metering Registration Form, Board staff will review the Registration Form for completeness. If the form is incomplete, the Clerk of the Board will inform the applicant of the deficiencies, and the applicant will be required to resubmit a complete form.

Submission of Comments. If the interconnecting electric company believes that the interconnection of a system raises concerns, the company must file a letter detailing those concerns with the customer and the Board within ten days of receiving a complete Net Metering Registration Form. The letter must also provide a recommendation as to how the interconnection issues can be resolved by the applicant. The company must also send an electronic copy of the letter to the installer of the system indicated on the registration form. If an objection to the interconnection has been timely filed by the interconnecting electric company, the applicant shall not commence construction of the project until the interconnection issues have been resolved. If no letter raising interconnection issues is timely filed with the Board by the interconnecting utility, a CPG shall be deemed issued by the Board on the eleventh day following the filing of the Net Metering Registration Form, without further proceedings, findings of fact, or conclusions of law, and the applicant may commence construction of the system. The computation of the number of days following the filing of a complete Net Metering Registration Form does not include weekends, state legal holidays under 1 V.S.A. § 371(a), and federal legal holidays under 5 U.S.C. § 6103(a).

(B) Applications for systems that are either non-photovoltaic systems of up to 150 kW in capacity, or photovoltaic systems of greater than 10 kW and up to 150 kW in capacity:

1. Form and Content. An application for a certificate of public good under this subsection shall be filed with the Board in accordance with the filing procedures and Net Metering Application Form prescribed by the Board and shall contain all of the information required by the instructions to that form.

2. Service of Applications. The applicant shall provide copies of the completed Net Metering Application Form to the persons and organizations as indicated in the application form's instructions.

3. Submission of Comments and Requests for Hearing. If any person wishes to submit comments to the Board concerning an application filed pursuant to this subsection, file a motion to intervene, or request a technical evidentiary hearing, such correspondence is due at the Board within the time prescribed in the application form instructions. If a person requests a technical evidentiary hearing, the person must make a showing that the application raises a significant issue regarding one or more of the applicable criteria listed in Section 5.108. Such a showing must go beyond general or speculative claims, and provide specific information regarding potential impacts for the criteria or the criteria conditionally waived in that section.

4. Hearings. In cases where the Board determines that a system raises a significant issue with respect to one or more of the substantive criteria applicable to the system, the Board may determine to hear evidence on the issue. In any decision resulting from such a hearing, the Board need only issue findings and conclusions on the criteria concerning which it determined to hold a hearing.

5. Approval. In cases where there are no objections or requests for hearing and the Board determines that the application does not raise a significant issue, the Board will issue a certificate of public good following the review period as specified in the application form.

(C) Applications for systems of greater than 150 kW in capacity :

Applications for systems greater than 150 kW in capacity shall be filed in accordance with the following requirements;

Notice Requirements ; The applicant must provide written notice, at least 45 days in advance of filing a § 219a application, to the following entities:

(a) legislative bodies and municipal and regional planning commissions in the communities where the project will be located;

(b) the Secretary of the Agency of Natural Resources;

(c) the Commissioner of the Department of Public Service and its Director for Public Advocacy;

(d) the landowners of record of property adjoining the project sites;

(e) the Public Service Board;

(f) and the serving electric company.

The notice shall state that the applicant intends to make a § 219a application, identify the location of the facility site(s), and provide a description of the proposed project(s). In addition, the notice must contain sufficient detail about the proposed project(s) to allow the parties receiving the notice to understand the impact of the project(s) on the interests of those parties. The notice shall provide contact information and state that recipients may file inquiries or comments with the applicant with respect to the project and that recipients will also have the opportunity to file comments with the Board once the application is filed. If the applicant has not filed an application for the project, pursuant to the filing requirements below, within 180 days of the date of the advance notice, the notice will be considered withdrawn.

If the applicant makes a substantial change to the proposed project, the applicant is required to provide at least 45-days notice of this change to all parties and entities already notified, including any newly affected adjoining property owners. For the purpose of this subsection, a substantial change is one that has the potential for significant impact with respect to any of the criteria applicable to the project.

Filing Requirements ; Upon filing the application with the Board, the applicant must also submit a copy of the application to the municipal planning commission(s) and regional planning commission(s) in the community or communities where the project is located, the Agency of Natural Resources, the Department of Public Service, and the serving electric company. The applicant shall also provide notice to the legislative bodies of the town(s) where the project(s) will be located and the landowners of record of property adjoining the project site(s) that the application has been filed with the Board.

The applicant shall ensure that the application filed includes testimony or exhibits fully addressing each of the areas listed below. Any witness sponsoring an exhibit or testimony must file a notarized affidavit stating that the information provided is accurate to the best of their knowledge and have personal knowledge of and be able to testify as to the validity of the information contained in the exhibit or testimony. The applicant shall file proposed findings of fact and a proposed certificate of public good with the application.

Applicant Name. The application shall include the name, contact information and a description of the company or person making the application.

Host landowners. The application shall include the names and addresses of the landowners on whose property the proposed facilities would be built.

Adjoining Landowners. The application shall include the names and addresses of all adjoining property owners. This information shall be obtained from the most recent version of the town's grand list.

Certification that Notice Requirements Have Been Met. The applicant must certify that it has complied with the advance notice requirements listed above.

Project Description

1. Site Plans. The applicant must provide a site plan for each project. A site plan shall include:

(a) Proposed facility locations and any incidental project features.

(b) Approximate property boundaries and setback distances from those boundaries to the nearest corners of each of the related structure, approximate distances of any nearby residences, and dimensions of all proposed improvements.

(c) Proposed utilities, including approximate distance from source of power, sizes of service available and required, and approximate locations of any proposed utility or communication lines.

(d) A description of any areas where vegetation is to be cleared or altered and a description of any proposed direct or indirect alterations or impacts to wetlands and other natural resources protected under 30 V.S.A. § 248(b)(5), including the limits of earth disturbance and the total acreage disturbed.

(e) Detailed plans for any drainage of surface and/or sub-surface water and plans to control erosion and sedimentation both during construction and as a permanent measure.

(f) Locations and specific descriptions of proposed screening, landscaping, ground cover, fencing, exterior lighting, and signs.

(g) Plans of any proposed access driveway, roadway, or parking area at the facility site, including grading, drainage and traveled width, including a cross section of the access drive indicating the width, depth of gravel, paving, or surface materials.

(h) The latitude and longitude coordinates for each proposed project.

2. Elevation Drawings

(a) For each proposed structure, the applicant must provide elevation drawings.

(b) The elevation drawings must be at appropriate scales but no smaller than 1"/20'.

(c) The applicant must include two elevation drawings of the proposed structures drawn at right angles to each other, showing the ground profile to at least 100 feet beyond the edge of any proposed clearing, and showing any guy wires or supports. The elevation drawing shall show height of the structure above grade at the base, and describe the proposed finish of the structure.

(d) The elevation drawing shall indicate the relative height of the facility to the tops of surrounding trees as they presently exist.

(e) Each plan sheet shall be clearly labeled with the project title, date, revision date(s), scale, and name of the person or firm that prepared the plan.

Environmental Criteria. The applicant must address each of the applicable criteria set forth in Section 5.108. To the extent that the proposal will create an adverse impact affecting any of these criteria, the applicant should describe what measures, if any, will be taken to minimize such impact.

Local and Regional Plans. The applicant shall provide copies of the relevant sections of the Town Plans and Regional Plans in effect in the communities in which the proposed facilities will be located and describe how the project meets or complies with the land conservation measures in those plans.

Completed Applications. Upon receiving an application under this subsection, Board staff will review the application for completeness. If the application does not substantially comply with the application requirements set forth herein, the Clerk of the Board will inform the applicant of the deficiencies. Upon submission of all information necessary to address the deficiencies, the Clerk of the Board shall notify the applicant that the filing is complete.

Submission of Comments and Requests for Hearing. If any person or other entity wishes to submit comments to the Board concerning an application filed pursuant to this subsection, file a motion to intervene, or request a hearing, such correspondence is due at the Board within 21 calendar days of the date that the application was submitted to the Board and all required parties. Anyone requesting a hearing must make a showing that the application raises a significant issue regarding one or more of the criteria listed in Section 5.108 or the criteria conditionally waived in that section. Such a showing must go beyond general or speculative claims, and provide specific information regarding potential impacts for the criteria.

(D) Termination :

1. Transfer of Certificates. A certificate of public good for a net metering system is automatically transferred when the property with a net metering system is sold or otherwise conveyed. The new owner may commence net metering provided that the new owner:

(1) agrees to operate and maintain the net metering system according to the terms and conditions of the certificate of public good and in compliance with this Rule 5.100 and;

(2) files the Board-approved transfer form with the Board and the electric company. The Board will provide a simplified transfer form for this purpose.

2. Revocation. The Board may, after notice and opportunity for hearing, revoke any certificate of public good for a net metering system for the following causes:

a. the certificate was based on false or misleading information supplied by the applicant;

b. the system was not installed, or is not being operated, in accordance with the National Electric Code or applicable interconnection standards;

c. the holder of the certificate has failed to comply with the conditions of approval, representations made in the application, or this rule; or

d. other good cause exists for revocation.

Section 5.111 Interconnection Requirements

Net metering facilities of 150 kW or less in capacity shall be installed and operated in accordance with Appendix A, the Net Metering Technical Specifications (Tables 1 through 5). Net metering systems greater than 150 kW in capacity, shall follow the interconnection procedures contained in Board Rule 5.500.

Section 5.112 Disconnection of a NetMetered System

(A) The following procedures shall govern disconnection of a net-metered system from the electrical system. These procedures apply to net metering customers only and do not supplant Board Rules 3.300 and 3.400 relating to company disconnection in general.

(B) Customers that initiate a permanent disconnection of their net metering systems must notify their respective electric company, and the electric company must notify the Board and the Department of the disconnection.

(C) In the event an electric company needs to perform an emergency disconnection of a net metering system, when continued interconnection of the system is likely to result in significant disruption of service or is likely to endanger life or property, the electric company must notify the customer within 24 hours after the disconnection. For the purpose of this section, the term emergency shall mean a situation in which continued interconnection of the net metering system is imminently likely to result in significant disruption of service or endanger life or property.

1. If the emergency is not caused by the net metering system, the company shall reconnect the net metering system upon cessation of the emergency.

2. If the emergency is caused by the net metering system, the company must communicate the nature of the problem to the customer within 5 days, and attempt to resolve the problem. If the problem has not been resolved within 30 days of an emergency disconnection, the electric company shall file a disconnection petition with the Board.

(D) Non-emergency disconnections shall follow the same procedure as emergency disconnections outlined above, except that the electric company will give written notice of the disconnection no earlier than 10 days and no later than 3 working days prior to the first date on which disconnection of the net metering system may occur. Such notice shall communicate the reason for disconnection to the customer and the expected duration of the disconnection. An electric company may obtain, at the discretion of the customer, a net metering customer's written agreement to notice requirements for non-emergency disconnections which are different from those set forth in this Rule, provided that the electric company first advises the customer of his or her rights under this rule and informs the customer that he or she may contact the Consumer Affairs and Public Information Division of the Vermont Department of Public Service. For group systems, such agreement may be obtained from the person designated under section 5.105(B).

(E) Customers who are involuntarily disconnected may file a complaint with the Board at any time following disconnection. Within 30 days of the date the complaint is filed, the Board may hold a hearing to investigate the complaint. In the event of the filing of such a complaint, the electric company shall carry the burden of proof to demonstrate the reasonableness of disconnection.

Section 5.113 Electric Company Tracking of NetMetered Systems

All electric companies with net-metered customers shall maintain current records of the cumulative amount of net metered generation within their respective service territories, pursuant to 30 V.S.A. § 219a. Electric companies shall also keep current records regarding the number and size of net-metered systems and disconnections of net-metered systems in their service areas.

Section 5.114 Abandonment of a Certificate of Public Good

Non-use of a certificate of public good for a period of one year following the date on which the certificate is issued shall constitute an abandonment of the net metering system and the certificate of public good shall be considered revoked. For the purpose of this section, for a certificate to be considered used the net metering system must be installed within one year of the issuance of the certificate of public good, unless installation is delayed by litigation or unless, at the time of issuance or in a subsequent proceeding, the Board provides that installation may be completed at a later time.

Appendix A. Requirements.

Table 1- Requirements for all Applications up to 150 kW in capacity.

Display Table

Table 2 - Specific Interconnection requirements for net metering classified generators up to 15 kW using inverters (static power converters)

Display Table

Table 3 - Specific Interconnection requirements for net metering classified generators up to 15 kW using rotating power converters (induction generators or synchronous generators)

Display Table

Table 4 - Specific Interconnection requirements for net metering classified generators from 15 kW up to 150 kW using inverters (static power converters)

Display Table

Table 5 -- Specific Interconnection requirements for net metering classified generators from 15 kW up to 150 kW using rotating power converters (induction generators or synchronous generators)

Display Table

History

• STATUTORY AUTHORITY: 30 V.S.A. § 219a
• EFFECTIVE DATE: March 1, 2001 Secretary of State Rule Log #01-06
• AMENDED: July 1, 2003 Secretary of State Rule Log #03-18; November 1, 2007 Secretary of State Rule Log #07-043; April 15, 2009 Secretary of State Rule Log #09-006; January 27, 2014 Secretary of State Rule Log #14-001

Chapter 049 7.100-CONTINUOUS EMERGENCY ACCESS (CEA)

30-049 Code Vt. R. 30-000-049-X 7.100-CONTINUOUS EMERGENCY ACCESS (CEA)

Section 7.101 Definitions

For purposes of this rule, the following definitions apply:

(A) ALI - Automatic Location Identification: The system capability to identify automatically the service address of the telephone being used by the caller and to provide a display of that location information at any public safety answering point.

(B) Board - Vermont Public Service Board.

(C) CEA - Continuous Emergency Access: The provision at the customer's network interface of continuous access to emergency law enforcement, fire and emergency medical services via 911. CEA does not include provision of any customer premises equipment or any services on the customer's side of the network interface device.

(D) CEA Provider - The service provider responsible for fulfilling the CEA obligations under these rules.

(E) Department - Vermont Department of Public Service.

(F) Primary Residential Line - An access line carrying a residential local exchange class of service under applicable tariffs to a residential dwelling. When a residential dwelling is served by more than one line providing a residential local exchange class of service, the line that had residential service established earliest is the primary residential line.

Section 7.102 Duty to Provide CEA

(A) Lines Supported. Each CEA Provider shall provide CEA continuously on each primary residential line where telephone service has been installed.

(B) The duty to provide CEA under these rules applies to the local exchange carrier that owns the local loop facilities which most recently provided local service to the premise.

(1) However, where a carrier provides local service through purchase of wholesale services, such as unbundled network elements or resale services, the carrier actually providing retail local exchange service to the customer immediately prior to the disconnection is responsible for providing CEA, regardless of the ownership of the facilities used to provide CEA.

(C) CEA shall not be removed from any line unless replaced by another service or capability providing access to the same calling capabilities as CEA, or through discontinuance of CEA as authorized below.

Section 7.103 Emergency Calling Requirements

(A) Every CEA Provider shall deploy CEA simultaneously with disconnection, so that access to enhanced 911 emergency service is continuous.

(B) Each CEA Provider shall provide ALI information to the enhanced 911 system.

Section 7.104 Customer Notice

(A) Notice. Each local exchange carrier shall inform its customers that all primary residential lines are entitled to continuous access to enhanced 911, even after regular service has been terminated. Such notice shall be provided in each of the following circumstances:

(1) At least annually, in writing, to all customers by way of telephone directories, bill inserts or through other similar methods.

(2) Either orally or in writing to any customer when the customer requests or gives permission for disconnection.

(3) Either orally or in writing to any customer who is disconnected involuntarily. The notice must be provided not more than 20 days before the involuntary disconnection, and it may be combined with a notice of disconnection for non-payment.

(B) Recorded Oral Notice. Each CEA Provider shall provide a recorded oral announcement on each CEA line. The announcement shall notify customers attempting to place an outgoing call that they can reach emergency services by dialing 911.

Section 7.105 Service Quality

(A) Any oral notice required by this Rule shall be clear and shall have equal audio volume and sound quality as other audio notices used by the provider.

(B) Voice conversation over the CEA connection shall be clear and shall have equal audio volume and sound quality as regular voice service.

(C) The service quality for voice conversation over the CEA connection shall be at least equal to that of regular voice service. Connect time for the CEA connection shall not be greater than regular service.

Section 7.106 Discontinuance of CEA

(A) Temporary Discontinuance.

(1) CEA may be temporarily discontinued at a location if the CEA Provider's facilities are insufficient to provide restoration or initiation of service to another business or residential location. Where more than one CEA connection can provide the necessary relief, CEA that can be restored most quickly shall be the one to be temporarily discontinued. The CEA Provider shall ensure that no reasonably available technical alternative exists prior to use of discontinued CEA facilities.

(2) Whenever CEA is temporarily discontinued, it shall be restored as soon as possible, but in any event, within 180 days of discontinuation. The Board may grant an extension of time for the restoration of CEA on the basis of costs or other conditions which may delay the completion of restoration.

(3) The CEA Provider shall notify the occupant in writing at the service address that the CEA is being temporarily discontinued no later than the date of temporary discontinuance. The CEA Provider shall provide a toll-free telephone number and an address by which the occupant can contact the carrier to seek further information or assistance. If the occupant provides a physician's certificate as defined in Board Rule 3. 301(D), the CEA Provider shall restore CEA as soon as possible.

(B) Permanent Discontinuance.

(1) A CEA Provider may permanently discontinue CEA under any of the following circumstances:

(a) The structure provided with CEA is vacant and is scheduled to be demolished.

(b) A multi-line premise is converted to a single-line premise or to a multi-line premise with fewer lines, and the remaining line(s) are in service. For this purpose, the discontinuation of service on one or more lines to a multi-line premise shall not in itself be sufficient to establish that a multi-line premise is being converted to a single-line premise.

(c) The CEA Provider reasonably determines and documents in writing that other conditions exist such that service will not likely be reinstated to the structure.

(d) The CEA Provider detects fraudulent use of the line.

(e) Primary residential dial tone is being provided by another local exchange carrier.

(f) Six months following when a customer requests or gives permission for disconnection of local telephone service.

Section 7.107 Transitional Provisions

(A) This Rule applies to all primary residential lines that are disconnected after the effective date of this Rule.

(B) Within thirty days after the effective date of this Rule, all companies subject to its provisions shall submit to the Board and the Department a copy of the written notices and the script for the oral notices and recorded oral notice described in section 7.104.

History

• Effective Date: March 15, 2002 (Secretary of State Rule Log # 02-10)
• Statutory Authority: 30 V.S.A. C. 5 § 209

Chapter 050 TELEPHONE NUMBER RESOURCE USE AND ADMINISTRATION (7.300)

30-050 Code Vt. R. 30-000-050-X TELEPHONE NUMBER RESOURCE USE AND ADMINISTRATION (7.300)

Section 7.301 Definitions

A. End user: a person or entity who initiates a telephone call.

B. N11 code: any one of the three-digit dialing codes in the form N11 unavailable under the North American Numbering Plan for assignment as area codes or central office codes and used to connect end users to special services where N is a digit between 2 and 9, inclusive.

C. N11 service manager: an entity, other than a telephone company, responsible for operational oversight of a service to which end users connect when calling an N11 code.

D. Telephone company: a person or company offering a telecommunications service as defined in Title 30 V.S.A. that uses telephone numbers.

Section 7.302 Abbreviated Dialing Codes

The purpose of this Rule is to ensure the efficient use of limited abbreviated dialing code resources and to encourage the development of abbreviated dialing code services that are of high quality and that provide a consistent performance to end users regardless of the end user's telephone company.

An N11 service manager may be designated for any N11 code not actively in use or reserved by the Federal Communications Commission for use by telephone companies. The terms of any designation under this Rule shall be consistent with the terms of any assignment or designation by the Federal Communications Commission.

A. Completion of calls made to N11 codes. All telephone companies not exempted by state or federal law shall complete calls made by end users to any N11 code for which an N11 service manager for the code has been designated under this Rule.

B. Charges to end users. No telephone company may charge an end user for placing a call to an N11 service, except as otherwise provided in federal law, or as otherwise authorized by the Public Service Board. Except as otherwise provided in federal law, the Public Service Board may determine end-user charges for placing a call to an N11 service.

Section 7.303 Designation of N11 service managers for N11 codes

A. An entity may seek designation as an N11 service manager for an N11 code under this section, provided that the N11 code does not otherwise have an N11 service manager specifically designated under state or federal law for the geographic area proposed to be served.

B. Each geographic area shall have one N11 service manager per N11 code. The geographic area may be the entire state of Vermont, or upon good cause shown, one or more subdivisions. The geographic area in which each N11 service manager provides service shall be determined by the Public Service Board at the time the N11 service manager is designated. Except upon good cause shown, calls shall not be routed to areas smaller than, or with boundaries inconsistent with, existing exchange boundaries or wireless coverage areas.

C. Petition form and content. An entity seeking designation under this Rule as an N11 service manager shall file a petition with the Public Service Board. The petition shall identify the N11 code and the proposed geographic area coverage, and shall describe the use intended for the code by the proposed N11 service manager. The petition shall include the following additional information and shall demonstrate that the petitioner will meet the following standards:

(1) a description of the organizational structure and management of N11 service manager along with the N11 service manager's articles of association and bylaws, if any;

(2) evidence of sufficient technical and managerial expertise to administer the service;

(3) evidence of a sufficient and stable source of funding;

(4) a proposed implementation date that affords affected entities sufficient time to undertake necessary implementation arrangements;

(5) a plan for coordination of services with other active and future N11 service managers operating in the proposed and neighboring geographic coverage areas, which plan demonstrates that the proposal will not cause any undue technical difficulty for telephone companies;

(6) a plan for public education about the use of the N11 code sufficient to assure that the proposed use will not cause customer confusion;

(7) a technical proposal consistent with the provisions of Section 7.303 B for routing N11 calls;

(8) a proposal for the mechanism, if any, by which telephone companies will or may recover costs associated with the N11 service;

(9) an operational plan for ensuring availability of the N11 service 24 hours per day, 7 days per week or an explanation of why a lesser level of availability is appropriate;

(10) a service quality proposal which shall include the standards, if any, by which the N11 service manager's performance will be determined, the means by which performance regarding those standards will be measured, and a method by which the performance will be reported;

(11) if the N11 code in question currently has an N11 service manager, an explanation of the justification for changing N11 service manager designation and an administration transition plan;

(12) other information showing that the proposal must be practical, cost-effective and consistent with the public interest.

D. Service of petition. The petitioner shall provide a copy of the petition to the Department of Public Service, the Vermont Enhanced-911 Board, all other N11 service managers designated to provide service within the area the petitioner proposes to serve or in a neighboring area within Vermont, all local exchange carriers certified to provide service within the area the petitioner proposes to serve, and all commercial mobile radio service providers certified to provide service within the area the petitioner proposes to serve. Along with each copy of the petition, the petitioner shall provide a list of the persons served under this paragraph.

E. Order. After notice and opportunity for hearing, the Public Service Board shall issue an order accepting, conditionally accepting, or rejecting the petition.

F. Provisional designation. If the Public Service Board finds that provisional designation of an N11 service manager will promote the planning and development of an N11 service in the public interest, the Public Service Board may provisionally designate the petitioner as the N11 service manager. This designation shall be for a fixed period of time. An entity seeking provisional designation as an N11 service manager shall file a petition with the Public Service Board. The petition shall identify the N11 code and the proposed geographic area coverage, and shall describe the use intended for the code. The petition must also include information sufficient to demonstrate compliance, to the extent practicable, with the standards described in 7.303 C.

(1) Telephone companies shall not be obliged to complete N11 calls to an entity because it has received provisional N11 service manager status, but shall make good-faith efforts promptly to provide provisional N11 service manager's information necessary for planning an N11 call routing and answering system.

(2) A provisional N11 service manager may submit a new petition for recognition as a non-provisional N11 service manager at any time, or may request an extension of provisional status.

G. Reporting and evaluation. In an order granting a provisional or non-provisional designation as an N11 service manager, the Public Service Board may require a periodic report by the N11 service manager, and may specify a process for evaluating the performance of the N11 service manager.

H. Term and revocation of designation.

(1) The term of a non-provisional N11 service manager designation shall be indefinite unless expressly limited by the Public Service Board. Designation as an N11 service manager may not be transferred to a successor without prior Public Service Board approval.

(2) Upon its own motion or upon the petition of the Department of Public Service or an entity or person adversely affected by an N11 service manager's performance, the Public Service Board may after notice and opportunity for hearing revoke or suspend its designation of an N11 service manager, or may impose additional conditions on continued designation for failure to adequately administer its N11 code, for failure to comply with conditions of its designation, or if the Public Service Board determines that taking such actions serve the public good of the state.

(3) The burden of proof in a revocation hearing is on the party seeking the revocation or suspension; the standard of proof is the preponderance of the evidence.

History

• Effective Date: September 4, 2002 (Secretary of State Rule Log # 02-31)
• Statutory Authority: 3 V.S.A. § 206; 30 V.S.A. § 2

Chapter 051 GENERAL ORDER NO. 51 INTERPRETATION OF TRANSMISSION AND DISTRIBUTION LINES

30-051 Code Vt. R. 30-000-051-X GENERAL ORDER NO. 51 INTERPRETATION OF TRANSMISSION AND DISTRIBUTION LINES

IT IS HEREBY ORDERED, ADJUDGED AND DECREED that the following rule shall govern the interpretation and applicability of 30 V.S.A. § 248.

A transmission line within the meaning of 30 V.S.A. § 5248, as amended effective March 31, 1972, is a line and related facilities whose primary purpose is the delivery of electric power in bulk to a distribution system or portion thereof which serves individual customers. The Public Utility Commission will assume that each of the following two types of lines are transmission lines within the meaning of 30 V.S.A. § 248, as amended, in the absence of a specific declaration by the Public Utility Commission to the contrary:

(1) any line or facility designed to operate or capable of operating over 30 KV; and

(2) any tie- line designed to operate or capable of operating at any voltage. The tie line is a line whose primary purpose is to interconnect portions of an electric system for area reliability purposes. Specification (1) above does not exclude any line of lower voltage if it would function primarily as a transmission line within the meaning of the first sentence of this definition.

A distribution line (or facility) whose principal purpose is to serve individual customers, and whose service to individual customers is physically interrupted only by a transformer and service drop, remains under the jurisdiction of the Environmental Board and District Environmental Commission as provided by Act 250, 10 V.S.A. § 6001.

30 V.S.A. § 248 does not include any transmission line for which a permit had been granted pursuant to 10 V.S.A. § 6001 et seq. which remains effective. This latter provision is included to comply with 1 V.S.A. § 214(b) (2).

Section 5.301 Applicability

This rule shall govern the calculation of the Energy Efficiency Charge rates, pursuant to 30 V.S.A. § 209(d)(3). This rule does not address the annual budget for the Energy Efficiency Utility program, which shall be determined in a separate Board process.

Section 5.302 For the purposes of this Rule, the following definitions shall apply

(A) BED means the City of Burlington Electric Department.

(B) Board means the Vermont Public Service Board.

(C) Commercial Customers means all non-residential customers using less than 1000 kW of electrical demand service per month for all months during the preceding calendar year or for the most recent preceding twelve-month period.

(D) Customer Credit Program means a particular set of energy efficiency services offered by the EEU, referred to as the Customer Credit Program or Customer Credit Initiative, that was originally approved by the Board in its September 30, 1999, Order in Docket 5980 and subsequently modified, and as may be further modified in the future.

(E) DPS means the Vermont Department of Public Service.

(F) EEU means the statewide Energy Efficiency Utility created by the Board pursuant to 30 V.S.A. § 209(d)(2).

(G) EEU Fund means the Energy Efficiency Utility Fund, which is comprised of the funds collected via the Energy Efficiency Charge, and is administered by the Fiscal Agent.

(H) Electric bill or bill means that portion of a customer's invoice from a Vermont electric distribution utility comprised of charges for retail electric service (whether pursuant to a tariff or a special contract), and any applicable surcharges.

(I) Electric distribution utility means any company, as defined in 30 V.S.A. § 201(a), subject to regulation by the Board, which sells electricity to retail customers in Vermont.

(J) Energy Efficiency Charge means the charge on retail customers' electric bills, pursuant to 30 V.S.A. § 209(d)(3), the proceeds from which are used to fund energy efficiency services delivered in multiple electric distribution utility service territories.

(K) Fiscal Agent means the fund administrator for the funds collected via the Energy Efficiency Charge, pursuant to 30 V.S.A. § 209(d)(3).

(L) Generation Displacement means the displacement of a customer's own generation of electricity by electricity supplied by an electric distribution utility, where otherwise the customer could meet its needs through its own existing generation.

(M) Industrial Customers means all non-residential customers using 1,000 kW or more of electrical demand service per month for any month during the preceding calendar year or for the most recent preceding twelve-month period.

(N) Rate Revenues means the revenues an electric distribution utility receives from its retail electric sales.

(O) Residential Customers means all customers to whom electricity is supplied for residential or domestic purposes, consistent with each electric distribution utility's tariffs for residential service.

(P) Station Service means electricity service provided to generating stations by an electric distribution utility at times when the generating station is not producing electricity for itself.

Section 5.303 General Terms

(A) The Energy Efficiency Charge shall be established at constant rates for calendar months, beginning with bills rendered on or after February 1 of each year, with no proration, using the methodologies set out in Sections 5.305(E) and 5.305(F). However, for good cause, the Board may change by Order the Energy Efficiency Charge rates during any 12-calendar-month period, after providing an opportunity for public comment.

(B) All retail customers' electric bills shall be subject to, and shall be used in the calculation of, the Energy Efficiency Charge, except bills for (1) service provided under generation displacement contracts to customers who do not receive energy efficiency services; (2) station service exempted by the Board in its October 15, 2004, Order in Docket 6987; (3) service provided under any other special contracts specifically exempted by the Board in its October 15, 2004, Order in Docket 6987, and successors to those contracts, if specifically exempted by the Board at the time that such successor contracts are approved; and (4) any service specifically exempted by Board Order, for good cause shown, with explicit reference to this Rule.

(C) Payment of the Energy Efficiency Charge by customers of an electric distribution utility is a requirement for service and is subject to applicable law and Board rules, including but not limited to those rules governing deposit and disconnection for non-payment.

(D) The Energy Efficiency Charge shall be shown on at least a single line on bills sent by all electric distribution utilities to customers.

(E) To the extent applicable to the Energy Efficiency Charge, each electric distribution utility shall bill and remit the sales tax on the Energy Efficiency Charge in the same manner as it otherwise bills and remits the sales tax.

Section 5.304 Information Needed to Calculate the Energy Efficiency Charge Rates

(A) The methodologies for calculating the Energy Efficiency Charge rates (set forth in Section 5.305) shall use information regarding the total amount to be collected statewide via the Energy Efficiency Charge for energy efficiency services, and the total amount to be collected in BED's service territory via the Energy Efficiency Charge for energy efficiency services. The total amount to be collected statewide and the total amount to be collected in BED's service territory will be determined by the Board in separate processes.

(B) The methodologies for calculating the Energy Efficiency Charge rates shall use kWh and kW sales and revenue data from the most recent calendar year for which complete information is available. Some of this information shall be obtained from either the FERC Form 1 or the Annual Report that is required to be filed with the DPS by each electric distribution utility. The specific information to be obtained from these reports shall be:

. Total Rate Revenues

. Rate Revenues from Residential Customers

. kWh Sales to Residential Customers

. Such other information as the Board may deem necessary for the calculation of the Energy Efficiency Charge

Additional kWh and kW sales and revenue data from the most recent calendar year for which complete information is available shall be provided by each electric distribution utility to the Board and the DPS, on or before September 15 of each calendar year, using the electronic filing format designated by the Board for this purpose. The specific information to be provided by each electric distribution utility shall be:

. Rate Revenues from Residential Customers Exempt from Paying the Energy Efficiency Charge, if any

. kWh Sales to Residential Customers Exempt from Paying the Energy Efficiency Charge, if any

. Rate Revenues from Commercial Customers Exempt from Paying the Energy Efficiency Charge, if any

. kWh Sales to Commercial Customers Exempt from Paying the Energy Efficiency Charge, if any

. Rate Revenues from Industrial Customers Exempt from Paying the Energy Efficiency Charge, if any

. kWh Sales to Industrial Customers Exempt from Paying the Energy Efficiency Charge, if any

. Rate Revenues from Commercial Customers

. kWh Sales to Commercial Customers

. Energy Revenues from Demand-Billed Commercial Customers

. Demand Revenues from Demand-Billed Commercial Customers

. kWh Sales to Demand-Billed Commercial Customers

. Billed Peak kW Sales to Demand-Billed Commercial Customers

. Rate Revenues from Industrial Customers

. kWh Sales to Industrial Customers

. Energy Revenues from Demand-Billed Industrial Customers

. Demand Revenues from Demand-Billed Industrial Customers

. kWh Sales to Demand-Billed Industrial Customers

. Billed Peak kW Sales to Demand-Billed Industrial Customers

. Such other information as the Board may deem necessary for the calculation of the Energy Efficiency Charge

After provision of notice and opportunity to comment to DPS and the electric distribution utilities, the Board may modify, in a manner applicable to all electric distribution utilities, the foregoing list of information to be provided by those utilities.

(C) The methodologies for calculating the Energy Efficiency Charge rates shall use information regarding utility uncollectible amounts related to the Energy Efficiency Charge. This information shall be provided by each electric distribution utility to the Board and the DPS on or before September 15 of each calendar year, using the electronic filing format designated by the DPS for this purpose.

1. The specific information to be provided by each electric distribution utility shall be:

. The actual amount of uncollectibles related to the Energy Efficiency Charge for the first eight months of the current calendar year. In determining uncollectible amounts attributable to the Energy Efficiency Charge, an electric distribution utility may include, after exhausting reasonably available remedies, a partial non-payment of a bill by a customer, provided that the only portion of such non-payment attributed to the Energy Efficiency Charge is that amount determined by multiplying the partial non-payment by a fraction with the numerator consisting of the Energy Efficiency Charge amount on the bill and the denominator consisting of the total amount on the bill. If a utility's billing system does not allow the actual amount of non-payments attributed to the Energy Efficiency Charge to be easily determined, a utility may calculate the amount of uncollectible amounts attributed to the Energy Efficiency Charge by multiplying the utility's total amount of uncollectible amounts by a fraction with the numerator consisting of the utility's Energy Efficiency Charge billings and the denominator consisting of the utility's retail billings for the same time period.

. A reasonable estimate of the uncollectibles related to the Energy Efficiency Charge for the remaining four months of the current calendar year.

. A carrying charge for uncollectibles related to the Energy Efficiency Charge for the current calendar year. This charge shall be calculated by multiplying the uncollectibles related to the Energy Efficiency Charge for the current calendar year by either the electric distribution utility's Allowance for Funds Used During Construction rate or, if the electric distribution utility does not have such a rate, the electric distribution utility's short-term borrowing rate.

2. The specific information to be provided by the DPS shall be:

. The difference between the prior year's estimate of the uncollectibles related to the Energy Efficiency Charge for the last four months of the prior calendar year and the actual uncollectibles related to the Energy Efficiency Charge for that period. This difference shall be calculated by subtracting the prior year's estimate from the sum of the actual amounts provided by the distribution utilities when they requested reimbursement for their prior year's uncollectibles related to the Energy Efficiency Charge pursuant to Section 5.310. The result may be a positive or negative number.

(D) The methodologies for calculating the Energy Efficiency Charge rates shall use information regarding previous over- and under-collections of the Energy Efficiency Charge. This information shall be provided by the DPS, working with the Fiscal Agent, using the electronic filing format designated by the Board for this purpose. The specific information to be provided by the DPS shall be:

. Year 1: A reasonable estimate of over- or under-collections for the current calendar year for each rate class -- residential, commercial, and industrial. Because of the two-month lag between when the Energy Efficiency Charge is applied to billing determinants and when the Fiscal Agent actually receives the funds, collections for the current calendar year will actually occur from March of the current calendar year through February of the following calendar year. The estimate of over- or under-collections shall be determined based upon a comparison of

(a) the sum of the Fiscal Agent's actual collections for March through August of the current calendar year plus the DPS's estimates of the Fiscal Agent's collections for September of the current calendar year through February of the following calendar year; and

(b) the amount authorized to be collected via the Energy Efficiency Charge over the time period described in item (a) above.

Over-collections occur when the estimate in item (a) above exceeds the amount authorized to be collected in item (b) above. Under-collections occur when the amount authorized to be collected in item (b) above exceeds the estimate in item (a).

. Year 2: The difference between the prior year's estimate of the over- or under-collections for the prior calendar year and the actual over- or under-collections for that period for each rate class -- residential, commercial, and industrial. This difference shall be calculated by subtracting the prior year's estimate for each rate class from the actual amount for each rate class. In these calculations, over-collections shall be positive numbers and under-collections shall be negative numbers. The result of the calculations may be positive or negative numbers.

(E) For the year 2012, and any subsequent second year following the end of an EEU's three-year budget, the methodologies for calculating the Energy Efficiency Charge rates shall use information regarding funds previously raised by the Energy Efficiency Charge which exceed the amount which the EEU has spent plus the amount which it has not spent but is obligated to pay (these are referred to as "Uncommitted Funds;" this term is precisely defined in Section 5.305(D)(22)). The Board shall calculate the amount of Uncommitted Funds no later than six months after the end of 2011 and any subsequent year in which an EEU's three-year budget ends.

Section 5.305 Calculation Methodology

(A) The Energy Efficiency Charge rates shall be calculated on a statewide basis, except for the service territory of BED.

(B) The Energy Efficiency Charge shall be designed to raise the total amount to be collected for statewide energy efficiency services plus the additional amount of the gross revenue tax ( 30 V.S.A. § 22) and fuel gross receipts or "weatherization" tax ( 33 V.S.A. § 2503) applicable to the Energy Efficiency Charge, adjusted for (1) electric distribution utility uncollectibles associated with the Energy Efficiency Charge, and (2) over- or under-collection of the Energy Efficiency Charge in prior years.

(C) The Energy Efficiency Charge shall not be designed to raise, and shall not include, the sales and use tax ( 32 V.S.A. § 9971(2) ).

(D) The methodologies for calculating the Energy Efficiency Charge rates for all electric distribution utilities' service territories are detailed in Sections 5.305(E) and 5.305(F). The specific terms used in these methodologies shall have the following meanings for the purpose of this rule.

1. When BED is used immediately preceding another defined term, it means the defined term shall include only information related to BED's service territory.

2. BED Budget means the total amount to be collected in BED's service territory via the Energy Efficiency Charge for energy efficiency services, as determined by the Board.

3. When Commercial is used in conjunction with another defined term, it means the defined term shall include only information related to Commercial Customers.

Demand-Billed Billed Peak kW Sales means the billed peak kW sales to demand-billed customers provided by electric distribution utilities pursuant to Section 5.304(B).

5. Demand-Billed Demand Revenues means the demand revenues from demand-billed customers provided by electric distribution utilities pursuant to Section 5.304(B).

Demand-Billed Energy Revenues means the energy revenues from demand-billed customers provided by electric distribution utilities pursuant to Section 5.304(B).

7. Demand-Billed kWh Sales means the kWh sales to demand-billed customers provided by electric distribution utilities pursuant to Section 5.304(B).

8. Exempt Customer kWh Sales means the sum of all kWh sales to customers exempted from paying the Energy Efficiency Charge, as provided by all electric distribution utilities pursuant to Section 5.304(B).

9. When Industrial is used in conjunction with another defined term, it means the defined term shall include only information related to Industrial Customers.

10. kWh Sales means the kWh Sales provided by electric distribution utilities pursuant to Section 5.304(B).

Light Size means the nominal wattage of an unmetered street or security light.

12. Over- or Under-Collections means the sum of the bulleted items listed in Section 5.304(D) for electric distribution utilities. This may be a positive or negative number.

13. Prior Year Total Budget means the Total Budget that the Board had previously determined should be collected in the prior year (as opposed to the next year). For example, the Energy Efficiency Charge rates for 2006 will be set in

14. In that year, the Prior Year Total Budget would be the Total Budget for 2004, while the Total Budget referred to in the calculation methodologies would be the Total Budget for

16. Rate Revenues means the Rate Revenues provided by electric distribution utilities pursuant to Section 5.304(B).

17. When Residential is used in conjunction with another defined term, it means the defined term shall include only information related to Residential Customers.

18. When Statewide is used immediately preceding another defined term, it means the other defined term shall include information related to all electric distribution utilities.

19. Total Budget means the total amount to be collected statewide via the Energy Efficiency Charge for energy efficiency services in the year for which the Energy Efficiency Charge is being set, as determined by the Board. This amount includes funds for support of the EEU as well as BED's budget for core programs, the Fiscal Agent, the independent audit of the EEU Fund, the DPS's EEU evaluation activities, the cost of publishing an annual newspaper notice regarding the new Energy Efficiency Charge rates (see Section 5.308(B)), and such other costs as the Board may approve. This amount does not include funds for payment of the gross revenue tax ( 30 V.S.A. §

22. and the fuel gross receipts or "weatherization" tax ( 33 V.S.A. §
23. applicable to the Energy Efficiency Charge. This amount also does not include funds needed to "true-up" prior year Energy Efficiency Charge over- or under-collections, and prior year distribution utility uncollectible amounts related to the Energy Efficiency Charge.

18. Total Rate Revenues means the Total Rate Revenues provided by electric distribution utilities pursuant to Section 5.304(B).

19. Uncollectibles means the sum of the bulleted items listed in Sections 5.304(C)(1) and 5.302(C)(2) for electric distribution utilities.

20. For the year 2013 and any subsequent second year following the end of an EEU's three-year budget, Uncommitted Funds means the amount raised by the Energy Efficiency Charge which, as of the end of the calendar year in which an EEU's three-year budget ends, exceeds the amount which the EEU has spent plus the amount which it has not spent but is obligated to pay. The term excludes amounts raised by the Energy Efficiency Charge which are, as of that given date, encumbered under the Customer Credit Program or are necessary to pay obligations relating to the Fiscal Agent, the DPS's EEU evaluation activities, gross revenue taxes ( 30 V.S.A. §

22. , or weatherization taxes ( 33 V.S.A. §
23. . For all other years, Uncommitted Funds shall be equal to zero.

(E) The Energy Efficiency Charge statewide rates shall be calculated using the following steps. These rates shall apply in the service territories of all electric distribution utilities except BED. All italicized terms are the inputs to the calculations as defined in Section 5.305(D).

1a. For the year 2012, and any subsequent year following the end of an EEU's three-year budget:

If Uncommitted Funds < 0.05 * Prior Year Total Budget, then Budget Credit shall be determined by the Board in a separate process

If Uncommitted Funds > 0.05 * Prior Year Total Budget, then Budget Credit = Uncommitted Funds

1b. For all other years, Budget Credit = 0

2. Total Budget - BED Budget + ( Statewide Uncollectibles - BED Uncollectibles) - Budget Credit = Amount to be Allocated

3a. (Statewide Residential Rate Revenues - Dollar Value of Exempt Residential Deliveries) / (Statewide Total Rate Revenues - Dollar Value of Exempt Residential, Commercial, and Industrial Deliveries) = Statewide Residential Revenue Percent

3b. (Statewide Commercial Rate Revenues - Dollar Value of Exempt Commercial Deliveries) / (Statewide Total Rate Revenues - Dollar Value of Exempt Residential, Commercial, and Industrial Deliveries) = Statewide Commercial Revenue Percent

3c. (Statewide Industrial Rate Revenues - Dollar Value of Exempt Industrial Deliveries) / (Statewide Total Rate Revenues - Dollar Value of Exempt Residential, Commercial, and Industrial Deliveries) = Statewide Industrial Revenue Percent

4a. (Amount to be Allocated * Statewide Residential Revenue Percent) - (Statewide Residential Over- or Under-Collections - BED Residential Over- or Under-Collections) = Statewide Residential Collection Amount

4b. (Amount to be Allocated * Statewide Commercial Revenue Percent) - (Statewide Commercial Over- or Under-Collections - BED Commercial Over- or Under-Collections) = Statewide Commercial Collection Amount

4c. (Amount to be Allocated * Statewide Industrial Revenue Percent) - (Statewide Industrial Over- or Under-Collections - BED Industrial Over- or Under-Collections) = Statewide Industrial Collection Amount

5a. Statewide Residential Collection Amount / (Statewide Residential kWh Sales - ( Exempt Residential Customer kWh Sales + Exempt Residential kWh Deliveries + BED Residential kWh Sales)) = Statewide Residential kWh Rate

5b. Statewide Commercial Collection Amount / (Statewide Commercial kWh Sales - (Exempt Commercial Customer kWh Sales + Exempt Commercial kWh Deliveries + BED Commercial kWh Sales)) = Statewide Commercial kWh Rate

5c. Statewide Industrial Collection Amount / ( Statewide Industrial kWh Sales - ( Exempt Industrial Customer kWh Sales + Exempt Industrial kWh Deliveries + BED Industrial kWh Sales)) = Statewide Industrial kWh Rate

6a. Statewide Commercial Demand-Billed Energy Revenues / ( Statewide Commercial Demand-Billed Energy Revenues + Statewide Commercial Demand-Billed Demand Revenues) = Statewide Commercial Demand-Billed Energy Revenue Percent

6b.

1 - Statewide Commercial Demand-Billed Energy Revenue Percent = Statewide Commercial Demand-Billed Demand Revenue Percent

6c. Statewide Industrial Demand-Billed Energy Revenues / ( Statewide Industrial Demand-Billed Energy Revenues + Statewide Industrial Demand-Billed Demand Revenues) = Statewide Industrial Demand-Billed Energy Revenue Percent

6d

1 - Statewide Industrial Demand-Billed Energy Revenue Percent = Statewide Industrial Demand-Billed Demand Revenue Percent

7a. (Statewide Commercial Demand-Billed kWh Sales - BED Commercial Demand-Billed kWh Sales) * Statewide Commercial kWh Rate = Statewide Commercial Demand-Billed Collection Amount

7b. (Statewide Industrial Demand-Billed kWh Sales - BED Industrial Demand-Billed kWh Sales) * Statewide Industrial kWh Rate = Statewide Industrial Demand-Billed Collection Amount

8a. (Statewide Commercial Demand-Billed Collection Amount * Statewide Commercial Demand-Billed Energy Revenue Percent) / (Statewide Commercial Demand-Billed kWh Sales - BED Commercial Demand-Billed kWh Sales) = Statewide Commercial Demand-Billed kWh Rate

8b. (Statewide Commercial Demand-Billed Collection Amount * Statewide Commercial Demand-Billed Demand Revenue Percent) / (Statewide Commercial Demand-Billed Billed Peak kW Sales - BED Commercial Demand-Billed Billed Peak kW Sales) = Statewide Commercial Demand-Billed kW Rate

8c. (Statewide Industrial Demand-Billed Collection Amount * Statewide Industrial Demand-Billed Energy Revenue Percent) / (Statewide Industrial Demand-Billed kWh Sales - BED Industrial Demand-Billed kWh Sales) = Statewide Industrial Demand-Billed kWh Rate

8d. (Statewide Industrial Demand-Billed Collection Amount * Statewide Industrial Demand-Billed Demand Revenue Percent) / (Statewide Industrial Demand-Billed Billed Peak kW Sales - BED Industrial Demand-Billed Billed Peak kW Sales) = Statewide Industrial Demand-Billed kW Rate

9. Statewide Commercial kWh Rate * Light Size * 360 hours per month = Statewide Unmetered Street and Security Light Monthly Rate. A utility may petition the Board for approval to use the total wattage of the light and an alternative number of hours per month when performing this calculation.

10a. Statewide Residential kWh Rate / 0.99 = Final Statewide Residential kWh Rate

10b. Statewide Commercial kWh Rate / 0.99 = Final Statewide Commercial kWh Rate

10c. Statewide Commercial Demand-Billed kWh Rate / 0.99 = Final Statewide Commercial Demand-Billed kWh Rate

10d. Statewide Commercial Demand-Billed kW Rate / 0.99 = Final Statewide Commercial Demand-Billed kW Rate

10e. Statewide Industrial kWh Rate / 0.99 = Final Statewide Industrial kWh Rate

10f. Statewide Industrial Demand-Billed kWh Rate / 0.99 = Final Statewide Industrial Demand-Billed kWh Rate

10g. Statewide Industrial Demand-Billed kW Rate / 0.99 = Final Statewide Industrial Demand-Billed kW Rate

10h. Statewide Unmetered Street and Security Light Monthly Rate / 0.99 = Final Statewide Unmetered Street and Security Light Monthly Rate

(F) The Energy Efficiency Charge rates for BED's service territory shall be calculated using essentially the same methodology as that listed in Section 5. 305(E), except that all inputs shall be specific to BED's service territory. As a result, the Energy Efficiency Charge rate for BED's service territory shall be calculated using the following steps. All italicized terms are the inputs to the calculations as defined in Section 5.305(D).

1. BED Budget + BED Uncollectibles = BED Amount to be Allocated

2a. BED Residential Rate Revenues / BED Total Rate Revenues = BED Residential Revenue Percent

2b. BED Commercial Rate Revenues / BED Total Rate Revenues = BED Commercial Revenue Percent

2c. BED Industrial Rate Revenues / BED Total Rate Revenues = BED Industrial Revenue Percent

3a. (BED Amount to be Allocated * BED Residential Revenue Percent) - BED Residential Over- or Under-Collections = BED Residential Collection Amount

3b. (BED Amount to be Allocated * BED Commercial Revenue Percent) - BED Commercial Over- or Under-Collections = BED Commercial Collection Amount

3c. (BED Amount to be Allocated * BED Industrial Revenue Percent) - BED Industrial Over- or Under-Collections = BED Industrial Collection Amount

4a. BED Residential Collection Amount / (BED Residential kWh Sales - BED Exempt Residential Customer kWh Sales) = BED Residential kWh Rate

4b. BED Commercial Collection Amount / ( BED Commercial kWh Sales - BED Exempt Commercial Customer kWh Sales) = BED Commercial kWh Rate

5a. BED Commercial Demand-Billed Energy Revenues / ( BED Commercial Demand-Billed Energy Revenues + BED Commercial Demand-Billed Demand Revenues) = BED Commercial Demand-Billed Energy Revenue Percent

5b.

1 - BED Commercial Demand-Billed Energy Revenue Percent = BED Commercial Demand-Billed Demand Revenue Percent

5c. BED Industrial Demand-Billed Energy Revenues / ( BED Industrial Demand-Billed Energy Revenues + BED Industrial Demand-Billed Demand Revenues) = BED Industrial Demand-Billed Energy Revenue Percent

5d.

1 - BED Industrial Demand-Billed Energy Revenue Percent = BED Industrial Demand-Billed Demand Revenue Percent

6a. BED Commercial Demand-Billed kWh Sales * BED Commercial kWh Rate = BED Commercial Demand-Billed Collection Amount

6b. BED Industrial Demand-Billed kWh Sales * BED Industrial kWh Rate = BED Industrial Demand-Billed Collection Amount

7a. (BED Commercial Demand-Billed Collection Amount * BED Commercial Demand-Billed Energy Revenue Percent) / BED Commercial Demand-Billed kWh Sales = BED Commercial Demand-Billed kWh Rate

7b. (BED Commercial Demand-Billed Collection Amount * BED Commercial Demand-Billed Demand Revenue Percent) / BED Commercial Demand-Billed Billed Peak kW Sales = BED Commercial Demand-Billed kW Rate

7c. (BED Industrial Demand-Billed Collection Amount * BED Industrial Demand-Billed Energy Revenue Percent) / BED Industrial Demand-Billed kWh Sales = BED Industrial Demand-Billed kWh Rate

7d. (BED Industrial Demand-Billed Collection Amount * BED Industrial Demand-Billed Demand Revenue Percent) / BED Industrial Demand-Billed Billed Peak kW Sales = BED Industrial Demand-Billed kW Rate

8. BED Commercial kWh Rate * Light Size * 354 hours per month = BED Unmetered Street and Security Light Monthly Rate

9a. BED Residential kWh Rate / 0.99 = Final BED Residential kWh Rate

9b. BED Commercial kWh Rate / 0.99 = Final BED Commercial kWh Rate

9c. BED Commercial Demand-Billed kWh Rate / 0.99 = Final BED Commercial Demand-Billed kWh Rate

9d. BED Commercial Demand-Billed kW Rate / 0.99 = Final BED Commercial Demand-Billed kW Rate

9e. BED Industrial Demand-Billed kWh Rate / 0.99 = Final BED Industrial Demand-Billed kWh Rate

9f. BED Industrial Demand-Billed kW Rate / 0.99 = Final BED Industrial Demand-Billed kW Rate

9g. BED Unmetered Street and Security Light Monthly Rate / 0.99 = Final BED Unmetered Street and Security Light Monthly Rate

Section 5.306 Performance of Annual Calculation

(A) By October 15 of each calendar year, the DPS may provide the Board its calculation of the Energy Efficiency Charge rates to be effective with bills rendered on and after the following February 1. Any such calculation shall use the inputs specified in Section 5.304 and the methodologies specified in Sections 5.305(E) and 5.305(F). If the DPS provides such a calculation, the Board shall review the calculation and, by November 1, announce its decision regarding the final Energy Efficiency Charge rates to be effective with bills rendered on and after the following February 1.

(B) If the DPS elects not to provide the Board with the calculation described in Section 5. 306(A), the Board itself shall calculate the Energy Efficiency Charge rates to be effective with bills rendered on and after the following February 1. By November 1, the Board shall announce its decision regarding the final Energy Efficiency Charge rates to be effective with bills rendered on and after the following February 1.

Section 5.307 Decimal Places

(A) All final Energy Efficiency Charge kWh rates shall be calculated to five decimal places and all final Energy Efficiency Charge kW rates shall be calculated to four decimal places.

(B) Notwithstanding Section 5. 307(A), if an electric distribution utility's billing system cannot accommodate the required number of decimal places, it may calculate the energy and/or demand rates using as many decimal places as its billing system can use, up to the required number. Any rounding shall be done by rounding numbers 1 through 4 down, and 5 through 9 up.

(C) On or before September 15 of each calendar year, using the electronic filing format designated by the Board for this purpose and other data reporting requirements (see Section 5.304(B)), each electric distribution utility shall provide to the Board and the DPS the number of decimal places its billing system can accommodate for kWh and kW rates.

Section 5.308 Customer Notice

(A) Annually, in all of its December billing cycles, each electric distribution utility shall publish notice to customers, through a bill insert or newsletter, of the Energy Efficiency Charge rates that will take effect with bills rendered on or after February 1 of the following year, in such form as the Clerk of the Board approves. If, however, an electric distribution utility uses postcard or "printed through the envelope" billing and therefore is unable to provide a bill insert or newsletter, the electric distribution utility shall provide notice to customers of the Energy Efficiency Charge rates that will take effect with bills rendered on or after February 1 of the following year in such form as the Clerk of the Board approves. If a utility uses an identical form to that approved by the Clerk of the Board in a prior year, except for the actual amounts of the EEC rates and the effective date of the new rates, it shall not be necessary for the utility to obtain the Clerk of the Board's approval for the new notice.

Each electric distribution utility may request reimbursement from the DPS for the incremental cost of adding the notice to a bill insert or newsletter which otherwise would be issued to its customers, or, if the electric distribution utility is unable to provide a bill insert or newsletter, the electric distribution utility may request reimbursement from the DPS for the incremental cost of the form of notice approved by the Clerk of the Board. Any requests for reimbursement must be received by the DPS by February 20 of the year in which the new Energy Efficiency Charge rates will take effect.

(B) In December of each year, the Board may, at its discretion, publish a newspaper notice stating the Energy Efficiency Charge rates that will take effect with bills rendered on or after February 1 of the following year, and such other matters as the Board may deem appropriate. Publishing the newspaper notice will be paid for by funds collected via the Energy Efficiency Charge.

Section 5.309 Payment of the Energy Efficiency Charge to the Fiscal Agent

(A) Each electric distribution utility shall send to the Fiscal Agent the total amount of the Energy Efficiency Charge billed to customers no later than 23 days after the end of the billing month. By the same date, each electric distribution utility shall also provide the Fiscal Agent with documentation supporting its calculation of the total amount of the Energy Efficiency Charge billed to customers for the relevant billing month.

Section 5.310 Reimbursement to Electric Distribution Utilities for Uncollectible Amounts Related to the Energy Efficiency Charge

(A) On or before February 20 of each calendar year, each electric distribution utility seeking reimbursement for uncollectible amounts related to the prior year's Energy Efficiency Charge shall submit an invoice to the DPS setting forth the amounts calculated in accordance with 5. 304(C), except that each electric distribution utility shall substitute actual uncollectibles for any estimates used in the 5.304(C) calculation.

(B) On or before March 1 of each calendar year, the EEU Fiscal Agent shall pay each electric distribution utility that submitted an invoice pursuant to Section 5.310(A), the total Energy Efficiency Charge uncollectible amount for the electric distribution utility's service territory in the prior calendar year. Such payments by the EEU Fiscal Agent shall be subject to the "Guidelines for Disbursements from the Energy Efficiency Fund" adopted by the Board as part of its oversight of the Fiscal Agent, as the Board may amend from time to time.

History

• EFFECTIVE DATE:
• October 24, 1972
• AMENDED:
• December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 012]
• STATUTORY AUTHORITY: 30 V.S.A. Ch. 5, § 248

Chapter 052 NONDOMINANT TELECOMMUNICATIONS CARRIERS (7.500)

30-052 Code Vt. R. 30-000-052-X NONDOMINANT TELECOMMUNICATIONS CARRIERS (7.500)

Section 7.501 Purpose

The purpose of this rule is to define the obligations of various kinds of telecommunications carriers under Title 30 of Vermont Statutes, and especially 30 V.S.A. § 227c, relating to nondominant carriers.

Section 7.502 Authority

(A) In accordance with 30 V.S.A. § 227c, this rule modifies, reduces and suspends various requirements under Title 30 of Vermont statutes that would otherwise apply to nondominant providers of telecommunications service. In determining what modifications, reductions or suspensions of Title 30 requirements should be included in this rule, the Public Service Board has determined that competition in the relevant markets, combined with the remaining regulatory requirements of Title 30:

(1) will be sufficient to ensure that the charges, practices, classifications or regulations related to the service are just and reasonable, and are not unjustly or unreasonably discriminatory; and

(2) will afford the public at least as much protection as the applicable regulatory requirements that are modified, reduced or suspended.

(B) This rule also codifies prior precedent of the Public Service Board and in some cases establishes new responsibilities for telecommunications carriers. In so doing, this rule relies on other provisions of Vermont statute, including but not limited to 30 V.S.A. §§ 102, 104-109, 218, 225, 226, 226a, 226b, 227a, 231, and 311.

Section 7.503 Applicability

By order, the Public Service Board may alter the effect of this rule on particular companies or groups of companies.

Section 7.504 Definitions

The following definitions apply to this rule:

(A) "Board" means the Vermont Public Service Board.

(B) "Department" means the Vermont Department of Public Service.

(C) "Dominant" means possessing the ability to set prices in the relevant geographic and functional market for a particular service, taking into consideration:

(1) whether any competitor(s) offer a sufficient quantity of similar or equivalent services;

(2) whether there is reasonable ease of entry into the market for providers of these services; and

(3) any other relevant indicator of market power.

(D) "Eligible Telecommunications Carrier" ("ETC") is a carrier designated by the Board as an eligible telecommunications carrier under Section § 214(e) of the Telecommunications Act of 1996; 47 U.S.C. § 214(e).

(E) "Incumbent" local exchange carrier means any of the ten companies providing local exchange service and designated as eligible telecommunications carriers on January 1, 2002, plus any affiliate, successor or assign of such a carrier that provides local exchange service.

(F) "Local exchange carrier" means a telecommunications carrier that offers local exchange service or exchange access service on a common carriage basis.

(G) "Local exchange service" means two-way voice or data telecommunications within a local exchange, including any bundled or integrated service, of which local exchange service is a component.

(H) "Telecommunications carrier" means a person or company offering telecommunications service to the public on a common carrier basis.

(I) "Telecommunications service" means any service defined in 30 V.S.A. 203(5).

Section 7.505 Corporate Organization and Finance

(A) For purposes of this section, the term "corporate organization and financial review" means review authorized by the following statutes:

(1) 30 V.S.A. § 104 -- Amendments to the articles of association

(2) 30 V.S.A. § 105 -- Payment for stock with property

(3) 30 V.S.A. § 107 -- Acquisition of control of one utility company by another; supervision

(4) 30 V.S.A. § 108 -- Issue of bonds or other securities

(5) 30 V.S.A. § 109 -- Sales and leases; hearings

(6) 30 V.S.A. § 311 -- Merger review

(B) Only dominant local exchange carriers are subject to corporate organization and financial reviews:

(1) All incumbent local exchange carriers shall be classified as dominant local exchange carriers for purposes of this section.

(2) After an opportunity for hearing, the Board, on its own motion, or pursuant to a petition, may find that a dominant local exchange carrier is a nondominant carrier for purposes of this section

(C) After an opportunity for hearing, the Board, on its own motion, or pursuant to a petition, may find that a nondominant carrier is a dominant carrier for purposes of this section.

(D) Any telecommunications carrier not subject to corporate and financial review shall notify the Board within two weeks of completing any transaction that is subject to review under the terms of 30 V.S.A. §§ 107, 109, or 311. Notice shall be accomplished through the filing of a completed form provided by the Board for that purpose.

Section 7.506 Rates and Charges

(A) For purposes of this section, the term "rate review and tariffing" means requirements to file tariffs and to be subject to investigations and orders of the Board, as authorized by the following statutes:

(1) 30 V.S.A. § 225 -- Rate schedules

(2) 30 V.S.A. § 226 -- Rates, hearings, bond

(3) 30 V.S.A. § 227(a) -- Pricing of competitive telecommunications services

(4) 30 V.S.A. § 229 -- Rebates; exceptions

(B) Only dominant local exchange carriers are subject to rate review and tariffing:

(1) All incumbent local exchange carriers shall be classified as dominant local exchange carriers for purposes of this section.

(2) After an opportunity for hearing, the Board, on its own motion, or pursuant to a petition, may find that a dominant local exchange carrier is a nondominant carrier for purposes of this section.

(C) After an opportunity for hearing, the Board, on its own motion, or pursuant to a petition, may find that a nondominant carrier is a dominant carrier for purposes of this section.

(D) Exceptions

(1) Local exchange carriers that impose intrastate terminating exchange access charges shall comply with 30 V.S.A. § 225 with respect to such charges if they exceed the default terminating exchange access charges established by the Board.

(2) Carriers that have made election pursuant to 30 V.S.A. § 227d.

(E) Nondominant Carrier Tariffs

(1) Nondominant carriers shall not file tariffs with the Board.

(2) All tariffs for services offered by nondominant carriers and on file with the Board on the effective date of this rule are null and void, and any subsequent changes to the rates, terms, or conditions of service shall comply with the provisions of Rule 7.600. 30 V.S.A. §§ 202c, 226, 227c

History

• EFFECTIVE DATE: July 21, 2006 (Secretary of State Rule Log # 06-021)

Chapter 053 STANDARDS FOR BILLING, CREDIT AND COLLECTIONS, AND CUSTOMER INFORMATION FOR TELECOMMUNICATIONS CARRIERS (7.600)

30-053 Code Vt. R. 30-000-053-X STANDARDS FOR BILLING, CREDIT AND COLLECTIONS, AND CUSTOMER INFORMATION FOR TELECOMMUNICATIONS CARRIERS (7.600)

Section 7.601 Purpose

The purpose of this Rule is to:

(A) Inform consumers by ensuring that customers and applicants for service receive adequate and timely information from telecommunications carriers about service offerings, account status, and anticipated actions involving disconnections.

(B) Prevent discrimination by ensuring reasonable access to service and ensuring that all customers and applicants for telecommunication services are not subject to unjust discrimination and are not unreasonably denied or disconnected from telecommunications service.

(C) Protect consumers by prohibiting unfair or deceptive practices and establishing minimum mandatory consumer protection standards, including minimum standards for disconnection.

Section 7.602 Applicability

These rules apply to all telecommunications services, as defined in 30 V.S.A. § 203(5), provided within the state of Vermont, including both intrastate services and interstate services to the extent that state jurisdiction is not otherwise preempted by federal law. These rules do not apply to telecommunications services provided by commercial mobile radio service carriers. These rules supercede existing Board Rules 3.300 and 3.400 as they apply to telecommunications carriers.

Section 7.603 Conformity with Statute and Rules

Any provision of a carrier's terms and conditions of service or contracts that conflicts with Vermont Statute or Board rules or orders shall be void and unenforceable unless explicit waiver is granted by the Board. Approval of a tariff containing any such provision shall not be deemed explicit waiver.

Section 7.604 Definitions

(A) "Account balance" is the total amount owed by a customer that has been billed in accordance with this Rule.

(B) "Advance billing" is the practice of requiring customers to prepay for services that will be provided during a specific, identifiable period in the future. Advance billing does not include any funds retained as a security deposit.

(C) "Applicant" is any person who applies for telecommunications service and who is not a customer of the carrier.

(D) "Basic service delinquency" means an arrearage for basic telephone service calculated at the carrier's standalone rate for basic service.

(E) "Basic telephone service" means providing access to the public switched telephone network by providing a dial-tone and the opportunity to originate and terminate local calls. For purposes of this Rule basic telephone service shall include a package or bundle of services that includes basic telephone service.

(F) "Basic telephone service charge" means all charges incurred in connection with provision of basic telephone service, including:

(1) all one-time charges for installing or initiating service;

(2) all fees and charges mandated by law or regulation for the provision of basic service;

(3) and any late payment charges for failure to pay basic service charges. However the term does not include charges for directory assistance and non-published number, additional listing, non-directory listed, and non-listed service; and any charges for call waiting, caller ID, call forwarding and any other services ordered by the customer and ancillary to basic telephone service that are purchased separately and are not part of a bundled package offering.

(G) "Bill" is a written statement (printed or electronic) from a telecommunications service carrier to a customer that requests payment for services rendered, or to be rendered in the case of advanced billing, or notifies a customer of an amount to be debited from an account. A request for payment of charges that have previously been billed, exclusive of any new charges, such as a dunning notice or disconnection notice, is not a bill.

(H) "Billed account" is an account that is assigned a unique identification number by the telecommunications service carrier for tracking purposes.

(I) "Board" means the Vermont Public Service Board.

(J) "Bundle" is a combination of various telecommunications services offered by a provider for a single price.

(K) "Business days" are Monday through Thursday, excluding Vermont legal holidays and any other day when the company's business offices are not open to the public, and any day preceding the day the company's business offices are not open to the public.

(L) "CAPI" is the Consumer Affairs & Public Information Division of the Vermont Department of Public Service.

(M) "Carrier" is an entity providing telecommunications service as defined in 30 V.S.A. § 203(5).

(N) "Clear and conspicuous" is that which would be readily apparent to a reasonable customer.

(O) "Commercial mobile radio service carrier" or "CMRS carrier" is a carrier that is a provider of commercial mobile radio service as defined in 47 U.S.C. § 332(d)(1).

(P) "Customer" is any person who has applied for, been accepted and is receiving telecommunication service as defined in 30 V.S.A. § 203(5) or has agreed to be billed for the same.

(Q) "Delinquency" is failure of the customer to tender payment for a valid bill or charge by the later of (1) within twenty-five days of the postmark date of that bill or charge or the date of other official indicia of mailing, or (2) by a "due date" stated on the bill.

(R) "Department" means the Vermont Department of Public Service.

(S) "Deposit" is any funds, however designated, that are held as security for future payment or performance in accordance with Board Rule 3.200.

(T) "Disconnection" is the deliberate termination, limitation or cessation of any telecommunications service subject to this Rule.

(U) "Dispute" is a grievance, inquiry, or complaint by an applicant or customer about a carrier's application of any Board rule or order, Vermont statute, federal rule or law enforceable by the state, or term or condition offered by the carrier to the applicant or customer.

(V) "Eligible telecommunications carrier" or "ETC" is a carrier designated by the Board as an eligible telecommunications carrier under Section 214(e) of the Telecommunications Act of 1996; 47 U.S.C. § 214(e).

(W) "New carrier" is a carrier listed on another carrier's bill that was not listed during the previous billing cycle.

(X) "Primary residential line" is an access line carrying a residential local exchange class of service under applicable tariffs to a residential dwelling. When a residential dwelling is served by more than one line providing a residential local exchange class of service, the line that had residential service established earliest is the primary residential line.

(Y) "Rate plan" is a set of services, prices, terms and conditions offered by a carrier to a customer.

(Z) "Residential service" means telecommunications service that is provided to a residence and used primarily for domestic purposes.

(AA) "Telecommunications service" means any service defined in 30 V.S.A. 203(5).

(BB) "Toll service" is telecommunications service that connects end users across the boundaries of local calling areas, as established by the Board, and that is activated by a dialing pattern consisting of a "1" and ten following digits.

Section 7.605 Consumer Bill of Rights

(A) Vermont telecommunications consumers have the following rights:

(1) The right to know and control what one is buying.

(2) The right to know from whom one is buying.

(3) The right to know the full price of goods and services purchased.

(4) The right to reasonable payment terms.

(5) The right to fair treatment.

(6) The right to impartial resolution of disputes.

(7) The right to reasonable compensation for poor service quality.

(8) The right of access to basic local exchange service, as long as basic local exchange service charges are paid, regardless of whether they have paid any charges for services other than basic local exchange services.

(9) The right to be free of improper discrimination in prices, terms, conditions, or offers.

(10) The right to privacy by controlling the release of information about oneself and one's calling patterns and by controlling unreasonable intrusions upon privacy.

(11) The right to join with other consumers for mutual benefit.

(B) Directory Errors and Omissions. All carriers shall promptly correct directory assistance and phone directory errors and omissions. Whenever possible, within two business days carriers shall ensure that the correct number is available through directory assistance. Unless it would inconvenience another customer, the carrier shall, if practicable, allow customers to receive calls placed to an erroneously listed number.

Section 7.606 Discrimination Prohibited

(A) A carrier shall provide service and apply the terms of its rate plan, tariff, credit, collections and disconnection policies to applicants and customers on a non-discriminatory basis and in the same manner to all similarly situated customers.

(B) A carrier shall not threaten to undertake collection activities or to disconnect a customer in retaliation for a customer lodging a complaint with the carrier, CAPI or the Board. Nothing in this Rule, however, shall be construed as precluding a carrier from taking all actions legally available to it, including collection or disconnection as otherwise allowed by these rules, with respect to undisputed charges owed by the customer.

(C) If a customer has filed a complaint with CAPI alleging a violation of a statute or Board rules applicable to that carrier, and the complaint is directly related to a pending disconnection, termination or cancellation of service, the carrier may not disconnect, terminate, cancel, or threaten disconnection, termination or cancellation of service until the dispute is resolved.

Section 7.607 Unfair or Deceptive Practices

(A) Prohibited practices. The following practices are prohibited to all carriers:

(1) Use of a company name that is deceptive or unreasonably confusing to customers.

(2) An unfair, deceptive, or unconscionable act or practice in connection with a customer transaction.

(B) Direct marketing efforts. A carrier that conducts direct marketing efforts aimed at specific customers or groups of customers shall conspicuously state on all direct marketing materials any limitations on availability of service. Except as so limited, a carrier shall exercise reasonable care to ensure that it has in hand or can procure within a reasonable amount of time the facilities and is willing to provide the service marketed to all customers who are the subject of the direct marketing effort and who wish to subscribe to the service.

(C) Negative enrollment prohibited. Unless specifically authorized by the Board, no carrier shall employ "negative enrollment" in which customers become enrolled in a service without affirmative selection by the customer.

(D) Number Porting. Carriers shall port a customer's telephone number to another carrier when the other carrier makes a number porting request consistent with the standards and procedures established by the Federal Communications Commission.

Section 7.608 Privacy

(A) Privacy Protection.

(1) Protection. Carriers shall take reasonable care to protect the privacy interests of their customers.

(2) Privacy analysis required. When or before a carrier files a tariff that introduces or modifies a service or implements a technology change that may affect the privacy interests of customers, the company shall file a privacy analysis statement with the Board and Department. The statement shall describe foreseeable changes to customer privacy protections and expectations. The statement shall also describe any privacy-related actions the carrier proposes to take and options the carrier proposes to make available to customers. This subsection does not apply to carriers not required to file tariffs.

(B) Customer proprietary network information, automatic number identification and calling party.

(1) The requirements of 47 C.F.R., Part 64, Subpart P apply to all carriers within the state providing calling party number, ANI or charge number services on intrastate calls in the same manner as those rules apply to interstate carriers.

(2) The requirements of 47 C.F.R., Part 64, Subpart U apply to all telecommunications providers of intrastate services.

(C) Non-directory listed and non-published numbers.

(1) Each carrier providing a telephone number to a customer shall provide the customer with the opportunity to have that number omitted from published directories and to be unavailable to that carriers' and other directory listing services.

(2) When a customer has asked to have his or her number omitted from published directories or to be unavailable to directory listing services, the carrier shall take reasonable care to preserve the customer's privacy according to the terms of the request. Provided, however, that nothing in these rules shall prevent a carrier from:

(1) providing listings information of such customer to other directory assistance providers, carriers and directory publishers for purposes of publishing and delivering directories or as otherwise required by law;

(2) sharing customer information with other carriers and with law enforcement officials to prevent or investigate unlawful use of communications services; or

(3) complying with applicable state or federal legal requirements.

(3) A carrier may impose a reasonable charge for omitting a customer's number from directory information.

(D) Call Blocking.

(1) As described below, carriers providing basic telephone service shall allow their customers to prevent the display of the calling party's name and telephone number on a caller identification display device (Call Blocking). "Per-Call Blocking" means Call Blocking for individual calls. "Per-Line Blocking" means Call Blocking for all calls from the customer's number.

(a) Per- Call Blocking shall be provided free of charge to all customers.

(b) Per-Line Blocking shall be available to all customers. Per-Line Blocking shall be provided at no charge to any customer who has declared a safety risk and to any customer with a non-published number service who requests the service. A customer may demonstrate a safety risk by completing a declaration form provided by the carrier.

(2) When a carrier provides basic telephone service with Per-Line Blocking the carrier shall also provide a telephone number at which the customer can verify at no cost that Per-Line Blocking functions properly.

(3) Carriers providing basic telephone service shall notify customers of the availability of Call Blocking and criteria for obtaining free Per Line Blocking. Notice shall be given:

(a) In the published number directory used by the carrier or annually by other means; and

(b) Individually to any existing or new customer, except that notice of Per-Line Blocking is only required for a customer who requests non-published service or who has declared a safety risk pursuant to subsection (D)(1)(b) above.

(E) Toll-Free and Pay-per-Call Services. Carriers shall provide, individually or in conjunction with other companies, notice at least annually to all customers describing the information that is released to call recipients when the customer places a call to a toll-free or pay-per-call telephone number.

Section 7.609 Rates, Fees, and Charges

(A) Persons Using Adaptive Telecommunications Equipment for Deaf, Speech Impaired, or Hearing Impaired Persons. All carriers shall provide a forty (40) percent discount on intrastate voice services to customers who utilize a TTY or other adaptive telephone equipment for the deaf, speech impaired or hearing impaired. The discount shall apply to all usage charges, including local and toll measured service charges and the usage component of optional calling plans.

(B) Blind, or Visually Impaired Persons. All carriers offering directory assistance shall provide directory assistance without charge to customers who are blind or visually impaired.

(C) Interrupted Service Credit. Carriers shall provide customers with a credit allowance for service interruptions lasting more than twenty-four hours. The credit will be provided to customers who contact the carrier reporting the outage and also to customers that the carrier knows are affected by the outage. The amount shall be at least the amount resulting from the following formula:

Credit = (A x B)/ 720

Where "A" is the outage time in hours (if of continuous duration of twenty-four hours or more), and "B" is the total monthly charges for the affected service.

(E) Late Fees. Any late payment fees shall be listed with the rates for any service upon which a carrier assesses a fee for late payment. No late payment fee shall exceed the legal rate of interest (as set forth in 9 V.S.A. § 41a) . Late payment fees may be imposed only on delinquent amounts that are not disputed or on disputed amounts over six months delinquent.

(F) Returned Payment Charge. Whenever a payment for service (including, but not limited to a check, draft, or electronic payment) is not accepted by the institution on which it is written or charged, a carrier may charge a reasonable fee.

(G) Operator Service. Rates for Operator Service shall not exceed the rates charged by Verizon of New England, d/b/a Verizon Vermont, Inc., or its successor company as filed in its tariff with the Board. This rule applies to all calls made from transient locations such as hotel lobbies and rooms, but it does not apply:

(1) to "dial-around" calls, defined as services selected by the caller and outside the control of the presubscribed carrier and initiated by dialing a toll-free number (such as those with a "1-800" prefix or those using the prefix "1010").

(2) to calls from locations where the person selecting the presubscribed Operator Service Provider carrier is also the person who will be paying the bill.

(3) incumbent local exchange carriers as defined pursuant to Board Rule 7. 500, providing service within their local exchange areas.

Section 7.610 Advertising

(A) In advertising of prices for service or devices, carriers will disclose material charges and conditions related to the advertised prices, including, if applicable and to the extent the advertising medium reasonably allows:

(1) Activation or initiation fees.

(2) Monthly access fees or base charges.

(3) Any required contract term.

(4) Early termination fees.

(5) Terms and conditions related to receiving a product or service for "free."

(6) The times of any peak and off-peak calling periods.

(7) Whether different or additional charges apply for calls outside of the carrier's network or outside of designated calling areas.

(8) Whether prices or benefits apply only for a limited time or promotional period, and, if so, any different fees or charges to be paid for the remainder of the contract term;

(9) Whether any additional taxes, fees or surcharges apply.

(B) Mass marketing efforts. No carrier shall make any offer for services in any public media, including print, television, radio, or promotional literature without:

(1) stating clearly, conspicuously, and in close proximity to the words stating the offer whether any material exclusions, reservations, limitations, modifications, or conditions apply to the service being offered; and

(2) identifying the exclusions or providing a toll-free contact number by which customers may learn of the restrictions.

(C) Disclosures in plain language. Any disclosures required to be provided by carriers shall be clear and conspicuous such that they are rendered in a size, color, contrast, location, duration and audibility that it is readily noticeable, readable and understandable.

Section 7.611 Service Order - Prior Disclosure

(A) At the time a customer orders service from a carrier, the carrier shall provide a clear and understandable description of the terms, conditions, rates, and charges for all requested services. Disclosure shall include, at least the following:

(1) identification of any non-recurring charges, such as installation;

(2) identification of recurring non-usage charges, such as monthly minimum fees or service charge;

(3) identification of usage charges;

(4) identification of disconnection, termination, cancellation and downgrade fees if any;

(5) identification of other fees, surcharges and taxes; and

(6) advice that the customer may cancel service within fifteen days of receiving written confirmation of the service order without incurring any termination or cancellation charges.

Section 7.612 Service Order - Written Confirmation

(A) General. When a customer initiates service, agrees to a change in service whereby the customer is bound to a contract extension, or a customer so requests, the carrier shall provide or confirm the material terms and conditions of service with the subscriber. The confirmation shall be mailed no later than the date on which the customer's first or next bill for the ordered service is mailed or, if the customer so requests within five days of order entry or request. Confirmation may be made by mail, or it may be provided electronically in accordance with subsection (C).

(B) Form of service order confirmation. Confirmation shall include the following:

(1) Notice of the right to cancel service within fifteen days of receiving written confirmation of the service order without incurring any termination or cancellation charges.

(2) If the order is subject to a promotional rate, a clear and understandable description of the duration and conditions of that promotional rate, and the rate changes that will occur at the end of the promotional period.

(3) Notice that CAPI is available for complaint resolution and telephone numbers and addresses of the carrier and of CAPI where further inquiries may be made.

(C) Delivery. Carriers shall make personal delivery of service order confirmations or may mail or send them by equivalent means. However, confirmation may be provided electronically if a customer has explicitly been given a choice and has affirmatively chosen electronic confirmation.

(D) Interpretation of service order. Ambiguities in the terms or conditions of a service order confirmation may be construed against the carrier.

(E) Customer right to cancel. For any reason, a customer may cancel a service order orally or in writing without penalty or further obligation within fifteen (15) days of delivery of an order confirmation. Delivery date shall be determined by the postmark of a mailed notice. The customer shall pay or formally dispute any charge incurred within the 15-day period. By a separately signed statement, a business customer may waive the right to cancel.

Section 7.613 Telemarketing

Notice. Carriers providing telephone directories shall provide notice to customers in that telephone directory describing how customers can be protected from unwanted telemarketing. The carrier may use the form in Appendix A or may provide substantially equivalent information.

Section 7.614 Billing and Payment; General Rules

(A) General bill requirements.

(1) Bills issued by a carrier shall be well organized and shall display all required information clearly and conspicuously.

(2) Bills shall include information that the customer might need to make inquiries about or to contest charges on the bill, including the toll-free number or numbers and an address or addresses at which customers may reach a customer service representative.

(3) Absent a billing error, a customer who pays in full the amount of charges set forth on a carrier's bill shall be deemed to have paid in full for all services provided to that customer during the billing period described on the bill.

(B) Bills shall also contain the following customer-specific information for each billed account:

(1) The name of each carrier providing service to the customer. If a carrier has more than one name, the name appearing on the bill must be the name used to market the service. Where charges for two or more carriers appear on the same telephone bill, the charges must be separated by carrier.

(2) The name of any new carrier or other entity and the charges from any new carrier or other entity appearing on the bill, including a description of the new carrier's or other entity's relationship with the customer, and including a statement, if applicable, that the new carrier or other entity is the customer's presubscribed toll or local exchange carrier.

(3) A brief, non-misleading, plain language description of the product, service or services rendered, sufficient to allow the customer to determine whether the bill accurately reflects the service that the customer requested and received.

(4) The dates that the bill is issued or a postmark, that the current billing cycle closed, and that payment is due.

(5) The balance due at the beginning of the current billing cycle, using a term such as "previous balance."

(6) The amount of the new charges during the current billing cycle, using a term such as "current service." Any usage charges shall be itemized at a unit level (including the number of units consumed and the rates charged per unit). Nonrecurring, recurring, and usage charges shall be separately identified.

(7) The payments received since the previous bill, using a term such as "payments."

(8) The amount of the additional charges during the current billing cycle for untimely payment of past charges, using a term such as "late charge."

(C) Treatment of taxes. The description of any fee or charge on the bill may not state, imply or suggest that the carrier is required by a governmental agency to impose the fee or charge on the end user or collect the fee or charge from the end user, if it is not so required. No carrier may itemize a separate charge to represent the gross receipts tax imposed on carriers under 30 V.S.A § 22.

(D) Billing for third parties restricted. Carriers shall not knowingly or negligently submit bills on behalf of a service provider who:

(1) Fails to comply with 9 V.S.A § 2466 (Goods and Services Appearing on Telephone Bill), or any rule or regulation under that statute.

(2) Fails ordinarily to maintain customer service representatives in accordance with this rule.

(E) Bill delivery. All bills from a carrier shall be sent by U.S. Mail or hand delivered unless the customer agrees to receive them via another means of delivery.

(F) Billing errors. A carrier shall promptly notify its customer after it discovers or is notified of a billing error. The carrier shall correct the error within forty-five (45) days of discovery or notice. A carrier shall investigate when it has reason to believe that a billing error may exist affecting one or multiple customers. A carrier that discovers a billing error affecting more than 100 customers shall within ten days notify CAPI.

(G) Refunds. When a carrier discovers that it has charged in excess of correct rates, it shall credit or refund overcharges occurring within the eighteen months preceding discovery or notice. This provision does not limit any rights or remedies to recover overcharges through civil actions.

(H) Automatic debit of payments.

(1) No carrier shall automatically debit a bank, credit card, or similar account of a customer without first obtaining the customer's clear and unambiguous consent.

(2) Carriers shall send a bill to a customer following an automatic debit, unless the customer has affirmatively agreed to accept debits without receiving a billing statement.

(3) Each carrier shall preserve a clear and unambiguous record of its customers' consent for automatic debits for as long as it continues to automatically debit the customer's account.

(I) Receipt of Payment.

(1) If the customer sends payment by mail, payment is made on the date the carrier receives the payment.

(2) If the customer pays at a branch office or authorized agency of the carrier, payment is made on the date of receipt at that location.

(3) Payment by check or similar instrument is made when tendered, provided that the instrument is subsequently honored.

(J) Large volume exception. If a customer agrees in advance, a carrier may use a billing format that does not conform to this rule. This exception applies only if the customer purchases more than 100 voice access lines, or their equivalent or if the customer regularly pays more than $ 10,000 per month in recurring charges for telecommunications services.

Section 7.615 Billing and Payment; Basic Service

(A) Scope. This section applies to bills that charge for basic telephone service. Its requirements supplement the requirements of the preceding section.

(B) Due date of bills.

(1) The due date of a bill shall not be sooner than 25 days after the bill is mailed or otherwise delivered to the customer. An additional five days shall be added where the carrier mails its bills from a location outside the State and requires customers to mail payment to a location outside the State.

(2) A postmarked bill is considered to have been mailed on the date it is postmarked.

(3) If the due date for payment falls on a Saturday, Sunday, legal holiday, or any other day when the carrier's offices are not open for business, the carrier shall extend the due date to the next business day.

(4) When a carrier provides a customer with multiple notices or contacts that contain different due dates for the same customer account, payment of that account is due on the latest date.

(C) Advance Billing; Discount. A carrier may not require the payment of basic service fees more than one (1) month in advance. A carrier may, however, offer customers the option of receiving a discount for early payment and may require prepayment for equipment provided to the customer.

Section 7.616 Notice of Rate Changes

(A) Notice required. When a carrier changes the rates or other terms and conditions of presubscribed service, the carrier shall provide notice to each customer who may be affected by the change. However, notice is not required for a change to which the customer has previously and specifically agreed, including, but not limited to, those associated with individual customer contracts and promotional offerings.

(B) Timing of notice.

(1) If the change may increase the cost of service for a customer, notice shall be provided at least 30 days in advance of the change, except that companies may provide notice through bill inserts provided that customers are notified at least 15 days in advance of the change. However, where the Board allows a rate increase to take effect on less than 30 days notice, the carrier shall provide notice no later than the date on which the change is effective.

(2) Where a change will decrease rates, notice shall be given not later than the first bill following implementation of the change.

(C) Right to cancel without penalty. A customer may terminate service without penalty at any time within 30 days of the effective date of a change in rates, terms and conditions, where:

(1) the change may increase the cost of service to a customer; and

(2) the customer has not previously and specifically agreed to that change.

Section 7.617 Annual Notice of Rights - Basic Telephone Service

Notice. Carriers shall make service and rate information available in phone directories, websites, or, upon request, in other media, such as brochures. At least annually, carriers shall inform customers in writing that this information is available. Carriers may meet this notice requirement by providing information on the customer's bill or as a bill insert.

Section 7.618 Customer Service Representatives

(A) Each carrier shall provide customer service representatives (CSRs) during normal business hours in the eastern time zone to receive and process customer inquiries and complaints. The number of CSRs on duty shall be reasonably sufficient at that time to respond to expected questions from applicants and customers and to resolve disputes from customers. CSRs shall be properly qualified and instructed to answer questions, resolve disputes, and address requests for service.

(B) Each carrier shall maintain a toll-free telephone number at which customers may contact a CSR, inquire into or dispute any charge contained on the bill or make inquiries into or file complaints regarding service.

(C) CSRs shall have:

(1) Prompt access to each customers' service and billing records.

(2) Authority to order service changes for the customer.

(3) Authority to adjust billing errors, enter into payment arrangements, and resolve disputes.

Section 7.619 Dispute Resolution

(A) Process. A carrier shall address disputes in a responsible manner. Carriers shall employ the following dispute resolution process:

(1) When a carrier becomes aware of a dispute by a customer or applicant, the carrier shall investigate.

(2) The carrier shall provide a response to a dispute within seven business days of receipt of the inquiry or complaint. However, on request of the Department where circumstances require less time or in cases of emergency, disconnections, and reconnections, the carrier shall seek to respond in less time. The response shall include:

(a) A decision on the customer's dispute.

(b) Notice that, if the customer is not satisfied with the decision, the customer may seek further review by higher management within the company (if available) or may contact CAPI and the telephone number of CAPI.

(3) If a customer seeks review of a dispute by higher management within the carrier's organization, the carrier shall respond within fourteen (14) days of the date of the original dispute resolution was appealed.

(4) The carrier shall preserve a record of the substance and results of the investigation for at least one year following the investigation.

(B) CAPI procedure. A customer may contact CAPI at any time, including before he or she has exhausted the carrier's internal dispute resolution process. CAPI shall employ the following process for such complaints:

(1) At any time, CAPI may reject, without investigation, a dispute that is outside its jurisdiction or is without merit.

(2) Within a reasonable time, CAPI shall notify the affected company of the receipt of the dispute. However, CAPI may omit notice if it concludes that a particular complaint should remain confidential or no investigation is necessary.

(3) CAPI may request further information or a response from the company. If so, the carrier shall investigate the dispute and provide a response to the consumer and CAPI.

(a) A response shall be submitted within 14 days of receiving a request for information from the Department.

(b) If the dispute raises complex issues or issues that require more time to resolve than provided above, the carrier shall provide the consumer and the Department with an interim status report within ten days of its receipt of the complaint from the Department. The carrier shall then submit a final report within fourteen (14) days of the submission of its interim status report.

(c) If a timely final resolution cannot reasonably be achieved, the provider shall notify the Department and the consumer and keep both advised of the company's progress towards reaching final resolution.

Section 7.620 Interruption and Disconnection of Telecommunications Service, General Provisions

(A) Service interruption. Carriers shall attempt to provide continuous and uninterrupted service. When a carrier schedules a service interruption for maintenance or repairs, the carrier shall make reasonable efforts to notify customers of the cause and expected duration of the interruption at least 24 hours in advance.

(B) Voluntary or ordered disconnection. Upon request of the customer or upon order of the Board, a carrier may disconnect basic telephone service at any time and without written notice.

(C) Notice required.

(1) Before it involuntarily disconnects any customer's telecommunications service or removes a customer from a rate plan, a carrier shall provide a minimum of fourteen (14) days' written notice. Where payment is made by check or other instrument which is subsequently dishonored, then the number of days between delivery to the carrier of the dishonored instrument and receipt by the carrier of notice of dishonor may be deducted from the minimum number of days prior to disconnection that notice must be sent, but in no event may carriers provide less than four days' notice.

(2) No carrier may charge a fee for issuing a notice of disconnection or rate plan change that exceeds the cost of issuing that notice.

(D) Exceptions to notice requirements. A carrier may involuntarily disconnect any telecommunications service without any prior notice if the disconnection is:

(1) for use that creates a risk to others or the network or is necessary to protect the health or safety of the customer or the general public; or

(2) for fraudulent or other unlawful use.

(E) Disconnection after advance payment. Where a carrier disconnects the service of a customer who has paid service charges in advance, the carrier shall refund the balance of any prepaid service charges, but may offset the refund with any overdue payment amount.

(F) Application of Payments. A carrier shall apply all payments to residential basic telephone service charges first before being applied to any other portion of the bill unless written instructions from the customer, a disputed bill, or payment arrangements require otherwise. This Rule shall not apply to payments made for a bundled package of services or to payments to carriers not required to file tariffs pursuant to Board Rule 7.500.

(G) Debt of Household. A carrier shall not disconnect or refuse telephone service to a customer due to a delinquent bill owed by another person unless the customer responsible for the delinquency, resulting from service to that household, resides in the same household.

(H) Form of disconnection notice. A notice of involuntary disconnection shall be in writing and shall clearly and conspicuously contain the following information:

(1) A statement that the customer's account is delinquent and the amount of the delinquency.

(2) A statement describing the service and stating that the carrier plans to disconnect the service on a stated date.

(3) A statement that service will not be disconnected if the delinquency is paid in full by a stated date.

(4) If the carrier's service includes basic telephone service and the carrier offers basic service on a stand-alone basis, that customer may elect to retain basic service only, provided that the customer pays the basic service delinquency or enters into a payment arrangement.

(5) The toll-free phone number of an appropriate customer service representative of the carrier.

(6) The itemized cost that may be charged to the ratepayer for disconnection, collection and later restoration of service and, if a deposit may be required for restoration of service, an explanation of how the amount will be calculated.

(7) Information regarding CAPI and dispute resolution, including:

(a) A statement that CAPI can provide assistance or advice regarding disputes with utilities and the address, telephone numbers, including the toll-free number, and business hours of CAPI.

(b) A statement that when CAPI has been unable to resolve a dispute it can provide information on how to submit the dispute for resolution by the Board.

Section 7.621 Disconnection of Nonbasic and Business Telecommunications Service

(A) Applicability. In addition to the general requirements of section 7. 620, the requirements of this section apply to the disconnection of telecommunications services other than residential basic telephone service.

(B) Disconnection Allowed. A carrier may involuntarily disconnect non-basic telephone service or business basic service where:

(1) payment of a valid non-basic telephone service bill or charge is delinquent, as defined in this rule; and

(2) a timely notice of disconnection has been delivered to the customer.

(C) Limits on toll blocking. When a carrier disconnects a customer's toll service, whether at the customer's request or involuntarily, the carrier may not block the customers ability to make local calls, toll-free calls or presubscribe to another carrier's network. The carrier may block all other toll services, including dial-around calling.

Section 7.622 Disconnection of Basic Residential Telephone Service

(A) Applicability. In addition to the general requirements of section 7. 620, the requirements in this section apply to the disconnection of residential basic telephone service.

(B) Disconnection Allowed. A carrier may involuntarily disconnect basic telephone service where:

(1) payment of a valid basic telephone service bill is delinquent, as defined in this rule;

(2) a notice of disconnection has been delivered to the customer; and

(3) the customer has been given an opportunity to enter into a payment arrangement as defined in paragraph (F).

(C) Restrictions. Notwithstanding paragraph (B), a carrier may not involuntarily disconnect basic telephone service:

(1) Based on a disputed delinquency that has been referred to the Board by the customer or the company and where the Board has advised the company not to disconnect service.

(2) Due to a failure to pay for any other service, including but not limited to non-basic services, line extensions, special construction, or other non-recurring charges. However this exception does not apply to reconnection charges or charges for personal visits to collect delinquent accounts or deposits. This paragraph does not prevent a carrier from disconnecting a bundled package of services that includes basic telephone service when charges for that bundle, considered as a whole, are delinquent.

(3) When prohibited by section 7.623 relating to medical emergencies.

(4) Where the delinquent bill or charge, or aggregate delinquent bills or charges, for all services, including basic, non-basic and other services provided by a carrier does not exceed $ 50.00, provided this exception may not be used more than two billing cycles in a twelve-month period.

(D) Time of Involuntary Disconnection.

(1) Involuntary disconnection of basic telephone service shall occur only:

(a) on a normal business day;

(b) on the business day specified on the disconnection notice, or within four business days thereafter; and

(c) between the hours of 8:00 A.M. and 3:00 P.M.

(2) Notwithstanding paragraph 1, a carrier may also involuntarily disconnect basic telephone service:

(a) at any time agreed to in advance and in writing by the customer;

(b) between the hours of 3:00 P.M. and 5:00 P.M., provided that the carrier has available personnel authorized to reconnect service and enter into arrangements on behalf of the carrier until 7:00 P.M. on that day; or

(c) at any time to protect the health or safety of the customer or the general public.

(E) Form of Involuntary Disconnection Notice.

(1) A notice of involuntary disconnection for basic telephone service shall contain all of the information required under section 7. 620, plus the following additional information, presented clearly and conspicuously:

(a) The time of day the carrier plans to disconnect service.

(b) A statement that service will not be disconnected if:

(i) the customer enters into a payment arrangement, as defined in Paragraph (F) of this Section, to pay the delinquency; or

(ii) the customer has residential service and presents a statement of medical emergency.

(c) A statement of the requirements for reconnection of basic service, including any applicable reconnection charges or security deposit requirements.

(2) Filing Requirements. Prior to issuing any disconnection notice, the carrier shall obtain approval of the form of the notice. The notice form shall be deemed approved unless the Board states otherwise within thirty days following submission to the Board and the Department.

(F) Payment Arrangements.

(1) Payment arrangements. When establishing satisfactory payment arrangements:

(a) a carrier shall not require more than a payment of one-half of the delinquent bill in advance and a promise to pay any balance owed over a period of three months or more.

(b) a carrier shall consider the customer's income (if offered by the customer), the customer's payment history (including the amount owed and the time over which the arrearage accrued), the current bill, and the reason for the outstanding bill, including whether the delinquency was caused by unforeseen circumstances.

(2) Continued service required. A carrier shall continue to serve a residential customer who does not pay a basic telephone service account balance in full if the customer agrees to enter into a payment arrangement for the account balance. Thereafter, the carrier may not disconnect provided payment is made in accordance with the payment plan. However, a carrier is not required to enter into other payment arrangements if the carrier has previously entered twice into payment arrangements with that customer during the same calendar year and has each time thereafter disconnected the customer.

(3) Bundled service offerings.

(a) Where a customer has purchased a bundled service that includes basic telephone service, and the carrier offers basic telephone service on a stand-alone alone basis, the customer may elect to retain basic service by paying the basic service delinquency or by entering into a payment arrangement for the basic service delinquency. The carrier may elect to approximate the usage charges for all customers by adding a charge equal to 50% of the lowest available basic service charge.

(b) Where a customer has purchased a bundled service that includes basic telephone service and the carrier does not offer basic telephone service on a stand-alone basis, the payment arrangement shall be based upon the debt owed for the bundled service as a whole.

(4) Written confirmation. The carrier shall mail or deliver a written confirmation of a payment arrangement to the customer within three business days after a payment arrangement is agreed to. The written confirmation shall:

(a) inform the customer of the terms of the payment arrangement;

(b) inform the customer of the carrier's right to disconnect the customer for failure to comply with a payment arrangement; and

(c) include the address, toll free number and hours of operation of CAPI.

(G) Restoration of service.

(1) Following disconnection of residential service, a carrier shall restore service within 24 hours of the customer's request when:

(a) the disconnection occurred because of a use that created a risk to others or the network or was necessary to protect the health or safety of the customer or the general public and that use has terminated;

(b) the disconnection occurred for nonpayment and the carrier and the customer have reached an agreement or the customer has entered into a satisfactory payment arrangement; or

(c) the Board so directs.

(2) Reconnection charges. When a carrier restores residential service, to the extent feasible, it shall avoid charging customers for overtime rates and other abnormal expenses.

(3) Non-recurring charges. A company shall not require prepayment of any non-recurring charges associated with disconnection and restoration of residential service as a condition of restoring service. Unless such charges are included in a repayment agreement, the customer shall pay them within thirty days after service restoration.

(H) Prior Debt. A carrier may refuse to restore basic telephone service or to establish basic telephone service at a new location for a customer with a delinquent bill, provided that the customer has been given the opportunity to enter into a payment arrangement, pursuant to subsection (F) above, and the customer has failed to do so.

(I) Quarterly report. Each basic telephone service provider that has involuntarily disconnected one or more residential customers in any month shall file with the Board during the following quarter, on a form provided by the Board, a statement reporting the following information regarding residential service for the previous quarter: the number of bills forwarded to ratepayers, the number of disconnection notices sent, the number of actual disconnections and the delinquency amount for each such disconnection, the number of reconnections made within 15 days of disconnection, the number of repayment plans entered into, the number of repayment plans that were broken. A carrier that has not filed its quarterly report under this section for one year shall not disconnect any primary residential lines until its reports are current.

(J) Abbreviated Disconnection Notice. Where a customer has failed to abide by the terms of a payment plan, or paid by check or other instrument that it was subsequently dishonored, the carrier may disconnect service no sooner than three days following the delivery of a disconnection notice pursuant this Section.

Section 7.623 Medical Emergency

(A) Definition. As used in this rule, "medical emergency certificate" means a written statement, signed by a physician or other licensed primary health care provider, stating that an identified customer, or someone residing within the customer's household, would suffer an immediate and serious health hazard if the customer's basic telecommunications service were lost. A medical emergency certificate may also apply to other telecommunications services, including toll service, if explicitly specified on the certificate. A medical emergency certificate shall state whether the emergency condition is of limited duration and, if so, when the emergency condition is likely to abate. A medical emergency certificate applies to residential customers only.

(B) Basic service required during medical emergency.

(1) After a basic telephone service carrier has received a medical emergency certificate from a customer with a primary residential line, the carrier may not disconnect basic telephone service from that line during the period specified in the certificate or 30 days, whichever is less.

(2) A customer may not avoid disconnection under this subsection more than three times nor for more than two consecutive 30-day periods in any 12 month period.

(3) After a carrier has disconnected basic telephone service for a primary residential line, upon receiving a medical emergency certificate during the ensuing 30 days, the carrier shall reconnect that service, for the period specified in the certificate or 30 days, whichever is less.

(4) A carrier that is an ETC, upon receiving a medical emergency certificate, shall provide basic telephone service to a new customer seeking primary residential service and located at a place already served by the ETC, for the period specified in the certificate or 30 days, whichever is less.

(C) Toll service required during medical emergency.

(1) After a toll service carrier has received a medical emergency certificate, the carrier may not disconnect toll service from that customer's primary residential line during the period specified in the certificate or 30 days, whichever is less.

(2) A customer may not avoid disconnection under this subsection more than once in any 12 month period.

(D) Oral Notice. Oral notice shall function in the same manner as a written notice, provided:

(1) The oral notice is given by the customer, a member of the customer's household or an employee or agent acting on behalf of a physician and to a customer affairs representative of the carrier.

(2) The person giving notice asserts that the identified customer, or someone residing within the customer's household, would suffer an immediate and serious health hazard if the particular telecommunications service were lost.

(3) A written certificate confirming the oral notice is delivered to the carrier within seven calendar days.

(E) Safety disconnections. This section does not prohibit disconnection for use that creates a risk to others or the network or is necessary to protect the health or safety of the customer or the general public.

(F) Timing of connection or reconnection. When a carrier is obligated under this section to connect or reconnect a customer, the carrier shall make substantial efforts to provide service as soon as possible, and shall provide service before the end of the next business day, but in no case more than 24 hours.

(G) Customer's duty to pay or make a payment arrangement. A medical emergency does not suspend or discharge the customer's duty to pay for service. Whenever service is provided under this section, the carrier may inform the customer of the continuing duty to pay or make payment arrangement for the amount overdue.

Appendix A Telemarketing Notice

There are several things you can do about telemarketing:

1. Register your name with the Federal Communications Commission's National Do-Not-Call Registry. Registration may be completed on the FCC's website at: http://www.fcc.gov/cgb/donotcall/, or by calling 1-888-382-1222

2. Upon receiving a call from a particular telemarketer, ask them to identify themselves clearly and then tell them you want to be placed on that company's "do-not-call" list, which they must keep according to Federal law.

3. Remember that it is not impolite to hang up on such an unwanted caller. After informing the caller you do not wish to be called back, simply say goodbye. 30 V.S.A. §§ 202c, 226, 227c

History

• EFFECTIVE DATE: July 21, 2006 (Secretary of State Rule Log # 06-020)

Chapter 054 SUSTAINABLY PRICED ENERGY ENTERPRISE DEVELOPMENT PROGRAM (4.300)

30-054 Code Vt. R. 30-000-054-X SUSTAINABLY PRICED ENERGY ENTERPRISE DEVELOPMENT PROGRAM (4.300)

Section 4.301 Purpose

The purpose of this rule is to implement the Sustainably Priced Energy Enterprise Development ("SPEED") program created under 30 V.S.A. § 8005. The goal of the SPEED program is to achieve the goals of 30 V.S.A. § 8001 related to the promotion of renewable energy and long-term stably priced contracts for such energy that are anticipated to be below the market price.

Section 4.302 Scope

This rule applies to all Vermont electric distribution and transmission utilities, to any facilitator appointed by the Board under this rule, and to any in-state generation facility eligible to be a SPEED project. This rule addresses the establishment of the SPEED program, the appointment of a SPEED Facilitator, and the SPEED Facilitator's role in identifying and procuring SPEED resources. The rule does not address bilateral or multilateral arrangements under which Vermont utilities purchase power from renewable resources without the involvement of the SPEED Facilitator and shall not be construed as restricting utilities' abilities to enter into such contracts on other terms. The provisions of this rule shall not apply to net metering projects under 30 V.S.A. § 219a and Board Rule 5.100.

Section 4.303 Definitions

For purposes of this rule, the following definitions apply:

(A) "Allocate equally" or "allocated equally," when used in reference to apportioning costs between a set of one or more SPEED project owners and a set of one or more Vermont utilities, means that half of the costs to be apportioned are allotted to the SPEED Projects collectively and half of the costs to be apportioned are allocated to the Vermont utilities collectively.

(B) "Auction" means a public sale of energy, capacity, ancillary services, or other electricity products produced by a SPEED project to the highest bidder.

(C) "Board" means the Vermont Public Service Board.

(D) "Capacity" means the capability to produce, transmit or deliver electric energy, measured in megawatts (MW) or kilowatts (kW).

(E) "Certification" means a determination by the Board that a generation facility constitutes a SPEED project.

(F) "CHP" means combined heat and power facilities, which in turn are defined as facilities that produce both electric power and thermal energy from a single process.

(G) "Department" means the Vermont Department of Public Service.

(H) "Energy" means electric energy measured in megawatt-hours (MWh) or kilowatt-hours (kWh).

(I) "Existing generation facility" means a generation facility that existed and was placed in service on or before December 31, 2004.

(J) "Facilitator" means a SPEED Facilitator appointed by the Board under Section 4.306 of this rule.

(K) "Interconnecting utility" means the utility to whose electric system a SPEED project is connected.

(L) "ISO-NE" means the Independent System Operator of New England or any successor entity that fulfills the same functions.

(M) "LMP" means locational marginal price for the product or service produced by a generation facility at the node where the facility delivers such product or service to the interconnecting utility as calculated by ISO-NE, under its rules, as those rules may be amended, or any equivalent pricing mechanism designed to serve the same or similar function.

(N) "New renewable energy" is as defined in 30 V.S.A. § 8002(4).

(O) "Nonqualifying SPEED resource" is as defined in 30 V.S.A. § 8002(6).

(P) "Qualifying SPEED resource" is as defined in 30 V.S.A. § 8002(5).

(Q) "Regional market" means the wholesale electric power markets overseen and operated by the ISO-NE.

(R) "Renewable energy" is as defined in 30 V.S.A. § 8002(2).

(S) " Section 248 " means 30 V.S.A. § 248.

(T) "SPEED" means "Sustainably Priced Energy Enterprise Development."

(U) "SPEED program" means the Sustainably Priced Energy Enterprise Development program established under 30 V.S.A. § 8005.

(V) "SPEED project" means an in-state generation project which meets the requirements of section 4.304 of this rule.

(W) "SPEED resource" means a contract with a SPEED project for electricity products, including, but not limited to, energy or capacity products.

(X) "Sponsoring utility" means a Vermont utility which has executed a contract or letter of intent with a SPEED project.

Section 4.304 SPEED Projects

(A) SPEED projects shall be located within Vermont and shall include new generation facilities, or modifications or expansions of existing generation facilities, which:

(1) Come into service after December 31, 2004; and

(2) Produce renewable energy, or are fossil-fueled CHP that meet efficiency requirements stated in 30 V.S.A. § 8002(6).

(B) A generation facility that does not use fossil fuel, except for incidental use, shall be deemed under this rule to produce renewable energy if:

(1) it is a hydroelectric facility of 200 MW or less or uses one or more of the following fuel sources: biodiesel, biomass, farm methane, geothermal, landfill methane, solar energy, or wind;

(2) it is a CHP that relies on a fuel source listed in subsection (B)(1), immediately above, or

(3) it uses fuel cells that rely on a fuel source listed in subsection (B)(1), immediately above.

(C) In addition to the fuels listed in Subsection (B), immediately above, a generation facility that does not use fossil fuel, except for incidental use, may be a SPEED project if it uses a fuel source determined to be renewable energy under the certification process established in Section 4. 305, below.

(D) A generation facility located in Vermont that, after December 31, 2004, is brought back into service after a prolonged outage of five years or more, shall be deemed for purposes of this rule to have come into service after December 31, 2004.

(E) Where a project involves the modification or expansion of an existing generation facility, the following shall be considered a SPEED project within the meaning of this rule:

(1) the incremental increase in the electricity product(s) of the facility enabled by the modification or expansion, to the extent that the increase is produced using renewable fuels, and

(2) the entire output resulting from replacement of a fossil-fuel fired generation source by a renewable source.

Section 4.305 Certification

(A) A sponsoring utility or a developer of an in-state generation facility may request, at any time, including after construction of the facility, that the Board provide a certification as to whether the generation facility constitutes a SPEED project. In the case of a blend of fossil and renewable fuels, such certification shall include establishment of a procedure for determining what portion of the facility's production is new renewable energy. Any such request and all supporting materials shall be copied to the Department, the SPEED Facilitator, the Vermont Agency of Natural Resources and the interconnecting utility.

(B) If the type of fuel source for the generation project changes after issuance of a decision on a certification request under subsection 4.305. A, above, the sponsoring utility or developer of an in-state generation facility shall apply to the Board for a revised certification.

Section 4.306 Establishment of SPEED Facilitator

(A) After a public process for solicitation of competitive bids, the Board shall appoint one or more facilitators for the SPEED program for up to four years and on such other terms as the Board may deem appropriate. Following the initial appointment of a SPEED Facilitator, the Board may renew the appointment for an additional four years or conduct a competitive solicitation for a Facilitator. In any appointment of a SPEED Facilitator, the Board shall consider at least the following factors: ownership, management, financial stability and expertise of the candidate; capability of the candidate to carry out the duties assigned by this rule; issuance of indebtedness by, and protection of the assets of, the candidate; changes in management or control of the candidate; the quality and value of the services provided by the candidate; the continuance or the abandonment of provision of service by the candidate; the manner of operating and conducting business by the candidate; the proposed prices, terms, or rates charged by the candidate; and the general good of the State.

(B) A SPEED Facilitator shall provide information in its possession on SPEED resources and projects upon request of the Board or the Department.

(C) A SPEED Facilitator shall be authorized to perform those functions and activities that are assigned to it under this rule and such other functions and activities related to the SPEED Program as the Board may assign the facilitator.

(D) The facilitator may engage in activities unrelated to the SPEED Program, and may serve as a facilitator or agent for one or more Vermont utilities or the Department in any competitive solicitation of resources, provided that such activities do not conflict with its responsibilities and activities under this rule.

(E) Obligations of a SPEED Facilitator shall not be obligations of the State of Vermont.

Section 4.307 Compensation of SPEED Facilitator

(A) Immediately following appointment, and two months prior to the completion of each two-year period thereafter, a SPEED Facilitator shall submit to the Board, the Department, and Vermont utilities a proposed budget for costs in the upcoming two-year period that are not expected to be recovered under other provisions of this rule. The SPEED Facilitator also shall propose how these costs and the costs of performing the clearinghouse function under Section 4.308(B) of this rule will be shared between Vermont utilities and SPEED projects. To the extent possible, considering the number and size of the SPEED projects, the SPEED Facilitator shall attempt to allocate these costs equally between Vermont utilities and the owners of SPEED projects.

(B) After reviewing the proposed budget and assignment of costs submitted under subsection 4. 307(A), and considering any comments, the Board shall establish the compensation for a SPEED Facilitator's costs identified in the budget. These costs shall be recovered from the Vermont utilities and from SPEED projects according to a formula approved by the Board.

(C) On its own initiative or upon request, the Board may at any time determine to review and adjust the budget of a SPEED Facilitator approved under these rules. Prior to making such an adjustment, the Board will provide notice and opportunity for comment to the SPEED Facilitator, the Department, affected utilities, and owners of SPEED projects.

Section 4.308 SPEED Facilitator Role in Promoting SPEED Resources; Contract Types

(A) The primary purpose of a SPEED Facilitator is to promote the development of SPEED resources by bringing together SPEED projects and Vermont utilities seeking to purchase power. In addition, after making all reasonable attempts to find one or more Vermont utilities to purchase such product(s) through bilateral or multilateral contract, the SPEED Facilitator shall promote the development of SPEED projects by selling electricity products from such projects into the regional market, to an out-of-state utility, or to Vermont utilities on a pro-rata basis as provided in Section 4.308(E) of this rule.

(B) A SPEED Facilitator shall serve as a clearinghouse for information related to purchase and sale of SPEED resources, information provided by Vermont utilities to the SPEED Facilitator concerning their supply and reliability needs, and the availability of SPEED projects.- A SPEED Facilitator shall submit an annual budget for such service to the Board for its review and approval. The cost of such service shall be allocated to the Vermont utilities and SPEED projects according to the formula approved by the Board under subsection 4.307(B) of this rule.

(C) A SPEED Facilitator may be employed to administer a contract between one or more Vermont utilities and the owner(s) of one or more SPEED projects and shall charge a fee for such administration as agreed to by the contracting parties. The fee shall include all of the SPEED Facilitator's costs associated with performing the contract administration. Such employment may include the aggregation and proration of power in cases where there are more than one sponsoring utility, more than one SPEED project, or both. Such employment may also include the administration and scheduling of needed wheeling service for the transmission of power to a sponsoring utility or the regional market.

(D) Voluntary Contracts by Vermont Utilities. A SPEED Facilitator shall encourage the formation of contracts between Vermont utilities and the owners of SPEED projects.

(1) Any such contract may be one of the following types:

(a) A voluntary contract between the owner(s) of one or more SPEED projects and one or more Vermont utilities, with the Vermont utility or utilities purchasing the entirety of an electricity product (e.g., all energy) from the SPEED project(s). In such case, the SPEED facilitator shall recover its reasonable costs related to formation of the contract through a charge allocated equally to the signatory SPEED project owner(s) and the Vermont utility or utilities.

(b) A voluntary contract between the owner(s) of one or more SPEED projects and one or more Vermont utilities, with the Vermont utility or utilities taking less than the entirety of an electricity product (e.g., less than all energy) from the SPEED project(s), and the balance of that product being sold into the regional market or by contract to one or more out-of-state purchasers. In such case:

(i) The SPEED Facilitator shall recover its reasonable costs related to the formation of the contract through a charge allocated equally between the signatory SPEED project owner(s) and the Vermont utility or utilities. The charge to the owner(s) of the SPEED projects shall include any costs of the SPEED facilitator related to obtaining the participation of the out-of-state purchaser(s) in the contract.

(ii) The SPEED facilitator shall recover its ongoing costs under the contract related to the sale of power to an out-of-state purchaser from that purchaser or the owner of the SPEED project.

(iii) The SPEED Facilitator shall recover its ongoing costs under the contract related to the sale of power into the regional market from the owner of the SPEED project, through a mechanism agreed upon by the owner of the SPEED project and the SPEED Facilitator.

(iv) Such other type of contract as the Board may authorize by rule, order, or through the contract.

(E) SPEED Facilitator Contracts Allocated to Vermont Utilities. The SPEED Facilitator may purchase electricity products associated with one or more SPEED projects and allocate the products to Vermont utilities.

(1) Prior to initiating the first such arrangement, the SPEED Facilitator shall obtain authorization from the Board and must demonstrate that the purchase and allocation of electricity products will promote the general good of the state. Upon receipt of the request from the SPEED Facilitator, the Board will provide the Department and Vermont utilities an opportunity to submit written comments. If the Board authorizes the SPEED Facilitator to purchase and allocate electricity products under this section, the Board may assign to a SPEED Facilitator, as it deems appropriate, functions and responsibilities related to the administration of the authorization and the requirements imposed therein.

(2) At the time the SPEED Facilitator seeks to enter into a specific purchase and allocation of electricity products, it shall provide notice to the Vermont utilities of the proposal, including the proposed amount of electricity products to be allocated to each utility. Unless the Board determines that good cause exists for a different allocation, energy products shall be allocated on the basis of each utilities' proportionate annual energy usage and capacity products shall be allocated based upon each utility's proportionate contribution to the State's annual coincident peak. Each utility may, within 30 days of such a notification, request an exemption from the proposed allocation pursuant to section 4.310 of these rules. However, this subsection shall not create a requirement for a utility to petition for an exemption if it has received an exemption under Section 4.310(A)(2) of these rules and that exemption remains in effect. Instead, any such utility shall, within 30 days of a notification by the SPEED Facilitator under this subsection, provide the Board, the Facilitator, and the Department with a sworn statement as to whether the utility continues to retain each SPEED resource relied upon in the grant of the exemption.

(3) If the proposed project is approved, the SPEED Facilitator shall assign the costs associated with purchase and allocations under this subsection to the proposed project.

(4) The price for the electricity products under this subsection shall be less than the anticipated market price for those products over the term of the proposed purchase.

(a) In establishing the price, the SPEED Facilitator (and upon review, the Board) shall take into consideration anticipated market prices, the then-current market price for forward power contracts for the longest term available in the market, and any adjustment appropriate to reflect material differences between the contract for SPEED project output and forward power contracts (such as firmness of the output).

(b) If there are costs to the purchasing utilities in connection with the transaction, such as transmission charges, that are in addition to the electricity products being purchased, the price shall include a discount at least equal to those additional costs.

(c) As long as the contract price is below the anticipated market price for power over the term of the proposed purchase by at least the discount set out in subsection (E)(4)(b), the SPEED Facilitator may adopt such pricing structures as it (and the Board, upon review) finds reasonable, including price floors, price caps or pricing collars.

(d) The SPEED Facilitator may instead purchase the electricity products at a price that is a specified margin below the hourly spot market price at the node where the generator is interconnected, by an amount that at least equals the discount set out in subsection (E)(4)(b) of this section.

(5) The Board will determine the formula for allocation and purchase under this subsection in conjunction with its review of the proposed generation facility under Section 248. The Board will also determine the reasonableness of the prices and other terms and conditions of any contract entered into under this subsection and subsection 4.308(F) in conjunction with its review of the proposed generation facility under Section 248. If, at the time of the contract, the SPEED project already has approval under Section 248, the SPEED Facilitator shall separately request approval from the Board of the formula for allocation and purchase of the contract.

(F) SPEED Facilitator Contract for Sale into Regional Market. A SPEED Facilitator may offer a contract to SPEED projects under which the SPEED Facilitator purchases the power and resells it into the regional market. Such contract may be executed by a SPEED project only after the SPEED Facilitator has made all reasonable efforts to obtain the purchase by Vermont utilities of the electricity product(s) offered by the SPEED Project and has considered the merits of allocating the power to Vermont utilities pursuant to subparagraph (E) of this section.

(1) Length. The contract offered to SPEED projects for sale into the regional market shall be of ten years' duration, unless the Board authorizes a different term. Notwithstanding the foregoing requirement and subject to Board approval, the SPEED Facilitator from time to time shall determine the appropriate length of such standard contract, taking into account the need to enable project development, current and forecasted market conditions, and current industry practice regarding contract length.

(2) Price. The energy price of the regional sales contract offered to SPEED projects shall be a discount off the applicable hourly Real-time LMP, as calculated by the ISO-NE under its rules, as those rules may be amended. The price in such contract offered to SPEED projects for capacity and ancillary products and services shall be a discount off the applicable prices for the product or service in the regional market. The SPEED Facilitator shall propose the amount of the discount for energy, capacity, and ancillary services, subject to Board approval. The amount of the discount shall be, at a minimum, the sum of expected administrative costs of the SPEED Facilitator and reasonable compensation for the use of facilities or services of the interconnecting utility and any other utility over whose system the energy must be transmitted. However, the transmission component of the discount may be adjusted to conform to applicable requirements of a Board order issued under Section 4. 318, below.

(3) Board Review of Contract. The SPEED Facilitator shall request approval from the Board for the proposed contract either in conjunction with review of the SPEED project under Section 248 of Title 30 or in a separate proceeding. The Board will assess the reasonableness of the contract terms and conditions, including the discount, in this proceeding

(4) Sale. The SPEED Facilitator shall sell SPEED resources acquired through the contract offer authorized under this section through the regional market. In doing so, the SPEED Facilitator may aggregate such resources.

(5) Profit or Loss. To the extent that a SPEED Facilitator's recovery of costs associated with the contracts authorized by this subsection, after accounting for any transmission charges and compensation due to the relevant SPEED project owners, exceeds or is less than the actual amount of the Facilitator's administrative costs, the SPEED Facilitator shall allocate the difference equally to the Vermont utilities and the owners of SPEED projects to which regional sales contracts apply. The SPEED Facilitator shall allocate the utility portion of the costs according to a formula approved by the Board.

(G) The offer of a contract by a SPEED Facilitator under subsection (F) of this section shall not preclude the SPEED Facilitator's acquisition with prior Board approval of SPEED resources on different terms for resale into the regional market.

(H) To effect its duties under this rule, a SPEED Facilitator may:

(1) Sell electricity products acquired through the contract described in subsections (F), (G), or (J) to the regional market through an existing participant in that market, rather than incurring costs to become such a participant. The SPEED Facilitator shall ensure that the market participant is compensated for reasonable costs associated with such sales and these added costs shall be incorporated into the discount off the market price; and

(2) Conduct auctions or solicit competitive bids with respect to the acquisition of SPEED resources, when employed to do so by the owner of a SPEED project or a Vermont utility. The costs associated with such auction or solicitation shall be recovered solely from the SPEED project(s) and/or Vermont utility(ies) that employ the SPEED Facilitator

(I) The owner of a SPEED project or a Vermont utility which is a party to a contract under subsections (C) through (G) or (J), and which disputes the costs assigned to it by the SPEED Facilitator, may petition the Board for review and determination of the appropriate charge.

(J) After providing notice and opportunity to comment to the SPEED Facilitator, the Department, affected utilities, and SPEED project owners, the Board may authorize the SPEED Facilitator to participate in a contract type not otherwise described in this rule.

Section 4.309 Required Purchases SPEED Projects of 250 kW or Less

(A) A Vermont utility which is the interconnecting utility to a SPEED project with an installed capacity of two hundred fifty kilowatts or less shall purchase electricity products offered by the SPEED project, unless (1) the capacity of the project would constitute more than 10% of the peak load of the interconnecting utility or (2) the owner of the SPEED project elects to sell to a different purchaser or execute the standard contract offered by the SPEED Facilitator under section 4. 308(F), above.

(B) The rate to be paid for electricity products from a SPEED project under this section shall be the rate available for the product in the regional market minus the Discount set out in subsection 4. 308(E)(4)(b), above.

(C) If the owner of a SPEED project eligible for treatment under this section agrees, a Vermont utility which would otherwise be obligated to purchase electricity offered by the SPEED project under this section may transmit the electricity to any other Vermont utility that agrees to purchase the power. Any Vermont utility to which such electricity is transmitted shall purchase such electricity as if it were the interconnecting utility.

Section 4.310 Exemption from Cost Allocations and Power Purchase

(A) A Vermont utility may petition the Board for an exemption from a requirement to purchase power under subsection 4.308(E) or section 4.319. The Board may grant such exemption upon a finding that:

(1) The purchase would impair the provider's ability to meet the public's need for energy services after safety concerns are addressed at the lowest present value life cycle cost, including environmental and economic costs; or

(2) Equity requires the Vermont utility be relieved of such purchase requirement. A utility seeking such relief on grounds of equity shall demonstrate that the exemption will not be detrimental to the general good of the state and that the utility has acquired SPEED resources which equal or exceed the lesser of either 10% of the utility's total 2005 retail sales of energy or 100% of the utility's projected new retail load between January 1, 2005, and January 1, 2012.

(B) A Vermont utility may petition the Board for a determination that equity requires it to be relieved from bearing costs related to the clearinghouse function described in section 4. 307(B), above, and losses related to the standard contract described in section 4. 308(F), above.

(1) A utility seeking relief on grounds of equity shall demonstrate that the exemption will not be detrimental to the general good of the state and that the utility has acquired SPEED resources which equal or exceed the lesser of either 10% of the utility's total 2005 retail sales of energy or 100% of the utility's projected new retail load between January 1, 2005, and January 1, 2012.

(2) In determining whether to grant relief from allocation of losses related to the standard contract described in section 4. 308(F), above, the Board shall consider the extent to which the utility has received profits from the standard contract.

(C) In approving any petition for exemption under this rule, the Board shall:

(1) State the length of the exemption granted.

(2) Require the petitioning utility periodically to file a sworn statement as to whether the facts underlying the grant of the exemption remain true.

(D) With respect to any petition for exemption under this rule, the Board shall provide notice, with opportunity for hearing, to the petitioning utility, the Department, the SPEED Facilitator, and any other person or entity the Board deems appropriate.

(E) If the Board grants an exemption under subsection (A) to one or more utilities, the SPEED Facilitator shall either (1) sell the power that was proposed to be allocated to an exempted utility into the regional market, (2) enter into a contractual arrangement with one or more utilities to purchase the power (consistent with the provisions of section 4. 308, or(3) propose to reallocate the power to the non-exempt Vermont utilities.

Section 4.311 Utility Ratemaking

A Vermont utility's revenue requirement for ratemaking purposes shall include all reasonable costs incurred by a utility related to cost allocations and purchases under sections 4.307, 4.308, 4. 309, and 4.319.

Section 4.312 Certificates of Public Good for SPEED Projects under 30 VSA Section 248

(A) A facility that had been certified as a SPEED project, and that is not financed directly or indirectly through investments backed by ratepayers of a Vermont utility other than power contracts, need not demonstrate compliance with 30 V.S.A. § 248(b)(2).

(B) At the time that the developer of a generation facility seeking to participate in the SPEED program applies for a certificate of public good under 30 V.S.A. § 248, the applicant shall also request a certification from the Board that the facility constitutes a SPEED project. However, the applicant need not make such a request if:

(1) the Board has previously issued a certification under subsection 4. 305(A), above;

(2) the project has not materially changed, with respect to the requirements of section 4.304 of this rule, since the Board issued the certification; and

(3) the applicant submits, with its application under 30 V.S.A. § 248, the Board's certification and a sworn statement that the fuel type on which the certification was based has not changed in any material respect.

Section 4.313 Interconnection

The provisions of Rule 5.500 apply to interconnection of SPEED projects.

Section 4.314 Reporting

(A) A SPEED Facilitator shall:

(1) Report annually to the Board by March 1 on the SPEED resources that have come into service during the year ending the preceding December 31. Such report shall include at least the following:

(a) the identity, owner, location, capacity and energy production of the relevant SPEED projects;

(b) the identity of the sponsoring utilities;

(c) whether the SPEED resources constitute qualifying or nonqualifying SPEED resources;

(d) the identity, owner, location, capacity, and energy production of any project that is not a SPEED resource but is a facility owned by or under long-term contract to a Vermont utility and which constitutes a new renewable energy resource;

(e) advice as to where SPEED generation projects would provide benefit to the electric system; and

(f) such other information as the Board may deem appropriate.

(2) Provide an annual financial accounting to the Board in such form and by such date as the Board requires. This accounting shall be publically available.

(B) At the same time that they file quarterly and annual resource reports under Board Rule 5. 206, each Vermont utility shall provide the SPEED Facilitator with sufficient information concerning the utility's supply portfolio to enable the Facilitator to complete its report under subsection (A)(1) of this section. Such information shall include the amount of capacity and energy associated with the utility's SPEED resources and such other information as the SPEED Facilitator reasonably may require.

Section 4.315 Disclosure; Call Option

(A) Separation of Attributes from Electricity Products. The Board may authorize the SPEED Facilitator to purchase and resell attributes from SPEED projects from time to time subject to such terms and conditions as the Board may establish. In the absence of any such authorization, SPEED resources shall be presumed to represent only contracts acquired in accordance with this rule for energy, capacity, and ancillary products or services associated with projects that produce renewable energy or are CHP that meet the requirements of section 4.304 of this regulation. The attributes of SPEED projects that produce renewable energy may be sold and accounted for in other markets including, but not limited to, the retirement of renewable energy credits in Vermont for products and services that require renewable resource attributes.

(B) Disclosure Requirements. The following shall apply:

(1) An owner of a SPEED resource shall comply with any rules and standards for disclosure established by the Board regarding the representation of the owner's generation resource mix.

(2) Without owning the attributes associated with the SPEED resource, an owner of a SPEED resource or a utility that purchases power from a SPEED resource shall not make any claims or representations in public or in a regulatory filing that underlying renewable resources are a part of its mix of generation resources. However, this provision shall not prohibit the owner of a SPEED resource from discussing the fuel type associated with an underlying SPEED project in a filing under 30 V.S.A. § 8005 or this Rule 4.300.

(3) All claims concerning the amount of SPEED resources owned shall clearly distinguish the ownership claim for SPEED resources from any claim as to the ownership or retirement of the renewable attributes derived from the development of SPEED resources.

(C) Call Option. Each SPEED resource may include a call option, right of first refusal, or other term for the purchase of renewable attributes associated with that resource, in order to enable such a purchase by the SPEED Facilitator or purchasing utility should a renewable portfolio standard in Vermont come into effect.

Section 4.316 Sale of Electricity by a Vermont Utility to a SPEED Project

(A) Unless otherwise provided for in the interconnecting utility's electric service tariff, upon request of the owner of a SPEED project, the interconnecting utility shall, by tariff or special contract, provide the following: supplementary power, backup power, maintenance power, and interruptible power.

(B) Rates for sales of electricity by a Vermont utility to a SPEED project shall not discriminate against SPEED projects in comparison to rates for sales to other customers by the Vermont utility or in the allocation of costs to similarly situated utility-owned projects. Rates for sales which are based on accurate data and consistent system-wide costing principles shall not be considered to discriminate against a SPEED project to the extent such rates apply to the utility's other customers with similar load or other cost-related characteristics and the utility uses the same methodologies for projects that it owns.

Section 4.317 Metering

After consultation with the sponsoring utility, the interconnecting utility and the owner of the relevant SPEED project, the SPEED Facilitator shall determine the metering requirements applicable to the output of each project that is the subject of a SPEED resource, provided that in a given instance the sponsoring utility, interconnecting utility, or owner of a SPEED project may appeal that determination to the Board. To the extent practicable, such metering requirements shall be designed to ensure that the SPEED project is recognized by ISO-NE and satisfies all of ISO-NE's requirements so that the project is recognized for participation in applicable regional markets including the regional Generation Information System.

Section 4.318 Mechanism to Allocate Transmission Charges

After notice and opportunity for hearing, the Board may establish one or more mechanisms to minimize and allocate transmission charges applicable to SPEED resources to the extent permitted by law.

Section 4.319 Department of Public Service Contracts

The Department or any interested person may request that the Board approve a form of contract or contract type for use with SPEED projects. The Department also may request that the Board approve a contract with a SPEED project regardless of whether the SPEED Facilitator is a signatory to that contract. A request by the Department under this section may include a request to allocate associate electricity products or costs to Vermont utilities. The price for any such products shall be below the anticipated market price for those products over the term of the proposed purchase. Prior to approval of a contract or contract type under this section, the Board shall provide a notice and an opportunity for comment to Vermont utilities, the SPEED Facilitator, and any other affected parties. 30 V.S.A. §§ 2, 209, 8005

History

• EFFECTIVE DATE: September 10, 2006 Secretary of State Rule Log # 06-028

Chapter 055 INTERCONNECTION PROCEDURES FOR PROPOSED ELECTRIC GENERATION RESOURCES (5.500)

30-055 Code Vt. R. 30-000-055-X INTERCONNECTION PROCEDURES FOR PROPOSED ELECTRIC GENERATION RESOURCES (5.500)

Section 5.501 Applicability

This Rule applies to all proposed interconnections of Generation Resources within the State of Vermont which are not (i) lawfully subject to ISO-NE interconnection rules or successor rules approved by FERC, or (ii) subject to the Board's net metering rule (Rule 5. 100), for which the interconnection provisions of those rules will govern. This Rule does not apply to facilities within the State of Vermont that were interconnected or had obtained all necessary approvals for interconnection with electric power transmission or distribution systems prior to 60 business days after the effective date of this Rule.

Section 5.502 Definitions

(1) Affected System -- any electric system that is either directly or indirectly connected to the Interconnecting Utility's electric system that could be adversely affected by the interconnection and parallel operation of the Interconnection Requester's Generation Resource.

(2) Application -- a request for interconnection initiated by the completed Standard Application Form provided by the Board for the interconnection of Generation Resources, the $ 300 Application fee, documentation of site control, and information regarding certification or Underwriters Laboratory listing of the Interconnection Requester's Generation Resource. The Board may revise the Standard Application Form from time to time, as necessary.

(3) Automatic Disconnect Device -- an electronic or mechanical switch used to isolate a circuit or piece of equipment from a source of power without the need for human intervention.

(4) Board -- the Vermont Public Service Board.

(5) Disconnect (verb) -- To isolate a circuit or equipment from a source of power. If isolation is accomplished with a solid-state device, "disconnect" shall mean to cease the transfer of power.

(6) Disconnection -- the state of a circuit or equipment being disconnected from a source of power.

(7) Distribution Level Study -- a System Impact Study conducted at the distribution level.

(8) Emergency -- a situation in which continued interconnection of a Generation Resource is imminently likely to result in significant disruption of service or endanger life or property.

(9) Facilities Study -- a study to determine which Interconnection Facilities or System Upgrades are necessary for interconnection of the Generation Resource.

(10) Facilities Study Report -- contains the results of the Facilities Study, and is transmitted to the Interconnection Requester in accordance with Section 5.507(G)(3).

(11) Fast Track -- the process for establishing an interconnection for certain qualifying Generation Resources in accordance with Section 5.506 of this Rule.

(12) Fast Track Screening Criteria -- the screening criteria for Generation Resources set forth in Section 5.505(B) of this Rule.

(13) Feasibility Study -- a study consisting of initial engineering analyses regarding the feasibility of interconnecting the Generation Resource, if the Generation Resource is not eligible for Fast Track.

(14) Feasibility Study Report -- contains the results of the Feasibility Study, and other information pursuant to Sections 5.507(E)(6)(a) through (c).

(15) FERC -- the Federal Energy Regulatory Commission.

(16) Generation Resource -- a facility that produces electric energy from other energy sources.

(17) IEEE -- Institute of Electrical and Electronics Engineers, Inc.

(18) Interconnecting Utility -- Electric utility with which the Interconnection Requester proposes to interconnect a Generation Resource.

(19) Interconnection Agreement -- an agreement between an Interconnecting Utility and Interconnection Requester regarding the interconnection and parallel operation of a Generation Resource. The Interconnection Agreement is accompanied by or includes Technical Requirements and Operator Protocols.

(20) Interconnection Facilities -- all facilities and equipment between the Generation Resource and the Point of Interconnection, including any modification, additions or upgrades that are necessary to physically and electrically interconnect the Generation Resource to the Interconnecting Utility's distribution or transmission system. Interconnection Facilities are sole-use facilities and shall not include System Upgrades.

(21) Interconnection Requester -- person or entity who proposes to interconnect a Generation Resource with an Interconnecting Utility.

(22) Interconnection Queue -- The list of Applications for the interconnection of Generation Resources, in order based upon the date- and time-stamp of complete Applications, maintained by each Interconnection Utility.

(23) ISO-NE -- Independent System Operator of New England, Inc.

(24) Operator Protocols -- an agreement between the Interconnection Requester and the Interconnecting Utility pertaining to the operation and maintenance of the Generation Resource.

(25) Point of Interconnection -- The point at which the interconnection between the Interconnecting Utility's system and the Interconnection Requester's equipment interface occurs.

(26) PSB -- the Vermont Public Service Board.

(27) Radial Feeder -- a distribution line that branches out from a substation and is normally not connected to another substation or another circuit sharing a common supply of electric power.

(28) Scoping Meeting -- an optional meeting between the Interconnecting Utility and the Interconnection Requester to discuss the results of the review of the Fast Track Screening Criteria, and how to proceed with the interconnection request.

(29) Standard Application Form -- the form included as Attachment 1 to this Rule, as may be amended by the Board from time to time.

(30) System Impact Study -- any study or studies performed by an Interconnection Utility or a designated third party to ensure the safety, reliability, and stability of the electric power system with respect to the interconnection of Generation Resources.

(31) System Impact Study Report -- contains the results of the System Impact Study, and other information pursuant to Sections 5.507(F)(4)(a) through (c). *

(32) System Upgrades -- the additions, modifications, and upgrades to the distribution system and/or transmission system at or beyond the Point of Interconnection to facilitate interconnection of the Generation Resource. System Upgrades do not include Interconnection Facilities.

(33) Technical Requirements -- an agreement between the Interconnection Requester and the Interconnecting Utility designed to provide protection to the public and to the personnel and equipment of the Interconnection Requester and Interconnecting Utility from the physical and financial risks associated with the interconnection and parallel operation of the proposed Generation Resource. The interconnection Technical Requirements accomplish this task through including, but not limited to, ensuring the installation of proper protective devices and metering equipment, and establishing performance criteria to minimize the probability that the Generation Resource will reduce the quality of service on the Interconnecting Utility's system.

(34) This Rule -- PSB Rule 5. 500: Interconnection Procedures For Proposed Electric Generation Resources.

(35) Transmission Level Study -- a System Impact Study conducted at the transmission level.

Section 5.503 General Procedures

(A) Applications for proposed Generation Resources that are determined to be complete in accordance with Section 5. 504, and which satisfy all of the Fast Track Screening Criteria of Section 5. 505(B), shall follow the Fast Track process specified in Section 5.506. Complete Applications for proposed Generation Resources that do not meet all of the Fast Track Screening Criteria shall be evaluated through the appropriate Feasibility, System Impact, and/or Facilities Studies as set forth in Section 5.507 of this Rule. The Standard Application Form is included as Attachment 1 to this Rule.

(B) After providing an opportunity for comment to the Department of Public Service, electric utilities, and other affected parties, the Board will provide model documents, which may be used by the Interconnecting Utility and Interconnection Requester, for the following: Feasibility Study Agreement, System Impact Study Agreement, Facilities Study Agreement, Interconnection Agreement, Technical Requirements, and Operator Protocols. However, the Interconnecting Utility and Interconnection Requester may also voluntarily enter into different arrangements. In the event that these parties are unable to agree upon the terms of an agreement to be reached under this Rule, either party may petition the Board under Section 5.508(D) of this Rule for resolution of the dispute.

(C) The time deadlines specified in this Rule are maximum times. To avoid unnecessary delay of the Generation Resource project, the Interconnecting Utility is encouraged to complete each task in less time than allotted, to the extent feasible.

(D) A flow chart for the interconnection procedures specified in this Rule is included in Appendix A. The flow chart is provided for informational purposes only, and is not part of this Rule.

Section 5.504 Application Submittal and Determination of Complete Application

(A) Pre-Application. To assist an Interconnection Requester in the interconnection process, the Interconnecting Utility shall designate an employee or office from which information on the application process can be obtained through an informal request by the Interconnection Requester presenting a proposed project. When responding to the first such informal request, the Interconnecting Utility shall inform the Interconnection Requester of, and how to access, this Rule. System information provided to Interconnection Requesters should include relevant existing system studies, existing interconnection studies, and other existing materials useful to an understanding of an interconnection at a particular point on the Interconnecting Utility's electric system. The Interconnecting Utility shall comply with reasonable requests for such information. Prior to the Interconnection Requester's filing an Application, the Interconnecting Utility shall inform the Interconnection Requester of its view on whether the interconnection of the proposed Generation Resource is governed by this Rule, Rule 5. 100, or the interconnection requirements of the ISO-NE or successor rules approved by FERC, and the basis for that view.

(B) Application. The Interconnection Requester shall complete and submit to the Interconnecting Utility the Standard Application Form, provided by the Board, for single-phase or three-phase equipment of any size. In addition to the Standard Application Form, the Interconnection Requester shall include the following items and information in an Application:

(1) The $ 300 Application fee. The Application fee shall be non-refundable, unless the Application is withdrawn within five business days of submittal.

(2) Documentation of site control, which may be demonstrated through:

(a) Ownership of, a leasehold interest in, or a right to develop a site for the purpose of constructing a Generation Resource;

(b) An option to purchase or acquire a leasehold site for such purpose; or

(c) An exclusivity or other business relationship between the Generation Resource and the entity having the right to sell, lease or grant the Generation Resource the right to possess or occupy a site for such purpose.

(3) Information regarding certification or Underwriters Laboratory listing of the Interconnection Requester's Generation Resource.

(C) The Interconnecting Utility shall date- and time-stamp Applications upon receipt. The original date-and time-stamp applied to the Application at the time of its original submission for interconnection shall be accepted as the qualifying date- and time-stamp for the purposes of any timetable in this Rule and for inclusion in the Interconnecting Utility's Interconnection Queue.

(D) Initial notifications by Interconnecting Utility

(1) The Interconnecting Utility shall provide the Interconnection Requester with a notification of receipt within 5 business days of receiving the Interconnection Requester's Application.

(2) The Interconnecting Utility shall notify the Interconnection Requester within 10 business days of the receipt of the Application as to whether the Application is complete or incomplete.

(a) If the Application is complete, the Interconnecting Utility shall notify the Affected Systems in accordance with the same interconnection notification protocols that would apply if the Application were subject to FERC jurisdiction, and shall place the Application in the Interconnecting Utility's Interconnection Queue.

(b) If the Application is incomplete, the Interconnecting Utility shall provide, along with the Notice that the Application is incomplete, a written list detailing all information that must be provided to complete the Application. The Interconnection Requester shall have 10 business days after receipt of the Notice to submit the listed information or to request an extension of time to provide such information. If the Interconnection Requester does not provide the listed information or a request for an extension of time within the 10-business day deadline, the Application shall be deemed withdrawn. An Application will be complete upon submission of the listed information to the Interconnecting Utility.

(E) Each Interconnecting Utility shall maintain an Interconnection Queue. The Interconnecting Utility shall assign each complete Application a position in the Interconnection Queue based upon the date- and time-stamp of the Interconnection Requester's Application. The date- and time-stamp of the Application will be used to determine the cost responsibility for any System Upgrades necessary to accommodate the interconnection. At the Interconnecting Utility's option, interconnection requests may be studied serially or in clusters for the purpose of the System Impact Study.

(F) Modification of Application. Any material modification to machine data or equipment configuration or to the Point of Interconnection not agreed to in writing by the Interconnecting Utility and the Interconnection Requester may be deemed by the Interconnecting Utility as a withdrawal of the Application and may require submission of a new Application, unless proper notification of each party by the other and a reasonable time to cure the problems created by the changes are undertaken. This provision shall apply during the process described in Sections 5.505 through 5.508 of this Rule.

Section 5.505 Fast Track Screening Process

(A) Within 15 business days after the Interconnecting Utility notifies the Interconnection Requester it has received a complete Application, the Interconnecting Utility shall perform a review of the Application under the Fast Track Screening Criteria set forth below, shall notify the Interconnection Requester of the results, and shall include with the notification copies of the analysis and data underlying the Interconnecting Utility's determinations under the Fast Track Screening Criteria.

(B) Fast Track Screening Criteria

(1) The Interconnection Requester's proposed Generation Resource meets the applicable codes and standards of Section 5.510 or is a certified equipment package under Section 5.511.

(2) The proposed interconnection point is not at transmission voltage (i.e., not over 23 kV line to line or 13.28 kV line to neutral).

(3) For interconnection to a Radial Feeder, the aggregated generation, including the proposed Generation Resource, on the circuit will not exceed 15% of the line section annual peak load as most recently measured at the substation. A line section is that portion of a distribution system connected to a customer bounded by Automatic Disconnect Devices or the end of the distribution line.

(4) The aggregated generation, including the proposed Generation Resource, on a distribution circuit will not contribute more than 10% to the distribution circuit's maximum fault current at the point on the high voltage (primary) level nearest the proposed interconnection point.

(5) The aggregated generation, including the proposed Generation Resource, on a distribution circuit will not cause any distribution protective devices and equipment (including, but not limited to, substation breakers, fuse cutouts, and line reclosers), or customer equipment on the system to exceed 85% of the short-circuit interrupting capability; nor is the Generation Resource proposed for a circuit that already exceeds 85% of the short-circuit interrupting capability.

(6) For interconnection of a proposed single-phase or effectively-grounded three-phase Generation Resource where the primary distribution system is three-phase, four-wire, the Generation Resource will be connected line-to-neutral. For interconnection of a proposed single-phase or three-phase Generation Resource where the primary distribution system is three-phase, three-wire, the Generation Resource will be connected line-to-line.

(7) Voltage drop due to starting the proposed generator is within acceptable limits, meaning that inrush current, due to starting the proposed Generation Resource up to once per hour, is not greater than 3% of the available fault current. Voltage drop due to starting the proposed Generation Resource more than once per hour meets a tighter inrush-current tolerance, to be determined by the Interconnecting Utility.

(8) For any single Generation Resource, the available utility short circuit current at the Point of Interconnection divided by the rated output current of the Generation Resource is no less than:

(a) 50 for Generation Resources of less than 100 kW;

(b) 40 for Generation Resources from 100 kW to less than 500 kW; and

(c) 20 for Generation Resources equal to or greater than 500 kW.

(9) Aggregate generation, including the Generation Resource, on a circuit will not exceed 2 MVA in an area where there are known or posted transient stability limitations to generating units located in the general electrical vicinity (e.g., three or four busses from the point of interconnection).

(10) No System Upgrades, in excess of limited preparations that do not necessitate a Facilities Study, are required to facilitate the interconnection of the Generation Resource.

(11) For interconnection of the proposed Generation Resource to the load side of spot network protectors, the proposed Generation Resource utilizes inverter-based equipment and aggregate generation, including proposed Generation Resource, will not exceed the smaller of 5% of a spot network's maximum load or 50 kW. Synchronous generators cannot be connected to a secondary network.

(12) If the Generation Resource is to be connected on a shared, single-phase secondary, aggregate generation capacity on the shared secondary, including the proposed generation, will not exceed 20 kVA.

(13) If the Generation Resource is single-phase and is to be interconnected on a center tap neutral of a 240 volt service, its addition will not create an imbalance between the two sides of the 240 volt service of more than 20% of the service transformer nameplate.

Section 5.506 Applications Eligible for Fast Track

(A) Applications for proposed Generation Resources shall be eligible for Fast Track if the proposed Generation Resource satisfies all of the Fast Track Screening Criteria. At the time the Interconnecting Utility notifies the Interconnection Requester of the results of the review of the Fast Track Screening Criteria, if the Application is eligible for Fast Track, the Interconnecting Utility shall present the Interconnection Requester with the option of Fast Tracking the Application. If limited and low cost preparations are required to Fast Track the proposed Generation Resource, a good-faith cost estimate shall accompany the notification that the requested interconnection can be Fast Tracked. If the Interconnection Requester indicates in response to this notification that it does not want to proceed further, the Application will be considered withdrawn.

(B) If mutually agreed upon, a Scoping Meeting to discuss available options may be scheduled and held within 10 business days of the Interconnecting Utility notifying the Interconnection Requester of the results of the review of the Fast Track Screening Criteria.

(C) Applications that qualify for Fast Track shall not require Feasibility, System Impact, or Facilities Studies, and shall proceed directly to the Interconnection Agreement in accordance with Section 5.506(D).

(D) Interconnection Agreement

(1) If the proposed Generation Resource is eligible for Fast Track, the Application shall be approved and the Interconnecting Utility shall provide the Interconnection Requester an executable Interconnection Agreement before holding a Scoping Meeting if a Scoping Meeting is to be held, within 5 business days of a decision not to hold a Scoping Meeting, or, if applicable, within 5 business days of confirmation that the Interconnection Requester has agreed to make the necessary limited preparations at the Interconnection Requester's expense, whichever is later.

(2) The Board will provide a model Interconnection Agreement and associated Technical Requirements and Operator Protocols. However, the Interconnecting Utility and the Interconnection Requester may voluntarily enter into different arrangements.

Section 5.507 Applications Not Eligible for Fast Track

(A) Applications for proposed Generation Resources shall not be eligible for Fast Track if the proposed Generation Resource does not satisfy all of the Fast Track Screening Criteria.

(B) For those Proposed Generation Resources that are not eligible for Fast Track, the codes and standards listed in Section 5.510 shall be met to the extent that they are applicable to the proposed Generation Resource.

(C) If mutually agreed upon, a Scoping Meeting to discuss available options may be scheduled and held within 10 business days of the Interconnecting Utility notifying the Interconnection Requester of the results of the review of the Fast Track Screening Criteria. The purpose of the Scoping Meeting may be to review existing studies relevant to the Interconnection Requester's interconnection Application, and/or to further discuss whether the Interconnecting Utility should perform a Feasibility Study, or proceed directly to a System Impact Study or to a Facilities Study.

(D) If the Interconnecting Utility and the Interconnection Requester agree to proceed with the interconnection Application and agree that a Feasibility Study should be performed, the procedures of Section 5.507(E) shall apply. If the Interconnecting Utility and the Interconnection Requester agree to proceed with the interconnection Application, but agree not to perform a Feasibility Study and to proceed directly to a System Impact Study or a Facilities Study, the procedures at Sections 5.507(F) or 5. 507(G), respectively, shall apply. If mutually agreed upon by the Interconnection Requester and the Interconnecting Utility, the Feasibility, System Impact, and/or Facilities Studies may be combined for the purpose of achieving cost and/or time savings.

(E) Feasibility Study

(1) Within 5 business days after the close of the Scoping Meeting, or after the date of the decision not to hold a Scoping Meeting, the Interconnecting Utility shall provide the Interconnection Requester an executable Feasibility Study Agreement including an outline of the scope of the study and a good faith estimate of the cost to perform the study. In order to remain in the Interconnecting Utility's Interconnection Queue, the Interconnection Requester must return, within 15 business days, an executed Feasibility Study Agreement along with a deposit of the lesser of fifty percent of estimated Feasibility Study costs or $ 1,000. A model Feasibility Study Agreement will be provided by the Board; however, the Interconnecting Utility and the Interconnection Requester may voluntarily enter into a different arrangement.

(2) A Feasibility Study shall include the following analyses:

(a) Initial identification of any instances where the short-circuit capability limits of any protective device (circuit breaker, recloser, fuse, etc.) would be exceeded as a result of the interconnection;

(b) Initial identification of any thermal overload or voltage limit violations resulting from the interconnection;

(c) Initial review of grounding requirements and system protection; and

(d) Description and non-binding estimated cost of facilities required to interconnect the facility to an electric distribution power system or directly to a transmission system and to address the identified short-circuit and power-flow issues.

(3) A Feasibility Study shall model the impact of the Generation Resource regardless of purpose, in order to avoid the further expense and interruption of operation for reexamination of feasibility and impacts if the Interconnection Requester later changes the purpose for which the Generation Resource is being installed.

(4) A Feasibility Study shall include the feasibility of any interconnection at a proposed project site where there could be multiple potential Points of Interconnection, as requested by the Interconnection Requester.

(5) In performing the Feasibility Study, the Interconnecting Utility shall rely, to the extent reasonably practicable, on existing studies of recent vintage. The Interconnection Requester shall not be charged for such existing studies; however, the Interconnection Requester shall be responsible for charges associated with any new study or modifications to existing studies that are reasonably necessary to perform the Feasibility Study.

(6) Feasibility Study Report and Cost Reconciliation

(a) Once a Feasibility Study is completed, the Interconnecting Utility shall prepare a Feasibility Study Report, which describes the results of the Feasibility Study, and transmit it to the Interconnection Requester. Barring unusual circumstances outside of the Interconnecting Utility's control, the Interconnecting Utility shall complete a Feasibility Study, and transmit the Feasibility Study Report to the Interconnection Requester, within 30 business days of the Interconnection Requester's agreement to conduct a Feasibility Study.

(b) The Feasibility Study Report shall also include cost estimates for the Distribution Level System Impact Study, Transmission Level System Impact Study, and Facilities Study, to the extent that any of these studies are determined by the Feasibility Study to be required.

(c) The Feasibility Study Report shall also include a request that the Interconnection Requester, after reviewing the results of the Feasibility Study, notify the Interconnecting Utility regarding whether the Interconnection Requester would like to proceed with the interconnection Application. If the Interconnection Requester decides not to proceed with the Application, or if the Interconnection Requester does not notify the Interconnecting Utility within 15 business days, the Interconnecting Utility may consider the Application withdrawn.

(d) Cost reconciliation. Within 15 business days of submittal of the Feasibility Study Report, the Interconnecting Utility shall provide to the Interconnection Requester an invoice that includes a breakdown of the actual cost to perform the Feasibility Study. The Interconnection Requester must pay the full cost of the Feasibility Study. The Interconnecting Utility shall base all study fees on actual costs, which include, but are not limited to, salaries, overheads, and out-of-pocket costs including costs billed by other entities for new studies or portions thereof which the Interconnecting Utility does not itself perform [see 5. 507(H)]. If the cost of the Feasibility Study exceeds the deposit, the Interconnection Requester must pay the invoiced amount (cost of the Feasibility Study minus the deposit), without interest, within 25 business days of receipt of the invoice or resolution of any dispute. If the deposit exceeds the cost of the Feasibility Study, the Interconnecting Utility shall refund such excess, without interest, within 15 business days of submittal of the Feasibility Study Report.

(7) If a Feasibility Study shows no potential adverse impacts on the electric system, and no additional facilities are required, the Interconnecting Utility shall send the Interconnection Requester an executable Interconnection Agreement within 5 business days after receiving confirmation from the Interconnection Requester that it would like to proceed with the interconnection. A model Interconnection Agreement and associated Technical Requirements and Operator Protocols will be provided by the Board; however, the Interconnecting Utility and the Interconnection Requester may voluntarily enter into different arrangements.

(8) If a Feasibility Study shows no potential adverse impacts on the electric system, but additional facilities are required, the Interconnecting Utility shall send the Interconnection Requester an executable Facilities Study Agreement, including an outline of the scope of the study and a good-faith estimate of the cost to perform the study, pursuant to Section 5. 507(G), within 5 business days after receiving confirmation from the Interconnection Requester that it would like to proceed with the interconnection. The Board will provide a model Facilities Study Agreement; however, the Interconnecting Utility and the Interconnection Requester may voluntarily enter into a different arrangement.

(9) If a Feasibility Study shows the potential for adverse impacts on either the distribution system or the transmission system, the review process shall proceed to the System Impact Study, and the Interconnecting Utility shall send the Interconnection Requester an executable System Impact Study Agreement, including an outline of the scope of the study and a good-faith estimate of the cost to perform the study, pursuant to Section 5.507(F), within 5 business days after receiving confirmation from the Interconnection Requester that it would like to proceed with the interconnection. The executable System Impact Study Agreement shall specify whether it and the cost estimate are for a Distribution Level Study, Transmission Level Study, or both. The Board will provide a model System Impact Study Agreement; however, the Interconnecting Utility and the Interconnection Requester may voluntarily enter into a different arrangement.

(F) System Impact Study

(1) In order to remain in the Interconnecting Utility's Interconnection Queue, the Interconnection Requester must return, within 15 business days, an executed System Impact Study Agreement along with a deposit equivalent to the estimated cost of the study. A model System Impact Study Agreement will be provided by the Board; however, the Interconnecting Utility and the Interconnection Requester may voluntarily enter into a different arrangement.

(2) A System Impact Study includes two sub-studies: a Transmission Level Study and a Distribution Level Study. One or both of the sub-studies may be performed, depending on the specific circumstances of the Application and the findings of the Scoping Meeting and/or Feasibility Study. If the Scoping Meeting or Feasibility Study identifies potential adverse impacts on the distribution system, a Distribution Level Study shall be performed. If the Scoping Meeting, Feasibility Study, or Distribution Level Study identifies potential adverse impacts on the transmission system, a Transmission Level Study shall be performed.

(a) The Distribution Level System Impact Study shall consist of a distribution load-flow study, an analysis of equipment-interrupting ratings, protection coordination study, voltage drop and flicker studies, protection and set point coordination studies, and grounding reviews, and the impact on system operation, as necessary.

(b) The Transmission Level System Impact Study shall consist of a short-circuit analysis, a stability analysis, a power-flow analysis, voltage-drop and flicker studies, protection and set-point-coordination studies, and grounding reviews, as necessary.

(3) The purpose of the System Impact Study shall be to identify and specify the impacts to electric transmission and/or distribution system stability and reliability that would result if the proposed Generation Resource were interconnected without project modifications or system modifications, focusing on the adverse impacts identified in the Scoping Meeting or Feasibility Study, and to identify and study any additional potential impacts. The System Impact Study shall consider all generating facilities that:

(a) Are directly interconnected to the Interconnecting Utility's electric transmission or distribution system;

(b) Are interconnected to Affected Systems and may have an impact on the Interconnection Requester's Application; and

(c) Have a pending Application with an earlier position in the Interconnection Queue to interconnect to the electric transmission and/or distribution systems.

(4) System Impact Study Report and Cost Reconciliation

(a) Once a System Impact Study is completed, the Interconnecting Utility shall prepare a System Impact Study Report and transmit it to the Interconnection Requester. Barring unusual circumstances outside of the Interconnecting Utility's control, the System Impact Study determined to be necessary by the Feasibility Study or Scoping Meeting shall be completed and transmitted to the Interconnection Requester within 45 business days from receipt of the System Impact Study agreement and deposit if a Feasibility Study was performed, and 60 days from receipt of the System Impact Study agreement and deposit if a Feasibility Study was not performed.

(b) The System Impact Study Report shall state the assumptions upon which the System Impact Study is based, state the results of the analyses, and provide the requirements for, or potential impediments to, providing the requested interconnection service, including a preliminary indication of the cost and length of time that would be necessary to correct any problems identified in those analyses and to implement the interconnection. The System Impact Study shall provide a list of facilities that are required as a result of the Interconnection Requester's Application and a non-binding good-faith estimate of cost responsibility and a non-binding good-faith estimate of time to construct.

(c) The System Impact Study Report shall also include a request that the Interconnection Requester, after reviewing the results of the System Impact Study, notify the Interconnecting Utility regarding whether the Interconnection Requester would like to proceed with the interconnection Application. If the Interconnection Requester decides not to proceed with the Application, or if the Interconnection Requester does not notify the Interconnecting Utility within 15 business days, the Interconnecting Utility may consider the Application withdrawn.

(d) Cost reconciliation. Within 15 business days of submittal of the System Impact Study Report, the Interconnecting Utility shall provide to the Interconnection Requester an invoice that includes a breakdown of the actual cost to perform the System Impact Study. The Interconnection Requester must pay the full cost of the System Impact Study. The Interconnecting Utility shall base all study fees on actual costs, which include, but are not limited to, salaries, overheads, and out-of-pocket costs including costs billed by other entities for new studies or portions thereof which the Interconnecting Utility does not itself perform [see 5.507(H)]. If the cost of the System Impact Study exceeds the deposit, the Interconnection Requester must pay the invoiced amount (cost of the System Impact Study minus the deposit), without interest, within 25 business days of receipt of the invoice or resolution of any dispute. If the deposit exceeds the cost of the System Impact Study, the Interconnecting Utility shall refund such excess, without interest, within 15 business days of submittal of the System Impact Study Report.

(5) If, while conducting the System Impact Study outlined in the executed System Impact Study Agreement, the Interconnecting Utility determines that studies beyond those contained in the executed System Impact Study Agreement are required (for instance, if the Feasibility Study recommended that a Distribution Level Study be conducted, and, during the course of conducting the Distribution Level Study, the Interconnecting Utility determined that a Transmission Level Study is also required), the Interconnecting Utility shall, within 5 business days of making that determination, send the Interconnection Requester a supplemental System Impact Study Agreement, including an outline of the scope of the supplemental study and a good faith estimate of the cost to perform the supplemental study. In order to remain under consideration for interconnection, the Interconnection Requester must return an executed supplemental System Impact Study Agreement within 15 business days with a deposit equivalent to the estimated cost of the supplemental study. Barring unusual circumstances outside of the Interconnecting Utility's control, a supplemental System Impact Study shall be completed and transmitted to the Interconnection Requester within 45 business days of the receipt of the supplemental System Impact Study Agreement. The report and cost reconciliation shall follow the procedures detailed in Section 5.507(F)(4)(b) through (d), above.

(6) In instances where a Feasibility Study or a System Impact Study shows potential for adverse impacts on the transmission system, within 5 business days following transmittal of the Feasibility Study Report or System Impact Study report, the Interconnecting Utility shall notify the Affected Systems in accordance with the same interconnection notification protocols that would apply if the Application were subject to FERC jurisdiction.

(7) Where transmission systems and electric power distribution systems have separate owners, such as is the case with transmission-dependent utilities, whether investor-owned or not, the Interconnection Requesters may apply to the nearest transmission utility providing transmission service to the transmission-dependent utility to request project coordination if that transmission utility is notified in accordance with the same interconnection notification protocols that would apply if the Application were subject to FERC jurisdiction.

(8) If a System Impact Study shows that no additional facilities are required, the Interconnecting Utility shall send the Interconnection Requester an executable Interconnection Agreement within 15 business days after receiving confirmation from the Interconnection Requester that it would like to proceed with the interconnection. A model Interconnection Agreement and associated Technical Requirements and Operator Protocols will be provided by the Board; however, the Interconnecting Utility and the Interconnection Requester may voluntarily enter into different arrangements.

(9) If a System Impact Study shows that additional facilities are required, the Interconnecting Utility shall send the Interconnection Requester an executable Facilities Study Agreement, including an outline of the scope of the study and a good-faith estimate of the cost to perform the study, pursuant to Section 5. 507(G), within 5 business days after receiving confirmation from the Interconnection Requester that it would like to proceed with the interconnection. The Board will provide a model Facilities Study Agreement; however, the Interconnecting Utility and the Interconnection Requester may voluntarily enter into a different arrangement.

(G) Facilities Study

(1) In order to remain in the Interconnecting Utility's Interconnection Queue, the Interconnection Requester must return, within 30 business days, an executed Facilities Study Agreement along with a deposit equivalent to the estimated cost of the study. The Interconnection Requester may also request an extension of time within the 30 business days.

(2) Facilities Study Preparation. Transmission-system and/or distribution-system interconnection design for any required Interconnection Facilities and/or System Upgrades shall be performed under a Facilities Study agreement between the Interconnection Requester and the Interconnecting Utility. The Interconnecting Utility may contract with consultants, including contractors acting on behalf of the Interconnecting Utility, to perform the bulk of the activities required under the Facilities Study agreement. In some cases, the Interconnection Requester and the Interconnecting Utility may reach agreement allowing the Interconnection Requester to separately arrange for the design of some of the required Interconnection Facilities and/or System Upgrades. In such cases, facilities design shall be reviewed, and modified as necessary by the Interconnecting Utility, prior to acceptance under the provisions of the Facilities Study Agreement. If the parties agree to separately arrange for design and construction, the Interconnecting Utility shall make sufficient information available to the Interconnection Requester to permit the Interconnection Requester to obtain an independent design and cost estimate for any necessary facilities. This provision shall not prohibit the Interconnecting Utility and the Interconnection Requester from reaching agreement to protect information one or the other deems confidential, and shall not require the Interconnecting Utility to disclose information it is otherwise obliged not to disclose or affect the Board's authority to compel or restrict disclosure of information.

(3) System Upgrades. In cases where System Upgrades are required, the Facilities Study shall be completed and a Facilities Study Report transmitted to the Interconnection Requester within 45 days of the receipt of the Facilities Study Agreement. In cases where no System Upgrades are required, and the required facilities are limited to Interconnection Facilities, the Facilities Study shall be completed and a Facilities Study Report transmitted to the Interconnection Requester within 30 business days. The Facilities Study Report shall include a good-faith estimate of the cost of any recommended System Upgrades or Interconnection Facilities.

(4) Cost reconciliation. Within 15 business days of submittal of the Facilities Study Report, the Interconnecting Utility shall provide to the Interconnection Requester an invoice that includes a breakdown of the actual cost to perform the Facilities Study. The Interconnection Requester must pay the full cost of the Facilities Study. The Interconnecting Utility shall base all study fees on actual costs, which include, but are not limited to, salaries, overheads, and out-of-pocket costs including costs billed by other entities for new studies or portions thereof which the Interconnecting Utility does not itself perform [see 5.507(H)]. If the cost of the Facilities Study exceeds the deposit, the Interconnection Requester must pay the invoiced amount (cost of the Facilities Study minus the deposit), without interest, within 25 business days of receipt of the invoice or resolution of any dispute. If the deposit exceeds the cost of the Facilities Study, the Interconnecting Utility shall refund such excess, without interest, within 15 business days of submittal of the Facilities Study Report.

(5) Costs of Facilities and Cost Responsibility. Where additional facilities, Interconnection Facilities, or System Upgrades are required to permit the interconnection of a Generation Resource, the Interconnection Requester shall bear the entire cost of such facilities. Within 30 days of final collection of all material, labor, contractor, permitting, and other costs incurred by the Interconnecting Utility in construction, testing, and commissioning of the Interconnection Facilities and System Upgrades, the Interconnecting Utility shall provide the Interconnection Requester with an invoice. The Interconnection Requester must pay all such costs that exceed the deposit within 30 business days of receipt of the invoice or resolution of any dispute. If the deposit exceeds the invoiced costs, the Interconnecting Utility shall return such excess, without interest, within 30 business days of receipt of the invoice or resolution of any dispute.

(6) Grouping of Facilities. An Interconnecting Utility may propose to group facilities required for more than one Interconnection Requester in order to minimize facilities' costs through economies of scale, but any Interconnection Requester may require the installation of facilities required for its own Generation Resource if it is willing to pay the costs of those facilities.

(H) Notification Prior to Exceeding Cost Estimate. For any study for which these Rules require the Interconnection Requester to bear costs, the Interconnecting Utility shall, prior to exceeding a previously-provided cost estimate, promptly notify the Interconnection Requester if study costs are likely to exceed the previously-provided estimate and shall provide the Requester with a revised total estimated cost for the study. The Interconnecting Utility shall proceed with completing the study unless and until requested to cease processing the Application by the Interconnection Requester, in which case the Requester shall be responsible for all study costs incurred to date and the Application shall be deemed withdrawn.

(I) Pursuant to 5.507(E)(6)(d), 5.507(F)(4)(d), and 5.507(G)(4), for those portions, if any, of the study fees for the Feasibility, System Impact, and Facilities Studies which the Interconnecting Utility bills to the Interconnection Requester and for which the Interconnecting Utility could also recover in its rates, the Interconnecting Utility shall book this income separately.

Section 5.508 Terms Applicable to All Interconnection Applications

(A) The interconnection of all Generation Resources shall include a utility-accessible, lockable, visible, load-break disconnect switch at the Point of Interconnection.

(B) Interconnection Agreement. Upon completion of the necessary studies, if any, the Application shall be approved and the Interconnecting Utility shall provide the Interconnection Requester an executable Interconnection Agreement with necessary attachments within 5 business days for Fast Track Application, or 15 business days for all other Applications, following the determination that the Interconnection Requester wishes to proceed with the project and confirmation that the Interconnection Requester has agreed to pay the costs of all necessary System Upgrades, and to install Interconnection Facilities at the Interconnection Requester's expense. The Interconnection Requester shall return the executed Interconnection Agreement within one calendar year or the Interconnection Requester's Application shall be deemed withdrawn and the Interconnection Requester shall lose Interconnection Queue position. The Interconnection Requestor bears all risk if, during the period between completion of Studies and the return of the executed Interconnection Agreement, (i) network conditions change such that the Studies' results are no longer valid and the Studies need to be revisited and updated at the Interconnection Requestor's cost and (ii) the cost estimate for System Upgrades and Interconnection Facilities is no longer valid, except to the extent that these changed circumstances are known or could reasonably have been foreseen by the Interconnecting Utility.

(C) Reasonable Efforts. The Interconnecting Utility shall make reasonable efforts to meet all time frames provided in this Rule unless the Interconnecting Utility and the Interconnection Requester agree to a different schedule. If an Interconnecting Utility cannot meet a deadline provided herein, it shall notify the Interconnection Requester, explain the reason for the failure to meet the deadline and provide an estimated time by which it will complete the applicable interconnection procedure. The Interconnecting Utility shall maintain records, subject to audit, of all Generation Resource Applications received, the times required to complete Application approvals and disapprovals and justification for the actions taken on the Applications. If costs arise from delay despite reasonable efforts of the Interconnecting Utility, these costs shall be borne by the Interconnection Requester. If costs arise from delay resulting from a lack of reasonable efforts on the part of the Interconnecting Utility, such costs shall be borne by the Interconnecting Utility.

(D) Dispute Resolution. If a dispute arises at any time during these procedures, either the Interconnection Requester or the Interconnecting Utility may seek immediate resolution by written petition to the Board, with copies to the other party and the Vermont Department of Public Service, stating the issues in dispute. Pursuit of dispute resolution shall not affect an Interconnection Requester's Application with regard to consideration for interconnection, nor position in an Interconnection Queue.

(E) Interconnection Metering. Any metering necessitated by the interconnection of the Generation Resource shall be installed at the Interconnection Requester's expense in accordance with the Interconnecting Utility's reasonable specifications.

(F) Commissioning. Commissioning tests of an Interconnection Requester's installed equipment shall be performed pursuant to applicable codes and standards as identified by the parties in the Interconnection Agreement. The Interconnecting Utility shall be given 10 business days' written notice, or as otherwise mutually agreed by the Parties, of the tests and may have one or more of its representatives present to witness the commissioning tests.

Section 5.509 Disconnection

(A) The following requirements shall govern disconnection from the electrical system of a Generation Resource that was interconnected under these Procedures. These requirements apply to such Generation Resources only and do not supplant Board Rules 3.300 and 3.400 relating to utility disconnection in general.

(B) The Interconnection Requester retains the option to disconnect temporarily from the Interconnecting Utility's system at any time. Such temporary disconnection shall not be a termination of any Interconnection Agreement unless the Interconnection Requester exercises its termination rights under such agreement.

(C) In the event an Interconnecting Utility needs to perform an Emergency disconnection of a Generation Resource, the Interconnecting Utility shall notify the Interconnection Requester within 24 hours after the disconnection.

(1) If the Emergency is not caused by the Generation Resource, the Interconnecting Utility shall assist the Interconnection Requester with reconnecting the Generation Resource upon cessation of the Emergency.

(2) If the Emergency is caused by the Generation Resource, the Interconnecting Utility shall communicate the nature of the problem to the Interconnection Requester within 5 days, and work with the Interconnection Requester to resolve the problem. If the problem has not been resolved within 30 days of an Emergency disconnection, the Interconnecting Utility shall file a disconnection petition with the Board. In any proceeding on such a petition, the Interconnecting Utility shall bear the burden of proof to demonstrate the reasonableness of disconnection.

(D) Non-Emergency disconnections shall follow the same procedure as Emergency disconnections outlined above, except that the Interconnecting Utility shall give written notice of the disconnection no earlier than 10 days and no later than 7 days prior to the first date on which disconnection of the Generation Resource may occur. Such notice shall communicate the reason for disconnection to the Interconnection Requester and the expected duration of the disconnection. An Interconnecting Utility may obtain, at the discretion of the Interconnection Requester, an Interconnection Requester's written agreement to notice requirements for non-Emergency disconnections which are different from those set forth in these procedures, provided that the Interconnecting Utility first advises the Interconnection Requester of its rights under this rule.

(E) An Interconnection Requester whose Generation Resource is involuntarily disconnected may file a complaint with the Board at any time following disconnection. The Board may hold a hearing to determine whether the Generation Resource should be reconnected to the Interconnecting Utility. In the event of the filing of such a complaint, the Interconnecting Utility shall bear the burden of proof to demonstrate the reasonableness of disconnection.

Section 5.510 Codes and Standards

When any listed version of the following codes and standards is superseded by a revision approved by the standards-making organization, then the revision shall be applied under Section 5.505. Applications that are date-and-time-stamped on or before six months after the revision date may follow the previous version of the standard, unless an immediate threat to safety and reliability exists that requires the retrofit of all similarly situated equipment. Applications that are date-and-time-stamped later than six months after the revision date must follow the revised standard.

(A) IEEE P1547 Standard for Interconnecting Distributed Resources with Electric Power Systems as adopted and successor or related IEEE-approved standards.

(B) UL 1741 Inverters, Converters, and Controllers for Use in Independent Power Systems.

(C) IEEE Standard 929-2000 IEEE Recommended Practice for Utility Interface of Photovoltaic (PV) Systems.

(D) NFP A 70 (2002) National Electrical Code.

(E) IEEE Standard C37.90.1-1989 (R1994) IEEE Standard Surge Withstand Capability (SWC) Tests for Protective Relays and Relay Systems.

(F) IEEE Standard C37.90.2 (1995) IEEE Standard Withstand Capability of Relay Systems to Radiated Electromagnetic Interference from Transceivers.

(G) IEEE Standard C37.108-1989 (R2002) IEEE Guide for the Protection of Network Transformers.

(H) IEEE Standard C57.12.44-2000 IEEE Standard Requirements for Secondary Network Protectors.

(I) IEEE Standard C62.41.2-2002 IEEE Recommended Practice on Characterization of Surges in Low Voltage (1000V and Less) AC Power Circuits.

(J) IEEE Standard C62.45-1992 (R2002) IEEE Recommended Practice on Surge Testing for Equipment Connected to Low-Voltage (1000V and Less) AC Power Circuits.

(K) ANSI C84.1-1995 Electric Power Systems and Equipment - Voltage Ratings (60 Hertz).

(L) IEEE Standard 100-2000 IEEE Standard Dictionary of Electrical and Electronic Terms.

(M) NEMA MG 1-1998, Motors and Small Resources, Revision 3.

(N) IEEE Standard 519-1992 IEEE Recommended Practices and Requirements for Harmonic Control in Electrical Power Systems.

Section 5.511 Certification of Generation Resource Equipment Packages

(A) A Generation Resource equipment package shall be considered certified for interconnected operation to an electric power distribution system if it has been approved under the certification process described below.

(B) An equipment package shall be considered certified for interconnected operation if it has been submitted, tested and listed by a nationally recognized testing and certification laboratory or approved by the U.S. Department of Energy for continuous utility interactive operation in compliance with the applicable Codes and Standards listed in Section 5. 510, above. An "equipment package" shall include all interface components including switchgear, inverters, or other interface devices and may include an integrated Generation Resource. If the equipment package has been tested and listed as an integrated package which includes a Generation Resource, it shall not require further design review, testing or additional equipment to meet the certification requirements. If the equipment package includes only the interface components (switchgear, inverters, or other interface devices), then an Interconnection Requester must demonstrate to the Interconnecting Utility that the Generation Resource being utilized with the equipment package is compatible with the equipment package and consistent with the testing and listing specified for the package. If the Generation Resource combined with the equipment package is consistent with the testing and listing performed by the nationally recognized testing and certification laboratory, no further design review, testing or additional equipment shall be required to meet the certification requirements. A certified equipment package does not include equipment provided by the Interconnecting Utility, nor does certification necessarily exempt an equipment package or Generation Resource from commissioning testing required for installation and operation.

Appendix A Interconnection Procedure Flow Chart

Appendix A to PSB Rule 5. 500: Interconnection Procedure Flow Chart

[See graphic or tabular material in printed version]

STANDARD APPLICATION FOR INTERCONNECTION OF GENERATION RESOURCES IN PARALLEL TO THE ELECTRIC SYSTEM OF:

---

(Interconnecting Utility)

Preamble and Instructions:

An owner of a generation resource who requests interconnection to a State- regulated distribution or transmission facility, must submit an application by hand delivery, mail, e-mail or fax to the Interconnecting Utility, as applicable as follows:

Interconnecting Utility: ___

Interconnecting Utility's Designated Contact Person:

---

Interconnecting Utility's Address: ___

Interconnecting Utility's Fax Number: ___

Interconnecting Utility's E-Mail Address: ___

An application is a Complete Application when it provides all applicable and correct information required below. (Additional information to evaluate a request for Interconnection may be required pursuant to the application process after the application is deemed complete).

Processing Fee:

There is a $ 300 Application fee that must be submitted to the Interconnection Utility along with this Application.

Section 1. Applicant Information

A. Legal Name of Interconnecting Applicant (or, if an Individual, Individual's Name)

Name: ___

Mailing Address: ___

City: ___ State: ___ Zip Code: ___

Facility Location (if different from above):

---

Telephone (Daytime): () ___ - ___ (Evening): () ___ - ___

Facsimile Number: ___

E-Mail Address: ___

B. Alternative Contact Information (if different from Applicant)

Contact Name: ___

Contact Title: ___

Address: ___

Phone Number: ___

Facsimile Number: ___

E-mail address: ___

C. Will the Generation Resource be used for any of the following:

To supply power to the Interconnection Requester? Yes ___ No ___

To supply power to others? Yes ___ No ___

D. For generators installed at locations with existing electric service to which the proposed generator will interconnect, provide:

---

(Local Electric Service Provider*)

---

(Existing Account Number*)

[*To be provided by Applicant if Local Electric Service Provider is different from Interconnecting Utility]

Contact Name: ___

Contact Title: ___

Address: ___

Phone Number: ___

Facsimile Number (if known): ___

E-mail address (if known): ___

E. Requested Point of Interconnection: ___

F. Interconnection Applicant's requested in-service date: ___

Section 2. Generator Qualifications

All data collected in Sections 2, 3, and 4 are applicable only to the generator facility, NOT the necessary interconnection facilities

Energy source: ___ Solar ___ Wind ___ Hydro ___ Type (e.g. Run-of-River) ___ Diesel ___ Natural Gas ___ Fuel Oil Other (state type) ___

Type of Generator: ___ Synchronous ___ Induction ___ DC Generator or Solar with Inverter

Generator Nameplate Rating: ___ kW (Typical)

Generator Nameplate kVAR: ___

Applicant or Customer-Site Load: ___ kW (if none, so state) (Typical); ___ (Reactive Load, if known)

Maximum Physical Export Capability Requested: ___ kW

List components of the Generating Facility that are currently certified by a U.S. Department of Energy-approved laboratory and/or listed by the Underwriters Laboratory:

| Equipment Type | UL Listing or U.S. Lab Certification | | --- | --- | | (Identify) | | | 1. ___ | ___ | | 2. ___ | ___ | | 3. ___ | ___ | | 4. ___ | ___ | | 5. ___ | ___ |

Section 3. Generator Technical Information

Generator (or solar collector) Manufacturer, Model Name & Number: ___

Version Number: ___

Nameplate Output Power Rating in kW: (Summer) ___ (Winter) ___

Nameplate Output Power Rating in kVA: (Summer) ___ (Winter) ___

Nameplate Output Power Rating: ___ kW @ ___ [degree] C temp. rise above ambient ___ [degree] C

Nameplate Output Power Rating: ___ kVA @ ___ [degree] C temp. rise above ambient ___ [degree] C

Individual Generator Power Factor

Rated Power Factor Leading: ___

Rated Power Factor Lagging: ___

Total Number of Generators in Wind Farm to be interconnected pursuant to this application: ___

Elevation: ___ Single phase: ___ Three phase:

---

Inverter Manufacturer, Model Name & Number (if used): ___

List of Adjustable Set points for the protective equipment or software: ___

Generator Characteristic Data (for rotating machines):

[Note: For Wind Generators not reasonably expected to be eligible for Fast Track, a completed General Electric Company Power Systems Load Flow (PSLF) data sheet must be supplied with the application.]

For Synchronous and Induction Generators:

Direct Axis Transient Reactance, X'd: ___ P.U.

Direct Axis Unsaturated Transient Reactance, X'di: ___ P.U.

Direct Axis Subtransient Reactance, X"d: ___ P.U.

Generator Saturation Constant (1.0): ___

Generation Saturation Constant (1.2): ___

Negative Sequence Reactance: ___ P.U.

Zero Sequence Reactance: ___ P.U.

kVA Base: ___

RPM Frequency: ___

Additional information for Induction Generators:

*Field Volts

*Field Amperes

*Motoring Power (kW)

*Neutral Grounding Resistor (If Applicable)

*I22t or K (Heating Time Constant)

*Rotor Resistance

*Stator Resistance *Stator Reactance

Rotor ReactanceMagnetizing Reactance

*Short Circuit Reactance

*Exciting Current

*Temperature Rise

*Frame Size *Design Letter

*Reactive Power Required In Vars (No Load)

*Reactive Power Required In Vars (Full Load)

*Total Rotating Inertia, H: ___ Per Unit on kVA Base

[*Note: Please contact Interconnecting Utility prior to submitting the Application, to determine if the specified information above is required.]

Excitation & Governor System Data for Synchronous Generators only

Provide either a copy of the manufacturer's block diagram or appropriate IEEE model block diagram of excitation system, governor system and power system stabilizer (PSS) in accordance with the regional reliability council criteria. A PSS may be determined to be required by applicable studies.

Section 4. Interconnection Equipment Technical Data Information

Will a transformer be used between the generator and the point of interconnection? ___ Yes ___ No

Will the transformer be provided by Interconnection Applicant? ___ Yes ___ No

Transformer Data (if applicable. for Interconnection Applicant-Owned Transformer):

Is the transformer: ___ single phase ___ three phase?

Size: ___ kVA

Transformer Impedance: ___ % on ___ kVA Base

If Three Phase:

Transformer Primary: ___ Volts ___ Delta ___ Wye ___ Wye Grounded

Transformer Secondary: ___ Volts ___ Delta ___ Wye ___ Wye Grounded

Transformer Fuse Data (optional - Interconnection Requester may work with Interconnecting Utility to properly size any fuses at the Point of Interconnection):

(Attach copy of fuse manufacturer's Minimum Melt & Total Clearing Time-Current Curves)

Manufacturer: ___ Type: ___ Size: ___

Speed: ___

Interconnecting Circuit Breaker (if applicable):

Manufacturer: ___ Type: ___ Load Rating: ___ Interrupting Rating: ___

Trip Speed: ___

(Amps)

(Amps)

(Cycles)

Current Transformer Data (if applicable):

(Enclose copy of Manufacturer's Excitation & Ratio Correction Curves)

Manufacturer: ___ Type: ___ Accuracy Class: ___ Proposed Ratio Connection:

---

Manufacturer: ___ Type: ___ Accuracy Class: ___ Proposed Ratio Connection: ___

Potential Transformer Data (if applicable):

Manufacturer: ___ Type: ___ Accuracy Class: ___

Proposed Ratio Connection:

---

Manufacturer: ___ Type: ___ Accuracy Class:

---

Proposed Ratio Connection: ___

Section 5. General Technical Information

Enclose copy of site electrical One-Line Diagram showing the configuration of all generating facility equipment, current and potential circuits, and protection and control schemes. Is one-line diagram enclosed? ___ Yes

[Note: This one-line diagram must be signed and stamped by a licensed Professional Engineer if the generating facility is larger than 150 kW.]

Enclose copy of any site documentation that indicates the precise physical location of the proposed generating facility (e.g., USGS topographic map or other diagram or documentation).

Proposed Location of Protective Interface Equipment on Property: (include address if different from Application address)

---

Enclose copy of any site documentation that describes and details the operation of the protection and control schemes. Is any available documentation enclosed? ___ Yes

Enclose copies of schematic drawings for all protection and control circuits, relay current circuits, relay potential circuits, and alarm/monitoring circuits (if applicable).

Are schematic drawings enclosed? ___ Yes

Enclose documentation of site control, showing at least one of the following:

(a) ownership of, a leasehold interest in, or a right to develop a site for the purpose of constructing a Generation Resource;

(b) an option to purchase or acquire a leasehold site for such purpose; or

(c) an exclusivity or other business relationship between the Generation Resource and the entity having the right to sell, lease or grant the Generation Resource the right to possess or occupy a site for such purpose.

Section 6. Applicant Signature

I hereby certify that, to the best of my knowledge, all the information provided in the Interconnection Application is true and correct.

Signature of Applicant: ___ Date: ___ Section 7 of Act 61 (2005)

History

• EFFECTIVE DATE: September 10, 1006 Secretary of State Rule Log # 06-027

Chapter 056 REQUIREMENTS FOR PETITIONS TO CONSTRUCT ELECTRIC AND GAS FACILITIES PURSUANT TO 30 V.S.A. Section 248 (5.400)

30-056 Code Vt. R. 30-000-056-X REQUIREMENTS FOR PETITIONS TO CONSTRUCT ELECTRIC AND GAS FACILITIES PURSUANT TO 30 V.S.A. Section 248 (5.400)

Section 5.401 Purpose and Applicability

This rule establishes minimum filing requirements for petitions to construct electric generation, electric transmission, and natural gas facilities pursuant to 30 V.S.A. § 248. In addition, the rule clarifies certain facets of the Section 248 review process. This rule is not intended to supplant any of the requirements of Section 248. Unless specifically stated, this rule does not supplant any requirements of other Public Utility Commission ("Commission") Rules and Procedures. Unless specifically stated, the requirements of this rule do not apply to petitions filed under sub sections 248(j) or 248(k). The requirements of this rule do not apply to petitions for net metering systems filed under Commission Rule 5.100.

Section 5.402 Filing Requirements

(A) Submission to Local and Regional Bodies. Prior to filing the petition with the Commission, the petitioner shall submit plans for construction to affected municipal and regional planning commissions, and municipal legislative bodies. This submission shall be made at least 45 days prior to filing the petition with the Commission, except that the submission shall be made at least 21 days prior to such filing if the proposed project consists solely of the relocation of transmission facilities. This notice shall include a reference to the Commission's "Guide to the Vermont Public Utility Commission's Section 248 Process," available on the Commission's website. At this time, petitioner shall inform the municipal and regional planning commissions of the requirement in Section 248(f) that "Such commissions shall make recommendations, if any, to the Public Utility Commission and to the petitioner at least 7 days prior to filing of the petition with the Public Utility Commission" and of the opportunity for those commissions to provide revised recommendations pursuant to Commission Rule 5.402(A)(1)(b), below. Petitioner must inform the municipal and regional planning commissions of its intended filing date. Any of the entities entitled to receive notice under this section may waive the 45-day notice requirement.

(1) In its review of the proposed project under Section 248(b)(1), the Commission will give due consideration to any recommendations filed by municipal and regional planning commissions at least seven days prior to the intended filing date and any revised recommendations filed within 45 days after the date that the petition is filed with the Commission pursuant to Commission Rule 5.402(A)(2) below.

(2) Affected municipal and regional planning commissions may provide revised recommendations within 45 days of the date on which petitioner has filed a petition with the Commission if the petition contains new or more detailed information that was not previously included in the petitioner's filing with the municipal and regional planning commissions pursuant to Section 248(f).

(3) Recommendations made to the Commission pursuant to Section 248(f), or the lack of such recommendations, shall not preclude municipal and regional planning commissions from presenting evidence during technical hearings if granted party status.

(4) The plans for construction submitted under this subsection must include sufficient information to understand the overall proposed project, including but not limited to: identification and analysis of aesthetic impact; project plans in as much detail as the petitioner reasonably can provide (including a schematic); a description of how equipment and materials will be transported to the site; and plans which indicate the approximate location of all proposed new infrastructure (e.g., transmission, substation, roads, etc.) relative to the existing conditions. With the construction plans, the petitioner shall include a description of its evaluation of alternatives to the proposed project and the reasons why those alternatives were rejected.

(B) Notice to Adjoining Landowners. Petitioner must provide notice of the proposed project to each adjoining property owner at the time that the petition is filed with the Commission.

(1) This notice shall include, at a minimum, a reference to the Commission's "Guide to the Vermont Public Utility Commission's Section 248 Process," available on the Commission's website, a general description of the type and approximate location of the facilities and upgrades proposed, a statement that a petition for approval is being filed with the Commission, and an identification of the locations at which project plans and the petition can be viewed and the hours during which those documents may be viewed. Such locations shall include at least the offices of the petitioner, the municipal and regional planning commissions, and the Commission.

(2) For purposes of this rule, "adjoining property owner" means a person who owns land in fee simple, if that land:

(a) With respect to a transmission line, will be crossed by the right-of-way for that line, shares a property boundary with such right-of-way, or would share a boundary with the right-of-way but for the presence of an intervening river, stream, public highway, or railroad line which shares a boundary with the right-of-way; or

(b) With respect to a generation facility, substation, or other transmission facility not part of a transmission line, shares a property boundary with the tract of land on which that facility or substation is located or is adjacent to that tract of land and the two properties are separated only by a river, stream, railroad line or public highway.

(3) Petitioner must use good faith efforts to notify adjoining property owners. Unless otherwise shown, good faith efforts shall mean utilizing the certified grand list as it existed no more than 60 days prior to the date notice is provided to identify adjoining property owners. Petitioner shall include a statement with the petition that it has complied with this provision and include in the statement the date the grand list was certified. No defect in the provision of notice to adjoining property owners under this rule shall invalidate an action by the Commission on a petition for a certificate of public good under 30 V.S.A. § 248.

(C) Filing Contents.

(1) The petition must include sufficient information for the Commission to evaluate the proposed project. This should include, as appropriate:

(a) A U.S. Geological Survey topographic map showing the location of the proposed project.

(b) An aerial photograph of the proposed project site that clearly marks existing structures and significant natural and man-made features when available, or an equivalent computer-generated image that provides similar detail.

(c) A site plan that includes:

(i) proposed improvements;

(ii) existing topography at the site and proposed changes in grading;

(iii) existing significant natural and man-made features (including but not limited to water bodies, wetlands, tree lines, buildings, and roads);

(iv) a cross-section of the site;

(v) color photographs of the project site; and

(vi) proposed measures to mitigate impacts of the proposed project.

(d) Prefiled evidence (testimony and exhibits) that explains how the proposed project complies with each of the separate criteria of 30 V.S.A. § 248(b); including the criteria specified in of 10 V.S.A. § 1424a(d) and 10 V.S.A. § 6086(a)(1) through (8) and (9)(K), incorporated through Section 248(b)(5).

(e) An index, organized according to the criteria of 30 V.S.A. § 248(b), that identifies with specificity the prefiled evidence that addresses each criterion, including the incorporated criteria of Section 248(b)(5).

(2) [Repealed.]

(3) Petitioners are encouraged to provide plans with the petition at a design level of detail. A petitioner seeking conceptual approval, followed by post-certification review of final designs, shall include in its petition a request for such approval and provide supporting evidence to show that the cost of the petitioner's submitting design details with the petition would outweigh the benefits of such submission, including but not limited to the evaluation of site-specific impacts, accuracy in the findings to be made by the Commission, and finality of the Commission's decision on the petition. In approving or denying such a request for conceptual approval, the Commission may consider additional factors that it deems relevant.

(4) Upon filing of any petition under 30 V.S.A. § 248 and before issuing formal notice or otherwise initiating proceedings on such a petition, the Commission may, in its discretion, determine that the petition is not complete or does not sufficiently address the requirements of Section 248 or this rule, including providing information to support positive findings on all of the criteria of Section 248(b). The Commission shall notify the affected petitioner of any such determination and shall include a statement of the deficiencies in such notice. Any petition that is the subject of such a determination shall be deemed not filed, and no proceedings thereon shall be initiated, until the Commission determines that the petitioner has taken sufficient steps to remedy the deficiencies set forth by the Commission.

(a) Unless the Commission determines otherwise, a petition that is deemed not filed does not invalidate the notice provided under the requirements of 30 V.S.A. § 248 and this Rule.

(b) The Commission's acceptance of a petition under this provision or initiation of proceedings under 30 V.S.A. § 248 shall not constitute a determination that the petitioner has met its burden of proof or burden of production.

(D) Related Improvements. The Petition must address and provide sufficient evidence on all improvements, temporary or permanent, that are reasonably related to facilities for which a certificate of public good is required under 30 V.S.A. § 248.

(E) Filing Format. In addition to the filing requirements of Commission Rule 2.204, the petition and accompanying prefiled testimony and exhibits must be filed with the Commission in an electronic format, suitable for web posting.

(F) Filings Under Section 248(j).

(1) An application filed pursuant to Section 248(j) must be complete at the time it is filed. If a petitioner intends to rely on a permit from other regulatory agencies or a study to demonstrate compliance with the requirements of Section 248(b), rather than providing evidence to satisfy such criteria, such studies and permits must be included with the petition.

(2) Sub sections 5.402(C), with the exception of 5.402(C)(1)(e), 5.402(C)(3), and 5.402(E), shall apply to all petitions filed under Section 248(j).

(3) Petitioners need not provide notice to adjoining property owners. However, petitioners shall include with the petition the names and addresses of all adjoining property owners. Petitioner must use good faith efforts to identify adjoining landowners. Unless otherwise shown, good faith efforts shall mean utilizing the certified grand list as it existed no more than 60 days prior to the date notice is provided to identify adjoining landowners. Petitioner shall include a statement with the petition that it has complied with this provision and include in the statement the date the grand list was certified.

(a) Petitioners do not need to include the names and addresses of adjoining property owners if the proposed project consists of reconductoring within an existing right-of-way, provided that the height of any new structure required for the reconductoring is not more than 10 feet higher than the structure being replaced. If any pole height increases by more than 10 feet, petitioner shall provide the names and addresses of the property owners who adjoin the right-of-way at the immediate location of such pole.

Section 5.403 Filing Requirements for Petitions to Construct Wind Generation Facilities

(A) Definition. For purposes of this section, "wind generation facility" means a generation facility that utilizes wind to produce electricity.

(B) Requirements. In addition to the requirements of this rule, petitions to construct wind generation facilities must meet the following requirements:

(1) For petitions involving wind generating facilities, notice must be provided to all municipal planning commissions, municipal governments, and regional planning commissions for all towns wholly or partially within a radius of a minimum of ten miles of each proposed turbine.

(2) In addressing the impact of the proposed project on orderly development, the petitioner must include an assessment of the impact on all towns within this ten-mile radius.

(3) The petition must include a view-shed analysis that includes an analysis of aesthetic impacts for a ten-mile radius from the proposed project site.

(C) Non-applicability. This section does not apply to net metered wind systems pursuant to 30 V.S.A. § 219a or wind measurement towers.

Section 5.404 Requirements Pertaining to Certain Criteria

(A) Section 248(b)(2) Need. For petitions to construct or modify transmission facilities in a national interest electric transmission corridor designated by the federal Secretary of Energy under 16 U.S.C. § 824p(a), petitioners must, as part of its demonstration on need, specifically address the interstate benefits expected to be achieved by the proposed project.

(B) Section 248(b)(6) Integrated Resource Plans. Any petition from an investor-owned utility, municipal electric department, or cooperative electric utility which does not have an approved integrated resource plan pursuant to 30 V.S.A. § 218c must provide evidence that its proposed project complies with principles of integrated resource planning, as defined in 30 V.S.A. § 218c, including consideration of environmental effects.

(C) Section 248(b)(7) Consistency with Electric Energy Plan. Except for petitions concerning natural gas facilities that are not part of or reasonably related to an electric generation facility, the petitioner must provide evidence that specifically demonstrates compliance with the electric energy plan approved by the Department of Public Service under 30 V.S.A. § 202, applying the relevant portions of that plan to the facts of the proposed project. If the petitioner seeks a determination that good cause exists to permit the proposed action notwithstanding inconsistency with that plan, the petitioner must request such a determination and provide evidence demonstrating the existence of such good cause.

Section 5.405 Site Visits

The Commission may conduct one or more site visits to view the location of the proposed project. The purpose of the site visit shall be to assist the Commission and the parties in understanding the proposed project and the issues that the proposed project may present. The site visit will typically include a discussion of the following matters: a description of the proposed project and its location(s); a viewing of the existing conditions at the location(s) of the proposed project; and an explanation of how the existing conditions would be altered by the proposed project. The site visit may also include identification of relevant landscape features, discussion of how such landscape features have affected or potentially should affect the project design and location, identification of and visits to potential alternative locations for the proposed project, and any other relevant matters for which a first-hand viewing of the site(s) may assist in understanding the issues before the Commission. Observations and facts from the site visit shall not be considered as evidence unless the Commission, on its own motion or on the request of a party, specifically enters them into the evidentiary record.

Section 5.406 Public Hearings

The Commission will typically hold one public hearing on a petition filed under Section 248, except that it typically will not hold a public hearing on a petition processed under Section 248(j). If the Commission is requested and there is sufficient reason, the Commission will hold one or more additional public hearings. Also, the Commission on its own motion may hold one or more additional public hearings. With respect to petitions filed under Section 248(j), the Commission may in its discretion determine to hold one or more public hearings upon request or on its motion.

Section 5.407 Substantial Change Prior to Decision on a Petition

If the petitioner makes a substantial change to the proposed project after the petition has been filed with the Commission, the petitioner is required to provide notice of this change to all parties and entities entitled to notice under this Rule and Section 248, including any newly affected adjoining property owners, as defined by this rule. For the purpose of this subsection, a substantial change is one that has the potential for significant impact with respect to any of the criteria of Section 248(b) or on the general good of the state under Section 248(a).

Section 5.408 Amendments to Projects Approved under Section 248

An amendment to a certificate of public good for construction of generation or transmission facilities, issued under 30 V.S.A. § 248, shall be required for a substantial change in the approved proposal. For the purpose of this subsection, a substantial change is a change in the approved proposal that has the potential for significant impact with respect to any of the criteria of Section 248(b) or on the general good of the state under Section 248(a).

Section 5.409 Costs of Section 248 Projects

Where a Vermont utility is the petitioner, or the costs of a project or a portion thereof are eligible to be recovered from ratepayers, the petitioner shall regularly monitor and update the estimated capital costs of any project it has proposed for or received approval under Section 248. When the estimated capital costs of such a project increase by 20 percent, and the increase is at least $ 25,000, or such other amount as the Commission may order in a given proceeding or prescribe in a Procedure, prior cost estimates submitted by the petitioner to the Commission, the petitioner shall notify the Commission and parties of the new capital cost estimates for the project and the reasons for the increase. This requirement to monitor, update, and report shall continue until construction of the project has been completed.

Section 5.410 Waiver

For good cause, the Commission may waive any of the requirements of this Rule.

History

• STATUTORY AUTHORITY: 30 V.S.A. § 2(c); 30 V.S.A. § 3; 30 V.S.A. § 248
• EFFECTIVE DATE: October 15, 2006 Secretary of State Rule Log #06-032
• AMENDED: September 1, 2017 Secretary of State Rule Log #17-049

Chapter 057 ELECTRIC SERVICE EXTENSION POLICY (5.600)

30-057 Code Vt. R. 30-000-057-X ELECTRIC SERVICE EXTENSION POLICY (5.600)

Section 5.601 Purpose

This Rule implements the legislative mandate of 30 V.S.A. § 209(b)(1)(B).

Section 5.602 Applicability

This Electric Service Extension Policy shall apply to all single-phase and multi-phase distribution service extensions by Vermont electric utilities (as defined by 30 V.S.A. §§ 201 and 203 ). All such utilities shall revise their tariffs to conform to these rules. These rules shall supercede any utility tariff provision determined to conflict with these rules.

Section 5.603 Definitions

(a) Application fee: the fee paid by the line extension customer at the time the customer submits a written application for a line extension. The phrase "application fee" is intended to include any "engineering fee." The application fee shall not exceed $ 250, unless a higher fee is specified in the utility's line extension tariff. If applicable, such a higher fee shall be based on an average of all the costs incurred by the utility for all line extensions constructed in a test year. The application fee shall be credited to the customer against the total cost of the line extension if the extension is constructed.

(b) Contributions-In-Aid-Of-Construction: the monetary contributions by a customer requesting service to an electric utility to design, furnish, place and construct such primary and secondary service extensions as are necessary to render the service requested.

(c) Conduit: the pipe that encloses and protects electric conductors in underground power installations, including necessary fittings and connectors.

(d) Customer-Owned Lines: electric service lines, at either primary or secondary voltage, extending from the Delivery Point.

(e) Delivery Point: the point at which the utility-owned facilities first connect to the customer-owned facilities. Each utility's line extension tariff shall specifically identify the typical Delivery Point for each type of electric service that it provides and shall state how the Delivery Point may be determined for specific situations in which the actual Delivery Point differs from the typical Delivery Point.

(f) Looped Electric Utility Service: electric service provided to a customer from a distribution line which receives, or is capable of receiving, its electric supply from both directions of the distribution line.

(g) Primary Line: an electric distribution line operating at greater than 600 volts.

(h) Secondary line: an electric distribution line operating at 600 volts or less.

(i) Service Drop: includes a 100-foot overhead power line(s) from the initial customer connection with the utility's secondary facilities to the Delivery Point. The service drop is the minimum overhead secondary electrical connection and shall not include poles, primary wiring, right-of-way clearing or acquisition, trenching or backfilling, or any other cost item required to serve a new or relocated customer.

(j) Service Extension: the electric facilities required to connect the power line existing at the time of the request for service to the customer's premises. The service extension shall include all poles, primary wiring, secondary wiring, right-of-way acquisition and clearing, trenching and backfilling, any other one-time cost items associated with service only to that new customer, and transformer(s) and meter(s) if so provided in the utility's tariff. A Service Extension shall include the reestablishment of a previously abandoned Service Extension.

Section 5.604 Contributions-in-Aid-of-Construction for Electric Service Extensions

Upon written application of the owner of any property, or occupant with the consent of the owner, the electric utility shall furnish, place, and construct such secondary and primary service extensions as are necessary to render the service requested. The total cost of the service extension, less any credits outlined below, shall be paid by the party requesting the service extension. This requirement is subject to the following conditions/exceptions:

(a) Line Assessment Charges: all customer charges for construction of new utility lines shall be based on the actual costs to the utility. However, a utility shall charge average costs for those elements for which average costs are specified in its tariff.

(b) Service Drop Credit: each new single-family residence or individual dwelling unit is entitled to a credit equal to the cost of the service drop(s) as defined above. However, if the cost of a line extension is less than the cost of the service drop(s) as defined above, the amount of the service drop credit shall be the same as the cost of the extension.

(c) Installation of Conduit: the additional material cost of installation of conduit for underground primary and secondary line extensions shall be shared equally between the customer and the utility. The cost of trenching and backfilling of the trench shall be the responsibility of the owner of the property.

Section 5.605 Cost Recovery Period for Contributions-in-Aid-of-Construction

Whenever more than one customer is connected to a customer-financed line extension, total contributions-in-aid-of-construction shall be computed to yield to the utility not more than the total cost of extending or expanding service to the new customer(s), less the service drop credit(s). Amounts to be collected from new customers connecting to customer-financed lines shall be computed as follows:

(a) For a period of five (5) years from the completion of construction of a line extension, reimbursement from new customers connecting to said line to customers entitled to reimbursements shall be based upon an equal sharing of the full cost of construction of the subject line extension, adjusted to the percentage used of that line extension to the point of connection (or other reasonable method employed by the utility to determine the cost of the portion of the line actually used).

(b) For a period of ten (10) years immediately following the initial five (5) year period discussed in (a) above, reimbursement to customers entitled to reimbursements shall be based upon an equal sharing of the full cost of construction of the subject line extension depreciated at a straight line rate to zero at the end of the ten (10) year period, also adjusted to the percentage of the line extension used to the point of connection (or other reasonable method employed by the utility to determine the cost of the portion of the line actually used).

(c) For each new transaction (defined as one or more new connections at the same time and location) involving a line that is subject to contribution-in-aid-of-construction payments for new connections within the 15-year reimbursement period, an administrative fee not to exceed $ 100.00 shall be retained by the utility from the total amount to be reimbursed to customers entitled to reimbursements. If the total amount of all reimbursements owed for each transaction is less than the utility's administrative fee, no reimbursements shall be collected or distributed.

(d) All line extension reimbursements shall be paid by electric utilities to the current owners of the dwellings or structures served by line extensions that are subject to reimbursement payments for new connections, except that reimbursement payments shall be made to any customer who paid for or contributed to the costs of line extensions and who subsequently sold the dwellings or structures originally served prior to the effective date of the Board's Order of September 21, 1999, in Docket 5496.

Section 5.606 Tax Assessments on Contributions-in-Aid-of-Construction

Customers shall be responsible for all costs of line extensions, including the actual utility tax liability from contributions-in-aid-of-construction.

Section 5.607 Interest on Customer Funds Held by Utilities

(a) No interest shall be paid on an initial application fee.

(b) No interest shall be paid on funds received in advance of line extension construction and used for the purpose of ordering long lead time specialty items necessary for the subject line extension.

(c) With the exception of items (a) & (b) above, interest shall be paid, at the rate of 1% per month, to line extension customers on funds received in advance of construction (unless returned to the customer due to perceived delays), from sixty (60) days after the payment is received by the utility to the date of the commencement of the line extension construction.

(d) No interest shall be paid by the utility under item (c) above as a result of construction delays beyond the control of the utility.

(e) Interest to be paid on funds received more than sixty (60) days in advance of the commencement of line extension construction may be waived by customers seeking priority status for construction at a specified time as agreed to by both the customer and the utility.

Section 5.608 Construction Standards

(a) Minimum Standards: All line extensions shall conform to the latest edition of the National Electrical Safety Code at a minimum; except that Cooperatives may have higher minimum standards pursuant to the requirements of the Rural Utilities Service.

(b) Customer-Owned Lines: As a general rule, residential customers shall not own primary lines (overhead or underground) that are installed after the effective date of this rule. In certain circumstances where the utility and customer agree that such ownership would be appropriate, the utility and the customer shall petition the Board for a waiver of this prohibition. Any such petition shall address the issue of underground damage prevention with respect to the facilities to be owned by the customer. However, no such petition shall be required for a customer to extend or connect to a line already owned by that customer.

(c) Customer Information for Line Extensions: To explain utility line extension policies adequately to its customers, all utilities shall develop, either individually or collectively, a comprehensive information booklet or brochure for line extension customers that fully explains its line extension policies and their rationale. This booklet shall explain that utilities will, to the extent possible, try to accommodate individual customer line extension needs, but that no deviations will be granted that will result in significant additional maintenance problems for the utility, and additional costs resulting from the accommodation will be the responsibility of the customer.

Section 5.609 Use of Private Contractors for Line Extensions

All electric utilities shall allow customers to hire private contractors for construction of routine distribution line extensions. Utilities shall be allowed to design and monitor the construction of these lines at customer expense.

Section 5.610 Appropriate Customer Payment of Contributions-in-Aid-of-Construction for Electric Line Relocations

For all relocated distribution lines that provide a benefit to the utility, customers who request the relocation shall reimburse electric utilities for distribution line relocations according to the following formula:

| CP _{TAX ADJ} | = | New Line + PV_DEP - SV_EXISTING | | --- | --- | --- | | Where: | | | | CP _{TAX ADJ} | = | Customer Payment, adjusted for any utility tax liability | | New Line | = | Total cost of relocating the line today | | PV_DEP | = | Present value of any unrealized depreciation expense associated with the existing line | | SV_EXISTING | = | Salvage Value of existing line (including line removal costs) |

Section 5.611 Change in Presumption as to Reimbursements for Contributions-in-Aid-of-Construction

The presumption regarding reimbursements for customer-financed lines shall be changed if there is a grantee/grantor relationship between the person connecting to a customer-financed line and the person who originally paid for the line to whom a reimbursement would otherwise have been due. In such cases, no reimbursement will be collected from the connecting customer or paid by the utility to the grantor.

Section 5.612 Considerations in the Design and Siting of Line Extensions

(1) In determining the appropriate design and siting (e.g., whether roadside or off- road and overhead or underground) of electric distribution line extensions and relocations of line extensions, electric utilities shall consider: maintenance and reliability; worker and public safety; aesthetics; cost; customer, landowner and municipal preference; and environmental and land use implications.

(2) When a customer requests an electric line extension, the utility shall inform the customer in writing of customer and company rights, responsibilities and options for line extensions, including but not limited to: payment terms; easement and right-of-way information; contribution-in-aid-of-construction; basic information about design, siting and location, such as overhead or underground placement, and road-side or off-road siting; and how to contact the Vermont Department of Public Service Consumer Affairs Division by toll-free phone or in writing in the event of a dispute.

Section 5.613 Information Regarding Line Extension Alternatives

Upon request, a retail electric distribution utility shall provide relevant information in writing, preferably brochures, with respect to off-grid electric generation solutions and options.

History

• STATUTORY AUTHORITY: 30 V.S.A. §§ 2, 209
• EFFECTIVE DATE: October 1, 2008 Secretary of State Rule Log #08-014

Chapter 058 REQUIREMENTS RELATED TO THE INSTALLATION AND MAINTENANCE OF AESTHETIC MITIGATION MEASURES (5.800)

30-058 Code Vt. R. 30-000-058-X REQUIREMENTS RELATED TO THE INSTALLATION AND MAINTENANCE OF AESTHETIC MITIGATION MEASURES (5.800)

Section 5.801 Purpose and Applicability

The purpose of this rule is to ensure that all required aesthetic mitigation measures are implemented and maintained for the life of all facilities constructed pursuant to a certificate of public good issued under 30 V.S.A. § 248. This includes net-metering facilities permitted under the procedures authorized by 30 V.S.A. § 8010. This rule shall apply to all facilities for which a petition or application for a certificate of public good under 30 V.S.A. § 248 is submitted after the effective date of this rule.

Section 5.802 Definitions

(A) Final aesthetic mitigation plan: a plan submitted by a petitioner and approved by the Commission pursuant to the requirements of this rule.

(B) Commission: the Vermont Public Utility Commission.

(C) Completion of construction: Completion of construction shall mean complete installation of all infrastructure necessary to allow for the interconnection and intended generation or transmission use of a facility that is subject to this rule. The completion of aesthetic mitigation measures required for a particular facility is excluded from this definition for the purposes of this rule.

(D) CPG: a certificate of public good issued by the Commission pursuant to 30 V.S.A. § 248.

(E) CPG holder: a person or company who holds a CPG pursuant to 30 V.S.A. § 248 to construct and/or operate an electric generation, electric transmission, or natural gas facility.

(F) Facility: an electric generation, electric transmission, or natural gas facility for which a petition or application for a CPG pursuant to 30 V.S.A. § 248 is submitted to the Commission after the effective date of this rule.

(G) Petitioner: a person or company seeking a CPG for approval to construct an electric generation, electric transmission, or natural gas facility pursuant to 30 V.S.A. § 248.

Section 5.803 General Rule

All aesthetic mitigation measures required by the Commission under a CPG must be implemented in accordance with the conditions of the CPG and any final aesthetic mitigation plan. All such aesthetic mitigation measures must be maintained for the life of the facility as necessary to fulfill their intended purpose. The Commission will incorporate these requirements as conditions of CPGs issued pursuant to Section 248, as applicable.

Section 5.804 Submittal of Proposed and Final Aesthetic Mitigation Plan

(A) Contents of aesthetic mitigation plan. A proposed aesthetic mitigation plan shall include any generally available mitigating steps that a petitioner proposes to take to improve the harmony of the proposed facility with its surroundings, consistent with 30 V.S.A. § 248(b)(5).

(B) Inclusion with advance notice materials. All petitioners required to provide advance notice pursuant to the requirements of Commission Rule 5.100 or 5.400 shall include with the advance notice filing a draft of a proposed aesthetic mitigation plan or an explanation why aesthetic mitigation measures are not needed for the proposed facility.

(C) Inclusion with initial application or petition. A proposed aesthetic mitigation plan shall be included with a petitioner's initial request for a CPG, or the petitioner shall demonstrate why aesthetic mitigation measures are not needed for the proposed facility. For petitioners required to provide advance notice pursuant to the requirements of Commission Rule 5.100 or 5.400, a petitioner's request for a CPG shall address any comments received on the proposed plan, or on the justification for not proposing aesthetic mitigation measures, consistent with the requirements of those rules.

(D) Commission review. The Commission will review aesthetic mitigation plans in a manner consistent with the CPG review process applicable to the facility in question. At its discretion, the Commission may require a petitioner who asserts that aesthetic mitigation measures are unnecessary to submit a proposed aesthetic mitigation plan or may require modifications to a proposed aesthetic mitigation plan submitted by a petitioner.

(E) Final aesthetic mitigation plan. If agreement is reached among the parties during the CPG review process, the petitioner shall file with the Commission a final aesthetic mitigation plan before the Commission completes its review. Otherwise, the petitioner shall file with the Commission and serve on all parties a final aesthetic mitigation plan within 15 days of the issuance of a CPG for a facility. The purpose of this filing is for petitioners to submit a visual representation of the requirements imposed by the Commission's final order approving a facility. Parties to the proceeding in which the facility is under review shall have an opportunity to review and comment on the final aesthetic mitigation plan, and may request a hearing if the plan filed by the petitioner differs from the final decision of the Commission. The final aesthetic mitigation plan shall consist of a site plan that depicts in detail the facility and all aesthetic mitigation as approved by the Commission. The plan shall show all facility components, including but not limited to access roads, infrastructure, transmission or electrical generation equipment, fences, and all landscape mitigation elements. The purpose of this filing is to clearly document the final project elements and aesthetic mitigation features on a single site plan, and to eliminate the need to refer to separate plans for different aspects of the facility.

(F) Exemption for net-metering registration facilities and certain transmission facilities. There shall be a rebuttable presumption that facilities eligible for the registration process of Commission Rule 5.100 and upgrades to electric transmission substations that do not result in an expansion of the footprint of the existing substation do not require aesthetic mitigation and are therefore exempt from the requirement to submit a proposed aesthetic mitigation plan.

Section 5.805 Post-Construction Requirements

(A) Implementation of final aesthetic mitigation plan. The CPG holder shall fully implement the final aesthetic mitigation plan as soon as reasonably possible, and in no case more than 90 days following the completion of construction, unless such timing would require implementation between October 15 and April 15, in which case the plan shall be fully implemented within 30 days of the following April 15.

(B) Certification of completion. Within 30 days following the full implementation of the final aesthetic mitigation plan, the CPG holder shall submit to the Commission and all parties in the proceeding in which the CPG was granted a certification that all work has been fully implemented in a manner consistent with the approved plan. This certification shall include the completion of construction date as well as the date of interconnection and shall be supported by an affidavit and dated photographs of the installed mitigation measures. If construction of the facility components and/or aesthetic mitigation has deviated from the design of the facility as approved, the CPG holder shall also file for Commission review and approval a revised final mitigation plan. Submission of a revised final mitigation plan shall not relieve a CPG holder from its obligation to request an amendment to the CPG for a substantial change.

(C) Compliance. The Commission may conduct further process as needed to ensure compliance with the final aesthetic mitigation plan or revised final aesthetic mitigation plan. As part of such process, the Commission may, on its own motion or at the request of a party, municipality, or member of the public, conduct a site visit and/or require additional filings to verify compliance. Any request for a site visit must be supported by an explanation of why such a visit is necessary. In addition, the Commission may refer complaints related to compliance with a final aesthetic mitigation plan or a final revised aesthetic mitigation plan to the Department of Public Service for investigation and enforcement pursuant to 30 V.S.A. §§ 2(h) and 30(h).

(D) Inspections by CPG holder. For a period of three years, the CPG holder shall conduct an annual inspection of the facility to determine the health, vigor, and continued effectiveness of the mitigation. The CPG holder shall file with the Commission and parties an annual certification documenting the results of the inspection and any corrective actions taken. Certifications required under this paragraph shall be submitted by the dates one, two, and three years following the submission of the certification of completion required by Paragraph (B) above.

(E) Ongoing maintenance of mitigation measures. The CPG holder shall maintain mitigation measures contained in the final aesthetics mitigation plan or revised final aesthetics mitigation plan for the life of the facility as those measures are depicted on the plan.

(F) The Commission will incorporate the requirements of this Section as conditions of CPGs issued pursuant to Section 248, as applicable.

Section 5.806 Waiver of Rule Requirements

The Commission may, for good cause, grant exceptions in particular cases to any provision of this rule.

History

• STATUTORY AUTHORITY: 30 V.S.A. § 2(c); 30 V.S.A. § 3; 30 V.S.A. § 248
• EFFECTIVE DATE: September 1, 2017 Secretary of State Rule Log #17-051

Chapter 059 DECOMMISSIONING REQUIREMENTS FOR FACILITIES CONSTRUCTED AND OPERATED PURSUANT TO 30 V.S.A. Section 248 (5.900)

30-059 Code Vt. R. 30-000-059-X DECOMMISSIONING REQUIREMENTS FOR FACILITIES CONSTRUCTED AND OPERATED PURSUANT TO 30 V.S.A. Section 248 (5.900)

Section 5.901 Purpose and Applicability

This rule establishes the standard requirements for the decommissioning of electric generation, electric transmission, and natural gas facilities pursuant to 30 V.S.A. § 248(a)(5). This rule applies to all electric generation, electric transmission, and natural gas facilities that are or become subject to the jurisdiction of the Vermont Public Utility Commission pursuant to 30 V.S.A. § 248. This includes net-metering facilities permitted under the procedures authorized by 30 V.S.A. § 8010. This rule shall apply to all facilities for which a petition or application for a certificate of public good under 30 V.S.A. § 248 is submitted after the effective date of this rule.

Section 5.902 Definitions

(A) Commission: The Vermont Public Utility Commission.

(B) CPG: certificate of public good.

(C) CPG holder: a person or company who holds a CPG pursuant to 30 V.S.A. § 248 to construct and operate an electric generation, electric transmission, or natural gas facility.

(D) Facility: an electric generation, electric transmission, or natural gas facility for which a petition for a CPG pursuant to 30 V.S.A. § 248 is submitted to the Commission after the effective date of this rule.

(E) Plant capacity: The term plant capacity shall have the same meaning as defined in 30 V.S.A. § 8002.

(F) Utility: for purposes of this rule, a person or entity engaged in the distribution of electricity or natural gas for retail sale, or the Vermont Electric Power Company, Inc. and Vermont Transco, LLC and any successor thereof.

Section 5.903 Requirements for Utility-Owned Facilities

Facilities owned by utilities shall be removed once they are no longer in service. The Commission may require a utility to implement some or all of the requirements applicable to non-utility facilities set forth in Rule 5.904, below, or alternative means to ensure the removal of facilities that are no longer in service. The Commission will incorporate such requirements as conditions of CPGs issued pursuant to Section 248, as applicable.

Section 5.904 Requirements for Non-Utility-Owned Facilities

(A) Requirements for non-utility-owned generation facilities with a plant capacity equal to or greater than 150 kW and less than or equal to 500 kW. Facilities in this category shall be removed once they are no longer in service, and the site shall be restored to its condition prior to installation of the facility to the greatest extent practicable. The Commission will incorporate this requirement as a condition of CPGs issued pursuant to Section 248, as applicable.

(B) Requirements for facilities with greater than 500 kW plant capacity and non-utility-owned electric and gas transmission facilities. Facilities in this category shall be removed once they are no longer in service, and the site shall be restored to its condition prior to installation of the facility to the greatest extent practicable. In addition, facilities in this category shall meet the requirements described below. The Commission will incorporate these requirements as conditions of CPGs issued pursuant to Section 248, as applicable.

1. Requirement to submit decommissioning cost estimate. All petitions to construct or operate a facility subject to this subsection shall include a facility-specific decommissioning cost estimate in present-day dollars that identifies the costs associated with decommissioning activities.

a) Decommissioning cost estimates shall include all costs associated with the dismantlement and safe disposal of facility components and site restoration activities, including the following elements:

i. All labor, equipment, transportation, and disposal costs associated with the removal of all facility components from the facility site;

ii. All costs associated with full restoration of the facility site, including removal of non-native soils, fences, and constructed access roads;

iii. All costs associated with reclamation of any primary agricultural soils at the facility site to ensure each area of direct impact shall be materially the same as it was before construction;

iv. All costs associated with obtaining and complying with any federal, state, or local permits that may be required as a result of decommissioning activities;

v. All decommissioning activity management, site supervision, site safety costs; and

vi. Any other costs associated with the decommissioning and restoration of the facility site.

b) The salvage value of facility components shall not be subtracted from or otherwise offset costs included in the decommissioning cost estimate.

c) Decommissioning cost estimates shall identify the name, job title, contact information, and qualifications of the individual who prepared the estimate.

2 Irrevocable standby letter of credit. All requests to construct or operate a non-utility electric generation, electric transmission, or natural gas facility shall include a draft irrevocable standby letter of credit in an amount sufficient to fund the estimated decommissioning and site restoration costs developed pursuant to Paragraph (B)(1), above. Prior to commencing construction of the facility, a CPG holder shall file and receive Commission approval of an executed letter of credit. The letter of credit shall:

(1) name the Commission as the sole beneficiary of the letter of credit;

(2) be issued by an A-rated financial institution;

(3) include an automatic extension provision or "evergreen clause"; and

(4) be bankruptcy remote.

(3) Alternative form of financial security. The Commission may, in its discretion, approve alternative forms of financial security from that required in subparagraph (2), above, if it finds that such alternative forms will provide an assurance of the availability of financial resources for decommissioning that equals or exceeds that provided by the form required by that subparagraph.

(4) Reporting. Every three years, a non-utility CPG holder shall file a report with the Commission, the Vermont Department of Public Service, and each party to the proceeding in which the facility's CPG was granted, describing any adjustments and changes to the decommissioning fund in the previous three-year period. This report shall be filed no later than February 28 of the third year following the issuance of the CPG and every subsequent third year.

(5) Fund inflation adjustment. The value of a non-utility facility's decommissioning fund shall be adjusted for inflation every three years based upon the net positive change in the annual average of the U.S. Bureau of Labor Statistics' Northeast Urban Consumer Price Index for the preceding three-year period. The decommissioning fund amount shall not be reduced in periods when the Northeast Urban Consumer Price Index reports a net negative change for the preceding three-year period.

(6) Letter of credit adjustment. The facility's standby letter of credit shall be adjusted every three years to reflect changes to the decommissioning fund as provided in subparagraph (5), above. Revisions shall be made no later than February 28 in conjunction with the report required pursuant to subparagraph (4), above. Nothing herein shall preclude the Commission from requiring more frequent adjustments due to facility or site conditions.

(7) Access to decommissioning fund. The Commission shall have the right to draw upon a non-utility facility's irrevocable standby letter of credit to pay for decommissioning in the event that the CPG holder has not commenced decommissioning activities within 90 days of a Commission order directing decommissioning.

(8) Release of excess funds upon completion of decommissioning activities. Upon completion of all decommissioning and site restoration activities, a CPG holder shall request a determination from the Commission that the CPG holder's decommissioning obligations have been satisfied. Upon the Commission's determination that the decommissioning obligations have been satisfied, the Commission will terminate the facility's letter of credit.

Section 5.905 Mitigation Plantings

Nothing in this rule shall require the removal of plantings installed as part of a Commission-approved aesthetic mitigation plan.

Section 5.906 Exemption for Roof-mounted Facilities and Parking Lot Canopies

The following shall be exempt from the requirements of this rule: electric generation facilities located (1) on a new or existing structure whose primary use is not the generation of electricity or providing support for the placement of equipment that generates electricity or (2) on a parking lot canopy over a paved parking lot, provided that the location remains in use as a parking lot.

Section 5.907 Waiver of Rule Requirements

The Commission may, for good cause, grant exceptions in particular cases to any provision of this rule.

Section 5.908 Repeal of Prior Requirements

Paragraph 5.402(C)(2) of Commission Rule 5.400 related to decommissioning is hereby repealed, except with respect to any proceeding pending on the effective date of this rule.

History

• STATUTORY AUTHORITY: 30 V.S.A. § 2(c); 30 V.S.A. § 3; 30 V.S.A. § 248
• EFFECTIVE DATE: September 1, 2017 Secretary of State Rule Log #17-050

Chapter 1000 GENERAL PROVISIONS

30-1000 Code Vt. R. 30-000-1000-X GENERAL PROVISIONS

Section 1.100 Definitions

Unless the context requires otherwise, the following definitions apply throughout the Rules of the Public Utility Commission:

(A) Commission: the Public Utility Commission of the State of Vermont.

(B) Person: any individual, group, corporation, cooperative, partnership, firm, association or other entity or organization.

(C) Ratepayer: any person receiving or entitled to receive service from a utility.

(D) Utility: any person subject to the general jurisdiction of the Commission and owning or operating any public service business or any facility used in the manufacture, transmission or distribution of a utility service.

Section 1.200 Exceptions to Rules

Except where prohibited by statute or by the terms of the rule, itself, the Commission may for good cause grant exceptions in particular cases to any provision of these rules.

History

• EFFECTIVE DATE: October 15, 1940
• AMENDED: July 9, 1947; July 26, 1970; July 11, 1983 Secretary of State Rule Log #83-47; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 001]
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 2000 RULES OF PRACTICE

30-2000 Code Vt. R. 30-000-2000-X RULES OF PRACTICE

2.100 SCOPE AND CONSTRUCTION OF RULES

2.101 Applicability.

These rules shall apply in all proceedings before the Commission.

2.102 Definitions.

(A) Commission: the Vermont Public Utility Commission and any Commissioner, hearing officer, clerk, or other Commission employee or agent authorized to act on behalf of the Commission.

(B) Contested case: a proceeding, including ratemaking and licensing, in which the legal rights, duties, or privileges of a party are required by law to be determined by an agency after an opportunity for hearing.

(C) ePUC: the Commission's electronic case management filing system.

(D) Filing (when used as a noun): any petition, application, complaint, motion, exhibit, report, or any other document required or permitted to be filed with the Commission in connection with any proceeding within the Commission's jurisdiction. This includes any ePUC submission. This does not include other electronic communications with the Commission that are not part of a proceeding within the Commission's jurisdiction. A filing is not part of the evidentiary record unless it is admitted into evidence.

(E) Final order: an order from which an appeal lies. Unless the Commission specifies that an order is final (as to the entire matter or as to certain parties), an order is not final if there will be additional proceedings (other than compliance filings) in the same matter.

(F) Order: any decision by the Commission, whether in writing or orally.

(G) Person: any individual, group, corporation, cooperative, partnership, firm, association, or other entity or organization.

(H) Proceeding: any case, docket, rulemaking, or other matter that is before the Commission.

(I) Reply: a filing made in reply to another party's response.

(J) Response: a filing made in response to another party's motion or other filing.

(K) State: the State of Vermont.

2.103 Updates to These Rules and Non-Applicability of Vermont Rules of Civil Procedure.

These rules are comprehensive. Where applicable, specific provisions of the Vermont Rules of Civil Procedure (including additions and amendments to those rules from Administrative Orders of the Vermont Supreme Court) have been adapted and written into these rules. The Vermont Rules of Civil Procedure therefore do not apply to Commission proceedings. These rules apply instead. However, any party may request the application of the Vermont Rules of Civil Procedure (in whole or in part) to a particular case, and the Commission may exercise its discretion to grant or deny that request. Further, to the extent that a provision of these rules is adapted from a related provision in the Vermont Rules of Civil Procedure, the Commission will look to caselaw (from the Commission and from the courts) as relevant precedent in interpreting these rules.

2.104 Conflicting Authority.

In the event of a conflict or for any other reason on a case-by-case basis, any more specific Commission order or Commission rule shall prevail over these rules.

2.105 Proceedings Governed by These Rules.

All proceedings are presumed to be governed by these rules. Proceedings may also be governed by other Commission rules, Vermont Supreme Court orders, Commission orders, applicable statutes, or any other rules or requirements that the Commission may order.

2.106 Construction.

These rules shall be liberally construed to secure the just and timely determination of all issues presented to the Commission.

2.107 Waiver of Rules.

To prevent unnecessary hardship or delay, to prevent injustice, or for other good cause, the Commission may waive the application of a rule under such conditions as it may require, unless precluded by the rule or by statute. In an ongoing proceeding, to obtain a waiver, a person must file a motion pursuant to Rule 2.206. When there is not an ongoing proceeding, a waiver can be requested by filing a petition pursuant to Rule 2.202. Any motion or petition for a waiver must be accompanied by a concise explanation of the basis for the waiver.

2.108 Severability.

In the event that any of these rules is found by a court of competent jurisdiction to be illegal or void, the remainder shall be deemed unaffected and shall continue in full force and effect.

2.109 Immediate Applicability and Repeal of Previously Issued Rules.

When amendments to these rules of practice are made, those amendments go into effect immediately. Those amendments apply to pending proceedings, and all previously adopted rules of practice and amendments are repealed to the extent they are amended, unless the Commission determines (on its own or at the request of a party or participant) that a previous rule should continue to apply to a pending proceeding to avoid injustice or substantial inconvenience. For pending cases known as "legacy" cases in which the Commission has allowed the parties to file on paper, rather than in ePUC, the requirement to make filings in ePUC does not apply. For pending cases in which the Commission has already made substantive rulings based on a previous version of these rules, those substantive rulings remain in place and are not subject to reconsideration based solely on a change in these rules.

2.110 Use of ePUC for All Commission Proceedings.

The provisions of these rules presume the use of ePUC unless specifically stated otherwise. All Commission proceedings and all filings in Commission proceedings must use ePUC, unless:

(A) a filing is required to be made in paper by statute or under Rule 2.202,

(B) a party or participant obtains a waiver under Rule 2.107 to allow for paper filings (for instance, because the person does not have high-speed internet in their home or office),

(C) the filing is a consumer complaint or public comment,

(D) a party or participant seeks confidential treatment of the filing (in which case a redacted version must still be filed in ePUC, but the allegedly confidential document must be filed in accordance with Rule 2.226), or

(E) the filing is made by a bank or other financial institution and consists of a letter of credit or other legal documents requiring an original signature.

2.200 PROCEDURES GENERALLY APPLICABLE

2.201 Practice Before the Commission.

(A) Notice of appearance.

(1) All notices of appearance must specifically state the party or participant that is being represented.

(2) Attorneys must file a notice of appearance with respect to any proceeding in which they are representing a party or participant, except that for uncontested workshops, uncontested investigations, or rulemakings, attorneys may contact the clerk and ask to be added as a representative of a participant. In ePUC, this notice of appearance happens automatically when a new case or motion to intervene is filed (and no separate notice of appearance is required), but any other initial filing in an existing case must be accompanied by a separate notice of appearance.

(3) Pro se or other representatives (whether representing only themselves or others) must likewise file a notice of appearance, except in the case of a consumer filing a consumer complaint, a system installer filing a net-metering registration or application, anyone filing a transfer form for a net-metering certificate of public good, anyone filing public comments, or when the notice of appearance happens automatically in ePUC because the pro se or other representative filed a new case or motion to intervene (and no separate notice of appearance is required).

(4) Although system installers filing a net-metering registration, application, or certificate of public good transfer form need not file a notice of appearance, they must indicate (and keep up-to-date) the name and contact information of the person they are representing.

(5) A copy of each notice of appearance must, on the same day it is filed, be served by the party filing it on all persons or parties on whose behalf a notice of appearance has been filed. A list of such persons and parties will be available through ePUC. The procedures for service are listed in Rule 2.204.

(6) It is the responsibility of each representative for any party or participant that appears in front of the Commission (whether an attorney or pro se) to ensure that their contact information in ePUC is accurate and up-to-date at all times. The primary email address submitted for a representative must be the email address to which all notices of filings and issuance of Commission generated documents for a particular Commission proceeding will be sent.

(7) It is the responsibility of each representative for any party or participant that appears in front of the Commission (whether an attorney or pro se) to ensure that they are familiar with all applicable Commission rules, including all of Rule 2 and all applicable rules that are referenced by Rule 2.

(8) Electronic filing of any document through ePUC by or on behalf of a representative in a Commission proceeding constitutes consent by that official representative to be served with and to receive notice of any and all documents filed with or issued by the Commission via electronic service in that Commission proceeding.

(B) Pro se appearances and appearances by State agencies and net-metering system installers.

(1) Any individual may be a pro se representative in their own cause.

(2) In its discretion, the Commission may permit persons who are not attorneys to appear before it, including the following:

(i) A partnership may be represented by a partner.

(ii) A corporation, cooperative, or association may be represented by one of its officers or directors (or by an employee designated in writing by an officer or director, with the designation attached to the notice of appearance filed with the Commission).

(iii) A State agency may be represented by an employee designated in writing by the Secretary or Commissioner, with the designation attached to the notice of appearance filed with the Commission.

(iv) An applicant for a net-metering registration, application, or transfer of a certificate of public good may be represented by a system installer, so long as the installer certifies that the applicant has authorized the installer to file the registration or application on the applicant's behalf and also certifies that the applicant has signed a binding installation contract.

(3) Each pro se or other representative must provide the identity and contact information of the affiliated party they represent, in addition to providing their own contact information

(4) In Commission proceedings, all parties and pro se and other representatives must comply with all applicable rules, laws, practices, procedures, and other requirements, including all the obligations of an attorney admitted to practice in this state.

(C) Attorneys admitted elsewhere.

(1) An attorney admitted to practice and in good standing in any other state may appear in particular proceedings with the permission of the Commission.

(2) An attorney who previously was permitted to appear under this subsection of this rule does not need the Commission's permission for later appearances that are on behalf of the same client, so long as the attorney submits an attestation that the attorney continues to represent that same client and that the attorney remains in good standing in another state.

(3) When an attorney admitted elsewhere enters a Commission proceeding, they accept all responsibilities that apply to all attorneys and pro se representatives that appear in front of the Commission. This includes the requirements that they keep all contact information up-to-date and that they be familiar with all applicable Commission rules, including all of Rule 2 and all applicable rules that are referenced by Rule 2.

(4) The Commission, in its discretion and at any time, may impose conditions on an attorney admitted in another state who seeks to appear before the Commission, including a requirement that the attorney work with local counsel.

(D) Withdrawal of appearance.

(1) Any person who has appeared on behalf of a party may withdraw only upon permission of the Commission or when a substitute appearance is filed by a properly designated representative of the party, such as another attorney. If a substitution of appearance might cause delay, then Commission approval is required.

(2) A person appearing as a pro se representative for themselves may withdraw without permission of the Commission, which is deemed to constitute withdrawal of that person as a party.

(E) Ex parte communications

(1) Prohibited communications. Upon the filing in a contested case of a complaint, petition, application, or other filing that the Commission has treated as the same, the Commission may not communicate, directly or indirectly, in connection with any issue of fact with any party or any person, or in connection with any issue of law with any party or any employee, agent, or representative of any party, unless:

(a) all parties have consented to the communication;

(b) there has been notice and opportunity for all parties to participate; or

(c) the communication is required for the disposition of ex parte

proceedings authorized by law.

(2) Allowed communications. Non-substantive ex parte communications with the clerk or other administrative employees regarding procedural, scheduling, technological, or administrative matters are allowed, even in contested cases, and no disclosure to other parties is required. Also, in an emergency situation in a contested case, ex parte communications are authorized, provided:

(a) the Commission reasonably believes that no party will gain a procedural or tactical advantage as a result of the ex parte communication regarding the emergency, and

(b) the Commission promptly notifies all other parties of the substance of the ex parte communication and allows an opportunity to respond.

(3) Participation in decision. In general, a Commissioner, Commission employee, or agent of the Commission may not participate or advise (except as a witness) in the Commission's decision, recommended decision, or review of a pending, contested case if the person has communicated about any facts regarding the case with any person or party, or has communicated about any issue of law with any party or any employee, agent, or representative of any party. However, the prohibition in this provision does not apply to any of the following:

(a) communications allowed under (2) above;

(b) communications that are required for disposition of ex parte proceedings authorized by law;

(c) communications that all parties have consented to; or

(d) when there has been notice and opportunity for all parties to participate

(4) Improper communications by parties. Any person or party who, directly or through an employee, agent or representative, communicates or attempts to communicate with any member, employee or agent of the Commission on any subject so as to cause, or with the intent to cause, the disqualification of such member, employee or agent from participating in any manner in any proceeding, may be disqualified from subsequent participation in the proceeding, may be dismissed as a party to the proceeding, may be held in contempt of the Commission and/or may be deemed to have waived any objection to the subsequent decision by the Commission with respect to any matter which is the subject of such communication.

(5) Exception Notwithstanding any provision of subparagraph (1) or (3), above, members, employees, and agents of the Commission may communicate with other members, employees, or agents, provided that none of the latter has engaged in communications prohibited by (l) above.

(6) Facilitation and mediation. An employee or agent of the Commission may, with the consent of the parties, confer separately with a party or their representative in an effort to mediate or settle proceedings pending before the Commission. Pursuant to (1), above, such employee or agent of the Commission may not participate in rendering a decision in such proceedings.

2.202 Initiation of Proceedings, Referrals of Proceedings, and Participation in Proceedings.

(A) Initiation of proceedings. To initiate a proceeding, a party must file a complaint, petition, or other application in ePUC. Paper filings may initiate proceedings only in the following instances:

(1) consumer complaints;

(2) proceedings that are statutorily required to be filed in paper (such as certain condemnation proceedings);

(3) proceedings in which the party initiating the proceeding cannot file or receive documents electronically (if a party or participant seeks a Rule 2.107 waiver of the requirement to file in ePUC, good cause may be demonstrated by an attestation that the person does not have high-speed internet in their home or office); and

(4) notices of appeal from a final decision of the Commission to the Vermont Supreme Court. Notices of appeal must be filed in paper with the clerk of the Commission, with any entry fee paid in the manner set forth in Rule 3 of the Vermont Rules of Appellate Procedure. A request by an ePUC user for permission from the Commission to appeal to the Vermont Supreme Court before the Commission issues a final judgment must be filed in ePUC and should not be accompanied by a paper filing.

(B) Enforcement proceedings and referrals of enforcement proceedings. For enforcement proceedings, whether initiated by a member of the public, a party, or the Commission, the Commission may at any time refer the matter to the Department of Public Service in accordance with applicable statutory provisions. Although not required, it is preferable that any filing that seeks to initiate an enforcement proceeding at the Commission include, at a minimum, the following:

(1) A statement of whether the matter has been brought to the Department of Public Service for evaluation of an administrative citation under 30 V.S.A. § 30(h) and, if so, what the Department concluded (to the extent that the conclusion is public and not a matter of confidential negotiations). If the matter was not brought to the Department's attention, the statement should explain why it was not brought to the Department.

(2) Reference to any applicable statutes, rules, Commission orders, or certificates of public good that are alleged to have been violated.

(3) The factual bases, preferably in the form of one or more signed affidavits or declarations using the template on the Commission's website, for each alleged violation.

(C) Participation in proceedings. To file anything with the Commission, other than a public comment or a paper filing allowed under Rule 2.210 (including any filing by a user who must file in paper because they cannot file or receive documents electronically), a user must first log into ePUC's public portal using a user name and password. A person, entity, or group of persons functioning as a single entity may use ePUC to file a motion to intervene in a Commission proceeding or, as provided in other Commission rules related to certain specific types of proceedings, a notice of intervention in a Commission proceeding.

2.203 Signing of Petitions, Motions, and All Other Filings.

(A) Every petition, motion, or other filing must be signed or electronically signed by an attorney or pro se or other representative of record in their individual name, with their email address and telephone number stated, with the exception of prefiled testimony (which is signed and attested to by its author, in accordance with Rule 2.213) and exhibits or other attachments to another filing.

(B) Pleadings need not be verified or accompanied by affidavit or declaration, except when specifically required by rule or statute.

(C) The signature of an attorney or pro se or other representative constitutes a certification by that person that, based on a reasonable inquiry and a good-faith basis, to the best of their knowledge, information, and belief, all of the following are true:

(1) There are good grounds to support the petition, motion, or other filing;

(2) All legal contentions are supported by existing law or by a nonfrivolous argument for the extension, modification, or reversal of existing law or the establishment of new law;

(3) All factual contentions have evidentiary support, or, if specifically so identified, are likely to have evidentiary support after a reasonable opportunity for further investigation or discovery; and

(4) The petition, motion, or other filing is not being done for delay or any other inappropriate purpose.

(D) Any violation of subsection (C) may be subject to sanctions under Rule 2.224.

2.204 Pleadings and Other Filings; Service, Filing, Form, and Amendment.

(A) Service, when required. In addition to any other requirement imposed by law, every filing must, on the same day on which it is filed, be served by the party filing the same on every other party who has filed a notice of appearance and on every party that is entitled to notice by statute, rule, Commission order, or Rule 2.205.

(B) Service, how made.

(1) Service on represented parties and participants. When service is required on a party that has made a notice of appearance, service must be made on the attorneys and representatives who have filed notices of appearance.

(2) ePUC users and non-ePUC users. Parties or participants who are using ePUC to participate in a Commission proceeding (ePUC users) will have their email addresses included on the "People" tab in ePUC, while parties or participants who are not using ePUC to participate in a Commission proceeding (non-ePUC users) will have only their physical mailing addresses included on the "People" tab in ePUC.

(3) Service on State agencies through ePUC. When a party or participant initiates a Commission proceeding in ePUC, service on any State agency that is entitled to service must occur through ePUC. For petition filings labeled "Other" in ePUC, the party or participant should contact the clerk to ensure that State agencies (in addition to the Department of Public Service) are added to the ePUC case and served.

(4) Electronic service for all ePUC users. In all cases, service is deemed to be made on all ePUC users in that proceeding by automatic notification through ePUC. ePUC will send email notification of a filing made via ePUC with a link to access the document filed to all parties or persons on whom service is required by the applicable rules of procedure, and who are using ePUC to participate in a Commission proceeding.

(5) No certificate of service when service is entirely through ePUC. In cases where all parties and participants are ePUC users, no certificate of service is required. This rule does not relieve anyone of any obligation to file other certifications, such as any required certificates or notices regarding the exchange of discovery.

(6) Paper copies for non-ePUC users. In all cases, service may be made on non- ePUC users by mailing a copy of the filing, first-class postage prepaid, to the person whose notice of appearance is on file. For service on non-ePUC users, service may also be made by personal delivery or by any other means authorized by the person entitled to service. The filer, or the Commission in the case of a Commission-issued document, must serve a paper copy of an electronically filed document on all parties or persons on whom service is required by the applicable rules of procedure, and who are not using ePUC to participate in a Commission proceeding.

(7) Certificates of service. When a party or participant in a Commission proceeding serves paper copies, a certificate of service is required. A certificate of service must include the names and addresses of entities or individuals who are served with a paper copy of a filing. A certificate of service need not include the names and addresses of any entities or individuals for whom service is effectuated electronically using ePUC.

(C) Filing, manner and significance.

(1) Filing of all public documents must be accomplished through ePUC or by delivery to the Commission during the course of an evidentiary hearing, unless the document falls under one of the listed exceptions in Rule 2.110 or a waiver has been granted under Rule 2.107 for paper filing.

(2) Filing of documents for which confidential treatment is sought must be accomplished through the procedures listed in Rule 2.226.

(3) Regardless of the method of delivery employed, filing of all public documents occurs only upon receipt by the ePUC system or receipt by the Commission.

(4) Every filing constitutes a representation by the attorney or pro se or other representative signing the filing that a copy has been or will be served on the same day on which it is filed on every other party or participant on whose behalf a notice of appearance has been filed.

(D) Number of copies. In the limited circumstances where Commission rules allow paper filings, all materials required to be filed must include an original only, except that paper filings of discovery responses under Rule 2.214 must include an original plus one copy.

(E) Form of filings.

(1) In general.

(a) Except as provided in Rule 2.204, all filings must be typed using a common typeface, size 12 font, double-spaced, and formatted as 8 1/2" x 11" with at least 1" margins.

(b) All motions, briefs, and comments--other than proposed orders, proposed findings of fact and conclusions of law, and posthearing briefs--must be:

(i) no more than 25 pages in length (excluding exhibits),

(ii) no more 15 pages in length (excluding exhibits) for responses, and

(iii) no more than 10 pages in length (excluding exhibits) for replies.

(c) The first page of every filing must include the case caption (the case name and the case number if a case number has been assigned) and must be headed by a descriptive title (e.g., "Applicant's Response to Hearing Officer's Request for Additional Information").

(d) All filings longer than 1 page must include in the upper right-hand corner of each page the case name and case number, the page number, and the date. This information is not required on the first page of a letter or other filing, provided that the case name, case number, and date appear somewhere on the first page.

(e) Filings must address the procedural and substantive matters that are before the Commission; they may not use inappropriate or derogatory language, and they may not make personal accusations that are speculative or are not directly related to the procedural and substantive matters that are before the Commission. Upon a motion by a party or upon the Commission's own initiative at any time, the Commission may strike from any filing any redundant, immaterial, impertinent, or scandalous matter.

(2) Separate documents required.

(a) Each document (e.g., each witness's prefiled testimony, each individual exhibit, etc.) must be identified and filed in ePUC separately.

(b) Individual documents may not be consolidated into a single larger document for filing in ePUC.

(c) New motions may not be filed in the same document as a response or reply to a previously filed motion.

(d) Service lists that are not part of an initial filing in a case may be combined into a single document with any other filing, except for prefiled testimony or exhibits.

(3) Document numbers required. When parties or participants provide lists of prefiled testimony and exhibits that have been previously filed in ePUC, whether by filing such a list in ePUC or by hand delivery at a hearing, the list must include the ePUC document number for each document that was prefiled using ePUC. (Each document filed electronically via ePUC is assigned an individual document number, formatted as a number followed by a forward slash followed by another number - e.g., 123456/456789.) Guidance for accessing and including the ePUC document numbers assigned to prefiled testimony and exhibits can be found on the Commission's website.

(4) Time of submission.

(a) An electronic filing may be submitted on any day, including holidays and weekends, and at any time.

(b) A filing is considered filed on the date it is submitted if submitted by 4:30 P.M. on a date that the Commission is open for business.

(c) A filing submitted after 4:30 P.M. or on a weekend, holiday, or any other day the Commission is not open for business will be considered filed on the next business day.

(d) Failure of any system other than ePUC will not excuse a failure to comply with a filing deadline unless the Commission exercises its discretion to extend the deadline. If ePUC or any of its subsystems is unavailable due to system maintenance or failure, the Commission will issue a notice (in the ePUC portal and on the Commission's website) extending any deadlines that occurred during the time that ePUC was unavailable.

(5) Receipt of submission.

(a) The ePUC system will automatically acknowledge receipt of any filing and will provide an identifying case number in the email confirmation of any initial filing that has been acknowledged by ePUC.

(b) The identifying case number must appear on all subsequent filings pertaining to that Commission proceeding.

(c) However, a filing is not deemed accepted by the Commission until it meets the requirements of these rules and of the ePUC system.

(6) Review of submission.

(a) A filing that initiates a case and has been submitted via ePUC will be reviewed by the Commission for compliance with the requirements of these procedures and the ePUC system, and with any applicable statutes and Commission rules.

(b) After review of the filing, the Commission will electronically notify the filer if the filing cannot be processed until specified actions have been taken as required by these procedures and the ePUC system, and by any applicable statutes and Commission rules.

(c) If a filing has not been accepted, a filer may submit a corrected filing. The Commission will accept a corrected filing if it meets all requirements of these procedures, the ePUC system, and any applicable statutes and Commission rules.

(d) When a corrected filing has been accepted, the date and time of filing for all purposes under the Commission's rules of procedure are the date and time that the corrected filing was submitted.

(7) Component parts of single document. When component parts of a single document are filed separately using ePUC (e.g., separate signature pages from multiple parties to a settlement agreement), each party that files a separate component must provide a name for that component in the appropriate ePUC field, clearly indicating the nature of the component filing and the specific document that the component filing is intended to be a part of (e.g., "Signature page of 123 Solar to settlement agreement with Agency of Natural Resources").

(8) Corrected documents. Documents filed for the purpose of correcting previously filed documents may be filed in ePUC by selecting the "revised" option from the appropriate filing screen. The new document will then appear in ePUC. The previously filed document will still appear in ePUC but will be marked as "superseded."

(9) Filing only in open cases. If the status of a case, found in the upper-right corner of the case screen in ePUC, reads "closed," a filer must contact the clerk of the Commission before filing any document that the filer believes is or may be related to the closed case. The clerk will assist the filer in determining whether it is appropriate to make the new filing in the closed case or to initiate a new case with a different case number when making the filing.

(10) Prohibited documents. A document cannot be submitted via ePUC if it:

(a) is not created or saved in searchable PDF, searchable PDF/A, Excel (.xls or.xlsx), jpeg, .ptx, Powerpoint (.ppt or .pptx), MS Word (.doc or .docx), MP4, or AVI format;

(b) is larger than 50 MB, unless it is filed in segments no larger than 50 MB; or

(c) contains a virus detected by the ePUC system.

(11) Requirements for electronic documents. An electronically filed document that has been submitted via ePUC will be accepted by the Commission only if:

(a) it has been formatted as required by the Commission's rules of procedure and is clearly legible, and (for text documents) word-searchable, in the electronic format in which it is filed;

(b) any password protection or other security device has been removed; and

(c) all information required to be included with the filing has been submitted.

(12) Different formats for documents.

(a) Documents that cannot be filed in any of the supported formats must be filed with the Commission and served on other parties or participants to a Commission proceeding in paper copy.

(b) If the filing party has an electronic version of a document, then they should also provide the Commission with an electronic version of the document (in addition to filing a paper copy with the Commission).

(c) Parties or participants to a Commission proceeding may agree among themselves to exchange electronically documents that are not in an ePUC- supported format in place of serving each other with paper copies.

(13) Signatures of representatives of parties and participants.

(a) Where a signature is required, the electronic filing of a petition, pleading, motion, or other document constitutes the representative's signature on the document and for all other purposes under the applicable rules of procedure, including the imposition of sanctions under Rule 2.224 and the requirement in Rule 2.203 of, among other things, a reasonable inquiry and good-faith basis for all representations in written filings.

(b) An electronically filed document that requires a signature must include a signature block containing the representative's typedin name, preceded by "/s/" or an electronic facsimile of the signature, a scanned copy of it, or another form of electronic signature as defined in 9 V.S.A. § 271(9), and the name, address, telephone number, and email address of the person signing the document.

(c) A procedural document filed by non-electronic means must be signed as provided in the applicable rules of procedure.

(d) Any document filed jointly must contain the signature of each representative in the form provided above. If such a document is filed electronically, the act of filing by or on behalf of a representative constitutes a representation that all the other signers consented to the filing of the document.

(14) Signatures of Commission personnel.

(a) Commissioners, hearing officers, the clerk, and other Commission personnel may sign any Commission-generated document created and to be issued or entered in electronic form with an electronic facsimile signature followed by a signature block containing the signer's typed name and title. That signature has the same effect as a handwritten signature on a non-electronic document.

(b) An electronic facsimile signature of a Commissioner, hearing officer, or the clerk on a Commission-generated document filed in the ePUC electronic filing system is presumed valid. Unauthorized use of an electronic facsimile signature will render invalid the document that was issued with the unauthorized signature unless the Commissioner, hearing officer, or clerk ratifies the use of their signature.

(F) Special rules for certain exhibits. Exhibits need not comply with the typewriting or size requirement of Rule 2.204 if it is impracticable to do so (e.g., a spreadsheet that is more user-friendly when submitted in electronic form).

(G) Amendments in pending proceedings.

(1) In general. Proposed amendments to any filing may be made at any time before the evidentiary record is closed. Unless allowed automatically under an applicable statute or rule, or agreed to by all parties (without the Commission denying the amendment), such amendments require Commission approval. Proposed amendments must be clearly identified and must clearly indicate what changes are being made. In the event an amendment makes a substantial change to a filing, the Commission may order such additional notice to other parties and the public as justice may require.

(2) Rate filings. Any filing to amend, supplement, or alter an existing rate filing or substantially revise the proof in support of a rate filing to increase, decrease, or substantiate a pending rate request must demonstrate that the change in filing or proof is necessary for the purpose of providing adequate and efficient service. This requirement is met if the new filing is the result of previously unknown costs or other circumstances (which could not have been known through reasonable diligence) that will be in effect during the affected rate period.

(H) Public access to and use of ePUC. Any person, including any member of the general public, may use ePUC to:

(1) File public comments on any proceeding before the Commission. Comments related to a specific Commission proceeding should be filed in the case number for that proceeding. (If a person does not know the case number, they should contact the clerk before filing to obtain the case number.) The Commission in its discretion may prohibit a filer from using ePUC upon a determination that the filer has abused the ePUC system by repeated filing of irrelevant, abusive, or duplicative documents or information.

(2) Subscribe to receive notification of the filing of any documents filed by parties or issued by the Commission in any Commission proceeding. To subscribe to a case, a user must log into ePUC (creating an account if necessary), search for the case to which the person would like to subscribe, select "Subscribe to a Case" from the "Select Action" drop-down menu, and fill in the fields on that screen. A person who wishes to stop subscribing to a case or update the email address used to subscribe should contact the clerk at puc.clerk@vermont.gov.

(3) Search for and view all public case information and all public documents in any Commission proceeding.

2.205 Notice to Other Persons or Parties.

(A) Notice also provided to certain entities affected by proposed changes to pole-attachment terms or tariffs. At the beginning of a proceeding that proposes to make changes to existing pole-attachment terms or tariffs, proposes a new pole-attachment tariff, or seeks approval of a program involving pole-attachment rates, the pole-owning entity must provide notice of the filing to all entities that currently have equipment attached or have applied to attach equipment to one or more poles owned by the pole-owning entity.

(B) Orders of notice. The Commission may require any party who seeks the granting or denial of any form of relief to file a proposed order of notice.

(C) Expenses. The expense of furnishing notice must be borne by the party on whose behalf or for whose benefit such notice is given.

2.206 Motions, Responses to Motions, and Replies in Support of Motions.

(A) Motions not made during a hearing must be in writing, filed within a reasonable period of time from when the issue arose or by a deadline established by rule or order, and, if they raise a substantial issue of law, must be accompanied by a brief or memorandum of law.

(B) All motions, responses, and replies must comply with all of the filing requirements of these rules, including the page limitations of Rule 2.204.

(C) Motions made during a hearing may be required to be put in writing and supported by a brief or memorandum of law within such period as the Commission may direct.

(D) An opportunity to present evidence on a motion shall be provided, if requested, unless the Commission finds there to be no genuine issue as to any material fact. The request for an opportunity to present evidence shall include a statement of the evidence that the party wishes to offer. In any case, the Commission may decline to hear oral argument and may dispose of the motion without argument.

(E) Unless otherwise directed by the Commission, responses to motions are due 14 days after the motion is filed, and replies are due 14 days after responses are filed.

(F) If a party seeks leave to file a surreply, or make any other filing that is not allowed under applicable rules, it must do so by motion. The motion must set forth good cause as to why the matter could not have been raised in an earlier filing.

(G) If a motion seeks expedited resolution (that is, sooner than allowed by the standard 14- day response period and 14-day reply-to-response period, plus a time for Commission deliberations), this must be clearly stated in the title of the motion ("Expedited Motion to. . .").

(H) A motion requesting alternative forms of relief (i.e., requesting that the Commission grant relief in one form or another based on related facts) may be filed as a single document. A response or reply to such a motion may also be filed as a single document.

(I) A new motion may not be combined with a response to a motion.

(J) A memorandum of law must be included in the same document as the motion it supports. However, any affidavit, declaration, exhibit, or other supporting matter or attachment to a motion or response must be filed as a separate document and must identify the motions or responses to which the supporting matter relates and must be referenced in the motions or responses unless it is filed after them.

(K) All motions (except for motions to dismiss, for summary judgment, for a temporary restraining order, or for sanctions) must state whether the moving party has received consent for the relief requested from all other parties and participants.

2.207 Time.

(A) All filings (including electronic filings) must be submitted by 4:30 P.M. on a date that the Commission is open for business to count as being filed on that date.

(B) In computing any time period in these rules, in any order, or in any applicable statute that does not specify a method of computing time:

(1) Exclude the day of the event that triggers the period.

(2) Count every day, including intermediate Saturdays, Sundays, and legal holidays.

(3) Include the last day of the period, but if the last day is a Saturday, Sunday, or legal holiday (any day declared a holiday by the United States President, the United States Congress, or the State of Vermont), the period continues to run until the end of the next day that is not a Saturday, Sunday, or legal holiday.

(C) Absent extraordinary circumstances, any motion to extend a deadline must be filed at least 3 days before the deadline and must set forth good cause why the extension should be granted.

2.208 Defective Filings.

The Commission may refuse to accept for filing or, after filing, may at any time reject any filing that fails to conform to the requirements of this rule or is otherwise substantially defective or insufficient. A filing is substantially insufficient if, for instance, it fails to include all material information required by statute or rule.

2.209 Intervention.

(A) Intervention as of right. Upon timely application, anyone shall be permitted to intervene in any proceeding (1) when a statute or Commission rule confers an unconditional right to intervene, or (2) when the applicant claims an interest in the matters that must be resolved in the proceeding and the applicant is so situated that the disposition of the proceeding may as a practical matter impair or impede the applicant's ability to protect that interest, unless the applicant's interest is adequately represented by existing parties.

(B) Permissive intervention. Upon timely application, a person may be permitted to intervene in any proceeding (1) when a statute or Commission rule confers a conditional right to intervene, or (2) when an applicant's claimed interest shares a question of law or fact in common with the matters that must be resolved in the proceeding. In exercising its discretion, the Commission must consider whether intervention will unduly delay the proceeding or prejudice the interests of existing parties or of the public.

(C) Conditions. Where a party has been granted intervention, the Commission may restrict that party's participation, may require that party to join with other parties with respect to appearance by counsel, presentation of evidence, or other matters, and may otherwise limit that party's participation, all as the interests of justice and economy of adjudication require. The Commission has discretion in determining when to order joint representation, but may not require a State agency to be represented jointly with any other party.

(D) Procedure. An application to intervene must be made by notice (if notice is allowed by statute or Commission rule) or by motion made in accordance with these rules. The motion must be made as early as possible or by the date allowed under a scheduling order.

2.210 Joinder.

(A) Persons to be joined if feasible. A person shall be joined as a party in the case if:

(1) in the person's absence complete relief cannot be accorded among those already parties, or

(2) the person claims an interest related to the subject of the case and is so situated that the disposition of the case in the person's absence may:

(a) as a practical matter impair or impede the person's ability to protect that interest, or

(b) leave any of the persons already parties subject to a substantial risk of incurring double, multiple, or otherwise inconsistent obligations by reason of the person's claimed interest.

(B) Reasons for nonjoinder. A petition or other initial filing shall state the names, if known to the filer, of any persons described in subsection (A) who are not joined, and the reasons why they are not joined.

(C) Joinder by order of the Commission.

(1) For a person described in subsection (A), if joinder is feasible but has not occurred, the Commission may order that the person be made a party.

(2) For a person described in subsection (A), if joinder is not feasible, the Commission may determine whether in equity and good conscience the proceeding should continue among the parties before the Commission, or whether the proceeding should be dismissed because the absent person is indispensable. The factors to be considered by the Commission include:

(a) to what extent an order rendered in the person's absence might be prejudicial to the person or those already parties,

(b) the extent to which, by protective provisions in the order, by the shaping of relief, or other measures, the prejudice can be lessened or avoided,

(c) whether an order rendered in the person's absence will be adequate, and

(d) whether the petitioning party will have an adequate remedy if the petition is dismissed for nonjoinder.

(3) Permissive joinder. Upon a motion by a party or on the Commission's own initiative, the Commission may join all persons who have an interest arising out of the same matter if any question of law or fact common to all of the joined persons may be resolved through an order in the case where the person is joined. Alternatively, the Commission may give leave to allow the person to file an amicus brief.

(4) Misjoinder. The misjoinder of parties is not ground for dismissal of a case. Parties may be dropped or added by order of the Commission on motion of any party or on its own initiative at any stage of the case and on such terms as are just. Any part of a case may be severed and proceeded with separately.

2.211 Consolidation of Hearings; Separate Hearings.

(A) Consolidation. When cases involving a common question of law or fact are pending before the Commission, it may order a joint hearing on any or all the matters at issue in the cases; it may, with consent of the parties, order all the cases consolidated; and it may make orders in these proceedings to avoid unnecessary costs or delay.

(B) Separate hearings. The Commission, for convenience or to avoid prejudice, or when separate hearings will promote expedition and economy, may order a separate trial of any issue or issues.

2.212 Scheduling, Status Conferences, and Mediation.

(A) Scheduling and Status Conferences. In any proceeding, the Commission may direct the parties to appear before it at any time for a conference to consider scheduling and other matters, including:

(1) simplifying the issues;

(2) amendments to filings;

(3) admissions of facts and of documents;

(4) limiting the number of expert witnesses;

(5) whether the case may be appropriate for mediation; and

(6) any other matters that may aid in the disposition of the case.

(B) Mediation. Upon a motion by any party or on its own initiative, the Commission may order the parties to any proceeding to participate in mediation. All parties and their counsel must attend a scheduled mediation unless the parties stipulate otherwise or the Commission, for good cause, excuses a person from participation or authorizes a person to participate by telephone. At each mediation, each party must have in attendance a person who has settlement authority and authority to enter stipulations. With the agreement of all parties and the mediator, any nonparty having an interest that may be materially affected by the outcome of the proceeding, or whose presence is essential to its resolution, may attend a mediation in person or by counsel. The fees and expenses of a mediator selected by the parties will be agreed on by the parties and the mediator. In cases involving a petition, the petitioner is responsible for all fees and expenses of a mediator unless otherwise agreed or ordered. In all other cases, each party must pay an equal share of the fees and expenses of any selected or designated mediator unless otherwise agreed or ordered. Any party that believes it is financially unable to pay the fee may file a motion with the Commission requesting a different fee arrangement or that mediation not be required in the case.

2.213 Prefiled Testimony.

(A) Direct case. Each party must prefile the direct testimony and exhibits of each witness it proposes to call in support of its direct case.

(B) Rebuttal case. Each party must prefile the direct testimony and exhibits of each witness it proposes to call in rebuttal of the case of any other party.

(C) Form of prefiled testimony.

(1) The preferred form for prefiled testimony is question-and-answer form. However, such testimony may be filed in narrative form, provided that it is typewritten and conforms with the requirements set forth below and with the requirements set forth in Rule 2.204.

(2) Testimony filed in narrative format must include headers to identify subject- matter categories.

(3) The preferred format for all prefiled testimony is to have line numbers in the left- hand margin of each page. However, prefiled testimony without line numbers will be accepted if necessary.

(4) The prefiled testimony of each witness must be preceded by a brief statement, on a separate page, summarizing the testimony and exhibits referred to in the testimony. The summary is not evidence.

(5) The prefiled testimony of each witness must be accompanied by a signed affidavit or declaration attesting that all statements are true and accurate to the best of the witness's knowledge and belief, and that the witness is subject to sanctions for contempt and perjury if any statements are false.

(6) Despite the provisions of Commission Rule 5.107 or any other rule, in circumstances in which a notarized document is required, a filer may include the following language in lieu of notarization: "I declare that the above statement is true and accurate to the best of my knowledge and belief. I understand that if the above statement is false, I may be subject to sanctions by the Commission pursuant to 30 V.S.A. § 30." In Commission hearings in which a witness testifies by video or audio conference, the Commission may administer the oath remotely provided the Commission is satisfied as to the identity of any witness testifying remotely.

2.214 Discovery.

(A) Service of discovery requests and responses. All discovery requests and responses must be served on all parties and participants in accordance with Rule 2.204. Discovery requests served on parties or participants in a Commission proceeding must also be filed with the Commission in ePUC. In particular cases, the Commission may also direct that the parties file copies of discovery responses.

(B) Discovery methods. Parties may obtain discovery by one or more of the following methods: depositions upon oral examination or written questions; written interrogatories; production of documents or things or permission to enter on land or other property, for inspection and other purposes; and requests for admission.

(C) Discovery procedures. Unless the Commission, on its own initiative or upon a timely motion by a party, allows otherwise, all discovery must be done in accordance with the specific procedures outlined in Rule 2.230.

2.215 Conduct of Hearings.

(A) Commission witnesses. The Commission may call witnesses to testify as to any matter at issue in any proceeding. Except for non-substantive procedural, scheduling, or administrative matters, or as required to establish the subject matter and scheduling of the testimony to be offered, the Commission may not communicate with witnesses on the subject of their testimony unless it is done in open hearing or upon notice and opportunity for all parties to participate.

(B) Examination of witnesses by Commission and staff. Any Commissioner, and any Commission staff or agent, may examine witnesses who testify in any proceeding.

(C) Rulings by hearing officers. When a proceeding has been assigned to a hearing officer, the hearing officer may make rulings of law on procedural matters, on the admission or exclusion of evidence, and on any other matters necessary to conclude proceedings before the hearing officer. After the hearing officer has issued and served a proposal for decision, a party may bring those rulings to the Commission for review by requesting, pursuant to 3 V.S.A. § 811, the opportunity to file exceptions and to present briefs and oral argument.

2.216 Evidence, Remote Proceedings, and Deadlines for Objecting to Prefiled Testimony and Exhibits.

(A) Evidence. Evidentiary matters are governed by 3 V.S.A. § 810.

(B) Participation or testimony by video or audio conference.

(1) The Commission may preside remotely and may, either on its own initiative or upon the request of a party, require or allow parties, witnesses, counsel, or other necessary persons to participate or testify in a hearing or other proceeding by video or audio conference upon reasonable notice. The Commission may use contemporaneous video or audio conference transmission from one or more different remote locations.

(2) Any objections to an order, hearing notice, or any other notice requiring video or audio participation or testimony should be filed as soon as possible. Any response to an objection should also be filed as soon as possible.

(3) In any proceeding to be conducted by video or audio conference, the Commission may terminate or suspend the proceeding if the Commission finds that the connection itself or the circumstances of the call do not allow the Commission or other parties to clearly hear one another or that the circumstance of the call are otherwise disruptive of the proceeding.

(C) Use of exhibits. Where evidence to be presented consists of tabulations or figures so numerous as to make oral presentation impracticable, it must be presented in exhibit form. These exhibits must be summarized and explained in testimony.

(D) Procedure for admitting and objecting to prefiled testimony and exhibits.

(1) Prefiled testimony, if admitted into evidence, must be included in the transcript by including a link in the transcript to access each witness's electronically filed testimony and exhibits.

(2) Objections to the admissibility of prefiled testimony or exhibits, including objections to the admissibility of expert opinions, must be filed in writing at least 14 days before the evidentiary hearing (or, if the evidentiary hearing is canceled, then at least 14 days before the evidentiary hearing was scheduled under the most recent approved schedule). However, if the prefiled testimony or exhibits are filed in the 21 days directly preceding the evidentiary hearing, then objections must be filed in writing within seven days of the objected-to filing, or at the hearing, whichever is earlier.

(3) If an objection to the admissibility of prefiled testimony or exhibits is filed, all parties may file a response, but no replies in support of the objection are allowed without permission of the Commission.

(E) Views and inspections. Upon notice to the parties, the Commission may, either on its own initiative or upon the request of a party, view or inspect any property that is the subject of or is related to the subject of any proceeding. A view or inspection may be made before, during, or after the hearing.

(F) Closing of the record. Unless the Commission, on its own initiative or upon a timely motion by a party, determines otherwise (for instance, in a scheduling order), the evidentiary record for a case is closed after all of the evidence to be considered in deciding a case has been entered into evidence:

-- at an evidentiary hearing, or

-- in a proposal for decision (if there is no evidentiary hearing), or

-- in a final order (if there is no evidentiary hearing or proposal for decision).

2.217 Objections During Evidentiary Hearings.

During an evidentiary hearing, all objections must be raised immediately or they are waived. If a party has no opportunity to object to a ruling or order at the time it is made, the absence of an objection does not prejudice the party. Later objections to the same legal point are unnecessary, and the later admission or exclusion of evidence of like nature shall be deemed to be subject to the same objection as originally stated.

2.218 Subpoenas.

(A) Only for testifying witnesses. Subpoenas shall not be used on members of the public who merely file public comments and do not submit testimony or offer other evidence, unless there is good cause to believe that a non-testifying person has critical information that cannot reasonably be obtained in any other way.

(B) Form and issuance. Every subpoena shall

(1) state the title of the action, the case number, and the Vermont Public Utility Commission; and

(2) command each person to whom it is directed to attend and give testimony or to produce and permit inspection, copying, testing, or sampling of designated books, documents, electronically stored information, or tangible things in the possession, custody, or control of that person, or to permit inspection of premises, at a time and place therein specified; and

(3) set forth the text of subsections (F) and (G) of this rule.

(C) Combined subpoenas allowed. A command to produce evidence or to permit inspection, copying, testing, or sampling may be joined with a command to appear at a hearing or at a deposition, or may be issued separately. A subpoena may specify the form or forms in which electronically stored information is to be produced.

(D) Issuance by a party or attorney. The clerk shall issue a subpoena, signed but otherwise in blank, to a party requesting it, who shall complete it before service. An attorney may also issue and sign a subpoena.

(E) Service on parties. A copy of every subpoena must be served on all parties to the case before or at the same time that it is served on the person to whom it is directed.

(F) Service on witness. A subpoena may be served by any person who is not a party and is at least 18 years of age, subject to the limitations on the service of subpoenas listed in subsection (A). Service of a subpoena on a person shall be made by delivering a copy to that person and, if the person's attendance is commanded, by tendering to that person with the subpoena the fees for one day's attendance and the mileage allowed by law. A subpoena may be served at any place within the state. When necessary, proof of service shall be made by filing in ePUC a statement of the date and manner of service and of the names of the persons served, certified by the person who made the service.

(G) Protection of persons subject to subpoenas.

(1) A party or an attorney responsible for the issuance and service of a subpoena shall take reasonable steps to avoid imposing undue burden or expense on a person subject to that subpoena. The Commission may enforce this duty and impose on the party or attorney in breach of this duty an appropriate sanction, which may include lost earnings and a reasonable attorney's fee.

(2) A person commanded to produce and permit inspection, copying, testing, or sampling of designated electronically stored information, books, papers, documents, or tangible things, or inspection of premises need not appear in person at the place of production or inspection unless commanded to appear for deposition or hearing.

(3) A person commanded to produce and permit inspection, copying, testing, or sampling may, within 14 days after service of the subpoena or before the time specified for compliance if such time is less than 14 days after service, serve on the party or attorney designated in the subpoena written objection to producing any or all of the designated materials or inspection of the premises or to producing electronically stored information in the form or forms requested. If objection is made, the party serving the subpoena shall not be entitled to the requested production or to inspect, copy, test, or sample the materials or inspect the premises except pursuant to an order of the Commission. If objection has been made, the party serving the subpoena may, upon notice to the person commanded to produce, move at any time for an order to compel the production, inspection, copying, testing, or sampling. Such an order to compel shall protect any person who is not a party or an officer of a party from significant expense resulting from the inspection, copying, testing, or sampling commanded.

(4) On timely motion, or on the Commission's own initiative, the Commission may quash or modify the subpoena if it:

(a) fails to allow reasonable time for compliance;

(b) requires a resident of this state to travel to attend a deposition more than 50 miles one way unless the Commission otherwise orders, or requires a nonresident of this state to travel to attend a deposition at a place more than 50 miles from the place of service unless another convenient place is fixed by order of the Commission;

(c) requires disclosure of privileged or other protected matter and no exception or waiver applies; or

(d) subjects a person to undue burden.

(5) To protect a person subject to or affected by the subpoena, the Commission may quash or modify the subpoena, or, if the party on whose behalf the subpoena is issued shows a substantial need for the testimony or material that cannot otherwise be met without undue hardship and ensures that the person to whom the subpoena is addressed will be reasonably compensated, the Commission may order appearance or production only under specified conditions, if a subpoena:

(a) requires disclosure of a trade secret or other confidential research, development, or commercial information;

(b) requires disclosure of an unretained expert's opinion or information not describing specific events or occurrences in dispute and resulting from the expert's study made not at the request of any party; or

(c) requires a person who is not a party or an officer of a party to incur substantial expense to travel more than 50 miles one way to attend a hearing.

(H) Duties in responding to subpoena.

(1) A person responding to a subpoena to produce documents shall produce them as they are kept in the usual course of business or shall organize and label them to correspond with the categories in the demand.

(2) If a subpoena does not specify the form or forms for producing electronically stored information, a person responding to a subpoena must produce the information in a form or forms in which the person ordinarily maintains it or in a form or forms that are reasonably usable.

(3) A person responding to a subpoena need not produce the same electronically stored information in more than one form.

(4) A person responding to a subpoena need not provide discovery of electronically stored information from sources that the party identifies as not reasonably accessible because of undue burden or cost. On motion to compel discovery or for a protective order, the person from whom discovery is sought must show that the information sought is not reasonably accessible because of undue burden or cost. If that showing is made, the Commission may nonetheless order discovery from such sources if the requesting party shows good cause. The Commission may specify conditions for the discovery.

(5) When information subject to a subpoena is withheld on a claim that it is privileged or subject to protection as hearing preparation materials, the claim shall be made expressly and shall be supported by a description of the nature of the documents, communications, or things not produced that is sufficient to enable the demanding party to contest the claim.

(6) If information is produced in response to a subpoena that is subject to a claim of privilege or of protection as hearing preparation materials, the person making the claim may notify any party that received the information of the claim and the basis for it. After being notified, a party must promptly return, sequester, or destroy the specified information and any copies it has and may not use or disclose the information until the claim is resolved. A receiving party may promptly present the information to the Commission under seal for a determination of the claim. If the receiving party disclosed the information before being notified, it must take reasonable steps to retrieve it. The person who produced the information must preserve the information until the claim is resolved.

(I) Contempt. Failure by any person without adequate excuse to obey a subpoena served on that person may be deemed contempt. Adequate excuse for failure to obey exists when a subpoena purports to require a nonparty to attend or produce at a place not within the limits provided in this rule. The provisions of 12 V.S.A. §§ 1623-1624 shall apply to failure by any person without adequate excuse to obey a subpoena served on that person.

2.219 Summary Judgment.

(A) Motion for summary judgment or partial summary judgment. A party may move for summary judgment, identifying each claim or defense--or the part of each claim or defense--on which summary judgment is sought. The Commission may grant summary judgment if the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law. The Commission should state on the record the reasons for granting or denying the motion.

(B) Time to file and oppose a motion. A party may file a motion for summary judgment at any time until 30 days after the close of all discovery, unless a different time is set by stipulation or Commission order. The adverse party may file a memorandum in opposition and a statement of disputed facts and affidavits or declarations, if any, up to 30 days after the service of the motion on the party. The moving party may file a reply memorandum within 14 days after service of the opposition. The Commission may also allow a surreply memorandum.

(C) Procedures.

(1) Supporting factual positions. A party asserting that a fact cannot be or is genuinely disputed must support the assertion by:

(a) Filing a separate and concise statement of undisputed material facts or a separate and concise statement of disputed facts, consisting of numbered paragraphs with specific citations to particular parts of materials, including depositions, documents, electronically stored information, affidavits or declarations, stipulations (including those made for purposes of the motion only), admissions, interrogatory answers, or other materials; or

(b) Showing that the materials cited do not establish the absence or presence of a genuine dispute, or that an adverse party cannot produce admissible evidence to support the fact.

(2) Objection that a fact is not supported by admissible evidence. A party may object that the material cited to support or dispute a fact cannot be presented in a form that would be admissible in evidence.

(3) Materials not cited. The Commission need consider only the materials cited in the required statements of fact, but it may consider other materials in the record.

(4) Affidavits and declarations. An affidavit or declaration used to support or oppose a motion must be made on personal knowledge, set out facts that would be admissible in evidence, and show that the affiant or declarant is competent to testify on the matters stated.

(D) When facts are unavailable to the nonmovant. If a nonmovant shows by affidavit or declaration that, for specified reasons, it cannot present facts essential to justify its opposition, the Commission may:

(1) defer considering the motion or deny it;

(2) allow time to obtain affidavits or declarations or to take discovery; or

(3) issue any other appropriate order.

(E) Failing to properly support or address a fact. If a party fails to properly support an assertion of fact or fails to properly address another party's assertion of fact as required by this rule, the Commission may:

(1) give an opportunity to properly support or address the fact;

(2) consider the fact undisputed for purposes of the motion;

(3) grant summary judgment if the motion and supporting materials (including the facts considered undisputed) show that the movant is entitled to it; or

(4) issue any other appropriate order.

(F) Judgment independent of the motion. After giving notice and a reasonable time to respond, the Commission may:

(1) grant summary judgment for a nonmovant;

(2) grant the motion on grounds not raised by a party; or

(3) consider summary judgment on its own after identifying for the parties material facts that may not be genuinely in dispute.

(G) Failing to grant all the requested relief. If the Commission does not grant all the relief requested by the motion, it may enter an order stating any material fact that is not genuinely in dispute and treating the fact as established in the case.

(H) Affidavit or declaration submitted in bad faith. If satisfied that an affidavit or declaration under this rule is submitted in bad faith or solely for delay, the Commission--after notice and a reasonable time to respond--may order the submitting party to pay the other party the reasonable expenses it incurred as a result. An offending party or attorney may also be held in contempt or subjected to other appropriate sanctions.

2.220 Withdrawal of Petitions.

(A) Voluntary withdrawal. A petitioner may voluntarily withdraw a petition, application, or registration without order of the Commission by filing a notice of dismissal in any case in which no adverse party has filed substantive comments in response to the petition. A net- metering registration will be deemed voluntarily withdrawn if the registrant fails to respond to an objection raised by the interconnecting utility.

(B) Withdrawal by stipulation. A petition, application, or registration may be dismissed by filing a stipulation of dismissal signed by all parties who have appeared in the action.

(C) Withdrawal by order of the Commission. Except as provided in paragraphs (A) and (B) of this subsection, an action shall not be dismissed except by order of the Commission and on such terms and conditions as the Commission deems proper.

(D) Without prejudice. Unless otherwise specified in a voluntary notice of dismissal, a stipulation, or a Commission order, a dismissal under this rule is without prejudice.

2.221 Motions to Alter or Amend an Order, Relief from Order, and Harmless Error.

(A) Motion to alter or amend an order.

(1) Grounds. The Commission may on motion grant a new hearing or alter or amend an order on all or part of the issues for any of the reasons for which new hearings have been granted in actions at law or in suits in equity in the courts of this state. On a motion for a new hearing or to alter or amend an order, the Commission may open the proceeding and reconsider a final order if one has been entered, take additional testimony, amend findings of fact and conclusions of law, or make new findings and conclusions, and may direct the entry of a new judgment.

(2) Time for motion. A motion for a new hearing or to alter or amend an order shall be filed not later than 28 days after the order is issued.

(3) Time for serving affidavits or declarations. When a motion for new hearing or to alter or amend an order is based on affidavits or declarations, they shall be filed with the motion. An opposing party has 14 days after service of the motion within which to file opposing affidavits or declarations. The Commission may permit reply affidavits and declarations.

(4) On initiative of the Commission. Not later than 28 days after an order, the Commission may on its own initiative order a new hearing or alter or amend an order for any reason for which it might have granted a new hearing or altered or amended an order on motion of a party. After giving the parties notice and an opportunity to be heard on the matter, the Commission may grant a motion, if timely served, for a new hearing or to alter or amend an order, for a reason not stated in the motion. In either case, the Commission shall specify in the order the grounds for ordering a new hearing or altering or amending an order.

(B) Relief from order.

(1) Clerical mistakes. Clerical mistakes in judgments, orders, or other parts of the record, and errors arising from oversight or omission may be corrected by the Commission at any time on its own initiative or on the motion of any party and after such notice, if any, as the Commission orders. During the pendency of an appeal, such mistakes may be so corrected before the appeal is docketed in the Supreme Court, and thereafter while the appeal is pending may be so corrected with leave of the Supreme Court.

(2) Mistakes, inadvertence, excusable neglect, newly discovered evidence, fraud, etc. On motion and on such terms as are just, the Commission may relieve a party or a party's legal representative from a final judgment, order, or proceeding for the following reasons:

(i) mistake, inadvertence, surprise, or excusable neglect;

(ii) newly discovered evidence that by due diligence could not have been discovered in time to move for a new hearing under subsection (A) of this rule;

(iii) fraud, misrepresentation, or other misconduct of an adverse party;

(iv) the judgment is void;

(v) the judgment has been satisfied, released, or discharged, or a previous judgment on which it is based has been reversed or otherwise vacated, or it is no longer equitable that the judgment should have prospective application; or

(vi) any other reason justifying relief from the operation of the judgment. The motion shall be filed within a reasonable time, and for reasons (i), (ii), and (iii) not more than one year after the judgment, order, or proceeding was entered or taken. A motion under this subsection does not affect the finality of a judgment or suspend its operation. This rule does not limit the power of the Commission to entertain an independent action to relieve a party from a judgment, order, or proceeding. The procedure for obtaining any relief from a judgment shall be by motion as prescribed in these rules or by an independent action.

(C) Harmless error. No error in either the admission or the exclusion of evidence and no error or defect in any ruling or order or in anything done or omitted by the Commission or by any of the parties is ground for granting a new trial or for setting aside a verdict or for vacating, modifying, or otherwise disturbing a judgment or order, unless refusal to take such action appears to the Commission inconsistent with substantial justice. The Commission at every stage of the proceeding must disregard any error or defect in the proceeding that does not affect the substantial rights of the parties.

2.222 Proposed Findings of Fact.

(A) In any case the Commission may require each party to file proposed findings of fact. Each proposed finding must deal concisely with a single fact or with a group of facts so interrelated that they cannot reasonably be treated separately.

(B) Proposed findings must be consecutively numbered and must be in logical sequence.

(C) Where the party claims to have established more than one ultimate fact, proposed findings must be arranged into separate groups, appropriately identified as to subject matter.

(D) Each proposed finding must contain a citation or citations to the specific part or parts of the record (including page number and line number, where available) containing the evidence supporting the proposed finding.

2.223 Briefs.

(A) Briefs must address each issue of law that a party desires the Commission to consider.

(B) Whenever a brief addresses more than one issue, it must be divided into sections that separately address each issue.

(C) Briefs longer than 10 pages must contain, immediately after the cover page, a table of contents.

2.224 Sanctions.

(A) An attorney or pro se or other representative who fails, after having been requested by the Commission to do so, to comply with these rules or any Commission order may be suspended from further participation in the proceeding or, for such period of time as the Commission finds to be just, from participation in other proceedings.

(B) In addition, if proposed findings of facts fail to comply with Rule 2.222, that party may be deemed to have withdrawn its offers and claims of proof and to have waived its right to a finding by the Commission regarding that fact; and with respect to any issue of law as to which a party has failed to conform to the requirements of Rule 2.223, that party may be deemed to have waived any claims of law on that issue.

(C) If, after notice and a reasonable opportunity to respond, the Commission determines that subsection (A) or (B) has been violated, or that there has been a violation of Rule 2.203, the Commission may, subject to the conditions stated below, impose an appropriate sanction on the attorneys, law firms, or parties that have violated or are responsible for the violation.

(1) A motion for sanctions under this rule shall be made separately from other motions or requests, shall describe the specific conduct alleged to violate this rule or Rule 2.203, and shall explain all efforts made toward having the alleged violator voluntarily withdraw or correct the challenged filing, claim, defense, contention, allegation, or denial. Absent exceptional circumstances, a law firm shall be held jointly responsible for violations committed by its partners, associates, and employees.

(2) On its own initiative, the Commission may enter an order describing the specific conduct that appears to violate this rule or Rule 2.203 and directing an attorney, law firm, or party to show cause why it has not caused a violation.

(3) When imposing sanctions, the Commission shall describe the conduct determined to constitute a violation of this rule and explain the basis for the sanction imposed. A sanction shall be limited to what is sufficient to deter repetition of such conduct or comparable conduct by others similarly situated. The sanction may consist of, or include, directives of a nonmonetary nature or an order to pay a penalty.

2.225 Proposed Schedules.

(A) The parties must make all reasonable efforts to reach agreement on, and jointly file, a proposed schedule as early as possible and no later than three days before a scheduling conference. If the parties cannot agree on all scheduling matters, they should make separate filings that indicate what scheduling matters all parties have agreed to and what matters are in dispute.

(B) In cases without a statutory deadline for Commission action, a proposed schedule may provide the parties with time to negotiate before establishing a formal litigation schedule. In that situation, a proposed schedule could be as simple as:

-- Deadline for motions to intervene;

-- Deadline for responses to motions to intervene;

-- Deadline for replies to responses to motions to intervene; and

-- Deadline for parties to file a settlement agreement or a proposed litigation schedule.

(C) Although the parties are free to agree to alternate terms to propose to the Commission, proposed litigation schedules should generally include the following items:

-- Date for public hearing (if any);

-- Date for site visit (if any);

-- Deadline for motions to intervene;

-- Deadline for responses to motions to intervene;

-- Deadline for replies to responses to motions to intervene;

-- Deadlines for filing prefiled testimony;

-- Schedule for discovery on each set of prefiled testimony, including last date for filing requests and due date for responses;

-- Deadline for objections to prefiled testimony;

-- Evidentiary hearing;

-- Deadline for filing post-hearing briefs; and

-- Deadline for filing post-hearing reply briefs.

(D) Where appropriate, the proposed schedule may include other items, such as deadlines for motions to dismiss and summary judgment motions. When practicable, parties should include specific calendar dates in proposed schedules rather than dates based on the timing of a previous filing.

2.226 Confidential Information Protocol.

(A) General rule.

(1) All documents filed with the Commission are presumed to be public.

(2) The marking of a document as "confidential" does not render that document confidential.

(3) To assert confidentiality of a document, the filing must include one or both of the following:

(a) a cover letter identifying the date and case number of the specific Commission order, statute, court order, or other State or federal agency decision that recognizes the confidentiality of the document, or

(b) a motion for confidential treatment.

(B) Process for filing information that a party asserts to be confidential.

(1) All assertedly confidential documents must bear a stamp on every page marking the document as "Confidential."

(2) Until the Commission issues procedures for filing confidential information in ePUC, any confidential information must be filed by email with the clerk or filed in paper and must have the word "Confidential" as the first word of the subject line. In contested cases, the content of this email or paper cover letter must be simultaneously served on all other parties, with the attached assertedly confidential documents also simultaneously served on those parties that have signed the confidentiality agreement. For non-paper parties who have signed the relevant protective agreement, service may be done by cc'ing those parties on the email to the clerk.

(3) Whenever a party files an assertedly confidential document, that party must simultaneously file a public, non-confidential version of the document in ePUC, unless the party asserts that the entirety of the document is confidential (in which case a document making that allegation must be filed in ePUC). The public, non- confidential version of the document must contain the asserted legal basis for each redaction, in a manner that allows the reader to know which redaction is based on which asserted legal basis for confidentiality.

(C) Form of motions for confidential treatment.

(1) A motion for confidential treatment must set forth the basis for confidentiality, including any relevant citations to exemptions from public disclosure under the Vermont Public Records Act.

(2) The motion must be accompanied by a document-specific (or information- specific) averment of the basis for keeping confidential any document (or information) that the party wishes to keep under seal.

(3) The averment must list a specific expiration date for keeping the information under seal (usually no more than three years) and must explain in detail why the information must be kept confidential for that length of time.

(4) The motion must also address each of the following questions:

(a) Is the matter sought to be protected a trade secret or other confidential research, development, or commercial information that should be protected?

(b) Does the matter sought to be protected contain Critical Energy Infrastructure Information (CEII), as that term is defined by the Federal Energy Regulatory Commission?

(c) Does the matter sought to be protected contain information related to a utility's cybersecurity program?

(d) Would disclosure of the information cause a cognizable harm sufficient to warrant confidential treatment?

(e) Has the party seeking protection shown "good cause" for invoking the Commission's protection?

2.227 Procedural Changes During State of Emergency.

If the Governor of the State of Vermont declares a state of emergency, the Commission may issue orders temporarily altering any procedural requirements of Commission rules.

2.228 Recusal.

(A) A motion for recusal of a Commissioner or hearing officer shall be made as soon as practicable after the cause or ground becomes known.

(B) Motions for recusal shall be accompanied by an affidavit, a declaration, or a certificate of a party's attorney, stating the reason for it and when such reason was first known.

(C) The Commissioner or hearing officer whose recusal is sought shall either recuse themselves or, without ruling on the motion, refer the motion to the other Commissioners (or to all of the Commissioners when it concerns a hearing officer).

(D) A Commissioner or hearing officer who may be recused for any reason other than personal bias or prejudice may disclose on the record the basis of their potential recusal and may advise the parties and their lawyers that they may consider, out of the presence of the Commissioner or hearing officer, whether to move for recusal. If, seven days after disclosure, no party has moved for recusal, the Commissioner or hearing officer may participate in the proceeding.

2.229 Recording of Proceedings.

(A) The Commission may record any of its own proceedings.

(B) Any member of the press or public may record any Commission hearing, oral argument, or other public proceeding, under the following conditions:

(1) Anyone recording a proceeding (by video or audio) must disclose this at the beginning of the proceeding.

(2) Recordings shall not interfere in any way with the proceeding.

(3) Recordings shall not capture private discussions between and among:

(a) Commissioners and Commission staff at the bench, or

(b) attorneys and their clients.

(4) The Commission may permit, prohibit, terminate, limit, or postpone the recording or transmitting of all or any part of a proceeding, and the use of any device, in the hearing room or public meeting room and areas immediately adjacent to it on the Commission's own initiative or on the request of a party or witness in the proceeding. Upon notice to the parties, to the person requesting the order, to any person or entity designated by the media to be notified on behalf of all potentially interested members of the media, and to any person who has filed a request to be heard on this particular motion, the Commission must hold a prompt hearing on the motion. In acting under this provision, the Commission will favor allowing the recording of all public proceedings and will only restrict such recording if the entity recording the proceeding has violated subsection (B)(1), (2), or (3) of this rule, or if the Commission concludes that one or more of the following factors weighs strongly and overwhelmingly in favor of restricting the right to record:

(a) the impact of recording or transmitting on the rights of the parties to a fair hearing;

(b) whether the private nature of testimony outweighs its public value;

(c) the likelihood that physical, emotional, economic, or proprietary injury may be caused to a witness, a party, or other person or entity;

(d) the age, mental condition, and medical condition of the party or witness; and

(e) any other good cause.

2.230 Specific Discovery Procedures.

(A) Discovery scope and limits.

(1) Scope in general. Unless otherwise limited by Commission order, the scope of discovery is as follows: Parties may obtain discovery regarding any nonprivileged matter that is relevant to any party's legal arguments and proportional to the needs of the case, considering the importance of the issues at stake in the action, the amount in controversy, the parties' relative access to relevant information, the parties' resources, the importance of the discovery in resolving the issues, and whether the burden or expense of the proposed discovery outweighs its likely benefit. Information within this scope of discovery need not be admissible in evidence to be discoverable.

(2) Limitations on frequency and extent.

(a) Specific limitations on electronically stored information. A party need not provide discovery of electronically stored information from sources that the party identifies as not reasonably accessible because of undue burden or cost. On motion to compel discovery or for a protective order, the party from whom discovery is sought must show that the information is not reasonably accessible because of undue burden or cost. If that showing is made, the Commission may nonetheless order discovery from such sources if the requesting party shows good cause. The Commission may specify conditions for the discovery.

(b) Orders limiting frequency or extent of discovery. On motion or on its own, the Commission must limit the frequency or extent of discovery otherwise allowed by these rules if it determines that:

(i) the discovery sought is unreasonably cumulative or duplicative, or can be obtained from some other source that is more convenient, less burdensome, or less expensive;

(ii) the party seeking discovery has had ample opportunity to obtain the information by discovery in the action; or

(iii) the proposed discovery is outside the scope permitted by this rule.

(3) Insurance agreements. A party may obtain discovery of the existence and contents of any insurance agreement under which any person conducting an insurance business may be liable to satisfy the requirements of any Commission order. Information concerning the insurance agreement is not by reason of disclosure admissible in evidence at trial. For purposes of this paragraph, an application for insurance shall not be treated as part of an insurance agreement.

(4) Hearing preparation: materials. Subject to other provisions of this rule, a party may obtain discovery of documents and tangible things otherwise discoverable under this rule and prepared in anticipation of litigation or for a hearing by or for another party or by or for that other party's representative (including the other party's attorney, consultant, surety, indemnitor, insurer, or agent) only after a showing that the party seeking discovery has substantial need of the materials in the preparation of the party's case and that the party is unable without undue hardship to obtain the substantial equivalent of the materials by other means. In ordering discovery of such materials when the required showing has been made, the Commission shall protect against disclosure of the mental impressions, conclusions, opinions, or legal theories of an attorney or other representative of a party concerning the litigation. A party may obtain without the required showing a statement concerning the action or its subject matter previously made by that party.

(5) Trial preparation: experts.

(a) Identification and deposition of an expert who may testify.

(i) A party may through interrogatories require any other party:

(I) to identify each person the other party may use at a hearing to present expert testimony under Vermont Rules of Evidence 702, 703, or 705, whether or not the witness may also testify from personal knowledge as to any fact at issue in the case;

(II) to state the subject matter and the substance of the facts and opinions as to which the expert is expected to testify; and

(III) to provide a summary of the grounds for each opinion.

(ii) A party may depose any person who has been identified in an answer to an interrogatory as an expert whose opinions may be presented at a hearing.

(iii) A party may obtain by request for production or subpoena any final report of the opinions to be expressed by an expert who has been identified in an answer to an interrogatory as an expert whose opinions may be presented at a hearing, as well as the basis and reasons for the opinions and any exhibits that will be used to summarize or support them.

(iv) Any questions a party asks of another party's expert witness-- whether through interrogatories, depositions, or requests for production--must be related to the expert witness's testimony.

(b) Hearing-preparation protection for draft disclosures and certain reports. Subsection (A)(4) of this rule protects drafts of any disclosure of an expert identified by a party and drafts of any report prepared by such an expert, regardless of the form in which the draft is recorded.

(c) Hearing-preparation protection for communications between a party's attorney and certain expert witnesses. Subsection (A)(4) of this rule protects communications between the party's attorney and any party- identified expert whose opinions may be presented at trial, regardless of the form of the communications, except to the extent that the communications:

(i) relate to compensation for the expert's study or testimony;

(ii) identify facts or data that the party's attorney provided and that the expert considered in forming the opinions to be expressed; or

(iii) identify assumptions that the party's attorney provided and that the expert witness relied on in forming the opinions to be expressed.

(d) Expert employed only for hearing preparation. A party may discover facts known or opinions held by an expert who has been retained or specially employed by another party in anticipation of litigation or preparation for a hearing and who is not expected to be called as a witness at a hearing, only after a showing of exceptional circumstances under which it is impracticable for the party seeking discovery to obtain facts or opinions on the same subject by other means.

(e) Payment. Unless a party alleges, and the Commission finds, that another party has abused the discovery process (e.g., seeking discovery for no purpose other than delay), each party shall be responsible for any fees incurred by its experts in responding to discovery or attending depositions.

(6) Claims of privilege or protection of hearing-preparation materials.

(a) Information withheld. When a party withholds information otherwise discoverable under these rules by claiming that it is privileged or subject to protection as hearing-preparation material, the party shall make the claim expressly and shall describe the nature of the documents, communications, or things not produced or disclosed in a manner that, without revealing information itself privileged or protected, will enable other parties to assess the applicability of the privilege or protection.

(b) Information produced. If information is produced in discovery that is subject to a claim of privilege or of protection as hearing preparation material, the party making the claim may notify any party that received the information of the claim and the basis for it. After being notified, a party must promptly return, sequester, or destroy the specified information and any copies it has and may not use or disclose the information until the claim is resolved. A receiving party may promptly present the information to the Commission under seal for a determination of the claim. If the receiving party disclosed the information before being notified, it must take reasonable steps to retrieve it. The producing party must preserve the information until the claim is resolved.

(B) Protective orders. Upon motion by a party or by the person from whom discovery is sought, and for good cause shown, the Commission may make any order which justice requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense, including one or more of the following:

(1) that the discovery not be had;

(2) that the discovery may be had only on specified terms and conditions, including a designation of the time or place or the allocation of expenses for the discovery or disclosure;

(3) that the discovery may be had only by a method of discovery other than that selected by the party seeking discovery;

(4) that certain matters not be inquired into, or that the scope of the discovery be limited to certain matters;

(5) that discovery be conducted with no one present except persons designated by the Commission;

(6) that a deposition after being sealed be opened only by order of the Commission;

(7) that a trade secret or other confidential research, development, or commercial information not be disclosed or be disclosed only in a designated way; and

(8) that the parties simultaneously file specified documents or information enclosed in sealed envelopes to be opened as directed by the Commission. If the motion for a protective order is denied in whole or in part, the Commission may, on such terms and conditions as are just, order that any party or person provide or permit discovery, and may award expenses incurred in relation to the motion.

(C) Sequence and timing of discovery. Unless the Commission upon motion, for the convenience of parties and witnesses and in the interests of justice, orders otherwise, methods of discovery may be used in any sequence. The fact that a party is conducting discovery, whether by deposition or otherwise, shall not operate to delay any other party's discovery.

(D) Supplementation of responses. A party who has responded to a request for discovery with a response that was complete when made is under a duty to supplement or correct the response to include information later acquired with respect to the following matters if the party learns that the response is in some material respect incomplete or incorrect and if the additional or corrective information has not otherwise been made known to the other parties during the discovery process or in writing:

(1) any question directly addressed to

(a) the identity and location of persons having knowledge of discoverable matters; and

(b) the identity of each person expected to be called as an expert witness at a hearing, the subject matter on which the person is expected to testify, and the substance of the person's testimony;

(2) any other previous response to an interrogatory, request for production, or request for admission; and

(3) any matter by order of the Commission, agreement of the parties, or at any time before a hearing through new requests for supplementation of previous responses.

(E) Discovery conference.

(1) At any time, upon motion or on its own initiative, the Commission may direct the parties to appear before it for a conference on the subject of discovery. The Commission may do so upon motion by the attorney for any party if the motion includes:

(a) a statement of the issues as they then appear;

(b) a proposed plan and schedule of discovery, including any issues about disclosure, discovery, or preservation of electronically stored information, including the form or forms in which it should be produced;

(c) any limitations proposed to be placed on discovery;

(d) any other proposed orders with respect to discovery; and

(e) a statement showing that the attorney making the motion has made a reasonable effort to reach agreement with opposing attorneys on the matters set forth in the motion.

(2) Each party and each party's attorney is under a duty to participate in good faith in the framing of a discovery plan if a plan is proposed by the attorney for any party. Notice of the motion shall be served on all parties. Objections or additions to matters set forth in the motion shall be filed not later than 14 days after service of the motion.

(3) Following the discovery conference, the Commission may enter an order tentatively identifying the issues for discovery purposes, including any issues about preserving discoverable information, any issues about discovery of electronically stored information including the form or forms in which it should be produced, and any issues about claims of privilege or protection as hearing- preparation materials; establishing a plan and schedule for discovery; setting limitations on discovery, if any; and determining such other matters, including the allocation of expenses, as are necessary for the proper management of discovery in the action. An order may be altered or amended whenever justice so requires.

(4) The Commission may combine the discovery conference with a status conference.

(F) Signing of discovery requests, responses, and objections.

(1) Every request for discovery or response or objection to discovery made by a party represented by an attorney shall be signed by at least one attorney of record in the attorney's individual name, whose email and postal address shall be included. A party who is not represented by an attorney shall sign the request, response, or objection and state the party's email and postal address. The signature of the attorney or party constitutes a certification that the signer has read the request, response, or objection, and that to the best of the signer's knowledge, information, and belief formed after a reasonable inquiry it is:

(i) consistent with these rules and warranted by existing law or a good-faith argument for the extension, modification, or reversal of existing law;

(ii) not interposed for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation; and

(iii) not unreasonable or unduly burdensome or expensive, given the needs of the case, the discovery already had in the case, the amount in controversy, and the importance of the issues at stake in the litigation. If a request, response, or objection is not signed, it shall be stricken unless it is signed promptly after the omission is called to the attention of the party making the request, response, or objection, and a party shall not be obligated to take any action with respect to it until it is signed.

(2) If without substantial justification a certification is made in violation of the rule, the Commission, upon motion or on its own initiative, shall impose on the person who made the certification, the party on whose behalf the request, response, or objection is made, or both, an appropriate sanction, which may include an order to pay the amount of the reasonable expenses incurred because of the violation, including a reasonable attorney's fee.

(G) Objections and motions related to discovery procedure.

(1) Counsel and opposing counsel have the obligation to make good-faith efforts among themselves to resolve or reduce all differences related to discovery procedures and to avoid filing unnecessary motions.

(2) No motions related to discovery shall be filed unless counsel making the motion has conferred with opposing counsel or has attempted to confer about the discovery issues between them in detail in a good-faith effort to eliminate or reduce the area of controversy, and to arrive at a mutually satisfactory resolution. If the consultations of counsel do not fully resolve the discovery issues, counsel making a discovery motion shall file with the Commission, as part of their motion papers, an affidavit, a declaration, or a certificate of a party's attorney subject to the obligations of Vermont Rules of Civil Procedure Rule 11 certifying that they have conferred or attempted to confer with counsel for the opposing party in and effort in good faith to resolve by agreement the issues raised by the motion without the intervention of the Commission, and have been unable to reach an agreement. If some of the issues raised by the motion have been resolved by agreement, the affidavit or declaration shall specify the issues so resolved and the issues remaining unresolved and the reasons for that. The affidavit or declaration shall set forth the date or dates of the consultation with opposing counsel, and the names of the participants.

(3) Except when the motion is based solely on the failures described in subsection (P)(4) of this rule ("Failure of party to attend at own deposition or serve answers to interrogatories or respond to request for inspection"), memoranda with respect to any discovery motion shall contain a concise statement of the nature of the case and a specific listing of each of the items of discovery sought or opposed, and immediately following each specification shall set forth the reason why the item should be allowed or disallowed.

(H) Pending appeal. If an appeal has been taken from a Commission order or before the taking of an appeal if the time for that has not expired, any party seeking to take discovery must file a motion seeking the Commission's permission and must state the need for such discovery.

(I) Persons before whom depositions may be taken.

(1) Within the State of Vermont. Within the state, depositions shall be taken before a justice of the peace or notary public or a person appointed by the Commission.

(2) Elsewhere. In another state or country, depositions shall be taken before someone who is authorized to administer oaths by the laws of the place where the examination is held or of the laws of the United States, or before a person appointed by a court.

(3) Administering oaths. A person appointed by the Commission or a court as provided in paragraphs (1) and (2) of this subsection has power to administer oaths and take testimony.

(4) Written stipulations. Unless the Commission orders otherwise, the parties may by written stipulation:

(a) provide that depositions may be taken before any person, at any time or place, upon any notice, and in any manner and when so taken may be used like other depositions, and

(b) modify the procedures provided by these rules for other methods of discovery.

(J) Depositions upon oral examination.

(1) Length of deposition. Unless the Commission allows otherwise, each oral deposition is limited to no more than seven hours.

(2) When depositions may be taken and who may be deposed. After a case is filed, any party may take the testimony of any person (including a party) who is offering evidence, by deposition upon oral examination. The attendance of witnesses may be compelled by subpoena, but a subpoena is not necessary for compelling the attendance of a party offering evidence or a testifying witness sponsored by a party. Commission approval (or the written consent of the person to be deposed) is required for the deposition of anyone (including a party) who is not testifying or offering evidence.

(3) Notice of examination: general requirements; special notice; method of recording; production of documents and things; deposition of organization; deposition by telephone.

(a) A party desiring to take the deposition of any person upon oral examination shall give notice in writing to every other party to the action at least 14 days before the time of taking the deposition, unless the Commission orders otherwise. The notice shall state the time and place for taking the deposition and the name and address of each person to be examined, if known, and if the name is not known, a general description sufficient to identify the person or the particular class or group to which the person belongs. If the written notice seeks materials to be produced, the materials sought shall be attached to or included in the notice. For any party or any witness sponsored by a party, written notice served on all parties (or their counsel for any party that is represented by counsel) is sufficient, and no subpoena is necessary. For any other witness, if a subpoena is to be served on the person to be examined, the designation of the materials to be produced as set forth in the subpoena shall be attached to or included in the notice.

(b) If a party shows that when the party was served with notice under this subsection (J)(3) the party was unable through the exercise of diligence to obtain counsel to represent the party at the taking of the deposition, the deposition may not be used against the party.

(c) A deposition shall be recorded stenographically unless the notice of taking states that it is to be recorded by sound or sound-and-visual means. The party taking the deposition shall bear the cost of recording. Any party may arrange for a transcription to be made from the recording of a deposition taken by stenographic or non-stenographic means. If a deposition is to be recorded by non-stenograph means, the notice of taking shall specify: the method of recording; the equipment to be used; the name, address, and employer of the operator of the equipment; and the identity of the person who will administer the oath. The oath may be administered by an attorney for one of the parties who is also a notary.

Upon motion of a party or on its own initiative, the Commission may impose such additional conditions as are necessary to ensure that testimony to be recorded by non-stenographic means will be accurate and trustworthy and to protect the interests of parties and witnesses.

(d) Any party or witness may at their own expense concurrently record a deposition by a method other than that being used by the party taking the deposition. All parties present and the witness shall be advised that the concurrent recording is being made. A person making a concurrent recording shall permit the parties and the witness to review the recording and shall furnish a duplicate to the witness or any party on request and tender of the actual cost of the duplicate.

(e) Unless otherwise agreed by the parties, a deposition shall be conducted before someone who is appointed or designated under this rule and shall begin with a statement on the record by that person that includes:

(i) the person's name and business address;

(ii) the date, time, and place of the deposition;

(iii) the name of the deponent;

(iv) the administration of the oath or affirmation to the deponent; and

(v) an identification of all persons present. If the deposition is recorded by non-stenographic means, the person recording the deposition shall repeat items (i) through (iii) at the beginning of each unit of recorded tape or other recording medium. The appearance or demeanor of deponents or attorneys shall not be distorted through camera or sound-recording techniques. At the end of the deposition, the person recording the deposition shall state on the record that the deposition is complete and shall set forth any stipulations made by counsel concerning the custody of the transcript or recording and any exhibits, or concerning other pertinent matters. Any objections, any changes by the witness, the witness's signature identifying the deposition as the witness's own or the statement of the person recording the deposition that is required if the witness does not sign, and the certification of the person recording the deposition shall be set forth in writing to accompany a deposition recorded by non-stenographic means.

(f) The notice to a party deponent may be accompanied by a request that the party at the taking of the deposition produce and permit inspection and copying of designated books, papers, documents, or tangible things that constitute or contain matters within the scope of discovery. The party deponent may, within seven days after service of the notice, serve on the party taking the deposition written objection to inspection or copying of any or all of the designated materials. If objection is made, the party taking the deposition shall not be entitled to inspect the materials except pursuant to an order of the Commission. The party taking the deposition may move at any time for an order with respect to any objection to the request or any part of it, or any failure to produce or permit inspection as requested.

(g) In a party's notice, that party may name as the deponent a public or private corporation or a partnership or association or governmental agency and designate with reasonable particularity the matters on which examination is requested. The organization so named shall designate one or more officers, directors, or managing agents, or other persons who consent to testify on its behalf, and may set forth, for each person designated, the matters on which the person will testify. The persons so designated shall testify as to matters known or reasonably available to the organization. This paragraph does not preclude taking a deposition by any other procedure authorized in these rules.

(h) The parties may stipulate in writing or the Commission may (upon motion) order that a deposition be taken by telephone or other remote electronic means. For the purposes of this rule, a deposition taken by such means is taken at the place where the deponent is to answer questions.

(4) Examination and cross-examination; record of examination; oath; objections.

(a) Examination and cross-examination of witnesses may proceed as permitted at a hearing under the provisions of the Vermont Rules of Evidence. The person recording the deposition, or someone acting under their direction and in their presence, shall put the witness on oath and shall record the testimony of the witness. The testimony shall be taken stenographically or recorded by any other means allowed by this rule. If requested by one of the parties, the testimony shall be transcribed.

(b) All objections made at the time of the examination to the qualifications of the person taking the deposition, or to the manner of taking it, or to the evidence presented, or to the conduct of any party, and any other objection to the proceedings, shall be noted by the person recording the deposition. Evidence objected to shall be taken subject to the objections. In lieu of participating in the oral examination, parties may serve written questions in a sealed envelope on the party taking the deposition, and the party taking the deposition shall transmit them to the person recording the deposition, who shall give them to the witness and record the answers verbatim.

(5) Objections; motion to terminate or limit examination.

(a) Any objection to evidence during a deposition shall be stated concisely and in a nonargumentative and nonsuggestive manner. A party may instruct a deponent not to answer only when necessary to preserve a privilege, to enforce a limitation on evidence directed by the Commission, or to present a motion under paragraph (c) below.

(b) If the Commission finds that conduct has impeded or delayed the examination and has prevented a fair examination of the deponent, the Commission may extend the time for taking the deposition and may impose on the persons responsible an appropriate sanction.

(c) At any time during a deposition, on motion of a party or of the deponent and after a showing that the examination is being conducted in bad faith or in such manner as unreasonably to annoy, embarrass, or oppress the deponent or party, the Commission may order the person recording the examination to stop taking the deposition, or may limit the scope and manner of taking the deposition. If the order terminates the examination, it shall be resumed thereafter only by order of the Commission. Upon demand of the objecting party or deponent, the taking of the deposition shall be suspended for the time necessary to make a motion for an order.

(6) Submission to witness; changes; signing. When the non-stenographic recording of a deposition is available, or the testimony in a stenographic deposition is fully transcribed, the deposition shall be submitted to the witness for review unless such review is waived by the witness and the parties. Any changes in form or substance that the witness desires to make shall be submitted in writing to the person who recorded the deposition with a statement signed by the witness of the reasons for making such changes within 30 days after submission of the deposition to the witness. The person who recorded the deposition shall indicate in the certificate prescribed by subsection (J)(7) whether any changes were submitted and, if so, shall append the changes and the statement of reasons. The deposition, or a written statement that a non-stenographic deposition is the witness's own, shall then be signed by the witness, unless the parties by stipulation waive the signing or the witness is ill, cannot be found, or refuses to sign. If the deposition or statement is not signed by the witness within 30 days of its submission to the witness, the person who recorded the deposition shall sign it and state on the record the fact of the waiver or of the witness's illness, absence, or refusal to sign, together with the reason, if any, given for that refusal; and the deposition may then be used as fully as though signed unless the Commission orders otherwise for good cause shown.

(7) Certification and filing by person who recorded the deposition; exhibits; copies; notice of filing.

(a) The person who recorded the deposition shall certify that the witness was duly sworn in and that the deposition is a true record of the testimony given by the witness. This certificate shall be in writing and accompany the record of the deposition. Unless otherwise ordered by the Commission, the person who recorded the deposition shall securely seal the deposition in an envelope or package endorsed with the title of the action and marked "Deposition of [here insert name of witness]" and shall promptly file it with the Commission or send it to the attorney who arranged for the transcript or recording (or to the Commission if it cannot be sent to a designated attorney), who shall store it under conditions that protect it against loss, destruction, tampering, or deterioration.

(b) Upon the request of a party, documents and things produced for inspection during the examination of a witness shall be marked for identification and annexed to the deposition, and may be inspected and copied by any party, except that if the person producing the materials wishes to retain them the person may (i) offer copies to be marked for identification and annexed to the deposition and to serve as originals, if the person affords to all parties fair opportunity to verify the copies by comparison with the originals, or (ii) offer the originals to be marked for identification after giving to each party an opportunity to inspect and copy them, in which event the materials may then be used in the same manner as if annexed to the deposition. Any party may move for an order that the original be annexed to and returned with the deposition to the Commission, pending final disposition of the case.

(c) Unless otherwise ordered by the Commission or agreed by the parties, the person recording the deposition shall retain stenographic notes of any deposition taken stenographically or a copy of the recording of any deposition taken by any other method. After payment of reasonable charges, the person who recorded the deposition shall furnish a copy of the transcript or other recording of the deposition to any party or to the deponent.

(K) Deposition upon written questions. If a party wishes to take a deposition upon written questions, that party must file a motion with the Commission requesting permission to do so.

(L) Use of depositions.

(1) Evidentiary use. At the hearing or upon the hearing of a motion or an interlocutory proceeding, any part or all of a deposition (if admissible under the rules of evidence applied as though the witness were then present and testifying) may be used against any party who was present or represented at the taking of the deposition or who had due notice of it, in accordance with any of the following provisions:

(a) Any deposition may be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness or for any other purpose permitted by the Vermont Rules of Evidence.

(b) The deposition of a party or of anyone who at the time of taking the deposition was an officer, director, or managing agent, or a person designated under subsection (J)(3)(g) of this rule to testify on behalf of a public or private corporation, partnership, association, or governmental agency that is a party may be used by an adverse party for any purpose.

(c) The deposition of a witness, whether or not a party, may be used by any party for any purpose if the Commission finds that the witness (i) is exempted by ruling of the Commission on the ground of privilege from testifying concerning the subject matter of the deposition; or (ii) persists in refusing to testify concerning the subject matter of the deposition despite an order of the Commission to do so; or (iii) testifies to a lack of memory of the subject matter of the deposition; or (iv) is unable to be present at the hearing because of death or then-existing physical or mental illness or infirmity; or (v) is absent from the hearing and the proponent of the deposition has been unable to procure the witness's attendance by process or other reasonable means. A deponent is not unavailable as a witness if the exemption, refusal, claim of lack of memory, inability, or absence is due to the procurement or wrongdoing of the proponent of the deposition for the purpose of preventing the witness from attending or testifying.

(d) If only part of a deposition is offered in evidence by a party, an adverse party may require the offeror to introduce any other part that should, in fairness, be considered with the part introduced, and any party may introduce any other parts.

(e) Substitution of parties does not affect the right to use depositions previously taken. A deposition previously taken may also be used as permitted by the Vermont Rules of Evidence.

(2) Objections to admissibility. An objection may be made at a hearing to receiving in evidence any deposition or part of it for any reason that would require the exclusion of the evidence if the witness were present and testifying.

(3) Form of presentation. Except as otherwise directed by the Commission, a party offering deposition testimony pursuant to this rule may offer it in stenographic or non-stenographic form, but, if in non-stenographic form, the party shall also provide the Commission with a transcript of the portions so offered.

(4) Effect of errors and irregularities in depositions.

(a) As to notice. All errors and irregularities in the notice for taking a deposition are waived unless written objection is promptly served on the party giving the notice.

(b) As to disqualification of person recording the deposition. Objection to taking a deposition because of disqualification of the person before whom it will be taken is waived unless made before the deposition begins or as soon afterward as the disqualification becomes known or could be discovered with reasonable diligence.

(c) As to taking of deposition.

(i) Objections to the competency of a witness or to the competency, relevancy, or materiality of testimony are not waived by failure to make them before or during the taking of the deposition, unless the ground of the objection is one that might have been obviated or removed if presented at that time.

(ii) Errors and irregularities occurring at the oral examination in the manner of taking the deposition, in the form of the questions or answers, in the oath or affirmation, or in the conduct of parties, and errors of any kind that might be obviated, removed, or cured if promptly presented, are waived unless timely objection to them is made at the taking of the deposition.

(iii) Objections to the form of written questions are waived unless served in writing on the party propounding them within the time allowed for serving the succeeding cross or other questions and within seven days after service of the last questions authorized.

(d) As to completion and return of deposition. Errors and irregularities in the manner in which the testimony is transcribed or the deposition is prepared, signed, certified, sealed, endorsed, transmitted, filed, or otherwise dealt with by the person recording the deposition are waived unless a motion to suppress the deposition or some part of it is made with reasonable promptness after such defect is, or with due diligence might have been, ascertained.

(M) Interrogatories.

(1) Number. At the request of a party or on its own initiative, the Commission may restrict the number of written interrogatories, including all subparts, that a party may serve on any other party per round of discovery.

(2) Availability; procedures for use. Any party may serve on any other party that is offering evidence written interrogatories to be answered by the party served or-- if the party served is a public or private corporation, a partnership, an association, or governmental agency--to be answered by an officer or agent of that organization, who shall furnish such information as is available to the party. After the case begins, interrogatories may, without leave of the Commission, be served on any party that is offering evidence. Commission approval (or the written consent of the person being asked to answer interrogatories) is required to serve interrogatories on anyone (including a party) who is not testifying or offering evidence.

(3) Answering interrogatories. Each interrogatory shall be answered separately and fully in writing under oath, unless it is objected to, in which event the reasons for objection shall be stated in lieu of an answer. The interrogatory being answered, or objected to, shall be reproduced before the answer or objection. The answers are to be signed by the person making them, and the objections signed by the attorney (or pro se party if unrepresented) making them. The party on whom the interrogatories have been served shall serve a copy of the answers, and objections if any, within 30 days after the service of the interrogatories. The Commission may allow a shorter or longer time. The party submitting the interrogatories may move for an order with respect to any objection to or other failure to answer an interrogatory.

(4) Scope; use at trial. Interrogatories may relate to any matters that can be inquired into under the rules of discovery, and the answers may be used to the extent permitted by the rules of evidence. An otherwise proper interrogatory is not necessarily objectionable merely because an answer to the interrogatory involves an opinion or contention that relates to fact or the application of law to fact, but the Commission may order that such an interrogatory need not be answered until after designated discovery has been completed, until after a status conference, or until another later time.

(5) Option to produce business records. Where the answer to an interrogatory may be derived or ascertained from the business records, including electronically stored information, of the party on whom the interrogatory has been served or from an examination, audit, or inspection of such business records, including a compilation, abstract, or summary of them, and the burden of deriving or ascertaining the answer is substantially the same for the party serving the interrogatory as for the party served, it is a sufficient answer to such interrogatory to specify the records from which the answer may be derived or ascertained and to afford to the party serving the interrogatory reasonable opportunity to examine, audit, or inspect such records and to make copies, compilations, abstracts, or summaries. A specification shall be in sufficient detail to permit the interrogating party to locate and to identify, as readily as can the party served, the records from which the answer may be ascertained.

(N) Production of documents and things and entry on land.

(1) Scope. Any party may serve on any other party that is offering evidence a request

(a) to produce and permit the party making the request, or someone acting on the requestor's behalf, to inspect, copy, test, or sample any designated documents or electronically stored information (including writings, drawings, graphs, charts, photographs, sound recordings, images, and other data or data compilations stored in any medium from which information can be obtained, translated, if necessary, by the respondent into reasonably usable form) or to inspect and copy, test, or sample any designated tangible things that constitute or contain matters within the scope of discovery and are in the possession, custody, or control of the party on whom the request is served; or

(b) to permit entry on designated land or other property in the possession or control of the party on whom the request is served for the purpose of inspection and measuring, surveying, photographing, testing, or sampling the property or any designated object or operation thereon, within the scope of discovery.

(2) Procedure.

(a) The request may, without leave of the Commission, be served on any party that is offering evidence in the proceeding. The request shall set forth the items to be inspected either by individual item or by category, and describe each item and category with reasonable particularity. The request shall specify a reasonable time, place, and manner of making the inspection and performing the related acts. The request may specify the form or forms in which electronically stored information is to be produced.

(b) The party on whom a request is served shall provide a written response within 30 days after the service of the request. The Commission may allow a shorter or longer time. For each item or category, the response must either state that inspection and related activities will be permitted as requested or state with specificity the grounds for objecting to the request, including the reasons. The responding party may state that it will produce copies of documents or of electronically stored information instead of permitting inspection, provided that, on a showing by the requesting party of a reasonable need, the Commission may order inspection. An objection must state whether any responsive materials are being withheld and the basis of that objection. If objection is made to part of an item or category, the objection must specify the part and permit inspection of the rest. Each specific request shall be reproduced before the response. If objection is made to the requested form or forms for producing electronically stored information--or if no form was specified in the request--the responding party must state the form or forms it intends to use. The party submitting the request may move for an order under this rule with respect to any objection to or other failure to respond to the request or any part thereof, or any failure to permit inspection as requested.

(c) Unless the parties otherwise agree, or the Commission otherwise orders:

(i) a party who produces documents for inspection shall produce them as they are kept in the usual course of business or shall organize and label them to correspond with the categories in the request;

(ii) if a request does not specify the form or forms for producing electronically stored information, a responding party must produce the information in a form or forms in which it is ordinarily maintained or in a form or forms that are reasonably usable; and

(iii) a party need not produce the same electronically stored information in more than one form.

(O) Requests for admission.

(1) Request for admission. A party may serve on any other party a written request for the admission, for purposes of the pending action only, of the truth of any matters within the scope of discovery set forth in the request that relate to statements or opinions of fact or of the application of law to fact, including the genuineness of any documents described in the request. Copies of documents shall be served with the request unless they have been or are otherwise furnished or made available for inspection and copying. The request may, without leave of the Commission, be served on any party after the case begins.

(2) Form of requests and answers. Each matter of which an admission is requested shall be separately set forth. The matter is admitted unless, within 30 days after service of the request, or within such shorter or longer time as the Commission may allow, the party to whom the request is directed serves on the party requesting the admission a written answer or objection addressed to the matter, signed by the party or by the party's attorney. The request being addressed shall be reproduced before the objection or answer. If objection is made, the reasons for it shall be stated. The answer shall specifically deny the matter or set forth in detail the reasons why the answering party cannot truthfully admit or deny the matter. A denial shall fairly meet the substance of the requested admission, and when good faith requires that a party qualify an answer or deny only a part of the matter of which an admission is requested, the party shall specify so much of it as is true and qualify or deny the remainder. An answering party may not give lack of information or knowledge as a reason for failure to admit or deny unless the party states that the party has made reasonable inquiry and that the information known or readily obtainable by the party is insufficient to enable the party to admit or deny. A party who considers that a matter of which an admission has been requested presents a genuine issue for a hearing may not, on that ground alone, object to the request; the party may deny the matter or set forth reasons why the party cannot admit or deny it.

(3) Motions and objections to requests. The party who has requested the admissions may move to determine the sufficiency of the answers or objections. Unless the Commission determines that an objection is justified, the Commission shall order that an answer be served. If the Commission determines that an answer does not comply with the requirements of this rule, the Commission may order either that the matter is admitted or that an amended answer be served. The Commission may, in lieu of these orders, determine that final disposition of the request be made at a discovery or status conference or at a designated time before a hearing.

(4) Effect of admission. Any matter admitted under this rule is conclusively established unless the Commission on motion or its own initiative permits withdrawal or amendment of the admission. The Commission may permit withdrawal or amendment when the presentation of the merits of the action will be subserved and the party who obtained the admission fails to satisfy the Commission that withdrawal or amendment will prejudice that party in maintaining the action or defense on the merits. Any admission made by a party under this rule is for the purpose of the pending action only and is not an admission by the party for any other purpose, nor may the admission be used against the party in any other proceeding.

(P) Failure to make discovery; sanctions.

(1) Motion for order compelling discovery. A party, after reasonable notice to other parties and other affected persons, may apply for an order compelling discovery. If a deponent fails to answer a question or a party fails to answer an interrogatory or allow inspection, or if an answer is evasive or incomplete, the discovering party may move for an order compelling an answer or production or inspection. When taking a deposition on oral examination, the proponent of the question may complete or adjourn the examination before applying for an order.

(2) Failure to comply with order. If a deponent or party fails to comply with a Commission order related to discovery, the deponent or party, and any attorney advising the deponent or party, or both, may be subject to sanctions, which may include any of the following:

(a) an order that the matters regarding which the order was made or any other designated facts shall be taken to be established for the purposes of the case in accordance with the arguments of the party obtaining the order;

(b) an order prohibiting that party from introducing designated matters in evidence;

(c) an order striking out part or all of the filings, including prefiled testimony and other evidence, or staying further proceedings until the order is obeyed, or dismissing the proceeding or any part of it;

(d) an order treating as a contempt the failure to obey any orders; and

(e) an order requiring the party failing to obey the order or the attorney advising that party or both to pay the reasonable expenses caused by the failure, unless the Commission finds that the failure was substantially justified or that other circumstances make an award of expenses unjust.

(3) Failure to supplement; refusal to admit. A party that without substantial justification fails to supplement responses as required is not, unless such failure is harmless, permitted to use as evidence at a hearing, or on a motion, any witness or information not so disclosed.

(4) Failure of party to attend at own deposition or serve answers to interrogatories or respond to request for inspection. If a party or an officer, director, or managing agent of a party or a person designated under these rules to testify on behalf of a party fails to appear before the person who is to take a properly served deposition, fails to object or comply with a properly served request for production, fails to serve answers or objections to properly served interrogatories, or fails to serve a written response to a properly served request for production or inspection, the Commission may make such orders in regard to the failure as are just. The failure to act as described in this subsection may not be excused on the ground that the discovery sought is objectionable unless the party failing to act has applied for a protective order as provided by these rules.

(5) Failure to participate in the framing of a discovery plan. If a party or a party's attorney fails to participate in good faith in the framing of a discovery plan by agreement, the Commission may, after opportunity for hearing, require such party or attorney to pay to any other party the reasonable expenses caused by the failure.

(6) Failure to preserve electronically stored or other evidence. If electronically stored or other evidence that should have been preserved in the anticipation or conduct of litigation is lost because a party failed to take reasonable steps to preserve it, and it cannot be restored or replaced through additional discovery, the Commission, upon finding prejudice to another party from loss of the evidence, may order measures no greater than necessary to cure the prejudice.

(Q) Discovery by the Commission.

(1) The procedures listed in this rule may be used by the Commission, and the Commission may do so without any limitation on the number or form of requests that may be made by the Commission.

(2) The availability of such procedures does not in any way limit the authority of the Commission, including the authority to inquire into and examine any proceeding within the jurisdiction of the Commission, to examine books, accounts, and papers of any person or entity subject to the Commission's jurisdiction, or to enter and examine the property of any person or entity subject to the Commission's jurisdiction.

(R) Discovery requests and responses.

(1) Discovery requests served on parties or participants in a Commission proceeding must be filed with the Commission in ePUC.

(2) Unless otherwise directed by the Commission, discovery responses need not be filed with the Commission, but parties and participants must file a certificate of service evidencing service of discovery responses on those parties or participants who are entitled to receive service of the responses.

(3) If the Commission directs that discovery responses be filed with the Commission, the narrative responses must be filed in ePUC. Attachments must be filed in an electronic format outside of ePUC such as on a CD.

2.300 CONSUMER COMPLAINTS

2.301 Definition.

A consumer complaint is a complaint filed by any person (whether an individual, corporation, association, partnership or other entity) receiving service or entitled to receive service from a utility regulated by the Commission seeking a refund of charges and/or an order requiring a utility to comply in a reasonable manner with any applicable tariff, statute, rule or order of the Commission.

2.302 Form and Content.

A consumer complaint shall set forth in writing a short and plain statement of facts showing that the complainant is entitled to relief. The statement shall be signed by the consumer. Notwithstanding the foregoing, the Commission may in its discretion treat any written communication to it concerning a matter within its jurisdiction to be a claim for relief.

2.303 Acknowledgment of Complaints.

The Commission will acknowledge receipt of all written complaints. If the Commission does not refer the complaint to the Department of Public Service, the Commission will send a copy of the complaint to the subject of the complaint and any affected utility.

2.304 Referral to the Department of Public Service.

In its discretion, the Commission may refer any complaint to the Department of Public Service and request the Department to attempt to resolve the dispute. If the complaint is not thus referred, if the Department of Public Service refuses to accept the referral, or if the Department is unable to resolve the matter, then the Commission, if it find, assuming, that the allegations of the complaint are true, that there is a probability of a violation of tariffs, statutes, rules or other orders of the Commission, shall set the complaint for a hearing. [n2] If, assuming that the allegations of the complaint are true, there is no probability of such a violation, it shall dismiss the complaint.

2.305 Hearings on Consumer Complaints.

In setting a case for hearing, the Commission shall assign a docket number and shall specifically set forth the issues to be resolved, which issues, unless the requirements of justice dictate otherwise, shall be the only issues controverted at the hearing. If issues in addition to those so specified are to be heard, the parties shall be afforded a reasonable time to prepare and respond. The hearing shall be assigned by the clerk for the earliest practicable date.

2.306 Representation by Persons Not Admitted to Practice.

Notwithstanding the provisions of Rule 2.201, the Commission may in its discretion permit consumers to be represented in consumer complaint proceedings by persons who are not admitted to the practice of law, provided that such representatives shall demonstrate a sufficient familiarity with these rules and with all substantive and procedural provisions of law applicable to such proceedings. Except for the requirement of admission to practice, such representatives shall comply with all rules, laws, practices, procedures and other requirements applicable to proceedings before the Commission.

2.400 PROCEEDINGS OTHER THAN CONSUMER COMPLAINTS

2.401 Tariff Filings.

(A) General. Tariff filings, including amendments to existing tariffs, must be accompanied by a concise narrative description of their nature and effect, stated in terminology that is comprehensible to the general public.

(B) Amendments. Except where substantially the whole of a separately identified section of a tariff is affected, an amendment to an existing tariff must be accompanied by a redline version showing all changes.

(C) New services. Where a tariff filing covers a new service, or a modification of an existing service, estimates of revenues and costs attributable to such service for each of the three years succeeding the introduction of the new or modified service must be included with the filing. Schedules containing the information called for by this provision must be accompanied by a statement of the name of the person or persons responsible for their preparation, together with a description of any underlying documentation. The underlying documentation must be available through discovery immediately after the filing.

2.402 Rate Proceedings.

(A) Justification for change in rates. In order to enable the Commission to determine whether new rates proposed by any utility should be further investigated or suspended, all rate filings shall contain complete and substantial justification for the proposed change, including the following:

(1) detailed calculation of cost of service;

(2) detailed calculation of cost of capital;

(3) rate base calculation;

(4) the effect of the filing on annual operating revenues;

(5) projected construction expenditures by category for each of the following two years;

(6) for electric utilities, a detailed statement of purchased power and production costs (with fuel costs separately stated) by source for the 12 months prior to the filing and a similar statement of projected purchased power and production costs by source for the 12 months succeeding the filing; such costs for both periods shall be shown net of sales to other utilities or, in the alternative, revenues from such sales shall be separately stated.

(B) Changes from previous order. Where a request for a change in rates proposes or utilizes any change in the ratemaking methodology or principles approved or utilized by the Commission in the most recent rate order affecting the same utility, such change shall be clearly identified, and a statement of the reasons for such change shall be given.

(C) Exhibits and other information. A utility whose rates are suspended shall, within thirty days from the date of the suspension order, file ten copies of all exhibits it intends to use in the hearing thereon, together with the names of witnesses it intends to call in its direct case, and a short statement of the purposes of the testimony of each witness. In the case of a municipality or cooperative which has filed a notice of change in rates, if the Commission gives notice that it intends to investigate such change, then the municipality cooperative shall file similar exhibits, names of witnesses and a statement of the purpose of their testimony within thirty days of the giving of such notice. Except in the discretion of the Commission, a utility shall not be permitted to introduce into evidence in its direct case exhibits which are not filed in accordance with this rule. This provision shall not be deemed to constitute a limitation on the Commission's authority to require the prefiling of direct testimony in any case at such time as the Commission my prescribe.

2.403 Petitions for Declaratory Rulings.

Pursuant to 3 V.S.A. § 808, an interested person may petition the Commission for a declaratory ruling as to the applicability of any statutory provision or of any rule or order of the Commission. The petition shall identify the statute, rule or order involved, shall include a proposed order of notice and shall be accompanied by a brief which conforms to the requirements of Rule 2.223.

2.404 Petitions for Adoption of Rules.

Pursuant to 3 V.S.A. § 806, an interested person may petition the Commission requesting the promulgation, amendment or repeal of a rule. The petition shall describe the action requested, shall state the reasons for the request and shall include a proposed order of notice.

2.405 Request for Tariff Investigation.

Any interested person or entity may request that the Commission initiate an investigation pursuant to 30 V.S.A. § 227 into the justness and reasonableness of a utility's tariffs. Whether or not to undertake such an investigation shall be within the Commission's discretion.

2.406 Injunctions.

(A) Definitions

(1) Temporary restraining order: an injunctive remedy which is issued either ex parte or under circumstances where the respondent has not been afforded an adequate opportunity to present its defense at a hearing held upon such notice as is otherwise required by law.

(2) Preliminary injunction: an injunctive remedy issued after a hearing held upon legal notice but where the proceedings have not allowed the parties adequate opportunity to avail themselves of all procedures provided for by these rules and by all other provisions of law. A preliminary injunction cannot remain in effect beyond the conclusion of the proceeding in which it is issued.

(3) Permanent injunction: an injunctive remedy issued as final relief after a hearing held upon legal notice and where the proceedings have allowed the parties adequate opportunity to avail themselves of all procedures provided for by these rules and by all other provision of law.

(B) Particular requirements for temporary restraining orders; examination of witnesses by the Commission.

(1) A petition for a temporary restraining order must be accompanied by affidavits or declarations attesting to all of its factual allegations.

(2) The Commission may require any facts alleged in the affidavits, declarations, or verified petition to be presented in oral testimony and may examine any witness testifying to such facts as to any matter that is relevant to the subject matter of the proceeding.

(3) The petitioner must deliver a copy of the petition to the respondent before filing or, if such delivery would require delay that might cause irreparable harm, as soon as possible. If actual delivery to the respondent has not been made before filing, the petitioner must notify the respondent or its attorney by telephone or by other means at the earliest possible time.

(4) A temporary restraining order may be issued only where it clearly appears from specific facts shown by the affidavits, declarations, or verified petition, and by testimony if required by the Commission, that substantial, immediate, and irreparable injury, loss or damage, or danger to health or safety will result before a hearing can be held upon proper notice.

(C) Further proceedings after issuance of a temporary restraining order.

(1) A petition for a temporary restraining order, whether it is so designated, also constitutes a petition for a preliminary injunction and a permanent injunction.

(2) A hearing on a preliminary or permanent injunction must be held as soon as practicable, unless the parties agree to a later date.

(3) Wherever possible, the Commission must attempt to make a final disposition of the proceeding, but if the proceedings do not allow the parties adequate opportunity to avail themselves of all procedures provided for by these rules and by all other provisions of law, then only a preliminary injunction may be issued.

(4) If a temporary restraining order has previously been issued, it shall continue in force until a decision is rendered on the preliminary injunction or the permanent injunction, as the case may be, unless it is dissolved by its terms or by further order of the Commission.

(D) Particular requirements for preliminary injunctions; further proceedings after issuance.

(1) An application for a preliminary injunction, unless made in consequence of an application for a temporary restraining order as provided above, must be made by motion in connection with a petition for a permanent injunction.

(2) No preliminary injunction may issue unless the petitioner establishes that the irreparable injury that will be caused to the petitioner if a preliminary injunction is denied (discounted by the probability that the respondent will prevail in the proceedings on the permanent injunction) will be greater than any injury that the granting of the preliminary injunction will cause to the respondent.

(3) If a preliminary injunction is issued, the Commission must schedule such further proceedings as may be required for the permanent injunction; and the preliminary injunction shall continue in force until a decision is rendered on a permanent injunction unless it is dissolved by its own terms or by further order of the Commission.

(4) Unless the Commission otherwise orders, the record made in connection with the temporary restraining order and the preliminary injunction shall also constitute part of the record in the proceedings on the permanent injunction.

(E) Other matters

(1) Conditions. The Commission shall condition the issuance of a temporary restraining order or a preliminary injunction with such terms as justice and equity may require, including the giving of adequate security in favor of the respondent.

(2) Severence. In its discretion, the Commission may order the severence of proceedings on a request for injunctive relief from proceedings for other relief.

(3) Motion to dissolve. a motion to dissolve a temporary restraining order or preliminary injunction may be made at any time. The motion shall state why the further proceedings scheduled on the matter are insufficient to protect the rights and interests of the moving party.

(4) Hearing examiners. Unless the Commission determines that it will expedite the resolution of the matter or will otherwise further the ends of justice, no application for a temporary restraining order will be heard by a hearing examiner.

(5) Form of injunctions. A temporary restraining order, preliminary injunction or permanent injunction shall state the date and hour of its issuance and shall be accompanied by findings of fact upon all of the issues specified or referred to in this rule.

2.407 Forms for Certain Purposes.

The following forms, which are available on request and many of which are available on the Commission's website, must be used for submissions to the Commission when applicable:

-- notice of intervention

-- motion to intervene

-- certificate of public good municipal notice

-- net-metering hearing request

-- net-metering certificate of public good transfer

-- net-metering certificate of public good transfer for net-metering systems sold separately from sale of land

-- net-metering certificate of public good holder certification

-- checklist for applications for net-metering systems greater than 50 kW that are not located on a roof and are not a hydroelectric facility

-- net-metering registration

-- net-metering application

-- Department of Public Service and Public Utility Commission application fee

-- Agency of Natural Resources application fee

-- telecommunications certificate of public good registration

-- mergers and acquisitions notification

-- billing aggregators registration

-- cellular provider registration

-- interruption of electric service reports

-- disconnection of service reports

-- cable TV applications

2.408 Emergency Commission Action.

(A) When the Governor has proclaimed a state of emergency pursuant to 20 V.S.A. § 9, a person or entity may request that the Commission, or the Commission may on its own, take emergency action to prevent imminent financial injury, loss, damage, or hardship to ratepayers or a regulated entity, provided such injury, loss, damage, or hardship is related to the state of emergency. This rule governs requests that the Commission take emergency action, unless a more specific procedure is prescribed by another rule or statute.

(B) Particular requirements for emergency requests.

(1) Emergency action can be requested by filing a petition pursuant to this rule and Rule 2.202. In an ongoing proceeding, emergency action can be requested by filing a motion pursuant to this rule and Rule 2.206.

(2) The title of the filing requesting emergency action must include "Request for Emergency Commission Action Pursuant to Commission Rule 2.408."

(3) A petition or motion for emergency action must be accompanied by affidavits or declarations attesting to all of its factual allegations.

(4) The Commission may require any facts alleged in the affidavits or declarations to be presented in oral testimony and may examine any witness testifying to such facts as to any matter that is relevant to the subject matter of the request.

(5) Unless the Commission otherwise orders, the record made in connection with the request for emergency action shall also constitute part of the record in any further proceedings relevant to the subject matter of the request.

(C) Procedure.

(1) Emergency action may be ordered either ex parte, without comments from other parties, or under circumstances where other parties have not been afforded an opportunity to present evidence at a hearing held upon such notice as is otherwise required by law.

(2) The Commission will only take emergency action where it clearly appears from specific facts shown by the affidavits or declarations, and by testimony if required by the Commission, that substantial immediate and irreparable financial injury, loss, damage, or hardship will result to ratepayers or a regulated entity before a proceeding concludes or a hearing can be held upon proper notice.

(D) Duration. A Commission decision to take emergency action shall continue in force until the term designated in the order taking emergency action expires, unless it is dissolved by further order of the Commission.

(E) Requests for extension or termination. The requesting party may file a motion to extend the emergency action. A motion to extend the emergency action must conform to the requirements of an initial filing for emergency action as described above in subsection (B). The requesting party may file a motion to end the emergency action at an earlier date.

(F) Opportunity for objections and further proceedings. If emergency action is taken, the Commission will schedule such further proceedings as may be required or requested by other parties. The emergency action shall continue in force as described above in subsection (D).

(G) Other matters.

(1) Conditions. The Commission may condition emergency action with such terms as justice and equity may require.

(2) Hearing officers. Unless the Commission determines that it will expedite the resolution of the proceeding or will otherwise further the ends of justice, requests for emergency action will be heard directly by the Commissioners.

(3) Form of emergency action. An order authorizing emergency action must be accompanied by findings of fact on all of the issues specified or referred to in this rule, including that (a) the imminent injury, loss, damage, or hardship is related to the state of emergency; and (b) the emergency action is necessary to prevent imminent financial injury, loss, damage, or hardship to ratepayers or a regulated entity.

Endnotes:

1. Editor's Note: This sentence should apparently read: "... and shall be in logical sequence."

2. Editor's note: This sentence should apparently read: "... then the Commission, if it finds, assuming[] that the allegations...."

3. Editor's note: The end of this sentence should apparently read: "Where a tariff... of the new or modified service shall be included with the filing."

History

• EFFECTIVE DATE:
• October 15, 1940
• AMENDED:
• July 9, 1947; July 26, 1970; July 11, 1983 Secretary of State Rule Log #83-47; October 2018 [agency name change from Public Service Board; rule renumbered from 30 000 001]; September 15, 2018 Secretary of State Rule Log #18-038; 1/18/2023 Secretary of State Rule Log #22-032
• STATUTORY AUTHORITY: 30 V.S.A. §§ 9, 11(a), 11a(b), & 208

Chapter 3100 REPORTS

30-3100 Code Vt. R. 30-000-3100-X REPORTS

Section 3.101 Annual Reports

Each utility shall file with the Commission one copy of the annual report which it is required to submit to the Department of Public Service. The copy shall be filed with the Commission at the same time the report is submitted to the Department.

History

• EFFECTIVE DATE: October 19, 1983
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 002]
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 3200 RATEPAYER DEPOSITS FOR GAS, ELECTRIC, WATER, TELEPHONE, AND CABLE TELEVISION SERVICE

30-3200 Code Vt. R. 30-000-3200-X RATEPAYER DEPOSITS FOR GAS, ELECTRIC, WATER, TELEPHONE, AND CABLE TELEVISION SERVICE

Section 3.201 Definitions

Primary residence -- For purposes of this rule, "primary residence" shall refer to the sole residence of the occupant or occupants, or, if the occupant or occupants have more than one residence, a residence in which the occupant(s) lives or expects to live for more than six months per year. A company may require an applicant to produce, upon request of the utility or cable television company, one of the following to prove primary residence: Vermont driver's licence or state identification card, proof of voter registration, library card, state income tax return, lease or property interests, welfare department proof of residence or similar documents. A primary residence shall not be considered as including the residence of a "seasonal customer."

Seasonal customer -- A customer who expects to live in a residence for less than six months per year or who is determined to be residing in a residence which is not their primary residence.

Deposit -- Any sum held by a utility or cable television company as security to ensure future payment.

Section 3.202 Conditions for Taking of Deposits

(A) Any utility or cable television company which requires a deposit from a ratepayer as a precondition of initiating or continuing utility or cable television service, shall:

(1) establish the deposit amount based on the guidelines set forth in Section 3.204;

(2) pay interest on the deposit, as required under subsection (B);

(3) refund the deposit promptly as provided in Section 3.205.

(4) advise any ratepayer required to make a deposit of the reasons for the requirements, of the right to pay it in installments, and of the calculations which the utility or cable television company has used to support the amount of the deposit;

(5) for an account which serves a primary residence, offer the ratepayer for whom the payment presents a burden the opportunity to pay a deposit, at a minimum, in three equal payments with one third due immediately, one third due within thirty days, and the final third due within sixty days; and

(6) inform the ratepayer that the necessity for a deposit or its amount may be disputed by making a complaint to the Consumer Affairs and Public Information Division of the Department of Public Service. The ratepayer shall be informed of the Division's address and telephone numbers, including its toll-free telephone number.

(B) Interest on deposits shall be calculated as follows:

(1) The interest rate applicable to customer deposits shall be established at a constant rate for each calendar year. The rate shall be equal to the Prime Lending Rate, as reported by the Federal Reserve Bank of New York, on November 1 of the preceding calendar year, minus two hundred basis points (2.0%). In the event that a Prime Lending Rate is no longer published, the interest rate shall be equal to the average federal funds rate for one-year notes on November 1, plus one hundred basis points (1.0%).

(2) Interest on each deposit shall be calculated using a simple interest formula using the rate prescribed under subdivision (B)(1) that existed on the date the deposit is made. That rate shall be applied to the entire term of the deposit, up to twelve months. For example, if a customer deposit were made on the first of December, the interest rate for the ensuing twelve months would be the interest rate calculated under subdivision (B)(1) during the calendar year the December deposit was made.

(3) If the deposit is returned sooner than one year, interest shall be pro-rated.

(4) If the deposit is kept longer than one year, interest shall be credited to the customer's bill during the billing period that includes the anniversary of the deposit. Thereafter, interest shall be paid as though the continuing deposit had been newly made.

Section 3.203 Grounds for Requiring a Deposit

Utilities and cable companies shall limit collection of deposits for service to primary residences to situations where the applicant or existing customer presents a credit risk. Existing customers may be required to pay a deposit only after they have been disconnected for non- payment of valid charges, pursuant to PUC Rule 3.300. Utilities and cable television companies may collect a deposit in the absence of proof from an applicant of creditworthiness. Applicants can show proof of their creditworthiness with one of the following:

(1) a reference from a bank indicating that the applicant has had an active checking account for at least one year and has had no account that has been overdrawn within the last year;

(2) a letter from one or more utilities or cable television companies within or outside of the state of Vermont indicating that the customer has maintained a good credit record for the past two years;

(3) a written statement from a creditworthy customer guaranteeing payment; or

(4) other reasonable demonstrations of creditworthiness.

Utilities and cable television companies are required to provide to a customer a letter of good credit within three working days after the customer requests such a statement. A letter of good credit shall be given if the customer has received no more than one disconnection notice within the last year and no disconnection within the last two years. If a customer has been with a company for less than two years and has not been disconnected nor received more than one disconnection notice, the utility or cable television company shall provide a statement indicating the length of service and the number of disconnection notices received. If a customer does not make the final payment after a letter of good credit rating has been provided, the utility or cable television company sending the letter of good credit may notify the utility or cable television company to whom the letter is sent of the failure of the customer to make the final payment.

Based on such information, the utility or cable television company receiving the letter of good credit may require a deposit.

If the utility or cable television company accepts a third-party guarantee, the guarantee agreement must be in writing and must contain the amount and time period covered under the guarantee. The person providing the guarantee will be held responsible for any uncollectible bills of the customer for whom they provide the guarantee. The utility or cable television company may cancel the guarantee agreement, with notice to the customer, if the guarantor loses good credit standing, and a guarantor may cancel the agreement with at least thirty days notice to the utility or cable television company and the customer. If the guarantee agreement is cancelled or the term has expired, the utility or cable television company may demand a deposit from the customer, unless the customer has established a good credit history with the utility or cable television company. A good credit history is shown where, if the customer had not had the guarantee and had been required to pay a deposit, the deposit would have been returned.

Section 3.204 Calculation of Deposit Amount

Any utility or cable television company requiring a deposit shall limit the deposit to a sum not to exceed two-twelfths of the reasonably estimated charge for utility or cable television service for the ensuing twelve months. In the case of seasonal customers, a deposit shall not exceed one half of the reasonably estimated charge for the ensuing service or two-twelfths of the reasonably estimated charge for 12 months of service, whichever is greater. A reasonably estimated charge should be based on the history of actual usage for the dwelling unit or household. If no actual usage records exist, the reasonably estimated charge should be based on the usage of dwellings or households with similar characteristics. A utility or cable television company may not collect a minimum deposit which exceeds the reasonably estimated charge for the ensuing service.

Section 3.205 Return of Deposits

Any utility or cable television company collecting a deposit from a ratepayer shall refund the deposit promptly with accrued interest either in cash or by credit to the ratepayer's bill for service if the ratepayer's account is current upon completion of the following requirements:

(1) following a period of twelve consecutive months in which the ratepayer has not been disconnected and has received no more than three disconnection notices, for services billed monthly; or

(2) following a period of twelve consecutive months in which the ratepayer has not been disconnected and has received no more than two disconnection notices for services billed every other month or quarterly; or

(3) after termination of service, when it occurs first prior to the completion of the requirements of Section 3.205(1) or (2).

To meet the requirement that deposits be returned promptly, the utility or cable television company must return the deposit, less any deduction for amount due, in a single payment within thirty days of receipt of the ratepayer's final payment, or at the time of the next billing whichever comes first, or upon completion of requirements for the return of the deposit.

History

• EFFECTIVE DATE: October 19, 1983
• AMENDED: January 2, 1990; January 1, 1999; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 003]

Chapter 3300 DISCONNECTION OF RESIDENTIAL GAS, ELECTRIC, AND WATER SERVICE

30-3300 Code Vt. R. 30-000-3300-X DISCONNECTION OF RESIDENTIAL GAS, ELECTRIC, AND WATER SERVICE

3.301 Definitions. For the purposes of this rule, the following definitions apply:

(A) Aggregate Data : Customer account information from which all identifying information has been removed such that the data or information cannot be associated with a given customer without extraordinary effort.

(B) Business Days : Monday through Thursday, excluding Vermont legal holidays and any other day, when the company's business offices are not open to the public, and any day preceding a day the company's business offices are not open to the public.

(C) Delinquency : Failure of the customer to tender payment for a valid bill within 30 days from the verifiable transmittal of the bill. The "due date" must be printed on the bill. Should the utility instead choose to establish delinquency as failure to tender payment by the "due date," that "due date" must be at least 30 days from transmittal of the bill.

(D) Disconnection : The serving utility's intentional termination of a customer's utility service by any methods such as remotely via advanced metering infrastructure or physically on premises or at the pole. Disconnection includes interruption or limitation of service but does not include cessation of service made at the request of or with the permission of the customer or interruptions of service that are necessary for maintenance or repairs conducted by the utility.

(E) Notice : Written notice of disconnection that is delivered to the customer on a form approved by the Commission, except where otherwise provided, or by electronic notice, mailed or electronically transmitted within 40 days after delinquency but not more than 20 days, nor less than 14 days before the first date on which disconnection of service, whether remote or on premises, may occur. If payment has been made by a check or other instrument that is subsequently dishonored, then the number of days between delivery to the utility of the dishonored instrument and receipt by the utility of the notice of dishonor may be deducted from the minimum number of days before disconnection that notice must be sent, but in no event may that minimum number of days be less than four.

(F) Payment of a bill : Receipt at the company's business office or authorized payment agency of cash or of a check or other instrument that is subsequently honored.

(G) Physician's Certificate : A written statement by a duly licensed physician certifying that a customer or resident within the customer's household would suffer an immediate and serious health hazard due to the disconnection of utility service, or by failure to reconnect service, to that household. The certificate will be valid for 30 days, or the duration of the hazard, whichever is less, and may be renewed once. Use of a physician's certificate by a customer to prevent disconnection or to cause a reconnection is limited to two consecutive 30-day periods and must not exceed three 30-day periods in any calendar year, except upon written order of the Commission.

(H) Transmit : An act of the utility to convey any document, bill, or notice to a customer. Transmittal may be accomplished through verifiable means such as postal mail, in-person visits, or electronic transfer. Electronic transfer may include email, text message, app click-through, and other routine electronic message platforms.

3.302 General Rule. Except at the request of the ratepayer or upon order of the Commission, no utility shall disconnect residential service of gas, electric, or water unless payment of a valid bill or charge is delinquent and notice of disconnection has been furnished to the ratepayer, as provided in this rule.

(A) Disconnections for Health or Safety Reasons. This rule shall not apply to any disconnection or interruption of service made necessary for reasons of health or safety of the ratepayer or the general public.

(B) Exceptions. The following exceptions shall not apply to payment(s) of deposits, but shall apply to the general rule of this section. Disconnection shall not be permitted if:

(1) the company bills at least as frequently as once every two months, and the delinquent bill or charge, or aggregate delinquent bills and charges, do not exceed $ 50.00, provided that this exception may not be used for more than two billing cycles in one calendar year;

(2) the only charges or bills constituting the delinquency are more than two years old;

(3) the delinquency is due solely to a disputed portion of a charge that has been referred to the Commission by the customer or the company, and the Commission has advised the company not to disconnect service;

(4) the delinquency is due to a failure to pay a line extension, special construction charge, or other non-recurring charge except that this exception does not apply to reconnection charges, or charges for personal visits to collect delinquent accounts;

(5) the disconnection would represent an immediate and serious hazard to the health of the customer or a resident within the customer's household, as set forth in a physician's certificate furnished to the company. (Notice by telephone or otherwise that such certificate will be forthcoming will have the effect of receipt, provided that the certificate is in fact received within seven days.); or

(6) the customer has not been given an opportunity to enter into (a) a reasonable repayment plan or, having entered into such a plan, has substantially abided by its terms in accordance with Section 3.305 (A); and (b) in the case of gas and electric utilities, a monthly installment plan for the payment of future bills.

(C) Disconnection of Rental Units.

(1) If a customer requests that service be disconnected, the electric, gas, or water company must ask whether a tenant resides in the dwelling unit. An electric, water, or gas company may not disconnect a dwelling unit at the request of a lessor, owner, or agent ("landlord") or because the landlord (as a customer) has failed to pay an overdue amount, if it has reason to believe the dwelling is rented and unless the utility gives notice as described below.

A company must make every reasonable attempt with respect to each potentially affected dwelling unit to deliver a notice three days before the scheduled disconnection to at least one adult occupant of that dwelling unit or mail a notice to the tenant of that dwelling unit. In buildings where service to two or more units is to be disconnected because of a landlord's request or non-payment, the utility must also post the notice in a secure and obvious place in the affected building or buildings.

The notice must, in addition to the applicable disclosures of Section 3.303, inform the tenant how service can be continued. Notwithstanding the provisions of Section 3.301(C), a disconnection notice containing a newly established disconnection date must be provided to the tenant at least ten days before the newly established disconnection date. If the disconnection is due to the failure of the landlord to pay an overdue amount, the landlord must be responsible for usage during the additional ten-day notice period.

A utility must offer the tenant the opportunity either to obtain service in the tenant's name or to otherwise assume responsibility for further payment. If the building has a single master meter for the whole building, the utility must make arrangements where possible to provide individual meters to separate dwelling units.

Where the wiring and metering arrangements allow, the utility must provide service upon request of the tenant. The utility may not require the tenant to pay any of the bill owed to the utility by the landlord.

If the utility disconnects a household because it is not aware that the household is occupied by the tenant, and the landlord is responsible for payment of the utility bill, the utility must reinstate service upon notification from the tenant. Under such circumstances, the utility may not require advance payment of any deposit, and the customer must have the option of paying the deposit, if required, in three equal payments, with one-third due in 15 days, one-third due in 30 days, and one-third due in 60 days.

(2) A utility must provide notice to the property owner of residential rental property if utility service to the property has been disconnected, even if the tenant is the customer, for the purpose of promoting safety, the protection of property, and aid to tenants.

(a) Property owners must contact the utility to provide their contact information, and it is the property owner's responsibility to contact the utility to maintain up-to-date contact information. Utilities must retain contact information provided by property owners of residential rental locations.

(b) Property owners may authorize an appropriate third-party representative for notice and provide such contact information as the utility deems necessary. However, utilities may not impose any significant paperwork burden. A utility may reasonably request proof of ownership such as a copy of a deed or tax bill if the property owner is not otherwise known to the utility.

(3) A utility must provide notice to a property owner of any residential rental property once by phone, text, or email before 3:00 p.m. on the day of disconnection of gas, electric, or water service to any residential property for which the property owner has provided contact information for such purposes.

(a) The notice must not include any personally identifiable information about the tenant at the disconnected location, or the tenant's account if the tenant is the customer, except that the utility may disclose information necessary to enable the property owner or other applicable third party to reconnect utility service to the property.

(b) A utility may not disclose, sell, or transfer any personally identifying individual or aggregate data to a landlord or third-party property manager without the consent of the customer, unless otherwise provided for by law.

(c) Customer information that is specifically prohibited from disclosure includes customer names, telephone numbers, personally identifying electricity or gas account numbers, usage, and personally identifying payment history.

(4) A follow-up written notice of disconnection of service(s) must be mailed to the property owner of any residential rental property within two business days of disconnection of gas, electric, or water service if the property owner and/or property manager has provided contact information and has requested written notice. This notice requirement may be satisfied if the utility contacts the property owner by phone or electronically via email or SMS text message if the property owner consents to electronic delivery. The written notice must include:

(a) The title of a utility representative with whom the property owner may make an inquiry or complaint. The contact information and business hours of the company representative(s) must also be included.

(b) The address, telephone numbers (including the toll-free number), website, email address, and business hours for the Department of Public Service, Consumer Affairs and Public Information Division ("CAPI"). A statement must be included which explains that CAPI can help customers negotiate with utilities or assist with filing a dispute with the Public Utility Commission.

(c) The itemized fees that may be charged to the property owner for the restoration of service. If a deposit may be required for restoration of service, then the utility must provide an explanation of how the amount will be calculated.

(d) The notice provided pursuant to subparagraph (2) above must inform the property owner of the option to receive a follow-up written notice and that the additional notice may be subject to a reasonable fee.

(D) Budget Billing Plans. Each gas and electric utility shall offer budget payment plans to a customer at a primary residence, as defined in PUC Rule 3.201 in accordance with the following:

(1) The plan must be designed to reduce fluctuations in the customer's bills due to seasonal patterns of consumption and seasonal rates.

(2) A customer may elect to participate in the budget billing plan at any time of year. A budget payment plan must be based on the customer's recent 12-month consumption, adjusted for known changes, including anticipated length of occupancy. If 12 months of billing data are not available for the customer, then 12 months of billing data for the premises must be used. If 12 months of billing data are not available for the premises, then the utility must estimate the future consumption over the next 12-month period. Each plan must ensure that bills clearly identify consumption and state the amounts that would be due without budget billing.

(3) The monthly payment due must not exceed one-twelfth of the annual estimated bill, or the estimated average monthly amount for customers who expect to be in a dwelling for less than one year, as defined in subsection (D)(2) of this section. Between three and six months after the payment plan is initiated, the utility must compare the payment plan bill with projected energy consumption and must make adjustments necessary to minimize under or over-payment by the customer. Between six and nine months after the payment plan is initiated, the utility may compare the payment plan with the projected energy consumption and if the difference exceeds 10% of the estimated annual consumption, the utility may adjust the monthly payment amount. Additionally, the utility must reconcile a customer's budget payment plan 12 months after initiating the customer's plan and annually thereafter either on the anniversary of the initiation of the plan or at a set time of the year as filed in the utility's tariff. If the amount of the deficit exceeds $ 50.00, the customer must have the option of paying any budget plan deficit in 12 equal monthly installments during the ensuing 12 months.

(4) Any customer who applies for the plan and has a delinquent balance must have the right to pay the delinquency in an extended repayment plan concurrent with the budget plan.

(5) Any customer who applies for budget billing must be informed in writing that any disputed terms or conditions for such a billing plan may be referred to the Consumer Affairs Division of the Department of Public Service. Notice to the customer must include the division's address and toll-free number.

(E) Equal Treatment of Payments. A company shall treat all payments made by any person including the ratepayer in the same manner unless the utility receives instructions to the contrary. Payments shall be applied toward the delinquent portion of the account before being applied to the current bill unless written instructions from the customer, a disputed bill, or payment arrangements require otherwise.

(F) Household Rule. A company shall not disconnect or refuse service to a customer due to a delinquent bill owed by another person unless a person owing a delinquent bill, resulting from service to that household, resides in the same household.

(G) Establishment of a Reasonable Repayment Plan. When establishing a reasonable repayment plan, the company shall consider the income and income schedule of the customer, if offered by the customer, the customer's payment history, the size of the arrearage and current bill, the amount of time and reason for the outstanding bill and whether the delinquency was caused by unforseen circumstances.

3.303 Disconnection Notice Form. The notice form required under Section 3.302 and defined in Section 3.301 shall contain the following information:

(A) a statement that the ratepayer's account is delinquent, a statement of the amount of the delinquency, and a statement that service will be disconnected unless:

(1) the delinquency is paid in full by a certain date; or

(2) the ratepayer enters into a reasonable agreement with the utility to pay the delinquency by means of a repayment plan; or

(3) the ratepayer denies the existence of any delinquency in excess of $ 50.00, submits the dispute to the Commission, and the Commission advises the utility not to disconnect service; or

(4) the ratepayer presents to the utility (or gives actual notice that he or she will, within seven days, present to the utility) a statement from a duly licensed physician certifying that disconnection will result in an immediate and serious health hazard to the ratepayer or to a resident within the ratepayer's household, provided that use of physician's certificate to prevent disconnection or to cause a reconnection is limited to two consecutive 30-day periods and shall not exceed three 30-day periods in any calendar year, except upon written order of the Commission;

(B) the dates and times of day when the utility may disconnect service if the ratepayer does not take appropriate action as described above;

(C) a statement that the utility will negotiate a reasonable agreement for payment of the delinquency by means of a repayment plan and that if, after entering such negotiations, the ratepayer does not believe the utility's terms to be reasonable, the ratepayer may request the assistance of the Consumer Affairs Division of the Department of Public Service in conducting further negotiations;

(D) the name(s) or title(s), address(es), telephone number(s) and business hours of the company representatives with whom the ratepayer may make any inquiry or complaint, and a statement that telephone calls made from within Vermont for such purposes may be made collect or toll free;

(E) the address, telephone numbers, including the toll-free number, and business hours of the Consumer Affairs Division of the Department of Public Service, and a statement that, in addition to providing assistance or advice as to negotiations with utilities, the Division can provide information as to how to submit to the Commission a dispute over the existence of a delinquency;

(F) the itemized fees that may be charged to the customer for the disconnection process, including those for notice, disconnection, collection, and restoration of service. No fees may be charged for remote disconnections. Fees may be charged for notice of disconnection to landlords or appropriate third parties, such as property managers. If a deposit may be required for restoration of service, an explanation of how the amount will be calculated must also be provided;

(G) in the case of gas and electric utilities, if disconnection is to occur between November 1 and March 31 (inclusive), a list as annually compiled and distributed by the Department of Public Service of the names, addresses, and telephone numbers of governmental and private agencies that may provide assistance to customers in paying their utility bills;

(H) in the case of gas and electric utilities, an offer to arrange a monthly installment plan for the payment of future bills, provided that such offer need not be made if the account is for service at premises not used as a principal residence;

(I) in the case of gas and electric utilities, a statement that service to households with any member aged 62 or older must not be disconnected between November 1 and March 31 if outdoor temperatures are forecast to fall below 32 degrees Fahrenheit during a 48-hour period beginning at the anticipated time of disconnection, provided that the account holder furnishes advance written notice to the utility that the household qualifies under this paragraph and, if requested by the utility, furnishes reasonable proof of such qualification;

(J) A statement that utility services may be disconnected remotely, or at the pole or premises without a visit to the premises;

(K) A statement that the address, time, and date of disconnected utility services are reported to property owners, if the customer is not the property owner, when contact information for property owners is on file. Utilities must not use language in notices or messaging that could be construed as coercing payment by threatening to inform the landlord; and

(L) any other information not inconsistent with the above and which has received prior approval of the Commission.

3.304 Winter Disconnections. No gas or electric utility may disconnect service to any residential ratepayer between November 1 and March 31, inclusive, unless, in addition to complying with all other requirements of this rule, the utility has complied with the following:

(A) The utility must make a reasonable attempt to orally contact the customer within 96 hours in advance of any planned disconnection. The utility may use alternative forms of communication such as text or email to satisfy the notice requirement. An additional contact (phone call, email, or SMS text message) must be made within 24 hours of a pending remote disconnection. One of these contacts must be made outside of typical business hours--for example, after 5:00 p.m. or before 8:00 a.m.

(1) The unavailability of a customer's telephone number excuses compliance with the requirement to attempt notification by telephone.

(2) A telephone call to a telephone not removed from service that results in a busy signal or in any other condition preventing communication, or an unanswered call that has not been allowed to ring for at least 60 seconds, shall not count toward satisfaction of the requirement of this section.

(3) When oral notification is given in compliance with this paragraph, in addition to giving the information required by Section 3.303, the utility must advise the customer or other responsible adult that oral notification is not required to be given in connection with any subsequent disconnection that may occur during the same winter season, unless the utility's tariffs provide otherwise, except as required by remote disconnection. For any intended remote disconnection, even if previous oral notice has been given, the utility must make an additional contact (phone call, email, or SMS text) within 24 hours of a pending remote disconnection.

(B) If the utility is unable to reach the customer orally or does not receive confirmation of receipt of notice sent electronically via email or SMS text, the utility must make three additional attempts to contact the customer. These three attempts must be at least three hours apart, with one of these attempts made between the hours of 5:30 p.m. and 9:30 p.m. Unanswered calls must be allowed to ring for at least 60 seconds. Calls resulting in a busy signal do not count as one of the three required attempts. One of these three contacts (phone call, email, or text) must be made within 24 hours of a pending remote disconnection.

If, after complying with the requirements of subparagraph (A), actual oral notification has not been given, then, at least 48 hours before disconnection is to occur, the utility must report to the Department of Public Service, in writing or by telephone, the customer's name, address and, if available, telephone number.

(C) If the customer has been given actual oral notice during the current winter period with respect to a previous delinquency, compliance with subparagraphs (A) and (B) is not required, provided that the utility delivers or mails to the premises at which service is to be disconnected (with a copy mailed to the customer's billing address if different) a notice containing the information required by Section 3.303. Delivery is complete (1) if made by personal service, upon actual delivery to the customer at the customer's premises at least 48 hours before the disconnection, not counting Vermont holidays, and (2) in the case of notice by mail, by deposit of the notice at any United States post office, postage prepaid, at least four days before to disconnection, not counting days when the postal service does not make regular deliveries of mail. An additional contact (phone call, email, or text) must be made within 24 hours of a pending remote disconnection regardless of whether actual oral notice was given previously during the current winter period.

(D)

(1) Prior to disconnection during the winter period, the utility must confirm that outdoor temperatures, as predicted by a current National Weather Service (phone 802-862-2475 or on the internet at https://www.weather.gov/btv/) forecast for the Burlington, Vermont, area, or by another weather service approved by the Public Utility Commission,

(2) Utility service to households with any member aged 62 or older must not be disconnected during the winter period if outdoor temperatures are forecast to fall below 32 degrees Fahrenheit during a 48-hour period beginning between 7:00 a.m. and 10:00 a.m. on the anticipated date of disconnection, provided that the account holder furnishes advance written notice to the utility that the household qualifies under this paragraph. The utility may require reasonable proof of such qualification.

3.305 Notice under Repayment Plan.

(A) Notwithstanding the provisions of 3.301(C), when a utility proposes to disconnect service because of a customer's failure to abide by the terms of a repayment plan it must deliver or mail to the address at which service is to be disconnected (with a copy mailed to the customer's billing address if different) a notice containing the information required by Sections 3.303(A)(1) and 3.303(B). If made in person, delivery must be effected at least 72 hours before disconnection; if the notice is mailed, it must be deposited in a United States post office at least five days before disconnection. In lieu of giving written notice, the utility may give notice orally, in person or by telephone, text, or email at least 72 hours prior to disconnection. Substantial compliance with a repayment plan established under Section 3.307(B) or Section 3.302(B)(6) is demonstrated if the customer has paid at least 75% of each agreed-upon payment as due.

(B) The manner of notice provided for in subparagraph (A) will be sufficient, even in the case of disconnection by a gas or electric utility in the winter, provided that the utility has given oral notice of the information contained in Section 3.303 at the time the repayment plan was entered into and provided the terms of the repayment plan were reasonable. In addition to the requirements specified above, customers who are pending remote disconnection must be notified in writing via email or text within 48 hours of a pending remote disconnection. If a customer has not provided such contact information, a phone call must be made by utility staff within 48 hours of a pending remote disconnection. An additional contact (phone call, email, or text) must be made within 24 hours of a pending remote disconnection. One of these contacts must be made outside of typical business hours; for example, after 5:00 p.m. or before 8:00 a.m.

(C) Disconnection resulting from failure to meet the terms of a repayment plan must occur only after the utility has issued notice in accordance with Section 3.305(A).

3.306 Time and Notice of Disconnection. Disconnection of utility service must occur only between the hours of 8:00 a.m. and 2:00 p.m. of the business day when disconnected at a pole at or near the premises of the customer, specified on the notice of disconnection, or within four business days thereafter between April 1 and October 31 (inclusive), and within eight days thereafter between November 1 and March 31 (inclusive). However, if a company has available personnel authorized to reconnect service and enter into arrangements on behalf of the utility until 8:00 p.m. of a normal business day, the utility may disconnect service between the hours of 8:00 a.m. and 5:00 p.m. When service is disconnected remotely, it may only occur between the hours of 9:00 a.m. and 11:00 a.m. on a scheduled date of disconnection provided in the written notice as described previously.

When service is disconnected at the premises of the customer, which includes disconnection at a pole at or near the premises of the customer, the individual making the disconnection must immediately inform a responsible adult on the premises that service has been disconnected, or if no responsible adult is then present, such individual must leave on the premises in a conspicuous and secure place a notification advising that service has been disconnected and what the customer has to do to have service restored.

3.307 Restoration of Service.

(A) If service has been disconnected, the company must restore service within 24 hours upon the customer's request when the cause for disconnection of service has been removed, when an agreement has been reached between the customer and the company regarding the dispute that led to the disconnection, or when directed to do so by the Commission.

(B) The company must restore service if the disconnected customer pays one-half of the delinquent bill, or a lesser negotiated amount, before restoration and enters into a repayment plan to pay the balance over a minimum period of three months, except that the utility is not obligated to enter into more than two plans of this type with a particular customer within a calendar year.

(C) Restoration of service, to the extent feasible, must be done so as to avoid charging customers for overtime rates and other abnormal expenses.

(D) A company must not require prepayment of any non-recurring charges associated with disconnection and restoration of service as a condition of restoration of service. Such charges must be paid within 30 days unless part of a repayment agreement.

(E) Upon receipt of a physician's certificate, as defined in Section 3.301(D), the company must reconnect service as soon as possible, but in no event longer than 24 hours.

3.308 Filing Requirements.

(A) Within 60 days after the effective date of this rule, all companies subject to its provisions must submit to the Commission for its review a copy of the disconnection notice form described in Section 3.303.

(B) All gas, electric, and telephone utilities subject to this rule must file monthly with the Commission, on a form provided by the Commission, a statement reporting the following information regarding residential service for the previous month: the number of bills forwarded to customers, the number of disconnection notices sent, the number of actual disconnections, the number of reconnections made within 15 days of disconnection, the number of repayment plans entered into, the number of repayment plans that were broken, and the dollar amount of delinquencies for which disconnections were made.

(C) Companies that fail to file information required in Section 3.308(B) within six months of the month being reported are precluded from disconnecting any residential customers.

(D) Within 60 days of the effective date of revisions to this rule, each utility must file tariff amendments to ensure that they are consistent with the provisions of this rule.

(E) To prevent unnecessary hardship or delay, to prevent injustice, or for other good cause, companies may petition the Commission for an extension of the filing requirement deadlines included in paragraphs (A) and (D) of this section.

History

• EFFECTIVE DATE:
• November 14, 1983
• AMENDED:
• January 2, 1990; July 21, 2006; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 004]; 10/4/2024 Secretary of State Rule Log #24-036
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 3400 DISCONNECTION OF CABLE TELEVISION SERVICE AND NON-RESIDENTIAL ELECTRIC, GAS, AND WATER SERVICE

30-3400 Code Vt. R. 30-000-3400-X DISCONNECTION OF CABLE TELEVISION SERVICE AND NON-RESIDENTIAL ELECTRIC, GAS, AND WATER SERVICE

3.401 Definitions. The following definitions apply to Rule 3.400:

(A) Aggregate Data : Customer account information from which all identifying information has been removed such that the data or information cannot be associated with a given customer without extraordinary effort.

(B) Business Days : Monday through Thursday, excluding Vermont legal holidays and any other time, or the day before such time, when a company's business offices are not open to the public.

(C) Delinquency : Failure of the customer to tender payment for a valid bill within 30 days from the verifiable transmittal of the bill. The "due date" must be printed on the bill. Should the utility instead choose to establish delinquency as failure to tender payment by the "due date," that "due date" must be at least 30 days from transmittal of the bill.

(D) Disconnection : The serving utility's intentional termination of a customer's utility service by any methods such as remotely via advanced metering infrastructure or physically on premises or at the pole. Disconnection includes interruption or limitation of service but does not include cessation of service made at the request of or with the permission of the customer or interruptions of service that are necessary for maintenance or repairs conducted by the utility.

(E) Notice : Written notice of disconnection that is provided to the customer on a form approved by the Commission, except where otherwise provided, or by electronic notice, mailed or electronically transmitted within 40 days after delinquency but not more than 20 days, nor less than 14 days, prior to the first date on which disconnection of service, whether remote or on premises, may occur. If payment has been made by a check or other instrument that is subsequently dishonored, then the number of days between delivery to the utility of the dishonored instrument and receipt by the utility of the notice of dishonor may be deducted from the minimum number of days before the disconnection that notice must be sent, but in no event may that minimum number of days be less than four.

(F) Payment of Bill : Receipt at the company's business office or authorized payment agency of cash or of a check or other instrument that is subsequently honored.

(G) Transmit : An act of the utility to convey any document, bill, or notice to a customer. Transmittal may be accomplished through verifiable means such as postal mail, in-person visits, or electronic transfer. Electronic transfer may include email, text message, app click-through, and other routine electronic message platforms.

3.402 General Rule. Except at the request of the customer or upon order of the Commission, no utility may disconnect cable television service or non-residential gas, electric, or water service unless payment of a valid bill or charge is delinquent as defined herein and notice of disconnection has been provided previously to the customer.

(A) This rule does not apply to any disconnection or interruption of services made necessary for reasons of health or of safety of the customer or the general public.

(B) Disconnection is not permitted if the delinquency is due solely to a disputed portion of a charge that has been referred to the Commission by the customer or the utility, and the Commission has advised the utility not to disconnect service.

(C) Any utility may elect, at its option, to offer an extended repayment plan for delinquent bills and/or a budget plan for future bills to customers covered by this rule.

(D) A utility must provide notice to the property owner of a rental property if utility service to the property has been disconnected, even if the tenant is the customer, for the purpose of promoting safety, protection of property, and aid to tenants.

(1) Property owners must contact the utility to provide their contact information, and it is the property owner's responsibility to contact the utility to maintain up-to-date contact information. Utilities must retain contact information provided by property owners of rental locations.

(2) Property owners may authorize an appropriate third-party representative for notice and provide such contact information as the utility deems necessary. However, utilities may not impose any significant paperwork burden. A utility may reasonably request proof of ownership such as a copy of a deed or tax bill if the property owner is not otherwise known to the utility.

(3) A utility must provide notice to a property owner once by phone, text, or email before to 3:00 p.m. on the day of disconnection of gas, electric, or water utility service to any rental property for which the property owner has provided contact information for such purposes.

(a) The notice must not include any personally identifiable information about the tenant at the disconnected location, or the tenant's account if the tenant is the customer, except that the utility may disclose information necessary to enable the property owner or other applicable third party to reconnect utility service to the property.

(b) A utility may not disclose, sell, or transfer any personally identifying individual or aggregate data to a landlord or third-party property manager without the consent of the customer, unless otherwise provided by law.

(c) Customer information that is specifically prohibited from disclosure includes customer names, telephone numbers, personally identifying electricity or gas account numbers, usage, and personally identifying payment history.

(4) A follow-up written notice of disconnection of service(s) must be mailed to the property owner of any rental property within two business days of disconnection of gas, electric, or water service if the property owner and/or property manager has provided contact information and has requested written notice. This notice requirement may be satisfied if the utility contacts the property owner by phone or electronically via email or SMS text message if the property owner consents to electronic delivery. The written notice must include:

(a) The title of a utility representative with whom the property owner may make an inquiry or complaint. The contact information and business hours of the company representative(s) must also be included.

(b) The address, telephone numbers (including the toll-free number), website, email address, and business hours for the Department of Public Service, Consumer Affairs and Public Information Division ("CAPI"). A statement must be included which explains that CAPI can help customers negotiate with utilities or assist with filing a dispute with the Public Utility Commission.

(c) The itemized fees that may be charged to the property owner for the restoration of service. If a deposit may be required for restoration of service, then the utility must provide an explanation of how the amount will be calculated.

(d) The notice provided pursuant to subsection (3) above must inform the property owner of the option to receive a follow-up written notice.

3.403 Disconnection Notice Form. The notice form required under Section 3.402, and defined in Section 3.401, shall contain at least the following information:

(A) a statement that the customer's account is delinquent, a statement of the amount of the delinquency, and a statement that service will be disconnected unless:

(1) the delinquency is paid in full by a certain date;

(2) the customer submits any disputed portion of the charge to the Commission and the Commission orders the utility not to disconnect service; or

(3) if the utility offers an extended repayment plan for delinquent bills, the customer enters into such a plan;

(B) the dates and times of day when the utility may disconnect service if the customer does not take any of the actions as described in Section 3.403(A) above;

(C) the positions, addresses, telephone numbers, and business hours of company representatives with whom the customer may discuss the delinquency or to whom the customer may make an inquiry or complaint;

(D) the address, telephone numbers, including the toll-free number, and business hours of the Consumer Affairs Division of the Department of Public Service, and a statement that, in addition to providing assistance or advice, the Division can provide information as to how to submit to the Commission a dispute over the existence of a delinquency;

(E) The itemized fees that may be charged to the customer for the disconnection process, including those for notice, disconnection, collection, and restoration of service. No fees may be charged for remote disconnection of electric, natural gas, or water service. Fees may be charged for notice of disconnection to landlords or appropriate third parties, such as property managers. If a deposit may be required for restoration of service, an explanation of how the amount will be calculated must also be provided; and

(F) A statement that utility services may be disconnected remotely, or at the pole or premises without a visit to the premises;

(G) A statement that the address, time, and date of disconnected utility services are reported to property owners, if the customer is not the property owner, when contact information for property owners is on file. Utilities must not use language in notices or messaging that could be construed as coercing payment by threatening to inform the landlord; and

(H) any other information not inconsistent with the above and which has received prior approval of the Commission.

3.404 Time and Notice of Disconnection. Disconnection of utility service must occur only between the hours of 8:00 a.m. and 2:00 p.m. of the business day when disconnected at a pole at or near the premises of the customer, specified on the notice of disconnection, or within four business days thereafter. However, if a company has available personnel authorized to reconnect service and enter into arrangements on behalf of the utility until 8:00 p.m. of a normal business day, the utility may disconnect service between the hours of 8:00 a.m. and 5:00 p.m. When service is disconnected remotely, it may only occur between the hours of 9 a.m. and 11 a.m. on a scheduled date of disconnection provided in the written notice as described previously.

When service is disconnected or interrupted at the premises of the customer, which must include disconnection or interruption at a pole at or near the premises of the customer, the individual making the disconnection must immediately inform a responsible adult on the premises that service has been disconnected or interrupted, or if no responsible adult is then present, must leave on the premises in a conspicuous and secure place a notification advising that service has been disconnected or interrupted and what the customer has to do to have service restored.

3.405 Restoration of Service. If service has been disconnected or interrupted, the company must restore service within 24 hours upon the customer's request when the cause for disconnection of service has been removed, when an agreement has been reached between the customer and the company regarding the dispute that led to the disconnection, or when directed to do so by the Commission. Restoration of service, to the extent feasible, must be done so as to avoid charging customers for overtime wages and other unusual expenses.

3.406 Filing Requirements.

(A) Within 60 days after the effective date of this rule, all utilities subject to its provisions must submit to the Commission for its review a copy of its disconnection notice form.

(B) Within 60 days of the effective date of revisions to this rule, each utility must file tariff amendments to ensure that they are consistent with the provisions of this rule.

(C) To prevent unnecessary hardship or delay, to prevent injustice, or for other good cause, companies may petition the Commission for an extension of the filing requirement deadlines included in paragraphs (A) and (B) of this section.

3.407 Cable Television Service Exemptions. Utilities are not required to comply with requirements of Sections 3.402(D) and 3.403(G) of this rule for the disconnection of cable television services.

History

• EFFECTIVE DATE:
• October 19, 1983
• AMENDED:
• July 21, 2006; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 005]; 10/4/2024 Secretary of State Rule Log #24-037
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 3500 CONSTRUCTION AND MAINTENANCE OF ELECTRIC, TELEPHONE, TELEGRAPH, AND CABLE TELEVISION SYSTEMS

30-3500 Code Vt. R. 30-000-3500-X CONSTRUCTION AND MAINTENANCE OF ELECTRIC, TELEPHONE, TELEGRAPH, AND CABLE TELEVISION SYSTEMS

All construction and maintenance of electric, telephone, telegraph and cable television systems and facilities in all locations within Vermont shall conform to the standards contained in the 1981 edition of the National Electrical Safety Code or in any subsequent or revised edition thereof

History

• EFFECTIVE DATE: October 19, 1983
• AMENDED: Decmeber 2017 [agency name change from Public Service Board; rule renumbered from 30 000 002]
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 3600 MAINTENANCE OF ELECTRIC UTILITY RIGHTS OF WAY

30-3600 Code Vt. R. 30-000-3600-X MAINTENANCE OF ELECTRIC UTILITY RIGHTS OF WAY

Section 3.610 Accounting

Section 3.611 Separate Accounts

Each company shall keep a separate account of all expenses incurred in maintaining transmission or distribution rights of way. The accounts shall be kept in such a way that the following information can readily be extracted:

(A) Transmission maintenance costs can be segregated from distribution maintenance costs and expressed in dollars per brush-acre; transmission and distribution shall be defined for these rules the same as for FERC Form I reporting.

(B) Estimates of the average per acre costs for foliar stem treatment, and hand cutting, expressed in dollars per brush-acre.

This information shall be filed with the Commission and the Department of Public Service at the same time as the FERC Form 1 or the Department of Public Service annual report is filed.

Section 3.612 Consistency

This rule shall not be construed to require the use of accounts inconsistent with those mandated by any state or federal regulatory body.

Section 3.620 Notice

Section 3.621 Personal Notification

(A) Persons owning or occupying land lying within 1,000 feet of a utility right of way may request of the utility, in writing, that they be notified individually by mail during the year, but not less than 30 days before, any treatment of the line with herbicides.

(B) The landowner or resident is responsible for contacting the company, in writing before February 15, to request placement on the mailing list.

(C) The company may, as an alternative, place all residents of a town in which herbicides are to be used on its mailing list.

(D) The company may assure itself that a requesting party meets the qualifications of paragraph A, and may drop from its list a person determined not to meet those qualifications.

(E) The utility shall annually report to the Commission and the Department of Public Service the number of written inquiries received concerning notification and the number of notifications actually sent.

(F) After each maintenance cycle the utility may destroy its mailing list and begin anew; if it does so, it shall include as part of its notice provided in subsection (A) a coupon for the recipient to return for entry on the new list.

(G) Inadvertent failure to comply with this section shall not raise any presumption of negligence in any civil action.

Section 3.622 Information Sheet

(A) Each year the Vermont Electric Power Company, Inc., (VELCO) shall prepare an information sheet explaining, in neutral terms:

(1) Methods of herbicide application used in Vermont.

(2) Types of rights of way which are treated.

(3) A method to identify the owner of a utility line by examining the poles or other landmarks.

(4) How to contact distribution utilities for further information.

(5) How to determine whether a particular line is to be treated.

(6) The right to notice by mail as set forth in Section 3.621 hereof

(7) The right to alternative treatment methods as set forth in Section 3.640 hereof

(8) The address and telephone numbers, including any toll-free numbers, of the Consumer Affairs Division of the Department of Public Service and of the Plant Industry Section of the Department of Agriculture.

(9) The duty of each landowner or resident to make the utility aware of the location of a potentially affected water supply, and of any other environmentally sensitive area where herbicide application ought to be avoided.

(10) The fact that herbicide applications may start as early as April 1, so that requests to utilities for notice by mail must, unless waived by the utility, be made by February 15 in order to be placed on the mailing list.

(B) The information sheet shall be submitted to the Commission and the Department of Public Service for review by November 1.

(C) The information sheet shall be distributed in camera-ready form to the distribution utilities by December 1 of each year.

(D) The distribution utilities shall print and mail the information sheet to each of their customers, either separately or as a bill stuffer, before February 1 of each year. If editorial comments are added by the utility, they shall be separated from the information sheet content and identified as such.

(E) If by January 1 of any year a distribution utility files a certificate with the Commission and the Department of Public Service which states that no herbicides will be used in that year within that utility's service territory, either by that utility or by any other utility with rights of way within that service territory, the provision of subsection (D) above shall be waives for that year. The Commission may require the utility to substantiate its certification.

Section 3.623 Published Notification

(A) VELCO shall also prepare newspaper advertising containing the information required by Section 3.622 above.

(B) Once each week for four weeks in January, the advertising shall be-placed in those newspapers listed in Appendix B of the Department of Agriculture's Regulations for the Control of Pesticides, or any successor list which is used for similar purposes.

Section 3.624 Coupon; Costs

(A) The mailer required by Section 3.622 and the newspaper advertisements required by Section 3.623 shall each include a coupon for use by a person wishing to exercise the notice privilege created by Section 3.621.

(B) VELCO shall bear the costs of developing and distributing the information sheet to the distribution utilities as required by Section 3.622 and of creating and causing to be published the advertising required by Section 3.623; provided, however, that VELCO shall be compensated by any other transmission-only company doing business in Vermont, in the proportion that such company's line mileage bears to the total transmission line mileage in the State.

Section 3.630 Plans

Section 3.631 Plan Required

Each utility, including VELCO, shall submit to the Commission and the Department a long-term vegetation management plan which should include:

(A) A general statement of policy and goals;

(B) Identification of a biologically sound schedule to achieve long-term objectives, including a specified time interval between original control and subsequent scheduled control;

(C) Description and identification of the species to be eliminated or controlled, versus the species to be left, in various types of vegetative settings;

(D) List and description of techniques and conditions under which given mechanical, chemical, and other methods would normally be considered appropriate;

(E) Procedure for identifying, evaluating, reporting, and responding to right of way maintenance problems;

(F) Establishment of clearance standards sought, based on voltage of transmission line, and the part of the right of way to be controlled; i.e., central strip, side strip, high visibility, other;

(G) Establishment of standards and practices for:

(1) Wetlands;

(2) Wildlife;

(3) Erosion control;

(4) Aesthetic considerations;

(H) Establishment of right of way inspection and monitoring standards including frequency of inspection, manner of inspections, and criteria. Standards shall relate to at least the following matters: heights of road-crossing screens or ideal clearance levels, danger trees, evidence of tree-conductor contact, species identification, conditions of sensitive areas, notation of condition of specially or experimentally treated areas;

(I) Retention of records to coincide with maintenance cycle of the company including right of way inspection dates, maintenance schedules, and maintenance activities;

(J) Provisions for periodically reviewing, evaluating, and revising the long-range plan, and the time interval for such revisions;

(K) Provision to assure contractor accountability in implementing the plan.

Section 3.632 Exemption

If a utility believes that it should not be required to have such a plan in place, or that only a brief summary is required because its lines are located solely in urban or other clear areas, it may file instead a request for exemption with the Commission, with a copy to the Department of Public Service.

Section 3.633 Filing

Plans shall be filed with the Commission and the Department of Public Service.

Section 3.634 Consistency

It shall be no objection to a plan that it includes provisions to comply with the requirements of some other state or federal agency.

Section 3.640 Alternatives

Section 3.641 Alternatives Provided

(A)

(1) When a landowner whose property is traversed by a utility right of way, the maintenance of which is governed by these regulations, requests of a company in writing that it refrain, from using herbicides in clearing the right of way, the company shall initially offer to perform the work using stump treatment or stem injection only. if the landowner accepts this level of herbicide use, the company shall perform the maintenance work using stump treatment or stem injection methods, free of charge to the landowner. If the landowner refuses the use of any herbicide whatsoever, the company shall be paid the rate determined in subsection (B) below if the right of way is for transmission or subtransmission line; but no payment shall be required if the right of way is for distribution line.

(2) The landowner's written request must be delivered to the company not less than 14 days before any scheduled use of herbicides.

(3) The terms "stump treatment or stem injection methods" shall, respectively, have the meanings defined in the regulations of the Vermont Department of Agriculture, that is, the placement of herbicide on the cut surface of a stump or inside a wound made with a cutting tool.

(4) Payment required under this subsection shall be made to the company not less than 7 days before the scheduled use of herbicides.

(B) A landowner who elects not to permit any herbicides under subsection (A) above shall pay a charge of $ 30 toward the company's administrative costs. A separate charge shall apply for each non-contiguous property with respect to which the election is made; however, a farm or a non-corporate landowner which is not a governmental entity shall not be required to pay more then $ 120 to any one utility in any one year.

(C) The utility company shall perform maintenance in the manner required under (A) or (B) above, provided, however, that the company may require each landowner requesting an alternative method to indicate the location and boundaries of the portion of the right of way concerned. The company may require the landowner or the landowner's agent to mark the property in a distinctive fashion or to attend an on-site meeting with designated maintenance personnel.

(D) For purposes of this Section 3.641, "landowner" shall include the owner of land which abuts a distribution right of way located along a public highway.

(E) Each utility shall prepare and send to the Commission and the Department by June 15 of each year a statement showing the number of persons who have made an initial request under subsection (A) above, the number who have agreed to stump treatment or stem injection methods, and the number who have refused all use of herbicides. The listing need only cover those rights of way which are chemically treated during the year of submission.

History

• EFFECTIVE DATE: October 19, 1983
• AMENDED: May 12, 1986; November 7, 1988; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 013]
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 3700 POLE ATTACHMENTS

30-3700 Code Vt. R. 30-000-3700-X POLE ATTACHMENTS

Section 3.701 Applicability and General Provisions

(A) This Rule governs the attachment of lines, wires, cables, or other facilities by any Attaching Entity seeking to attach to a pole owned by a Pole-Owning Utility, at rates, terms, and conditions that are just and reasonable. This Rule applies to poles used in the distribution system used to serve customers, and not to poles used as part of a company's transmission system. In applying this Rule, the Commission shall consider the interests of entities seeking or having attachments, Pole-Owning Utilities, and the customers of each.

(B) Except as specifically provided herein, nothing in this Rule shall be construed to confer a right upon any Attaching Entity to alter, move, or otherwise perform work upon facilities owned by another Attaching Entity or by a Pole-Owning Utility.

(C) Except as specifically provided, nothing in this Rule shall be construed to supersede, overrule, or replace any applicable safety code (including the National Electrical Safety Code (NESC) or safety rules, VOSHA regulations, any other law or regulation, tariffs, and protocols approved by the Commission, nor the reasonable engineering standards and good-faith work practices of any Attaching Entity or Pole-Owning Utility.

Section 3.702 Definitions

(A) Access means physical access to poles and rights-of-way necessary and sufficient to allow connection of cables and other appurtenances by an Attaching Entity, and to inspect, maintain, and repair such cables and other appurtenances.

(B) Attaching Entity means an entity holding a certificate of public good from the Commission, or a Broadband Service Provider, that seeks to attach a facility (or has attached a facility) of any type to a pole or right-of-way for the purpose of providing service to one or more customers, including but not limited to telecommunications providers, cable television service providers, incumbent local exchange carriers, competitive local exchange carriers, electric utilities, and governmental entities.

(C) Broadband Service Provider means an entity authorized to do business in the state of Vermont that seeks to attach facilities that ultimately will be used to offer Internet access to the public. Wireless Broadband Service Providers must hold an FCC license or use equipment that complies with applicable FCC requirements [n [1 ]]. A Broadband Service Provider that does not hold a certificate of public good from the Commission must, before availing itself of the provisions of this Rule, file with the Commission and with any affected Pole-Owning Utility an affidavit that sets forth the Provider's name, form of legal entity, contact information, agent for service of process, proposed general area of service, proof of insurance, and a representation that the Provider will abide by the terms and conditions of this Rule and any applicable pole attachment tariffs, including any protocols filed pursuant to Section 3.708(P) of this Rule and Orders issued by the Commission.

(D) Communications Space means the lower usable space on a utility pole, which typically is reserved for low-voltage communications equipment.

(F) Core Services means the original regulated business of a utility company. For example, the Core Service of an electric utility is the provision of electric service, but not the provision of telephone or cable television service.

(G) Dual Utility Pole means the existence of at least two (2) utility poles in a single right-of-way where a new utility pole has been installed to replace an existing utility pole and the transfer of all cables and equipment to the new utility pole has been completed but the existing pole has not been removed.

(H) Jointly Owned Utility Pole means a utility pole that is controlled or owned by two entities.

(I) Make-Ready means work necessary to make a pole available for attachment of additional facilities, including but not limited to rearrangement or transfer of existing facilities, replacement of a pole, complete removal of any pole replaced, or any other changes required to accommodate the attachment of the facilities of the party requesting attachment to the pole.

(1) Simple Make-Ready means Make-Ready where existing attachments in the Communications Space of a pole could be transferred without any reasonable expectation of a service outage or facility damage and does not require splicing of any existing communication attachment or relocation of an existing wireless attachment.

(2) Complex Make-Ready means any work in the electrical space, as well as transfers and work within the Communications Space, that would be reasonably likely to cause a service outage(s) or facility damage, including work such as splicing of any communication attachment or relocation of existing wireless attachments. Any and all wireless activities, including those involving mobile, fixed, and point-to-point wireless communications and wireless internet service providers, are to be considered complex. Utility pole replacements are also considered to be complex.

(J) Pole Attachment or Attachment means an attachment or addition by an Attaching Entity to a pole or right-of-way.

(K) Pole-Owning Utility means a company, as defined in 30 V.S.A. § 201, that is subject to regulation by the Commission, and that has an ownership interest in utility poles or rights-of-way.

Section 3.703 Tariff Required

(A) Each Pole-Owning Utility shall file a pole-attachment tariff with the Commission. The tariff shall include rates, terms, and conditions governing attachment to poles and rights-of-way in which the Pole-Owning Utility has an ownership interest.

(B) The tariff may incorporate a standard contract or license for attachments, so long as it is available to any Attaching Entity within the scope of this Rule and its provisions are not contrary to the provisions of this Rule.

(C) The tariff may include terms that are just and reasonable subject to approval by the Commission, and it may include limitations on liability, indemnification, insurance requirements, and restrictions on access to Pole-Owning Utility facilities.

(D) Tariff provisions filed under this section shall not supersede the terms of any applicable contract.

Section 3.704 Contracts for Cost, Maintenance, and Use of Poles

(A) Contracts Authorized. Pole-Owning Utilities and Attaching Entities may enter contracts concerning the cost, maintenance, and use of poles.

(1) Any contract purporting to take effect after the effective date of this Rule shall be submitted to the Commission for review pursuant to 30 V.S.A. § 229.

(2) Unexpired contracts on the effective date of this Rule between Attaching Entities and Pole-Owning Utilities shall remain in effect until they expire according to their terms.

(B) Investigations. The Commission may investigate the terms and rental rate of any proposed or existing contract between Attaching Entities and Pole-Owning Utilities. Where the public interest so requires, the Commission may order that terms or rates be modified.

(C) Expiring Contracts. When a pole-attachment contract has expired or is about to expire, and an Attaching Entity cannot reach agreement on a rental rate with the Pole-Owning Utility, any party may petition the Commission to set an attachment rate. In reaching a decision the Commission may consider the terms and conditions of previous contracts between the parties and the rental calculation in section 3.706.

(D) Public Records. A pole-attachment contract in the possession of the Commission is a public record unless the Commission orders otherwise, for good cause shown.

Section 3.705 Joint Ownership of Poles

(A) Joint Ownership. Two or more utilities may own poles jointly. The cost, maintenance, and use of such poles may be controlled by a contract under Section 3.704 and shall be reviewed as required under that section.

(B) Shared Revenue. Unless otherwise provided by contract, each owner of a jointly-owned pole shall receive rental payment from each Attaching Entity in accordance with its ownership interest.

Section 3.706 Rental Calculation

(A) Scope. This section establishes pole-attachment rates for inclusion in the tariffs of Pole-Owning Utilities.

(1) Unless the Commission rules to the contrary in a particular case, rates under this section do not apply where the rights of the Attaching Entity and the Pole-Owning Utility are defined by a contract (including a Joint Ownership Agreement or Joint Use Agreement).

(2) Where an electric utility or an incumbent local exchange carrier cannot reach agreement on a rental rate with the Pole Owner, either party may petition the Commission to set a rate. The Commission may consider the terms and conditions of any previous attachment or joint-use contracts between the parties in setting a rate not inconsistent with the principles of this Rule.

(B) Single Rate. Each Pole-Owning Utility shall calculate a single pole rental rate and shall include that rate in its pole-attachment tariff

(C) Rental Charge Formula. The annual rental rate per pole shall be calculated using the following formula:

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(D) Definitions.

(1) Except where otherwise controlled by contract, " Space Occupied by Attachment" is defined as follows:

(a) If the Pole-Owning Utility has conducted a study of the space actually occupied by a particular type of attachment (including safety space) on the Pole-Owning Utility's poles, then an amount defined in a tariff, but in no event less than the amounts specified in paragraph (b) below.

(b) Otherwise, "Space Occupied by Attachment" equals 1.25 feet.

(2) "Total Usable Space" is defined as follows:

(a) If the Pole-Owning Utility has conducted a study of its average pole height, total usable space means the Pole-Owning Utility's average pole height less the unusable space on the pole. Any study may be based upon plant records or field inspections. Poles not suitable for bearing an Attaching Entity's attachments shall be excluded. The 40-inch safe space below the electric attachments, as required by the National Electrical Safety Code, shall be counted as usable space.

(b) "Unusable space" shall mean the 6 feet buried in the ground plus the first 18 feet above ground and below the first attachment, unless the Pole-Owning Utility has conducted a study of the actual average amount buried or the clearance above ground below the first attachment.

(c) Otherwise, total usable space shall be 16 feet, which is based upon a presumed pole height of 40 feet, less 24 feet presumed unusable space.

(3) "Net Investment per Pole" is that part of the pole account attributable to poles physically located in Vermont, and adjusted for depreciation and deferred taxes. This net amount is then divided by the number of poles owned by the Pole-Owning Utility in Vermont.

(4) "Carrying Cost Ratio" is the allowable revenue for each dollar of net pole investment, taking into account annual maintenance expense, depreciation, administrative expense, taxes, and return on net investment.

(E) Associated Companies. A Pole-Owning Utility that also engages in the provision of another utility service or cable service shall impute to its costs of providing such other services (and charge any affiliate, subsidiary, or associated company engaged in the provision of such other services) an amount equal to the pole-attachment rate for which a company providing such other service would be liable under this section if it were not the pole owner.

Section 3.707 Non-Exclusive Right of Access

(A) Right of Access. A Pole-Owning Utility shall provide all Attaching Entities nondiscriminatory access to any pole, support structure, or right-of-way in which it has an ownership interest.

(1) A Pole-Owning Utility may deny access for reasons of safety, reliability, or generally applicable and accepted engineering standards.

(2) A Pole-Owning Utility may deny access on a non-discriminatory basis where there is insufficient capacity. Insufficient capacity shall not be legitimate grounds for denial of access where Make-Ready work can be used to increase or create capacity.

(3) A Pole-Owning Utility may not favor itself over any Attaching Entity, nor deny access based on a reservation of space for its own use. However, a Pole-Owning Utility may favor itself when it has a need for space on a pole or poles in order to provide its core service and when it also has a bona fide development plan that shows a need for additional attachments to the poles in question within three years of the date of adoption of the plan, provided that the Pole-Owning Utility may not so favor itself for more than three years in any ten-year period.

(4) Broadband Service Providers and wireless telephone providers shall be authorized to have antennas installed within or above the electric supply space. All such installations of Broadband Service Provider and wireless telephone provider facilities on utility poles must conform to the most recent edition of the NESC as well as the other rules and practices in 3.701(C). Installation and maintenance work in this area shall be done only by the electric utility or Outside Contractors as provided in 3.708(L).

(5) Termination demarcation. An Attaching Entity may designate one or more utility poles as its customer interface location for purposes of utility service delivery to the Attaching Entity.

(B) Exclusive Access Prohibited. No utility, cable television system, or telecommunications carrier subject to the Commission's jurisdiction may enter into a contract with a property owner that provides exclusive access to poles or rights-of-way inside or upon commercial or residential buildings.

(C) Burden. In any proceeding before the Commission or a court concerning a denial of access to a pole or right-of-way, the party contending that access is not available shall have the burden of making a prima facie case.

Section 3.708 Applications for Attachment and Make-Ready Work

(A) Application. Applications for attachment by an Attaching Entity to a Pole-Owning Utility shall be submitted in writing and must provide the Pole-Owning Utility with the information necessary under the Pole-Owning Utility's procedures, as specified in requirements that are made available in writing by the Pole-Owning Utility, to begin to survey the facility to which attachment is sought.

(1) A Pole-Owning Utility shall determine within 10 business days after receipt of an application whether the application is complete and notify the new Attaching Entity of that decision. If the Pole-Owning Utility does not respond within 10 business days after receipt of the application, or if the Pole-Owning Utility rejects the application as incomplete but fails to specify any reasons in its response, then the application is deemed complete. If the Pole-Owning Utility timely notifies the new Attaching Entity that its attachment application is not complete, then it must specify all reasons for finding it incomplete.

(2) Any resubmitted application need only address the Pole-Owning Utility's reasons for finding the application incomplete and shall be deemed complete within five business days after its resubmission, unless the Pole-Owning Utility specifies to the new Attaching Entity which reasons were not addressed and how the resubmitted application did not sufficiently address the reasons.

(B) Initial Action and Survey.

(1) A Pole-Owning Utility shall complete a Make-Ready survey within 45 days (or within 60 days in the case of larger orders as described in paragraph (E) of this section) from the date the completed application is received, unless otherwise agreed to by the parties. If a Pole-Owning Utility intends to deny access to poles under 3.707(A)(1), (2), or (3), it shall state with specificity the grounds for the denial.

(2) Where the new Attaching Entity has conducted a survey subject to paragraph (M)(2) of this section, a Pole-Owning Utility can elect to satisfy its survey obligations in this paragraph (B) and retain control over the Make-Ready process by notifying existing Attaching Entities of its intent to use the survey conducted by the new Attaching Entity and by providing a copy of the survey to the existing Attaching Entities within the time period set in paragraph (B)(1) of this section.

A Pole-Owning Utility relying only on a survey conducted by the new Attaching Entity to satisfy all its obligations under this paragraph (B), and is not performing any additional survey work of its own, shall have 15 days to make such a notification to existing Attaching Entities rather than a 45-day survey period.

(3) The Pole-Owning Utility's tariff may require prepayment, or other reasonable assurance of credit worthiness, before performing a Make-Ready survey.

(C) Estimate, New Attaching Entity's Authorization and Payment.

(1) A Pole-Owning Utility shall present to a new Attaching Entity a detailed estimate of charges to perform all necessary Make-Ready work within 60 days (or within 75 days in the case of larger orders as described in paragraph (E) of this section) of the date the completed application is received, unless otherwise agreed to by the parties. In the case where a new Attaching Entity has performed a survey, the Pole-Owning Entity shall present the estimate within 21 days of receipt unless otherwise agreed to by the parties. Upon request from the new Attaching Entity, the estimate shall itemize the work on a pole-by-pole basis and identify the necessary Make-Ready work as Simple or Complex. The estimate should also identify any permits that are required in connection with the Make-Ready work.

(a) A Pole-Owning Utility may withdraw an outstanding estimate of charges to perform Make-Ready work beginning 14 days after the estimate is presented unless otherwise agreed by the parties.

(b) A new Attaching Entity shall accept a valid estimate and make payment any time after receipt of an estimate but before the estimate is withdrawn.

(2) The costs of a Make-Ready survey shall be payable even if the entity decides not to go forward with construction of its attachments.

(D) Make-Ready. Upon receipt of payment specified in paragraph (C)(1)(b) of this section, a Pole-Owning Utility shall notify within 5 business days and in writing all known Attaching Entities that may be affected by the Make-Ready.

(1) The notice shall:

(a) Specify where and what Make-Ready work will be performed.

(b) Set a date for completion of Make-Ready work that is no later than 60 days after notification is sent (or up to 105 days in the case of larger orders as described in paragraph (E) of this section).

(c) State that any Attaching Entity with an existing attachment may modify the attachment consistent with the specified Make-Ready work before the date set for completion.

(d) State that if Make-Ready work is not completed by the completion date set by the Pole-Owning Utility in paragraph (D)(1)(b) in this section, the new Attaching Entity may complete the Make-Ready work specified pursuant to paragraph (L)(2)(b) of this section.

(e) State the name, telephone number, and email address of a person to contact for more information about the Make-Ready procedure.

(2) Once a Pole-Owning Utility provides the notices described in this section, it then must provide the new Attaching Entity with a copy of the notices and the existing Attaching Entities' contact information and address(es) where the Pole-Owning Utility sent the notices. The Pole-Owning Utility shall also notify the new Attaching Entity when applications for any required permits have been submitted and when those permits are received. The new Attaching Entity shall be responsible for coordinating with existing Attaching Entities to encourage their completion of Make-Ready work by the dates set forth by the Pole-Owning Utility in paragraph (D)(1)(b) of this section.

(3) A Pole-Owning Utility shall complete its Make-Ready work by the same dates set for existing Attaching Entities in paragraph (D)(1)(b) of this section.

(E) Time to Complete Make-Ready. For purposes of compliance with the time periods in this section:

(1) A Pole-Owning Utility shall apply the time periods described in paragraphs (B) through (D) of this section to surveys and Make-Ready work on the lesser of 300 poles or 0.5 percent of the Pole-Owning Utility's poles in Vermont.

(2) A Pole-Owning Utility may add 15 days to the survey period described in paragraph (B) of this section to larger orders up to the lesser of 3,000 poles or 5 percent of the Pole-Owning Utility's poles in Vermont.

(3) A Pole-Owning Utility may add 45 days to the Make-Ready periods described in paragraph (D) of this section if Make-Ready work is needed on the lesser of 3,000 poles or 5 percent of the Pole-Owning Utility's poles in Vermont.

(4) A Pole-Owning Utility shall in good faith negotiate the Make-Ready period if the number of poles requiring Make-Ready work exceeds the lesser of 3,000 poles or 5 percent of the Pole-Owning Utility's poles in Vermont.

(5) A Pole-Owning Utility may treat multiple requests from a single new Attaching Entity as one request when the requests are filed within 30 days of one another.

(6) All time periods stated above may be modified by agreement between the Pole-Owning Utility and the new Attaching Entity.

(7) The applicable time periods shall not be extended solely because a pole is jointly owned.

(F) Dual Utility Poles.

(1) In the event Make-Ready work requires a replacement utility pole to be installed, the Pole-Owning Utility shall have 90 days from the date of installation of the new utility pole to remove the obsolete pole.

(2) If an existing Attaching Entity does not complete Make-Ready work in the time specified in paragraphs (D) or (E) of this section, the Pole-Owning Utility or the new Attaching Entity may utilize the Self-Help Remedy specified in paragraph (L) of this section to move the existing attachment from the existing pole to the new pole. Costs associated with moving the existing attachment under these circumstances shall be paid by the existing Attaching Entity.

(3) Except as provided in paragraph (I)(1), if the Make-Ready work for a new Attaching Entity requires replacing poles, all costs associated with the removal of the existing utility pole shall be paid by the new Attaching Entity.

(4) If removal of the existing utility pole is shown to be infeasible for good and sufficient cause, a Pole-Owning Utility shall have six months from the date of installation of the new utility pole and the transfer of all cables and equipment to the new utility pole to remove the existing utility pole.

(G) Deviation from Time to Complete Make-Ready.

(1) A Pole-Owning Utility may deviate from the time limits specified in this section during performance of Make-Ready for good and sufficient cause that renders it infeasible for the utility to complete Make-Ready within the time limits specified in this section. A Pole-Owning Utility that so deviates shall immediately notify, in writing, the new Attaching Entity and affected existing Attaching Entity and shall identify the affected poles and include a detailed explanation of the reason for the deviation and a new completion date. The Pole-Owning Utility shall deviate from the time limits specified in this section for a period no longer than necessary to complete Make-Ready on the affected poles and shall resume Make-Ready without discrimination when it returns to routine operations. A Pole-Owning Utility cannot delay completion of Make-Ready because of a preexisting violation on an affected pole not caused by the new Attaching Entity.

(2) An existing Attaching Entity may deviate from the time limits specified in this section during performance of complex Make-Ready for reasons of safety or service interruption that renders it infeasible for the existing Attaching Entity to complete Complex Make-Ready within the time limits specified in this section. An existing Attaching Entity that so deviates shall immediately notify, in writing, the new Attaching Entity and other affected existing Attaching Entities and shall identify the affected poles and include a detailed explanation of the basis for the deviation and a new completion date, which in no event shall extend beyond 90 days from the date the notices described in paragraph (D) of this section are sent by the utility (or up to 120 days in the case of larger orders described in paragraph (E) of this section). The existing Attaching Entity shall not deviate from the time limits specified in this section for a period longer than necessary to complete Make-Ready on the affected poles.

(H) Least Cost Methods. In completing Make-Ready work, a Pole-Owning Utility shall pursue reasonable least-cost alternatives, including space-saving techniques currently relied upon by that utility; however, it shall at all times maintain compliance with the National Electrical Safety Code, state and local laws and regulations, and Pole-Owning Utility construction standards.

(I) Payments. After completion of Make-Ready work, the new Attaching Entity shall pay the cost of all Make-Ready work actually required for the attachment that has not been pre-paid, or shall be refunded any excess of the pre-payment not actually required.

(1) The new Attaching Entity shall not be responsible for any portion of the Make-Ready expense that is attributable to the correction of pre-existing violations, unless the new Attaching Entity has caused a portion of the violation.

(2) The costs of any modification that is also specifically used by other existing Attaching Entities shall be apportioned accordingly.

(3) Where a Pole-Owning Utility currently relies upon one or more techniques referenced in this paragraph (I) as part of its normal operating procedures but refuses to utilize such techniques for the benefit of the new Attaching Entity, that entity shall only be responsible for the cost that would have been incurred had such techniques been utilized (provided such use would have been in accordance with generally accepted engineering practices).

(4) Where Make-Ready work has not been completed consistent with paragraphs (B) through (E) of this section, within 30 days of the expiration of the applicable timeline, the Pole-Owning Utility and any existing Attaching Entities shall refund to the new Attaching Entity any portion of payment received for the applicable Make-Ready work to the new Attaching Entity for any work not yet completed.

(J) Lowest Attachment Point. No Attaching Entity shall be denied attachment solely because the only space available for attachment on a pole is below the lowest attached facility. If the owner of the lowest facility wishes to relocate its existing facilities to a lower allowable point of attachment so that the new Attaching Entity will be above all existing facilities, the owner of such existing facilities shall pay one-half of the cost of moving its facilities.

(K) Outside Contractors.

(1) All Pole-Owning Utilities and Attaching Entities shall maintain and keep up-to-date a reasonably sufficient list of contractors they authorize to perform Make-Ready surveys and work, or other specified tasks upon their equipment ("Outside Contractor List"). The list shall identify the contractors that are authorized to perform complex Make-Ready work.

(2) Within one month of adoption of this Rule for entities already holding a Certificate of Public Good or within one month of receiving a Certificate of Public Good to operate in the state, a Pole-Owning Utility or Attaching Entity shall submit its Outside Contractor List to the Commission and the Department, preferably in ePUC, as directed by the Commission. This list shall be updated as needed to maintain current contractor information. Upon request, the Commission or Department will provide the applicable Outside Contractor List to an Attaching Entity.

(3) If an entity requesting attachment hires a contractor for purposes specified in this paragraph (K), the requesting entity shall choose from the authorized contractors on the Outside Contractor List.

(a) If a Pole-Owning Utility does not provide a list of authorized contractors or no contractor on the Outside Contractor List is available within a reasonable time period, the new Attaching Entity may choose its own qualified contractor that meets the requirements in paragraph (K)(5) of this section. When choosing a contractor that is not on the Outside Contractor List, the new Attaching Entity must certify to the Pole-Owning Utility that its contractor meets the minimum qualifications described in paragraph (K)(5) of this section when providing notices required by paragraph (L) and (M) of this section.

(b) The Pole-Owning Utility may disqualify any contractor chosen by the new Attaching Entity that is not on the applicable Outside Contractor List, but such disqualification must be based on reasonable safety or reliability concerns related to the contractor's failure to meet any of the minimum qualifications described in paragraph (K)(5) of this section or to meet the Pole-Owning Utility's publicly available and commercially reasonable safety or reliability standards. The Pole-Owning Utility must provide notice of its objection in compliance with the notice requirements of paragraph (L) and (M) of this section.

(4) If the Pole-Owning Utility is not an electric utility and there are electric lines on the pole, the Pole-Owning Utility shall provide the operator of the electric lines with advance notice of the work to be done and shall allow the electric utility to join or take over the supervision and control of the work of the outside contractor in the electrical space. Pole-Owning Utilities and existing Attaching Entities shall refund amounts collected from Attaching Entities for work subsequently completed by outside contractors.

(5) Pole-Owning Utilities and Attaching Entities must ensure that the Outside Contractor List meets the following minimum requirements:

(a) The contractor must follow National Electrical Safety Code (NESC) guidelines;

(b) The contractor acknowledges that it knows how to read and follow licensed-engineered pole designs for Make-Ready, as required;

(c) The contractor must follow all local, state, and federal laws and regulations including the rules regarding Qualified and Competent Persons under the Requirements of the Occupational and Safety Health Administration (OSHA) rules;

(d) The contractor must follow any procedures, standards, codes, and regulations that the Pole-Owning Utility requires of its own contractors;

(e) The contractor must meet or exceed any uniformly applied and reasonable safety and reliability thresholds set by the Pole-Owning Utility; and

(f) The contractor is adequately insured or will establish an adequate performance bond for the Make-Ready it will perform, including work it will perform on facilities owned by existing Attaching Entities.

(L) Self-Help Remedy.

(1) If a Pole-Owning Utility does not complete survey work in the time specified in paragraph (B) of this section, the new Attaching Entity may hire a contractor from the Outside Contractor List.

(a) A new Attaching Entity shall permit the affected Pole-Owning Utility and existing Attaching Entities to be present for any field inspection conducted as part of the new Attaching Entity's survey.

(b) A new Attaching Entity shall use commercially reasonable efforts to provide the affected Pole-Owning Utility and existing Attaching Entities with advance notice of not less than 3 business days of a field inspection as part of any survey it conducts. The notice shall include the date and time of the survey, a description of the work involved, and the name of the contractor being used by the new Attaching Entity.

(2) If a Pole-Owning Utility does not complete Make-Ready work in the time specified in paragraph (D) of this section, the new Attaching Entity may hire a contractor from the Outside Contractor List to complete the Make-Ready.

(a) A new Attaching Entity shall permit the Pole-Owning Utility and existing Attaching Entities to be present for any Make-Ready work. A new Attaching Entity shall use commercially reasonable efforts to provide the affected utility and existing Attaching Entities with advance notice of not less than 5 days of the impending Make-Ready. The notice shall include the date and time of the Make-Ready, a description of the work involved, and the name of the contractor being used by the new Attaching Entity.

(b) Self-Help Post Make-Ready Timeline. A new Attaching Entity shall notify the affected Pole-Owning Utility and existing Attaching Entities within 15 days after completion of self-help Make-Ready work for a particular application. The notice shall provide the affected Pole-Owning Utility and existing Attaching Entities at least 90 days from receipt in which to inspect the Make-Ready. The affected Pole-Owning Utility and existing Attaching Entities have 14 days after completion of their inspection to notify the Attaching Entity of any damage or code violation caused by Make-Ready conducted by the Attaching Entity on their equipment. If the Pole-Owning Utility or existing Attaching Entity notifies the Attaching Entity of such damage or code violations, then the Pole-Owning Utility or existing Attaching Entity shall provide adequate documentation of the damage or the code violations. The Pole-Owning Utility or existing Attaching Entity may either complete any necessary remedial work and bill the new Attaching Entity for the reasonable costs related to fixing the damage or code violations or require the new Attaching Entity to fix the damage or code violations at its expense within 14 days following notice from the Pole-Owning Utility or existing Attaching Entity.

(M) One-Touch Make-Ready Option . For attachments involving Simple Make-Ready, new Attaching Entities may elect to proceed with the process described in this paragraph instead of the attachment process described in paragraphs (B) through (E) of this section. It is the responsibility of the new Attaching Entity to ensure that its contractor determines whether the Make-Ready requested in an attachment application is Simple Make-Ready.

(1) Attachment Application.

(a) An application for attachment shall be submitted in writing and must provide the Pole-Owning Utility with the information necessary under its procedures to grant or deny the application.

(b) A new Attaching Entity electing the one-touch Make-Ready process must indicate that it intends to perform one-touch Make-Ready in its attachment application and must identify the Simple Make-Ready it will perform.

(c) A Pole-Owning Utility shall complete review of an attachment application and grant or deny a new Attaching Entity's application within 15 days of receipt of the application (or within 30 days, in the case of larger orders as described in paragraph (E) of this section). Within its review and response period, the Pole-Owning Utility may object to the designation by the new Attaching Entity that the attachment only requires Simple Make-Ready work. The Pole-Owning Utility's objection must be specific, in writing, and include all relevant information and evidence supporting its good-faith conclusion.

(2) Surveys. The new Attaching Entity is responsible for all surveys required as part of the one-touch Make-Ready process and shall use a contractor as specified in paragraph (K) of this section.

(a) A new Attaching Entity may need to perform a survey to determine whether Make-Ready work is simple or complex before filing an application for one-touch Make-Ready.

(b) The new Attaching Entity shall permit the Pole-Owning Utility and any existing Attaching Entities on the affected poles to be present for any field inspection conducted as part of the new Attaching Entity's surveys. The new Attaching Entity shall use commercially reasonable efforts to provide the Pole-Owning Utility and affected existing Attaching Entities with advance notice of not less than 3 business days of a field inspection as part of any survey and shall provide the date, time, and location of the surveys, and the name of the contractor performing the surveys.

(3) Make-Ready. If the new Attaching Entity's attachment application is approved and if it has provided 15 days' prior written notice of the Make-Ready to the affected Pole-Owning Utility and existing Attaching Entities, the new Attaching Entity may proceed with Make-Ready using a contractor in the manner specified in paragraph (K) of this section.

(a) Prior written notice shall include the date and time of the Make-Ready, a description of the work involved, and the name of the contractor being used by the new Attaching Entity, and shall provide the affected Pole-Owning Utility and existing Attaching Entities a reasonable opportunity to be present for any Make-Ready.

(b) The new Attaching Entity shall immediately notify an affected Pole-Owning Utility or existing Attaching Entity if Make-Ready damages the equipment of a Pole-Owning Utility or an existing Attaching Entity or causes an outage that is reasonably likely to interrupt the service of a Pole-Owning Utility or existing Attaching Entity. Upon receiving notice from the new Attaching Entity, the Pole-Owning Utility or existing Attaching Entity may either:

(i) Complete any necessary remedial work and bill the new Attaching Entity for the reasonable costs related to fixing the damage; or

(ii) Require the new Attaching Entity to fix the damage at its expense immediately following notice from the Pole-Owning Utility or existing Attaching Entity.

(c) In performing Make-Ready, if the Attaching Entity or Pole-Owning Utility determines that Make-Ready classified as Simple Make-Ready is actually Complex Make-Ready, then that specific Make-Ready must be halted and the determining party must provide immediate notice to the other parties of its determination and the affected poles. The affected Make-Ready shall then be governed by paragraphs (B) through (E) of this section, and the Pole-Owning Utility shall provide notice required by paragraph (D) of this section as soon as reasonably practicable.

(4) Post-Make-Ready Timeline. A new Attaching Entity shall notify the affected Pole-Owning Utility and existing Attaching Entities within 15 days after completion of Make-Ready work for a particular application. The notice shall provide the affected Pole-Owning Utility and existing Attaching Entities at least 90 days from receipt in which to inspect the Make-Ready. The affected Pole-Owning Utility and existing Attaching Entities have 14 days after completion of their inspection to notify the new Attaching Entity of any damage or code violation caused by Make-Ready conducted by the new Attaching Entity on their equipment. If the Pole-Owning Utility or existing Attaching Entity notifies the new Attaching Entity of such damage or code violations, then the Pole-Owning Utility or existing Attaching Entity shall provide adequate documentation of the damage or the code violations. The Pole-Owning Utility or existing Attaching Entity may either complete any necessary remedial work and bill the new Attaching Entity for the reasonable costs related to fixing the damage or code violations or require the new Attaching Entity to fix the damage or code violations at its expense within 14 days following notice from the Pole-Owning Utility or existing Attaching Entity.

(N) Jointly Owned Utility Poles. Pole-Owning Utilities that jointly own utility poles shall coordinate and cooperate with each other. When a complete application is received, the joint Pole-Owning Utilities shall inform new Attaching Entities which joint owner is responsible for completing Make-Ready work consistent with paragraphs (B) through (E) and (K) of this section. Joint Pole-Owning Utilities shall provide any received applications to the responsible pole owner.

(O) Overlashing. Any overlashing must be done in accordance with generally accepted engineering standards. The Attaching Entity shall give ten days' notice to the Pole-Owning Utility before beginning such overlashing.

(1) No additional application or payment is required for an Attaching Entity to overlash more of its facilities to its existing attached facilities, unless it necessitates additional costs such as guying or additional pole strength, occupies additional attachment space on the pole, or provides a different utility service than the existing facilities.

(2) If the new facilities deliver a utility service that ought to pay a higher rental under this Rule, the Attaching Entity shall begin paying the higher rate.

(3) If the new facilities are owned by someone other than the existing Attaching Entity, then both shall pay rental, each at the rate designated by this Rule.

(P) Attachment Protocol. Each Pole-Owning Utility shall include in its pole-attachment tariff required by Section 3.703 a reasonable protocol under which it will allow attachments by Broadband Service Providers or wireless telephone providers in areas of its poles that are not ordinarily used for attachments or for equipment that is unusually large. Such protocol may include the provision of a separate pole for the attachment of this equipment if:

(1) the proposed attachment cannot be made to the existing pole consistent with 3.701(C);

(2) the separate pole is requested by the Attaching Entity; or

(3) the provision of the separate pole is less expensive than the proposed attachment to the existing pole.

Section 3.709 Notices from Pole-Owning Utility

(A) A Pole-Owning Utility shall provide each Attaching Entity 60 days' written notice prior to:

(1) removing facilities or terminating service to those facilities, where that action arises out of a rate, term, or condition of the pole-attachment agreement; or

(2) increasing pole-attachment rates by contract or tariff.

(B) Unless otherwise agreed, a Pole-Owning Utility shall provide an Attaching Entity 30 days' written notice before modifying any of the Attaching Entity's facilities. Less than 30 days' notice may be provided for routine maintenance, modification in response to emergencies, or modifications that are beyond the reasonable control of the Pole-Owning Utility, provided that the notice is reasonable under the circumstances and as prompt as practicable.

Section 3.710 Complaint Procedures

(A) A party aggrieved by a violation of these rules may file a complaint or petition with the Commission.

The Commission shall take final action within 30 days after the filing of the complaint or petition.

(1) Prior to filing a complaint or petition, the aggrieved party shall call the contact for the party with whom there is a dispute and give notice that they are planning to file a complaint with the Commission.

(2) A complaint or petition shall contain sufficient information to indicate:

(a) the facts underlying the complaint or petition;

(b) the harm that is resulting or could result to the aggrieved party due to the situation;

(c) a description of the steps that the parties have taken to resolve the situation prior to the filing of the complaint or petition; and

(d) the times that both parties will be available for a conference call within 10 days of the date the complaint or petition is filed.

(B) An Attaching Entity aggrieved by a proposed change to a Pole-Owning Utility's tariff may intervene in any rate case following such a tariff filing.

Section 3.711 Effective Date

This rule shall take effect on February 1, 2020.

History

• EFFECTIVE DATE:
• November 15, 1985
• AMENDED:
• September 1, 2001; July 14, 2008; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 007]; February 1, 2020 Secretary of State Rule Log #20-003; July 10, 2020 Secretary of State Rule Log #20-031
• STATUTORY AUTHORITY: 30 V.S.A. §§ 203, 209

Chapter 3800 UNDERGROUND UTILITY DAMAGE PREVENTION

30-3800 Code Vt. R. 30-000-3800-X UNDERGROUND UTILITY DAMAGE PREVENTION

Section 3.801 Definitions

For the purpose of interpreting Chapter 86 of Title 30, the following definitions shall apply:

(A) "Underground utility easement" shall include:

(1) Rights of way, whether by deed, oral license, or otherwise, for transmission and distribution lines.

(2) Service drops which are owned by the utility.

(B) "Public right of way" shall include streets, roads, sidewalks, and any other way created for use by the public, including ways under construction.

(C) "Routine highway maintenance" shall include snow removal, patching, salting, grading, and other day to day operations, but not ditching, signpost setting, guardrail placement or removal, or culvert work. Operations which do not disturb the subsurface of the earth, or which involve only the replacement of a post in the same location, shall be deemed to be routine.

(D) "Company" means any public utility company, as defined in 30 V.S.A § 201(a), which supplies gas, electricity, or telephone service and which maintains underground facilities, and any cable television company operating a cable television system as defined in 30 V.S.A. § 501 and which maintains underground utility facilities.

Section 3.802 Designation of Damage Prevention System

(A) Dig Safe System, Inc., is hereby designated the damage prevention system for Vermont.

(B) Each company shall become a member of Dig Safe System, Inc.

(C) If a substantial number of companies wish to join or create a system other than Dig Safe System, Inc., they may petition the Commission for permission. Permission will not be unreasonably withheld; however, permission will be granted only if the benefits clearly outweigh the potential confusion of having a second system operating in the state.

(D) If Dig Safe System, Inc., ceases or indicates that it will cease operation in Vermont, the Commission will open a proceeding to designate or create a new system.

(E) No company shall be exempt from membership in the damage prevention system unless it can show that the cost of such membership outweighs the benefit, both to such company and to other affected persons. In ruling on a company's request for exemption, the Commission shall consider the following factors:

(1) The estimated cost to the company, both in absolute terms and as a percentage of the company's revenues, of joining the damage prevention system.

(2) The expected impact on rates of joining the damage prevention system.

(3) A comparison of the expected frequency of damage to the company's underground plant, and likely consequences of such damage, under the company's proposed alternative and as a member of the system. Considerations shall include:

(a) the nature of the utility service provided;

(b) miles and percentage of plant underground;

(c) population density and expected frequency of excavation in areas where the company has underground plant.

(4) The disadvantages of not having uniform statewide coverage for the damage prevention system.

(5) Alternative types of membership which may be offered by the system.

(6) Any other factors which the Commission finds relevant.

Section 3.803 Notice of Excavation and Marking of Facilities

(A) As required by 30 V.S.A. § 7004, no person shall engage in excavation activities without first giving at least forty eight hours (but no more than thirty days) notice to the underground facility damage prevention system designated in section 3.802 above.

(B) As defined in 30 V.S.A. § 7001, "Excavation activities" means activities involving the removal of earth, rock or other materials in the ground, disturbing the subsurface of the earth, or the demolition of any structure, by the discharge of explosives or the sue of powered or mechanized equipment, including but not limited to digging, trenching, blasting, boring, drilling, hammering, post driving, wrecking, razing, or tunneling, within an underground utility easement or the area of a public right-of- way in which an underground utility facility is located. Excavation activities shall not include the tilling of the soil for agricultural purposes or activities relating to routine public highway maintenance.

(C) Within forty eight hours of the receipt of notice from the damage prevention system pursuant to 30 V.S.A. § 7005, each utility concerned shall determine whether it has facilities in place and, if so, shall mark or cause to be marked their approximate location, as required by law.

(D) Such markings shall be with stakes or waterproof paint, using colors prescribed by the American Public Works Association or the American Society of Mechanical Engineers to identify the type of utility facility in place, or by other means acceptable to the company and the excavator.

(E) For the purpose of computing time under this section and the preceding section concerning notice, Saturdays, Sundays, and legal Vermont and Federal holidays shall not be included.

(F) As provided in 30 V.S.A. § 7006, in the case of extensive excavation activities where the facilities cannot reasonably be marked within 48 hours, the affected companies shall mark or cause to be marked within 48 hours the facilities where excavation will first occur and the remaining facilities in a timely manner thereafter. In addition, the excavator and the affected companies may by agreement alter the timing of the notice or the marking, provided the marking is made prior to excavation activities.

Section 3.804 Emergencies

(A) In the event of a situation which poses a threat to life, health, property, continued utility service, or the operation of a major industrial plant or public facility, excavation may begin as soon as notice thereof is given to the damage prevention system. Such notice must be given by telephone. If the threat is of such an immediate nature that the delay caused by notifying the damage prevention system would itself increase the threat, excavation may begin at once. The excavator shall thereafter use due care to ensure that the underground plant of utilities in the area of said excavation is not damaged.

(B) A utility may agree with an excavator, in advance, on conditions in which notice is waived or upon provisions for notice not consistent with this rule.

Section 3.805 Investigation of Complaints

(A) Companies shall institute procedures to receive and resolve complaints of excavators or the general public, and to take action against excavators for failure to comply with the requirements under this Rule or Chapter 86 of Title 30.

(B) The Commission shall hear unresolved complaints arising under this Rule or Chapter 86 of Title 30; procedure in such disputes shall be as provided by statute and by the Commission's rules of practice. This provision is in addition to any other remedies parties may have at law.

(C) Upon discovery of damage to underground facilities by excavation activities or other action that may constitute a probable violation of 30 V.S.A. §§ 7004, 7006a, 7006b, or 7007, a company shall forward an Underground Facility Damage Prevention Report to the Commission and to the Department on the form prescribed by the Commission. In addition, reports of damages shall be forwarded by each company to the Commission and the Department of Public Service along with the annual report required under 30 V.S.A. § 22.

(D) Following receipt of an Underground Facility Damage Prevention Report or annual report, the Commission may request the Department of Public Service to investigate the facts and make a report.

(E) The reporting and investigation provisions in this section are in addition to those of 30 V.S.A. § 207 and VPUC Rule 3.807.

Section 3.806 Standards for New Underground Facilities

After the effective date of this rule:

(A) All underground utility facilities shall be built in accordance with industry practices and any applicable federal requirements; in addition, such construction shall at least conform to the following standards:

(1) For gas, the federal safety standards defined in 49 C.F.R. Parts 191-192.

(2) For electricity, the National Electric Safety Code.

(3) For telephone and cable television, the National Electric Safety Code as applicable, and BSP 629-200-206 as applicable.

(B) Any above-ground markings and location indicators shall conform to industry practices and to the color scheme designated by the American Public Works Association or the American Society of Mechanical Engineers.

(C) Nothing in this rule shall be construed to require construction techniques or materials inconsistent with the requirements of any federal law or regulation.

(D) Codes, statutes, or regulations referred to above shall be as in effect at the time of construction.

(E) In the case of electric or gas facilities, a subsurface marker shall be placed above the entire length of each line or conduit to alert an excavator of the presence of such facility. If the line or conduit is not metallic or otherwise detectable from the surface using a locating device, the subsurface marker shall be of a material so detectable.

(F) Within a reasonable time after installation of a line or conduit is completed, the company shall, upon request of an entity listed in paragraph (1) or (2) of this subsection, submit a drawing indicating the areas where underground facilities have been placed. Such drawing need not specify the location of facilities with the precision required by section 3.803, but it shall be sufficient to alert the viewer to the need for care.

(1) If the facilities are within the right of way of a state highway, upon request the drawing shall be sent to the Transportation District Office for the district where such facilities are located.

(2) For any facilities, such drawing shall be filed with the legislative body of the municipality where they are located upon request of the municipality.

Section 3.807 Enforcement

(A) The Department may investigate any Underground Facility Damage Prevention Report. If after investigation the Department finds a probable violation of 30 V.S.A. §§ 7004, 7006a, 7006b, or 7007, VPUC Rule 3.803, or an order or orders issued thereunder, the Department may in its discretion issue a "Notice of Probable Violation" ("Notice") to the person alleged to have violated these sections with copies to the Commission and the company that submitted the Underground Facility Damage Prevention Report. A copy of said Notice shall be filed with the Commission and shall be treated as a petition to impose penalties under 30 V.S.A. § 7008.

(B) A Notice of Probable Violation shall include:

(1) Statement of the statute, rule, regulation, or order issued thereunder which the person is alleged to have violated;

(2) A brief statement of the evidence upon which the allegation(s) is based;

(3) Notice of response options available (See Section (E) of this Rule);

(4) Statement of remedial action sought;

(5) If a civil penalty is proposed, the amount of the proposed civil penalty (See 30 V.S.A. § 7008) .

(C) Within 30 days of receipt of a Notice of Probable Violation, any person who is the subject of an enforcement proceeding pursuant to that Notice shall make a written response to the Department and to the Commission, with a copy to the Company that reported the alleged violation.

(D) The Department may amend a Notice of Probable Violation at any time prior to issuance of a final Commission order. If an amendment includes any new material allegations of fact or proposes new or additional remedial action or an increased civil penalty, any person who is the subject of an enforcement proceeding pursuant to that amended Notice is directed shall have an additional 15 days from the time the amended Notice is received to respond.

(E) Where the Notice of Probable Violation contains a statement of remedial action sought or proposes the imposition of a civil penalty, any person who is the subject of enforcement proceedings pursuant to that Notice may:

(1) Agree to take the remedial action sought and submit a plan for compliance which shall include a schedule of steps to be taken and a date by which complete compliance shall be obtained;

(2) Pay the proposed civil penalty by certified check; and/or

(3) Object to imposition of the remedial action and the imposition of the penalty and request a hearing before the Commission.

(F) A request for hearing under Section 3.807(E)(3) of this rule in response to a Notice of Probable Violation issued pursuant to this rule must include a statement of the issues intended to be raised at hearing. In the statement of issues, the person requesting the hearing shall assert any defenses he or she intends to raise and, if the person intends to claim that mitigating factors are present, shall include an explanation of those factors, accompanied by supporting data or other information. The request may also include any offer made in compromise of the proposed civil penalty or remedial action.

(G) If the alleged violator agrees to the remedial action sought by the Department and agrees to pay the proposed civil penalty, pursuant to Section 3.808(E)(1) and (2) of this section, the alleged violator will be deemed to have waived notice and an opportunity for hearing provided the Commission's final Order is consistent with the remedial action and penalty agreed to by the Department and the alleged violator.

(H) After notice and an opportunity for hearing, the Commission shall enter its final Order in the matter. The final Order may include:

(1) A statement of actions, if any, required to be taken and the date by which such actions must be taken; and

(2) The amount of any civil penalty imposed.

(I) In addition to the procedures set forth in this section, the Commission, on its own initiative or in response to a petition, may initiate an investigation into a possible violation of any statute, rule, regulation, or order issued thereunder related to Underground Utility Damage Prevention.

(J) Any person found to be in violation of any statute, rule, regulation, or order issued thereunder related to Underground Utility Damage Prevention may be subject to a civil penalty in accordance with 30 V.S.A. §§ 30 and 7008. In imposing a civil penalty on any person, the Commission shall consider the gravity of the violation, the culpability of the person responsible for the violation, any history of prior violations, the good faith of the person in attempting to achieve compliance, the size of the business of the person being charged, the likely deterrent effect of the penalty, and any other relevant or mitigating factors.

History

• EFFECTIVE DATE: March 15, 1988
• AMENDED: March 1, 1999; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 008]

Chapter 4100 SMALL POWER PRODUCTION AND COGENERATION

30-4100 Code Vt. R. 30-000-4100-X SMALL POWER PRODUCTION AND COGENERATION

Section 4.101 Purpose

The purpose of this Rule is to implement the provisions of 30 V.S.A § 209(a)(8), 16 U.S.C. § 824a-3, and 18 C.F.R Part 292.

Section 4.102 Scope

(A) This Rule applies to Vermont electric distribution utilities and to those Qualifying Facilities that fall within the definitions contained in 30 V.S.A. § 209(a)(8) or 18 C.F.R Part 292.

(B) This Rule shall not be construed as prohibiting voluntary contracts with terms different from the terms contained herein.

(C) This Rule applies to all contracts and obligations formed pursuant to the provisions of 30 V.S.A. § 209(a)(8), 16 U.S.C. § 824a-3, and 18 C.F.R Part 292, except standard-offer contracts formed pursuant to 30 V.S.A. § 8005a. For contracts and obligations or extensions of prior contracts or obligations formed subsequent to the effective date of this Rule, the rules and procedures set forth herein shall apply. For contracts and obligations in existence prior to the effective date of this Rule, nothing herein shall cause them to be changed. Any previous designation of a Purchasing Agent pursuant to prior versions of Rule 4.100, as well as the rules and obligations attendant thereto, shall remain in full force and effect unless and until specifically modified by the Commission on a prospective basis with respect to contracts and obligations formed prior to the effective date of this Rule.

Section 4.103 Definitions

(A) For purposes of this Rule, the following definitions apply:

1. "As-Delivered Rates" means rates based on the Avoided Costs for energy and capacity of the Interconnecting Utility that are determined at the time the Qualifying Facility delivers electricity to the delivery point.

2. "Avoided Cost" means the incremental cost to the Interconnecting Utility of electric energy or capacity or both, which, but for the purchase from the Qualifying Facility, the Interconnecting Utility would generate itself or purchase from another source.

3. "Capacity" means the capability to produce electric energy, measured in kilowatts (kW).

4. "Capacity Costs" means the costs associated with providing the capability to produce energy. They consist of the capital costs of facilities used to generate electricity and the fixed operating and maintenance costs of those facilities or the costs to purchase capacity to meet an Interconnecting Utility's capacity load obligation.

5. "Capacity Load Obligation" means an Interconnecting Utility's obligation to purchase its load share of system capacity acquired through the Forward Capacity Market.

6. "Capacity Supply Obligation" means an ISO-NE Registered Asset's obligation to provide capacity, measured in kW, acquired through participation in the Forward Capacity Market.

7. "Delivery Point" means the point of interconnection between the Qualifying Facility and the Interconnecting Utility's electric distribution system or the transmission system located in the Interconnecting Utility's service territory.

"Electricity" means energy or capacity or both.

9. "Energy" means electric energy measured in kilowatt-hours (kWh).

10. "Energy Market" means the bid-based energy market administered by ISO-NE where market participants purchase and sell electric energy. The Energy Market includes both a day-ahead market and a real-time market.

11. "Forward Capacity Market" means the auction-based capacity market administered by ISO-NE. The Forward Capacity Market includes an annual forward capacity auction, an annual reconfiguration auction, and monthly reconfiguration auctions.

"Interconnecting Utility" means the electric distribution utility in whose service territory the Qualifying Facility is located or to whose electric distribution system the Qualifying Facility is connected.

13. "ISO-NE" means ISO New England, Inc., the independent system operator authorized by the Federal Energy Regulatory Commission to operate the New England bulk power system and administer the New England wholesale electricity markets pursuant to operation agreements with transmission owners and the ISO-NE Tariff.

14. "ISO-NE Registered Asset" means any generation unit that has met ISO-NE's process for registering as a generator for settlement purposes, as defined in the ISO-NE Tariff

15. "ISO-NE Tariff" means the tariff entitled ISO New England Inc. Transmission, Markets, and Services Tariff, or its successor, which contains the rates, terms, and conditions governing the transmission system, wholesale electricity markets, and other services provided by ISO-NE.

16. "Load Reducer" means a generation resource that delivers electricity directly to an Interconnecting Utility without using the transmission system or another Interconnecting Utility's distribution system; that is not registered with ISO-NE; and that does not report its output to ISO-NE.

17. "LMP" means locational marginal price or its successor, which is the clearing price for energy in the day-ahead or real-time Energy Market that is determined for sub-hourly, hourly, monthly, and yearly intervals at ISO-NE delivery nodes, zones, and hubs.

18. "Net Electrical Output" means gross electrical output of a generator less any station service.

19. "NEPOOL" means the New England Power Pool, or its successor, a voluntary association of electric market participants from the six New England states.

20. "Qualifying Facility" means a cogeneration facility or a small power production facility, which is a qualifying facility under 18 C.F.R Part 292 and 30 V.S.A. § 209(a)(8).

21. "Time-of-Obligation Rates" means rates based on the Avoided Costs for energy and capacity of the Interconnecting Utility that are determined:

(1) for a Qualifying Facility that is already constructed, at the time a Qualifying Facility commits to selling its output to the Interconnecting Utility; or

(2) for a Qualifying Facility not already constructed, at the time a Qualifying Facility files a petition for a certificate of public good under 30 V.S.A. § 248 or other construction and operating authority under any other applicable state statue.

Section 4.104 Utility Purchase of Qualifying Facility Output

(A) An Interconnecting Utility must purchase the generation output of a Qualifying Facility, to the extent required by 18 C.F.R. § 292.303(a).

(B) A Qualifying Facility may elect to sell its generation output to an Interconnecting Utility under one of the following arrangements:

1. A standard power purchase contract not to exceed seven years based on as-delivered rates (an "as-delivered contract");

2. A standard-power purchase contract for a term of seven years based on time-of-obligation Rates (a "time-of-obligation contract"); or

3. A negotiated power purchase contract executed between the Qualifying Facility and the Interconnecting Utility.

(C) When a Qualifying Facility submits an offer to sell generation output to an Interconnecting Utility, the Interconnecting Utility must respond to the offer within 30 days of receipt of the offer. If, within 90 days of a Qualifying Facility submitting an offer to an Interconnecting Utility, there is failure to agree to terms, the Qualifying Facility may petition the Commission for resolution of the issue.

(D) Energy and capacity payments made to the Qualifying Facility shall be based on the Qualifying Facility's metered net electrical output pursuant to Paragraph 4.107.

(E) Energy payments made to the Qualifying Facility shall be based on:

1. One of the following as appropriate for as-delivered contracts:

(a) For ISO-NE Registered Assets, the energy rate shall be the hourly real-time LMP at the ISO-NE delivery node. If an ISO-NE Registered Asset agrees to provide the Interconnecting Utility with a daily generation forecast prior to the ISO-NE day-ahead generation offer submission deadline, the energy rate shall be the hourly day-ahead LMP at the ISO-NE delivery node adjusted to reflect any real-time Energy Market settlement for deviation from the generation that cleared in the day-ahead Energy Market.

(b) For Load Reducers, the energy rate shall be the hourly Vermont zone clearing price for energy in the real-time Energy Market.

2. A Qualifying Facility may elect to accept time-of-obligation rates that are either standard rates or index rates.

(a) Standard rates for energy for time-of-obligation contracts shall be based on the Interconnecting Utility's Avoided Costs for energy, as provided pursuant to Paragraph 4.109 and after consideration of the factors set forth in 18 C.F.R § 292.304(e). Standard rates shall be determined at the start of the contract period and remain unchanged over the term of the time-of-obligation contract. Standard rates shall include a monthly on-peak and off-peak energy component.

(b) Index rates for energy shall have a monthly on-peak and off-peak component and shall be updated monthly over the term of the time-of-obligation contract. Index rates shall be calculated using on-peak and off-peak monthly forward prices at the ISO-NE Massachusetts Hub that are available on the New York Mercantile Exchange (or other accepted published commodity exchange for ISO-NE forward prices). Index rates for a given month shall be calculated using the following formulas:

For ISO-NE Registered Assets:

Index Rate = MA Forward Price x (ISO-NE LMP/MA LMP)

For Load Reducers:

Index Rate = MA Forward Price x (VT LMP/MA LMP)

Where,

MA Forward Price is the average of the daily forward prices for the ninety days immediately preceding the delivery month for which the on-peak and off-peak components are being calculated.

ISO-NE LMP is the real-time LMP at the ISO-NE delivery node averaged for the twelve-month period immediately preceding the start of the contract year. ISO-NE LMP shall be calculated for both the on-peak and off-peak periods.

VT LMP is the real-time LMP at the Vermont zone averaged for the twelvemonth period immediately preceding the start of the contract year. VT LMP shall be calculated for both the on-peak and off-peak periods.

MA LMP is the real-time LMP at the Massachusetts hub averaged for the twelve-month period immediately preceding the start of the contract year. MA LMP shall be calculated for both the on-peak and off-peak periods.

(F) Capacity payments made to the Qualifying Facility shall be based on:

1. For as-delivered contracts, one of the following as appropriate shall determine capacity payments:

(a) For ISO-NE Registered Assets, monthly capacity payments shall be based on payments received from the Qualifying Facility's participation in the Forward Capacity Market, as adjusted for any performance penalties or incentives assessed or paid by ISO-NE.

(b) For Load Reducers, monthly capacity payments shall be based on the value of the Qualifying Facility's capacity output, if any, during the annual maximum hourly peak load for the ISO-NE system used to calculate the Interconnecting Utility's capacity load obligation. To the extent that the Qualifying Facility's output reduces the Interconnecting Utility's capacity load obligation for a specific month, the capacity payment shall be the reduction in the Interconnecting Utility's capacity load obligation multiplied by the monthly rate determined through the Forward Capacity Market that is charged for the Interconnecting Utility's capacity load obligation.

2. For time-of-obligation contracts, capacity rates shall be based on the Interconnecting Utility's Avoided Costs for capacity, as provided pursuant to Paragraph 4.109 and after consideration of the factors set forth in 18 C.F.R § 292.304(e). Rates for capacity shall be determined at the start of the contract period and remain unchanged over the term of the time-of-obligation contract. One of the following as appropriate shall determine capacity payments:

(a) For ISO-NE Registered Assets, monthly capacity payments shall be based on the capacity supply obligation for the month multiplied by the contractual rate specified in the time-of-obligation contract, as adjusted for any performance penalties or incentives assessed or paid by ISO-NE.

(b) For Load Reducers, monthly capacity payments shall be based on the value of the Qualifying Facility's capacity output, if any, during the annual maximum hourly peak load for the ISO-NE system used to calculate the Interconnecting Utility's capacity load obligation. To the extent that the Qualifying Facility's output reduces the Interconnecting Utility's capacity load obligation for a specific month, the capacity payment shall be the reduction in the Interconnecting Utility's capacity load obligation multiplied by the contractual rate in the time-of-obligation contract.

(G) Rates paid for energy and capacity shall be adjusted by a transmission line-loss credit reflecting the non-pool transmission facility losses across the Vermont transmission system. The transmission line-loss credit shall be 0.53% or any updated value approved by the Commission after the effective date of this Rule.

(H) Rates paid for energy and capacity may be further adjusted to account for distribution line-losses (positive or negative). Each Qualifying Facility may request a line-loss study that shall be used to determine the distribution line-loss adjustment that applies to the specific Qualifying Facility. The Interconnecting Utility shall perform the line-loss study and the Qualifying Facility shall pay for the cost of such study.

(I) Each Interconnecting Utility shall annually publish standard rates for a Qualifying Facility that has a nameplate capacity of 100 kW or less.

(J) Neither the Qualifying Facility nor the Interconnecting Utility may unilaterally alter the duration of the sales period or the terms and conditions of the transaction after it has become effective. After notice and hearing, the Commission may alter such contracts for good cause, but except to the extent that alteration is permitted by the terms of the contract, no such alteration may be made over the objection of any Interconnecting Utility or of the Qualifying Facility if it would materially affect substantial rights or obligations of either the utility or of the ratepaying public.

(K) Other general power purchase contract terms and conditions include:

1. Each Interconnecting Utility must offer a standard power purchase contract providing for payment at as-delivered rates or time-of-obligation rates to any Qualifying Facility making a request for such a contract.

2. Information, Rules, and Requirements:

(a) A Qualifying Facility shall comply with any and all applicable NEPOOL and ISO-NE information requests, rules, and requirements that are necessary for a Qualifying Facility's generation output to be valued by an Interconnecting Utility. The Qualifying Facility shall provide such information to the Interconnecting Utility in a timely manner.

(b) For ISO-NE Registered Assets, in order to receive capacity payments, the Qualifying Facility is responsible for qualifying and maintaining its qualification in the Forward Capacity Market throughout the contract term in order to obtain a Capacity Supply Obligation.

3. Fines, Penalties, and Sanctions: In the event that a fine, penalty, or sanction is levied on an Interconnecting Utility by NEPOOL or ISO-NE as a result of a Qualifying Facility's failure to comply with a NEPOOL or ISO-NE information request, rule, or requirement, the Qualifying Facility shall be responsible for the costs of such fines, penalties, or sanctions imposed by NEPOOL or ISO-NE on the Interconnecting Utility.

4. Within 90 days of the effective date of this Rule, each Interconnecting Utility shall file with the Commission a model template of the standard power purchase contract for use pursuant to this rule.

Section 4.105 Utility Sale of Electricity

(A) Rates for sales to Qualifying Facilities shall not discriminate against Qualifying Facilities in comparison to rates for sales to other customers served by the Interconnecting Utility. Rates for sales that are based on accurate data and consistent system-wide costing principles shall not be considered to discriminate against any Qualifying Facility to the extent that such rates apply to the utility's other customers with a similar load or other cost-related characteristics. Optional rates shall not be mandated by the Interconnecting Utility.

(B) Upon the request of a Qualifying Facility, the Interconnecting Utility shall, by tariff or by special contract, provide the following: supplementary power, back-up power, maintenance power, and interruptible power. Rates for these sales shall not be based upon the assumption (unless supported by factual data) that forced outages or other reductions in electric output by all Qualifying Facilities on the Interconnecting Utility's system will occur simultaneously, or during the system peak, or both.

Section 4.106 Interconnection and Operating Standards

Interconnection shall be governed by Rule 5.500.

Section 4.107 Metering

(A) The output of the Qualifying Facility shall be measured either by the retail meter used for metering station service or by the additional meter.

1. The Qualifying Facility shall furnish and install the necessary meter socket and wiring in accordance with accepted electrical standards and ISO-NE operating procedure(s) related to metering.

2. The Interconnecting Utility shall determine the metering requirements of the Qualifying Facilities from which it purchases electricity. The Interconnecting Utility shall read and maintain the metering equipment.

3. Where an additional meter is used to measure the output of the Qualifying Facility:

(a) If the Qualifying Facility chooses to own the meter, the Qualifying Facility shall pay to the Interconnecting Utility a monthly charge to cover meter maintenance and incremental reading and billing costs.

(b) If the Qualifying Facility chooses to have the Interconnecting Utility own the meter, the Qualifying Facility shall pay the Interconnecting Utility a monthly charge that covers taxes, meter maintenance, incremental reading and billing costs, the allowable return on the invoice cost of the meter, and the depreciation of the meter as authorized by the Interconnecting Utility's approved tariff.

Section 4.108 Exemption from Utility Regulation

Those Qualifying Facilities within the scope of this Rule that sell electricity only at wholesale shall be exempt from all regulation under Title 30 except under 30 V.S.A. §§ 202, 209(a)(3), 209(a)(8), 214, and 248. Qualifying Facilities that meet the above definitions and whose facilities have an installed capacity of 10 kW or less shall be exempt from all regulation under Title 30 except 30 V.S.A. §§ 209(a)(3), 209(a)(8), and 248. The Commission may expand or reduce the scope of these exemptions for good cause shown and where not prohibited by law.

Section 4.109 Reporting Requirements

(A) When requested by the Commission or the Department of Public Service, Qualifying Facilities shall submit information concerning the operation, management, and physical condition of a particular facility as necessary for the Commission to ensure the safe operation and management of the particular facility.

(B) Each Interconnecting Utility with total sales of electric energy for purposes other than resale exceeding 500 million kWh in the immediately preceding calendar year shall file a schedule with the Commission and the Department of Public Service of its Avoided Costs every 24 months beginning on December 31, 2016. These Avoided Costs shall, if appropriate, provide representative pricing for blocks of energy in increments of not more than 10% of the Interconnecting Utility's load.

1. Avoided Costs for Energy shall, at a minimum, provide on-peak and off-peak pricing (as defined by ISO-NE) for each month of the current year and the next seven years.

2. Avoided Costs for Capacity shall be provided for each month for a period of seven years and shall be expressed as Avoided Costs per kW-month.

3. Each Interconnecting Utility shall include a schedule detailing any planned capacity additions or retirements by amount and type, including planned purchases of energy and capacity for the following seven years that cumulatively equal or exceed 10 percent of the Interconnecting Utility's annual peak load.

(C) Each Interconnecting Utility with total sales of electric energy for purposes other than resale of less than 500 million kWh in the immediately preceding calendar year shall provide data comparable to that described in 4.109(B) upon request by the Commission, Department of Public Service, or a Qualifying Facility.

(D) Each Interconnecting Utility shall file an annual report with the Commission and the Department of Public Service detailing new Qualifying Facility activity in a calendar year, by April 1 of the subsequent year. Such filing shall include:

1. The name and address of the owner and the location of each Qualifying Facility;

2. A description of the type of each Qualifying Facility;

3. The primary fuel source of each Qualifying Facility;

The date each Qualifying Facility was placed on line;

5. The design or nameplate capacity of each Qualifying Facility; and

6. The expected annual output of each Qualifying Facility.

(E) Each Interconnecting Utility shall file an annual report with the Commission and the Department of Public Service detailing the total energy and capacity purchases made from Qualifying Facilities pursuant to Rule 4.100 by April 1 of the subsequent year. Such filing shall include:

1. The name of each Qualifying Facility;

2. The MWh of generation purchased from each Qualifying Facility;

3 . The total payments made to each Qualifying Facility for energy;

4. The average monthly MW of capacity purchased from each Qualifying Facility during the year; and

5. The total payments made to each Qualifying Facility for capacity.

Section 4.110 Exceptions

The Commission may grant exceptions to the requirements of this rule for good cause shown and where not prohibited by law. The petitioner in such case shall bear the burden of proof

Section 4.111 Utility Ratemaking

All reasonable costs incurred by a utility pursuant to this rule shall be included in that utility's revenue requirement for ratemaking purposes.

Section 4.112 Effective Date

This rule shall become effective fifteen days after adoption and filing.

History

• EFFECTIVE DATE: May 6, 1983
• AMENDED: August 28, 1985; January 8, 1989; January 8, 1990 Secretary of State Rule Log #89-66; September 15, 2016 Secretary of State Rule Log #16-034; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 015]
• STATUTORY AUTHORITY: 30 V.S.A. § 209(a)(8), 16 U.S.C. § 824a-3, and 18 C.F.R. § 292

Chapter 4200 ELECTRIC BILL INFORMATION

30-4200 Code Vt. R. 30-000-4200-X ELECTRIC BILL INFORMATION

Section 4.201 Requirement

Every company selling electricity at retail shall provide to each customer a listing of the price components of that customer's rate or rates. The listing need not show the actual usage of the customer, but shall identify the customer charge, the rate or rates per KW and KWH, and whatever additional information may be necessary to calculate an actual bill. The price components of electricity provided by the Vermont Department of Public Service shall be identified as such.

Section 4.202 Frequency

The listing shall be sent to each customer on at least the following occasions:

(A) No more than sixty days nor less than fifteen days prior to the start of any peak-season rate period.

(B) As soon as practicable after the company knows that it will put a rate change into effect.

(C) During January of any year when neither of the above events has occurred within the previous twelve months.

History

• EFFECTIVE DATE: November 27, 1986 Secretary of State Rule Log #86-68
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 011]
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 4300 SUSTAINABLY PRICED ENERGY ENTERPRISE DEVELOPMENT PROGRAM (SPEED)

30-4300 Code Vt. R. 30-000-4300-X SUSTAINABLY PRICED ENERGY ENTERPRISE DEVELOPMENT PROGRAM (SPEED)

Section 4.300 SUSTAINABLY PRICED ENERGY ENTERPRISE DEVELOPMENT PROGRAM

The purpose of this rule is to implement the Sustainably Priced Energy Enterprise Development ("SPEED") program created under 30 V.S.A § 8005. The goal of the SPEED program is to achieve the goals of 30 V.S.A. § 8001 related to the promotion of renewable energy and long-term stably priced contracts for such energy that are anticipated to be below the market price.

Section 4.301 Purpose

The purpose of this rule is to implement the Sustainably Priced Energy Enterprise Development ("SPEED") program created under 30 V.S.A § 8005. The goal of the SPEED program is to achieve the goals of 30 V.S.A. § 8001 related to the promotion of renewable energy and long-term stably priced contracts for such energy that are anticipated to be below the market price.

Section 4.302 Scope

This rule applies to all Vermont electric distribution and transmission utilities, to any facilitator appointed by the Commission under this rule, and to any in-state generation facility eligible to be a SPEED project. This rule addresses the establishment of the SPEED program, the appointment of a SPEED Facilitator, and the SPEED Facilitator's role in identifying and procuring SPEED resources. The rule does not address bilateral or multilateral arrangements under which Vermont utilities purchase power from renewable resources without the involvement of the SPEED Facilitator and shall not be construed as restricting utilities' abilities to enter into such contracts on other terms. The provisions of this rule shall not apply to net metering projects under 30 V.S.A. § 219a and Commission Rule 5.100.

Section 4.303 Definitions

For purposes of this rule, the following definitions apply:

(A) "Allocate equally" or "allocated equally," when used in reference to apportioning costs between a set of one or more SPEED project owners and a set of one or more Vermont utilities, means that half of the costs to be apportioned are allotted to the SPEED Projects collectively and half of the costs to be apportioned are allocated to the Vermont utilities collectively.

(B) "Auction" means a public sale of energy, capacity, ancillary services, or other electricity products produced by a SPEED project to the highest bidder.

(C) "Commission" means the Vermont Public Utility Commission.

(D) "Capacity" means the capability to produce, transmit or deliver electric energy, measured in megawatts (MW) or kilowatts (kW).

(E) "Certification" means a determination by the Commission that a generation facility constitutes a SPEED project.

(F) "CHP" means combined heat and power facilities, which in turn are defined as facilities that produce both electric power and thermal energy from a single process.

(G) "Department" means the Vermont Department of Public Service.

(H) "Energy" means electric energy measured in megawatt-hours (MWh) or kilowatt-hours (kWh).

(I) "Existing generation facility" means a generation facility that existed and was placed in service on or before December 31, 2004.

(J) "Facilitator" means a SPEED Facilitator appointed by the Commission under Section 4.306 of this rule.

(K) "Interconnecting utility" means the utility to whose electric system a SPEED project is connected.

(L) "ISO-NE" means the Independent System Operator of New England or any successor entity that fulfills the same functions.

(M) "LMP" means locational marginal price for the product or service produced by a generation facility at the node where the facility delivers such product or service to the interconnecting utility as calculated by ISO-NE, under its rules, as those rules may be amended, or any equivalent pricing mechanism designed to serve the same or similar function.

(N) "New renewable energy" is as defined in 30 V.S.A. § 8002(4).

(O) "Nonqualifying SPEED resource" is as defined in 30 V.S.A. § 8002(6).

(P) "Qualifying SPEED resource" is as defined in 30 V.S.A. § 8002(5).

(Q) "Regional market" means the wholesale electric power markets overseen and operated by the ISO-NE.

(R) "Renewable energy" is as defined in 30 V.S.A. § 8002(2).

(S) " Section 248 " means 30 V.S.A. § 248.

(T) "SPEED" means "Sustainably Priced Energy Enterprise Development."

(U) "SPEED program" means the Sustainably Priced Energy Enterprise Development program established under 30 V.S.A. § 8005.

(V) "SPEED project" means an in-state generation project which meets the requirements of section 4.304 of this rule.

(W) "SPEED resource" means a contract with a SPEED project for electricity products, including, but not limited to, energy or capacity products.

(X) "Sponsoring utility" means a Vermont utility which has executed a contract or letter of intent with a SPEED project.

Section 4.304 SPEED Projects

(A) SPEED projects shall be located within Vermont and shall include new generation facilities, or modifications or expansions of existing generation facilities, which:

(1) Come into service after December 31, 2004; and

(2) Produce renewable energy, or are fossil-fueled CHP that meet efficiency requirements stated in 30 V.S.A. § 8002(6).

(B) A generation facility that does not use fossil fuel, except for incidental use, shall be deemed under this rule to produce renewable energy if:

(1) it is a hydroelectric facility of 200 MW or less or uses one or more of the following fuel sources: biodiesel, biomass, farm methane, geothermal, landfill methane, solar energy, or wind;

(2) it is a CHP that relies on a fuel source listed in subsection (B)(1), immediately above, or

(3) it uses fuel cells that rely on a fuel source listed in subsection (B)(1), immediately above.

(C) In addition to the fuels listed in Subsection (B), immediately above, a generation facility that does not use fossil fuel, except for incidental use, may be a SPEED project if it uses a fuel source determined to be renewable energy under the certification process established in Section 4.305, below.

(D) A generation facility located in Vermont that, after December 31, 2004, is brought back into service after a prolonged outage of five years or more, shall be deemed for purposes of this rule to have come into service after December 31, 2004.

(E) Where a project involves the modification or expansion of an existing generation facility, the following shall be considered a SPEED project within the meaning of this rule:

(1) the incremental increase in the electricity product(s) of the facility enabled by the modification or expansion, to the extent that the increase is produced using renewable fuels, and

(2) the entire output resulting from replacement of a fossil-fuel fired generation source by a renewable source.

Section 4.305 Certification

(A) A sponsoring utility or a developer of an in-state generation facility may request, at any time, including after construction of the facility, that the Commission provide a certification as to whether the generation facility constitutes a SPEED project. In the case of a blend of fossil and renewable fuels, such certification shall include establishment of a procedure for determining what portion of the facility's production is new renewable energy. Any such request and all supporting materials shall be copied to the Department, the SPEED Facilitator, the Vermont Agency of Natural Resources and the interconnecting utility.

(B) If the type of fuel source for the generation project changes after issuance of a decision on a certification request under subsection 4.305.A, above, the sponsoring utility or developer of an in-state generation facility shall apply to the Commission for a revised certification.

Section 4.306 Establishment of SPEED Facilitator

(A) After a public process for solicitation of competitive bids, the Commission shall appoint one or more facilitators for the SPEED program for up to four years and on such other terms as the Commission may deem appropriate. Following the initial appointment of a SPEED Facilitator, the Commission may renew the appointment for an additional four years or conduct a competitive solicitation for a Facilitator. In any appointment of a SPEED Facilitator, the Commission shall consider at least the following factors: ownership, management, financial stability and expertise of the candidate; capability of the candidate to carry out the duties assigned by this rule; issuance of indebtedness by, and protection of the assets of, the candidate; changes in management or control of the candidate; the quality and value of the services provided by the candidate; the continuance or the abandonment of provision of service by the candidate; the manner of operating and conducting business by the candidate; the proposed prices, terms, or rates charged by the candidate; and the general good of the State.

(B) A SPEED Facilitator shall provide information in its possession on SPEED resources and projects upon request of the Commission or the Department.

(C) A SPEED Facilitator shall be authorized to perform those functions and activities that are assigned to it under this rule and such other functions and activities related to the SPEED Program as the Commission may assign the facilitator.

(D) The facilitator may engage in activities unrelated to the SPEED Program, and may serve as a facilitator or agent for one or more Vermont utilities or the Department in any competitive solicitation of resources, provided that such activities do not conflict with its responsibilities and activities under this rule.

(E) Obligations of a SPEED Facilitator shall not be obligations of the State of Vermont.

Section 4.307 Compensation of SPEED Facilitator

(A) Immediately following appointment, and two months prior to the completion of each two-year period thereafter, a SPEED Facilitator shall submit to the Commission, the Department, and Vermont utilities a proposed budget for costs in the upcoming two-year period that are not expected to be recovered under other provisions of this rule. The SPEED Facilitator also shall propose how these costs and the costs of performing the clearinghouse function under Section 4.308(B) of this rule will be shared between Vermont utilities and SPEED projects. To the extent possible, considering the number and size of the SPEED projects, the SPEED Facilitator shall attempt to allocate these costs equally between Vermont utilities and the owners of SPEED projects.

(B) After reviewing the proposed budget and assignment of costs submitted under subsection 4.307(A), and considering any comments, the Commission shall establish the compensation for a SPEED Facilitator's costs identified in the budget. These costs shall be recovered from the Vermont utilities and from SPEED projects according to a formula approved by the Commission.

(C) On its own initiative or upon request, the Commission may at any time determine to review and adjust the budget of a SPEED Facilitator approved under these rules. Prior to making such an adjustment, the Commission will provide notice and opportunity for comment to the SPEED Facilitator, the Department, affected utilities, and owners of SPEED projects.

Section 4.308 SPEED Facilitator Role in Promoting SPEED Resources; Contract Types

(A) The primary purpose of a SPEED Facilitator is to promote the development of SPEED resources by bringing together SPEED projects and Vermont utilities seeking to purchase power. In addition, after making all reasonable attempts to find one or more Vermont utilities to purchase such product(s) through bilateral or multilateral contract, the SPEED Facilitator shall promote the development of SPEED projects by selling electricity products from such projects into the regional market, to an out-of-state utility, or to Vermont utilities on a pro-rata basis as provided in Section 4.308(E) of this rule.

(B) A SPEED Facilitator shall serve as a clearinghouse for information related to purchase and sale of SPEED resources, information provided by Vermont utilities to the SPEED Facilitator concerning their supply and reliability needs, and the availability of SPEED projects. A SPEED Facilitator shall submit an annual budget for such service to the Commission for its review and approval. The cost of such service shall be allocated to the Vermont utilities and SPEED projects according to the formula approved by the Commission under subsection 4.307(B) of this rule.

(C) A SPEED Facilitator may be employed to administer a contract between one or more Vermont utilities and the owner(s) of one or more SPEED projects and shall charge a fee for such administration as agreed to by the contracting parties. The fee shall include all of the SPEED Facilitator's costs associated with performing the contract administration. Such employment may include the aggregation and proration of power in cases where there are more than one sponsoring utility, more than one SPEED project, or both. Such employment may also include the administration and scheduling of needed wheeling service for the transmission of power to a sponsoring utility or the regional market.

(D) Voluntary Contracts by Vermont Utilities. A SPEED Facilitator shall encourage the formation of contracts between Vermont utilities and the owners of SPEED projects.

(1) Any such contract may be one of the following types:

(a) A voluntary contract between the owner(s) of one or more SPEED projects and one or more Vermont utilities, with the Vermont utility or utilities purchasing the entirety of an electricity product (e.g., all energy) from the SPEED project(s). In such case, the SPEED facilitator shall recover its reasonable costs related to formation of the contract through a charge allocated equally to the signatory SPEED project owner(s) and the Vermont utility or utilities.

(b) A voluntary contract between the owner(s) of one or more SPEED projects and one or more Vermont utilities, with the Vermont utility or utilities taking less than the entirety of an electricity product (e.g., less than all energy) from the SPEED project(s), and the balance of that product being sold into the regional market or by contract to one or more out-of-state purchasers. In such case:

(i) The SPEED Facilitator shall recover its reasonable costs related to the formation of the contract through a charge allocated equally between the signatory SPEED project owner(s) and the Vermont utility or utilities. The charge to the owner(s) of the SPEED projects shall include any costs of the SPEED facilitator related to obtaining the participation of the out-of-state purchaser(s) in the contract.

(ii) The SPEED facilitator shall recover its ongoing costs under the contract related to the sale of power to an out-of-state purchaser from that purchaser or the owner of the SPEED project.

(iii) The SPEED Facilitator shall recover its ongoing costs under the contract related to the sale of power into the regional market from the owner of the SPEED project, through a mechanism agreed upon by the owner of the SPEED project and the SPEED Facilitator.

(iv) Such other type of contract as the Commission may authorize by rule, order, or through the contract.

(E) SPEED Facilitator Contracts Allocated to Vermont Utilities. The SPEED Facilitator may purchase electricity products associated with one or more SPEED projects and allocate the products to Vermont utilities.

(1) Prior to initiating the first such arrangement, the SPEED Facilitator shall obtain authorization from the Commission and must demonstrate that the purchase and allocation of electricity products will promote the general good of the state. Upon receipt of the request from the SPEED Facilitator, the Commission will provide the Department and Vermont utilities an opportunity to submit written comments. If the Commission authorizes the SPEED Facilitator to purchase and allocate electricity products under this section, the Commission may assign to a SPEED Facilitator, as it deems appropriate, functions and responsibilities related to the administration of the authorization and the requirements imposed therein.

(2) At the time the SPEED Facilitator seeks to enter into a specific purchase and allocation of electricity products, it shall provide notice to the Vermont utilities of the proposal, including the proposed amount of electricity products to be allocated to each utility. Unless the Commission determines that good cause exists for a different allocation, energy products shall be allocated on the basis of each utilities' proportionate annual energy usage and capacity products shall be allocated based upon each utility's proportionate contribution to the State's annual coincident peak. Each utility may, within 30 days of such a notification, request an exemption from the proposed allocation pursuant to section 4.310 of these rules. However, this subsection shall not create a requirement for a utility to petition for an exemption if it has received an exemption under Section 4.310(A)(2) of these rules and that exemption remains in effect. Instead, any such utility shall, within 30 days of a notification by the SPEED Facilitator under this subsection, provide the Commission, the Facilitator, and the Department with a sworn statement as to whether the utility continues to retain each SPEED resource relied upon in the grant of the exemption.

(3) If the proposed project is approved, the SPEED Facilitator shall assign the costs associated with purchase and allocations under this subsection to the proposed project.

(4) The price for the electricity products under this subsection shall be less than the anticipated market price for those products over the term of the proposed purchase.

(a) In establishing the price, the SPEED Facilitator (and upon review, the Commission) shall take into consideration anticipated market prices, the then-current market price for forward power contracts for the longest term available in the market, and any adjustment appropriate to reflect material differences between the contract for SPEED project output and forward power contracts (such as firmness of the output).

(b) If there are costs to the purchasing utilities in connection with the transaction, such as transmission charges, that are in addition to the electricity products being purchased, the price shall include a discount at least equal to those additional costs.

(c) As long as the contract price is below the anticipated market price for power over the term of the proposed purchase by at least the discount set out in subsection (E)(4)(b), the SPEED Facilitator may adopt such pricing structures as it (and the Commission, upon review) finds reasonable, including price floors, price caps or pricing collars.

(d) The SPEED Facilitator may instead purchase the electricity products at a price that is a specified margin below the hourly spot market price at the node where the generator is interconnected, by an amount that at least equals the discount set out in subsection (E)(4)(b) of this section.

(5) The Commission will determine the formula for allocation and purchase under this subsection in conjunction with its review of the proposed generation facility under Section 248. The Commission will also determine the reasonableness of the prices and other terms and conditions of any contract entered into under this subsection and subsection 4.308(F) in conjunction with its review of the proposed generation facility under Section 248. If, at the time of the contract, the SPEED project already has approval under Section 248, the SPEED Facilitator shall separately request approval from the Commission of the formula for allocation and purchase of the contract.

(F) SPEED Facilitator Contract for Sale into Regional Market. A SPEED Facilitator may offer a contract to SPEED projects under which the SPEED Facilitator purchases the power and resells it into the regional market. Such contract may be executed by a SPEED project only after the SPEED Facilitator has made all reasonable efforts to obtain the purchase by Vermont utilities of the electricity product(s) offered by the SPEED Project and has considered the merits of allocating the power to Vermont utilities pursuant to subparagraph (E) of this section.

(1) Length. The contract offered to SPEED projects for sale into the regional market shall be of ten years' duration, unless the Commission authorizes a different term. Notwithstanding the foregoing requirement and subject to Commission approval, the SPEED Facilitator from time to time shall determine the appropriate length of such standard contract, taking into account the need to enable project development, current and forecasted market conditions, and current industry practice regarding contract length.

(2) Price. The energy price of the regional sales contract offered to SPEED projects shall be a discount off the applicable hourly Real-time LMP, as calculated by the ISO-NE under its rules, as those rules may be amended. The price in such contract offered to SPEED projects for capacity and ancillary products and services shall be a discount off the applicable prices for the product or service in the regional market. The SPEED Facilitator shall propose the amount of the discount for energy, capacity, and ancillary services, subject to Commission approval. The amount of the discount shall be, at a minimum, the sum of expected administrative costs of the SPEED Facilitator and reasonable compensation for the use of facilities or services of the interconnecting utility and any other utility over whose system the energy must be transmitted. However, the transmission component of the discount may be adjusted to conform to applicable requirements of a Commission order issued under Section 4.318, below.

(3) Commission Review of Contract. The SPEED Facilitator shall request approval from the Commission for the proposed contract either in conjunction with review of the SPEED project under Section 248 of Title 30 or in a separate proceeding. The Commission will assess the reasonableness of the contract terms and conditions, including the discount, in this proceeding

(4) Sale. The SPEED Facilitator shall sell SPEED resources acquired through the contract offer authorized under this section through the regional market. In doing so, the SPEED Facilitator may aggregate such resources.

(5) Profit or Loss. To the extent that a SPEED Facilitator's recovery of costs associated with the contracts authorized by this subsection, after accounting for any transmission charges and compensation due to the relevant SPEED project owners, exceeds or is less than the actual amount of the Facilitator's administrative costs, the SPEED Facilitator shall allocate the difference equally to the Vermont utilities and the owners of SPEED projects to which regional sales contracts apply. The SPEED Facilitator shall allocate the utility portion of the costs according to a formula approved by the Commission.

(G) The offer of a contract by a SPEED Facilitator under subsection (F) of this section shall not preclude the SPEED Facilitator's acquisition with prior Commission approval of SPEED resources on different terms for resale into the regional market.

(H) To effect its duties under this rule, a SPEED Facilitator may:

(1) Sell electricity products acquired through the contract described in subsections (F), (G), or (J) to the regional market through an existing participant in that market, rather than incurring costs to become such a participant. The SPEED Facilitator shall ensure that the market participant is compensated for reasonable costs associated with such sales and these added costs shall be incorporated into the discount off the market price; and

(2) Conduct auctions or solicit competitive bids with respect to the acquisition of SPEED resources, when employed to do so by the owner of a SPEED project or a Vermont utility. The costs associated with such auction or solicitation shall be recovered solely from the SPEED project(s) and/or Vermont utility(ies) that employ the SPEED Facilitator

(I) The owner of a SPEED project or a Vermont utility which is a party to a contract under subsections (C) through (G) or (J), and which disputes the costs assigned to it by the SPEED Facilitator, may petition the Commission for review and determination of the appropriate charge.

(J) After providing notice and opportunity to comment to the SPEED Facilitator, the Department, affected utilities, and SPEED project owners, the Commission may authorize the SPEED Facilitator to participate in a contract type not otherwise described in this rule.

Section 4.309 Required Purchases SPEED Projects of 250 kW or Less

(A) A Vermont utility which is the interconnecting utility to a SPEED project with an installed capacity of two hundred fifty kilowatts or less shall purchase electricity products offered by the SPEED project, unless

(1) the capacity of the project would constitute more than 10% of the peak load of the interconnecting utility or

(2) the owner of the SPEED project elects to sell to a different purchaser or execute the standard contract offered by the SPEED Facilitator under section 4.308(F), above.

(B) The rate to be paid for electricity products from a SPEED project under this section shall be the rate available for the product in the regional market minus the Discount set out in subsection 4.308(E)(4)(b), above.

(C) If the owner of a SPEED project eligible for treatment under this section agrees, a Vermont utility which would otherwise be obligated to purchase electricity offered by the SPEED project under this section may transmit the electricity to any other Vermont utility that agrees to purchase the power. Any Vermont utility to which such electricity is transmitted shall purchase such electricity as if it were the interconnecting utility.

Section 4.310 Exemption from Cost Allocations and Power Purchase

(A) A Vermont utility may petition the Commission for an exemption from a requirement to purchase power under subsection 4.308(E) or section 4.319. The Commission may grant such exemption upon a finding that:

(1) The purchase would impair the provider's ability to meet the public's need for energy services after safety concerns are addressed at the lowest present value life cycle cost, including environmental and economic costs; or

(2) Equity requires the Vermont utility be relieved of such purchase requirement. A utility seeking such relief on grounds of equity shall demonstrate that the exemption will not be detrimental to the general good of the state and that the utility has acquired SPEED resources which equal or exceed the lesser of either 10% of the utility's total 2005 retail sales of energy or 100% of the utility's projected new retail load between January 1, 2005, and January 1, 2012.

(B) A Vermont utility may petition the Commission for a determination that equity requires it to be relieved from bearing costs related to the clearinghouse function described in section 4.307(B), above, and losses related to the standard contract described in section 4.308(F), above.

(1) A utility seeking relief on grounds of equity shall demonstrate that the exemption will not be detrimental to the general good of the state and that the utility has acquired SPEED resources which equal or exceed the lesser of either 10% of the utility's total 2005 retail sales of energy or 100% of the utility's projected new retail load between January 1, 2005, and January 1, 2012.

(2) In determining whether to grant relief from allocation of losses related to the standard contract described in section 4.308(F), above, the Commission shall consider the extent to which the utility has received profits from the standard contract.

(C) In approving any petition for exemption under this rule, the Commission shall:

(1) State the length of the exemption granted.

(2) Require the petitioning utility periodically to file a sworn statement as to whether the facts underlying the grant of the exemption remain true.

(D) With respect to any petition for exemption under this rule, the Commission shall provide notice, with opportunity for hearing, to the petitioning utility, the Department, the SPEED Facilitator, and any other person or entity the Commission deems appropriate.

(E) If the Commission grants an exemption under subsection (A) to one or more utilities, the SPEED Facilitator shall either (1) sell the power that was proposed to be allocated to an exempted utility into the regional market, (2) enter into a contractual arrangement with one or more utilities to purchase the power (consistent with the provisions of section 4.308, or(3) propose to reallocate the power to the non-exempt Vermont utilities.

Section 4.311 Utility Ratemaking

A Vermont utility's revenue requirement for ratemaking purposes shall include all reasonable costs incurred by a utility related to cost allocations and purchases under sections 4.307, 4.308, 4.309, and 4.319.

Section 4.312 Certificates of Public Good for SPEED Projects under 30 V.S.A. Section 248

(A) A facility that had been certified as a SPEED project, and that is not financed directly or indirectly through investments backed by ratepayers of a Vermont utility other than power contracts, need not demonstrate compliance with 30 V.S.A. § 248(b)(2).

(B) At the time that the developer of a generation facility seeking to participate in the SPEED program applies for a certificate of public good under 30 V.S.A. § 248, the applicant shall also request a certification from the Commission that the facility constitutes a SPEED project. However, the applicant need not make such a request if:

(1) the Commission has previously issued a certification under subsection 4.305(A), above;

(2) the project has not materially changed, with respect to the requirements of section 4.304 of this rule, since the Commission issued the certification; and

(3) the applicant submits, with its application under 30 V.S.A. § 248, the Commission's certification and a sworn statement that the fuel type on which the certification was based has not changed in any material respect.

Section 4.313 Interconnection

The provisions of Rule 5.500 apply to interconnection of SPEED projects.

Section 4.314 Reporting

(A) A SPEED Facilitator shall:

(1) Report annually to the Commission by March 1 on the SPEED resources that have come into service during the year ending the preceding December 31. Such report shall include at least the following:

(a) the identity, owner, location, capacity and energy production of the relevant SPEED projects;

(b) the identity of the sponsoring utilities;

(c) whether the SPEED resources constitute qualifying or nonqualifying SPEED resou

(d) the identity, owner, location, capacity, and energy production of any project that is not a SPEED resource but is a facility owned by or under long-term contract to a Vermont utility and which constitutes a new renewable energy resource;

(e) advice as to where SPEED generation projects would provide benefit to the electric system; and

(f) such other information as the Commission may deem appropriate.

(2) Provide an annual financial accounting to the Commission in such form and by such date as the Commission requires. This accounting shall be publically available.

(B) At the same time that they file quarterly and annual resource reports under Commission Rule 5.206, each Vermont utility shall provide the SPEED Facilitator with sufficient information concerning the utility's supply portfolio to enable the Facilitator to complete its report under subsection (A)(1) of this section. Such information shall include the amount of capacity and energy associated with the utility's SPEED resources and such other information as the SPEED Facilitator reasonably may require.

Section 4.315 Disclosure; Call Option

(A) Separation of Attributes from Electricity Products. The Commission may authorize the SPEED Facilitator to purchase and resell attributes from SPEED projects from time to time subject to such terms and conditions as the Commission may establish. In the absence of any such authorization, SPEED resources shall be presumed to represent only contracts acquired in accordance with this rule for energy, capacity, and ancillary products or services associated with projects that produce renewable energy or are CHP that meet the requirements of section 4.304 of this regulation. The attributes of SPEED projects that produce renewable energy may be sold and accounted for in other markets including, but not limited to, the retirement of renewable energy credits in Vermont for products and services that require renewable resource attributes.

(B) Disclosure Requirements. The following shall apply:

(1) An owner of a SPEED resource shall comply with any rules and standards for disclosure established by the Commission regarding the representation of the owner's generation resource mix.

(2) Without owning the attributes associated with the SPEED resource, an owner of a SPEED resource or a utility that purchases power from a SPEED resource shall not make any claims or representations in public or in a regulatory filing that underlying renewable resources are a part of its mix of generation resources. However, this provision shall not prohibit the owner of a SPEED resource from discussing the fuel type associated with an underlying SPEED project in a filing under 30 V.S.A. § 8005 or this Rule 4.300.

(3) All claims concerning the amount of SPEED resources owned shall clearly distinguish the ownership claim for SPEED resources from any claim as to the ownership or retirement of the renewable attributes derived from the development of SPEED resources.

(C) Call Option. Each SPEED resource may include a call option, right of first refusal, or other term for the purchase of renewable attributes associated with that resource, in order to enable such a purchase by the SPEED Facilitator or purchasing utility should a renewable portfolio standard in Vermont come into effect.

Section 4.316 Sale of Electricity by a Vermont Utility to a SPEED Project

(A) Unless otherwise provided for in the interconnecting utility's electric service tariff, upon request of the owner of a SPEED project, the interconnecting utility shall, by tariff or special contract, provide the following: supplementary power, backup power, maintenance power, and interruptible power.

(B) Rates for sales of electricity by a Vermont utility to a SPEED project shall not discriminate against SPEED projects in comparison to rates for sales to other customers by the Vermont utility or in the allocation of costs to similarly situated utility-owned projects. Rates for sales which are based on accurate data and consistent system-wide costing principles shall not be considered to discriminate against a SPEED project to the extent such rates apply to the utility's other customers with similar load or other cost-related characteristics and the utility uses the same methodologies for projects that it owns.

Section 4.317 Metering

After consultation with the sponsoring utility, the interconnecting utility and the owner of the relevant SPEED project, the SPEED Facilitator shall determine the metering requirements applicable to the output of each project that is the subject of a SPEED resource, provided that in a given instance the sponsoring utility, interconnecting utility, or owner of a SPEED project may appeal that determination to the Commission. To the extent practicable, such metering requirements shall be designed to ensure that the SPEED project is recognized by ISO-NE and satisfies all of ISO-NE's requirements so that the project is recognized for participation in applicable regional markets including the regional Generation Information System.

Section 4.318 Mechanism to Allocate Transmission Charges

After notice and opportunity for hearing, the Commission may establish one or more mechanisms to minimize and allocate transmission charges applicable to SPEED resources to the extent permitted by law.

Section 4.319 Department of Public Service Contracts

The Department or any interested person may request that the Commission approve a form of contract or contract type for use with SPEED projects. The Department also may request that the Commission approve a contract with a SPEED project regardless of whether the SPEED Facilitator is a signatory to that contract. A request by the Department under this section may include a request to allocate associate electricity products or costs to Vermont utilities. The price for any such products shall be below the anticipated market price for those products over the term of the proposed purchase. Prior to approval of a contract or contract type under this section, the Commission shall provide a notice and an opportunity for comment to Vermont utilities, the SPEED Facilitator, and any other affected parties.

History

• EFFECTIVE DATE: September 10, 2006 Secretary of State Rule Log #06-028
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 054]
• STATUTORY AUTHORITY: 30 VS.A. §§ 2, 209, 8005

Chapter 4400 RENEWABLE ENERGY STANDARD RULE

30-4400 Code Vt. R. 30-000-4400-X RENEWABLE ENERGY STANDARD RULE

Part I GENERAL PROVISIONS

Section 4.401 Purpose and Background

(a) The purpose of this rule is to implement the Renewable Energy Standard ("RES"), established under 30 V.S.A. chapter 89, which requires Vermont Retail Electricity Providers to acquire specified amounts of Renewable Energy in the form of Tradeable Renewable Energy Credits ("Tradeable RECs") or Environmental Attributes and to achieve fossil-fuel reductions by implementing Energy Transformation Projects.

(b) The RES is divided into three categories, known as Tiers.

(1) Tier I requires Retail Electricity Providers to procure an amount of Renewable Energy equivalent to 55% of their annual retail electric sales for the year 2017, increasing by 4% every third January 1 thereafter, eventually reaching 75% in 2032.

(2) Tier II requires that a portion of the Renewable Energy that Retail Electricity Providers procure to satisfy Tier I be from New Renewable Energy from Distributed Renewable Generation resources. Under Tier II, Retail Electricity Providers must procure an amount of New Renewable Energy equivalent to 1 % of their annual retail electric sales from Distributed Renewable Generation resources in 2017, increasing by three-fifths of a percent each year thereafter, eventually reaching 10% in 2032. For a Retail Electricity Provider meeting the 100% renewable requirements of 30 V.S.A. Section 8005(b), the provider may satisfy the Tier II requirements by accepting net-metering systems within its service territory pursuant to the provisions of Title 30 of the Vermont Statutes Annotated that govern net-metering.

(3) Tier III requires Retail Electricity Providers to procure additional Distributed Renewable Generation eligible for Tier II or to achieve fossil-fuel reductions from Energy Transformation Projects equivalent to 2% of their annual retail electric sales in 2017, increasing by two-thirds of a percent each year thereafter, eventually reaching 12% in 2032. However, in the case of a Retail Electricity Provider that is a municipal electric utility serving not more than 6,000 Customers, the required amount for Tier III is 2% of the provider's annual retail sales beginning on January 1, 2019, increasing by an additional two-thirds of a percent each subsequent January 1 until reaching 10 and two-thirds percent on and after January 1, 2032.

(A) Any Retail Electricity Provider may petition the Commission:

(i) to reduce its Tier III requirement in any given year, or

(ii) if the provider fails to achieve its Tier III requirement in a given year, to allow the provider to avoid paying the Alternative Compliance Payment. The Commission shall apply the standards provided in 30 V.S.A. Section 8005(a)(3)(O).

(B) For a Retail Electricity Provider that meets the 100% renewable requirements of 30 V.S.A. Section 8005(b) and has been appointed as an energy efficiency entity under 30 V.S.A. Section 209(d), the provider may petition the Commission to reduce its Tier III requirement as provided in 30 V.S.A. Section 8005(b).

Section 4.402 Authority

This rule is adopted pursuant to 30 V.S.A. Sections 8001(b), 8004(b), and 8005(a)(3)(F).

Section 4.403 Definitions

For purposes of this rule, the following definitions shall apply:

"Alternative Compliance Payment" means a payment made to the Vermont Clean Energy Development Fund established under 30 V.S.A. Section 8015, in lieu of purchasing Renewable Energy, Tradeable RECs or Environmental Attributes, or supporting Energy Transformation Projects to satisfy the requirements of 30 V.S.A Sections 8004 and 8005 and this rule. The rates for Alternative Compliance Payments are established pursuant to 30 V.S.A. Section 8005(a)(4) and section 4.421 of this rule.

"Commission" means the Vermont Public Utility Commission or the Commission's duly authorized representative.

"Customer" means a retail electric customer.

"Department" means the Vermont Department of Public Service.

"Distributed Renewable Generation" means one of the following:

(A) a Renewable Energy Plant that is New Renewable Energy; has a Plant Capacity of 5 MW or less; and

(i) is directly connected to the sub-transmission or distribution system of a Vermont Retail Electricity Provider; or

(ii) is directly connected to the transmission system of an electric company required to submit a Transmission System Plan under 30 V.S.A. Section 218c(d), if the Plant is part of a plan approved by the Commission to avoid or defer a transmission system improvement needed to address a transmission system reliability deficiency identified and analyzed in that Plan; or

(B) a net-metering system approved under the former 30 V.S.A. Section 219a or under 30 V.S.A.Section 8010 if the system is New Renewable Energy and the interconnecting Retail Electricity Provider owns and retires the system's Environmental Attributes.

"Efficiency Service Providers" means entities providing energy efficiency services and programming, including the Energy Efficiency Utilities, weatherization agencies, and affordable housing agencies.

"Energy Conversion Efficiency" means the effective use of energy and heat from a combustion process.

"Energy Efficiency Utility" means an entity appointed by the Commission pursuant to 30 V.S.A. Section 209(d)(2) to provide energy efficiency programs and measures.

"Energy Transformation Measure" means a piece of equipment or system; a strategy intended to affect consumer energy use behaviors; or a modification of equipment, systems, or operations that reduces the amount of fossil fuel that would otherwise have been used. Examples include an individual cold-climate heat pump, heat pump water heater, or electric vehicle. Energy Transformation Measures may be prescriptive measures approved in accordance with the processes established by section 4.409 of this rule or custom measures not previously approved under section 4.409.

"Energy Transformation Program" means all Energy Transformation Projects administered by a Retail Electricity Provider.

"Energy Transformation Project" means an undertaking that commenced on or after January 1, 2015, that provides energy-related goods or services but does not include or consist of the generation of electricity and that results in a net reduction in fossil fuel consumption by the Customers of a Retail Electricity Provider and in the emission of greenhouse gases attributable to that consumption. Examples of Energy Transformation Projects may include home weatherization or other thermal energy efficiency measures; air source or geothermal heat pumps; high efficiency heating systems; increased use of biofuels; biomass heating systems; support for transportation demand management strategies; support for electric vehicles or related infrastructure; and infrastructure for the storage of Renewable Energy on the electric grid. Energy Transformation Projects may consist of:

(1) one or more prescriptive Energy Transformation Measures approved in accordance with the processes established by section 4.409 of this rule,

(2) one or more custom Energy Transformation Measures not previously approved under section 4.409, or

(3) a combination of Energy Transformation Measures from (1) and (2).

"Environmental Attributes" or "Attributes" means the characteristics of a Plant that enable the energy it produces to qualify as Renewable Energy and include any and all benefits of the Plant to the environment such as avoided emissions or other impacts to air, water, or soil that may occur through the Plant's displacement of a nonrenewable energy source.

"Existing Renewable Energy" means Renewable Energy produced by a Plant that came into service prior to or on June 30, 2015.

"KW" means kilowatt or kilowatts (AC).

"kWh" means kW-hour or hours.

"Mmbtu" means one million British thermal units.

"MW" means megawatt or megawatts (AC).

"MWh" means MW-hour or hours.

"NEPOOL GIS" means the Generation Information System, or its successor, operated by the New England Power Pool that is used to track and monitor Tradeable RECs.

"New Renewable Energy" means Renewable Energy produced by a specific and identifiable Plant coming into service after June 30, 2015.

(A) Energy from within a system of generating plants that includes Renewable Energy shall not constitute New Renewable Energy, regardless of whether the system includes specific Plants that came or come into service after June 30, 2015.

(B) "New Renewable Energy" also may include the additional energy from an Existing Renewable Energy Plant retrofitted with advanced technologies or otherwise operated, modified, or expanded to increase the kWh output of the Plant in excess of an historical baseline established by calculating the average output of that Plant for the 10-year period that ended June 30, 2015. If the production of New Renewable Energy through changes in operations, modification, or expansion involves combustion of the resource, the system also must result in an incrementally higher level of Energy Conversion Efficiency or significantly reduced emissions.

"Plant" shall have the same meaning as in 30 V.S.A. Section 8002.

"Plant Capacity" means the rated electrical nameplate for a Plant, except that, in the case of a solar energy Plant, the term shall mean the aggregate AC nameplate capacity of all inverters used to convert the Plant's output to AC power.

"Renewable Energy" means energy produced using a technology that relies on a resource that is being consumed at a harvest rate at or below its natural regeneration rate.

(A) For purposes of this definition, methane gas and other flammable gases produced by the decay of sewage treatment plant wastes or landfill wastes and anaerobic digestion of agricultural products, byproducts, or wastes, or of food wastes shall be considered Renewable Energy resources, but no other form of solid waste, other than silvicultural waste, shall be considered renewable.

(B) For purposes of this definition, no form of nuclear fuel shall be considered renewable.

(C) The only portion of electricity produced by a system of generating resources that shall be considered renewable is that portion generated by a technology that qualifies as renewable under this definition.

(D) The Commission by rule may add technologies or technology categories to the definition of "Renewable Energy," provided that technologies using the following fuels shall not be considered Renewable Energy supplies: coal, oil, propane, and natural gas.

(E) In this rule, Renewable Energy refers to either "Existing Renewable Energy" or "New Renewable Energy."

"RES" means the Renewable Energy Standard established under 30 V.S.A. Sections 8004 and 8005.

"Retail Electricity Provider" or "Provider" means a company engaged in the distribution or sale of electricity directly to the public.

"Technical Advisory Group" is a committee, originally established in relation to the Energy Efficiency Utilities, which includes the Department, Energy Efficiency Utilities, and Retail Electricity Providers, that reviews and approves the methodology and associated assumptions underlying measure-savings calculations included in the Technical Reference Manual and provides approval of Energy Transformation Measures.

"Technical Reference Manual" is a reference manual, established and maintained by the Energy Efficiency Utilities in consultation with the Technical Advisory Group, that provides methods, formulas, and default assumptions for estimating energy and peak impacts, including fossil-fuel savings, from measures and projects promoted by the Energy Efficiency Utilities' energy efficiency programs and used by Retail Electricity Providers for compliance with Tier III.

"Tier I" means the Renewable Energy Requirements for Retail Electricity Providers established under 30 V.S.A. Section 8005(a)(1).

"Tier II" means the Distributed Renewable Generation requirements for Retail Electricity Providers established under 30 V.S.A. Section 8005(a)(2).

"Tier III" means the energy transformation requirements for Retail Electricity Providers established under 30 V.S.A. Section 8005(a)(3).

"Tradeable REC" or "Tradeable Renewable Energy Credit" means all the Environmental Attributes associated with a single unit of energy generated by a Renewable Energy source where:

(A) those Attributes are transferred or recorded separately from that unit of energy;

(B) the party claiming ownership of the Tradeable Renewable Energy Credits has acquired the exclusive legal ownership of all, and not less than all, the Environmental Attributes associated with that unit of energy; and

(C) exclusive legal ownership can be verified through an auditable contract path or pursuant to the system established or authorized by the Commission or any program for tracking and verification of the ownership of Environmental Attributes of energy legally recognized in any state and approved by the Commission.

Part II TIERS I & II

Section 4.404 System for Tracking Compliance with Tiers I and II

(a) Pursuant to 30 V.S.A. Section 8006(a), the principal mechanism for the tracking and monitoring of Tradeable RECs qualifying for the RES shall be the New England Power Pool's Generation Information System, known as "NEPOOL GIS," or its successor.

(b) Retail Electricity Providers shall demonstrate their compliance with their Tier I and II obligations, as established under 30 V.S.A. Sections 8005(a)(1)(B) and (a)(2)(C), through ownership and retirement of Tradeable RECs in NEPOOL GIS. If a Provider uses Tradeable RECs or Environmental Attributes that cannot be certified as Tier I or Tier II Tradeable RECs in NEPOOL GIS, that are from a control area that lacks a GIS system integrated with NEPOOL GIS, or for which the renewable content is not accurately represented on its NEPOOL GIS certificates, the Provider shall demonstrate compliance as provided below.

(1) For Tradeable RECs and Environmental Attributes that cannot be certified as Tier I or Tier II Tradeable RECs in NEPOOL GIS, that are from a control area that lacks a GIS system integrated with NEPOOL GIS, or for which the renewable content is not accurately represented on the associated NEPOOL GIS certificates, a Provider shall submit with its annual RES compliance filing documentation demonstrating that:

(A) it owns the Attributes in question,

(B) the Attributes are eligible for the RES, and

(C) the Attributes have not been claimed in any other jurisdiction.

(2) For Tradeable RECs and Environmental Attributes for which the renewable content is not accurately represented on the associated NEPOOL GIS certificates, a Retail Electricity Provider shall provide the fraction of renewable content. The value of the Tradeable RECs and Attributes shall be determined by multiplying the MWhs as tracked in NEPOOL GIS by the percentage of Renewable Energy contained in the attestation form supplied by the Provider. The Provider shall also retire all Tradeable RECs and Environmental Attributes subject to this subdivision and used ' for compliance.

Section 4.405 Banking of Tradeable RECs and Environmental Attributes

(a) Pursuant to 30 V.S.A. Section 8004(c), if a Retail Electricity Provider has satisfied its Tier I and II obligations for a given year and has excess Tradeable RECs or Environmental Attributes eligible for the RES, the Provider may bank the excess Tradeable RECs or Attributes to use for compliance with the RES in one of the three years following the year in which the Tradeable RECs or Attributes were created.

(b) A Retail Electricity Provider seeking to bank Tradeable RECs or Environmental Attributes in excess of its Tier I and II obligations shall either retire the Tradeable RECs or Attributes, or place the Tradeable RECs into a reserve account within NEPOOL GIS, if such a reserve account is available.

(c) A Retail Electricity Provider's annual compliance filing shall include documentation demonstrating:

(1) the Tradeable RECs and Environmental Attributes the Provider has retired or placed into a reserve account, which the Provider is banking for use in one of the following three years;

(2) the previously banked Tradeable RECs and Attributes the Provider is using to satisfy its Tier I and II obligations for the compliance year;

(3) the previously banked Tradeable RECs and Attributes the Provider is retaining for use in future years;

(4) for subdivisions (1) through (3) of this subsection, the year the Tradeable RECs and Attributes were created; and

(5) all other information required by the compliance spreadsheet, which must be included with the Provider's annual compliance filing under section 4.419 of this rule..

Section 4.406 Qualification of Generation Facilities for Tiers I and II

(a) A facility or group of facilities seeking to be qualified for Tier I or II of the RES shall have a qualification registration or application submitted to the Commission pursuant to the requirements of this section. A facility that qualifies as a Tier II resource automatically qualifies as a Tier I resource. Facilities that qualify as a Tier I or II resource shall receive a statement of qualification from the Commission, and the Commission shall notify the NEPOOL GIS administrator of newly qualified facilities on a monthly basis.

(b) Registration Process.

(1) A facility that meets the following requirements may receive a statement of qualification by means of the registration process described below.

(A) For Tier I, a facility that produces Renewable Energy, as defined in this rule, using any of the following fuel sources: methane and flammable gases from food waste, agricultural waste, or other organic materials, or from decay of sewage or landfill wastes; geothermal; hydroelectric; marine thermal or hydrokinetic; photovoltaic solar; concentrated solar power; and wind.

(B) For Tier II, a facility that:

(i) has a system capacity of 5 MW (AC) or less,

(ii) is directly connected to the subtransmission or distribution system of a Vermont Retail Electricity Provider,

(iii) came into service after June 30, 2015, and

(iv) produces New Renewable Energy, as defined in this rule, using any of the following fuel sources: methane and flammable gases from food waste, agricultural waste, or other organic materials, or from decay of sewage or landfill wastes; geothermal; hydroelectric that has received a water quality certification pursuant to 33 U.S.C. Section 1341 from the Vermont Agency of Natural Resources after January 1, 1987, or from the Low Impact Hydropower Institute; marine thermal or hydrokinetic; photovoltaic solar; concentrated solar power; and wind.

(2) A facility seeking a statement of qualification through registration shall submit a complete registration on a form provided by the Commission, which shall include:

(A) Vermont certificate of public good number, if applicable,

(B) NEPOOL GIS identification number,

(C) Plant Capacity,

(D) the Retail Electricity Provider system or transmission system with which the facility is interconnected,

(E) the date the facility came into service, if the facility seeks to be qualified as a Tier II resource,

(F) fuel source, and

(G) any other information required by the Commission's registration form.

(3) A facility that complies with the requirements of Tier I or II and files a complete registration form by the 15th day of a month should receive a statement of qualification from the Commission within 15 days of the 15th day of the month; however, the expiration of this time period without the receipt of a statement of qualification does not constitute a determination that the facility is qualified. The Commission shall provide Tier I and II qualifications to NEPOOL GIS on a monthly basis.

(c) Application Process. For a facility not included under subdivision (b)(1) of this section that is seeking to qualify as a Tier I or II resource, the facility shall submit a complete application requesting a statement of qualification.

(1) The application shall be filed on a form provided by the Commission, which shall include all the information listed in subdivision (b)(2) of this section.

(2) The Department and the Vermont Agency of Natural Resources shall have 30 days from the date a complete application is posted on ePUC, the Commission's electronic filing system, to submit any comments on the application, including whether the Commission should conduct further proceedings to determine whether the facility should receive a statement of qualification.

(3) Following the 30-day comment period described above, the Commission may issue a statement of qualification, if the facility qualifies as a Tier I or II resource, or may open an investigation to determine whether such a statement should be issued.

(d) Aggregated Facilities. A Vermont Retail Electricity Provider may seek to aggregate a group of facilities that qualify as Tier II resources as a single facility for purposes of monitoring and reporting the output of those facilities to NEPOOL GIS.

(1)

(A) To aggregate a group of facilities pursuant to this subsection, a Retail Electricity Provider shall submit an application to the Commission requesting a statement of qualification for its aggregated facilities, including the following information for each facility:

(i) address of the facility's location,

(ii) system capacity,

(iii) date the facility came into service,

(iv) fuel source,

(v) Vermont certificate of public good number, and

(vi) any other information requested by the Commission.

(B) In its review of an application for qualification of a group of aggregated facilities, the Commission may impose conditions related to the metering and monitoring of the output of the aggregated facilities, as appropriate.

(C) The Department shall have 30 days from the date a complete application is posted on ePUC, the Commission's electronic filing system, to submit any comments on the application.

(D) If the facilities qualify as Tier II resources and the Retail Electricity Provider has submitted all the information required by this subsection, the Commission shall issue a statement of qualification for the aggregated facilities.

(2)

(A) Following Commission issuance of a statement of qualification for a group of aggregated facilities, the Retail Electricity Provider shall submit any modifications to its list of aggregated facilities on a quarterly basis for Commission approval. The update shall include:

(i) the NEPOOL GIS identification number for the previously approved aggregated facilities,

(ii) any modifications to the information regarding its previously approved facilities,

(iii) the information required by subdivision (1) of this subsection for each facility the Provider is seeking to add to its aggregated facilities, and

(iv) the new total capacity of the Provider's aggregated facilities if the Commission approves the update.

(B) A Provider shall submit its quarterly updates as follows: for NEPOOL GIS quarter 1, by June 1; for NEPOOL GIS quarter 2, by September 1; for NEPOOL GIS quarter 3, by December 1; and for NEPOOL GIS quarter 4, by March 1. The Department shall have 20 days from the date a complete quarterly update is posted on ePUC, the Commission's electronic filing system, to submit any comments on the update. If the quarterly update complies with the requirements of this subsection, the Provider should receive an approval from the Commission within 10 days of the date by which the Department must file its comments; however, the expiration of this time period without the receipt of an approval does not constitute a determination that the update is approved.

(e) Review of Tier I and II Facilities.

(1) Upon reasonable notice, the Commission or Department may audit a facility or group of facilities previously qualified as Tier I or II resources, including the inspection and copying of records, inspection of facilities, and other actions necessary to determine compliance with the RES.

(2) The Commission or Department may audit the accuracy of information, including electric generation information, reported to NEPOOL GIS for a facility or group of facilities approved under this section and may require the production of any records, documents, or relevant materials necessary to examine such accuracy.

(3) Upon notice and opportunity for hearing, the Commission may revoke a statement of qualification for a facility or group of facilities if it finds that a facility does not comply with the requirements of the RES or that the information submitted in the facility's registration or application form is not accurate.

Section 4.407 Disclosures and Representations Regarding Retail Electricity Provider Generation Portfolios

(a) Pursuant to 30 V.S.A. Section 8006(b), Retail Electricity Providers shall base any representations of the renewability of their generation portfolio on their most recently approved RES compliance flings.

(b) A Retail Electricity Provider shall publish on its website a representation of its portfolio mix, which shall include:

(1) A representation of all sources contributing more than 1 % of the Retail Electricity Provider's generation portfolio, including a description of the fuel sources. In accounting for sources in its generation portfolio, the Provider shall include generation from net-metered systems;

(2) Appropriate categories to represent sources that do not individually exceed 1 % of the generation portfolio; and

(3) A representation of the Retail Electricity Provider's Renewable Energy portfolio following all Tradeable REC and Environmental Attribute transactions as approved by the Commission in the Provider's most recent RES compliance filing.

(c) Retail Electricity Providers shall annually provide notice to their Customers of the availability of the above information by means of a bill insert, direct mail, e-mail, or other form of direct notice. This notice shall be provided within 90 days following the approval of a Provider's annual RES compliance filing.

Part III TIER III

Section 4.408 Conversion Method for Fossil-Fuel Savings from Energy Transformation Projects

(a) Pursuant to 30 V.S.A. Sections 8005(a)(3)(D) and 8005(a)(3)(F)(i), for the purpose of determining the eligibility and the application of an Energy Transformation Project's fossil-fuel savings to a Retail Electricity Provider's annual requirement, the Provider shall convert the net reduction in fossil-fuel consumption resulting from the Energy Transformation Project to a MWh equivalent of electric energy using the most recent year's approximate heat rate for electricity net generation from the "total fossil fuels" category as reported by the U.S. Energy Information Administration in its Monthly Energy Review.

(b) Retail Electricity Providers shall use a publicly available spreadsheet, provided and maintained by the Department, to determine the MWh-equivalent energy values. The Department shall update the spreadsheet on an annual basis with the appropriate U.S. Energy Information Administration values.

(c) If an Energy Transformation Project is funded by more than one regulated entity, the reduction in fossil-fuel consumption shall be pro-rated among the regulated entities that funded the project. For purposes of this section, "regulated entity" includes the Retail Electricity Providers and Energy Efficiency Utilities.

Section 4.409 Process for Prior Approval of Energy Transformation Measures

(a) Pursuant to 30 V.S.A. Section 8005(a)(3)(F)(ii), this section establishes a process for prior approval of Energy Transformation Measures.

(b) The Technical Advisory Group, originally established in relation to the Energy Efficiency Utilities, shall administer the process for prior approval of Energy Transformation Measures. The Technical Advisory Group includes the Department, the Energy Efficiency Utilities, and the Retail Electricity Providers.

(c) All Technical Advisory Group meetings related to Energy Transformation Measures shall be noticed and open to the public, and time shall be included in each meeting agenda for public input.

(d) The Technical Advisory Group shall:

(1) file with the Commission its analysis of how Energy Transformation Measures that it analyzes and approves meet the requirements of 30 V.S.A. Section 8005(a)(3);

(2) file with the Commission, by no later than October 1 of each year, a list of measures that it reviewed during the previous calendar year; and

(3) include in its filing with the Commission appropriate information documenting the eligibility determinations that it has made for each measure.

(e) The Technical Advisory Group administrator may seek to recover its costs for participating in the Technical Advisory Group process as it relates to Energy Transformation Measures. The Technical Advisory Group administrator shall allocate such costs to each obligated Retail Electricity Provider based on the Provider's pro-rata share of annual retail electric sales in Vermont. The Technical Advisory Group administrator may enter into bilateral arrangements with obligated Providers as a manner of recovering such costs.

(f) Retail Electricity Providers may submit potential Energy Transformation Measures directly to the Technical Advisory Group for review, characterization, and prior approval. For those potential Energy Transformation Measures that are not immediately sponsored in the Technical Advisory Group process by a Provider, a measure proponent may present its measure to the Department for an initial review. If the Department concludes that the measure may be viable as an Energy Transformation Measure, the Department may share its review and conclusions with the Providers, who may determine whether to pursue full evaluation of the measure through the Technical Advisory Group process. The Department may also sponsor a measure for Technical Advisory Group review itself

(g) A Retail Electricity Provider may petition the Commission for an alternative process for prior approval of potential Energy Transformation Projects in lieu of obtaining prior approval of an Energy Transformation Measure through the Technical Advisory Group process.

(h) There is no obligation for a Retail Electricity Provider to obtain prior approval of its Energy Transformation Projects.

(i) A Retail Electricity Provider that commenced a project prior to approval of the project as an Energy Transformation Measure through the Technical Advisory Group process may still seek approval of the measure from the Technical Advisory Group.

Section 4.410 Cost-Effectiveness Screening of Energy Transformation Projects

Pursuant to 30 V.S.A. Sections 8005(a)(3)(C) and 8005(a)(3)(F) (iii), for purposes of cost-effectiveness screening of Energy Transformation Projects, a Retail Electricity Provider shall only offer Energy Transformation Projects that meet the following criteria:

(1) For efficiency measures that may be offered by Energy Efficiency Utilities pursuant to 30 V.S.A. Section 209(d), including those measures identified in the Technical Reference Manual, the Retail Electricity Provider shall assess the eligibility of an Energy Transformation Project that is an efficiency measure using the statewide cost-effectiveness screening tools provided by the Department.

(2) Over the Energy Transformation Project's life, the project shall result in a net reduction in fossil fuel consumed by the Retail Electricity Provider's Customers and a reduction in the emission of greenhouse gases attributable to that consumption, whether or not the fuel is supplied by the Provider.

(3) The Energy Transformation Project shall meet the need for its goods or services at the lowest present-value life-cycle cost, including environmental and economic costs. This evaluation shall include an analysis of alternatives that do not increase electric consumption. If a Retail Electricity Provider's Integrated Resource Plan includes an analysis of alternatives, the Provider's Tier III annual plan shall reference the analysis in the Integrated Resource Plan and shall include any significant changes. If a Provider's Integrated Resource Plan does not include an analysis of alternatives, the Provider's Tier III annual plan shall include the analysis.

(4) Cost-effectiveness screening shall quantify:

(A) administrative and implementation costs, including those costs associated with the Technical Advisory Group's measure characterization, project design, evaluation, measurement, and verification; and

(B) costs and benefits associated with increased electric sales and financing and lease income.

(5) Each Energy Transformation Project, including an Energy Transformation Project identified as cost-effective through the statewide cost-effectiveness screening tool, shall in total cost the Retail Electricity Provider less per MWh of energy savings than the applicable Alternative Compliance Payment.

(A) The total cost of an Energy Transformation Project shall include administrative and implementation costs.

(B) A Retail Electricity Provider may use net costs when assessing whether an Energy Transformation Project costs less than the applicable Alternative Compliance Payment. If a Provider uses net costs, the Provider shall provide the assumptions used in its analysis of net costs.

(6) A Retail Electricity Provider's Tier III annual plan, required under section 4.417 of this rule, shall include reporting on cost/benefit accounting at the Energy Transformation Program level, including cost/benefit analyses for purposes of future-year planning when possible.

(7) For purposes of completing cost-effectiveness screenings of Energy Transformation Projects and evaluating the costs of Energy Transformation Projects relative to the Alternative Compliance Payment, the following costs shall not be included:

(A) Planning and development costs that a Retail Electricity Provider incurs before beginning to implement an Energy Transformation Project, and

(B) The regulatory costs of participating in Commission proceedings and meetings with the Department regarding Energy Transformation Projects.

Section 4.411 Banking and Trading in Tier III

(a) Pursuant to 30 V.S.A. Section 8005(a)(3)(F)(iv), Retail Electricity Providers may bank any unused fossil-fuel reductions from Energy Transformation Projects for compliance in future years. However, pursuant to 30 V.S.A. Section 8004(c), Tier II Tradeable RECs and Environmental Attributes that have been banked may only be used in one of the following three years whether they are used to satisfy a Tier II or Tier III obligation.

(b) In its annual compliance filings, a Retail Electricity Provider shall:

(1) document any excess Tier III fossil-fuel reductions that it seeks to retain for compliance in future years;

(2) indicate any Tier III fossil-fuel reductions from prior years that it seeks to claim to meet its current year compliance obligation;

(3) indicate whether and which Tier II credits it seeks to apply towards its Tier III obligations in the current year; and

(4) provide documentation of the current amount of banked Tier III fossil-fuel reductions held by the Provider.

(c) Trading of Tier III fossil-fuel reductions is prohibited.

Section 4.412 Evaluation, Measurement, and Verification of Energy Transformation Projects

Pursuant to 30 V.S.A. Section 8005(a)(3)(F)(v), to establish and validate an Energy Transformation Project's claimed fossil-fuel reductions, avoided greenhouse gas emissions, conversion to MWh equivalent, cost-effectiveness, and, if applicable, energy savings, the following documentation and verification process shall be employed:

(1) The Department shall conduct an annual savings verification to assess Retail Electricity Providers' annual savings claims. The Department shall work with Providers to attempt to resolve any issues that may lead to adjustments to Providers' annual savings claims.

(2) Savings verification shall include an analysis of project data from Retail Electricity Provider tracking systems, review of project files, and any necessary field verification visits.

(3) For Energy Transformation Projects, where savings assumptions have not been established through the Technical Reference Manual or do not apply, a Retail Electricity Provider shall maintain in its files documentation of all assumptions and calculations used to establish its savings claims.

(4) By March 15 of each year, a Retail Electricity Provider shall submit a report to the Commission and the Department stating its savings claims for its Energy Transformation Projects for the previous year. The report shall also include Energy Transformation Project participation, spending, and benefits by Customer sector (residential, commercial and industrial, and low-income), as required by section 4.413(c)(1) of this rule. The Commission shall provide a summary table template, created in collaboration with the Department and Providers, to be included in the report. A Provider's annual report shall include a completed summary table.

(5) By June 1 of each year, the Department shall provide recommendations to the Commission regarding the verified savings achieved by Retail Electricity Providers for the previous year.

(6) Within 15 days of the Department's recommendation each year, Retail Electricity Providers and other interested parties may offer comments on the Department's recommendation to the Commission.

(7) If the Department or any interested party recommends that the Commission reject any of a Retail Electricity Provider's Energy Transformation Project fossil-fuel savings or if the Commission finds that a Provider's savings claims do not comply with the requirements of the RES statute or rule, the Commission shall, by August 20 of each year, either issue an order accepting or rejecting those savings claims or issue an order notifying the Provider that the Commission is still considering whether those particular savings claims comply with the RES statute and rule. If the Commission is still considering whether the savings claims comply with the RES statute and rule, the Provider's compliance filing required under section 4.419 of this rule need not address that specific portion of the Provider's Tier III obligation still under consideration. Once the Commission rules on the particular savings claims, if the Commission determines that the savings claims do not comply with the RES statute or rule, the Provider shall have 30 days to file alternative Tier III savings claims, Tier II Tradeable RECs or Environmental Attributes, Alternative Compliance Payments sufficient to satisfy the portion of the Provider's Tier III obligation that the Commission rejected, or, pursuant to section 4.401(a)(3)(A) of this rule, a request for a reduced Tier III obligation.

(8) Retail Electricity Providers' Tier III annual plans, required under section 4.417 of this rule, may include an evaluation, measurement, and verification plan, including estimated plan costs. Providers are encouraged to consult with the Department in advance of filing their Tier III annual plans to develop estimated evaluation, measurement, and verification plan costs.

(9) Evaluation, measurement, and verification costs may be billed to Retail Electricity Providers using the Department's authority to allocate expenses pursuant to 30 V.S.A. Section 21 and shall be allocated proportionally based upon the costs to evaluate each Retail Electricity Provider's share of Energy Transformation Projects. For partnership programs between a Provider and an Energy Efficiency Utility, costs may be allocated according to an agreed-upon cost-allocation methodology.

(10) In addition to annual savings verifications, the Department shall conduct periodic evaluations of Energy Transformation Projects or classes of projects.

(11) Changes to Energy Transformation Project savings claims resulting from periodic evaluations shall not retroactively reduce claims made on behalf of a measure approved pursuant to section 4.409 of this rule or reduce verified claims carried forward pursuant to section 4.411 of this rule. However, such changes may be applied to the treatment of savings claims from projects undertaken in future years.

Section 4.413 Equitable Opportunity to Participate in and Benefit from Energy Transformation Projects

(a) Pursuant to 30 V.S.A. Section 8005(a)(3)(F)(vi), all ratepayers shall have an equitable opportunity to participate in and benefit from Energy Transformation Projects, regardless of rate class, income level, or Provider service territory.

(b) A Retail Electricity Provider that chooses to meet any portion of its Tier III obligations through Energy Transformation Projects in a given year shall make Energy Transformation Project opportunities available to all ratepayers, regardless of rate class or income level.

(1) For purposes of this rule, rate class shall be broadly defined as Customer class or sector - that is, residential Customers and commercial and industrial Customers.

(2) For purposes of this rule, income level shall be broadly defined as low-income and non-low-income.

(A) A low-income Customer shall be defined as a Customer whose household income is at or below 80% of Vermont statewide median income.

(B) The percentage of low-income households in each Retail Electricity Provider's service territory shall be assumed to be the statewide percentage of low-income households.

(C) The Department may provide the statewide percentage of low-income households to the Providers on an annual basis for the purposes of planning and tracking their Energy Transformation Projects.

(D) A Provider may petition the Commission for an alternative definition of "low-income Customer," and for a different percentage of low-income Customers to be applicable to its service territory. Any such petition must demonstrate why an alternative definition or percentage is necessary based on the unique circumstances of the Provider and its Customers.

(c) Tracking Equitable Opportunity.

(1) A Retail Electricity Provider shall track and report Energy Transformation Project participation, spending, and benefits by Customer sector (residential, commercial and industrial, and low-income) in each year that it chooses to meet any portion of its Tier III obligations through Energy Transformation Projects.

(2) Consideration of whether a Provider has provided equitable opportunities to its Customers shall be measured over the course of the RES program.

(3) A Provider shall endeavor to provide equitable opportunities to its Customer sectors in rough proportion to each Customer sector's annual retail sales.

(4) A Provider may petition the Commission for alternative measurement criteria. Any such petition must demonstrate why alternative measurement criteria are necessary based on the unique circumstances of the Provider and its Customers.

(d) When offering Energy Transformation Projects, a Retail Electricity Provider must provide information, such as up-front costs, benefits, long-term maintenance, options available to overcome first-cost barriers, and other efficiency and energy support services available, that is consistent, transparent, and unbiased. When an Energy Transformation Project is being offered in more than one service territory, the Providers shall ensure, as part of their coordination, that all such information is provided in a consistent manner.

(e) A Retail Electricity Provider may provide equitable opportunities to its Customers through participation in statewide initiatives, such as a standard suite of Energy Transformation Projects or a common set of technologies.

Section 4.414 Coordinated Delivery of Energy Transformation Projects

(a) Pursuant to 30 V.S.A. Section 8005(a)(3)(F) (vii), in developing Energy Transformation Projects and programs to implement those projects, Retail Electricity Providers shall coordinate with other energy efficiency services and programming, including the Energy Efficiency Utilities, weatherization agencies, and affordable housing agencies (collectively, "Efficiency Service Providers").

(b) In Retail Electricity Providers' Tier III annual plans, required under section 4.417 of this rule, Retail Electricity Providers shall demonstrate their efforts to collaborate with Efficiency Service Providers. Outside of the annual planning process, Retail Electricity Providers shall continue to share information about Energy Transformation Project and program elements, such as incentive structures and marketing and implementation strategies, with other Retail Electricity Providers and Efficiency Service Providers.

(c) In developing Energy Transformation Projects and programs to implement those projects, Retail Electricity Providers shall seek to efficiently utilize the resources of other Retail Electricity Providers and Efficiency Service Providers.

(d) When Efficiency Service Provider projects and Retail Electricity Provider projects overlap due to similar measures, projects, or programs, the providers shall work together to negotiate reasonable allocations of savings and costs to be included in the Tier III annual plans and accounted for in the annual compliance reports for Commission review. Should providers be unable to reach a consensus, providers may petition the Commission for a resolution. In addition, the Department may assist providers in the mediation of disputes related to the allocation of costs and savings.

(e) Efficiency Service Providers and Retail Electricity Providers may enter into agreements to share resources across a Retail Electricity Provider's service territory in order to efficiently utilize staff and resources, and these agreements may result in single-point-of-contact services for some Energy Transformation Projects and programs to implement those projects.

(f)

(1) Retail Electricity Providers or their partners in offering Energy Transformation Projects and programs to implement those projects shall advise Customers of:

(A) the up-front costs, benefits, and long-term maintenance requirements for Customer-appropriate technologies,

(B) options available to overcome first-cost barriers to participation, and

(C) other efficiency and energy support services available.

(2) Retail Electricity Providers or their partners in offering Energy Transformation Projects shall make Customer referrals for additional information or special services.

Section 4.415 Best Practices and Minimum Standards

Pursuant to 30 V.S.A. Section 8005(a)(3)(F) (viii), if an Energy Transformation Project increases the use of electric energy, the project shall incorporate best practices for demand management, use technologies appropriate for Vermont, and encourage the installation of the technologies in buildings that meet minimum energy performance standards. To meet this requirement, Retail Electricity Providers shall follow and comply with the following provisions.

(1) Best practices for demand management may include:

(A) the enrollment of a participating Customer in an advanced rate program. Advanced rates may include critical peak pricing, time-of-use rates, or controllable load rates or riders;

(B) verifying a high level of building performance to reduce electric demand; or

(C) non-monetary behavioral programs to avoid electricity use during peak days or hours.

(2) Customer and contractor education shall include the advantages and disadvantages associated with an Energy Transformation Project, considering, as applicable, building or vehicle characteristics, fuel types, prices, and Customer economics. Education, outreach, and marketing shall aim to deliver uniform statewide messaging and maximize existing state resources.

(3) Marketing information presented to Customers on savings associated with Energy Transformation Projects shall be accurate, reflect current fuel prices, and address Customer-specific conditions.

(4) A Retail Electricity Provider seeking to verify that an Energy Transformation Project meets minimum building performance standards shall assess the participating Customer's building using the building performance model provided by the Department. The building performance model shall be developed and updated regularly through the Technical Advisory Group process.

(5) The savings that a Retail Electricity Provider may claim for the installation of a prescriptive Energy Transformation Measure in a building achieving minimum energy performance standards shall be determined through the Technical Advisory Group process.

(6) For a Retail Electricity Provider implementing Energy Transformation Projects that increase the use of electric energy, the Provider's Tier III annual plan shall include:

(A) reference to the load forecast developed in the Provider's most recently Commission-approved Integrated Resource Plan and any relevant updates to or major deviations from the assumptions used in that load forecast;

(B) a discussion of the available options for controlling load and their effectiveness and costs, the options the Provider is implementing and why, and whether the projected volume of Energy Transformation Projects warrants demand management activities;

(C) strategies for encouraging the installation of technologies in buildings that meet minimum energy performance standards, as applicable; and

(D) strategies for Customer education, outreach, and marketing.

Section 4.416 Specific Types of Energy Transformation Projects

Low-income Weatherization. If proposing a low-income weatherization Energy Transformation Project, a Retail Electricity Provider may do any of the following:

(1) purchase previously created verifiable energy savings from a low-income weatherization provider, authorized under Vermont statute, so long as the energy savings were created during the compliance year within the Retail Electricity Provider's service territory and the Retail Electricity Provider advertised the low-income weatherization provider's services to its Customers or members. For purposes of 30 V.S.A. Section 8005(a)(3)(E), the previously created savings shall be treated as the incremental energy savings and the additional revenue paid for the savings should be used by the low-income weatherization provider, like any other grant funds it receives from the Office of Economic Opportunity, to complete low-income weatherization work in any Retail Electricity Provider's service territory.

(2) pay a rate per MWh of lifetime energy savings to a low-income weatherization provider that shall be used by the low-income weatherization provider to fund low-income weatherization projects anywhere within the state, so long as the low-income weatherization provider provides low-income weatherization services within the Retail Electricity Provider's service territory and the Retail Electricity Provider contemporaneously advertises the low-income weatherization services to its Customers or members. The MWh Rate shall be updated annually, and the lesser of the calculated rate or the Alternative Compliance Payment shall be established as the rate per MWh of lifetime energy savings to be used for the calendar year. By October 1 of each year, the Vermont Office of Economic Opportunity shall file the updated MWh Rate with the Commission. The following definitions and calculations shall apply to this subsection.

(A) "Heat Rate" is the official conversion factor to translate from a representation of savings in Mmbtu to MWh.

(B) "Project Lifetime" shall be determined for each weatherization project using an energy modeling software program approved for use by the Vermont Office of Economic Opportunity and the United States Department of Energy.

(C) "Mmbtu Lifetime Savings Projections" shall be determined for each weatherization project using an energy modeling software program approved for use by the Vermont Office of Economic Opportunity and the United States Department of Energy.

(D) "MWh Lifetime Savings Projections" shall be determined by multiplying the projected Mmbtu Lifetime Savings Projections from a weatherization project by the Heat Rate.

(E) The MWh Rate shall be updated annually by the Vermont Office of Economic Opportunity. The MWh Rate to be used for each calendar year shall be determined by:

(i) summing the MWh Lifetime Savings Projections achieved by the Home Weatherization Assistance Program during the most recently completed program year,

(ii) summing the material and onsite labor costs incurred during the most recently completed program year as they are represented in the Vermont Office of Economic Opportunity and United States Department of Energy approved energy modeling software,

(iii) dividing the material and onsite labor costs by the MWh Lifetime Savings Projections, and

(iv) rounding to the nearest whole dollar increment.

(3) propose alternatives to the foregoing options that satisfy the applicable requirements of 30 V.S.A. Section 8005 and this rule.

Section 4.417 Tier III Annual Planning

(a) A Retail Electricity Provider shall file its Tier III annual plan no later than November 1 of the year immediately prior to the start of the next compliance year. The Commission shall provide a summary table template, created in collaboration with the Department and Providers, to be included in the plan. A Provider's annual plan shall include a completed summary table.

(b) Tier III annual plans shall include the following information:

(1) A description of the estimated Tier III compliance obligation, as determined pursuant to 30 V.S.A. Section 8005(a)(3)(B), for the following compliance year and a description of the overall strategy to be implemented to meet the Tier III compliance obligation in the following compliance year, including use of any banked Tier III fossil-fuel reductions, use of any excess Tier II Tradeable RECs or Environmental Attributes, and implementation of any Energy Transformation Projects.

(2) When a Retail Electricity Provider's Tier III strategy includes implementation of Energy Transformation Projects, its Tier III annual plan shall include the following information as well as any requirements specified in section 4.412(8) of this rule:

(A) a description of the types of Energy Transformation Projects that will be undertaken, including the types of measures to be implemented and the anticipated number of participants, with sufficient information for the Department to develop an evaluation, measurement, and verification plan and budget;

(B) as required by section 4.413 of this rule, a description of how all ratepayers will have an equitable opportunity to participate in and benefit from the Energy Transformation Projects regardless of rate class or income level;

(C) as required by section 4.414 of this rule, a description of any Energy Transformation Project collaborative efforts, including a methodology for allocating project costs and savings among Efficiency Service Providers;

(D) when a Retail Electricity Provider plans to implement an Energy Transformation Project without coordinating with an Efficiency Service Provider, an explanation, pursuant to 30 V.S.A. Section 8005(a)(3)(E)(i), of why the delivery by the Retail Electricity Provider is more cost-effective than delivery by another person or that there is no person other than the Retail Electricity Provider with the expertise or capability to deliver the goods or services;

(E) as required by section 4.415 of this rule, when a Retail Electricity Provider plans to implement Energy Transformation Projects that are likely to increase electricity consumption, reference to the load forecast developed in the Provider's most recent Integrated Resource Plan. and any relevant updates to or major deviations from the assumptions used in that load forecast; a discussion of the available options for controlling load and their effectiveness and costs, the options the Provider is implementing and why, and whether the projected volume of Energy Transformation Projects warrants demand management activities; strategies to be used for encouraging the installation of technologies in buildings that meet minimum energy performance standards, as applicable; and strategies to be used for Customer education, outreach, and marketing;

(F) as required by section 4.410 of this rule, a cost/benefit accounting at the Energy Transformation Program level, including cost/benefit analyses for purposes of future-year planning when possible; and

(G) projected planning and development costs that will be incurred before the Provider fully implements an Energy Transformation Project, and projected administrative costs.

(c) Comments on a Tier III annual plan shall be submitted by the December 1 immediately following the date a plan was submitted.

(d) If the Commission has questions about a Tier III annual plan, it may schedule a workshop. If the Commission finds, after reviewing a Tier III annual plan and any comments filed about it, that the plan does not include the information required by subsection (b) of this section, the Commission shall notify the Retail Electricity Provider, the Department, and any entities that commented on the Provider's Tier III annual plan of the specific deficiency or deficiencies in the plan, and may issue an order directing the Provider to file an amended plan or opening an investigation. The Commission shall aim to provide such notice by December 31.

Section 4.418 Withdrawal and Addition of Energy Transformation Projects

(a) Pursuant to 30 V.S.A. Section 8005(a)(3)(F)(ix), if a Retail Electricity Provider concludes that an ongoing Energy Transformation Project should be withdrawn or terminated because it no longer meets the eligibility criteria due to one or more factors beyond the control of the project and the Provider, the Provider shall give notice to the Commission, the Department, any Customers or other entities participating in or who applied to participate in the Energy Transformation Project who may be affected by the withdrawal or termination, and any affected project partners. Notice shall be provided at least 30 days in advance of the withdrawal or termination.

(b) If a Retail Electricity Provider wishes to add an Energy Transformation Project to its current Tier III annual plan, the Provider shall:

(1) notify the Commission, the Department, and any project partners at least 30 days prior to implementation,

(2) provide the information required in an annual plan, as specified in section 4.417 of this rule, and

(3) as necessary, request an estimate from the Department of any additional evaluation, measurement, and verification costs.

Part IV COMPLIANCE FILINGS

Section 4.419 Filing Schedule and Requirements

(a) No later than August 31 of each year, a Retail Electricity Provider shall submit its demonstration of compliance with all Tiers of the RES, including documentation of its total retail sales, documentation of the number, type, and vintage of Tradeable RECs and Environmental Attributes it used to obtain compliance, the fossil-fuel savings attained from Energy Transformation Projects, and the information required by sections 4.405 and 4.411 of this rule. The Commission shall provide a compliance spreadsheet template, created in collaboration with the Department and Providers, to be included in the filing. The compliance spreadsheet template may define Tier III administrative costs, as necessary.

(b) A Provider's compliance filing shall include a completed compliance spreadsheet and a report of Tier III administrative costs; regulatory costs, including costs to participate in Commission proceedings and Department meetings; and planning and development costs.

(c) The Department and other interested parties shall have 30 days to submit any comments on a Retail Electricity Provider's compliance filing.

Section 4.420 Determination of Compliance and Alternative Compliance Payment

(a) Following the submittal of a Retail Electricity Provider's annual compliance filing, the Commission shall determine whether the Provider has met its RES obligations, and in the event it has not, shall determine the appropriate Alternative Compliance Payment.

(b) Pursuant to 30 V.S.A. Section 8004(d), all required Alternative Compliance Payments shall be paid to the Clean Energy Development Fund established under 30 V.S.A. Section 8015 within 30 days of issuance of a Commission order directing payment.

Section 4.421 Update of Annual Compliance Rates

Pursuant to 30 V.S.A. Section 8005(a)(4)(B), annually on or before September 1, the Commission shall announce the applicable Alternative Compliance Payment effective for the compliance year beginning on the following January 1.

History

• EFFECTIVE DATE: April 1, 2020 Secretary of State Rule Log #20-021
• STATUTORY AUTHORITY: 30 V.S.A. §§ 8001(b), 8004(b), 8005(a)(3)(F); Public Act 139 § 14 (2018 Vt. Adj. Sess.) (amending Public Act 56, § 8(d) (2015 Vt. Bien. Sess.)).

Chapter 4500 SAFETY OF HYDROELECTRIC DAMS

30-4500 Code Vt. R. 30-000-4500-X SAFETY OF HYDROELECTRIC DAMS

Section 4.510 Size and Hazard Classifications

(A) Dams shall be categorized by size. The size category shall be determined by height or storage, whichever gives the larger size category. The height of a dam and its storage shall both be established with respect to its maximum storage potential, measured from the natural bed of the water course to the maximum water storage elevation. For the purpose of determining size category, the maximum water storage elevation shall be considered to be the height above streambed as defined in section 4.521(B).

| Category | Storage (ac-ft) | Height (ft) | | --- | --- | --- | | Small | <1,000 | <40 | | Medium | =/> $ 1,000 and <50,000 | =/>$ 40 and <100 | | Large | =/> $ 50,000 | =/>$ 100 |

(B) Dams shall also be classified by hazard potential. The hazard potential classification of a dam pertains to potential loss of human life or property damage in the area downstream of the dam in the event of failure of the dam.

| Hazard Class | Potential Loss of Life | Potential Economic Loss | | --- | --- | --- | | Minimal | None expected | None expected | | Low | None expected (no permanent structures for human habitation) | Minimal (undeveloped to occaisional structures or agriculture) | | Significant | Few (no urban development and no more than a small number of inhabitable structures) | Appreciable (notable agriculture, industry, or structures) | | High | More than a few | Excessive (extensive community, industry, or agriculture) |

(C) At the request of its owner or operator, a dam which both impounds less than fifty acre-feet and is less than twenty-five feet tall may be placed in the 'Minimal' hazard class for purposes of this rule. A dam which is less than six feet tall or which has a maximum storage potential of less than fifteen acre-feet shall be classified in the 'Mnimal' hazard class, unless reclassified pursuant to paragraph (D).

(D) Any dam may be reclassified to another hazard class by means of a petition brought by the owner or operator of the dam, the Department of Public Service, on the Commission's own motion, or by a petition brought pursuant to section 1095 of Title 10 of the Vermont Statutes Annotated. A proceeding based upon such a petition shall be a contested case for purposes of Chapter 25 of Title 3 of the Vermont Statutes Annotated.

(E) Unless classified or reclassified pursuant to paragraphs (C) or (D), a dam shall be classed in the same hazard class to which it is assigned by the U.S. Army Corps of Engineers on its inventory made pursuant to the National Dam Inspection Act, Public Law 92-367. If a dam is not included in the inventory, it shall be placed in the Low hazard class if it is of Small size, in the Significant hazard class if it is of Medium size, and in the High hazard class if it is of Large size. Classifications of such non-inventoried dams shall be reviewed by the Commission as soon as practicable.

Section 4.515 Inventory

The Commission shall maintain at its offices an inventory of all dams in the state which are subject to the Commission's regulatory jurisdiction under 10 V.S.A. § 1105. It shall be the duty of each owner or operator, upon request, to inspect such inventory and inform the Commission of any inaccuracies or omissions. In addition, it shall be a continuing duty of each owner or operator to inform the Commission of any change made to the height, storage, installed capacity, or ownership of a dam.

Section 4.520 Safety Inspection

Section 4.521 Definitions

For purposes of this Rule:

(A) "Independent consultant" means any person who:

(1) Is approved by the Federal Energy Regulatory Commission to do inspections pursuant to 18 C.F.R. Chapter I Part 12 Subpart D.; and

(2) Is not, and has not been within two years before being retained to perform an inspection under this subpart, an employee of the owner or operator or its affiliates or an agent acting on behalf of the owner or operator or its affiliates. Having been retained to perform an inspection shall not constitute having been an employee or agent.

(B) "Height above streambed" means:

(1) For a dam with a spillway, the vertical distance from the lowest elevation of the natural streambed at the downstream toe of the dam to the maximum water storage elevation possible without any discharge from the spillway. The maximum water storage elevation is the elevation of the spillway crest or the top of any gates or flashboards, whichever is higher. If the spillway is determined to be inadequate, under standards of or accepted by the U. S. Army Corps of Engineers, the maximum water storage elevation will be the elevation of the non-overflow section of the top of the dam;

(2) For a dam without a spillway, the vertical distance from the lowest elevation of the natural streambed at the downstream toe of the dam to the lowest point on the crest of the dam.

(C) "Dam" means any barrier (including its appurtenant structures and adjacent supporting natural features) constructed across a waterway to control the flow or raise the level of water, or behind which water is impounded or pumped for later release, over which the Commission has jurisdiction pursuant to Chapter 43 of Title 10 of Vermont Statutes Annotated.

Section 4.522 Applicability

(A) Safety Inspection shall be required of any dam:

(1) That is more than twenty-five feet in height above streambed or that has a gross storage capacity of more than 750 acre-feet; or

(2) That has a significant or high hazard potential or is determined by the Commission to require inspection under this Rule.

(B) The owner of any dam which must be inspected by an independent consultant pursuant to regulation by the Federal Energy Regulatory Commission, or which is inspected for safety by employees or agents of the Federal Energy Regulatory Commission, may file with the Commission a copy of the report of such inspection. Unless otherwise determined by the Commission, such filing shall satisfy the inspection requirement of this Rule.

(C) The owner of any dam included in the description set forth in subsection (A), but which is not inspected pursuant to Federal Energy Regulatory Commission regulations as defined in subsection (B), must file a report of an independent consultant as defined in the ensuing sections of this Rule.

Section 4.523 Exemption

(A) Upon written request from the owner or operator, the Commission may grant an exemption from the requirement for inspection (or any part of that requirement) in extraordinary circumstances that clearly establish good cause for exemption.

(B) Good cause for exemption may include the finding that the dam in question meets the criteria for low hazard potential as defined by section 4.510(B).

Section 4.524 Initial Reports

The initial inspection and report under this rule shall be completed not later than:

(A) For dams which are inspected pursuant to Federal Energy Regulatory Commission rule, a copy of the most recent inspection report shall be filed within ninety days of the effective date of this Rule.

(B) For dams not subject to federal inspection requirements:

(1) For dams in the large size category or the high hazard class, two years from the effective date of this rule.

(2) For all other dams to which the inspection requirement applies, three years from the effective date of this rule.

Section 4.525 Time of Subsequent Inspections and Reports

(A) General rule. After the initial inspection and report under this subpart, subsequent inspections under this subpart must be completed and the reports on them filed at the following intervals:

(1) For dams which are inspected pursuant to Federal Energy Regulatory Commission rule, within thirty days of the availability of each scheduled inspection report.

(2) For dams not subject to federal inspection requirements:

(a) Five years for dams classed as large or high hazard under section 4.510;

(b) Ten years for dams classed as medium or of significant hazard.

(B) Extension of time. For good cause shown, the Commission may extend the time for filing an independent consultant's report under this subpart.

Section 4.526 Specific Inspection Requirements

Scope of inspection. The inspection by the independent consultant shall include:

(A) Due consideration of all relevant reports on the safety of the dam made by, or written under the direction of, federal or state agencies or made by other consultants;

(B) Physical field inspection of the project works and review and assessment of all relevant data concerning:

(1) Settlement;

(2) Movement;

(3) Erosion;

(4) Seepage;

(5) Leakage;

(6) Cracking;

(7) Deterioration;

(8) Seismicity;

(9) Internal stress and hydrostatic pressures;

(10) The functioning of foundation drains and relief wells;

(11) The stability of critical slopes;

(12) Regional and site geological conditions.

(C) Specific evaluation of:

(1) The effects of overtopping of non-overflow structures;

(2) The structural adequacy and stability of structures under all credible loading conditions;

(3) The relevant hydrological data accumulated since the dam was constructed or last inspected under this subpart;

(4) The history of the performance of the dam through analysis of data from monitoring instruments; and

(5) The quality and adequacy of maintenance, surveillance, and methods of operations for the protection of public safety.

(D) Evaluation of spillway adequacy. The adequacy of any spillway must be evaluated by considering hazard potential which would result from failure of the project works during flood flows.

(1) If structural failure would present a hazard to human life or cause significant property damage, the independent consultant must evaluate the ability of project works to withstand the loading or overtopping which may occur from a flood up to the probable maximum flood or the capacity of spillways to prevent the reservoir from rising to an elevation that would endanger the project works.

(2) If structural failure would not present a hazard to human life or cause significant property damage, spillway adequacy may be evaluated by means of a design flood of lesser magnitude than the probable maximum flood, if the report of the independent consultant pursuant to subsection 4.527 provides a detailed explanation of the basis for the finding that structural failure would not present a hazard to human life or cause significant property damage.

Section 4.527 Report of the Independent Consultant

General requirement. Following inspection of a project development as required under this subpart, the independent consultant shall prepare a report, and the owner or operator shall file two copies of that report with the Commission. The report shall conform to the provisions of this section.

(A) General information in the initial report. The first report filed under this subpart for any dam shall contain:

(1) A map of the region indicating the location of the dam;

(2) Plans, elevations, and sections of the dam;

(3) A summary of the design assumptions, design analyses, spillway design flood, and the factors of safety used to evaluate the structural adequacy and stability of the dam; and

(4) A summary of the geological conditions that may affect the safety of the project works.

(B) Information required for all reports. Any report of an independent consultant filed under this subpart shall contain the information specified in this paragraph:

(1) Analyses. The report shall:

(a) Analyze fully the safety of the dam and the maintenance and methods of operation of the development in light of the independent consultant's reviews, field inspections, assessments, and evaluations described in subsection 4.526;

(b) Identify any changes in the information and analyses required by paragraph (a) of this subsection that have occurred since the last report by an independent consultant and analyze the implications of those changes; and

(c) Analyze the adequacy of existing monitoring instruments, periodic observation programs, and other methods of monitoring project works and conditions affecting the safety of the project or project works with respect to the dam.

(2) Recommendations. Based on the independent consultant's field observations and evaluations of the project works and the maintenance, surveillance, and methods of operations of the dam, the report shall contain the independent consultant's recommendations regarding:

(a) Any corrective measures necessary for maintaining the integrity of the structures, for improving methods of operation of the dam, or for improving maintenance or surveillance procedures; and

(b) A reasonable time to carry out each corrective measure.

(3) Dissenting views. If the inspection and report were conducted and prepared by more than one independent consultant, the report shall clearly indicate the substance of any dissenting views concerning the analyses or recommendations of the report that may be held by any individual consultant.

(4) List of participants. The report shall identify all professional personnel who have participated in the inspection of the project or in preparation of the report and shall identify the independent consultant who directed those activities.

(5) Statement of independence. The independent consultant shall declare that all conclusions and recommendations in the report are made independently of the owner or operator and its employees and representatives.

(6) Signature. The report shall be signed by each independent consultant responsible for the report.

Section 4.528 Review

Every five years the Commission shall conduct a review of the exemptions of dams which have been exempted from periodic inspection pursuant to 4.522(A) or 4.523. Such review shall focus on changed conditions concerning each dam which may indicate that inspection ought to be required.

Section 4.530 Corrective Measures

Section 4.531 Emergency Corrective Measures

If, in the course of an inspection, an independent consultant discovers any condition for which emergency corrective measures are advisable, the independent consultant shall immediately notify the owner or operator, and the owner or operator shall report that condition to the Commission and take corrective action as required under subsection 4.532.

Section 4.532 Taking Corrective Measures After the Report

(A) Corrective plan and schedule.

(1) Not later than sixty days after the report of the independent consultant is filed with the Commission, or fifteen days in the case of emergency corrective measures reported pursuant to 4.531, the owner or operator shall submit to the Commission two copies of a plan and schedule for designing and carrying out any corrective measures that the owner or operator proposes.

(2) The plan and schedule may include any proposal, including taking no action, that the owner or operator considers a preferable alternative to any corrective measure recommended in the report of the independent consultant. Any proposed alternative must be accompanied by the owner or operator's complete detailed analysis and evaluation in support of that alternative.

(B) Carrying out the plan. The owner or operator shall complete all corrective measures in accordance with the plan and schedule submitted to the Commission, as approved or modified by the Commission.

(C) Notwithstanding the above, if corrective action is required by any federal agency, including the Federal Energy Regulatory Commission, and the owner or operator complies with the instructions provided by such federal agency, such compliance shall constitute sufficient action under this section.

(D) Extension of time. For good cause shown, the Commission may extend the time for filing the plan and schedule required by this section.

Section 4.540 On-going Care

Section 4.541 Reporting of Safety-related Conditions

(A) Oral report. An owner or operator shall report to the Commission by telephone any condition affecting the safety of a dam, as defined in subsection (C) of this section. The oral report shall be made as soon as practicable after that condition is discovered, without interfering with any necessary or appropriate emergency repair, alarm, or other emergency action.

(B) Written report. Following the initial oral report required in subsection (A), the owner or operator shall submit to the Commission a written report on the condition affecting the safety of the dam. The written report shall be submitted within thirty days and shall contain such information as the Commission directs including:

(1) The causes of the condition;

(2) A description of any unusual occurrences or operating circumstances preceding the condition;

(3) An account of any measure taken to prevent worsening of the condition;

(4) A detailed description of any damage to the dam and the status of any repair;

(5) A detailed description of any personal injuries;

(6) A detailed description of the nature and extent of any property damages; and

(7) Any other relevant information requested by the Commission.

(C) "Condition affecting the safety of a dam" means any condition, event, or action which might compromise the safety, stability, or integrity of the dam or its ability to function safely for its intended purpose, or which might otherwise adversely affect life, health, or property. Conditions affecting the safety of a dam include, but are not limited to:

(1) Unscheduled rapid draw-down of impounded water;

(2) Failure of any facility that controls the release or storage of impounded water, such as a gate or a valve;

(3) Failure or unusual movement, subsidence, or settlement of any part of a dam;

(4) Unusual concrete deterioration or cracking, including development of new cracks or the lengthening or widening of existing cracks;

(5) Piping, slides, or settlements of materials in any dam, abutment, dike, or embankment;

(6) Significant slides or settlements of materials in areas adjacent to reservoirs;

(7) Significant damage to slope protection;

(8) Unusual instrumentation readings;

(9) New seepage or leakage or significant gradual increase in pre-existing seepage or leakage;

(10) Sinkholes;

(11) Significant instances of vandalism or sabotage;

(12) Natural disasters, such as floods or earthquakes;

(13) Any other signs of instability.

Section 4.542 Commission Action

On the basis of any oral or written report made under this section, the Commission may order the owner or operator to take any action reasonably required to correct the condition or conditions reported. The Commission may retain a consultant to inspect any dam and, if the inspection reveals any unsafe condition which the owner or operator should have discovered and reported, may require the owner or operator to pay the cost of the inspection.

Section 4.543 Emergency Plans

(A) The owner or operator of any dam which is required to maintain an emergency action plan by the Federal Energy Regulatory Commission shall file a copy of the Commission's approval letter for its most recent plan.

(B) The copy of the emergency action plan approval letter shall be filed within sixty days of the adoption of this rule, or within thirty days of an owner's receipt of such letter, whichever is later.

(C) The owner of a dam which is classified as high or intermediate hazard, but which is not required by the Federal Energy Regulatory Commission to maintain an emergency action plan, may be required by the Commission to develop a plan to protect lives and property downstream. Any plan so developed shall be filed with the Vermont Emergency Management Division.

History

• EFFECTIVE DATE: November 14, 1986 Secretary of State Rule Log #86-73
• AMENDED: January 8, 1990; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 014]
• STATUTORY AUTHORITY: Statutory authority not provided.

Chapter 4700 SELECTION OF PRIMARY TELECOMMUNICATIONS CARRIER

30-4700 Code Vt. R. 30-000-4700-X SELECTION OF PRIMARY TELECOMMUNICATIONS CARRIER

Section 4.701 Definitions

For purposes of this rule, the following definitions apply:

(A) "Interexchange carrier" ("IXC"): a provider of interLATA or intraLATA long distance telecommunications services. Facilities-based carriers of long distance service, resellers of long distance service, and local exchange carriers providing long distance service are included in this definition.

(B) "Letter of Agency" ("LOA"): a customer's written statement that authorizes a change to that customer's primary interexchange carrier or local exchange carrier and bears the customer's signature.

(C) "Local Exchange Carrier" ("LEC"): a provider of switched telecommunications service that carries calls originating and terminating within the local calling area.

(D) "Long Distance Telecommunications Service": service that carries calls to exchanges that are not within the local calling area of the originating number.

(E) "Primary Interexchange Carrier" ("PIC"): a carrier to which a customer has presubscribed for either interLATA or intraLATA long distance service.

(F) "Primary Local Exchange Carrier" ("PLEC"): a carrier to which a customer has presubscribed for local exchange service.

Section 4.702 Changes to Primary Interexchange Carrier

(A) Verification Procedures

(1) No IXC shall submit to a LEC a PIC change order unless the IXC has first obtained express authorization from the customer. "Express authorization" means an express, affirmative act by the customer clearly agreeing to the change in PIC in the form of:

(a) a written authorization;

(b) a customer initiated call to the IXC;

(c) an oral authorization verified, and recorded, by an independent third party;

(d) a recorded electronic authorization; or

(e) some other form of recorded authorization.

(2) The IXC shall confirm such express authorization through one of the following three procedures:

(a) The IXC has obtained the customer's written authorization in a form that meets the requirements of Commission Rule 4.702(B); or

(b) The IXC has obtained the customer's electronic authorization, placed from the telephone number(s) on which the PIC is to be changed, to submit a PIC change order. The authorization shall include the information described in Commission Rule 4.702(B)(5). IXCs electing to confirm sales electronically shall establish one or more toll-free telephone numbers exclusively for that purpose. A call to the number(s) will connect a customer to a voice response unit, or similar mechanism, that records the required information regarding the PIC change, including automatically recording the automatic number identification ("ANI"); or

(c) An appropriately qualified and independent third party operating in a location physically separate from the IXCUs telemarketing representative has obtained the customer's recorded electronic authorization, or some other form of recorded authorization, to submit the PIC change order. Such authorization shall confirm and include appropriate verification data (e.g., the customer's date of birth or social security number). Such authorization is valid only if the entity that obtained the authorization meets the following requirements:

(1) it is independent of the IXC or the IXC's telemarketing representative;

(2) it complies with the Commission's rules regarding changes to telecommunications carriers;

(3) it has a written policy regarding customer complaints and it abides by that policy;

(4) it has a written policy requiring the maintenance and storage of recorded electronic authorizations for a minimum period of one year and it abides by that policy;

(5) it has a written script that it uses when obtaining verifications, and the script provides clear and unambiguous notice to the customer of the following:

(a) that the customer is authorizing a change in primary interexchange carrier;

(b) the identity of the new primary interexchange carrier; and

(c) a toll-free number that the customer can call to verify whether the change has occurred; and

(6) it is in a location that is physically separate from that of the IXC or the IXC's telemarketing representative.

(3) A PIC change made in violation of any of the requirements of Rule 4.700 is invalid.

(B) Letter of Agency Form and Content

(1) An IXC shall obtain any necessary written authorization from a subscriber for a PIC change by using a letter of agency as specified in this section. Any letter of agency that does not conform with this section is invalid.

(2) The letter of agency shall be a separate document (an easily separable document containing only the authorizing language described in paragraph (5) of this section) whose sole purpose is to authorize an interexchange carrier to initiate a primary interexchange carrier change. The letter of agency must be signed and dated by the subscriber to the telephone line(s) requesting the primary interexchange carrier change.

(3) The letter of agency shall not be combined with inducements of any kind on the same document.

(4) Notwithstanding paragraphs (2) and (3) of this section, the letter of agency may be combined with checks that contain only the required letter of agency language prescribed in paragraph (5) of this section and the necessary information to make the check a negotiable instrument. The letter of agency check shall not contain any promotional language or material. The letter of agency check shall contain in easily readable, bold-face type on the front of the check, a notice that the consumer is authorizing a primary interexchange carrier change by signing the check. The letter of agency language also shall be placed near the signature line on the back of the check.

(5) At a minimum, the letter of agency must be printed with a type of sufficient size to be clearly legible and must contain clear and unambiguous language that confirms:

(a) The subscriber's billing name and address and each telephone number to be covered by the primary interexchange carrier change order;

(b) The decision to change the primary interexchange carrier from the current interexchange carrier to the prospective interexchange carrier;

(c) That the subscriber designates the interexchange carrier to act as the subscriber's agent for the primary interexchange carrier change;

(d) That the subscriber understands that only one interexchange carrier may be designated as the subscriber's interstate primary interexchange carrier, and only one as the subscriber's intrastate primary interexchange carrier, for any one telephone number. Any carrier designated as a primary interexchange carrier must be the carrier directly setting the rates for the subscriber;

(e) That the subscriber understands that any primary interexchange carrier selection the subscriber chooses may involve a charge to the subscriber for changing the subscriber's primary interexchange carrier. The precise amount of any such charge shall be specified in the letter of agency; and

(f) A toll-free number that the customer can call to verify whether the change has occurred.

(6) Letters of agency shall not suggest or require that a subscriber take some action in order to retain the subscriber's current interexchange carrier.

(7) If any portion of a letter of agency is translated into a language other than English, then all portions of the letter of agency must be translated into that language.

(8) The letter of agency shall provide the toll-free telephone number and mailing address of the Consumer Affairs Division of the Department of Public Service, and shall inform the customer of his/her right to file a complaint with the Consumer Affairs Division.

(C) Provision of Offers in Written Form. Upon request of the customer, offers to provide telecommunications interexchange services shall be sent to the customer in written form, describing the terms and conditions of service.

(D) Applicability. This rule shall apply only to the extent not preempted by federal law.

Section 4.703 Changes to Primary Local Exchange Carrier

(A) Verification Procedures

(1) No LEC shall submit a PLEC change order unless the LEC has first obtained express authorization from the customer. "Express authorization" means an express, affirmative act by the customer clearly agreeing to the change in PLEC in the form of:

(a) a written authorization;

(b) a customer initiated call to the prospective LEC;

(c) an oral authorization verified, and recorded, by an independent third party;

(d) a recorded electronic authorization; or

(e) some other form of recorded authorization.

(2) The LEC to whom service is to be changed shall confirm such express authorization through one of the following three procedures:

(a) The LEC has obtained the customer's written authorization in a form that meets the requirements of Commission Rule 4.703(B); or

(b) The LEC has obtained the customer's electronic authorization, placed from the telephone number(s) on which the PLEC is to be changed, to submit a PLEC change order. The authorization shall include the information described in Commission Rule 4.703(B)(5). Prospective LECs electing to confirm sales electronically shall establish one or more toll-free telephone numbers exclusively for that purpose. A call to the number(s) will connect a customer to a voice response unit, or similar mechanism, that records the required information regarding the PLEC change, including automatically recording the automatic number identification ("ANI"); or

(c) An appropriately qualified and independent third party operating in a location physically separate from the prospective LECUs telemarketing representative has obtained the customer's recorded electronic authorization, or some other form of recorded authorization, to submit the PLEC change order. Such authorization shall confirm and include appropriate verification data (e.g., the customer's date of birth or social security number). Such authorization is valid only if the entity that obtained the authorization meets the following requirements:

(1) it is independent of the LEC or the LECs telemarketing representative;

(2) it complies with the Commission's rules regarding changes to telecommunications carriers;

(3) it has a written policy regarding customer complaints and it abides by that policy;

(4) it has a written policy requiring the maintenance and storage of recorded electronic authorizations for a minimum period of one year and it abides by that policy;

(5) it has a written script that it uses when obtaining verifications, and the script provides clear and unambiguous notice to the customer of the following:

(a) that the customer is authorizing a change in primary local exchange carrier;

(b) of the identity of the new primary local exchange carrier; and

(c) a toll-free number that the customer can call to verify whether the change has occurred; and

(6) it is in a location that is physically separate from that of the LEC or the LEC's telemarketing representative.

(3) A PLEC change made in violation of any of the requirements of Rule 4.700 is invalid.

(B) Letter of Agency Form and Content

(1) A LEC to whom service is to be changed shall obtain any necessary written authorization from a subscriber for a PLEC change by using a letter of agency as specified in this section. Any letter of agency that does not conform with this section is invalid.

(2) The letter of agency shall be a separate document (an easily separable document containing only the authorizing language described in paragraph (5) of this section) whose sole purpose is to authorize a LEC to initiate a PLEC change. The letter of agency must be signed and dated by the subscriber to the telephone line(s) requesting the PLEC change.

(3) The letter of agency shall not be combined with inducements of any kind on the same document.

(4) Notwithstanding paragraphs (2) and (3) of this section, the letter of agency may be combined with checks that contain only the required letter of agency language prescribed in paragraph (5) of this section and the necessary information to make the check a negotiable instrument. The letter of agency check shall not contain any promotional language or material. The letter of agency check shall contain in easily readable, bold-face type on the front of the check, a notice that the consumer is authorizing a primary local exchange carrier change by signing the check. The letter of agency language also shall be placed near the signature line on the back of the check.

(5) At a minimum, the letter of agency must be printed with a type of sufficient size to be clearly legible and must contain clear and unambiguous language that confirms:

(a) The subscriber's billing name and address and each telephone number to be covered by the PLEC change order;

(b) The decision to change the PLEC from the current LEC to the prospective LEC;

(c) That the subscriber designates the prospective LEC to act as the subscriber's agent for the PLEC change;

(d) That the subscriber understands that only one LEC may be designated as the subscriber's intrastate primary LEC for any one telephone number. Any carrier designated as a primary LEC must be the carrier directly setting the rates for the subscriber;

(e) That the subscriber understands that any primary LEC selection the subscriber chooses may involve a charge to the subscriber for changing the subscriber's primary LEC. The precise amount of any such charge shall be specified in the letter of agency; and

(f) A toll-free number that the customer can call to verify whether the change has occurred.

(6) Letters of agency shall not suggest or require that a subscriber take some action in order to retain the subscriber's current LEC.

(7) If any portion of a letter of agency is translated into a language other than English, then all portions of the letter of agency must be translated into that language.

(8) The letter of agency shall provide the toll-free telephone number and mailing address of the Consumer Affairs Division of the Department of Public Service, and shall inform the customer of his/her right to file a complaint with the Consumer Affairs Division.

(C) Provision of Offers in Written Form. Upon request of the customer, offers to provide telecommunications local exchange services shall be sent to the customer in written form, describing the terms and conditions of service.

(D) Applicability. This rule shall apply only to the extent not preempted by federal law.

History

• EFFECTIVE DATE: August 1, 1997 Secretary of State Rule Log #97-31
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 045]

Chapter 4800 CAMPGROUND SUBMETERING

30-4800 Code Vt. R. 30-000-4800-X CAMPGROUND SUBMETERING

Section 4.801 Authority

Vermont Statutes Annotated, Title 30, section 249a authorizes a recreational campground to provide submetered electric service to campground users on a nonprofit basis. Such service must be provided in accordance with rules adopted by the Public Utility Commission. This rule establishes the standards for such submetered service in campgrounds.

Section 4.802 Definitions

(1) "Campground" means a tract or parcel of land occupied by more than three campers for a brief period for vacational or recreational purposes, whether or not as part of a commercial operation. A camper may camp in an automobile trailer, a recreational vehicle, a tent or a temporary cabin, but not in a mobile home that is used as a residence.

(2) "Customer" means the ultimate customer of a campground who rents or uses space at a campground and whose electricity is submetered.

(3) "Average cost per KWH" for a campground means the bill for electric power delivered to the campground's master meter (excluding charges for disconnection, late payment, or other similar service charges) divided by the KWH so delivered, and rounded to the nearest tenth of a cent per KWH.

Section 4.803 Meters

(A) In any campground that sells electricity through submetering, customer submeters shall be provided, installed and maintained by the campground.

(B) All meters shall meet any applicable building codes or other local ordinances. Each customer's meter shall be visible to the customer. Customer submeters shall provide service for the customer's site only, and not for any common facility such as lighting for roadways or common buildings.

(C) Meters shall be calibrated when initially placed in service and at least every 24 months thereafter. Calibration may be performed by a licensed electrician, an electric utility, or any other entity authorized by the Public Utility Commission to perform this function. The cost of calibration will be paid by the campground. The calibration shall be noted on the meter itself or recorded in a calibration log. Calibration records shall be available on request at each campground to customers and to the Department of Public Service and the Public Utility Commission.

(D) When submeters are calibrated, they shall be set as closely as possible to a condition of zero error. Whenever an inspection, calibration or other test discloses that a submeter has an error of more than two percent, it shall be adjusted, repaired, or replaced. Any submeter that is removed from service and replaced by another submeter shall be tested and adjusted before it is again placed in service.

Section 4.804 Rates

(A) Whenever a campground charges customers for electricity, the charge shall be based upon the customer's measured kilowatt-hour (KWH) usage.

(B) Rates charged to customers shall not exceed the campground's most current average cost per KWH for the relevant seasonal rate period. Rates shall be recalculated each month based upon the most recent bill received at the campground. The campground may apply those rates for a calendar month thereafter.

(1) For example, assume that a utility's off-peak season extends from April 1 to October 31, that the utility bills on a calendar month basis and sends bills out on the fifth of the month, and that the campground also bills for submetered electricity on a calendar month basis. The utility's summer period begins on April 1, but on May 1, the last "summer rate period" bill on hand at the campground would normally be from the preceding October. Therefore, in setting the submetering rate for May, the campground would measure its own costs from the preceding October. By June, however, the campground would use data from the bill sent out by the utility on May 5 (for April usage).

(C) Customers shall not be required to prepay separately for expected electric usage. However, this paragraph does not prohibit a campground from requiring prepayment for use of a campsite, and then crediting the customer's electric bill with some or all of the amount prepaid.

Section 4.805 Registration of Customers

Each campground customer who will pay a separate electric charge shall be provided with a written statement (which need not be separate) when the customer registers stating:

(1) that electricity used at the customer's site will be billed to the customer;

(2) that electricity used for common areas and common facilities will be the responsibility of the campground;

(3) the current rate charged for electricity, per KWH;

(4) the initial meter reading for the assigned site; and

(5) a summary of complaint procedures.

Section 4.806 Bills

(A) Customers may be billed at checkout for actual electric usage, based upon the customer's report of the meter reading or upon the campground's reading of the meter.

(B) Notwithstanding subsection (A), customers who anticipate staying at the same site for more than seven days may be billed on a weekly or monthly basis for actual electric usage. Customers who anticipate staying at the same site for 30 days or more shall be billed at least monthly. Weekly or monthly customers shall be billed promptly after meters are read.

(C) A customer's electric bill shall contain the following:

(1) the initial KWH reading and date for the current billing period;

(2) the final KWH reading and date for the current billing period;

(3) the applicable rate;

(4) the amount due; and

(5) a statement that payment is due immediately or a date on which payment is due.

(D) On request of a customer who has been or will be billed for electric usage, a campground shall show the customer the campground's utility bill from which the campground's current average cost per KWH has been calculated.

(E) A campground may provide customers with a budget billing plan under which charges are averaged over time.

Section 4.807 Bill Adjustments

(A) Where a billing adjustment is necessary due to meter error or other causes, the adjustment shall not apply earlier than the beginning of the current camping season. If the error has a known beginning date after the beginning of the current camping season, that beginning date shall be used.

(B) A campground may make adjustments for fast, slow, stopped, tampered or removed meters based upon the customer's actual usage during a period when the meter was accurate, either before or after the period when the meter was not accurate. If no period can be found when the meter was accurate, an adjustment can be made based upon all relevant information about the customer and upon average usage of customers who are similarly equipped. Any bill based on estimated usage shall be clearly marked as such.

Section 4.808 Complaints

(A) A customer may complain orally or in writing to the campground about any bill and may request a conference on that bill. A complaint shall state the customer's name, location, and the general nature of the complaint.

(B) Upon receiving a complaint, a campground shall:

(1) record the complaint in a complaint log, which shall be made available to customers and the Department of Public Service for inspection at reasonable times;

(2) promptly, thoroughly and completely investigate the complaint and confer with the complainant as needed.

(3) notify the complainant in writing of the results of the investigation and any proposed action.

(C) Complaints not resolved by the campground may be brought to the Consumer Affairs Division of the Department of Public Service. If not resolved there, complaints may be brought to the Public Utility Commission.

History

• EFFECTIVE DATE: April 15, 1997
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 044]

Chapter 4900 ELECTRICITY OUTAGE REPORTING

30-4900 Code Vt. R. 30-000-4900-X ELECTRICITY OUTAGE REPORTING

Section 4.901 Definitions

For purposes of this rule, the following definitions apply:

(A) Outage: a zero-voltage event, exceeding five minutes, to one or more customers. All such events are included as Outages, regardless of underlying cause (except for the interruption of power to a customer in accordance with the terms of a special contract, approved by the Public Utility Commission, where such contract explicitly envisions that such interruptions may occur). Outage causes include, but are not limited to, company initiated Outages, transmission Outages, power supplier Outages, and Outages resulting from severe weather events.

(B) Customers Out: the number of retail customer meters affected by an Outage net of voltage and current meters, station service meters, interchange meters, and any meters at a retail customer's premises beyond or in addition to the first meter at such customer's premises.

(C) Customers Served: the number of retail customer meters, net of voltage and current meters, station service meters, interchange meters, and any meters at a retail customer's premises beyond or in addition to the first meter at such customer's premises for the system, district, or circuit being evaluated.

(D) Outage Duration: the time between either the first customer call to report an Outage, or the first system data indication of an Outage, until the customer's service is returned.

(E) Customer Hours Out: the summation of Customers Out multiplied by their respective Outage Durations.

(F) System Average Interruption Frequency Index ("SAIFI"): Customers Out Customers Served SAIFI is a measure of the average number of times that the average customer experienced an Outage.

(G) Customer Average Interruption Duration Index ("CAIDI"): Customer Hours Out Customers Out CAIDI is a measure of the average length of time, in hours, that was required to restore service to customers who experienced an Outage.

(H) Non-Utility Power Supplier: any power supplier not holding a certificate of public good to provide retail distribution service.

Section 4.902 Operating Guidelines

(A) Each electric transmission and/or distribution utility shall use all reasonable means to avoid Outages. Losses of power to customers that are not Outages should be minimized in both frequency and duration, consistent with safety. Any significant degradation of power quality caused by an event listed in section 4.903(B)(2) of this Rule should be remedied in the shortest possible time, consistent with safety.

(B) When service is interrupted to perform work on lines or equipment, such work shall be done at a time causing minimum inconvenience to customers consistent with the circumstances. Customers seriously affected by such Outage shall be notified in advance, if practicable.

(C) The Department of Public Service and the Public Utility Commission shall be notified whenever evidence indicates the Outage may be of sufficient duration to create serious conditions in homes, farms, or industry.

Section 4.903 Recording and Reporting Requirements

(A) Each electric transmission and/or distribution utility shall keep a record of each Outage, including the date and time of interruption, the actual number of customers affected (to the extent practicable), the date and time of service restoration, the Outage Duration, the Customer Hours Out, identification of the circuit(s) affected, and, when known, the cause of such Outage (using the categories delineated in Section 4.903(B)(2)). This detailed information shall be used to compute the summaries in the reliability reports in Section 4.903(B), shall be maintained for at least three years following development, and shall be provided to the Public Utility Commission or the Department of Public Service in the electronic format prescribed by the Commission upon request.

(B) Each electric transmission and/or distribution utility shall develop reliability reports on a calendar-year basis beginning with calendar year 2001. Reports shall be filed with the Public Utility Commission and the Department of Public Service no later than 30 days after the end of each calendar year. The format of the reports shall be that prescribed by the Commission. At a minimum, each report shall include:

(1) SAIFI and CAIDI reliability indices on a system-wide basis;

(2) A table showing the number of Outages and the total Customer Hours Out, system-wide, experienced during the reporting period due to each of the following categories of causes:

(a) Trees -- Outages caused by the interaction of trees and tree branches (regardless of whether the tree originated inside or outside of the right-of- way) with the electric system, including Outages resulting from trees interacting with the electric system during severe weather. Tree-related Outages which result from operator error, accidents, or animals (e.g., beavers) should be listed under the respective cause-related category.

(b) Weather -- Outages caused by wind, snow, lightning, ice, and flooding. Outages from weather events which cause trees to interact with the electrical system should be listed in the trees category.

(c) Company Initiated Outage -- Outages caused by utility scheduled construction and maintenance.

(d) Equipment Failure -- Outages caused by specific equipment failures such as transformer or arrester failures.

(e) Operator Error -- Outages caused by utility or utility contractor error, including contract tree trimmer error.

(f) Accidents -- Outages caused by accidents by other than utility employees or contractors, including the felling of trees into utility lines, as well as outages resulting from emergencies such as police or fire department requests for shutdowns.

(g) Animals -- Outages caused by the interaction of animals such as birds, squirrels, and racoons with the electric system. Outages also caused by trees, in which the root cause is the action of an animal, should also be placed in this category.

(h) Power Supplier -- Outages caused by the loss of power supply from another utility.

(i) Non-Utility Power Supplier -- Outages caused by the loss of power supply from a non-utility provider.

(j) Other -- Outages with known causes that fall outside of the categories listed above.

(k) Unknown -- Outages with causes unknown.

(3) An overall assessment of system reliability that addresses the areas where most Outages occur and the causes underlying most Outages. This assessment should be based on long-term reliability trends and consider the most recently compiled reliability data. Based on this assessment, the utility should describe, for both the long and short terms, appropriate and necessary activities, action plans, and implementation schedules for correcting any problems identified in the above assessment.

(C) At its option, a utility's annual reliability report may include an explanation of Outage anomalies that significantly impacted the reliability indices and provide supplemental indices that net the affect of these anomalies. Such anomalies could include, though not necessarily be limited to, extremely severe and unusual weather events and region-wide blackouts.

History

• EFFECTIVE DATE: November 1, 2000
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 006]

Chapter 5100 CONSTRUCTION AND OPERATION OF NET METERING SYSTEMS

30-5100 Code Vt. R. 30-000-5100-X CONSTRUCTION AND OPERATION OF NET METERING SYSTEMS

PART I GENERAL PROVISIONS

5.101 Purpose and Scope.

(A) This Rule governs the terms upon which any electric company offers net-metering service within its service territory. In addition, this Rule governs the application for and issuance, amendment, transfer, and revocation of a certificate of public good for net-metering systems under the provisions of 30 V.S.A §§248, 8002, and 8010.

(B) Except as modified by Section 5.125 (Pre-Existing Net-Metering Systems), this Rule applies to all net-metering systems in Vermont and applies to every person, firm, company, corporation, and municipality engaged in the site preparation, construction, ownership, or operation of any net-metering system that is subject to the jurisdiction of this Commission.

(C) No person may commence site preparation for or construction of a net-metering system or convert an existing plant into a net-metering system without first obtaining a CPG under this Rule.

(D) In the event that any portion of this Rule is found by a court of competent jurisdiction to be illegal or void, the remainder is unaffected and continues in full force and effect.

5.102 Computation of Time.

(A) Computation. Under this Rule, time is computed in accordance with Commission Rule 2.207.

(B) Enlargement. The Commission for cause shown may at any time in its discretion:

(1) Grant an extension of time if it is requested before the expiration of the period originally prescribed, or

(2) Upon request made after the expiration of the specified period, grant an extension where the failure to act was the result of excusable neglect or other good cause.

5.103 Definitions.

For the purposes of this Rule, the following definitions apply:

"Account" means a unique identifier assigned by the electric company to a customer for billing purposes. A customer account may include one or more meters.

"Adjoining Landowner" means a person who owns land in fee simple that:

(1) Shares a property boundary with the tract of land on which a net-metering system is located; or

(2) Is adjacent to that tract of land and the two properties are separated only by a river, stream, railroad line, or public highway.

"Adjustor" means a positive or negative charge applied to production kWh based on factors related to site selection (Site Adjustor) and retention of tradeable renewable energy credits (REC Adjustor).

"Amendment" means a request for approval of a modification to a proposal that is either under review or has been approved by the Commission. The term amendment also includes requests to change the terms or conditions of a CPG issued by the Commission.

"Applicant" means the entity seeking authorization to construct and operate a net-metering system.

"Billing Meter" means an electric meter that measures either the consumption of electricity by a customer or the net of electric consumption by the customer and production by the net metering system.

"Blended Residential Rate" means the lesser of either:

(1) For electric companies whose general residential service tariff does not include inclining block rates, the $/kWh charge set forth in that electric company's tariff for general residential service;

(2) For electric companies whose general residential service tariff does include inclining block rates, a blend of the electric company's general residential service inclining block rates that is determined by adding together all of the revenues to the company during the most recent calendar year from kWh sold under those block rates and dividing the sum by the total kWh sold by the company at those rates during the same year; or

(3) The weighted statewide average of all electric company blended residential retail rates, as determined by the Commission, whichever is lower.

"Capacity" means the rated electrical nameplate for a plant, except that, in the case of a solar energy plant, the term means the aggregate AC nameplate capacity of all inverters used to convert the plant's output to AC power. The capacity of an inverter is not changed when it is derated.

"Category I Net-Metering System" means a net-metering system that is not a hydroelectric facility and that has a capacity of 15 kW or less.

"Category II Net-Metering System" means a net-metering system that is not a hydroelectric facility that has a capacity of more than 15 kW and less than or equal to 150 kW, and that is sited on a preferred site.

"Category III Net-Metering System" means a net-metering system that is not a hydroelectric facility, that has a capacity of greater than 150 kW and less than or equal to 500 kW, and that is sited on a preferred site.

"Category IV Net-Metering System" means a net-metering system that is not a hydroelectric facility, that has a capacity of greater than 15 kW and less than or equal to 150 kW, and that is not located on a preferred site.

"Certificate Holder" means one who holds a CPG. The certificate holder must have legal control of the net-metering system.

"Certificate of Public Good" or "CPG" means a certificate of public good issued by the Commission pursuant to 30 V.S.A. §8010.

"Commissioned" or "Commissioning" means the first time a plant is put into operation following the initial construction of the plant.

"Conditional Waiver of a Criterion of 30 V.S.A. §248" means the Commission waiver of the requirements for the presentation of evidence under the criterion, a specific review of the project by the Commission under the criterion, and the development of specific findings of facts for the criterion, unless the Commission finds that the application raises a significant issue under that criterion.

"Customer" means a retail electric consumer.

"Department" means the Vermont Department of Public Service.

"Earth disturbance" means construction activities including clearing, grading, and excavating, but does not include routine maintenance that is performed to maintain the original line and grade, hydraulic capacity, or original purpose of the facility.

"Electric Company" means the utility serving the net-metering customer or the utility that would serve an applicant seeking authorization to construct and operate a net-metering system, as the context indicates.

"Excess Generation" means the following: for customers who elect to wire net-metering systems such that they offset consumption on the billing meter, excess generation is the number of kWh by which production exceeds consumption. For customers who elect to wire net-metering systems such that they do not offset consumption on any customer's billing meter, all recorded production is considered excess generation.

"File" means the submission of documents, exhibits, plans, information, or other materials to the Commission through the Commission's electronic filing system, by delivery to the Commission's offices, or by delivery to the Commission during the course of a hearing.

"Group Net-Metering System" means a net-metering system serving more than one customer, or a single customer with multiple electric meters, located within the service area of the same retail electricity provider. Various buildings owned by municipalities, including water and wastewater districts, fire districts, villages, school districts, and towns, may constitute a group net-metering system. A union or district school facility shall be considered in the same group net-metering system with buildings of its member municipalities that are located within the service area of the same retail electricity provider that serves the facility.

"Host Landowner" means the owner of the property on which the net-metering system is or will be located.

"kW" means kilowatt or kilowatts (AC).

"kWh" means kilowatt hours.

"Inclining Block Rate" means a rate structure where an electric company charges a higher rate for each incremental block of electricity consumption.

"Interconnection Facilities" means all facilities and equipment between the generation resource and the point of interconnection, including any modifications, additions, or upgrades that are necessary to physically and electrically interconnect the generation resource to the interconnecting utility's distribution or transmission system.

Interconnection facilities are sole-use facilities and do not include system upgrades.

"Project Limits" means the boundary within which all construction, materials storage, earth disturbance, vegetation clearing, planting, management, landscaping, and any other activities related to site preparation, construction, operation, maintenance, and decommissioning take place as a result of the net-metering system, including the creation or modification of access roads and utility lines.

"Net-Metering" means the process of measuring the difference between the electricity supplied to a customer and the electricity fed back by a net-metering system(s) during the customer's billing period:

(1) using a single, non-demand meter or such other meter that would otherwise be applicable to the customer's usage but for the use of net metering; or

(2) if the system serves more than one customer, using multiple meters. The calculation shall be made by converting all meters to a non-demand, non-time-of-day meter, and equalizing them to the tariffed kWh rate.

"Net-Metering System" means a plant for generation of electricity that:

(1) is of no more than 500 kW capacity;

(2) operates in parallel with facilities of the electric distribution system;

(3) is intended primarily to offset the customer's own electricity requirements; and

(4) either (i) employs a renewable energy source; or (ii) is a qualified micro-combined heat and power system of 20 kW or less that meets the definition of combined heat and power facility in subsection 8015(b)(2) of Title 30 and uses any fuel source that meets air quality standards.

"Non-Bypassable Charges" means those charges on the electric bill defined in an electric company's tariffs that apply to a customer regardless of whether they net-meter or not. Non-bypassable charges may not be offset using current or previous net-metering credits. A customer is liable for payment of these charges regardless of whether the customer has a credit balance resulting from net-metering. The customer charge, energy efficiency charge, energy assistance program charge, any on-bill financing payment, and any equipment rental charge are non-bypassable charges.

"Party" means any person who has obtained party status under Section 5.117 of this Rule.

"Plant" means an independent technical facility that generates electricity from renewable energy. A group of facilities, such as wind turbines, will be considered one plant if the group is part of the same project and uses common equipment and infrastructure, such as roads, control facilities, and connections to the electric grid. Common ownership, control, proximity in time of construction, and proximity of facilities to each other will be relevant to determining whether a group of facilities is part of the same project.

"Pre-Existing Net-Metering System" means a net-metering system for which a completed CPG application was filed with the Commission prior to January 1, 2017, and whose completed application was either filed at a time when net-metering was being offered by the electric company pursuant to 30 V.S.A. §219 a (h)(1)(A) as the statute existed on December 31, 2016, or qualified under state law as a system that did not count towards the capacity limit on net-metering contained in that statute.

"Preferred Site" means one of the following, provided that the site does not require significant forest clearing:

(1) A new or existing structure whose primary use is not the generation of electricity or providing support for the placement of equipment that generates electricity;

(2) A parking lot canopy over a paved parking lot, provided that the location remains in use as a parking lot;

(3) A tract previously developed for a use other than siting a plant on which a structure or impervious surface was lawfully in existence and use prior to July 1 of the year preceding the year in which an application for a certificate of public good under this Rule is filed. To qualify under this subdivision (3), the limits of disturbance of a proposed net-metering system must include either the existing structure or impervious surface and may not include any headwaters, streams, shorelines, floodways, rare and irreplaceable natural areas, necessary wildlife habitat, wetlands, endangered species, productive forestlands, or primary agricultural soils, all of which are as defined in 10 V.S.A. chapter 151. For purposes of this subsection, the energy generation component of the plant does not include interconnection facilities.

(4) Land certified by the Secretary of Natural Resources to be a brownfield site as defined under 10 V.S.A. §6642, provided any request to the Secretary of Natural Resources for such certification includes a report from a diligent and appropriate investigation, as required by 10 V.S.A. chapter 159.

(5) A sanitary landfill as defined in 10 V.S.A. §6602 and contiguous land, structures, appurtenances, and improvements on the land used for treating, storing, or disposing of solid waste, provided that the Secretary of Natural Resources certifies that the land constitutes such a landfill and contiguous land, structures, appurtenances, or improvements, and that the landfill is actively maintained under the authority of a postclosure certification, administrative order, or assurance of discontinuance, or in custodial care as recognized by the Agency of Natural Resources. To qualify under this subdivision (5), some portion of the plant must be located on the landfill cap.

(6) A gravel pit, quarry, or similar site for the extraction of a mineral resource, provided that:

(a) more than half of the energy generation component of the plant is located within the disturbed or previously disturbed portion of the extraction site. For purposes of this subsection, the energy generation component of the plant does not include interconnection facilities; and

(b) all state and local permit conditions related to reclamation of the site are satisfied before the operation of the plant.

(7) A specific location determined by the governing municipal legislative body and the municipal and regional planning commissions as suitable for the development of a net-metering system consistent with applicable policies in their respective plans. The specific location must be identified in a letter or letters from the municipal legislative body and the municipal or regional planning commissions based on their evaluation after having received the 45-day notice for the project. Such letters in no way limit the ability of municipalities and regional planning commissions to participate in the Commission's review of the net-metering system proposed to be constructed on the location identified in the letter.

(8) A site listed on the National Priorities List (NPL) established under the Comprehensive Environmental Response, Compensation, and Liability Act, 42 U.S.C. chapter 103, if the U.S. Environmental Protection Agency or the Agency of Natural Resources confirms that the site is listed on the NPL, and further provided that the Applicant demonstrates as part of its CPG application that:

(a) development of the plant on the site will not compromise or interfere with remedial action on the site; and

(b) the site is suitable for development of the plant.

(9) On the same parcel as, or directly adjacent to, a customer that has been allocated more than 50 percent of the net-metering system's electrical output. The allocation to the host customer may not be less than 50 percent during each of the first 10 years of the net-metering system's operation.

"Production Meter" means an electric meter that measures the amount of kWh produced by a net-metering system.

"Significant Forest Clearing" means clearing more than three acres of forest. For purposes of this Rule, the word forest means land that has at least 10 percent canopy cover by live trees of any size and associated naturally occurring vegetation or has had at least 10 percent canopy cover of live trees and associated naturally occurring vegetation in the past and has stumps, snags, or other evidence indicating that it has not been converted to a non-forest use at the time of a CPG application filing. To qualify as forest, an area must be at least one acre in size and 120 feet wide. In determining whether an area is at least one acre in size or 120 feet wide, any portion of a group or contiguous area of trees that extends beyond the project or parcel boundaries must be counted. Canopy cover must be measured from the outermost edge of tree crowns across a group or contiguous area of trees. The three-acre limit on significant forest clearing is cumulative and includes each discrete area of any forest proposed for clearing. Clearing of individual trees that are not part of a forest will not count toward the three-acre limit on significant forest clearing.

"Time-of-Use Meter" means an electric meter that measures the consumption of electricity during defined periods of the billing cycle.

"TOU" means time-of-use.

"Tradeable Renewable Energy Credit or REC" means all of the environmental attributes associated with a single unit of energy generated by a renewable energy source where:

(1) Those attributes are transferred or recorded separately from that unit of energy;

(2) The party claiming ownership of the tradeable renewable energy credits has acquired the exclusive legal ownership of all, and not less than all, the environmental attributes associated with that unit of energy; and

(3) Exclusive legal ownership can be verified through an auditable contract path or pursuant to the system established or authorized by the Commission, or any program for tracking and verifying the ownership of environmental attributes of energy that is legally recognized in any state and approved by the Commission.

PART II REGISTRATIONS AND APPLICATIONS FOR CPGS

5.104 Eligibility.

To be eligible to apply for a net-metering CPG under this Rule, an applicant must propose one of the following:

(A) A category I net-metering system;

(B) A category II net-metering system;

(C) A category III net-metering system;

(D) A category IV net-metering system; or

(E) A hydroelectric system with a capacity of 500 kW or less.

5.105 Registration of Hydroelectric Facilities, Ground-Mounted Photovoltaic Facilities of up to 15 kW in Capacity, Roof-Mounted Photovoltaic Net-Metering Systems of Any Capacity Up to 500 kW, and Mixed Ground- and Roof-Mounted Systems of up to 500 kW Where the Ground-Mounted Portion Does Not Exceed 15 kW.

(A) Applicability. The registration procedure is applicable only to hydroelectric facilities, ground-mounted photovoltaic systems of up to 15 kW, photovoltaic net-metering systems that are mounted on a roof, and mixed ground- and roof-mounted systems of up to 500 kW where the ground-mounted portion of the system does not exceed 15 kW.

(B) Form and Content. A net-metering system under this subsection must be registered with the Commission in accordance with the filing procedures and registration form prescribed by the Commission and must contain all of the information required by the instructions for completing that form.

(C) Timeframes. Unless otherwise directed by the Commission, a CPG will be deemed issued by the Commission without further proceedings, findings of fact, or conclusions of law, and the applicant may commence construction of the system on the 15th day following the filing of the form.

(D) Service. Upon filing the net-metering registration form with the Commission, the Commission's electronic filing system will send notice of the registration to the electric company, the Department, and the Agency of Natural Resources.

(E) Interconnection. All CPGs deemed issued under this Rule are conditioned on the CPG holder complying with all electric company interconnection requirements. Interconnection approval must be obtained from the electric company pursuant to Rule 5.500.

(1) For systems up to 15 kW, a registration form filed under this Rule constitutes a Rule 5.500 interconnection application. The review of the interconnection application by the electric company is governed by Rule 5.500.

(2) For systems greater than 15 kW, the applicant must obtain interconnection approval from the electric company under Rule 5.500 before submitting a registration form under this Rule.

5.106 Applications for Ground-Mounted Photovoltaic Net-Metering Systems Greater Than 15 kW and up to and Including 500 kW and for Facilities Using Other Technologies up to and Including 500 kW.

(A) Applicability. This application procedure is applicable to ground-mounted photovoltaic net-metering systems that are greater than 15 kW and up to 500 kW in capacity and mixed ground- and roof-mounted systems of up to 500 kW where the ground-mounted portion of the system exceeds 15 kW. This application procedure is also applicable to net-metering systems that use eligible technologies other than photovoltaic systems. This application procedure does not apply to hydroelectric facilities or roof-mounted photovoltaic net-metering systems with no ground-mounted system.

(B) Form and Content. An application for a CPG under this subsection must be filed with the Commission in accordance with the Commission's current filing procedures, using the application form prescribed by the Commission, and must contain all of the information required by this Rule and the instructions for that form. The Commission will develop forms for:

(1) Photovoltaic systems where the capacity of the ground-mounted portion of the system is greater than 15 kW, up to and including 50 kW;

(2) Net-metering systems using a technology other than photovoltaics up to and including 50 kW; and

(3) Net-metering systems with a capacity of greater than 50 kW up to and including 500 kW.

(C) Advance Submission Requirements. The applicant must provide notice of the application as follows:

(1) Recipients Entitled to Advance Submission. The applicant must provide the following persons with an advance submission, at least 45 days in advance of filing the application with the Commission:

(a) the municipal legislative bodies and municipal and regional planning commissions in the communities where the project will be located;

(b) all adjoining landowners;

(c) the host landowner;

(d) the Department of Public Service;

(e) the Agency of Natural Resources;

(f) the Natural Resources Commission, if the proposed net-metering system is located on a parcel subject to an Act 250 Land Use Permit;

(g) the Division for Historic Preservation;

(h) the Agency of Agriculture Food and Markets;

(i) the electric company; and

(j) the Commission.

(2) Method of Service of Advance Submission. The applicant must provide the advance submission to the municipal legislative body, municipal planning commission, adjoining landowners, and the host landowner by first-class mail, personal delivery, or any other means authorized by the persons entitled to service. Adjoining landowners must be identified using the host town's certified grand list as it existed no more than 60 days before the date of the advance submission or online through the Vermont Center for Geographic Information database, municipality-specific databases, the Vermont Department of Taxes grand lists, or electronic versions of grand lists maintained by municipalities. An applicant must verify with the relevant municipality that the online database provides accurate and current information regarding parcel ownership within that municipality. Documentation of verification must be signed and attested to by an applicant. Service of the advance submission on the state agencies, electric company, and regional planning commission will occur through ePUC, the Commission's electronic filing system.

(3) Contents of Advance Submission. The advance submission must state that the applicant intends to file a Section 8010 application with the Commission, must identify the location of the project site, and must provide a description of and site plan for the proposed project, including any aesthetic mitigation plan, in sufficient detail to afford the recipient reasonable notice of the nature of the project so that the recipient is able to make an informed judgment as to any potential impact the construction or operation of the project may have on any interest of the recipient that is within the Commission's jurisdiction to address. The submission must provide contact information and state that the recipient may file inquiries or comments with the applicant about the project and that the recipient will also have an opportunity to file comments with the Commission once the application is filed.

(4) Timing of Advance Submission and Application. If, within 180 days of the date of the advance submission, the applicant has not filed a complete application for the project that fully complies with the filing requirements of this Rule, the submission will be treated as withdrawn without further action required by the Commission.

(D) Filing Requirements. Applications must contain the following information. Failure to provide any required information will result in the application being deemed incomplete:

(1) Applicant name. The application must include the legal name (and the "doing business as" name, if different), contact information, Vermont business registration number (if applicable), and a description of the company or person making the application. For example:

XYZ Corporation (d/b/a ABC Solar)

Headquarters at 123 Maple Lane, Anytown, VT 05600

Service Agent: Jane Doe, Esq.

VT Business ID#: 12345

(2) Host landowner. The application must include the name and address of the legal owner of the land on which the proposed net-metering system would be built.

(3) Adjoining landowners. The application must include the names and addresses of all adjoining landowners. Adjoining landowners must be identified using the host town's certified grand list as it existed no more than 60 days before the date of the advance submission or online through the Vermont Center for Geographic Information database, municipality- specific databases, the Vermont Department of Taxes grand lists, or electronic versions of grand lists maintained by municipalities. An applicant must verify with the relevant municipality that the online database provides accurate and current information regarding parcel ownership within that municipality. Documentation of verification must be signed and attested to by an applicant.

(4) Certification that advance submission requirements have been met. The applicant must certify that it has complied with the advance submission requirements listed above.

(5) Site plans. The applicant must provide a site plan for each project. A site plan must include:

(a) Proposed facility location and any project features;

(b) Approximate property boundaries and setback distances from those boundaries to the corner of the closest project-related structure, approximate distances to any nearby residences, and dimensions of all proposed improvements;

(c) Proposed utilities, including approximate distance from source of power, sizes of service available and required, and approximate locations of any proposed utility or communication lines;

(d) Locations, specific descriptions, and the total acreage of any areas where vegetation is to be cleared or altered, proposed earth disturbance, a description of any proposed direct or indirect alterations to or impacts on wetlands or other natural resources protected under 30 V.S.A. §248(b)(5), including the project limits, and the total acreage of forest clearing;

(e) Detailed plans for any drainage of surface and/or sub-surface water and plans to control erosion and sedimentation both during construction and as a permanent measure;

(f) Locations and specific descriptions of proposed screening, landscaping, groundcover, fencing, exterior lighting, and signs;

(g) Plans of any proposed access driveway, roadway, or parking area at the project site, including grading, drainage, and traveled width, as well as a cross-section of the access drive indicating the width, depth of gravel, paving, or surface materials; and

(h) The latitude and longitude coordinates for the proposed project.

(6) Wetland delineation. The applicant must provide either a wetland delineation prepared by a qualified consultant, or a letter from the district wetland ecologist or a qualified consultant stating that no delineation is necessary because the net-metering system will not be proximate to any significant wetlands. The wetland delineation must have been completed within the five years before the date of the application.

(7) Response to comments received in response to 45-day advance submission. The applicant must file a document summarizing the comments and recommendations received in response to the 45-day notice. The document must respond to the issues raised in those comments and recommendations and must state what steps the applicanthas taken to address those issues or why the applicant is unable to do so. Preferred-Site Documentation.

(a) Brownfields. If a project will be located on a brownfield and an applicant claims preferred-site status under subsection (4) or (7) of the definition of "preferred site," the applicant must provide a site investigation report, as required by the Agency of Natural Resources' Investigation and Remediation of Contaminated Properties Rule, or a letter from the Secretary of Natural Resources stating that a site investigation report is not necessary.

(b) Resource extraction sites. If a project will be located on a resource extraction site and an applicant claims preferred-site status under subsection (6) or (7) of the definition of "preferred site," the applicant must provide:

(i) Evidence depicting what is or was the disturbed portion of the site, which may include plans for the extraction site, aerial photographs, topographic surveys, and information about vegetative communities; and

(ii) If the extraction site has state or local permits with reclamation requirements, copies of such permits and documentation from the permitting agency stating that all permit reclamation requirements have been or will be satisfied before operation of the plant.

(8) Proof of interconnection approval. The applicant must receive approval to interconnect the proposed net-metering system to the interconnecting utility's distribution system before filing an application. Interconnection applications and disputes about interconnection requirements are governed by Rule 5.500.

(9) A statement of whether the proposed net-metering system will be in a flood hazard area or river corridor and whether the proposal will comply with the Agency of Natural Resources' Flood Hazard Area and River Corridor Rule.

(10) Adjacent facilities. The applicant must identify any known (e.g., visible from the project site, or developed by the same applicant, developer, installer, or an affiliated entity) existing or planned generation facilities on the same or an adjacent parcel as the proposed net-metering system. The applicant must:

(a) State the distance between the facilities;

(b) Identify the owner(s) of the facilities and explain their relationship, if any;

(c) Describe the timing of the construction of the facilities;

(d) Identify and describe any infrastructure shared by the facilities; and

(e) Provide a site plan showing the two facilities.

(11) Systems greater than 50 kW must provide the following:

(a) Required evidence, project narrative, proposed findings, and proposed CPG. The applicant must provide evidence demonstrating that the proposed net-metering system will meet the criteria applicable to the system under Section 5.111 of this Rule. A witness sponsoring evidence must file a notarized affidavit stating that the information provided is accurate to the best of the witness's knowledge. All evidence must be sponsored by a witness. The witness must further attest to having personal knowledge to be able to testify as to the validity of the information contained in the evidence. The applicant must include a brief project narrative describing the project in plain terms. The applicant must file proposed findings of fact and a proposed CPG with the application.

(b) The presence and total acreage of primary agricultural soils as defined in 10 V.S.A. §6001 on each tract to be physically disturbed in connection with the construction and operation of the net-metering system, the amount of those soils to be disturbed, and any other proposed impacts to those soils.

(c) For each proposed structure, the applicant must provide elevation drawings. The elevation drawings must be to appropriate scales but no smaller than 1"/20'.

(i) The applicant must include two elevation drawings of the proposed structures drawn at right angles to each other, showing the ground profile to at least 100 feet beyond the edge of any proposed clearing, and showing any guy wires or supports. The elevation drawing must show height of the structure above grade at the base, and describe the proposed finish of the structure.

(ii) The elevation drawing must indicate the relative height of the facility to the tops of surrounding trees as they presently exist.

(d) Local and regional plans. The applicant must provide copies of the relevant sections of any town plan and regional plan in effect in the community in which the proposed facility will be located. The applicant must describe how the project complies with or is inconsistent with the land conservation measures in those plans.

(e) Decommissioning plan. All applications for net-metering systems with capacities equal to or greater than 150 kW must include a decommissioning plan that provides for the removal and safe disposal of project components and the restoration of any primary agricultural soils, if such soils are present within the net-metering system's project limits.

(E) Review for Administrative Completeness. Commission staff will review all filed applications to determine whether they are administratively complete enough to process. Applicants should receive an e-mail message with the results of this review within 7 days of the date the Commission received the application; however, the expiration of this time period without the receipt of an e-mail message does not constitute a determination that the application is administratively complete enough to process. If the application is found to be complete, the applicant must provide copies of the application to the persons set forth in Sections 5.106(F), below. If the application is found to be incomplete, the applicant will be informed of the deficiencies and will be given an opportunity to cure them. A determination that an application is administratively complete enough to process is not a legal determination regarding the sufficiency of the information included in the application.

(F) Service of Copies of Applications. Within 2 business days after the application is determined to be administratively complete, the applicant must serve copies of the application in accordance with this section.

(1) Entities Entitled to Copies of the Application:

(a) the municipal legislative bodies and the municipal and regional planning commissions where the net-metering system will be located;

(b) the host landowner;

(c) all adjoining landowners;

(d) the Department of Public Service;

(e) the Agency of Natural Resources;

(f) the Natural Resources Commission, if the proposed net-metering systems is located on a parcel subject to an Act 250 Land Use Permit;

(g) the Division for Historic Preservation;

(h) the Agency of Agriculture Food and Markets; and

(i) the electric company.

(2) Method of Service.

Notice to state agencies, the electric company, and regional planning commissions will occur through ePUC. The applicant must provide notice to any affected municipal legislative body and planning commission, host landowner, and adjoining landowners by first-class mail, personal delivery, or any other means authorized by the person entitled to service. This notice must include, at a minimum, the case number, a reference and link to the advance submission required under Rule 5.106(C), a general description of the proposed net-metering system and its location, a statement that a complete application has been filed with the Commission and that the case has been opened, and information and a link that will allow the recipient to access the complete application electronically.

The notice must also include instructions on how a recipient can contact the applicant to obtain a hard copy of the complete project plans and petition if the recipient is not able to access them electronically. If a hard copy is requested by the recipient, the applicant must serve it by first-class mail or its equivalent within 4 days of the request.

(G) Effect of Failure to Provide Timely Service. The Commission will grant reasonable extensions of time to the entities listed under (F)(1), above, to make a responsive filing when the applicant fails to cause timely service of copies of an application.

5.107 [DELETED].

5.108 Amendments to Pending Registrations and Applications.

(A) An applicant may amend a pending Section 5.105 registration by filing an amended registration form in the pending registration case. The applicant must pay the modification fee set forth in 30 V.S.A. §248 c(d). The filing of an amended registration form will trigger a new 14-day review period and a CPG will be deemed issued on the 15th day after the filing, unless otherwise ordered by the Commission.

(B) An applicant may amend a pending Section 5.106 application by filing a motion in the pending application case. The applicant must pay the modification fee set forth in 30 V.S.A. §248 c(d). Applicants must provide notice of all substantial changes to all persons and entities who were entitled to receive a copy of the original application. The motion must include sufficient information, including an amended site plan, so that the Commission can understand the nature of the proposed change and its impact, if any, under any of the Section 248 criteria. In response to a motion to amend, the Commission may, in its discretion:

(1) request additional information from the applicant;

(2) request comments from interested persons; and

(3) undertake any other process necessary to ensure the adequate review of the proposed amendment.

(C) Effect of amendment on applicable REC and siting adjustors. Except as provided below, the REC and siting adjustors applicable to an amended net-metering system, if any, will be based on the date that the first, complete application or registration was filed with the Commission and not on the date that the amendment request was filed. An amendment or series of amendments that increase the capacity of a net-metering system by more than 5% or 15 kW, whichever is greater, will trigger the application of the most recently adopted siting and REC adjustors to the entire output of the amended net-metering system.

(D) Any amendment that is a material modification, as that term is defined in Rule 5.500, must be approved by the interconnecting utility before the amendment motion is filed with the Commission.

5.109 Substantial Changes to Approved Net-Metering Systems and Amendment of CPGs.

Commission approval is required for any substantial change to the plans of a net-metering system that has been issued or deemed issued a certificate of public good. An amended CPG, necessitated by changes substantial or non-substantial, may be obtained in the following manner:

(A) If the amended system meets the eligibility criteria to register for a CPG under Section 5.105, then the CPG holder may obtain an amended CPG by filing a revised registration form with the Commission. The registration must be filed as a new case in ePUC and will receive a new case number. The CPG holder requesting an amendment must submit the fee due for modifications under 30 V.S.A. §248 c(d)(3)(B).

(B) Amendment of CPGs issued pursuant to Rule 5.106. If the approved net-metering system has not been commissioned at the time the change is proposed, a request for an amendment to the CPG may be filed in the same case in which the CPG was issued. If the case in which the CPG was issued has been closed, the CPG holder must contact the Clerk of the Commission before filing. If the approved net-metering system has been commissioned, then the request for an amendment must be filed in a new case. The CPG holder requesting an amendment must submit the fee due for modifications under 30 V.S.A. §248 c(d)(3)(B).

(1) The CPG holder must provide notice of substantial changes to all parties to the original CPG case and the entities entitled to notice of a new application, including any newly affected adjoining landowners. Notice does not need to be given to previous adjoining landowners who have transferred their interests since the time of the project's approval. New case procedures, including the provision of a 45-day advance submission, do not apply. The request must include evidence addressing each of the applicable Section 248 criteria under which the change has the potential to have a significant impact.

(2) The CPG holder must provide notice of requests for amendments to CPGs that are the result of non-substantial changes to the parties to the original CPG case. New case procedures, including the provision of a 45-day advance submission, do not apply. The request must include sufficient information for the Commission to determine that the proposed changes do not have the potential for significant impact under the applicable Section 248 criteria.

(C) The maintenance and repair of net-metering systems and the replacement of equipment with like equipment do not require advance notice or Commission approval.

(D) Effect of amendment on applicable REC and siting adjustors. Except as provided below, the REC and siting adjustors applicable to an amended net-metering system, if any, will be based on the date that the first, complete application or registration was filed with the Commission and not on the date that the amendment request was filed. An amendment or series of amendments that increase the capacity of a net-metering system by more than 5% or 15 kW, whichever is greater, will trigger the application of the most recently adopted siting and REC adjustors to the entire output of the amended net-metering system.

(E) Any amendment that is a material modification, as that term is defined in Rule 5.500, must be approved by the interconnecting utility before the amendment is proposed to the Commission.

5.110 Transfer and Abandonment of CPGs.

(A) A CPG for a net-meteringsystem is deemed to be automatically transferred when the property hosting a net-metering system is sold or legal title is otherwise conveyed to a new owner. The new owner may continue operating the net-metering system provided that the new owner provides written notice of the transfer to the electric company.

(B) A CPG for a net-metering system that is transferred independently of a change in ownership of the property hosting the net-metering system may be transferred provided that:

(1) the original certificate holder is in compliance with all terms and conditions of the CPG;

(2) the new certificate holder complies with all terms and conditions of the CPG and complies with this Rule 5.100; and

(3) within 30 days after acquiring ownership of the system, the new owner of a groundmounted system completes and files an official transfer form with the Commission, the Department of Public Service, the Agency of Natural Resources, and the electric company, or within 30 days after acquiring ownership of the system, the new owner of a roofmounted system completes and files an official transfer form with the Commission, the Department of Public Service, and the electric company.

(C) Abandonment. Non-use of a CPG for a period of one year following the date the CPG is issued will result in the revocation of the CPG without further action by the Commission. For the purpose of this section, for a CPG to be considered used, the net-metering system must be commissioned. A CPG holder may obtain an automatic one-year extension of time by providing written notice to the Commission and the electric company. Such notice must be (1) filed in the case in which the CPG was issued or deemed issued, unless the case is closed, in which case the filer should contact the Clerk, and (2) filed before the one-year anniversary of CPG issuance; otherwise the CPG will be deemed revoked. Further extensions will only be granted upon written request and for good cause shown before expiration of the CPG. A CPG holder may abandon a CPG before construction by providing written notice to the Commission, the Department, the Agency of Natural Resources, and the electric company.

5.111 Substantive Criteria of 30 V.S.A. §248(b) Applicable to Net-Metering CPG Registrations and Applications.

Pursuant to 30 V.S.A. §8010, which provides that the Commission may waive the requirements of 30 V.S.A. §248(b) that are not applicable to net-metering systems, the Commission will review registrations and applications for net-metering systems for compliance with the following statutory criteria. All other criteria are conditionally waived.

(A) For state-jurisdictional hydroelectric net-metering systems and for net-metering systems that are located on a new or existing structure whose primary use is not the generation of electricity or providing support for the placement of equipment that generates electricity: 30 V.S.A. §248(b)(3).

(B) For net-metering systems that are not located on a new or existing structure whose primary use is not the generation of electricity or providing support for the placement of equipment that generates electricity and that elect to transfer the tradeable renewable energy credits to the electric company: 30 V.S.A. §§248(b)(1); (b)(3); (b)(5), except that the applicant does not need to address the effect of the net-metering system on municipal services, educational services, transportation, water conservation, sufficiency of water, existing water supply, or greenhouse gases; (b)(8); and Section 248(s).

(C) For net-metering systems that are not located on a new or existing structure whose primary use is not the generation of electricity or providing support for the placement of equipment that generates electricity and that elect to retain the tradeable renewable energy credits generated by the net-metering system: 30 V.S.A. §§248(b)(1); (b)(2); (b)(3); (b)(5), except that the applicant does not need to address the effect of the net-metering system on municipal services, educational services, transportation, water conservation, sufficiency of water, existing water supply, or greenhouse gases; (b)(8); and Section 248(s).

5.112 Aesthetic Evaluation of Net-Metering Projects.

(A) Quechee Test. In determining whether a net-metering system satisfies the aesthetics criterion contained in 30 V.S.A. §248(b)(5), the Commission applies the so-called "Quechee test" as described in the case In Re Halnon, 174 Vt. 515 (2002) (mem.), set forth below:

(1) Step one: Determine whether the project would have an adverse impact on aesthetics and the scenic and natural beauty of an area because it would not be in harmony with its surroundings. If the answer is no, then the project satisfies the aesthetics criterion. If yes, move on to step two.

(2) Step two: The adverse impact will be found to be undue if any one of the three following questions is answered affirmatively:

(a) Would the project violate a clear, written community standard intended to preserve the aesthetics or scenic, natural beauty of the area?

(b) Would the project offend the sensibilities of the average person?

(c) Have the applicants failed to take generally available mitigating steps that a reasonable person would take to improve the harmony of the proposed project with its surroundings?

(B) Adverse Aesthetic Impact. In order to determine that a project would have an adverse impact on aesthetics and the scenic and natural beauty under subsection (A)(1), above, the Commission must find that a project would be out of character with its surroundings. Specific factors used in making this evaluation include the nature of the project's surroundings, the compatibility of the project's design with those surroundings, the suitability of the project's colors and materials with the immediate environment, the visibility of the project, and the impact of the project on open space.

(C) Clear, Written Community Standard. In order to find that a project would violate a clear, written community standard, the Commission must find that the Project is inconsistent with a provision of the applicable town or regional plan that:

(1) Designates specific scenic resources in the area where the project is proposed. Statements of general applicability do not qualify as clear, written community standards. For example, the general statement that "agricultural fields shall be preserved" would not qualify because the statement does not designate specific resources as scenic. The statement "the agricultural fields to the west of Maple Road are scenic resources that must be preserved" would qualify because it designates specific resources as scenic.

(2) Provides specific guidance for project design. For example, the statement "only dwellings, forestry, and agriculture are permitted within the Maple Road scenic protection area" would be a clear standard because it states with specificity what type of development is permitted. The statement "all development in the Maple Road scenic protection area must maintain the rural character of the area" would not be a clear standard because it does not state with specificity what type of development is permitted.

(D) Offend the Sensibilities of the Average Person. A project will be found to offend the sensibilities of the average person if the project would be so out of character with its surroundings or so significantly diminish the scenic qualities of the area as to be offensive or shocking to the average person. In determining whether a project would offend the sensibilities of an average person, the Commission will consider the perspective of an average person viewing the project from both adjoining residences and from public vantage points.

(E) Generally Available Mitigating Steps. In determining whether an applicant has taken generally available mitigating steps, the Commission may consider the following:

(1) what steps, such as screening, the applicant is proposing to take;

(2) whether the applicant has adequately considered other available options for siting the project in a manner that would reduce its aesthetic impact;

(3) whether the applicant has adequately explained why any additional mitigating steps would not be reasonable; and

(4) whether mitigation would frustrate the purpose of the Project.

5.113 Setbacks.

Applicants seeking authorization to construct a ground-mounted net-metering system must comply with the following minimum setback requirements:

(1) From a state or municipal highway, measured from the edge of the traveled way:

(a) 100 feet for a solar facility with a plant capacity exceeding 150 kW; and

(b) 40 feet for a solar facility with a plant capacity less than or equal to 150 kW but greater than 15 kW.

(2) From each property boundary that is not a state or municipal highway:

(a) 50 feet for a solar facility with a plant capacity exceeding 150 kW; and

(b) 25 feet for a solar facility with a plant capacity less than or equal to 150 kW but greater than 15 kW.

(3) This subsection does not require a setback for a solar facility with a plant capacity equal to or less than 15 kW.

(4) In the case of a net-metering wind turbine, the facility must be set back from all property boundaries and public rights-of-way by a distance equal to at least twice the height of the turbine, as measured from the tip of the blade.

(5) On review of an application, the Commission may either require a larger setback than this subsection requires, or approve an agreement to a smaller setback among the applicant, the municipal legislative body, and each owner of property adjoining the smaller setback.

PART III PARTICIPATING IN THE REVIEW OF APPLICATIONS FOR CPGS Part III describes the procedures applicable to the review of net-metering applications filed pursuant to Sections 5.106 and 5.107. Part III does not apply to the review of net-metering registrations filed pursuant to Section 5.105.

5.114 Obtaining Information About a Net-Metering CPG Application.

Interested persons may obtain information about a net-metering CPG application by visiting ePUC at https://epuc.vermont.gov or by contacting the Clerk of the Commission.

5.115 Rules and Processes Applicable to the Review of Net-Metering CPG Applications.

The purpose of this Rule is to simplify the process of participating in the review of applications for net-metering CPGs. In keeping with this purpose, the process for reviewing CPG applications is described in Sections 5.116 through 5.124, below. Any procedure not described in this Rule is governed by the provisions of Rule 2.200. Where there is a conflict between the procedures described in this Rule and any other Commission rule, the provisions of this Rule govern.

5.116 Submission of Public Comments.

When a net-metering application is filed with the Commission, the public may file comments addressing whether the application should be approved. All public comments concerning an application must be filed with the Commission, with a copy sent to the applicant, within 30 days from the date of notification by the Commission that the application is administratively complete. These public comments will be viewable on the Commission's electronic filing system. The applicant may file a written response to all timely filed public comments with the Commission within 15 calendar days of the close of the 30-day public comment period, unless otherwise directed by the Commission.

5.117 Party Status in Net-Metering CPG Proceedings.

(A) When a person wishes to participate in the review of a CPG application as a party, which is a prerequisite to filing an appeal of a final Commission decision, such person must obtain party status from the Commission.

(B) The following persons must obtain party status as follows:

(1) The Vermont Department of Public Service and the Agency of Natural Resources are parties in any proceeding under this Rule.

(2) The following persons will obtain party status from the Commission only after filing a notice of intervention. All notices of intervention must be filed using ePUC unless the filing is accompanied by a request for a waiver under Commission Rule 2.107 to allow for paper filings. If a notice of intervention is filed in paper along with a request for a waiver of the requirement to use ePUC, the filer must mail copies of the entire filing to all parties in the case. Filers can obtain a list of names and addresses of the parties in the case by contacting Commission administrative staff at 802-828-2358 or puc.clerk@vermont.gov

The Commission will provide a form for such purpose:

(a) the electric company;

(b) the legislative body and the planning commission of the municipality in which a facility is located, pursuant to 30 V.S.A. §248(a)(4)(F);

(c) the regional planning commission of the region in which a facility is located;

(d) the regional planning commission of an adjacent region if the distance between the net-metering system's nearest component and the boundary of that adjacent region is less than or equal to 500 feet or 10 times the height of the facility's tallest component, whichever is greater;

(e) the legislative body and planning commission of an adjacent municipality if the distance between the net-metering system's nearest component and the boundary of that adjacent municipality is less than or equal to 500 feet or 10 times the height of the facility's tallest component, whichever is greater;

(f) adjoining landowners;

(g) the Vermont Agency of Agriculture Food and Markets;

(h) the Vermont Division of Historic Preservation; and

(i) the Natural Resources Board.

(C) Any other person seeking to participate in a net-metering proceeding as a party must file a motion to intervene either in accordance with Commission Rule 2.209 or by filing a form developed by the Commission for use under this Rule. All motions to intervene must be filed using ePUC unless the filing is accompanied by a request for a waiver under Commission Rule 2.107 to allow for paper filings. If a motion to intervene is filed in paper along with a request for a waiver of the requirement to use ePUC, the filer must mail copies of the entire filing to all parties in the case. Filers can obtain a list of names and addresses of the parties in the case by contacting Commission administrative staff at 802828-2358 or puc.clerk@vermont.gov.

(D) Any person who obtains party status acquires all of the legal rights and obligations of a party in a Commission proceeding. The filing of public comments on an application and the consideration of such public comments by the Commission do not confer party status. Party status is conferred only upon the filing of a notice of intervention by the persons listed in (B)(3), above, or upon issuance of an order from the Commission granting a duly filed motion to intervene.

5.118 Requests for Hearing.

The review of net-metering CPG applications is based upon the information contained in the application filed by the applicant. If a party wishes to offer contrary evidence or to challenge the accuracy of information contained in an application, then the party must request a hearing to present such evidence and argument. A party must file a request for hearing within 30 days from the date of notification by the Commission that the application is administratively complete. The request must identify the proposed issues to be resolved through the hearing. Unless the party has already been granted party status by the Commission, a request for a hearing must be accompanied by a notice of intervention or motion to intervene, pursuant to Section 5.117 of this Rule.

5.119 Circumstances When the Commission Will Conduct a Hearing.

(A) The Commission will grant a request for a hearing only if such request is filed by a party. Such a request may be included with a notice of intervention or motion to intervene. A hearing requested by a party will be granted provided that the request raises:

(1) one or more substantive issues under the applicable Section 248 criteria; or

(2) a substantive issue that is within the Commission's jurisdiction to resolve.

(B) Requests must be supported by more than general or speculative statements. For example, it is not sufficient to state that an application "violates Section 248(b)(5)." Instead, a party should state with specificity why the project raises a substantive issue under the Section 248 criteria. For example: "The application raises an issue under the aesthetics criterion under Section 248(b)(5) because the applicant has not proposed adequate mitigation to screen the western portion of the project from Maple Street."

5.120 Prehearing Conferences and Status Conferences.

In cases where the Commission has determined that a hearing will be held, on reasonable notice the Commission will conduct a prehearing conference prior to the hearing. The Commission may also conduct additional status conferences as necessary. Upon request of a party and in the discretion of the Commission, such conferences may be conducted telephonically. The following topics may be addressed at a prehearing or status conference:

(a) clarifying the issues to be addressed at the hearing and, if possible, narrowing them;

(b) identifying evidence, documents, witnesses, stipulations, and other offers of proof to be presented at a hearing;

(c) promoting the expeditious, informal, and nonadversarial resolution of issues and the settlement of differences;

(d) requiring the timely exchange of information concerning the application;

(e) setting a schedule for the prefiling of testimony and exhibits; and

(f) such other matters as the Commission deems appropriate.

5.121 [DELETED].

5.122 Procedure for Hearings.

(A) Notice. Prior to any hearing conducted under this Rule, each party will receive a notice stating the time, place, and nature of the hearing. The notice will include a short and plain statement of the matters at issue in the hearing and a statement of the statutes and rules involved in the case.

(B) Order of Witnesses, Marking of Exhibits. At the hearing the Commission will establish the order in which the parties will present their witnesses and evidence. At that time all exhibits and any other documents to be entered into the record must be marked for identification (for example, Exhibit Applicant-1).

(C) Pre-Filed Testimony and Exhibits. Each party must pre-file a copy of all testimony and exhibits with the Commission. Copies of such filings must be provided to the applicant and other parties at the time of filing. At the discretion of the Commission, parties may present live direct or rebuttal testimony.

(D) Cross-Examination. At the hearing, each party will be afforded a reasonable opportunity to ask questions of other parties' witnesses.

(E) Evidence. The Rules of Evidence, as modified by 3 V.S.A. §810, apply in hearings under this Rule.

(F) Transcript. Any hearing will be transcribed and a transcript will be made available to the public by the Commission.

(G) Briefs, Proposed Findings of Fact. At the conclusion of the hearing, the parties will state whether they wish to file proposed findings of fact or legal briefs. A schedule for making such filings will be established, if necessary.

5.123 Decisions.

After the conclusion of the hearing and after the submission of any briefs and proposed findings of fact, the Commission will issue a written decision in the case. In a case where a majority of the Commission members have not heard the case or read the record, a proposal for decision will be provided to the parties for comment and opportunity for oral argument prior to the issuance of a final decision.

5.124 Appeals of Commission Decisions.

Information about how to appeal a Commission decision to the Vermont Supreme Court will be provided with any final order from the Commission.

PART IV THE NET-METERING PROGRAM

5.125 Pre-Existing Net-Metering Systems.

(A) Eligibility. A pre-existing net-metering system must:

(1) have a complete CPG application filed with the Commission prior to January 1, 2017;

(2) the complete CPG application must have been filed at a time when the electric company was accepting net-metering systems pursuant to 30 V.S.A. §219 a(h)(1)(A) as the statute existed on December 31, 2016, or qualified under state law as a system that did not count towards the capacity limit on net-metering contained in that statute; and

(3) not have been amended to increase its capacity by more than 5% or 10 kW, whichever is greater, after the effective date of this Rule.

(B) [DELETED]

(C) Applicable Rates for Pre-Existing Net-Metering Systems. Customers using pre-existing net-metering systems shall, for a period of 10 years from the date of the net-metering system's commissioning, be credited for generation according to the rates and incentives provided for in 30 V.S.A. §219 a, as the statute existed on December 31, 2016, and the Commission's rules implementing that statute If the customer's system was commissioned before the electric company's first rate schedule to comply with Section 219 a(h)(1)(K) took effect, then the 10-year period shall run from the effective date of the electric company's first rate schedule implementing the incentive. At the end of the applicable 10-year period, customers using pre-existing net-metering systems shall be credited for excess generation as provided in Section 5.126 of this Rule or its successor.

(D) Non-Bypassable Charges. For a period of 10 years from the date that a pre-existing net-metering system was commissioned, a customer using that net-metering system may apply any accrued net-metering credits to any charge irrespective of whether that charge is a non-bypassable charge.

(E) Adjustors Not Applicable to Pre-Existing Net-Metering Systems. Pre-existing net-metering systems are not subject to any siting adjustors or REC adjustors established under this Rule.

(F) Tradeable Renewable Energy Credits. Any tradeable renewable energy credits created by pre-existing net-metering systems will continue to be either retained by the customer or transferred to the electric company per the election made by the applicant at the time of application for its CPG. For CPG applications filed prior to the time when such election was available, tradeable renewable energy credits are retained by the customer.

(G) Existing Groups Using Pre-Existing Net-Metering Systems. Notwithstanding Sections 5.129(C) through (E), an existing group or customer may have more than 500 kW of preexisting net-metering systems attributed to the group or customer if these net-metering arrangements were requested prior to January 1, 2017.

(H) Provisions of This Rule Applicable to Pre-Existing Net-Metering Systems. Pre-existing net-metering systems are subject only to the following provisions of this Rule.

(1) 5.109 (Amendments to Approved Net-Metering Systems);

(2) 5.110 (Transfers and Abandonment);

(3) 5.126 (Energy Measurement), except as modified by (C), above, and except that a customer is not required to install a production meter at a pre-existing system pursuant to 5.126(A)(1);

(4) 5.129 (Billing Standards and Procedures);

(5) 5.131 (Interconnection Requirements);

(6) 5.132 (Disconnection of Net-Metering Systems);

(7) 5.135 (Participation in Wholesale Markets);

(8) 5.137 (Energy Storage Facility Electrically Connected to a Net-Metering System); and

(9) 5.138 (Compliance Proceedings).

(I) All other net-metering systems are subject to all provisions of this Rule.

5.126 Energy Measurement for Net-Metering Systems.

(A) Electric energy measurement for net-metering systems must be performed in the following manner:

(1) At its own expense, the applicant must install a production meter to measure the electricity produced by the net-metering system.

(2) Individual Net-Metering System Billing: For customers who elect to wire net-metering systems such that they offset consumption on the billing meter, the billing meter establishes billing determinants for the customer's bill based on the rate schedule for the customer.

(a) At the end of the billing period, the electric company must net electricity produced with electricity consumed.

(i) If electricity consumed by the customer exceeds the electricity produced by the net-metering system, the customer must be billed the difference, net of any credit accumulated in the preceding 12 months. Credits may not be applied to non-bypassable charges as identified in a utility's tariff.

(ii) If the electricity produced by the net-metering system exceeds the electricity consumed, the excess generation must be monetized at the applicable blended residential rate. The monetized credit applies to all charges on the bill not identified as non-bypassable charges in a utility's tariff.

(iii) For the first 10 years after the system is commissioned, any zero or positive siting or REC adjustor set forth in the net-metering facility's CPG is multiplied by the kWh from the production meter and applied to the bill as a credit. For example, the $ 0.01/kWh siting adjustor for net-metering systems 15 kW or less will result in such systems receiving a bill credit of $ 0.01/kWh multiplied by all kWh on the production meter.

(iv) Any negative siting or REC adjustor set forth in the net-metering facility's CPG is multiplied by the kWh from the production meter and applied to the bill as an additional charge. For example, the -$ 0.03/kWh REC adjustor for net-metering systems that retain their RECs will result in such systems receiving a bill charge of $ 0.03/kWh multiplied by all kWh on the production meter.

(v) If credits remain after being applied to all charges not identified in an electric company's tariff as non-bypassable charges, such credits must be tracked, applied, or carried forward on customer bills, as described in Section 5.129.

(3) Group Net-Metering System Billing for Systems Not Directly Interconnected: For customers who elect to wire group net-metering systems such that they offset consumption on the billing meter, the billing meter establishes the billing determinants for the customer's bill based on the rate schedule for the customer.

(a) At the end of the billing period, the electric company must net electricity produced with electricity consumed on the generation account.

(i) If electricity consumed by the customer exceeds the electricity produced by the net-metering system, the customer must be billed the difference, net of any credit accumulated in the preceding 12 months. Credits may not be applied to non-bypassable charges as identified in a utility's tariff.

(ii) If the electricity produced by the net-metering system exceeds the electricity consumed, the excess generation must be allocated to group members and monetized at the applicable blended residential rate. The monetized credit applies to all charges on the bill not identified as non-bypassable charges in a utility's tariff.

(iii) For the first 10 years after the system is commissioned, any zero or positive siting or REC adjustor set forth in the net-metering facility's CPG is multiplied by the kWh from the production meter, allocated to the group members and applied to the bills as credits. For example, the $ 0.01/kWh siting adjustor for net-metering systems 15 kW or less will result in such systems receiving a bill credit of $ 0.01/kWh multiplied by all allocated kWh from the production meter.

(iv) Any negative siting or REC adjustor set forth in the net-metering facility's CPG is multiplied by the kWh from the production meter, allocated to the group members, and applied to the bills as additional charges. For example, the negative $ 0.03/kWh REC adjustor for net-metering systems that retain their RECs will result in such systems receiving a bill charge of $ 0.03/kWh multiplied by all allocated kWh from the production meter.

(v) If credits remain on group members' bills after being applied to all charges on the bills not identified as non-bypassable charges in an electric company's tariff, such credits must be tracked, applied, or carried forward on group member bills, as described in Section 5.129.

(4) Group Net-Metering System Billing for Systems Directly Interconnected: For customers who elect to wire group net-metering systems such that the generation is directly connected to the utility grid and does not also offset any customer's billing meter, the electricity produced by the net-metering system must be allocated to the group members and monetized at the applicable blended residential rate. The monetized credit applies to all charges on the bill not identified as non-bypassable charges.

(a) For the first 10 years after the system is commissioned, any zero or positive siting or REC adjustor set forth in the net-metering facility's CPG is multiplied by the kWh from the production meter, allocated to the group members, and applied to the bills as credits. For example, the $ 0.01/kWh siting adjustor for net-metering systems 15 kW or less will result in such systems receiving a bill credit of $ 0.01/kWh multiplied by all allocated kWh from the production meter.

(b) Any negative siting or REC adjustor set forth in the net-metering facility's CPG is multiplied by the kWh from the production meter, allocated to the group members, and applied to the bills as additional charges. For example, the negative $ 0.03/kWh REC adjustor for net-metering systems that retain their RECs will result in such systems receiving a bill charge of $ 0.03/kWh multiplied by all allocated kWh from the production meter.

(c) If credits remain on group members' bills after being applied to all charges on the bills not identified as non-bypassable charges in an electric company's tariff, such credits must be tracked, applied, or carried forward on group member bills, as described in Section 5.129.

(B) As part of a tariff filed for Commission approval pursuant to this Rule, an electric company may propose alternative methods of energy measurement for group net-metering systems if the application of Section (A), above, would cause unreasonable administrative burdens for the electric company. Such alternatives may not displace any of the applicable adjustors, credits, or charges provided in this Rule.

5.127 Determination of Applicable Rates and Adjustors.

(A) Depending on the electric company service territory in which the net-metering system is located, the blended residential rate used to determine the value of net-metering credits is the lowest of the following:

(1) For electric companies whose general residential service tariff does not include inclining block rates, the $/kWh charge set forth in that utility's tariff for general residential service;

(2) For electric companies whose general residential service tariff includes inclining block rates, a blend of those rates determined by adding together all of the revenues to the company during the most recent calendar year from kWh sold under those block rates and dividing the sum by the total kWh sold by the company at those rates during the same year. Each electric company whose general residential service tariff includes inclining block rates must perform this calculation (1) by May 15 of each even-numbered year and (2) within 15 days of the effective date of a new tariff for general residential service that includes a change in rates of more than 5%. To the extent the calculation shows that there has been a change from the rate then in effect, the electric company must file by that same date a revision to its net-metering tariff to reflect the change. Any change to the blended residential rate calculated pursuant to this section may be included in a tariff compliance filing made pursuant to Section 5.128(H) of this Rule; or

(3) The weighted average of the blended residential rates for all Vermont electric companies. The average is weighted by the annual retail sales of the electric companies.

(B) The REC adjustors are determined as follows:

(1) At the time an application for authorization to construct the net-metering system is filed with the Commission, the applicant must elect whether to retain ownership of any RECs generated by the system or whether to transfer such RECs to the electric company. This election is irrevocable. The electric company must retire all RECs transferred to it by a net-metering customer.

(2) The REC adjustor for a net-metering system must be calculated in dollars per kWh ($/kWh) at the time the Commission issues the net-metering system a CPG. A zero or positive REC adjustor applies for a period of 10 years from the date the system is commissioned; a negative REC adjustor applies in perpetuity. Except for systems that register pursuant to Section 5.105 of this Rule, both the amount and the term of the REC adjustor will be stated in the net-metering system's CPG.

(3) The value of the REC adjustors are those set in the most recent biennial update order issued by the Commission pursuant to Section 5.128. Hydroelectric facilities net-metering under this rule are not subject to a REC adjustor.

(C) The siting adjustors are determined as follows:

(1) In order to provide incentives for the appropriate and beneficial siting of net-metering systems, each net-metering system may receive the highest-value siting adjustor for which it meets the applicable criteria. The net-metering system's siting adjustor must be expressed in dollars per kWh ($/kWh) at the time the Commission issues the net-metering system a CPG. A zero or positive siting adjustor applies for a period of 10 years from the date the system is commissioned; a negative siting adjustor applies in perpetuity. Except for systems that register pursuant to Section 5.105 of this Rule, both the amount and the term of the siting adjustor must be stated in the net-metering system's CPG.

(2) The value of the siting adjustors for Category I through IV facilities and hydroelectric facilities are those set in the most recent biennial update order issued by the Commission pursuant to Section 5.128.

5.128 Biennial Update Proceedings.

(A) The Commission must conduct a biennial update in 2018 and every two years thereafter to update the following:

(1) REC adjustors;

(2) siting adjustors;

(3) the statewide blended residential rate; and

(4) the eligibility criteria applicable to Categories I, II, III, and IV net-metering systems.

(B) In updating the REC adjustors, the Commission must consider:

(1) the pace of renewable energy deployment necessary to be consistent with the Renewable Energy Standard program, the Comprehensive Energy Plan, and any other relevant State program;

(2) the total amount of renewable energy capacity commissioned in Vermont in the most recent two years;

(3) the disposition of RECs generated by net-metering systems commissioned in the past two years; and

(4) any other information deemed appropriate by the Commission.

(C) In updating the siting adjustors, the Commission must consider:

(1) the number and capacity of net-metering systems receiving CPGs in the most recent two years;

(2) the extent to which the current siting adjustors are affecting siting decisions;

(3) whether changes to the qualifying criteria of the categories are necessary;

(4) the overall pace of net-metering deployment; and

(5) any other information deemed appropriate by the Commission.

(D) On or before February 1 of each even-numbered year, each electric company must file with the Commission and the Department of Public Service the following information regarding the state of the electric company's net-metering program:

(1) the number of net-metering systems interconnected with the electric company's distribution system during the past two years;

(2) the capacity of each system;

(3) the fuel source of each system;

(4) the REC disposition of each system;

(5) the siting adjustor applicable to each system;

(6) the electric company's updated blended residential rate and supporting calculations;

(7) any other information the electric company believes to be relevant to the biennial update; and

(8) any other information relevant to the biennial update required by the Commission's form.

(E) By no later than March 1 of each even-numbered year, the Department of Public Service and the Agency of Natural Resources may file with the Commission any proposed updates to the items specified in Section 5.128(A)(1)-(4) and reasons therefor.

(F) Any person may file comments on the filings under (D) and (E), above, by March 15.

(G) By May 1 of each even-numbered year, the Commission may by order update the items specified in Section 5.128(A)(1)-(4), as necessary. Adjustors must be determined to ensure that net-metering deployment occurs at a reasonable pace and in furtherance of State energy goals.

(H) Electric companies must file no later than May 15 revisions to their net-metering tariffs that incorporate the new values set forth by the Commission in its biennial update order. Such tariffs must have an effective date of July 1. This tariff compliance filing may not include any other proposed changes to the utility's net-metering tariff, except for a proposed change to the utility's blended residential rate calculated pursuant to Section 5.127(A) of this Rule.

(I) Notwithstanding the above, the Commission may conduct an update sooner than biennially at its own discretion or upon petition by the Department.

5.129 Billing Standards and Procedures.

(A) Customer Billing Requirements. The bill of a net-metering customer must include the following:

(1) the dollar amount of any credits carried forward from the previous months;

(2) the dollar amount of credits that have expired in the current month;

(3) the dollar amount of credits generated in the current month;

(4) the dollar amount of credits remaining; and

(5) the total kWh generated by the net-metering system in the current month.

(B) Accumulated Bill Credits. Any accumulated bill credit must be used within 12 months from the month it is earned, or it reverts to the electric company without any compensation to the net-metering customer. Bill credits may not be transferred independently of a transfer of ownership of a net-metering system.

(C) Membership in Multiple Net-Metering Groups. Individual customer accounts may be enrolled in only one net-metering group at a time. Customers with multiple accounts may enroll each account in a separate net-metering group.

(D) 500 kW Customer Limit. The cumulative capacity of net-metering systems allocated to a single customer may not exceed 500 kW, except as provided in Rule 5.129(F), below. For example, a customer who has two accounts cannot have each account allocated more than 50 percent of the output from two 500 kW net-metering systems because the cumulative capacity of the allocated share of those net-metering systems would exceed 500 kW.

(E) Multiple Net-Metering Systems in a Group. Groups may have more than one net-metering system attributed to a group and may increase the capacity of existing generation attributed to the group. However, the cumulative capacity of net-metering systems attributed to a group may not exceed 500 kW, except as provided in Rule 5.129(F), below.

(F) Cumulative Capacity of School Net-Metering Systems. The cumulative capacity of net-metering systems allocated to a single customer:

(1) that is a public school, as defined in 16 V.S.A. §11(7); an independent school, as defined in 16 V.S.A. §11(8); a supervisory union, as defined in 16 V.S.A. §11(23); or a school district, as defined in 16 V.S.A. §11(10), must not exceed 1 MW.

(2) that is a school district, as defined in 16 V.S.A. §11(10), or a supervisory union, as defined in 16 V.S.A. §11(23), created as a result of school district consolidation under 2010 Acts and Resolves No. 153, 2012 Acts and Resolves No. 156, or 2015 Acts and Resolves No. 46, each as amended, must not exceed the greater of:

(a) the cumulative capacity of the net-metering systems that the school districts were participating in, or had agreed to participate in, prior to consolidation; or

(b) 1 MW.

(G) Group Member Allocations. Where the customer has, at its own expense, provided a separate meter for measuring production, the kWh produced by a net-metering system may be allocated to the accounts of a single customer or the accounts of group members. Where there is no separate production meter, only the excess generation may be allocated to accounts belonging to a single customer or to the accounts of members of a group.

5.130 Group System Requirements.

(A) In addition to any other requirements in 30 V.S.A. §§248 and 8010, and in any applicable Commission rules, before a group system may be formed and served by an electric company, the group must file the following information with the electric company:

(1) The meters to be included in the group system, which must be located within the same electric company service territory;

(2) A process for adding and removing meters in the group and an allocation of any credits among the members of the group. This allocation arrangement may be changed only on written notice to the electric company by the person designated under 5.130(A) (3), and any such change may only apply on a prospective basis;

(3) The name and contact information for a designated person who is responsible for all communications from the group system to the serving electric company, except for communications related to billing, payment, and disconnection; and

(4) A binding process for resolving any disputes among the members of a group relating to the net-metering system. This dispute resolution process may not in any way require the involvement of the electric company, the Commission, or the Department. This process does not apply to disputes between the electric company and individual group members regarding billing, payment, or disconnection.

(B) The electric company must implement appropriate changes to a net-metering group within 30 days after receiving written notification of such changes from the person designated under subsection 5.130(A)(3). Written notification of a change in the person designated under subsection 5.130(A)(3) is effective upon receipt by the electric company. The electric company is not liable for the consequences from actions based on such notification.

(C) For each group member's customer account, the electric company must bill that group member directly and send directly to that group member all communications related to billing, payment, and disconnection of that group member's customer account. Any volumetric charges for any account so billed must be based on the individual meter for the account.

5.131 Interconnection Requirements.

The interconnection of all net-metering systems is governed by Commission Rule 5.500. The applicant bears the costs of all equipment necessary to interconnect the net-metering system to the distribution grid and any distribution system upgrades necessary to ensure system stability and reliability.

5.132 Disconnection of a Net-Metering System.

The following procedures govern the disconnection of a net-metering system from the electrical system. These procedures apply to net-metering systems only and do not supplant Commission Rules 3.300 and 3.400 relating to company disconnection in general. A customer who initiates a permanent disconnection of a net-metering system must notify the electric company. The electric company must notify the Commission and the Department of the disconnection.

(A) In the event the electric company must perform an emergency disconnection of a net-metering system, the electric company must notify the customer within 24 hours after the disconnection. For the purpose of this section, the term "emergency" means a situation in which continued interconnection of the net-metering system is imminently likely to result in significant disruption of service or endanger life or property.

(B) If the emergency is not caused by the operation of the net-metering system, the company must reconnect the net-metering system upon cessation of the emergency.

(C) If the emergency is caused by the operation of the net-metering system, the electric company must communicate the nature of the problem to the customer within 5 days, and attempt to resolve the problem. If the problem has not been resolved within 30 days of an emergency disconnection, the electric company must file a disconnection petition with the Commission.

(D) Non-emergency disconnections must follow the same procedure as emergency disconnections in subsection B above, except that the electric company must give written notice of the disconnection no earlier than 10 days and no later than 3 working days prior to the first date on which the disconnection of the net-metering system is scheduled to occur. Such notice must communicate to the customer the reason for disconnection and the expected duration of the disconnection. With written consent from the customer, an electric company may arrange to provide the customer with notice of non-emergency disconnections on terms other than those set forth in this Rule, provided that the electric company first informs the customer of the provisions of this Rule and that the customer may contact the Consumer Affairs and Public Information Division of the Vermont Department of Public Service. For group systems, such consent may be obtained from the person designated under Section 5.130(A)(3).

(E) A customer who is involuntarily disconnected may file a written complaint with the Commission at any time following disconnection. The customer must provide a copy of the complaint to the electric company and the Department of Public Service. Within 30 days of the date the complaint is filed, the Commission may hold a hearing to investigate the complaint. In the event of the filing of such a complaint, the electric company must carry the burden of proof to demonstrate the reasonableness of disconnection.

5.133 Electric Company Requirements.

(A) Generally. Electric companies:

(1) Must make net-metering available to any customer or group on a first-come, first-served basis as determined by the order in which customers file a complete interconnection application;

(2) Must track credits by the month and year created and apply them on a first-created, first-used basis;

(3) May charge a reasonable fee for establishment, special meter reading, accounting, account correction, and account maintenance for a net-metering system;

(4) May, prior to interconnection, charge a reasonable fee to cover the cost of electric company distribution system improvements necessary to safely and reliably serve the net-metering customer;

(5) May require a customer to install advanced metering infrastructure prior to serving the net-metering customer;

(6) May require that all meters included within a group system be read on the same billing cycle; and

(7) May require energy efficiency audits for customers seeking to install and operate a net-metering system if they are:

(a) a residential customer with historic energy consumption of 750 kWh or more per month; or

(b) a commercial or industrial customer.

(B) Each electric company with net-metering customers must maintain current records of the number, individual capacity, cumulative capacity, and disconnections of net-metering generation installed within its service territory.

5.134 Electric Company Tariffs.

Tariffs. Each electric company must review its net-metering tariff and, pursuant to 30 V.S.A. §225, file any revisions necessary to ensure consistency with this Rule.

5.135 Participation in Wholesale Markets.

No net-metering system may participate in a wholesale market unless the Commission finds that such participation will not harm the interests of Vermont ratepayers and will be in the public good.

5.136 Locational Adjustor Fee.

An electric company may propose for Commission approval a tariff assessing a locational adjustor fee on new net-metering systems located in constrained or limited-headroom areas of the grid. The fee will be assessed on a per-kilowatt basis and collected before a net-metering system is energized. The amount of the fee must reflect the incremental economic harm caused by constructing additional generation in the area or the incremental cost to ratepayers of expanding the available grid capacity in the area. The electric company tariff must describe the physical boundaries of the constrained area or limited headroom area; existing and forecasted load and generation within the area; the capacity of the distribution, sub-transmission, or transmission system within the area; any other affected distribution utility, or VELCO, that is potentially affected by the addition of generation to the area, particularly in cases where it is the sub- transmission or transmission system that is facing a constraint; and any other factors relevant to the determination of whether a locational adjustor is just and reasonable. The tariff must also provide a method for allocating any fees collected among other electric companies affected by the constraint. A tariff proposed under this section may apply to new electric generation facilities other than net- metering systems.

5.137 Energy Storage Facility Electrically Connected to a Net-Metering System.

(A) An energy storage facility that is electrically connected to a net-metering system must be configured such that the customer cannot receive net-metering compensation for electricity drawn from a source other than the net-metering system.

(B) No electric company may allow an energy storage facility to be interconnected in a manner that allows electricity generated by any source other than a net-metering system to receive net-metering compensation.

PART V COMPLIANCE PROCEEDINGS

5.138 Compliance Proceedings.

(A) In response to a complaint filed by any member of the public or on its own motion, the Commission may refer matters concerning whether an approved net-metering system is complying with the terms of its CPG or any applicable law within the Commission's jurisdiction to the Department of Public Service for investigation and to make a recommendation as to whether the Commission should open a compliance proceeding or take any other steps necessary to ensure that the net-metering system continues to serve the public good.

(B) The Commission may take any or all of the following steps to ensure that a net-metering system is constructed and operated in compliance with the terms and conditions of the CPG issued for that net-metering system and any related Commission order:

(1) Direct the certificate holder to provide the Commission with an affidavit under oath or affirmation attesting that the person, company, or corporation or any facility or plant thereof is in compliance with the terms and conditions of the CPG pursuant to 30 V.S.A. 30(g);

(2) Direct the certificate holder to provide additional information;

(3) Dismiss the complaint;

(4) After notice and opportunity for hearing, amend or revoke any CPG for a net-metering system, impose a penalty under 30 V.S.A. §30, or order remedial activities for any of the following causes:

(a) The CPG or order approving the CPG was issued based on material information that was false or misleading;

(b) The system was not installed, or is not being operated, in accordance with the National Electrical Code or applicable interconnection standards;

(c) The net-metering system was not installed or is not being operated in accordance with the plans and evidence submitted in support of the application or registration form or with the findings contained in the order approving the net-metering system;

(d) The holder of the CPG has failed to comply with one or more of the CPG conditions, the order approving a CPG for the net-metering system, or this Rule; or

(e) Other good cause as determined by the Commission in its discretion.

(C) If, assuming the allegations in the complaint are true, the Commission determines that there is no probability of a violation of any CPG condition, Commission order, or any applicable law, the Commission will dismiss the complaint and inform the complainant and CPG holder of such dismissal.

History

• EFFECTIVE DATE:
• March 1, 2001 Secretary of State Rule Log #01-06
• AMENDED:
• July 1, 2003 Secretary of State Rule Log #03-18; November 1, 2007 Secretary of State Rule Log #07-043; April 15, 2009 Secretary of State Rule Log #09-006; January 27, 2014 Secretary of State Rule Log #14-001; July 1, 2017 Secretary of State Rule Log #17-036; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 048]; 3/1/2024 Secretary of State Rule Log #24-002
• STATUTORY AUTHORITY: 30 V.S.A. §8010

Chapter 5200 NOTIFICATION OF POWER SUPPLY TRANSACTIONS

30-5200 Code Vt. R. 30-000-5200-X NOTIFICATION OF POWER SUPPLY TRANSACTIONS

Section 5.201 Purpose

Purpose. The purpose of this Rule is to require private, municipal, and cooperative electric utilities to notify the Public Utility Commission and the Department of Public Service of power supply transactions. This shall be accomplished by notification to the Commission and Department of power supply contracts entered into by Vermont's electric utilities and through the filing of quarterly and annual reports detailing past and proposed power supply transactions of Vermont's electric utilities.

Additionally, all Vermont electric utilities are required to notify the Commission and Department of certain contracts, as specified in section 5.202, entered into by an electric utility for the purpose of purchasing or leasing electrical generation or transmission facilities within Vermont.

Section 5.202 Notification to the Public Utility Commission and Department of Public Service

Each private, municipal, and cooperative electric utility is required to give the Public Utility Commission and the Department of Public Service notice in writing, at least ninety (90) days in advance unless the period of advance notice is reduced under section 5.204, of any of the following events:

(A) the execution of any contract which is more than five years in duration with any party for the purchase or lease of any electrical generation facility within the State of Vermont;

(B) the execution of any contract which is more than five years in duration with any party for the purchase or lease of any electrical transmission facility within the State of Vermont which is designed for immediate or eventual operation at any voltage equal to or in excess of 46 kV;

(C) the execution of any contract for the purchase or sale of capacity in, or energy from, any electrical generation or transmission facility located within the State of Vermont provided that such contracts are more than five years in duration;

(D) the execution of any contract for the purchase or sale of capacity in, or energy from, any electrical generation or transmission facility, provided that such contract is more than six months in duration and:

(1) for a utility with a peak load, within the previous calender year, greater than 100 MW, represents more than 25% of the utility's peak load; or

(2) for a utility with a peak load, within the previous calender year, of 100 MW or less, represents more than 50% of the utility's peak load.

Section 5.203 Sufficiency of Notice

For purposes of section 5.202, notice shall include a copy of the proposed contract. Notice from one of the parties to any transaction specified in section 5.202 is sufficient.

Section 5.204 Requests for Reduction of Time or Waiver of Notification

(A) An electric utility submitting a written notice under section 5.202 may incorporate therein a request for a reduction in or waiver of the period of advance notice requested and required for the commitment proposed therein, and the Public Utility Commission will consider and address any such request expeditiously.

(B) Any reduction in or waiver of the period of advance notice granted under this section shall not constitute Public Utility Commission approval or review of any contractual commitment or transaction.

Section 5.205 Extent of Contractual Commitment

For the purpose of this Rule, a letter of intent signed by or on behalf of two or more parties is deemed to be a contractual commitment.

Section 5.206 Reporting Power Supply Transactions

(A) Each private, municipal, and cooperative electric utility must file, with the Public Utility Commission and the Department of Public Service, after-the-fact reports of power supply transactions, including transactions involving generation and transmission facilities, within 30 days following the end of each calendar quarter. The format of these quarterly reports shall be as designated by the Public Utility Commission.

(B) Each private, municipal, and cooperative electric utility must file by January 30th of each year, but no earlier than the preceding November 1st, with the Public Utility Commission and the Department of Public Service, a Resource Report generally reflecting the utility's power supply needs and acquisition strategy. The Resource Report must, at a minimum, address what resource transactions the utility reasonably expects to enter into during the ensuing year, regardless of the length of the transactions. The Resource Report must include:

(1) a general description of the products that the utility expects to purchase or sell;

(2) anticipated quantities of each product;

(3) anticipated price ranges for each product;

(4) an estimate of the timing of each transaction contemplated; and

(5) anticipated transactions involving generation and transmission facilities.

The time period covered by the Resource Report shall be commensurate with the duration of the longest-term transaction contemplated in the Report, but not less than one year. An amendment must be filed with the Public Utility Commission and the Department of Public Service in the event of any material change in the utility's resource requirements or the resource transactions which the utility has entered into.

(C) Due to the potentially confidential nature of the reports to be filed under this section, the utility may file both confidential and non-confidential reports as required by this section. Any confidential report must be accompanied by a non-confidential explanation justifying confidential treatment of the report.

(D) The reports required under this section are independent of, and do not replace, the least- cost integrated plans that electric utilities are required to file with the Public Utility Commission under 30 V.S.A. § 218c.

History

• EFFECTIVE DATE: October 1, 1965
• AMENDED: March 1, 2004 Secretary of State Rule Log #04-05; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 010]

Chapter 5300 ENERGY EFFICIENCY CHARGE

30-5300 Code Vt. R. 30-000-5300-X ENERGY EFFICIENCY CHARGE

Section 5.301 Applicability

This rule shall govern the calculation of the Energy Efficiency Charge rates, pursuant to 30 V.S.A. § 209(d)(3). This rule does not address the annual budget for the Energy Efficiency Utility programs, which shall be determined in a separate Commission process.

Section 5.302 For the Purposes of This Rule, the Following Definitions Shall Apply

Additional defined terms are found in Section 5.305(D).

(A) Applicable Gross Receipts Taxes means the applicable taxes established under 30 V.S.A. § 22 to fund the Commission and the Department and under 33 V.S.A. § 2503 to fund low-income weatherization.

(B) BED means the City of Burlington Electric Department.

(C) Bill means that portion of a customer's invoice from a distribution utility comprised of charges for retail electric or natural gas service (whether pursuant to a tariff or a special contract), and any applicable surcharges.

(D) Ccf means centum cubic feet.

(E) Commercial Customers means all non-residential electricity customers using less than 1000 kW of electrical demand service per month for all months during the preceding calendar year or for the most recent preceding 12-month period.

(F) Commission means the Vermont Public Utility Commission.

(G) Customer Credit Program means a particular set of energy efficiency services offered by an EEU, referred to as the Customer Credit Program or Customer Credit Initiative that was originally approved by the Commission in its September 30, 1999, Order in Docket 5980 and subsequently modified, and as may be further modified in the future.

(H) Department means the Vermont Department of Public Service.

(I) Distribution Utility means any company, as defined in 30 V.S.A. § 201(a), subject to regulation by the Commission, that sells electricity or natural gas to retail customers in Vermont.

(J) EEU means an energy efficiency utility appointed by the Commission pursuant to 30 V.S.A. § 209(d)(2).

(K) EEU Fund means the Energy Efficiency Utility Fund, which includes funds collected via the Energy Efficiency Charge, pursuant to 30 V.S.A. § 209(d)(3).

(L) Electric EEC means the electric Energy Efficiency Charge.

(M) Energy Efficiency Charge means the charge on retail customers' electric and natural gas bills, pursuant to 30 V.S.A. § 209(d)(3), the proceeds from which are used to fund energy efficiency services delivered in multiple electric and natural gas distribution utility service territories.

(N) Fixed Monthly EEC means a flat monthly Electric EEC for net-metered customers who do not have the equipment necessary to determine their gross electric consumption.

(O) Generation Displacement means the displacement of a customer's own generation of electricity by electricity supplied by an electric distribution utility, where otherwise the customer could meet its needs through its own existing generation.

(P) Industrial Customers means all non-residential electricity customers using 1,000 kW or more of electrical demand service per month for any month during the preceding calendar year or for the most recent preceding 12-month period.

(Q) Natural Gas EEC means the natural gas Energy Efficiency Charge.

(R) Natural Gas EEU Fund means the funds collected via the Natural Gas EEC and administered pursuant to 30 V.S.A. § 209(d)(3).

(S) Rate Revenues means the revenues a distribution utility receives from its retail electric or natural gas sales.

(T) Residential Customers means all customers to whom electricity is supplied for residential or domestic purposes, consistent with each electric distribution utility's tariffs for residential service.

(U) Station Service means electricity service provided to generating stations by an electric distribution utility at times when the generating station is not producing electricity for itself

(V) VELCO means Vermont Electric Power Company.

Section 5.303 General Terms

(A) The Energy Efficiency Charge shall be established at constant rates for 12 calendar months, beginning with bills rendered on or after February 1 of each year, with no proration, using the methodologies set out in Sections 5.305(E) through 5.305(0). However, for good cause, the Commission may change by Order the Energy Efficiency Charge rates during any 12-calendar-month period, after providing an opportunity for public comment.

(B)

(1) For the Electric EEC, all retail customers' electric bills shall be subject to, and shall be used in the calculation of, the Electric EEC, except bills for (1) service provided under generation displacement contracts to customers who do not receive energy efficiency services; (2) station service exempted by the Commission in its October 15, 2004, Order in Docket 6987; (3) service provided under any other special contracts specifically exempted by the Commission in its October 15, 2004, Order in Docket 6987, and successors to those contracts, if specifically exempted by the Commission at the time that such successor contracts are approved; (4) station service provided to the Kingdom Community Wind facility and the Jay Synchronous Condenser; and (5) any service specifically exempted by Commission Order, for good cause shown, with explicit reference to this rule.

(2) The Electric EEC shall be applied in a volumetric manner to the gross electric consumption of each retail customer unless the application of the charge is expressly exempted by operation of law. For purposes of netmetering systems, as defined in 30 V.S.A. § 8002, gross electric consumption means the electricity a net-metering customer has consumed fom the grid plus the electricity the customer consumed from the customer's net-metering system. If, as of the effective date of this rule, a net-metering customer does not have the equipment necessary for their distribution utility to determine their gross electric consumption, the customer shall pay a Fixed Monthly EEC, unless the customer chooses to install the equipment necessary for their distribution utility to determine their gross electric consumption, in which case the customer shall be charged the Electric EEC based upon the customer's gross consumption. The Fixed Monthly EEC shall be determined by rate class and shall be based upon the average statewide monthly consumption and demand for the previous year for the rate class times the Electric EEC rate for the year the rate is being implemented.

(C) For the Natural Gas EEC, all retail customers' natural gas bills shall be subject to and used in the calculation of the Natural Gas EEC, except wholesale compressed natural gas customers served under Vermont Gas Rates IS-CNG-T or IS-CNG-TR or other customers specifically exempted by the Commission or by statute.

(D) Payment of the Energy Efficiency Charge by customers of a distribution utility is a requirement for service and is subject to applicable law and Commission rules, including those rules governing deposit and disconnection for non-payment.

(E) The Energy Efficiency Charge shall be shown on at least a single line on bills sent by all distribution utilities to customers.

(F) To the extent applicable to the Energy Efficiency Charge, each distribution utility shall bill and remit the sales tax on the Energy Efficiency Charge in the same manner as it otherwise bills and remits the sales tax.

Section 5.304 Information Needed to Calculate the Energy Efficiency Charge Rates

(A) The methodologies for calculating the Energy Efficiency Charge rates (set forth in Section 5.305) shall use information regarding the total amount to be collected in each EEUs service territory via the Energy Efficiency Charge for energy efficiency services. The total amount to be collected in each EEUs service territory is determined by the Commission in separate processes.

(B) The methodologies for calculating the Electric EEC rates for electric distribution utilities shall use kWh and kW sales and revenue data from the most recent calendar year for which complete information is available or, as may be applicable, forecasts of sales and revenue data for at least the period during which the rates will be in effect in accordance with this rule. Some of this information shall be obtained from the FERC Form 1, each electric distribution utility, sales forecasts by Vermont Electric Power Company (VELCO) or each distribution utility, or the utilities' least-cost integrated plans under 30 V.S.A. § 218c.

The specific information to be provided by the distribution utilities includes:

-- Total and forecasted Rate Revenues

-- Current and forecasted Rate Revenues from Residential Customers

-- Current and forecasted kWh Sales to and gross consumption by Residential Customers

-- Total and forecasted consumption from the most recent Least-Cost Integrated Plan

-- Total and forecasted consumption from Vermont Electric Power Company's (VELCO) most current published load forecast and any electric distribution utility updates thereto

-- Such other information as the Commission may deem necessary for the calculation of the Electric EEC

Additional kWh and kW sales and revenue data from the most recent calendar year for which complete information is available shall be provided by each electric distribution utility to the Commission, the Department, and the EEU serving its territory on or before August 1 of each calendar year, using the electronic filing format designated for this purpose by the EEU serving that utility's territory. The specific information to be provided by each electric distribution utility shall be:

-- Rate Revenues from Residential Customers exempt from paying the Electric EEC, if any

-- kWh Sales to and gross consumption by Residential Customers exempt from paying the Electric EEC, if any

-- Rate Revenues from Commercial Customers exempt from paying the Electric EEC, if any

-- kWh Sales to and gross consumption by Commercial Customers exempt from paying the Electric EEC, if any

-- Rate Revenues from Industrial Customers exempt from paying the Electric EEC, if any

-- kWh Sales to and gross consumption by Industrial Customers exempt from paying the Electric EEC, if any

-- Rate Revenues from Commercial Customers

-- kWh Sales to and gross consumption by Commercial Customers

-- Energy Revenues from Demand-Billed Commercial Customers

-- Demand Revenues from Demand-Billed Commercial Customers

-- kWh Sales to and gross consumption by Demand-Billed Commercial Customers

-- Billed Peak kW Sales to Demand-Billed Commercial Customers

-- Rate Revenues from Industrial Customers

-- kWh Sales to and gross consumption by Industrial Customers

-- Energy Revenues from Demand-Billed Industrial Customers

-- Demand Revenues from Demand-Billed Industrial Customers

-- kWh Sales to and gross consumption by Demand-Billed Industrial Customers

-- Billed Peak kW Sales to Demand-Billed Industrial Customers

-- Electric EEC collections from Residential Customers

-- Electric EEC collections from Commercial Customers

-- Electric EEC collections from Demand-Billed Commercial Customers

-- Electric EEC collections from Industrial Customers

-- Electric EEC collections from Demand-Billed Industrial Customers

-- Such other information as the Commission may deem necessary for the calculation of the Electric EEC

After provision of notice and opportunity to comment to the Department and the electric distribution utilities, the Commission may modify, in a manner applicable to all electric distribution utilities, the foregoing list of information to be provided by those utilities.

(C) The methodologies for calculating the Energy Efficiency Charge rates shall use information regarding utility uncollectible amounts related to the Energy Efficiency Charge. This information shall be provided by each distribution utility to the Commission, the Department, and the EEU serving its territory on or before August 1 of each calendar year, using the electronic filing format designated for this purpose by the EEU serving that utility's territory.

1. The specific information to be provided by each distribution utility shall be:

-- The actual amount of uncollectibles related to the Energy Efficiency Charge for the first six months of the current calendar year. In determining uncollectible amounts attributable to the Energy Efficiency Charge, a distribution utility may include, after exhausting reasonably available remedies, a partial non-payment of a bill by a customer, provided that the only portion of such nonpayment attributed to the Energy Efficiency Charge is that amount determined by multiplying the partial non-payment by a fraction with the numerator consisting of the Energy Efficiency Charge amount on the bill and the denominator consisting of the total amount on the bill. If a utility's billing system does not allow the actual amount of non-payments attributed to the Energy Efficiency Charge to be easily determined, a utility may calculate the amount of uncollectible amounts attributed to the Energy Efficiency Charge by multiplying the utility's total amount of uncollectible amounts by a fraction with the numerator consisting of the utility's Energy Efficiency Charge billings and the denominator consisting of the utility's retail billings for the same time period.

-- A reasonable estimate of the uncollectibles related to the Energy Efficiency Charge for the remaining six months of the current calendar year.

-- A carrying charge for uncollectibles related to the Energy Efficiency Charge for the current calendar year. This charge shall be calculated by multiplying the uncollectibles related to the Energy Efficiency Charge for the current calendar year by either the distribution utility's Allowance for Funds Used During Construction rate or, if the distribution utility does not have such a rate, the distribution utility's short-term borrowing rate.

2. The specific information to be provided by the EEUs shall be:

-- The difference between the prior year's estimates of the uncollectibles related to the Energy Efficiency Charge for the last six months of the prior calendar year and the actual uncollectibles related to the Energy Efficiency Charge for that period. This difference shall be calculated by subtracting the prior year's estimate from the sum of the actual amounts provided by the distribution utilities when they requested reimbursement for their prior year's uncollectibles related to the Energy Efficiency Charge pursuant to Section 5.310. The result may be a positive or negative number.

(D) The methodologies for calculating the Energy Efficiency Charge rates shall use information regarding previous over- and under-collections of the Energy Efficiency Charge as reported by the distribution utilities. The specific information to be provided by the EEU s shall be:

-- Year 1: A reasonable estimate of over- or under-collections for the current calendar year for each rate class. Because of the lag between when the Energy Efficiency Charge is applied to billing determinants for distribution utilities and when the funds are received, collections for the current calendar year will actually occur from March of the current calendar year through February of the following calendar year. The estimate of over- or under-collections shall be determined based upon comparison of:

a) the sum of the actual collections for March through June of the current calendar year plus the EEU's estimates of the collections for July of the current calendar year through February of the following calendar year; and

b) the amount authorized to be collected via the Energy Efficiency Charge over the time period described in item (a) above.

Over-collections occur when the estimate in item (a) above exceeds the amount authorized to be collected in item (b) above. Under-collections occur when the amount authorized to be collected in item (b) above exceeds the estimate in item (a).

-- Year 2: The difference between the prior year's estimate of the over-or under-collections for the prior calendar year and the actual over- or under-collections for that period for each rate class. This difference shall be calculated by subtracting the prior year's estimate for each rate class from the actual amount for each rate class. In these calculations, over-collections shall be positive numbers and under-collections shall be negative numbers. The result of the calculations may be positive or negative numbers.

(E) For any second year following the end of an EEU's three-year budget, the methodologies for calculating the Energy Efficiency Charge rates shall use information regarding funds previously raised by the Energy Efficiency Charge that exceed the amount that the EEU has spent plus the amount that it has not spent but is obligated to pay. (These are referred to as "Uncommitted Funds"; this term is precisely defined in Section 5.305(D)(20).) The Commission shall calculate the amount of Uncommitted Funds after the end of any year in which an EEUs three-year budget ends pursuant to Section 5.305(E)(1).

(F) In calculating the Natural Gas EEC rates, an EEU shall use the projected Mcf sales and revenue data from the most recent natural gas distribution utility's rate filing, including natural gas cost adjustment filings. In the event such filing is more than six months old, the EEU may use a more recent forecast prepared using similar methodology. The specific information to be obtained from this filing shall be:

-- Projected total annual Rate Revenues

-- Projected annual Rate Revenues by rate class

-- Projected annual Rate Revenues by rate class, from customers exempt from paying the Natural Gas EEC

-- Projected Ccf sales to each rate class

-- Projected Ccf sales to each rate class from customers exempt from paying the Natural Gas EEC

Section 5.305 Calculation Methodology

(A) The Electric EEC rates shall be calculated on a statewide basis, except for the service territory of BED.

(B) The Energy Efficiency Charge shall be designed to raise the total amount to be collected for statewide energy efficiency services plus the additional amount of the gross revenue tax ( 30 V.S.A. § 22) and fuel gross receipts or "weatherization" tax ( 33 V.S.A. § 2503) applicable to the Energy Efficiency Charge, adjusted for (1) distribution utility uncollectibles associated with the Energy Efficiency Charge, and (2) over- or under collection of the Energy Efficiency Charge in prior years.

(C) The Energy Efficiency Charge shall not be designed to raise, and shall not include, the sales and usetax ( 32 V.S.A. § 9771(2) ).

(D) The methodologies for calculating the Electric EEC rates for all electric distribution utilities' service territories are detailed in Sections 5.305(E) and 5.305(F). The specific terms used in these methodologies shall have the following meanings for the purpose of this rule.

1. When BED is used immediately preceding another defined term, it means the defined term shall include only information related to BED's service territory.

2. BED Budget means the total amount to be collected in BED's service territory via the Electric EEC for energy efficiency services, as determined by the Commission.

3. When Commercial is used in conjunction with another defined term, it means the defined term shall include only information related to Commercial Customers.

Demand-Billed Billed Peak kW Sales means the billed peak kW sales to demand-billed customers provided by electric distribution utilities pursuant to Section 5.304(B).

5. Demand-Billed Demand Revenues means the demand revenues from demand-billed customers provided by electric distribution utilities pursuant to Section 5.304(B).

Demand-Billed Energy Revenues means the energy revenues from demand-billed customers provided by electric distribution utilities pursuant to Section 5.304(B).

7. Demand-Billed kWh Sales means the kWh sales to demand-billed customers provided by electric distribution utilities pursuant to Section 5.304(B).

8. Exempt Customer kWh Sales means the sum of all kWh sales to customers exempted from paying the Electric EEC, as provided by all electric distribution utilities pursuant to Section 5.304(B).

9. When Industrial is used in conjunction with another defined term, it means the defined term shall include only information related to Industrial Customers.

10. kWh Sales means the kWh Sales provided by electric distribution utilities pursuant to Section 5.304(B).

Light Size means the nominal wattage of an unmetered street or security light.

12. Over- or Under-Collections means the sum of the bulleted items listed in Section 5.304(D) for electric distribution utilities. This may be a positive or negative number.

13. Prior Year Total Budget means the Total Budget that the Commission had previously determined should be collected in the prior year (as opposed to the next year). For example, the Electric EEC rates for 2018 would be set in 2017. In that year, the Prior Year Total Budget would be the Total Budget for 2016, while the Total Budget referred to in the calculation methodologies would be the Total Budget for 2018.

14. Rate Revenues means the Rate Revenues provided by electric distribution utilities pursuant to Section

15. 304(B).

16. When Residential is used in conjunction with another defined term, it means the defined term shall include only information related to Residential Customers.

17. When Statewide is used immediately preceding another defined term, it means the other defined term shall include information related to all electric distribution utilities.

18. Total Budget means the total amount to be collected statewide via the Electric EEC for energy efficiency services in the year for which the Electric EEC for electric distribution utilities is being set, as determined by the Commission. This amount includes funds for support of the statewide electric EEU as well as bed's EEU budget, the independent audit of the EEU Fund, the Department's electric EEU evaluation activities, the cost of publishing an annual newspaper notice regarding the new Electric EEC rates (see Section 5.308(B)), and such other costs as the Commission may approve. This amount does not include funds for payment of the gross revenue tax ( 30 V.S.A. §

22. and the fuel gross receipts or "weatherization" tax ( 33 V.S.A. §
23. applicable to the Electric EEC. This amount also does not include funds needed to "true-up" prior year Electric EEC over- or under-collections, or prior year electric distribution utility uncollectible amounts related to the Electric EEC.

18. Total Rate Revenues means the Total Rate Revenues provided by electric distribution utilities pursuant to Section 5.304(B).

19. Uncollectibles means the sum of the bulleted items listed in Sections 5.304(C)(1) and 5.304(C)(2) for electric distribution utilities.

20. For any second year following the end of an EEUs three-year budget, Uncommitted Funds means the amount raised by the Energy Efficiency Charge that, as of the end of the calendar year in which the EEU's three-year budget ends, exceeds the amount that the EEU has spent plus the amount that it has not spent but is obligated to pay. The term excludes amounts raised by the Energy Efficiency Charge that are, as of that given date, encumbered under the Customer Credit Program or are necessary to pay obligations relating to any fiscal agent, the Department's EEU evaluation activities, gross revenue taxes ( 30 V.S.A. §

22. , or fuel gross receipts or "weatherization" taxes ( 33 V.S.A. §
23. . For all other years, Uncommitted Funds shall be equal to zero.

(E) The Electric EEC statewide rates for electric distribution utilities shall be calculated using the following steps. These rates shall apply in the service territories of all electric distribution utilities except BED. The terms used in this subsection are defined in Section 5.305(D), above.

The Electric EEC statewide rates may, based on data collected by the statewide electric EEU, be calculated using historic or forecasted electric distribution utility billing determinants, and total revenue requirements for the period during which the rates will be in effect. Where a step involves the use of reported data, forecasted data for the period during which the rates will be in effect in accordance with this rule may be used.

a.

For any year following the end of an EEUs three-year budget:

If Uncommitted Funds < 0.05 * Prior Year Total Budget, then Budget Credit shall be determined by the Commission in a separate process

If Uncommitted Funds > 0.05 * Prior Year Total Budget, then Budget Credit = Uncommitted Funds

b. For all other years, Budget Credit = 0

Electric EEU Total Budget - BED Budget+ (Electric Statewide Uncollectibles - BED Uncollectibles)

• Budget Credit = Amount to be Allocated

a.

(Statewide Residential Electric Rate Revenues - Dollar Value of Exempt Residential Deliveries) / (Statewide Total Electric Rate Revenues - Dollar Value of Exempt Residential, Commercial, and Industrial

Electric Deliveries) = Statewide Residential Electric Revenue Percent

b. (Statewide Commercial Electric Rate Revenues - Dollar Value of Exempt Commercial Deliveries) / (Statewide Total Electric Rate Revenues - Dollar Value of Exempt Residential, Commercial, and Industrial Electric Deliveries) = Statewide Commercial Electric Revenue Percent

c. (Statewide Industrial Electric Rate Revenues - Dollar Value of Exempt Industrial Deliveries)/ (Statewide Total Electric Rate Revenues -Dollar Value of Exempt Residential, Commercial, and Industrial Electric Deliveries) = Statewide Industrial Electric Revenue Percent

a.

(Amount to be Allocated * Statewide Residential Electric Revenue Percent) - (Statewide Residential Electric Over- or Under-Collections -BED Residential Over- or Under-Collections) = Statewide Residential Electric Collection Amount

b. (Amount to be Allocated * Statewide Commercial Electric Revenue Percent) - (Statewide Commercial Electric Over- or Under-Collections - BED Commercial Over- or Under-Collections) = Statewide Commercial Electric Collection Amount

c. (Amount to be Allocated * Statewide Industrial Electric Revenue Percent) - (Statewide Industrial Electric Over- or Under-Collections -BED Industrial Over- or Under-Collections) = Statewide Industrial Electric Collection Amount

a.

Statewide Residential Electric Collection Amount / (Statewide Residential kWh Sales - (Exempt Residential Customer kWh Sales + Exempt Residential kWh Deliveries + BED Residential kWh Sales)) = Statewide Residential kWh Rate

b. Statewide Commercial Electric Collection Amount / (Statewide Commercial kWh Sales - (Exempt Commercial Customer kWh Sales + Exempt Commercial kWh Deliveries + BED Commercial kWh Sales)) = Statewide Commercial kWh Rate

c. Statewide Industrial Electric Collection Amount / (Statewide Industrial kWh Sales - (Exempt Industrial Customer kWh Sales + Exempt Industrial kWh Deliveries + BED Industrial kWh Sales)) = Statewide Industrial kWh Rate

a. Statewide Commercial Electric Demand-Billed Energy Revenues / (Statewide Commercial Electric Demand-Billed Energy Revenues + Statewide Commercial Electric Demand-Billed Demand Revenues) = Statewide Commercial Electric Demand-Billed Energy Revenue Percent

b. 1 - Statewide Commercial Electric Demand-Billed Energy Revenue Percent = Statewide Commercial Electric Demand-Billed Demand Revenue Percent

c. Statewide Industrial Electric Demand-Billed Energy Revenues / (Statewide Industrial Electric Demand-Billed Energy Revenues + Statewide Industrial Electric Demand-Billed Demand Revenues) = Statewide Industrial Electric Demand-Billed Energy Revenue Percent

d. 1 - Statewide Industrial Electric Demand-Billed Energy Revenue Percent = Statewide Industrial Electric Demand-Billed Demand Revenue Percent

a. (Statewide Commercial Demand-Billed kWh Sales - BED Commercial Demand-Billed kWh Sales) * Statewide Commercial kWh Rate = Statewide Commercial Electric Demand-Billed Collection Amount

b. (Statewide Industrial Demand-Billed kWh Sales - BED Industrial Demand-Billed kWh Sales) * Statewide Industrial kWh Rate = Statewide Industrial Electric Demand-Billed Collection Amount

a. (Statewide Commercial Electric Demand-Billed Collection Amount * Statewide Commercial Electric Demand-Billed Energy Revenue Percent) / (Statewide Commercial Demand-Billed kWh Sales -BED Commercial Demand-Billed kWh Sales) = Statewide Commercial Demand-Billed kWh Rate

b. (Statewide Commercial Electric Demand-Billed Collection Amount * Statewide Commercial Electric Demand-Billed Demand Revenue Percent) / (Statewide Commercial Demand-Billed Billed Peak kW Sales -BED Commercial Demand-Billed Billed Peak kW Sales) = Statewide Commercial Demand-Billed kW Rate

c. (Statewide Industrial Electric Demand-Billed Collection Amount * Statewide Industrial Electric Demand-Billed Energy Revenue Percent) / (Statewide Industrial Demand-Billed kWh Sales - BED Industrial Demand-Billed kWh Sales) = Statewide Industrial Demand-Billed kWh Rate

d. (Statewide Industrial Electric Demand-Billed Collection Amount * Statewide Industrial Electric Demand-Billed Demand Revenue Percent) / (Statewide Industrial Demand-Billed Billed Peak kW Sales -BED Industrial Demand-Billed Billed Peak kW Sales) = Statewide Industrial Demand-Billed kW Rate

9. Statewide Commercial kWh Rate * Light Size * 360 hours per month = Statewide Unmetered Street and Security Light Monthly Rate. An electric distribution utility may petition the Commission for approval to use the total wattage of the light and an alternative number of hours per month when performing this calculation.

a. Statewide Residential kWh Rate / (1- Applicable Gross Receipts Taxes) = Final Statewide Residential kWh Rate

b. Statewide Commercial kWh Rate / (1- Applicable Gross Receipts Taxes) = Final Statewide Commercial kWh Rate

c. Statewide Commercial Demand-Billed kWh Rate / (1- Applicable Gross Receipts Taxes) = Final Statewide Commercial Demand-Billed kWh Rate

d. Statewide Commercial Demand-Billed kW Rate / (1- Applicable Gross Receipts Taxes) = Final Statewide Commercial Demand-Billed kW Rate

e. Statewide Industrial kWh Rate / (1- Applicable Gross Receipts Taxes) = Final Statewide Industrial kWh Rate

f. Statewide Industrial Demand-Billed kWh Rate / (1- Applicable Gross Receipts Taxes) = Final Statewide Industrial Demand-Billed kWh Rate

g. Statewide Industrial Demand-Billed kW Rate / (1- Applicable Gross Receipts Taxes) = Final Statewide Industrial Demand-Billed kW Rate

h. Statewide Unmetered Street and Security Light Monthly Rate / (1-Applicable Gross Receipts Taxes) = Final Statewide Unmetered Street and Security Light Monthly Rate

(F) The Electric EEC rates for BED' s service territory shall be calculated using essentially the same methodology as that listed in Section 5.305(E), except that all inputs shall be specific to BED's service territory. As a result, the Electric EEC rate for BED's service territory shall be calculated using the following steps. The terms used in this subsection are defined in Section 5.305(D), above.

1. BED Budget + BED Uncollectibles = BED Amount to be Allocated

a. BED Residential Rate Revenues / BED Total Rate Revenues = BED Residential Revenue Percent

b. BED Commercial Rate Revenues / BED Total Rate Revenues = BED Commercial Revenue Percent

c.. BED Industrial Rate Revenues / BED Total Rate Revenues = BED Industrial Revenue Percent

a. (BED Amount to be Allocated * BED Residential Revenue Percent) - BED Residential Over- or Under-Collections = BED Residential Collection Amount

b. (BED Amount to be Allocated * BED Commercial Revenue Percent) - BED Commercial Over- or Under-Collections = BED Commercial Collection Amount

c. (BED Amount to be Allocated * BED Industrial Revenue Percent) - BED Industrial Over- or Under-Collections = BED Industrial Collection Amount

a. BED Residential Collection Amount / (BED Residential kWh Sales - BED Exempt Residential Customer kWh Sales) = BED Residential kWh Rate

b. BED Commercial Collection Amount / (BED Commercial kWh Sales - BED Exempt Commercial Customer kWh Sales) = BED Commercial kWh Rate

a. BED Commercial Demand-Billed Energy Revenues/ (BED Commercial Demand-Billed Energy Revenues + BED Commercial Demand-Billed Demand Revenues) = BED Commercial Demand-Billed Energy Revenue Percent

b. 1 - BED Commercial Demand-Billed Energy Revenue Percent = BED Commercial Demand-Billed Demand Revenue Percent

c. BED Industrial Demand-Billed Energy Revenues / (BED Industrial Demand-Billed Energy Revenues + BED Industrial Demand-Billed Demand Revenues) = BED Industrial Demand-Billed Energy Revenue Percent

d. 1 - BED Industrial Demand-Billed Energy Revenue Percent = BED Industrial Demand-Billed Demand Revenue Percent

a. BED Commercial Demand-Billed kWh Sales * BED Commercial kWh Rate = BED Commercial Demand-Billed Collection Amount

b. BED Industrial Demand-Billed kWh Sales * BED Industrial kWh Rate = BED Industrial Demand-Billed Collection Amount

a. (BED Commercial Demand-Billed Collection Amount * BED Commercial Demand-Billed Energy Revenue Percent) / BED Commercial Demand-Billed kWh Sales = BED Commercial Demand-Billed kWh Rate

b. (BED Commercial Demand-Billed Collection Amount * BED Commercial Demand-Billed Demand Revenue Percent) / BED Commercial Demand-Billed Billed Peak kW Sales = BED Commercial Demand-Billed kW Rate

c. (BED Industrial Demand-Billed Collection Amount * BED Industrial Demand-Billed Energy Revenue Percent) / BED Industrial Demand-Billed kWh Sales = BED Industrial Demand-Billed kWh Rate

d. (BED Industrial Demand-Billed Collection Amount * BED Industrial Demand-Billed Demand Revenue Percent) / BED Industrial pemand-Billed Billed Peak kW Sales = BED Industrial Demand-Billed kW Rate

8. BED Commercial kWh Rate * Light Size * 354 hours per month = BED Unmetered Street and Security Light Monthly Rate

a. BED Residential kWh Rate / (1- Applicable Gross Receipts Taxes) = Final BED Residential kWh Rate

b. BED Commercial kWh Rate / (1- Applicable Gross Receipts Taxes) = Final BED Commercial kWh Rate

c. BED Commercial Demand-Billed kWh Rate / (1- Applicable Gross Receipts Taxes) = Final BED Commercial Demand-Billed kWh Rate

d. BED Commercial Demand-Billed kW Rate / (1- Applicable Gross Receipts Taxes) = Final BED Commercial Demand-Billed kW Rate

e. BED Industrial Demand-Billed kWh Rate / (1- Applicable Gross Receipts Taxes) = Final BED Industrial Demand-Billed kWh Rate

f. BED Industrial Demand-Billed kW Rate / (1- Applicable Gross Receipts Taxes) = Final BED Industrial Demand-Billed kW Rate

g. BED Unmetered Street and Security Light Monthly Rate / (1-Applicable Gross Receipts Taxes) = Final BED metered Street and Security Light Monthly Rate

(G) The Natural Gas EEC shall be calculated using the following steps and adjusted for the net effect of Natural Gas EEC uncollectibles and over- or under-collection of the Natural Gas EEC in prior years.

1. Each Rate Class

a. (Total Rate Class Revenues - Total Revenue of Exempt Customers) / (Total Rate Revenues - Dollar Value of Total Exempt Customer Rate Revenue) = Rate Class Revenue Percent

b. (Rate Class Revenue Percent * Total Natural Gas EEU Fund) = Rate Class Collection Amount

c. Rate Class Collection Amount / (Rate Class Ccf Sales - Exempt Rate Class Ccf Sales) = Rate Class Ccf Rate

d. Rate Class Ccf Rate / (1 - Applicable Gross Receipts Taxes) = Final Rate Class Ccf Rate

2. For customers in the Low-Income Assistance Program (LIAP), the Natural Gas EEC shall be calculated as the Residential Rate Class Ccf Rate * 0.8

Section 5.306 Performance of Annual Calculation

(A) By October 1 of each calendar year, an EEU shall provide the Commission its calculation of the Electric EEC or Natural Gas EEC rates to be effective with bills rendered on and after the following February 1, unless the EEU complies with Section 5.306(B). Any such calculation shall use the inputs specified in Section 5.304 and the methodologies specified in Sections 5.305(E), 5.305(F), and 5.305(G). The Commission shall review the calculations and, by November 1, announce its decision regarding the final Electric EEC and Natural Gas EEC rates to be effective with bills rendered on and after the following February 1.

(B) An EEU may propose calculating the Energy Efficiency Charge using alternative methodologies. If the EEU proposes alternative methodologies to calculate the Energy Efficiency Charge, the EEU shall provide the Department and the Commission with two calculations of the Energy Efficiency Charge by September 1 of the calendar year. The first calculation shall use the methodologies established by this rule under Sections 5.305(E), 5.305(F), and 5.305(G), as applicable, and the second calculation shall use the proposed alternative methodologies. The EEU shall include an explanation of the proposed alternative methodologies, the formulas used to calculate the Energy Efficiency Charge under the alternative methodologies, the reason for proposing the alternative methodologies, and the effects of the alternative methodologies on ratepayers. Any questions about the proposed alternative methodologies shall be filed by September 15 and comments by September 30. The Commission shall review these calculations and, by November 1 of each calendar year or as soon thereafter as possible, shall announce its decision regarding the final Electric EEC and Natural Gas EEC rates to be effective with bills rendered on and after the following February 1.

Section 5.307 Decimal Places

(A) All final Electric EEC kWh rates shall be calculated to five decimal places, and all final Electric EEC kW rates shall be calculated to four decimal places. All final Natural Gas EEC Ccf rates shall be calculated to four decimal places.

(B) Notwithstanding Section 5.307(A), if an electric distribution utility's billing system cannot accommodate the required number of decimal places, it may calculate the energy or demand rates using as many decimal places as its billing system can use, up to the required number. Any rounding shall be done by rounding numbers 1 through 4 down, and 5 through 9 up.

Section 5.308 Customer Notice

(A) Annually, in December billing cycles, each distribution utility shall publish notice to customers, through a bill insert, message on the bill directing customers to a specific page on the EEU s website identifying the rates, or newsletter, of the Electric EEC or Natural Gas EEC rates, whichever is applicable, that will take effect with bills rendered on or after February 1 of the following year, in such form as the Commission approves. If, however, a distribution utility uses postcard or "printed through the envelope" billing and therefore is unable to provide a bill insert, message on the bill, or newsletter, the distribution utility shall provide notice to customers of the Electric EEC or Natural Gas EEC rates, whichever is applicable, that will take effect with bills rendered on or after February 1 of the following year in such form as the Commission approves. If a distribution utility uses an identical form to that approved by the Commission in a prior year, except for the actual amounts of the Electric EEC or Natural Gas EEC rates and the effective date of the new rates, it shall not be necessary for the utility to obtain the Commission's approval for the new notice.

Each distribution utility may request approval from the Department for reimbursement from the EEU Fund for the incremental cost of adding the notice to a bill insert or newsletter that otherwise would be issued to its customers, or, if the distribution utility is unable to provide a bill insert or newsletter, the distribution utility may request reimbursement from the Department for the incremental cost of the form of notice approved by the Commission. Any requests for reimbursement must be received by the Department by February 20 of the year in which the new Energy Efficiency Charge rates will take effect.

(B) In December of each year, the Commission may, at its discretion, publish a newspaper notice stating the Energy Efficiency Charge rates that will take effect with bills rendered on or after February 1 of the following year, and such other matters as the Commission may deem appropriate. Publishing the newspaper notice will be paid for by funds collected via the Energy Efficiency Charge.

Section 5.309 Payment of the Energy Efficiency Charge

(A) Each distribution utility shall remit to the EEU Fund the total amount of the Electric EEC or Natural Gas EEC, whichever is applicable, billed to customers no later than 23 days after the end of the billing month. By the same date, each distribution utility shall also provide the respective EEU, the manager of the EEU Fund, and any other entity required by the Commission with documentation supporting its calculation of the total amount of the Electric EEC or Natural Gas EEC billed to customers for the relevant billing month.

Section 5.310 Reimbursement to Distribution Utilities for Uncollectible Amounts Related to the Energy Efficiency Charge

(A) On or before February 20 of each calendar year, any distribution utility seeking reimbursement for uncollectible amounts related to the prior year's Electric EEC or Natural Gas EEC shall submit an invoice to the Department setting forth the amounts calculated in accordance with 5.304(C), except that the distribution utility shall substitute actual uncollectibles for any estimates used in the 5.304(C) calculation.

(B) On or before March 1 of each calendar year, each distribution utility that submitted an invoice pursuant to Section 5.31 O(A) shall be paid the total Electric EEC or Natural Gas EEC uncollectible amount for the distribution utility's service territory in the prior calendar year.

Section 5.311 Effective Date

(A) Except for Section 5.303(B)(2) and the use of the phrase "and gross consumption by" in Section 5.304(B), this rule shall take effect on August 26, 2019.

(B) Section 5.303(B)(2) and the use of the phrase "and gross consumption by" in Section 5.304(B) shall take effect on July 1, 2021.

History

• EFFECTIVE DATE:
• March 1, 2005 Secretary of State Rule Log #05-06
• AMENDED
• January 1, 2013 Secretary of State Rule Log #12-044; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 051]; August 26, 2019 Secretary of State Rule Log #19-036

Chapter 5400 REQUIREMENTS FOR PETITIONS TO CONSTRUCT ELECTRIC AND GAS FACILITIES

30-5400 Code Vt. R. 30-000-5400-X REQUIREMENTS FOR PETITIONS TO CONSTRUCT ELECTRIC AND GAS FACILITIES

5.401 Purpose and Applicability.

This rule establishes minimum filing requirements for petitions to construct electric generation, energy storage, electric transmission, and natural gas facilities pursuant to 30 V.S.A. §248 and clarifies certain parts of the Section 248 review process. This rule is not intended to replace any of the statutory requirements of Section 248. Unless specifically stated, this rule also does not replace any requirements of other Public Utility Commission ("Commission") Rules or Procedures. Unless specifically stated, the requirements of this rule do not apply to petitions filed under subsections 248(k) or 248(n). The requirements of this rule do not apply to petitions for net-metering systems filed under Commission Rule 5.100.

5.402 Pre-Filing Advance Submission.

No less than 45 days before filing a petition with the Commission, the petitioner must submit project plans as described below. If the proposed project consists solely of the relocation of transmission facilities, the submission must be made at least 21 days before such filing. Any of the persons or entities entitled to receive notice under this section may waive the notice requirement.

(A) Recipients Entitled to Advance Submission. The petitioner must serve the following persons with a copy of the advance submission:

(1) the municipal legislative bodies and municipal and regional planning commissions in the communities where the project will be located;

(2) all Adjoining Landowners;

(3) the host landowner(s);

(4) the Department of Public Service;

(5) the Agency of Natural Resources;

(6) the Natural Resources Board;

(7) the Division for Historic Preservation;

(8) the Agency of Agriculture, Food and Markets; and

(9) the interconnecting utility.

For purposes of this rule, "Adjoining "Landowner" means a person who owns land in fee simple, if that land:

(a) With respect to a transmission line, will be crossed by the right-of-way for that line, shares a property boundary with such right-of-way, or would share a boundary with the right-of-way but for the presence of an intervening river, stream, public highway, or railroad line that shares a boundary with the right-of-way; or

(b) With respect to a generation facility, energy storage facility, substation, or other transmission facility not part of a transmission line, shares a property boundary with the tract of land on which that facility or substation is located or is adjacent to that tract of land and the two properties are separated only by a river, stream, railroad line, or public highway.

Adjoining Landowners must be identified using the host town's certified grand list as it existed no more than 60 days before the date of the advance submission or online through the Vermont Center for Geographic Information database, municipality-specific databases, the Vermont Department of Taxes grand lists, or electronic versions of grand lists maintained by municipalities. A petitioner must verify with the relevant municipality that the online database provides accurate and current information regarding parcel ownership within that municipality.

Documentation of verification must be signed and attested to by a petitioner.

(B) Method of Service of Advance Submission. The petitioner must serve the advance submission on the entities listed in (A)(1) through (3), above, by first-class mail or its equivalent. The petitioner must cause the advance submission to be transmitted to the entities listed in (A)(4) through (9), above, using the Commission's electronic filing system, unless an applicable exemption exists, in which case service must be by first-class mail or its equivalent. With permission from the intended recipient, the petitioner may serve a copy of the advance submission via email.

(C) Contents of advance submissions. Whenever service of the advance submission must be done by mail, the petitioner may elect to serve a document with information and a link that will allow the recipient to access the actual content of the advance submission electronically. The document must also include instructions for the recipient to request a hard copy of the advance submission from the petitioner if they are not able to access it electronically. If a hard copy is requested by the recipient, the petitioner must serve it by first-class mail or its equivalent within 2 business days of the request.

All advance submissions must include:

(1) A reference and a link to the Commission document "Public Participation and Intervention in Proceedings Before the Public Utility Commission," found on the Commission's website at https://puc.vermont.gov/document/public-participation-and-intervention-proceedings-public-utility-commission, and,

(a) If the petition is filed under Section 248, a reference and a link to the Commission's Section 248 procedures document, found on the Commission's website at: https://puc.vermont.gov/document/section-248-procedures; or

(b) If the petition is filed under Section 248(j), a reference and a link to the Commission's Section 248(j) procedures document, found on the Commission's website at https://puc.vermont.gov/document/section-248j-procedures.

(2) Sufficient information for a reader to understand the overall proposed project, including but not limited to:

(a) The site location and project boundaries;

(b) A description and site plan of the proposed project in as much detail as the petitioner reasonably can provide that show the approximate location of all proposed new infrastructure (e.g., transmission lines, substation, roads, laydown areas, etc.) relative to the existing conditions. The description and site plan must include sufficient detail to afford the recipient reasonable notice of the nature of the project so that the recipient is able to make an informed judgment as to any potential impact the construction or operation of the project may have on any interest of the recipient that is within the Commission's jurisdiction to address;

(c) A description of how equipment and materials will be transported to the site;

(d) Preliminary identification and analysis of aesthetic impacts and draft of a proposed aesthetic mitigation plan or an explanation why aesthetic mitigation measures are not needed for the proposed project;

(e) For projects proposed by utilities, the petitioner must include an evaluation of alternatives to the proposed project and the reasons why those alternatives were rejected.

(3) A notice of each municipal and regional planning commission's right under 30 V.S.A. §248(f)(1)(A) to convene a public hearing on the proposed petition.

(4) A notice of each planning commission's right under 30 V.S.A. §248(f)(1)(C) to submit recommendations to the petitioner within 40 days of the petitioner's submittal to the planning commissions.

(5) A notice that the petitioner's application to the Commission must address any written comments provided to the petitioner in response to the 45-day advance submission that are related to the Section 248(b) criteria and any oral comments related to those criteria made at a public hearing conducted pursuant to 30 V.S.A. §248(f)(1)(A).

(6) A notice of each planning commission's right under 30 V.S.A. §248(f)(1)(D) to make recommendations to the Commission after a petition is filed. The Commission will give due consideration to any such recommendations. Recommendations made to the Commission pursuant to this subsection, or the lack of such recommendations, shall not preclude municipal and regional planning commissions and municipal legislative bodies from exercising their right to appear as parties pursuant to 30 V.S.A. §248(a)(4)(G)-(I).

(D) Timing of advance submissions. If, within 365 days of the date of the advance submission, the petitioner has not filed a complete petition for the project that fully complies with the filing requirements of this rule, the submission will be treated as withdrawn without further action required by the Commission. No petition may subsequently be filed for the project without first complying with the pre-filing advance submission requirements of this section. The time period established by this section may be extended for good cause shown by motion filed at least 14 calendar days before the expiration of the 365-day period.

(E) Exemption. The advance submission required by this section need not be served on Adjoining Landowners if the proposed project consists of reconductoring within an existing right-of-way and the height of any new structure required for the reconductoring is not more than 10 feet higher than the structure being replaced. If any pole height increases by more than 10 feet, the requirements of this section shall apply only to landowners whose property adjoins the right-of-way at the immediate location of such pole.

5.403 Contents of Petition.

All petitions filed pursuant to Section 248 must be complete at the time they are filed. If a petitioner intends to rely solely on a permit from other regulatory agencies or a study to demonstrate compliance with the requirements of Section 248(b) instead of providing testimony or other evidence to satisfy such criteria, such studies and permits must be included with the petition.

(A) Petition contents. Subject to the exceptions for linear projects set forth in Section 5.404, below, each petition must include all of the following information unless a petitioner demonstrates that a specific piece of information is not applicable to the petition:

(1) Prefiled evidence (testimony and exhibits) that demonstrates how the proposed project complies with each of the separate criteria of 30 V.S.A. §248(b) and promotes the general good of the State in compliance with 30 V.S.A. §248(a). The testimony and exhibits must contain sufficient facts to support a positive finding by the Commission under each of the applicable Section 248 criteria. To the extent that the proposal will result in an adverse impact affecting any of these criteria, the applicant must describe what measures, if any, will be taken to minimize any such impact.

(2) A certification that all advance submission requirements in section 5.402 have been met.

(3) A summary of all comments received in the 45-day advance notice period as described in section 5.402(C)(4), including written comments and oral comments made at any public hearings and the petitioner's response to any such comments.

(4) A U.S. Geological Survey topographic map showing the location of the proposed project.

(5) An aerial photograph of the proposed project site that clearly marks existing structures and significant natural and constructed features when available, or an equivalent computer-generated image that provides similar detail.

(6) Either the topographic map referenced in subsection (4), above, or the annotated aerial photograph or equivalent computer-generated image must clearly show the project boundaries and enough of the adjacent property to show the project site in relation to surrounding land features and uses (e.g., natural areas, buildings, roads, and other generation, transmission, or storage facilities, etc.).

(7) Site plans or other documentation that include:

(a) legible scale(s) for all views on all sheets, including a legible graphic scale to account for document reductions;

(b) a project overview that shows the setbacks from the project's boundaries to the corner of the nearest project-related structure and approximate distances to any nearby residences, and for projects subject to specific applicable setbacks, the distance from the corner of the nearest project-related structure to the resource from which it must be set back;

(c) all project features and proposed site improvements and their dimensions, including temporary or permanent improvements on the project site or elsewhere that are reasonably related to the project;

(d) existing topography at the site and any proposed grading;

(e) the dimensions, area in square feet, and depth of all proposed soil disturbance;

(f) existing natural and constructed features (including but not limited to water bodies and wetlands and associated buffer zones, tree lines, primary agricultural soils, buildings, and roads);

(g) a depiction of any area(s) where vegetation is to be cleared or altered, including the limits of disturbance and the total acreage of any disturbed area;

(h) locations of proposed fencing, exterior lighting, signs, and aesthetic mitigation measures such as berms and landscape plantings;

(i) the latitude and longitude coordinates at the center of the proposed project site;

If the information required by subparagraphs (a) through (i) above is not included in a site plan, then the index of evidence required by Section 5.403(A)(16), below, must specifically identify by witness and page number or exhibit and page number the location of the information in the petition and supporting materials.

(8) Descriptions of any proposed direct or indirect alterations to or impacts on any natural resources protected by 30 V.S.A. §248(b)(5) including, but not limited to, wetlands, streams, shorelines, floodplains, rare and irreplaceable natural areas, necessary wildlife habitat, and their applicable buffer zones.

(9) Specific descriptions of proposed fencing, exterior lighting, signs, and aesthetic mitigation measures such as berms and landscape plantings.

(10) A cross-section of the site or other documentation showing existing and proposed conditions and the height of project features in relation to existing buildings and/or vegetation. If the information required by this subparagraph is not included in a crosssection of the site, then the index of evidence required by Section 5.403(A)(16), below, must specifically identify by witness and page number or exhibit and page number the location of the information in the petition and supporting materials.

(11) The presence and total acreage of primary agricultural soils as defined in 10 V.S.A. §6001 on each tract to be physically disturbed in connection with the construction and operation of the project, the amount of those soils to be disturbed, and any other proposed impacts to those soils.

(12) Color photographs of the project site.

(13) Elevation drawings.

(a) For each proposed structure, the petitioner must provide elevation drawings.

(b) The elevation drawings must be to appropriate scales but no smaller than 1"/20'.

(c) The petitioner must include two elevation drawings of the proposed structures drawn at right angles to each other, showing the ground profile to at least 100 feet beyond the edge of any proposed clearing, and showing any guy wires or supports.

(d) The elevation drawings must indicate the relative height of the facility to the tops of surrounding trees as they presently exist. The information required by this subsection (d) may be documented outside of a project's elevation drawings. If the information required by this subsection is not included in a project's elevation drawings, then the index of evidence required by Section 5.403(A)(16), below, must specifically identify by witness and page number or exhibit and page number the location of the information in the petition and supporting materials.

(e) Each plan sheet must be clearly labeled with the project title, date, revision date(s), scale, and name of the person or firm that prepared the plan.

(14) Information to document compliance with Commission Rule 5.500 regarding interconnection procedures for electric generation facilities, Rule 5.800 regarding aesthetic mitigation, and Rule 5.900 regarding decommissioning.

(15) Copies of the relevant sections of any town plan and regional plan in effect in the community in which the proposed project will be located. The petitioner must include testimony describing how the project complies with or is inconsistent with the land conservation measures and specific policies in those plans.

(16) An index, organized according to the criteria of 30 V.S.A. §248(b), that identifies by witness and page number the prefiled evidence that addresses each criterion, including the incorporated criteria of Section 248(b)(5). A descriptive title must be provided for each exhibit identified in the index.

(17) A copy of the Agency of Natural Resources Certificate of Public Good Application Fee Form.

(18) If applicable, a copy of the Public Utility Commission and Department of Public Service Application Fee for In-State Generation Facilities Form.

(19) For renewable generation projects, a description of any other renewable generation projects using the same fuel type that are existing, approved, proposed, or planned and are located on the same parcel of land or any parcel of land adjoining the parcel on which the petitioner plans to site its project.

(20) A summary of all community outreach efforts undertaken by the petitioner in advance of filing its petition.

(21) For petitions filed under Section 248(j), a proposed certificate of public good and proposed findings of fact.

(B) Attestations. All prefiled testimony and exhibits must be accompanied by a statement from the sponsoring witness attesting to the truth and accuracy of the testimony and exhibits and that they were prepared by or under the direct supervision of the witness. The attestation must include the following statement: "I declare that the testimony and exhibits that I have sponsored are true and accurate to the best of my knowledge and belief and were prepared by me or under my direct supervision. I understand that if the above statement is false, I may be subject to sanctions by the Commission pursuant to 30 V.S.A. §30."

(C) Design level detail required. Petitioners are required to provide with their petition either plans at a design level of detail or a request for conceptual approval followed by post-certification review of final designs. A request for conceptual approval must be supported by evidence that shows that the cost to the petitioner of submitting design details with the petition would outweigh the benefits of such submission, including but not limited to the evaluation of site-specific impacts, accuracy in the findings to be made by the Commission, and finality of the Commission's decision on the petition. In approving or denying such a request for conceptual approval, the Commission may consider additional factors that it deems relevant.

(D) Filing format. Unless an applicable exemption exists, petitions must be filed in ePUC in accordance with the requirements of Commission Rule 2.

5.401 Petitions for Linear Projects.

(A) Definition. For purposes of this section, "linear project" means a project or that portion of a project that is constructed using segmented and repetitive construction processes that is proposed to be sited in a utility easement, right-of-way, roadway, transmission corridor, or other similar construction corridor. Discrete, non-repeating, nonsegmented components of a larger otherwise linear project, such as substations or gate stations, are not included within this definition or in the provisions of this rule section.

(B) Requirements. Petitions for linear projects may meet the advance submission and petition content requirements set forth in Sections 5.402(C) and 5.403(A), above, as follows:

(1) 5.403(A)(7)(b): Linear projects do not need to provide the information required by this section.

(2) 5.403(A)(7)(d): For site plan topography for a linear project, representative drawings may be used to show expected topographical variations and proposed grading. Separate site plan pages must be filed for unique variations from what is shown in the representative drawings.

(3) 5.403(A)(7)(i): Longitude and latitude coordinates must be provided for a linear project's endpoints and mid-point.

(4) 5.403(A)(10): Petitioners may submit plan and profile sheets that include (1) a perpendicular view of the line, and (2) an aerial image of the corridor with the line drawn in.

(5) 5.403(A)(12): For color photographs of the project site for linear projects, representative photographs may be used to show typical conditions. Separate photographs must also be filed for unique variations from what is depicted in the representative photographs.

(6) 5.403(A)(13): In place of elevation drawings, petitioners may submit plan and profile drawings. The drawings must show the location of each component of the linear project and contain depictions of each pole or similar structure, including ground elevation, pole heights, conductor heights, sags between the poles, attachments on the poles, and the distance between the poles.

5.402 Additional Filing Requirements for Petitions to Construct Wind Generation Facilities.

Definition. For purposes of this section, "wind generation facility" means a generation facility that uses wind to produce electricity.

(B) Requirements. In addition to the requirements of this rule, petitions to construct wind generation facilities must meet the following requirements:

(1) The prefiling advance submission required by section 5.402 must be served on all municipal planning commissions, municipal governments, and regional planning commissions for all towns wholly or partially within a radius of a minimum of ten miles of each proposed turbine.

(2) In addressing the impact of the proposed project on orderly development, the petitioner must include an assessment of the impact on all towns within the ten- mile radius.

(3) The petition must include a viewshed analysis that includes an analysis of aesthetic impacts for a ten-mile radius from the proposed project site.

(4) The petition must include information documenting a project's compliance with Commission Rule 5.700 regarding sound levels.

(C) Non-applicability. The provisions of subsections (B)(1), (B)(2), and (B)(3), above, do not apply to net-metered wind systems authorized pursuant to 30 V.S.A. §8010 (regulated under Commission Rule 5.100), or non-net-metered wind systems that would otherwise qualify for the net-metering program under 30 V.S.A §8010 and Rule 5.100. No provisions of this section apply to meteorological towers regulated under 30 V.S.A. §246.

5.403 Commission Initial Review of Petition.

When a petition is filed under 30 V.S.A. §248, the Commission will review the petition for administrative completeness. If the Commission determines that the petition is not complete, including providing information sufficient to support positive findings under all of the applicable criteria of Section 248(b), the Commission will notify the petitioner that its petition is considered incomplete with a description of the incomplete or missing items. The Commission will not take any further action on an incomplete petition unless and until the petitioner files the missing information and the Commission determines that the petition is administratively complete.

(A) Advance submissions. Unless the Commission determines otherwise, a Commission determination that a petition is incomplete does not invalidate the advance submission already provided by the petitioner.

(B) Burden of proof. A determination by the Commission that a petition is administratively complete does not constitute a determination that the petitioner has met its burden of proof or burden of production under any or all applicable criteria.

(C) Additional information. The Commission may request additional information from the petitioner at any time in a proceeding.

(D) Notice of completeness. When the Commission has determined that a petition is administratively complete, the Commission will provide written notice of that determination to the petitioner.

5.404 Service and Notice of Petition.

Upon receipt of a notice of a complete petition, the petitioner must within two business days:

(A) Serve copies of the complete petition on all agencies and entities required under 30 V.S.A. §248(a)(4)(C), and for wind generation facilities, the entities identified in section 5.405(B)(1) of this rule. When service cannot be completed using the Commission's electronic filing system, the petitioner may serve by first-class mail or its equivalent a document with information and a link that will allow the recipient to access the complete petition electronically. With permission from the intended recipient, the petitioner may serve a copy of the document and the complete petition via email. The document must also include instructions for the recipient to request a hard copy of the complete petition if they are not able to access it electronically. If a hard copy is requested by the recipient, the petitioner must serve it by first-class mail or its equivalent within 2 business days of the request.

(B) Serve notice of the petition on the individuals and entities listed in sections 5.402(A) (2), (3), (6), and (9) of this rule. If the petition is not filed within 180 days of service of the advance submission required by section 5.402, then the petitioner must update its list of Adjoining Landowners consistent with the requirements of section 5.402(A)(b) before providing notice of the petition. When service cannot be completed using the Commission's electronic filing system, the petitioner must serve the notice by first-class mail or its equivalent. With permission from the intended recipient, the petitioner may serve a copy of the notice via email. This notice must include, at a minimum, the case number if the case is filed in ePUC, a reference and link to the required documents as described in section 5.402(C), a general description of the type and approximate location of the facilities and upgrades proposed, a statement that a complete petition has been filed with the Commission and that the case has been opened, and information and a link that will allow the recipient to access the complete petition electronically. The notice must also include instructions on how a recipient can contact the petitioner to obtain a hard copy of the complete project plans and petition if the recipient is not able to access them electronically.

(C) The notice required by section 5.407(B), above, need not be served on Adjoining Landowners if the proposed project meets the exemption contained in section 5.402(E) of this rule.

(D) The petitioner must file a certification that it has complied with the service and notice requirements of this section within five business days of receipt of a notice of a complete petition.

5.405 Additional Requirements Pertaining to Certain Criteria.

(A) Section 248(b)(2) (Need). For petitions to construct or modify transmission facilities in a national interest electric transmission corridor designated by the federal Secretary of Energy under 16 U.S.C. § 824p(a), petitioners must, as part of their demonstration on need, specifically address the interstate benefits expected to be achieved by the proposed project.

(B) Section 248(b)(6) (Integrated Resource Plans). A petition from an investor-owned utility, municipal electric department, or cooperative electric utility that does not have an approved integrated resource plan pursuant to 30 V.S.A. §218 c must provide evidence that its proposed project complies with principles of integrated resource planning, as defined in 30 V.S.A. §218 c, including consideration of environmental effects.

(C) Section 248(b)(7) (Consistency with Electric Energy Plan). Except for petitions concerning natural gas facilities that are not part of or reasonably related to an electric generation facility, the petitioner must provide evidence that specifically demonstrates compliance with the electric energy plan approved by the Department of Public Service under 30 V.S.A. §202, applying the relevant portions of that plan to the facts of the proposed project. If the petitioner seeks a determination that good cause exists to permit the proposed action despite inconsistency with that plan, the petitioner must request such a determination and provide evidence demonstrating the existence of such good cause.

5.406 Intervention by Certain Persons and Entities.

The following entities and persons may obtain party status in a proceeding conducted under Section 248 through the filing of a notice of intervention:

(1) the Agency of Agriculture, Food and Markets;

(2) the municipal legislative bodies and municipal and regional planning commissions in the communities where the project will be located;

(3) the regional planning commission of an adjacent region if the distance between the project's nearest component and the boundary of that adjacent region is less than or equal to 500 feet or 10 times the height of the facility's tallest component, whichever is greater;

(4) the legislative body and planning commission of an adjacent municipality if the distance between the project's nearest component and the boundary of that adjacent municipality is less than or equal to 500 feet or 10 times the height of the facility's tallest component, whichever is greater;

(5) the Natural Resources Board if the project site is subject to an Act 250 permit;

(6) the Division for Historic Preservation;

(7) any interconnecting utility;

(8) Adjoining Landowners;

(9) the host landowner(s); and

(10) in the case of a wind generation project, all municipal planning commissions, municipal governments, and regional planning commissions for all towns wholly or partially within a radius of a minimum of ten miles of each proposed turbine on one or more of the following criteria: (b)(1) orderly development; (b)(4) economic benefit; and (b)(5) aesthetics, transportation, historic sites, and public investments.

A notice of intervention filed under this section by a person or entity identified in subsections (5) through (10), above, must include a list of specific issues on which the intervenor is seeking to participate and an explanation of how the intervenor's interests will be affected by a decision on the petition.

The provisions of Commission Rule 2.209(C) apply to interventions under this section.

5.407 Site Visits.

In its discretion, the Commission may conduct one or more site visits to view the location of the proposed project. The purpose of the site visit is to assist the Commission and the parties in understanding the proposed project and the issues that the proposed project may present. The site visit will typically include the following activities: a discussion of the proposed project and its location; a viewing of the existing conditions at the location of the proposed project; and a discussion of how the existing conditions would be altered by the proposed project. The site visit may also include identification of relevant landscape features, discussion of how such landscape features affect the project design and location, identification of and visits to potential alternative locations for the proposed project, and consideration of any other relevant matters for which a first-hand viewing of the site may assist in understanding the issues before the Commission.

Observations and facts from the site visit will not be considered as evidence unless the Commission on its own motion specifically enters them into the evidentiary record.

5.408 Public Hearings.

The Commission, in response to a request from a party or a member of the public, will hold a public hearing on a petition filed under Section 248 or 248(j). If the Commission is requested by one or more members of the public or a party, the Commission, in its discretion, may hold one or more additional public hearings. Also, the Commission on its own motion may hold one or more public hearings in response to a petition in the absence of any request from a member of the public or a party.

5.409 Substantial Change Before Decision on a Petition.

If the petitioner makes a substantial change to a proposed project after the petition has been filed with the Commission but before a decision has been issued, the petitioner must serve notice of this change on all parties and entities entitled to notice under this rule and Section 248, including any newly affected Adjoining Landowners, as defined by this rule. For the purpose of this subsection, a substantial change is one that has the potential for significant impact with respect to any of the criteria of Section 248(b) or on the general good of the State under Section 248(a).

5.410 Amendments to Projects Approved under Section 248.

Commission approval is required for any proposed substantial change to a project that has been issued a certificate of public good under 30 V.S.A. §248. For the purpose of this subsection, a substantial change is a change in the approved proposal that has the potential for significant impact with respect to any of the criteria of Section 248(b) or on the general good of the State under Section 248(a).

(A) If the approved project, or the portion of it that will be subject to the change, has been commissioned at the time the change is proposed, the proposed change must be filed as a petition in a new case consistent with the requirements of this rule. All notice and advance notice requirements must be met and must include notice to all parties in the original case as well as all entities entitled to notice under this rule and Section 248, including any newly affected Adjoining Landowners, as defined by this rule. Notice does not need to be given to previous Adjoining Landowners of adjoining properties who have transferred their interests since the time of the project's approval. Provided the proposed change can reasonably be characterized as a modification to the previously approved and commissioned project, the fees associated with the proposed change are those established for project modifications under 30 V.S.A. §248 c(d)(B)(3). However, if the proposed change is more accurately characterized as a new project, then the fees associated with a new project will apply under 30 V.S.A. §§248 b and 248c. Factors that the Commission will consider in making this determination will include the amount of time that has passed since the original project was commissioned, the nature of the proposed change, the identities of the persons or entities involved in the original and modified projects, and any change in capacity to the original project.

(B) If the approved project, or the portion of it that will be subject to the change, has not been commissioned at the time the change is proposed, a request for an amendment to the certificate of public good may be filed in the same case in which the certificate of public good was issued. If the case in which the certificate of public good was issued has been closed, the certificate of public good holder must contact the Clerk of the Commission before filing. The petitioner must serve notice of the change on all parties and entities entitled to notice under this rule and Section 248, including any newly affected Adjoining Landowners, as defined by this rule. Notice does not need to be served on previous Adjoining Landowners of adjoining properties who have transferred their interests since the time of the project's approval. New case procedures, including the provision of a 45-day advance submission, do not apply. The fee due for modifications under 30 V.S.A. §248 c(d)(3)(B) applies to petitions filed under this subsection.

(C) Requests for changes to the certificate of public good for an approved project that are based on non-substantial changes to the project may be made in the same case in which the certificate of public good was issued regardless of whether the project or portion of the project has been commissioned. If the case in which the certificate of public good was issued has been closed, the certificate of public good holder must contact the Clerk of the Commission before filing. The petitioner must serve notice of the change on all parties in the case in which the certificate of public good was issued. New case procedures, including the provision of a 45-day advance submission, do not apply.

5.411 Costs of Section 248 Projects.

When a Vermont utility is the petitioner, or the costs of a project or a portion thereof are eligible to be recovered from Vermont ratepayers, the petitioner must regularly monitor and update the estimated capital costs of any project it has proposed or received approval for under Section 248. At the time a petitioner becomes aware that the estimated capital costs of such a project may increase by 20 percent or more over earlier cost estimates submitted to the Commission by the petitioner, and the increase is at least $ 25,000, or such other amount as the Commission may order in a given proceeding or prescribe in a procedure, the petitioner must notify the Commission and parties within seven calendar days of the new capital cost estimates for the project and the reasons for the increase. The requirement to monitor, update, and report continues until construction of the project has been completed or final costs are determined, whichever is later.

5.412 Waiver.

For good cause, the Commission may waive any of the requirements of this rule.

History

• EFFECTIVE DATE:
• October 15, 2006 Secretary of State Rule Log #06-032
• AMENDED:
• September 1, 2017 Secretary of State Rule Log #17-049; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 056]; 3/1/2024 Secretary of State Rule Log #23-047
• STATUTORY AUTHORITY: 30 V.S.A. §2(c); 30 V.S.A. §3; 30 V.S.A. §248

Chapter 5500 INTERCONNECTION PROCEDURES FOR PROPOSED ELECTRIC GENERATION RESOURCES

30-5500 Code Vt. R. 30-000-5500-X INTERCONNECTION PROCEDURES FOR PROPOSED ELECTRIC GENERATION RESOURCES

5.500 INTERCONNECTION PROCEDURES FOR PROPOSED ELECTRIC GENERATION RESOURCES

5.501 Applicability.

(A) This Rule applies to all proposed interconnections of Projects within the State of Vermont that are not lawfully subject to ISO-NE interconnection rules or successor rules approved by FERC. This Rule applies to all Applications filed on or after the effective date of this Rule.

(B) This rule establishes minimum requirements. The Commission may adopt additional requirements for the interconnection of Projects by order pursuant to Public Act No. 61. §7 (2006 Vt., Adj. Sess.).

5.502 Definitions.

(1) Affected System - any electric system that is either directly or indirectly connected to the Interconnecting Utility's electric system that could be adversely affected by the interconnection and parallel operation of the Interconnection Requester's Project.

(2) Application - a request for interconnection initiated by the submission of an Application Form provided by the Commission for the interconnection of Projects, the Application Fee where required, and any other information required by this Rule.

(3) Application Fee - The fee paid to the interconnecting utility to review an Application. for Projects with a Nameplate Capacity greater than 150 kW, the fee is $ 600 or the amount specified in an approved Interconnecting Utility tariff. Unless provided for in an approved Interconnecting Utility tariff, there is no fee for Projects with a Nameplate Capacity of less than or equal to 150 kW. The Application Fee is non-refundable unless the Application is withdrawn within 7 days of submittal. The Interconnecting Utility may require electronic payment of the Application Fee.

(4) Application Forms - the forms adopted by the Commission for Projects to request interconnection with the Interconnecting Utility. The Application Forms may be amended by the Commission from time to time. Application Forms may be submitted electronically to the Interconnecting Utility.

(5) Automatic Disconnect Device - an electronic or mechanical switch used to isolate a circuit or piece of equipment from a source of power without the need for human intervention.

(6) Commission - the Vermont Public Utility Commission.

(7) Disconnect (verb) - to isolate a circuit or equipment from a source of power. If isolation is accomplished with a solid-state device, "disconnect" means to cease the transfer of power.

(8) Disconnection - the state of a circuit or equipment being disconnected from a source of power.

(9) Distribution Level Study - a System Impact Study conducted at the distribution level.

(10) Emergency - a situation in which continued interconnection of a Project is imminently likely to result in significant disruption of service or endanger life or property.

(11) Energy Storage Device - a device that captures energy produced at one time, stores that energy for a period of time, and delivers that energy as electricity for use at a future time.

(12) Export Capacity - the maximum Nameplate Rating of a Project in alternating current (AC), except where such capacity is limited by any of the methods of limiting electrical export listed in Section 5.522 whereby the Export Capacity is the net capacity as limited through the use of such methods (not including Inadvertent Export). For example, if a solar facility paired with a storage facility were proposed with combined output limited to specified MW(s) of export, the specified MW(s) of output would be the Export Capacity.

(13) Facilities Study - any study or studies performed by an Interconnecting Utility or a designated third party to determine the cost of Interconnection Facilities or System Upgrades that are necessary for interconnection of the Project.

(14) Facilities Study Report - contains the results of the Facilities Study and is transmitted to the Interconnection Requester in accordance with Section 5.514.

(15) Feasibility Study - any study or studies performed by an Interconnecting Utility or a designated third party consisting of initial engineering analyses regarding the feasibility of interconnecting the Project.

(16) Feasibility Study Report - contains the results of the Feasibility Study, and other information required by this Rule.

(17) FERC - the Federal Energy Regulatory Commission.

(18) Flicker - the subjective impression of fluctuating luminance caused by voltage fluctuations.

(19) Frequency Ride Through - the ability of a Project to stay connected to and synchronized with the system or equipment of the Interconnecting Utility and any Affected Systems during system disturbances within a range of under-frequency and over-frequency conditions, in accordance with Good Utility Practice and consistent with any standards and guidelines that are applied to other Projects in the Interconnecting Utility's service territory on a comparable basis.

(20) Generation Resource - a facility that produces electric energy from other energy sources.

(21) Good Utility Practice - any of the practices, methods, and acts engaged in or approved by a significant portion of the electric industry operating a comparable electric system during the relevant time period, or any of the practices, methods, and acts that, in the exercise of reasonable judgment in light of the facts known at the time the decision was made, could have been expected to accomplish the desired result at a reasonable cost consistent with good business practices, reliability, safety, and expedition. Good Utility Practice is not intended to be limited to the optimum practice, method, or act to the exclusion of all others, but rather to be acceptable practices, methods, or acts generally accepted in the region.

(22) IEEE - Institute of Electrical and Electronics Engineers, Inc.

(23) Interconnecting Utility - electric utility with which the Interconnection Requester proposes to interconnect a Project.

(24) Inadvertent Export - the unscheduled export of power from a Project, exceeding a specified magnitude and for a limited duration, generally due to fluctuations in load- following behavior.

(25) Interconnection Agreement - an agreement between an Interconnecting Utility and Interconnection Requester regarding the interconnection and parallel operation of a Project. The Interconnection Agreement is accompanied by or includes Technical Requirements and Operator Protocols.

(26) Interconnection Facilities - all facilities and equipment between the Project and the Point of Interconnection, including any modification, additions, or upgrades that are necessary to physically and electrically interconnect the Project to the Interconnecting Utility's distribution or transmission system. Interconnection Facilities are sole-use facilities and do not include System Upgrades.

(27) Interconnection Queue - the list of Applications for the interconnection of Projects, in order based on the date-and-time stamp of complete Applications, maintained by each Interconnection Utility.

(28) Interconnection Requester - person or entity who proposes to interconnect a Project with an Interconnecting Utility.

(29) ISO-NE - ISO New England, Inc.

(30) Material Modification - means a modification that has a material impact on the cost or timing of processing an Application with a later queue priority date or a change in the Point of Interconnection. A Material Modification does not include, for example, (a) a change of ownership of a Project, (b) a change or replacement of equipment that is a like-kind substitution in size, ratings, impedances, efficiencies, or capabilities of the equipment specified in the original Application, or (c) a reduction in the output of the Project of 10% or less.

(31) Nameplate Rating - means the sum total capacity of all of a Project's constituent units, regardless of whether it is limited by any of the methods listed in Section 5.522.

(32) Non-Jurisdictional Affected Utility - a utility other than a Vermont distribution utility that operates an Affected System and will need to provide study support.

(33) Operator Protocols - an agreement between the Interconnection Requester and the Interconnecting Utility pertaining to the operation and maintenance of the Project.

(34) Point of Interconnection - the point on the Interconnecting Utility's existing system to which the Interconnection Requester proposes to interconnect.

(35) PUC - the Vermont Public Utility Commission.

(36) Pre-Application Fee - a Pre-Application Request includes a Pre-Application Fee. The fee is $ 300 or the amount specified in an approved utility tariff.

(37) Pre-Application Report - information about the application process and the point of proposed interconnection to the utility system.

(38) Pre-Application Request - a request from the Interconnection Requester for a Pre-Application Report.

(39) Preliminary Review - the initial process for establishing an interconnection for certain qualifying Projects in accordance with Section 5.512 of this Rule.

(40) Preliminary Screening Criteria - the screening criteria for Projects set forth in this Rule. These criteria are included in the Preliminary Review but will also be analyzed further in Feasibility and System Impact Studies as needed.

(41) Project - a Generation Resource or Energy Storage Device or an electrically connected combined Generation Resource and Energy Storage Device.

(42) Radial Feeder - a distribution line that branches out from a substation and is normally not connected to another substation or another circuit sharing a common supply of electric power.

(43) Scoping Meeting - an optional meeting between the Interconnecting Utility and the Interconnection Requester to discuss the conclusion of the Preliminary Review, and how to proceed with the interconnection request.

(44) Site Control - the ability of the Applicant to control the Project site documented by one of the following:

(1) fee simple title to such real property;

(2) valid written leasehold or easement interest for such real property;

(3) a legally enforceable written option with all terms stipulated, including "option price" and "option term," unconditionally exercisable by the proponent or its assignee, to purchase or lease such real property or hold an easement for such property; or

(4) a duly executed contract for the purchase and sale of such real property. Site control must be unconditional and continuous throughout the process, or a Project will be removed from the queue.

(45) Smart Inverter - a Project's inverter that performs functions that, when activated, can autonomously contribute to grid support during excursions from normal operating voltage and frequency system conditions by providing dynamic reactive/real power support, Voltage Ride Through, Frequency Ride Through, ramp rate controls, communication systems with ability to accept external commands, and other functions.

(46) Study Agreement - an agreement between the Interconnecting Utility and Interconnection Requester regarding the terms and conditions of the conduct of any study (e.g., Facilities Study Agreement) proposed by the Interconnecting Utility in order to proceed with the interconnection review process.

(47) System Impact Study - any study or studies performed by an Interconnecting Utility or a designated third party to ensure the safety, reliability, and stability of the electric power system with respect to the interconnection of Projects.

(48) System Impact Study Report - contains the results of the System Impact Study, and other information required by this Rule.

(49) System Upgrades - the additions, modifications, and upgrades to the distribution system and/or transmission system at or beyond the Point of Interconnection to facilitate interconnection of the Project. System Upgrades do not include Interconnection Facilities.

(50) Technical Requirements - an agreement between the Interconnection Requester and the Interconnecting Utility designed to provide protection to the public and to the personnel and equipment of the Interconnection Requester and Interconnecting Utility from the physical and financial risks associated with the interconnection and parallel operation of the proposed Project. The interconnection Technical Requirements accomplish this task through, including but not limited to, ensuring the installation of proper protective devices and metering equipment, and establishing performance criteria to minimize the probability that the Project will reduce the quality of service on the Interconnecting Utility's system.

(51) This Rule - Commission Rule 5.500: Interconnection Procedures for Proposed Electric Projects.

(52) Transmission Level Study - a System Impact Study conducted at the transmission level.

(53) Voltage Ride Through - the ability of a Project to stay connected to and synchronized with the system or equipment of the Interconnecting Utility and any Affected Systems during system disturbances within a range of under-voltage and over-voltage conditions, in accordance with Good Utility Practice and consistent with any standards and guidelines that are applied to other Projects in the Interconnecting Utility's service territory on a comparable basis.

(54) VELCO - Vermont Electric Power Company, which operates the transmission system in Vermont.

5.503 General Procedures.

(A) All studies conducted pursuant to this Rule must model all Projects at their Export Capacity, including any limitations on export imposed by means identified in Section 5.522 or at some other reasonable and expected capacity determined by the Interconnecting Utility.

(B) For Projects that include an Energy Storage Device, all studies conducted pursuant to this Rule must consider the operational characteristics unique to Energy Storage Devices that can minimize impacts on system stability and reliability. The Interconnecting Utility may impose inverter settings or operating regimes relating to Energy Storage Devices that ensure system stability and reliability.

(C) All studies must consider all Projects that:

(1) Are directly interconnected to the Interconnecting Utility's electric transmission or distribution system;

(2) Are interconnected to Affected Systems and may have an impact on the Interconnection Requester's Application; and

(3) Have a pending Application with an earlier position in the Interconnection Queue to interconnect to the electric transmission and/or distribution systems.

(D) After providing an opportunity for comment to the Vermont Department of Public Service, electric utilities, and other affected parties, the Commission may provide model documents, which may be used by the Interconnecting Utility and Interconnection Requester for the following: Pre-Application Report Request, any Study Agreement, Interconnection Agreement, Technical Requirements, and Operator Protocols. However, the Interconnecting Utility and Interconnection Requester may also voluntarily enter into different arrangements. In the event that these parties are unable to agree on the terms of an agreement to be reached under this Rule, either party may petition the Commission for resolution of the dispute.

(E) The time deadlines specified in this Rule, for utilities governed by this Rule, are maximum times unless the Interconnecting Utility and the Interconnection Requester make a mutual agreement to extend a deadline, provided that such an extension would not affect lower queued Projects. To avoid unnecessary delay, the Interconnecting Utility is encouraged to complete each task in less time than allotted, to the extent feasible.

(F) Different time deadlines may have to be instituted for studies required by Non-Jurisdictional Affected Utilities. These utilities may require studies, including but not limited to Transmission Level Studies (i.e., ISO-NE), but their timelines to provide such studies may not be governed by these rules or the Commission. By way of example and not limitation, when a Project Nameplate Rating is greater than 1 MW, the Interconnecting Utility is required to submit a generator notification form to ISO-NE and ISO-NE may determine that additional study is necessary.

(G) The Interconnecting Utility may contract with consultants, including contractors acting on behalf of the Interconnecting Utility, to perform the activities required under a Study Agreement. The third-party entities contracted with must be licensed appropriately for each area of study.

5.504 Group and Serial Studies.

(A) An Interconnecting Utility may propose for Commission approval a tariff establishing procedures for group studies. The tariff must include standards and procedures for the following issues:

(1) Group formation, including the timing, geographic scope, and requirements for participation;

(2) How to conduct group studies, including phases, duration, group and individual impact assessments, and distribution and transmission impacts;

(3) Group retention, including managing group attrition, (e.g., phases, deposits, site control) and the impact of Project modifications;

(4) Cost allocation, including study costs and upgrade costs; and

(5) Transitioning to a group study process, including impact on Projects already in the queue.

(B) If the number and timing of interconnection requests for a specific area is such that interconnection requests directly affect each other, the Interconnecting Utility may study Projects serially. In the case of serial review, the Interconnecting Utility will notify the Interconnection Requester that its review of the Project will be on hold until the Interconnecting Utility has completed its study or review of Projects ahead of the Interconnecting Requester in the Interconnection Queue.

5.505 Optional Pre-Application Report.

(A) Upon receipt of a completed Pre-Application Report Request and the Pre-Application Fee, the Interconnecting Utility must provide the pre-application data described in this section within 14 days. The Pre-Application Report Request must include a proposed Point of Interconnection, generation technology, storage technology, Project Nameplate Rating, Project Export Capacity, and fuel source. The proposed Point of Interconnection must be defined by latitude and longitude, site map, street address, utility equipment number (e.g., pole number), meter number, account number, or some combination of the above sufficient to clearly identify the location of the Point of Interconnection.

(B) The Pre-Application Report will include the following information if available:

(1) Total Export Capacity (MW) of the substation or circuit likely to serve the proposed site;

(2) Allocated Export Capacity (MW) of the substation or circuit likely to serve the proposed site;

(3) Queued Export Capacity (MW) of the substation or circuit likely to serve the proposed site;

(4) Available Export Capacity (MW) of the substation or bank and circuit most likely to serve the proposed site;

(5) Nominal distribution voltage of the circuit most likely to serve the proposed site;

(6) Approximate circuit distance between the proposed site and the substation;

(7) Hourly load profile by substation and transformer, at the most specific granularity available (e.g., if an 8760 hour profile is not available, then provide a 576 hour profile);

(8) Relevant line section(s) peak load estimate, and minimum load data, when available;

(9) Number of protective devices and number of voltage regulating devices between the proposed site and the substation;

(10) Whether or not three-phase power is available at the site and distance from three-phase service;

(11) Limiting conductor rating from proposed Point of Interconnection to the substation;

(12) Based on the proposed Point of Interconnection, existing or known constraints such as, but not limited to, electrical dependencies at that location, short circuit interrupting capacity issues, power quality or stability issues on the circuit, capacity constraints, or secondary networks; and

(13) Any other information deemed relevant by the Interconnecting Utility.

(C) The Pre-Application Report need only include pre-existing data. A Pre-Application Report request does not obligate the utility to conduct a study or other analysis of the proposed Project. If the utility cannot complete all or some of a Pre-Application Report due to lack of available data or need for additional analysis, the utility will provide the applicant with a Pre-Application Report that includes the information that is available.

(D) In requesting a Pre-Application Report, the Interconnection Requester understands that:

(1) The existence of "Available Generating Capacity" in no way implies that an interconnection up to this level may be completed without impacts because there are many variables studied as part of the interconnection review process;

(2) The utility system is dynamic and subject to change;

(3) Data provided in the Pre-Application Report may be outdated and not useful at the time of submission of the complete Interconnection Request; and

(4) Pre-Application Report Requests are not placed in the Interconnection Queue.

(E) Notwithstanding any of the provisions of this Section, the Interconnecting Utility must, in good faith, provide Pre-Application Report data that represents the best available information at the time of reporting.

5.506 Applications.

(A) All Projects must complete the appropriate Application Form as follows:

(1) For Projects with a Nameplate Rating up to 150 kW;

(2) For Projects greater than (>) 150 kW; or

(3) As otherwise provided by the Commission.

(B) All Projects must provide:

(1) Information regarding certification or Underwriters Laboratory listing of the Interconnection Requester's Project;

(2) Information regarding inverter settings, including inverter data sheets;

(3) For any Energy Storage Device, the proposed use case(s) or operational requirements and restrictions under the Project should be studied.

(C) Projects with a Nameplate Rating greater than 150 kW including the combined Nameplate Rating of any Generation Resource and Energy Storage Device must provide:

(1) The Application Fee;

(2) Documentation of Site Control;

(3) An electrical one-line diagram signed and stamped by a licensed professional engineer; and

(4) A site plan. The site plan should show the location of the facility and location of the facility equipment (to the extent that it is known).

5.507 Interconnection Queue.

(A) Interconnection Queue. Each interconnecting utility must maintain an Interconnection Queue of all proposed Projects.

(B) Interconnection Queue position. The Interconnecting Utility must assign each Project a position in the Interconnection Queue based on the date-and-time stamp of the Interconnection Requester's complete Application.

(C) Certain Interconnection Queue information available online. The Interconnecting Utility must make its Interconnection Queue available online, redacted to include only the Project type, queue position, location by town, interconnection circuit, fuel type (including renewable sources), date of interconnection request, expected operation date, study status, Nameplate Rating of each energy resource included in the Project, and Export Capacity of proposed Projects.

5.508 Notice of Applications

(A) Notice to Affected Systems. The Interconnecting Utility must notify the Affected System's utility in accordance with the same interconnection notification protocols that would apply if the Application were subject to FERC jurisdiction.

(B) Notification to VELCO. To assess any transmission-level impacts and to coordinate any needed transmission-level interconnection studies, the Interconnecting Utility must send a copy of the Application once deemed complete to VELCO for all proposed Projects greater than 1 MW in Nameplate Rating. Within 14 days of receipt, VELCO must forward the Application to ISO-NE to determine whether Transmission Level Studies are required. VELCO will notify the Interconnecting Utility within 14 days of receipt of ISO-NE's determination. VELCO's response will include date of submittal to ISO-NE for information. If requested by VELCO, the Interconnecting Utilities will provide a copy of the complete Application for Projects smaller than 1 MW Nameplate Rating.

(C) Notification to distribution utilities providing subtransmission services. To assess any subtransmission-level impacts and to coordinate any needed subtransmission-level studies, the Interconnecting Utility will notify the distribution utility providing subtransmission service of any proposed Projects with a Nameplate Rating greater than 150 kW.

5.509 Cost Allocation.

(A) The date-and-time stamp of the Application will be used to determine the cost responsibility for any interconnection studies or System Upgrades necessary to accommodate the interconnection.

(B) For group review of multiple Applications, the Interconnecting Utility may allocate costs based on a methodology specified in an approved utility tariff.

5.510 Procedure for Projects with a Nameplate Rating of 500 kW or Less.

(A) The Interconnecting Utility must notify the Interconnection Requester within 7 days of the receipt of the Application if the Application is incomplete. The notification must include a written list detailing all information that must be provided to complete the Application. An Application will be complete upon submission to the Interconnecting Utility of a revised Application containing the listed information.

(B) If the Interconnecting Utility determines that there are interconnection issues, the Interconnecting Utility must notify the Interconnecting Requester within the following timeframes:

(1) In the case of a Project with an Export Capacity of 15 kW or less, the 15th day following the date of receipt of a complete Application; and

(2) In the case of a Project with an Export Capacity greater than 15 kW and no more than 500 kW, the 31st day following the date of receipt of the complete Application.

(C) For Projects that have an Export Capacity not greater than 15 kW and a Nameplate Rating not greater than 50 kW, the following screening criteria will be utilized:

(1) The proposed Project must meet current requirements per Section 5.520 regarding inverter and Project equipment package certification;

(2) The proposed Point of Interconnection is not a transmission line; and

(3) The aggregate Export Capacity, including the Export Capacity of the proposed Project, on a distribution circuit will not cause any customer equipment or distribution equipment, including but not limited to conductors, distribution transformers, and fuse cutouts, to exceed the equipment's thermal ratings.

(D) For Projects that have an Export Capacity greater than 15 kW or a Nameplate Rating greater than 50 kW, the Interconnecting Utility will review the screening criteria in 5.512(D). If the Interconnecting Utility determines that the interconnection raises system issues, the Interconnecting Utility must notify the Interconnecting Requester in writing within the timeframes set forth in (B) above. The Interconnecting Utility's letter must include a recommendation as to how the interconnection issues could be resolved by the Interconnection Requester or state whether additional analysis is required.

(E) For Projects with a Nameplate Rating greater than 150 kW, the Interconnecting Utility may require electronic payment of the Application Fee. If the Interconnecting Utility allows the Application Fee to be paid by check, the Interconnecting Utility must wait until the fourteenth day following receipt of the Application for the Application Fee to arrive. If the Application Fee has not arrived in that time period, the Application will be deemed incomplete.

(F) If additional interconnection analysis is required, the applicable procedures set forth below in this Rule will be followed.

(G) The Interconnection Requester must notify the Interconnecting Utility immediately of any change in the information provided in the Application that was determined to be complete, including but not limited to the loss of site control.

5.511 Procedure for Projects with a Nameplate Rating Greater than 500 kW.

(A) The Interconnecting Utility must notify the Interconnection Requester of receipt within 7 days of receiving the Interconnection Requester's Application.

(B) The Interconnecting Utility must notify the Interconnection Requester within 14 days of the receipt of the Application as to whether the Application is complete or incomplete.

(1) If the Application is incomplete, the Interconnecting Utility must provide, along with the notice that the Application is incomplete, a written list detailing all information that must be provided to complete the Application. An Application will be complete upon submission to the Interconnecting Utility of a revised Application containing the listed information. The Interconnecting Utility will have 14 days to review the revised Application for completeness.

(2) The Interconnecting Utility may require electronic payment of the Application Fee. If the Interconnecting Utility allows the Application Fee to be paid by check, the Interconnecting Utility must wait until the 14th day following receipt of the Application for the Application Fee to arrive. If the Application Fee has not arrived in that time period, the Application will be deemed incomplete.

(3) Complete Applications reviewed pursuant to this subsection will be reviewed using the procedures specified in this Rule.

(4) The Interconnection Requester must notify the Interconnecting Utility immediately of any change in the information provided in the Application that was determined to be complete, including but not limited to the loss of site control.

5.512 Preliminary Review Screening Process.

(A) Within 30 days after an Application is determined to be complete, the Interconnecting Utility must perform a review of the Application under the Preliminary Review screening criteria set forth below, and must notify the Interconnection Requester of the conclusion and determination if additional study is required. However, the Preliminary Review process can be waived if the Interconnecting Utility and Interconnecting Requester mutually agree to move directly to the study process.

(B) The Preliminary Review is an analysis by the Interconnecting Utility of the Preliminary Screening Criteria in Section 5.512(D) and is performed with readily available data and models. If the Interconnecting Utility is unable to perform a Preliminary Review without extensive data acquisition, model development, load flow analysis, or short circuit analysis, then the Preliminary Screening Criteria are considered failed.

(C) On the basis of the Preliminary Review, if the Interconnecting Utility concludes that additional study is required, the Interconnecting Utility must convey these concerns in writing to the Interconnection Requester within the required timeframes.

(D) Preliminary Screening Criteria:

(1) The proposed interconnection point is on a distribution line.

(2) The aggregated Export Capacity, including the capacity of the Project, on a distribution circuit will not cause any distribution equipment, including but not limited to conductors, substation transformers, line stepdown transformers, substation breakers, regulators, fuse cutouts, and line reclosers, or customer equipment on the system, to exceed the equipment's thermal ratings.

(3) The proposed Project's Nameplate Rating, in aggregation with other Generation Resource Nameplate Ratings on the distribution circuit, will not cause any distribution protective devices and equipment (including, but not limited to, substation breakers, fuse cutouts, and line reclosers) or Interconnection Requester equipment on the system to exceed 87.5% of the short-circuit interrupting capability; nor will the Project be proposed for a circuit that already exceeds 87.5% of the short-circuit interrupting capability.

(4) The proposed Project will have no adverse impact on existing protection coordination.

(5) The proposed Project, in aggregation with other Export Capacity on the distribution circuit, will not result in potential for Transmission Ground Fault Overvoltage (TGFOV).

(6) The proposed Project, in aggregation with other Export Capacity on the distribution circuit, will not cause unintentional islanding. The proposed Project does not require additional unintentional islanding protection.

(7) For interconnection of a proposed single-phase or effectively grounded three-phase Project where the primary distribution system is three-phase, four-wire, the Project will be connected line-to-neutral. For interconnection of a proposed single-phase or three-phase Project where the primary distribution system is three-phase, three-wire, the Project will be connected line to line.

(8) The proposed Project is not located in an area where there are known or posted transient stability limitations to Projects located in the general electric vicinity, including but not limited to known harmonic issues.

(9) The proposed Project will not affect the Interconnecting Utility's 's ability to maintain voltages consistent with Standard ANSI C84.1.

(10) Voltage drop caused by starting Generation Resource is within acceptable limits, meaning that inrush current caused by the startup of the proposed Project up to once per hour is not greater than 3% of the available fault current or does not cause greater than a 3% voltage deviation at the Point of Interconnection as modeled in an unbalanced load flow. Voltage drop due to starting the proposed Project more than once per hour meets a tighter inrush-current tolerance to be determined by the Interconnecting Utility. This criterion is applicable only to synchronous or induction Projects.

(11) The Interconnection Requester affirms that the proposed Project meets the applicable codes and standards of Section 5.520 or is a certified equipment package under Section 5.519.

(12) Flicker caused by the proposed Project must comply with IEEE Standard 1547.

(13) For Projects that will not export to the grid, the voltage drop caused by Inadvertent Export is within acceptable limits, meaning that voltage change at the primary level caused by the loss of load at the Project point of interconnection is less than 3%.

(14) Identification of affected Vermont utilities and/or Non-Jurisdictional Affected Utilities. These entities must identify no adverse impact on their Affected Systems.

(E) If the proposed interconnection passes the Preliminary Screening Criteria, the interconnection request must be approved, and the Application will not require additional study. Approval of an Application must be provided to the applicant in writing. For Projects greater than 150 kW in capacity, the Interconnecting Utility must provide the Interconnection Requester with an executable Interconnection Agreement within 7 days after the completion of the Preliminary Review. Projects with a Nameplate Rating of less than 150 kW may interconnect without an Interconnection Agreement unless operating restrictions or requirements are identified. For Projects with a Nameplate Rating of less than 150 kW with operating restrictions or requirements imposed as part of the interconnection, the Interconnecting Utility must provide the Interconnection Requester with an executable Interconnection Agreement within 7 days after the completion of the Preliminary Review.

(F) If the Project fails the Preliminary Screening Criteria, but the Interconnecting Utility determines that the Project may nevertheless be interconnected consistent with safety, reliability, and power quality standards, the Interconnecting Utility must notify the Interconnection Requester in writing that the Application is approved. If the Project is greater than 150 kW in Nameplate Rating or has operating restrictions or requirements imposed as part of the interconnection, the Interconnecting Utility must provide an executable Interconnection Agreement within 7 days. The Interconnecting Utility must provide a technical justification in the Preliminary Review conclusion regarding why the proposed Project may nevertheless be interconnected consistent with safety, reliability, and power quality standards.

(G) If the Preliminary Review identifies additional facilities or system upgrades that are not of a routine and uncomplicated nature and are needed to mitigate potential adverse impacts on the electric system, and if neither a Feasibility Study or System Impact Study is required, the Interconnecting Utility must send the Interconnection Requester an executable Facilities Study agreement (if required), which must include an outline of the scope of the study and a good-faith estimate of the cost to perform the study, within 7 days after the Interconnecting Utility provides the Preliminary Review conclusion.

(H) If the Project fails the Preliminary Screening Criteria, and the Interconnecting Utility does not or cannot determine from the initial review that the Project may nevertheless be interconnected consistent with safety, reliability, and power quality standards, and unless the Interconnection Requester is willing to consider minor modifications or further study, the Interconnecting Utility must provide the Interconnection Requester with the opportunity to attend a Scoping Meeting. If the Interconnection Requester indicates in response to this opportunity that it does not want to hold a Scoping Meeting or proceed to additional study, the Application will be considered withdrawn.

(I) If mutually agreed upon, a Scoping Meeting to discuss available options may be scheduled and held within 14 days of the Interconnecting Utility notifying the Interconnection Requester of the results of the review of the Preliminary Screening Criteria. The purpose of the Scoping Meeting may be to review existing studies relevant to the Interconnection Requester's Application.

(J) At the time of notification of the Interconnecting Utility's determination, or at the Scoping Meeting, the Interconnecting Utility must:

(1) Offer to perform limited and low-cost modifications to the Interconnecting Utility's electric system (e.g., changing meters, fuses, relay settings) and provide a non-binding, good-faith estimate of the cost to make such modifications to the Interconnecting Utility's electric system. If the Interconnection Requester agrees to pay for the modifications to the Interconnecting Utility's electric system and the Project is greater than 150 kW in Nameplate Rating or has operating restrictions or requirements imposed as part of the interconnection, the Interconnecting Utility must provide the Interconnection Requester with an executable Interconnection Agreement within 14 days of the Scoping Meeting or, if there is no Scoping Meeting, within 14 days of the notification of the Interconnecting Utility's determination; or

(2) Provide a non-binding, good-faith estimate of the costs of such review; or

(3) Obtain the Interconnection Requester's agreement to continue evaluating the Project under the study processes described in this Rule.

(K) If mutually agreed upon by the Interconnection Requester and the Interconnecting Utility, the Feasibility, System Impact, and/or Facilities Studies may be combined for the purpose of achieving cost and/or time savings.

5.513 Feasibility Study.

(A) In cases where the Interconnecting Utility determines that a Feasibility Study is necessary, the Interconnecting Utility must provide the Interconnection Requester with an executable Feasibility Study agreement that includes an outline of the scope of the study and a good-faith estimate of the cost to perform the study. The executable Feasibility Study agreement will be provided by the Interconnecting Utility within 7 days after the close of the Scoping Meeting, or the date of the decision not to hold a Scoping Meeting. In order to remain in the Interconnecting Utility's Interconnection Queue, the Interconnection Requester must return, within 21 days, an executed Feasibility Study agreement along with a deposit of the lesser of 50% of estimated Feasibility Study costs or $ 1,000.

(B) A Feasibility Study must include the following analyses:

(1) Initial identification of any instances where the short-circuit capability limits of any protective device (circuit breaker, recloser, fuse, etc.) that will be exceeded as a result of the Project;

(2) Initial identification of any thermal overload or voltage limit violations on transmission or distribution systems resulting from the Project;

(3) Initial review of islanding, grounding requirements, and system protection; and

(4) Identification of Affected Utilities and/or Non-Jurisdictional Affected Utilities.

(C) A Feasibility Study must model the impact of the Project in order to avoid the further expense and interruption of operation for reexamination of feasibility and impacts if the Interconnection Requester later changes the purpose for which the Project is being installed.

(D) A Feasibility Study must include the feasibility of any interconnection at a proposed Project site where there could be multiple potential Points of Interconnection, as requested by the Interconnection Requester.

(E) In performing the Feasibility Study, the Interconnecting Utility must rely, to the extent reasonably practicable, on existing studies of recent vintage. The Interconnection Requester will not be charged for such existing studies; however, the Interconnection Requester is responsible for charges associated with any new study or modifications to existing studies that are reasonably necessary to perform the Feasibility Study.

(F) Feasibility Study Report

(1) Once a Feasibility Study is completed, the Interconnecting Utility must prepare a Feasibility Study Report, which describes the results of the Feasibility Study, and transmit it to the Interconnection Requester. Barring unusual circumstances outside of the Interconnecting Utility's control, the Interconnecting Utility must complete a Feasibility Study, and transmit the Feasibility Study Report to the Interconnection Requester, within 45 days of the Interconnection Utility's receipt of an executed Feasibility Study agreement and deposit as described in Section 5.512(A).

(2) The Feasibility Study Report must also include cost estimates for the Distribution Level System Impact Study, Transmission Level System Impact Study, and Facilities Study, to the extent that any of these studies are determined by the Feasibility Study to be required.

(3) The Interconnecting Utility must provide the applicable Study Agreement or Interconnection Agreement to the Interconnection Requester.

(G) If a Feasibility Study shows no potential adverse impacts on the electric system, and no additional facilities are required or the only additional facilities are not transmission voltage equipment or are of a routine and uncomplicated nature for the Interconnecting Utility (e.g., Projects covered by existing tariffs, fuses, relay settings), the Interconnecting Utility must send the Interconnection Requester written approval of the Application and, in the case of Projects with a capacity greater than 150 kW in Nameplate Rating or with operating restrictions or requirements imposed as part of the interconnection, an executable Interconnection Agreement within 14 days after delivery of the Feasibility Study Report.

(H) If a Feasibility Study shows no potential adverse impacts on the electric system, but additional facilities are required that need a Facilities Study, the Interconnecting Utility must send the Interconnection Requester an executable Facilities Study agreement, including an outline of the scope of the study and a good-faith estimate of the cost to perform the study within 7 days after delivery of the Feasibility Study Report.

(I) If a Feasibility Study shows the potential for adverse impacts on either the distribution system or the transmission system, the review process will proceed to the System Impact Study, and the Interconnecting Utility must send the Interconnection Requester an executable System Impact Study agreement, including an outline of the scope of the study and a good-faith estimate of the cost to perform the study within 7 days of the delivery of the Feasibility Study. The executable System Impact Study agreement must specify whether it and the cost estimate are for a Distribution Level Study, Transmission Level Study, or both. Additional study is not required if the adverse impacts are minor, routine in nature, or easily mitigated.

(J) In instances where a Feasibility Study shows potential impacts on the transmission system or a Non-Jurisdictional Affected Utility, within 7 days following transmittal of the Feasibility Study Report, the Interconnecting Utility must notify the Affected Systems. Affected Systems may require performance of separate System Impact Studies.

5.514 System Impact Study.

(A) In order to remain in the Interconnecting Utility's Interconnection Queue, the Interconnection Requester must return, within 21 days, an executed System Impact Study agreement along with a deposit equivalent to the estimated cost of the study.

(B) A System Impact Study includes two sub-studies: a Transmission Level Study and a Distribution Level Study. One or both of the sub-studies may be performed, depending on the specific circumstances of the Application and the findings of the Preliminary Review, Scoping Meeting, and/or Feasibility Study. If the Preliminary Review, Scoping Meeting, or Feasibility Study identifies potential adverse impacts on the distribution system, a Distribution Level Study must be performed. If the Scoping Meeting, Feasibility Study, or Distribution Level Study identifies potential adverse impacts on the transmission system, a Transmission Level Study must be performed.

(1) The Distribution Level System Impact Study must consist of a distribution load-flow study, an analysis of equipment-interrupting ratings, protection coordination study, voltage drop and flicker studies, protection and set point coordination studies, grounding reviews, and the impact on system operation, as necessary.

(2) The Transmission Level System Impact Study must consist of a short-circuit analysis, a stability analysis, a power-flow analysis, voltage-drop and flicker studies, protection and set-point-coordination studies, and grounding reviews, as necessary.

(C) The purpose of the System Impact Study is to identify and specify the impacts on electric transmission and/or distribution system stability and reliability that would result if the proposed Project were interconnected without Project modifications or system modifications, focusing on the adverse impacts identified in the Preliminary Review, Scoping Meeting, or Feasibility Study, and to identify and study any additional potential impacts.

(D) If the Project being reviewed includes an Energy Storage Device, the use case(s) for the Energy Storage Device will be included in the review, and the operation of the storage system will be limited to those use cases studied, which will be specifically identified in the Interconnection Application. Should the applicant want to change or add use cases for the Project, notice must be provided to the Interconnecting Utility and further study may be required and the changes may be considered a Material Modification

(E) System Impact Study Report

(1) Once a System Impact Study is completed, the Interconnecting Utility must prepare a System Impact Study Report and transmit it to the Interconnection Requester. Barring unusual circumstances outside of the Interconnecting Utility's control, the System Impact Study determined to be necessary by the Feasibility Study or Scoping Meeting must be completed and transmitted to the Interconnection Requester within 60 days from receipt of the System Impact Study agreement and deposit if a Feasibility Study was performed, and 90 days from receipt of the System Impact Study agreement and deposit if a Feasibility Study was not performed. ISO-NE or Affected Systems may require performance of a separate System Impact Study that may not necessarily be governed by this Rule.

(2) The System Impact Study Report must state the assumptions upon which the System Impact Study is based, state the results of the analyses, and provide the requirements for, or potential impediments to, providing the requested interconnection service. The System Impact Study must provide a list of upgrades that are required as a result of the Interconnection Requester's Application and cost responsibility. The System Impact Study Report must be provided with a Facilities Study agreement or Interconnection Agreement.

(F) If, while conducting the System Impact Study outlined in the executed System Impact Study agreement, the Interconnecting Utility determines that studies beyond those contained in the executed System Impact Study Agreement are required (for instance, if the Feasibility Study recommended that a Distribution Level Study be conducted, and, during the course of conducting the Distribution Level Study, the Interconnecting Utility determined that a Transmission Level Study is also required), the Interconnecting Utility must, within 7 days of making that determination, send the Interconnection Requester a supplemental System Impact Study agreement, including an outline of the scope of the supplemental study and a good-faith estimate of the cost to perform the supplemental study. To remain in the Interconnection Queue, the Interconnection Requester must return an executed supplemental System Impact Study Agreement within 21 days with a deposit equivalent to the estimated cost of the supplemental study. Barring unusual circumstances outside of the Interconnecting Utility's control, a supplemental System Impact Study must be completed and transmitted to the Interconnection Requester within 60 days of the receipt of the supplemental System Impact Study agreement.

(G) In instances where a Feasibility Study or a System Impact Study shows potential impacts on the transmission system, within 7 days following transmittal of the Feasibility Study Report or System Impact Study Report, the Interconnecting Utility must notify the Affected System's utility.

(H) Where transmission systems and electric power distribution systems have separate owners, such as is the case with transmission-dependent utilities, whether investor-owned or not, the Interconnection Requester or Interconnecting Utility may apply to the nearest transmission utility providing transmission service to the transmission-dependent utility to request Project coordination. An Affected System's utility must participate in the study and provide all information necessary to prepare the study. Affected Systems may require performance of a separate System Impact Study.

(I) If a System Impact Study shows that no additional facilities are required, or that the only additional facilities are not transmission voltage equipment or are of a routine nature, the Interconnecting Utility must send the Interconnection Requester written approval of the Application and, in the case of Projects with a Nameplate Rating greater than 150 kW or with operating restrictions or requirements imposed as part of the interconnection, an executable Interconnection Agreement within 21 days after delivery of the System Impact Study Report.

(J) If a System Impact Study shows that additional facilities other than those that are routine and uncomplicated in nature for the utility (e.g., Projects covered by existing tariffs, fuses, relay settings) are required, the Interconnecting Utility must send the Interconnection Requester an executable Facilities Study agreement, including an outline of the scope of the study and a good-faith estimate of the cost to perform the study within 7 days after delivery of the System Impact Study Report.

5.515 Facilities Study.

(A) To remain in the Interconnecting Utility's Interconnection Queue, the Interconnection Requester must return, within 30 days, an executed Facilities Study agreement along with a deposit equivalent to the estimated cost of the study.

(B) Facilities Study preparation. Transmission-system and/or distribution-system interconnection design for any required Interconnection Facilities and/or System Upgrades must be performed under a Facilities Study agreement between the Interconnection Requester and the Interconnecting Utility.

(C) In some cases, the Interconnection Requester and the Interconnecting Utility may reach agreement allowing the Interconnection Requester to separately arrange for the design of some of the required Interconnection Facilities and/or System Upgrades. In such cases, Interconnection Facilities' design will be reviewed, and modified as necessary by the Interconnecting Utility, before acceptance under the provisions of the Facilities Study agreement. If the parties agree to separately arrange for design and construction, the Interconnecting Utility must make sufficient information available to allow the Interconnection Requester to obtain an independent design and cost estimate for any necessary facilities. This provision does not prohibit the Interconnecting Utility and the Interconnection Requester from reaching agreement to protect information that one or the other deems confidential and does not require the Interconnecting Utility to disclose information that it is otherwise obligated not to disclose or affect the Commission's authority to compel or restrict disclosure of information.

(D) System Upgrades. In cases where System Upgrades are required, the Facilities Study must be completed and a Facilities Study Report transmitted to the Interconnection Requester within 60 days of the receipt of the Facilities Study agreement. In cases where no System Upgrades are required, and the required facilities are limited to Interconnection Facilities, the Facilities Study must be completed and a Facilities Study Report transmitted to the Interconnection Requester within 30 days. In either event, the Facilities Study Report must include a good-faith estimate of the cost of any recommended System Upgrades or Interconnection Facilities.

(E) The Interconnecting Utility must send the Interconnection Requester an executable Interconnection Agreement within 21 days after delivery of the Facilities Study Report.

5.516 Terms Applicable to All Interconnection Applications.

(A) The Interconnection Requester is responsible for meeting all applicable codes and standards of Section 5.520 unless interconnection is accomplished by a certified equipment package under Section 5.519.

(B) Interconnection Agreement. Except in the case of Projects that are allowed under this Rule to interconnect without a written agreement, upon completion of the necessary studies, if any, the Application must be approved and the Interconnecting Utility must provide the Interconnection Requester with an executable Interconnection Agreement with necessary attachments within the time limits identified in the portions of this Rule detailing the study processes used for the Project. The Interconnection Requester's Application will be deemed withdrawn and the Interconnection Requester will lose its Interconnection Queue position unless the Interconnection Requester returns the executed Interconnection Agreement by the later of (1) three months after provision of the executable Interconnection Agreement or (2) 30 days after the issuance of the Certificate of Public Good for the Project, but in no case later than one year after provision of the executable Interconnection Agreement. The Interconnection Requester bears all risk if, during the period between completion of any studies and the return of the executed Interconnection Agreement, (1) network conditions change such that the studies' results are no longer valid and the studies need to be revisited and updated at the Interconnection Requester's cost, or (2) the cost estimate for System Upgrades and Interconnection Facilities is no longer valid, except to the extent that these changed circumstances are known or could reasonably have been foreseen by the Interconnecting Utility.

(C) The Interconnection Agreement must require that Voltage Ride Through capability, Frequency Ride Through capability, and Smart Inverter functionality comply with the standards required by this Rule. If mutually agreed upon by the Interconnecting Utility and Interconnection Requester, the Interconnection Agreement must require enhanced Voltage Ride Through, Frequency Ride Through, or other Smart Inverter functionality, consistent with the standards required by this Rule and with Good Utility Practice.

(D) Reasonable Efforts. The Interconnecting Utility must make reasonable efforts to meet all time frames provided in this Rule unless the Interconnecting Utility and the Interconnection Requester agree to a different schedule. If an Interconnecting Utility cannot meet a deadline provided in this Rule, it must notify the Interconnection Requester, explain the reason for the failure to meet the deadline, and provide an estimated time by which it will complete the applicable interconnection procedure. The Interconnecting Utility must maintain records, subject to audit, of all Project Applications received, the times required to complete Application approvals and disapprovals, and justification for the actions taken on the Applications. If costs arise from delay despite reasonable efforts of the Interconnecting Utility, these costs will be borne by the Interconnection Requester. If costs arise from delay resulting from a lack of reasonable efforts on the part of the Interconnecting Utility, such costs will be borne by the Interconnecting Utility.

(E) Material Modifications not agreed to in writing by the Interconnecting Utility and the Interconnection Requester may be deemed by the Interconnecting Utility as a withdrawal of the Application, which will result in loss of queue position and will require submission of a new Application.

(F) Dispute Resolution. If a dispute arises at any time during these procedures, either the Interconnection Requester or the Interconnecting Utility may seek immediate resolution by written petition to the Commission, with copies to the other party and the Vermont Department of Public Service, stating the issues in dispute. Pursuit of dispute resolution will not affect an Interconnection Requester's Application with regard to consideration for interconnection, nor position in an Interconnection Queue.

(G) Interconnection Metering. Any metering necessitated by the interconnection of the Project must be installed at the Interconnection Requester's expense in accordance with the Interconnecting Utility's reasonable specifications.

(H) Commissioning. Commissioning tests of an Interconnection Requester's installed equipment must be performed pursuant to applicable codes and standards as identified by the parties in the Interconnection Agreement. The Interconnecting Utility must be given 14 days' written notice, or as otherwise mutually agreed by the parties, of the tests and may have one or more of its representatives present to witness the commissioning tests. The Interconnecting Utility must electronically record the results of the commissioning tests, including the control settings, momentary cessation settings, Voltage and Frequency Ride Through settings, and the vintage of the applicable standards.

(I) One-Line Diagram. In the case of Projects with a Nameplate Rating greater than 150 kW, the Interconnection Requester must, within 30 days of the Project in-service date, supply to the Interconnecting Utility an "as built" one-line diagram of what was installed during the construction process. Such diagrams must be stamped by a professional engineer. Any deviation from the Application not previously approved by the Interconnecting Utility must be addressed pursuant to the Interconnection Agreement.

(J) Notification Before Exceeding Cost Estimate. For any study, Interconnection Facilities, or System Upgrades for which this Rule requires the Interconnection Requester to bear costs, the Interconnecting Utility must, before exceeding a previously provided cost estimate, promptly notify the Interconnection Requester if such costs are likely to exceed the previously provided estimate and must provide the Interconnection Requester with a revised total estimated cost for the study. The Interconnecting Utility must proceed with completing the study, Interconnection Facilities, or System Upgrades unless and until requested to cease processing the Application by the Interconnection Requester, in which case the Interconnection Requester is responsible for all such costs incurred to date and the Application will be deemed withdrawn.

(K) For those portions, if any, of the study fees for the Feasibility, System Impact, and Facilities Studies that the Interconnecting Utility bills to the Interconnection Requester and for which the Interconnecting Utility could also recover in its rates, the Interconnecting Utility must book this income separately.

(L) Where additional facilities, Interconnection Facilities, or System Upgrades are required to permit the interconnection of a Project, the Interconnection Requester must bear the entire cost of such facilities. Within 42 days of final collection of all material, labor, contractor, permitting, and other costs incurred by the Interconnecting Utility in constructing, testing, and commissioning the Interconnection Facilities and System Upgrades, the Interconnecting Utility must provide the Interconnection Requester with an invoice. The Interconnection Requester must pay all such costs that exceed the deposit within 42 days of receipt of the invoice or resolution of any dispute. If the deposit exceeds the invoiced costs, the Interconnecting Utility must return such excess, without interest, within 42 days of receipt of the invoice or resolution of any dispute.

(M) Market Participation. As part of the Application, the Interconnecting Requester must notify the Interconnecting Utility whether the Project will be participating in the wholesale electricity markets, including whether the Project will be aggregated with other resources to participate. If market participation or use cases change after a Project has completed studies or received an Interconnection Agreement, the Interconnecting Utility must be notified and additional review may be required.

(N) Transmission-level studies. In the case of Projects with a Nameplate Rating greater than 1 MW, the Interconnecting Utility must coordinate with VELCO to determine whether the aggregate amount of Projects has reached the saturation level requiring a transmission-level cluster study. In the event such studies are needed, the Interconnecting Utility will notify the affected Interconnection Requesters. Those Projects included in the cluster study will follow the study process laid out in this Rule, except that the scope of the System Impact Study will include transmission-level studies as directed by ISO-NE. Typically, such studies will include steady state, short circuit, stability, and PSCAD studies.

5.517 Cost Responsibility and Cost Reconciliation.

(A) Costs of facilities and cost responsibility. Where additional facilities, Interconnection Facilities, or System Upgrades are required to permit the interconnection of a Project, the Interconnecting Utility must provide a detailed, good-faith estimate of the costs, and the Interconnection Requester must pay the full amount of the estimate or, if such costs are covered by an Interconnection, Line Extension, or other tariff, said charges must be billed and paid pursuant to the tariff.

(B) Within 21 days of submittal of a study report, the Interconnecting Utility must provide to the Interconnection Requester an invoice that includes a breakdown of the actual cost to perform the study. The Interconnection Requester must pay the full cost of the study. The Interconnecting Utility must base all study fees on actual costs, which include, but are not limited to, salaries, overheads, and out-of-pocket costs, including costs billed by other entities for new studies or portions thereof that the Interconnecting Utility does not itself perform. If the cost of the study exceeds the deposit, the Interconnection Requester must pay the invoiced amount (cost of the study minus the deposit), without interest, within 30 days of receipt of the invoice or resolution of any dispute. If the deposit exceeds the cost of the study, the Interconnecting Utility must refund such excess, without interest, within 21 days of submittal of the study report.

(C) Costs of transmission cluster studies. Where additional transmission-level cluster studies are required to determine any aggregate transmission impacts, the Interconnecting Utility must provide the Interconnection Requester with a detailed, good-faith estimate of the study costs. The Interconnection Requester must pay the full amount of the estimate or, if such costs are covered by an Interconnection Agreement or other tariff, said charges will be billed and paid pursuant to the tariff.

5.518 Disconnection.

(A) The following requirements govern the disconnection from the electrical system of a Project that was interconnected under these procedures. These requirements apply to such Projects only and do not supplant Commission Rules 3.300 and 3.400 relating to utility disconnection in general.

(B) The Interconnection Requester retains the option to disconnect temporarily from the Interconnecting Utility's system at any time. Such temporary disconnection is not a termination of any Interconnection Agreement unless the Interconnection Requester exercises its termination rights under such agreement.

(C) In the event an Interconnecting Utility needs to perform an Emergency disconnection of a Project, the Interconnecting Utility must notify the Interconnection Requester within 24 hours after the disconnection.

(1) If the Emergency is not caused by the Project, the Interconnecting Utility must assist the Interconnection Requester with reconnecting the Project upon cessation of the Emergency.

(2) If the Emergency is caused by the Project, the Interconnecting Utility must communicate the nature of the problem to the Interconnection Requester within 5 days and must work with the Interconnection Requester to resolve the problem. If the problem has not been resolved within 30 days of an Emergency disconnection, the Interconnecting Utility must file a disconnection petition with the Commission. In any proceeding on such a petition, the Interconnecting Utility bears the burden of proof to demonstrate the reasonableness of disconnection.

(D) Non-Emergency disconnections must follow the same procedure as Emergency disconnections outlined above, except that the Interconnecting Utility must give written notice of the disconnection no earlier than 10 days and no later than 7 days before the first date on which disconnection of the Project may occur. Such notice must communicate the reason for disconnection to the Interconnection Requester and the expected duration of the disconnection. An Interconnecting Utility may obtain, at the discretion of the Interconnection Requester, an Interconnection Requester's written agreement to notice requirements for non-Emergency disconnections that are different from those set forth in these procedures, provided that the Interconnecting Utility first advises the Interconnection Requester of its rights under this Rule.

(E) An Interconnection Requester whose Project is involuntarily disconnected may file a complaint with the Commission at any time following disconnection. The Commission may hold a hearing to determine whether the Project should be reconnected to the Interconnecting Utility. In the event of the filing of such a complaint, the Interconnecting Utility bears the burden of proof to demonstrate the reasonableness of disconnection.

(F) A Project may be disconnected for exceeding the Export Capacity applied for and studied during the interconnection process, if such excess Export Capacity is not remedied within a reasonable time, after notice of such excess export is given by the Interconnecting Utility.

5.519 Certification of Project Equipment Packages.

(A) A Project equipment package will be considered certified for interconnected operation to an electric power distribution system if it has been approved under the certification process described below.

(B) An equipment package will be considered certified for interconnected operation if it has been submitted, tested, and listed by a nationally recognized testing and certification laboratory or approved by the U.S. Department of Energy for continuous utility interactive operation in compliance with the applicable Codes and Standards listed in Section 5.520, below. An "equipment package" includes all interface components, including switchgear, inverters, or other interface devices, and may include an integrated Project. If the equipment package has been tested and listed as an integrated package that includes a Generation Resource, it does not require further design review, testing, or additional equipment to meet the certification requirements. If the equipment package includes only the interface components (switchgear, inverters, or other interface devices), then an Interconnection Requester must demonstrate to the Interconnecting Utility that the Generation Resource being utilized with the equipment package is compatible with the equipment package and consistent with the testing and listing specified for the package. If the Generation Resource combined with the equipment package is consistent with the testing and listing performed by the nationally recognized testing and certification laboratory, no further design review, testing, or additional equipment will be required to meet the certification requirements. A certified equipment package does not include equipment provided by the Interconnecting Utility, nor does certification necessarily exempt an equipment package or Generation Resource from commissioning testing required for installation and operation.

5.520 Codes and Standards.

When any listed version of the following codes and standards is superseded by a revision approved by the standards-making organization, then the revision will be applied where these codes and standards are referenced in this Rule. Applications that are date-and-time-stamped on or before six months after the revision date may follow the previous version of the standard, unless an immediate threat to safety and reliability exists that requires the retrofit of all similarly situated equipment. Applications that are date-and-time-stamped later than six months after the revision date must follow the revised standard.

(A) IEEE 1547 Series of Standards for Interconnecting Distributed Resources with Electric Power Systems as adopted;

(B) UL 1741 Inverters, Converters, and Controllers for Use in Independent Power Systems;

(C) NFPA 70 National Electrical Code;

(D) IEEE Standard C37.90.1 IEEE Standard Surge Withstand Capability (SWC) Tests for Protective Relays and Relay Systems;

(E) IEEE Standard C37.90.2 IEEE Standard Withstand Capability of Relay Systems to Radiated Electromagnetic Interference from Transceivers;

(F) IEEE Standard C37.108 IEEE Guide for the Protection of Network Transformers;

(G) IEEE Standard C57.12.44 IEEE Standard Requirements for Secondary Network Protectors;

(H) IEEE Standard C62.41.2 IEEE Recommended Practice on Characterization of Surges in Low Voltage (1000V and Less) AC Power Circuits;

(I) IEEE Standard C62.45 IEEE Recommended Practice on Surge Testing for Equipment Connected to Low-Voltage (1000V and Less) AC Power Circuits;

(J) ANSI C84.1 Electric Power Systems and Equipment - Voltage Ratings (60 Hertz);

(K) IEEE Standard 100 IEEE Standard Dictionary of Electrical and Electronic Terms.

(L) NEMA MG 1 Motors and Small Resources;

(M) IEEE Standard 519 IEEE Standard for Harmonic Control in Electrical Power Systems;

(N) IEEE Standard 1453 IEEE Recommended Practice--Adoption of IEC 61000-4-15:2010, Electromagnetic compatibility (EMC)--Testing and Measurement Techniques--Flickermeter--Functional and Design Specifications;

(O) IEEE Standard 1453.1-2012 IEEE Adoption of IEC TR 61000-3-7 2008 Assessment of emission limits for the connection of fluctuating installations to MV, HV, and EHV power systems; and

(P) Any other code or standard ordered by the Commission.

5.521 Communications Protocols.

The Commission may adopt by order inverter settings and other controls related to communications protocols that will facilitate communication between Projects and Interconnecting Utilities and Transmission Utilities.

5.522 Limited-Export and Non-Exporting Projects.

If a Project uses any configuration or operating mode listed below to limit the export of electrical power across the Point of Interconnection, then the Export Capacity is only the amount capable of being exported (not including any Inadvertent Export). To prevent impacts on system safety and reliability, any Inadvertent Export from a Project must comply with the limits in paragraphs (5) or (6), below. The Export Capacity specified in the Application will subsequently be included as a limitation in the Interconnection Agreement. Other means not listed in this section may be used to limit export if mutually agreed upon by the Interconnecting Utility and Applicant.

(1) Reverse Power Protection: To limit export of power across the Point of Interconnection, a reverse power protective function may be provided. The default setting for this protective function is 0.1% (export) of the service transformer's rating, with a maximum 2.0 second time delay to limit Inadvertent Export.

(2) Minimum Power Protection: To limit export of power across the Point of Interconnection, an under-power protective function may be provided. The default setting for this protective function is 5% (import) of the Project total Nameplate Rating, with a maximum 2.0 second time delay to limit Inadvertent Export.

(3) Directional Power Protection: To limit export of power across the Point of Interconnection, a directional power protective function is implemented using a utility grade protective relay. The default setting for this protective function is the Export Capacity value with a maximum 2.0 second time delay to limit Inadvertent Export.

(4) Relative Distributed Energy Resource Rating: This option requires the Nameplate Rating of the Project, minus any auxiliary load, to be so small in comparison to its host facility's minimum load that the use of additional protective functions is not required to ensure that power will not be exported to the electric delivery system. This option requires the Project capacity to be no greater than 50% of the Interconnection Requester's verifiable minimum host load over the past 12 months. This option is not available for interconnections to area networks or spot networks.

(5) Configured Power Rating: A reduced output rating utilizing the power rating configuration setting may be used to ensure the Project does not generate power beyond a certain value lower than the Nameplate Rating. [1]

(6) Certified Power Control Systems: Projects may use certified power control systems to limit export. Projects using this option must use a power control system and inverter certified per UL 1741 by a Nationally Recognized Testing Laboratory ("NRTL") with a maximum open loop response time of no more than 30 seconds. NRTL testing to the UL power control system certification requirements decision must be accepted until similar test procedures for power control systems are included in a standard. This option is not available for interconnections to area networks or spot networks.

(7) Limited Export Using Mutually Agreed-Upon Means: Projects may be designed with other control systems and/or protective functions to limit export and Inadvertent Export to levels mutually agreed upon by the Interconnection Requester and the Interconnecting Utility. The limits may be based on technical limitations of the Interconnection Requester's equipment or the electric delivery system equipment. To ensure Inadvertent Export remains within mutually agreed-upon limits, the Interconnection Requester must use an internal transfer relay, energy management system, or other customer facility hardware or software. This can also include the utilization of a paired system such as solar and storage to limit the maximum AC output from the site at any given time through charging of the Energy Storage Device at key times.

End Notes.

[1] The configuration setting corresponds to the active or apparent power ratings in Table 28 of IEEE 1547 - 2018, as described in subclause 10.4. A local Project communication interface is not required to utilize the configuration setting as long as it can be set by other means.

History

• EFFECTIVE DATE:
• September 10, 2006 Secretary of State Rule Log #06-027
• AMENDED:
• December 2017 [agency name change from Public Service Commission; rule renumbered from 30 000 055]; March 1, 2024 Secretary of State Rule Log #23-046
• STATUTORY AUTHORITY: Section 7 of Act 61 (2005); 30 V.S.A. §8011(c)

Chapter 5600 ELECTRIC SERVICE EXTENSION POLICY

30-5600 Code Vt. R. 30-000-5600-X ELECTRIC SERVICE EXTENSION POLICY

Section 5.601 Purpose

This Rule implements the legislative mandate of 30 V.S.A § 209(b)(1)(B).

Section 5.602 Applicability

This Electric Service Extension Policy shall apply to all single-phase and multi-phase distribution service extensions by Vermont electric utilities (as defined by 30 V.S.A. §§ 201 and 203 ). All such utilities shall revise their tariffs to conform to these rules. These rules shall supercede any utility tariff provision determined to conflict with these rules.

Section 5.603 Definitions

(a) Application fee: the fee paid by the line extension customer at the time the customer submits a written application for a line extension. The phrase "application fee" is intended to include any "engineering fee." The application fee shall not exceed $ 250, unless a higher fee is specified in the utility's line extension tariff. If applicable, such a higher fee shall be based on an average of all the costs incurred by the utility for all line extensions constructed in a test year. The application fee shall be credited to the customer against the total cost of the line extension if the extension is constructed.

(b) Contributions-In-Aid-Of-Construction: the monetary contributions by a customer requesting service to an electric utility to design, furnish, place and construct such primary and secondary service extensions as are necessary to render the service requested.

(c) Conduit: the pipe that encloses and protects electric conductors in underground power installations, including necessary fittings and connectors.

(d) Customer-Owned Lines: electric service lines, at either primary or secondary voltage, extending from the Delivery Point.

(e) Delivery Point: the point at which the utility-owned facilities first connect to the customer-owned facilities. Each utility's line extension tariff shall specifically identify the typical Delivery Point for each type of electric service that it provides and shall state how the Delivery Point may be determined for specific situations in which the actual Delivery Point differs from the typical Delivery Point.

(f) Looped Electric Utility Service: electric service provided to a customer from a distribution line which receives, or is capable of receiving, its electric supply from both directions of the distribution line.

(g) Primary Line: an electric distribution line operating at greater than 600 volts.

(h) Secondary line: an electric distribution line operating at 600 volts or less.

(i) Service Drop: includes a 100-foot overhead power line(s) from the initial customer connection with the utility's secondary facilities to the Delivery Point. The service drop is the minimum overhead secondary electrical connection and shall not include poles, primary wiring, right-of-way clearing or acquisition, trenching or backfilling, or any other cost item required to serve a new or relocated customer.

(j) Service Extension: the electric facilities required to connect the power line existing at the time of the request for service to the customer's premises. The service extension shall include all poles, primary wiring, secondary wiring, right-of-way acquisition and clearing, trenching and backfilling, any other one-time cost items associated with service only to that new customer, and transformer(s) and meter(s) if so provided in the utility's tariff. A Service Extension shall include the reestablishment of a previously abandoned Service Extension.

Section 5.604 Contributions-in-Aid-of-Construction for Electric Service Extensions

Upon written application of the owner of any property, or occupant with the consent of the owner, the electric utility shall furnish, place, and construct such secondary and primary service extensions as are necessary to render the service requested. The total cost of the service extension, less any credits outlined below, shall be paid by the party requesting the service extension. This requirement is subject to the following conditions/exceptions:

(a) Line Assessment Charges: all customer charges for construction of new utility lines shall be based on the actual costs to the utility. However, a utility shall charge average costs for those elements for which average costs are specified in its tariff.

(b) Service Drop Credit: each new single-family residence or individual dwelling unit is entitled to a credit equal to the cost of the service drop(s) as defined above. However, if the cost of a line extension is less than the cost of the service drop(s) as defined above, the amount of the service drop credit shall be the same as the cost of the extension.

(c) Installation of Conduit: the additional material cost of installation of conduit for underground primary and secondary line extensions shall be shared equally between the customer and the utility. The cost of trenching and backfilling of the trench shall be the responsibility of the owner of the property.

Section 5.605 Cost Recovery Period for Contributions-in-Aid-of-Construction

Whenever more than one customer is connected to a customer-financed line extension, total contributions-in-aid-of-construction shall be computed to yield to the utility not more than the total cost of extending or expanding service to the new customer(s), less the service drop credit(s). Amounts to be collected from new customers connecting to customer-financed lines shall be computed as follows:

(a) For a period of five (5) years from the completion of construction of a line extension, reimbursement from new customers connecting to said line to customers entitled to reimbursements shall be based upon an equal sharing of the full cost of construction of the subject line extension, adjusted to the percentage used of that line extension to the point of connection (or other reasonable method employed by the utility to determine the cost of the portion of the line actually used).

(b) For a period of ten (10) years immediately following the initial five (5) year period discussed in (a) above, reimbursement to customers entitled to reimbursements shall be based upon an equal sharing of the full cost of construction of the subject line extension depreciated at a straight line rate to zero at the end of the ten (10) year period, also adjusted to the percentage of the line extension used to the point of connection (or other reasonable method employed by the utility to determine the cost of the portion of the line actually used).

(c) For each new transaction (defined as one or more new connections at the same time and location) involving a line that is subject to contribution-in-aid-of-construction payments for new connections within the 15-year reimbursement period, an administrative fee not to exceed $ 100.00 shall be retained by the utility from the total amount to be reimbursed to customers entitled to reimbursements. If the total amount of all reimbursements owed for each transaction is less than the utility's administrative fee, no reimbursements shall be collected or distributed.

(d) All line extension reimbursements shall be paid by electric utilities to the current owners of the dwellings or structures served by line extensions that are subject to reimbursement payments for new connections, except that reimbursement payments shall be made to any customer who paid for or contributed to the costs of line extensions and who subsequently sold the dwellings or structures originally served prior to the effective date of the Commission's Order of September 21, 1999, in Docket 5496.

Section 5.606 Tax Assessments on Contributions-in-Aid-of-Construction

Customers shall be responsible for all costs of line extensions, including the actual utility tax liability from contributions-in-aid-of-construction.

Section 5.607 Interest on Customer Funds Held by Utilities

(a) No interest shall be paid on an initial application fee.

(b) No interest shall be paid on funds received in advance of line extension construction and used for the purpose of ordering long lead time specialty items necessary for the subject line extension.

(c) With the exception of items (a) & (b) above, interest shall be paid, at the rate of 1% per month, to line extension customers on funds received in advance of construction (unless returned to the customer due to perceived delays), from sixty (60) days after the payment is received by the utility to the date of the commencement of the line extension construction.

(d) No interest shall be paid by the utility under item (c) above as a result of construction delays beyond the control of the utility.

(e) Interest to be paid on funds received more than sixty (60) days in advance of the commencement of line extension construction may be waived by customers seeking priority status for construction at a specified time as agreed to by both the customer and the utility.

Section 5.608 Construction Standards

(a) Minimum Standards: All line extensions shall conform to the latest edition of the National Electrical Safety Code at a minimum; except that Cooperatives may have higher minimum standards pursuant to the requirements of the Rural Utilities Service.

(b) Customer-Owned Lines: As a general rule, residential customers shall not own primary lines (overhead or underground) that are installed after the effective date of this rule. In certain circumstances where the utility and customer agree that such ownership would be appropriate, the utility and the customer shall petition the Commission for a waiver of this prohibition. Any such petition shall address the issue of underground damage prevention with respect to the facilities to be owned by the customer. However, no such petition shall be required for a customer to extend or connect to a line already owned by that customer.

(c) Customer Information for Line Extensions: To explain utility line extension policies adequately to its customers, all utilities shall develop, either individually or collectively, a comprehensive information booklet or brochure for line extension customers that fully explains its line extension policies and their rationale. This booklet shall explain that utilities will, to the extent possible, try to accommodate individual customer line extension needs, but that no deviations will be granted that will result in significant additional maintenance problems for the utility, and additional costs resulting from the accommodation will be the responsibility of the customer.

Section 5.609 Use of Private Contractors for Line Extensions

All electric utilities shall allow customers to hire private contractors for construction of routine distribution line extensions. Utilities shall be allowed to design and monitor the construction of these lines at customer expense.

Section 5.610 Appropriate Customer Payment of Contributions-in-Aid-of-Construction for Electric Line Relocations

For all relocated distribution lines that provide a benefit to the utility, customers who request the relocation shall reimburse electric utilities for distribution line relocations according to the following formula:

| CP _{TAX ADJ} | = | New Line + PV_DEP - SV_EXISTING | | --- | --- | --- | | Where: | | | | CP _{TAX ADJ} | = | Customer Payment, adjusted for any utility tax liability | | New Line | = | Total cost of relocating the line today | | PV_DEP | = | Present value of any unrealized depreciation expense associated with the existing line | | SV_EXISTING | = | Salvage Value of existing line (including line removal costs) |

Section 5.611 Change in Presumption as to Reimbursements for Contributions-in-Ad-of-Construction

The presumption regarding reimbursements for customer-financed lines shall be changed if there is a grantee/grantor relationship between the person connecting to a customer-financed line and the person who originally paid for the line to whom a reimbursement would otherwise have been due. In such cases, no reimbursement will be collected from the connecting customer or paid by the utility to the grantor.

Section 5.612 Considerations in the Design and Siting of Line Extensions

(1) In determining the appropriate design and siting (e.g., whether roadside or off- road and overhead or underground) of electric distribution line extensions and relocations of line extensions, electric utilities shall consider: maintenance and reliability; worker and public safety; aesthetics; cost; customer, landowner and municipal preference; and environmental and land use implications.

(2) When a customer requests an electric line extension, the utility shall inform the customer in writing of customer and company rights, responsibilities and options for line extensions, including but not limited to: payment terms; easement and right-of-way information; contribution-in-aid-of-construction; basic information about design, siting and location, such as overhead or underground placement, and road-side or off-road siting; and how to contact the Vermont Department of Public Service Consumer Affairs Division by toll-free phone or in writing in the event of a dispute.

Section 5.613 Information Regarding Line Extension Alternatives

Upon request, a retail electric distribution utility shall provide relevant information in writing, preferably brochures, with respect to off-grid electric generation solutions and options.

History

• EFFECTIVE DATE: October 1, 2008 Secretary of State Rule Log #08-014
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 057]

Chapter 5700 RULE ON SOUND LEVELS FROM WIND GENERATION FACILITIES

30-5700 Code Vt. R. 30-000-5700-X RULE ON SOUND LEVELS FROM WIND GENERATION FACILITIES

Section 5.701 Purpose and Applicability

This rule establishes standards and procedures related to sound emissions from wind generation facilities that apply for a certificate of public good ("CPG") pursuant to 30 V.S.A. § 248 on or after July 1, 2017.

Section 5.702 Definitions

For the purposes of this Rule, the following definitions shall apply:

Commission: the Vermont Public Utility Commission

Contributing turbines: the turbine or group of turbines at a wind generation facility whose removal from a facility sound model results in a residual project-only predicted sound pressure level at the receptor of less than 30 dBA or a reduction in predicted turbine contribution of at least 6 dB at the point of measurement

CPG: certificate of public good

CPG Holder: a person or company who holds a CPG granted pursuant to 30 V.S.A. § 248 for a wind generation facility

dB: a unit used to measure the intensity of a sound wave using a logarithmic scale

dBA: A-weighted decibel

Department: the Vermont Department of Public Service

L A10: Sound level exceeded during 10% of a measurement period

L A50: Sound level exceeded during 50% of a measurement period

L A90: Sound level exceeded during 90% of a measurement period

L eq: Continuous sound level in dB equivalent to the total sound energy over a given period of time

NRO mode: Noise Reduced Operation mode, in which the rotational speed of wind turbines is limited in order to reduce their sound emissions

Parti cipating landowner: a landowner who has signed a written agreement with a Petitioner stating that the sound emission and setback standards established by this rule do not apply to the landowner's property

Petitioner: a person or company who has filed a petition for a CPG pursuant to 30 V.S.A. § 248 to construct and/or operate a wind generation facility

Plant capacity: pursuant to 30 V.S.A. § 8002, "plant capacity" means the rated electrical nameplate for a wind generation facility

Residence: a permanent structure for human habitation that is occupied by one or more people for a minimum of 90 days each year

SCADA: supervisory control and data acquisition or similar system capable of measuring and recording turbine operation and meteorological data in one-minute time intervals

Wind generation facility: a wind-driven electric generation facility for which a petition for a CPG pursuant to 30 V.S.A. § 248 is submitted to the Commission on or after July 1, 2017

Section 5.703 General Rule

No wind generation facility shall emit sound levels in excess of the following during operation:

(A) Facilities with a plant capacity up to and including 50 kilowatts . Operation of facilities with a plant capacity up to and including 50 kilowatts shall not result in:

(1) sound pressure levels that exceed 42 dBA more than 5% of the time at a distance of 100 feet from the residence of a non-participating landowner; or

(2) audible prominent discrete-frequency tones pursuant to the latest revision of ANSI S1.13 Annex A at a distance of 100 feet from the residence of a non-participating landowner.

(B) Facilities with a plant capacity greater than 50 and up to and including 150 kilowatts . Operation of facilities with a plant capacity greater than 50 kilowatts and up to and including 150 kilowatts shall not result in sound pressure levels in excess of 42 dBA, including any penalty for tonality pursuant to Section 5.710, at a distance of 100 feet from the residence of a non-participating landowner.

(C) Facilities with a plant capacity greater than 150 kilowatts . Operation of facilities with a plant capacity greater than 150 kW shall not result in sound pressure levels in excess of 42 dBA between the hours of 7 A.M. and 9 P.M. or 39 dBA between the hours of 9 P.M. and 7 A.M., including any penalty for tonality pursuant to Section 5.710, at a distance of 100 feet from the residence of a non-participating landowner.

Section 5.704 Pre-Construction Sound Modeling

(A) Facilities with a plant capacity up to and including 50 kilowatts . In lieu of submitting sound modeling pursuant to Section 5.704(B), below, petitions to construct and operate a wind generation facility with a plant capacity up to and including 50 kilowatts may instead file the following information with its petition:

1. All certification documents from the Small Wind Certification Council showing the results of acoustic sound testing;

2. The distance to the nearest residence(s) in each cardinal direction, as well as an analysis of the expected sound pressure level at those residences calculated using spherical spreading.

(B) Facilities with a plant capacity of more than 50 kilowatts . All petitions to construct and operate a wind generation facility with a plant capacity of more than 50 kW shall include a sound model developed for the proposed facility that reports the expected maximum project sound pressure levels, without using NRO mode, modeled out to a distance where such levels are no greater than 30 dBA. Nothing in this subsection prohibits the submission of additional information, including the results of additional sound modeling, that relies on the use of NRO mode. A petitioner must submit the following information with its petition:

1. A map depicting the location of all proposed sound sources associated with the wind generation facility, property boundaries for the proposed facility, and all residences within the 30 dBA contour.

2. A description of the major sound sources, including tonal sound sources, associated with operation and maintenance of the facility. The sound model shall be based on the technical specifications of the turbine model(s) with the highest manufacturer apparent sound power level under consideration for use at the facility.

3. The results of sound modeling pursuant to ISO 9613-2, including a description of the equivalent continuous sound levels expected to be produced by the sound sources at a distance of 100 feet from the residences of non-participating landowners. The description shall include a full-page isopleths map depicting the predicted sound pressure levels expected to be produced by the wind generation facility at a distance of 100 feet from each residence of a non-participating landowner within the 30 dBA isopleth. The predictive model used to generate the equivalent sound levels expected to be produced by the sound sources shall be designed to represent the "predictable worst case scenario." All model inputs shall be the most realistic and conservative available for each of the items listed below unless otherwise approved by the Commission, and shall include, at a minimum, the following:

a. The maximum apparent sound power output of the sound sources pursuant to IEC 61400-11;

b. Modeling in accordance with ISO 9613-2, with each turbine modeled as a point source at hub height;

c. All turbines operating at maximum apparent sound output;

d. Attenuation due to air absorption, with conditions set to 100C and 70% relative humidity;

e. Attenuation due to ground absorption/reflection, based on mixed ground conditions (G=0.5) for propagation over land and hard conditions (G=0.0) for propagation over water;

f. Attenuation due to three-dimensional terrain;

g. Receiver height modeled at both 1.5 and 4 meters;

h. Attenuation due to meteorological factors such as relative wind speed and direction (wind rose data), temperature/vertical profiles and relative humidity, sky conditions, and atmospheric profiles;

i. An adjustment to the maximum apparent sound power output of the turbines to account for turbine manufacturer uncertainty, determined in accordance with the most recent version of the IEC 61400-11 standard; and

4. A disclosure of any applicable error in the model;

5. A description of proposed major sound control measures, including their locations and expected acoustical performance;

6. A comparison of the expected sound pressure levels from the proposed wind generation facility with the applicable sound pressure level limits of Section 5.703;

7. A description and map identifying potential compliance testing locations on or near the proposed wind generation facility site. The identified compliance testing locations shall be selected to take advantage of prevailing downwind conditions and shall be able to meet the site selection criteria outlined in Section 5.707. The identified locations shall include those locations that are expected to experience the highest model-predicted equivalent sound levels. The locations shall be free from sources of material sound contamination.

8. Prior to commencing site preparation or construction of a facility, a CPG Holder shall update, supplement, and/or amend the sound modeling to reflect any changes to the sound-producing elements of the facility. An opportunity to review and comment on any change to the sound modeling, and to request a hearing, shall be given to all parties to the 30 V.S.A. § 248 proceeding who had standing on the issue of sound. The Commission shall review and consider all comments received on any change to the sound modeling, and shall convene a hearing on those changes in response to a request for a hearing from a party who had standing on the issue of sound. If a hearing is requested, the CPG Holder may not commence site preparation or construction of the facility until the Commission resolves the issue.

Section 5.705 Post-Construction Sound Monitoring Applicability

(A) Facilities with a plant capacity up to and including 50 kilowatts. Post-construction sound monitoring may be required by the Commission for a facility in this category if it is determined that exceedances of the applicable sound-level limit are probable or as part of an investigation into one or more complaints or for cause shown.

(B) Facilities with a plant capacity greater than 50 and up to and including 150 kilowatts . Sound monitoring shall take place in accordance with Section 5.707, below, or pursuant to an alternative monitoring plan adopted in the facility's CPG. In lieu of verifying compliance with the applicable sound-level limit through sound monitoring, a petitioner may propose to locate a wind generation facility in this category such that every sound-producing element of the facility within the turbine footprint will be set back horizontally no less than ten (10) times the turbine's height, as measured from base to the tip of a blade in the upright, vertical position, from the residence of a non-participating landowner. Notwithstanding, the Commission may require sound monitoring for such a facility if it is determined that exceedances of the applicable sound-level limit are probable, as part of an investigation into one or more complaints, or for cause shown.

(C) Facilities with a plant capacity greater than 150 kilowatts . Sound monitoring shall take place during the times specified in section 5.711, in accordance with the requirements of this rule and any requirements of the CPG, which shall specify the minimum number of compliance monitoring locations, the radius from the nearest facility turbine in which monitoring locations may be selected, and the time period of monitoring. The monitoring will be used to verify the accuracy of the pre-construction modeling and facility compliance with CPG conditions and the requirements of this rule. In addition to the requirements of this rule and the CPG, the Commission may, at its discretion, require additional monitoring if the results of the initial post-construction sound monitoring or changes to the facility or its operation indicate that exceedances of the sound-level limit are probable, or if it is determined that exceedances of the applicable sound-level limit are probable, as part of an investigation into one or more complaints, or for cause shown.

Nothing in this section shall limit the ability of the Department of Public Service to include a requirement for additional sound monitoring as part of an administrative citation issued pursuant to 30 V.S.A. § 30(h).

Section 5.706 Post-Construction Sound Monitoring General Requirements

(A) Monitoring by the State . Post-construction sound monitoring shall be conducted under the direct supervision and control of a State of Vermont agency or agencies designated by the Commission. The post-construction sound monitoring shall be paid for by the CPG Holder.

(B) Monitoring locations . A petition for a CPG for a wind generation facility shall include proposed monitoring locations for post-construction monitoring. The proposed locations shall include residential locations that are expected to experience the highest model-predicted equivalent sound levels and are consistent with the requirements of Section 5.707. The proposed locations shall be free from sources of material sound contamination. Any change in monitoring locations must be approved in advance by the Commission.

(C) Modification of pre-construction sound modeling . A CPG Holder is required to identify the appropriate inputs and/or assumptions, and modify the pre-construction sound modeling if the post-construction sound monitoring indicates that there is a reasonable likelihood that the expected highest sound levels at any of the monitoring locations would be equal to or greater than 3 dBA above those modeled, or would result in an exceedance of the sound level standard specified in Section 5.703. All parties to the 30 V.S.A. § 248 proceeding in which a CPG was granted who had standing on the issue of sound shall be given an opportunity to review and comment on any change to the sound modeling, and to request a hearing. The Commission shall review and consider all comments received on any change to the sound modeling, and shall convene a hearing on those changes in response to a request for a hearing from a party who had standing on the issue of sound.

Section 5.707 Post-Construction Sound Monitoring Methodology

(A) Measurement personnel . Measurements shall be supervised by personnel who are well qualified by training and experience in measurement and evaluation of environmental sound. Certification through the Institute of Noise Control Engineering shall meet the qualification requirements of this section.

(B) Measurement instrumentation . The sound meter or alternative sound measurement system used shall meet all appropriate industry standards and specifications. Each monitoring site shall include installation of an anemometer and other equipment or sensors capable of gathering and recording weather conditions at the microphone (10-meter-level wind speed, wind direction, temperature, humidity, and precipitation) and be equipped with enhanced-performance windscreens capable of significantly reducing or eliminating wind-induced noise contamination over the microphone. The measurement instrumentation shall meet the following specifications unless otherwise approved by the Commission:

1. The sound level meter or alternative sound level measurement system shall meet the Type 1 performance requirements of American National Standard Specifications for Sound Level Meters, ANSI S1.4.

2. The integrating sound level meter (or measurement system) shall also meet the Type 1 performance requirements for integrating/averaging in the International Electrotechnical Commission Standard on Integrating-Averaging Sound Level Meters, IEC Publication 61672-1.

3. The filter for determining the existence of tonal sounds shall meet all the requirements of the American National Standard Specification for Octave-Band and Fractional Octave-Band Analog and Digital Filters, ANSI S1.11 and IEC 61260, Type 3-D performance.

4. The acoustical calibrator shall be of a type recommended by the manufacturer of the sound level meter and one that meets the requirements of American National Standard Specification for Acoustical Calibrators, ANSI S1.40.

5. Anemometer(s) for surface (10 meter (m)) (32.8 feet) wind speeds shall have a minimum manufacturer specified accuracy of 11 mph providing data in 10-second integrations and 10-minute average/maximum values for the evaluation of atmospheric stability.

Audio recording devices shall be time stamped (hh:mm:ss), recording the sound signal output from the measurement microphone to be used for identifying events. Audio recording and compliance data collection shall be measured through the same microphone/sound meter and bear the same time stamp.

(C) Equipment calibration .

1. The sound level meter shall have been calibrated to the manufacturer's specification no more than 24 months prior to completion of a measurement campaign, and the microphone's response shall be traceable to the National Institute of Standards and Technology.

2. Field calibrations shall be recorded and documented in compliance monitoring reports.

3. The 10-meter anemometer(s) and vane(s) shall have been calibrated to the manufacturer's specification no more than 24 months prior to completion of a measurement campaign.

(D) Compliance measurement location, configuration, and environment .

1. Compliance measurement locations shall be approved by the Commission during its review of a facility's request for a CPG and shall be representative of the non-participating residences expected to experience the highest model-predicted facility-only sound levels from routine operation of the wind generation facility, subject to permission from the respective property owner(s). Measurement locations shall reasonably be expected to experience downwind conditions from acoustically significant turbines and shall be free from sources of material sound contamination, such as high-traffic roadways, industrial or silvicultural activity, etc. Should a site previously designated as a monitoring location by the Commission no longer be able to meet the requirements of this subsection, the State of Vermont agency implementing the monitoring plan shall propose an alternative monitoring location. An alternative measurement location shall require Commission approval following an opportunity for comment by all parties to the 30 V.S.A. § 248 proceeding in which the CPG was granted who had standing on the issue of sound.

a. To the greatest extent possible, compliance measurement locations shall be at the center of unobstructed areas that are maintained free of vegetation and other structures or material that is greater than 2 feet in height for a 75-foot radius around the sound and audio monitoring equipment.

b. To the greatest extent possible, meteorological measurement locations shall be at the center of open flat terrain, inclusive of grass and minimum number of obstacles that are greater than 6 feet in height for a 250-foot radius around the anemometer location. Meteorological measurements shall be taken at the monitoring location at or above the height of the audio/acoustic microphone.

c. Meteorological measurements of wind speed and direction shall be collected using anemometers at a 10-meter height (32.8 feet) above the ground. Results shall be reported, based on 10-second integration intervals, synchronously with turbine nacelle measurements and measurements made at the sound-meter level at one-minute measurement intervals. The wind speed average and maximum for each one-minute interval shall be reported.

d. The sound microphone shall be positioned at a height of approximately 1.5 meters above the ground, and oriented in accordance with the manufacturer's recommendations.

e. When possible, measurement locations should be at least 50 feet from any sound source. The proposed locations shall be free from sources of material sound contamination. Any non-facility sources of sound shall be noted in the analysis.

Section 5.708 Determination of Background/Ambient Sound Levels

In order to determine the ambient sound levels at a receptor, turbine shutdowns will be required as part of post-construction sound monitoring. A CPG Holder shall conduct turbine shutdowns in accordance with the requirements of its CPG. The CPG shall specify the minimum number and duration of turbine shutdowns during the post-construction sound monitoring. The timing of turbine shutdowns shall be determined by the State of Vermont agency overseeing post-construction sound monitoring in consultation with the project operator. In the event that turbine shutdowns are technically infeasible, background sound levels may be determined using a primary and shielded secondary sound level meter.

Section 5.709 Post-construction Sound Monitoring Specific Measurements

The following data shall be measured and recorded in one-minute increments:

(A) Acoustic parameters:

1. Overall L Aeq (20-20,000 Hz);

2. Unweighted 1/3 [rd ] octave spectra (20-20,000 Hz);

3. Narrowband spectra (20-4,000 Hz, 1-Hz resolution, harming window).

(B) Meteorological data. All meteorological data as specified in Section 5.712 shall be measured and recorded synchronously with the acoustic parameters listed in Section 5.709(A) 1, above.

(C) Turbine operational data including power output, rotor rotational speed, and the meteorological data listed in Section 5.707.

Section 5.710 Post-Construction Sound Monitoring Data Analysis

(A) All recorded data shall be categorized as "Turbine On" or "Ambient," or shall be excluded.

1. Turbine On data shall meet the following criteria:

a. All Contributing Turbines for a specific receptor shall be operational. The minimum power output for each Contributing Turbine shall be specified in the project's CPG.

b. The monitoring location receptor shall be within 450 of the direction between a specific measurement location and the acoustic center of the five nearest wind turbines, or fewer if the wind generation facility does not have five wind turbines.

2. Ambient data shall be categorized as such only when all Contributing Turbines are shut down or generating less than 1% of nameplate capacity.

3. Data meeting any of the following criteria shall be excluded from analysis:

a. Data that cannot be categorized as Turbine On or Ambient;

b. Periods between 10 minutes prior to and one hour after precipitation at the monitoring location is detected;

c. Intervals contaminated by transient ambient sound sources, such as passing cars, barking dogs, etc.;

d. Periods when 10-meter wind speed is greater than 5 meters per second.

(B) Additional frequency-based filtering of the data may be performed if unique conditions at the monitoring location(s) justify such action. In such an instance, the designated individual, agency, or company responsible for sound monitoring data analysis shall notify the Commission of the intent to apply additional filtering to an identified set of data and the basis for such action. An opportunity to review and comment on any proposed additional filtering shall be given to all parties to the 30 V.S.A. § 248 proceeding in which a CPG was granted who had standing on the issue of sound prior to the commencement of any additional filtering.

(C) Filtered sound monitoring data shall be analyzed consistent with the following protocols.

1. Overall sound levels shall be derived using the following methodology:

a. Filtered one-minute L Aeq sound levels shall be separated into Turbine On and Ambient datasets.

b. Turbine On and Ambient datasets shall be sorted into one-meter-per-second integer wind bins based on the measured average wind speed for each interval at the monitoring location.

c. Mean average Turbine On and Ambient sound level shall be computed in each wind bin.

d. The average Ambient sound level shall be logarithmically subtracted from the average Turbine On sound level in each wind bin to derive the project-only sound level.

e. Wind bin averages shall not be reported if the difference between the Turbine On average sound level and Ambient sound level in a wind bin is less than 3 dBA.

Sound monitoring data analysis shall be based on a minimum of 120 filtered one-minute L Aeq data points. In the event that 20 valid data points in each of the six wind bins are not available, wind bin averages may be reported when there are a minimum of 40 one-minute L Aeq sound levels in at least three wind bins. If sufficient valid data are not obtained after ten (10) weeks of monitoring, the State of Vermont agency designated by the Commission shall provide a status update and recommendation for any additional monitoring to the Commission.

3. Tonality shall be determined and applied to the overall sound level using the following methodology.

a. Filtered narrowband spectra shall be separated into Turbine On and Ambient datasets.

b. Turbine On and Ambient datasets shall be sorted into one-meter-per-second integer wind bins based on the measured average wind speed for each interval at the monitoring location.

c. The overall average tonal audibility for each wind bin shall be calculated pursuant to the methodology contained in IEC 61400-11 or the latest revision of the same.

d. If tonal audibility in any wind bin is greater than 2 dB, a penalty to the project-only sound level in that wind bin shall be applied pursuant to ISO 1996-2, Figure C.1 or the latest revision of the same.

Section 5.711 Compliance Data Collection, Measurement, and Retention Procedures

(A) All operational, sound, audio, and meteorological data collected shall be retained by the State of Vermont agency or agencies designated by the Commission for the life of the project and subject to inspection upon request.

(B) Monitoring and data collection shall occur at a minimum:

1. Once during the first year of facility operation, including sound power testing pursuant to IEC 61400-11 for each turbine;

2. Once during each successive fifth year thereafter until the facility is decommissioned; and

3. In response to a complaint if ordered by the Commission. The Commission in its discretion may require additional sound monitoring or sound power testing for a wind generation facility in response to a complaint if the Commission determines that a complaint raises a reasonable possibility that a wind generation facility is operating in excess of the sound level limits required by this rule. In making its determination, the Commission shall consider:

a. The details of the complaint;

b. Any response thereto filed by the operator of the wind generation facility; and

c. Any response and recommendation by the Department of Public Service after its review of the complaint, the facility operator's response, and any attempts made to resolve the complaint under the complaint response procedure(s) issued by the Vermont Department of Public Service pursuant to Section 5c of Public Act 130 (2016 Vt, Adj. Sess.). As part of any recommendation, the Department may propose a plan for additional sound monitoring or sound power testing of the subject wind generation facility. Any such proposal should incorporate the requirements and standards set forth in subsection (b), below, or set forth an explanation why different requirements and standards are being proposed.

(C) All relevant turbine operational data (SCADA); the date, time, and duration of any NRO or other operational changes that occur during the sound monitoring period; and sound level and meteorological data collected during a compliance measurement period that meets or exceeds the specified wind speed parameters shall be submitted by the State of Vermont agency or agencies designated by the Commission to the Commission for its review and approval. All data shall be submitted to the Commission within 60 days of completion of the monitoring period as part of the post-monitoring report. Audio recordings will only be submitted upon request and may be filtered to exclude private conversations and/or submitted under a confidentiality order.

Section 5.712 Post-Construction Sound Monitoring Data Analysis

(A) Compliance reports shall be submitted to the Commission within 60 days of the completion of the sound monitoring period. The Commission will make the report publicly available. The report shall include a certification that the required monitoring conditions were present and, at a minimum, the following:

1. A narrative description of the sound from the wind generation facility for the compliance measurement period;

The dates, days of the week, and hours of the day when measurements were made;

3. The wind direction and speed, temperature, humidity, and sky condition;

Identification of all measurement equipment by make, model, and serial number;

5. All meteorological, sound, windscreen, and audio instrumentation specifications and calibrations;

6. All A-weighted equivalent sound levels for each 1-minute measurement interval;

7. All 1-minute 1/3 octave band unweighted and equivalent continuous sound levels (dB);

8. Should any sound data collection be observed by a trained attendant, a summary of the attendant's notes and observations;

9. All concurrent time-stamped, turbine-operational data including the date, time, and duration of any noise-reduction operation or other interruptions in operations, if present; and

10. All other information determined necessary by the Commission.

(B) In addition to the reporting requirements in subsection (A), above, the following data shall be retained for the life of the project and subject to inspection upon request:

Short-period sound level measurements (1 second or less); and

2. All L A10, L A50, and L A90 percentile levels;

Section 5.713 Complaint Response Procedures

CPG Holders shall respond to complaints raised by residents located near the wind generation facility in a manner consistent with the complaint response procedure(s) issued by the Vermont Department of Public Service pursuant to Section 5c of Public Act 130 (2016 Vt., Adj. Sess.).

History

• EFFECTIVE DATE: November 22, 2017 Secretary of State Rule Log #17-062
• STATUTORY AUTHORITY: Section 12(a) of Act 174 of 2016; 30 V.S.A. § 248; 30 V.S.A. § 3

Chapter 5800 REQUIREMENTS RELATED TO THE INSTALLATION AND MAINTENANCE OF AESTHETIC MITIGATION MEASURES

30-5800 Code Vt. R. 30-000-5800-X REQUIREMENTS RELATED TO THE INSTALLATION AND MAINTENANCE OF AESTHETIC MITIGATION MEASURES

Section 5.801 Purpose and Applicability

The purpose of this rule is to ensure that all required aesthetic mitigation measures are implemented and maintained for the life of all facilities constructed pursuant to a certificate of public good issued under 30 V.S.A § 248. This includes net-metering facilities permitted under the procedures authorized by 30 V.S.A. § 8010. This rule shall apply to all facilities for which a petition or application for a certificate of public good under 30 V.S.A. § 248 is submitted after the effective date of this rule.

Section 5.802 Definitions

(A) Final aesthetic mitigation plan: a plan submitted by a petitioner and approved by the Commission pursuant to the requirements of this rule.

(B) Commission: the Vermont Public Utility Commission.

(C) Completion of construction: Completion of construction shall mean complete installation of all infrastructure necessary to allow for the interconnection and intended generation or transmission use of a facility that is subject to this rule. The completion of aesthetic mitigation measures required for a particular facility is excluded from this definition for the purposes of this rule.

(D) CPG: a certificate of public good issued by the Commission pursuant to 30 V.S.A. § 248.

(E) CPG holder: a person or company who holds a CPG pursuant to 30 V.S.A. § 248 to construct and/or operate an electric generation, electric transmission, or natural gas facility.

(F) Facility: an electric generation, electric transmission, or natural gas facility for which a petition or application for a CPG pursuant to 30 V.S.A. § 248 is submitted to the Commission after the effective date of this rule.

(G) Petitioner: a person or company seeking a CPG for approval to construct an electric generation, electric transmission, or natural gas facility pursuant to 30 V.S.A. § 248.

Section 5.803 General Rule

All aesthetic mitigation measures required by the Commission under a CPG must be implemented in accordance with the conditions of the CPG and any final aesthetic mitigation plan. All such aesthetic mitigation measures must be maintained for the life of the facility as necessary to fulfill their intended purpose. The Commission will incorporate these requirements as conditions of CPGs issued pursuant to Section 248, as applicable.

Section 5.804 Submittal of Proposed and Final Aesthetic Mitigation Plan

(A) Contents of aesthetic mitigation plan. A proposed aesthetic mitigation plan shall include any generally available mitigating steps that a petitioner proposes to take to improve the harmony of the proposed facility with its surroundings, consistent with 30 V.S.A. § 248(b)(5).

(B) Inclusion with advance notice materials. All petitioners required to provide advance notice pursuant to the requirements of Commission Rule 5.100 or 5.400 shall include with the advance notice filing a draft of a proposed aesthetic mitigation plan or an explanation why aesthetic mitigation measures are not needed for the proposed facility.

(C) Inclusion with initial application or petition. A proposed aesthetic mitigation plan shall be included with a petitioner's initial request for a CPG, or the petitioner shall demonstrate why aesthetic mitigation measures are not needed for the proposed facility. For petitioners required to provide advance notice pursuant to the requirements of Commission Rule 5.100 or 5.400, a petitioner's request for a CPG shall address any comments received on the proposed plan, or on the justification for not proposing aesthetic mitigation measures, consistent with the requirements of those rules.

(D) Commission review. The Commission will review aesthetic mitigation plans in a manner consistent with the CPG review process applicable to the facility in question. At its discretion, the Commission may require a petitioner who asserts that aesthetic mitigation measures are unnecessary to submit a proposed aesthetic mitigation plan or may require modifications to a proposed aesthetic mitigation plan submitted by a petitioner.

(E) Final aesthetic mitigation plan. If agreement is reached among the parties during the CPG review process, the petitioner shall file with the Commission a final aesthetic mitigation plan before the Commission completes its review. Otherwise, the petitioner shall file with the Commission and serve on all parties a final aesthetic mitigation plan within 15 days of the issuance of a CPG for a facility. The purpose of this filing is for petitioners to submit a visual representation of the requirements imposed by the Commission's final order approving a facility. Parties to the proceeding in which the facility is under review shall have an opportunity to review and comment on the final aesthetic mitigation plan, and may request a hearing if the plan filed by the petitioner differs from the final decision of the Commission. The final aesthetic mitigation plan shall consist of a site plan that depicts in detail the facility and all aesthetic mitigation as approved by the Commission. The plan shall show all facility components, including but not limited to access roads, infrastructure, transmission or electrical generation equipment, fences, and all landscape mitigation elements. The purpose of this filing is to clearly document the final project elements and aesthetic mitigation features on a single site plan, and to eliminate the need to refer to separate plans for different aspects of the facility.

(F) Exemption for net-metering registration facilities and certain transmission facilities. There shall be a rebuttable presumption that facilities eligible for the registration process of Commission Rule 5.100 and upgrades to electric transmission substations that do not result in an expansion of the footprint of the existing substation do not require aesthetic mitigation and are therefore exempt from the requirement to submit a proposed aesthetic mitigation plan.

Section 5.805 Post-Construction Requirements

(A) Implementation of final aesthetic mitigation plan. The CPG holder shall fully implement the final aesthetic mitigation plan as soon as reasonably possible, and in no case more than 90 days following the completion of construction, unless such timing would require implementation between October 15 and April 15, in which case the plan shall be fully implemented within 30 days of the following April 15.

(B) Certification of completion. Within 30 days following the full implementation of the final aesthetic mitigation plan, the CPG holder shall submit to the Commission and all parties in the proceeding in which the CPG was granted a certification that all work has been fully implemented in a manner consistent with the approved plan. This certification shall include the completion of construction date as well as the date of interconnection and shall be supported by an affidavit and dated photographs of the installed mitigation measures. If construction of the facility components and/or aesthetic mitigation has deviated from the design of the facility as approved, the CPG holder shall also file for Commission review and approval a revised final mitigation plan. Submission of a revised final mitigation plan shall not relieve a CPG holder from its obligation to request an amendment to the CPG for a substantial change.

(C) Compliance. The Commission may conduct further process as needed to ensure compliance with the final aesthetic mitigation plan or revised final aesthetic mitigation plan. As part of such process, the Commission may, on its own motion or at the request of a party, municipality, or member of the public, conduct a site visit and/or require additional filings to verify compliance. Any request for a site visit must be supported by an explanation of why such a visit is necessary. In addition, the Commission may refer complaints related to compliance with a final aesthetic mitigation plan or a final revised aesthetic mitigation plan to the Department of Public Service for investigation and enforcement pursuant to 30 V.S.A. §§ 2(h) and 30(h).

(D) Inspections by CPG holder. For a period of three years, the CPG holder shall conduct an annual inspection of the facility to determine the health, vigor, and continued effectiveness of the mitigation. The CPG holder shall file with the Commission and parties an annual certification documenting the results of the inspection and any corrective actions taken. Certifications required under this paragraph shall be submitted by the dates one, two, and three years following the submission of the certification of completion required by Paragraph (B) above.

(E) Ongoing maintenance of mitigation measures. The CPG holder shall maintain mitigation measures contained in the final aesthetics mitigation plan or revised final aesthetics mitigation plan for the life of the facility as those measures are depicted on the plan.

(F) The Commission will incorporate the requirements of this Section as conditions of CPGs issued pursuant to Section 248, as applicable.

Section 5.806 Waiver of Rule Requirements

The Commission may, for good cause, grant exceptions in particular cases to any provision of this rule.

History

• EFFECTIVE DATE: September 1, 2017 Secretary of State Rule Log #17-051
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 058]
• STATUTORY AUTHORITY: 30 V.S.A. § 2(c); 30 V.S.A. § 3; 30 V.S.A. § 248

Chapter 5900 DECOMMISSIONING REQUIREMENTS FOR FACILITIES CONSTRUCTED AND OPERATED

30-5900 Code Vt. R. 30-000-5900-X DECOMMISSIONING REQUIREMENTS FOR FACILITIES CONSTRUCTED AND OPERATED

Section 5.901 Purpose and Applicability

This rule establishes the standard requirements for the decommissioning of electric generation, electric transmission, and natural gas facilities pursuant to 30 V.S.A. § 248(a)(5). This rule applies to all electric generation, electric transmission, and natural gas facilities that are or become subject to the jurisdiction of the Vermont Public Utility Commission pursuant to 30 V.S.A. § 248. This includes net-metering facilities permitted under the procedures authorized by 30 V.S.A. § 8010. This rule shall apply to all facilities for which a petition or application for a certificate of public good under 30 V.S.A. § 248 is submitted after the effective date of this rule.

Section 5.902 Definitions

(A) Commission: The Vermont Public Utility Commission.

(B) CPG: certificate of public good.

(C) CPG holder: a person or company who holds a CPG pursuant to 30 V.S.A. § 248 to construct and operate an electric generation, electric transmission, or natural gas facility.

(D) Facility: an electric generation, electric transmission, or natural gas facility for which a petition for a CPG pursuant to 30 V.S.A. § 248 is submitted to the Commission after the effective date of this rule.

(E) Plant capacity: The term plant capacity shall have the same meaning as defined in 30 V.S.A. § 8002.

(F) Utility: for purposes of this rule, a person or entity engaged in the distribution of electricity or natural gas for retail sale, or the Vermont Electric Power Company, Inc. and Vermont Transco, LLC and any successor thereof

Section 5.903 Requirements for Utility- Owned Facilities

Facilities owned by utilities shall be removed once they are no longer in service. The Commission may require a utility to implement some or all of the requirements applicable to non-utility facilities set forth in Rule 5.904, below, or alternative means to ensure the removal of facilities that are no longer in service. The Commission will incorporate such requirements as conditions of CPGs issued pursuant to Section 248, as applicable.

Section 5.904 Requirements for Non-Utility-Owned Facilities

(A) Requirements for non-utility-owned generation facilities with a plant capacity equal to or greater than 150 kW and less than or equal to 500 kW. Facilities in this category shall be removed once they are no longer in service, and the site shall be restored to its condition prior to installation of the facility to the greatest extent practicable. The Commission will incorporate this requirement as a condition of CPGs issued pursuant to Section 248, as applicable.

(B) Requirements for facilities with greater than 500 kW plant capacity and non-utility-owned electric and gas transmission facilities. Facilities in this category shall be removed once they are no longer in service, and the site shall be restored to its condition prior to installation of the facility to the greatest extent practicable. In addition, facilities in this category shall meet the requirements described below. The Commission will incorporate these requirements as conditions of CPGs issued pursuant to Section 248, as applicable.

Requirement to submit decommissioning cost estimate. All petitions to construct or operate a facility subject to this subsection shall include a facility-specific decommissioning cost estimate in present-day dollars that identifies the costs associated with decommissioning activities.

a) Decommissioning cost estimates shall include all costs associated with the dismantlement and safe disposal of facility components and site restoration activities, including the following elements:

i. All labor, equipment, transportation, and disposal costs associated with the removal of all facility components from the facility site;

ii. All costs associated with full restoration of the facility site, including removal of non-native soils, fences, and constructed access roads;

iii. All costs associated with reclamation of any primary agricultural soils at the facility site to ensure each area of direct impact shall be materially the same as it was before construction;

iv. All costs associated with obtaining and complying with any federal, state, or local permits that may be required as a result of decommissioning activities;

v. All decommissioning activity management, site supervision, site safety costs; and

vi. Any other costs associated with the decommissioning and restoration of the facility site.

b) The salvage value of facility components shall not be subtracted from or otherwise offset costs included in the decommissioning cost estimate.

c) Decommissioning cost estimates shall identify the name, job title, contact information, and qualifications of the individual who prepared the estimate.

Irrevocable standby letter of credit. All requests to construct or operate a non-utility electric generation, electric transmission, or natural gas facility shall include a draft irrevocable standby letter of credit in an amount sufficient to fund the estimated decommissioning and site restoration costs developed pursuant to Paragraph (B)(1), above. Prior to commencing construction of the facility, a CPG holder shall file and receive Commission approval of an executed letter of credit. The letter of credit shall:

(1) name the Commission as the sole beneficiary of the letter of credit;

(2) be issued by an A-rated financial institution;

(3) include an automatic extension provision or "evergreen clause"; and (4) be bankruptcy remote.

Alternative form of financial security. The Commission may, in its discretion, approve alternative forms of financial security from that required in subparagraph (2), above, if it finds that such alternative forms will provide an assurance of the availability of financial resources for decommissioning that equals or exceeds that provided by the form required by that subparagraph.

Reporting. Every three years, a non-utility CPG holder shall file a report with the Commission, the Vermont Department of Public Service, and each party to the proceeding in which the facility's CPG was granted, describing any adjustments and changes to the decommissioning fund in the previous three-year period. This report shall be filed no later than February 28 of the third year following the issuance of the CPG and every subsequent third year.

Fund inflation adjustment. The value of a non-utility facility's decommissioning fund shall be adjusted for inflation every three years based upon the net positive change in the annual average of the U.S. Bureau of Labor Statistics' Northeast Urban Consumer Price Index for the preceding three-year period. The decommissioning fund amount shall not be reduced in periods when the Northeast Urban Consumer Price Index reports a net negative change for the preceding three-year period.

Letter of credit adjustment. The facility's standby letter of credit shall be adjusted every three years to reflect changes to the decommissioning fund as provided in subparagraph (5), above. Revisions shall be made no later than February 28 in conjunction with the report required pursuant to subparagraph (4), above. Nothing herein shall preclude the Commission from requiring more frequent adjustments due to facility or site conditions.

Access to decommissioning fund. The Commission shall have the right to draw upon a non-utility facility's irrevocable standby letter of credit to pay for decommissioning in the event that the CPG holder has not commenced decommissioning activities within 90 days of a Commission order directing decommissioning.

Release of excess funds upon completion of decommissioning activities. Upon completion of all decommissioning and site restoration activities, a CPG holder shall request a determination from the Commission that the CPG holder's decommissioning obligations have been satisfied. Upon the Commission's determination that the decommissioning obligations have been satisfied, the Commission will terminate the facility's letter of credit.

Section 5.905 Mitigation Plantings

Nothing in this rule shall require the removal of plantings installed as part of a Commission-approved aesthetic mitigation plan.

Section 5.906 Exemption for Roof-mounted Facilities and Parking Lot Canopies

The following shall be exempt from the requirements of this rule: electric generation facilities located (1) on a new or existing structure whose primary use is not the generation of electricity or providing support for the placement of equipment that generates electricity or (2) on a parking lot canopy over a paved parking lot, provided that the location remains in use as a parking lot.

Section 5.907 Waiver of Rule Requirements

The Commission may, for good cause, grant exceptions in particular cases to any provision of this rule.

Section 5.908 Repeal of Prior Requirements

Paragraph 5.402(C)(2) of Commission Rule 5.400 related to decommissioning is hereby repealed, except with respect to any proceeding pending on the effective date of this rule.

History

• EFFECTIVE DATE: September 1, 2017 Secretary of State Rule Log #17-050
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 059]
• STATUTORY AUTHORITY: 30 V.S.A. § 2(c); 30 V.S.A. § 3; 30 V.S.A. § 248

Chapter 6100 ENFORCEMENT OF SAFETY REGULATIONS PERTAINING TO INTRASTATE GAS PIPELINE AND TRANSPORTATION FACILITIES

30-6100 Code Vt. R. 30-000-6100-X ENFORCEMENT OF SAFETY REGULATIONS PERTAINING TO INTRASTATE GAS PIPELINE AND TRANSPORTATION FACILITIES

Section 6.101 Purpose and Scope

These rules describe the enforcement authority and procedures to achieve and maintain gas pipeline and transportation safety within the State of Vermont. They also prescribe the sanctions which may be requested by the Department of Public Service and imposed by the Vermont Public Utility Commission for safety violations.

Section 6.102 Inspections & Information

(A) The Department may conduct inspections of gas pipelines or transportation and storage facilities.

(B) The Department may at any time request information reasonably related to enforcement of gas safety rules or regulations. Such information shall be provided within fifteen (15) days. Where the Department determines that an emergency need for such information exists, the Department may require information to be provided immediately.

Section 6.103 Warnings

(A) When, based upon an inspection or other information, the Department has reason to believe that a person is not in compliance with applicable gas safety rules or regulations or orders issued thereunder, the Commissioner of the Department or the Commissioner's designee may issue a warning in accordance with subsection (B) of this section.

(B) A warning of non-compliance shall notify the owner or operator of the facility that is alleged to be in non-compliance of the alleged violation(s), or the person involved in the alleged violation(s) if different, and shall advise the person, owner, or operator involved to correct the violation(s) or be subject to further enforcement proceedings. All warnings shall be in writing, shall state the probable violation(s) and shall state the date by which each violation is to be corrected.

Section 6.104 Enforcement Proceedings

(A) If the Department determines that a person has violated a statute, rule, regulation, or any order of the Commission pertaining to gas safety, the Department may initiate an enforcement proceeding by serving a Notice of Probable Violation on said person. A copy of said Notice shall be filed with the Commission and shall be treated as a petition to impose penalties under 30 V.S.A. § 2816. The Department or Commission may initiate an enforcement proceeding without first sending a warning under Section 6.103 of this rule to that person alleged to have violated the statute, rule, regulation, or Commission Order.

(B) A Notice of Probable Violation shall include:

(1) A statement of the statute, rule, regulation, or order issued thereunder which the person is alleged to have violated;

(2) A brief statement of the evidence upon which the allegation(s) is based;

(3) Notice of response options available (See Section (E) of this Rule);

(4) Statement of remedial action sought;

(5) If a civil penalty is proposed, the amount of the proposed civil penalty (See 30 V.S.A. § 2816) .

(C) The Department may amend a Notice of Probable Violation at any time prior to issuance of a final Commission order. If an amendment includes any new material allegations of fact or proposes new or additional remedial action or an increased civil penalty, the person to whom the Notice is directed shall have an additional 15 days from the time the amended Notice is received to respond.

(D) Within 30 days of receipt of a Notice of Probable Violation any person who is the subject of an enforcement proceeding shall make a written response to the Department and to the Commission.

(E) Where the Notice of Probable Violation contains a statement of remedial action sought or proposes the imposition of a civil penalty, any person who is the subject of enforcement proceedings pursuant to that Notice may:

(1) Agree to take the remedial action sought and submit a plan for compliance which shall include a schedule of steps to be taken and a date by which complete compliance shall be obtained;

(2) Pay the proposed civil penalty by certified check payable to the Commission; and/or

(3) Object to imposition of the remedial action and the imposition of the penalty and request a hearing before the Commission.

(F) A request for hearing under Section 6.104(E) of this rule in response to a Notice of Probable Violation issued pursuant to this rule must include a statement of the issues intended to be raised at hearing. In the statement of issues, the person requesting the hearing shall assert any defenses he or she intends to raise and, if the person intends to claim that mitigating factors are present, shall include an explanation of those factors, accompanied by supporting data or other information. The request may also include any offer made in compromise of the proposed civil penalty or remedial action.

(G) If the alleged violator agrees to the remedial action sought by the Department and agrees to pay the proposed civil penalty, pursuant to Section 6.104(E)(1) and (2) of this rule, the alleged violator will be deemed to have waived notice and an opportunity for hearing provided the Commission's final Order is substantially consistent with the remedial action and/or penalty agreed to by the Department and the alleged violator.

(H) After notice and an opportunity for hearing, the Commission shall enter its final order in the matter. The final order may include:

(1) A statement of actions, if any, required to be taken and the date by which such actions must be taken; and

(2) The amount of any civil penalty imposed.

(I) Any person found to be in violation of any statute or rule, regulation, or order issued thereunder may be made subject to a civil penalty in accordance with 30 V.S.A. § 2816. In imposing a civil penalty on any person, the Commission shall consider the gravity of the violation, the culpability of the person responsible for the violation, any history of prior violations, the good faith of the person charged in attempting to achieve compliance, the size of the business of the person being charged, and the likely effect of the penalty.

(J) In addition to the procedures set forth in this section, the Commission, on its own initiative or in response to a petition, may initiate an investigation into a possible violation of any statute, rule, regulation, or order issued thereunder pertaining to gas safety.

Section 6.105 Expedited Hearing

(A) If the Department determines during or after inspection that a gas facility presents an immediate hazard to life, health, property, or continued utility service, the Department may file with the Commission a Request for Expedited Hearing or for a Temporary Restraining Order along with the Department's Notice of Probable Violation. The Request shall be accompanied by supporting Affidavit(s) which state plainly the hazard(s) and the Department's best estimate of the time in which action must be taken. Upon receipt of the Department's Request, the Commission shall schedule an expedited hearing or shall deny the Request, stating its reasons.

(B) Whenever an expedited hearing is held the Commission may enter a temporary order, including a Temporary Restraining Order and impose any of the sanctions outlined in Section 6.104(H) of this rule in the same manner as if it had held a regular hearing. The temporary order shall remain in effect until a regular hearing is held in due course.

Section 6.150 ENFORCEMENT OF SAFETY REGULATIONS PERTAINING TO CONSTRUCTION AND OPERATION OF GAS TRANSMISSION AND DISTRIBUTION SYSTEMS

These Rules cover the design, construction, installation, operation, maintenance, testing, inspection, and safety features of gas transmission and distribution systems, including gas storage, metering and regulating stations, mains and services up to the outlet of the customer's meter assembly, or outside the building wall, whichever is further downstream.

These Rules and Regulations shall be complied with in all new installations but shall not apply retroactively to existing facilities except where specifically indicated or if the Public Utility Commission determines that existing equipment or operations are hazardous to the public.

These Rules and Regulations shall apply to every person, firm, company, corporation and municipality engaged in the construction or operation of any gas transmission or distribution system in the State of Vermont which is or shall become subject to the jurisdiction of this Commission.

Section 6.151 Purpose and Scope

These Rules cover the design, construction, installation, operation, maintenance, testing, inspection, and safety features of gas transmission and distribution systems, including gas storage, metering and regulating stations, mains and services up to the outlet of the customer's meter assembly, or outside the building wall, whichever is further downstream.

These Rules and Regulations shall be complied with in all new installations but shall not apply retroactively to existing facilities except where specifically indicated or if the Public Utility Commission determines that existing equipment or operations are hazardous to the public.

These Rules and Regulations shall apply to every person, firm, company, corporation and municipality engaged in the construction or operation of any gas transmission or distribution system in the State of Vermont which is or shall become subject to the jurisdiction of this Commission.

Section 6.152 Definitions

The definitions in effect as of the date of the adoption of the rules, and as they may thereafter from time to time be amended, contained in the regulations of the Transportation of Natural and Other Gases by Pipeline, parts 191, 192, 193, 198, and 199, Title 49, The Code of Federal Regulations, as in effect as of the effective date of these Rules, shall apply.

"Gas Corporation" shall mean any person, firm, company, corporation or municipality engaged in the transmission or distribution of gas by a piping system.

"Federal Regulations" shall mean the regulations of the Transportation of Natural and Other Gases by Pipeline, parts 191, 192, 193, 198, and 199, Title 49, Code of Federal Regulations and any subsequent revisions.

"Commission" shall mean the Public Utility Commission of the State of Vermont.

Section 6.153 Modifications or Revisions

Upon its own motion, or upon application, and for good cause shown, the Commission may modify, suspend or repeal the provisions of any rule herein, provided the modification, suspension, or repeal does not violate the Federal Regulations. Only in the case of an emergency may these regulations be waived. Application may be made to the Commission for modification of any rule or for temporary or permanent exemption from its provision. However, in instances where the requested modification or exemption would also require a departure from the applicable Federal Regulations, such application also must be submitted to the Office of Pipeline Safety. A copy of the Office of Pipeline Safety decision shall be submitted to the Public Utility Commission. Such an application for modification for exemption must be accompanied by a full and complete justification for the proposed change.

Section 6.154 Compliance with Federal Regulations

Every gas transmission or distribution system shall be constructed, tested, and operated, except as otherwise provided in these Rules, in compliance with the provisions of the presently effective Federal Regulations and any future revisions of that code. When the regulations stated in these Rules are more stringent than the Federal Regulations, provisions in these Rules shall apply; if the provisions as stated in these Rules are less stringent than the Federal Regulations, the Federal Regulations shall take precedence.

Section 6.155 Service Piping

Gas service piping up to the entry of the first building downstream of that customer, or, if the buried pipe does not enter a building, up to the principle gas utilization equipment or the first fence (or wall) that surrounds that equipment, shall be installed and maintained pursuant to these Rules and the Federal Regulations. However, for a customer-owned service line, as defined in the Federal Regulations, for an industrial application, responsibility for compliance with these Rules and the Federal Regulation resides with the industrial customer.

For a customer-owned service line, as defined in the Federal Regulation, the Gas Corporation may assess the reasonable cost of complying with this section to the customer owning or using such customer-owned service line. Such assessment must be reviewed and approved by the Commission pursuant to a tariff filing under 30 V.S.A. §§ 218, 225, 226, and 227.

Section 6.156 Curb Shut-Offs

Curb shut-offs, usable in an emergency to shut off the supply of gas, shall be installed on all high-pressure gas services whenever the regulator is located within the customer's premises and on all low-pressure gas services whenever gas is supplied to a building where the public assembles, e.g., a school or theater.

Curb shut-offs shall be inspected at reasonable intervals, and when such devices are located on services supplying a building where the public assembles, e.g., a school or theater, they shall be inspected by the Gas Corporation at least once each year.

All gas service piping not requiring a curb shut-off pursuant to Federal Regulations shall have a device installed to cut off the gas outside the cellar wall area, whenever service has been discontinued for a period in excess of twelve (12) consecutive months. A service line that has been disconnected for a period of five (5) years or longer must be physically disconnected at the main.

This physical disconnection may be waived if the service line was built after July 31, 1971, and it is being maintained as if it is an active service line.

Section 6.157 Maps of Transmission and Distribution System

Upon request of the Commission or Department of Public Service, the Gas Corporation shall file with the Commission and the Department of Public Service a complete set of maps of the requested area showing the location of the pipes and grids, pipe sizes, operating pressures, valves, regulator stations, and other pertinent data showing that the transmission or distribution system has been constructed or reconstructed in accordance with these Rules.

Section 6.158 Reports of Proposed Construction

Upon request by the Commission or the Department of Public Service, a report setting forth the specifications, including application of other design criteria, of the construction or the reconstruction of any gas transmission or distribution system, shall be filed with the Commission and the Department of Public Service.

Section 6.159 Interruptions of Service

In the event of a failure of service of gas transmission or a major failure of service of a distribution system, immediate notice shall be given to the Department of Public Service, by telephone or other means of prompt notification to be followed by a written report to the Department of Public Service and the Commission. Such written report shall contain all pertinent information known to the Gas Corporation concerning the cause of the failure and the steps proposed or taken to remedy the defect, and shall be submitted within 30 days of the service failure. This requirement shall not apply to any interruptions of service made by a Gas Corporation in accordance with the provisions of contracts between such corporations and their customers.

Section 6.160 Accidents and Emergencies

Accidents occurring on gas transmission or distribution systems and facilities and causing in- patient hospitalization or death to any person or persons, or damage to property in excess of $ 5,000, shall be reported immediately to the Commission and Department of Public Service by telephone or other means of prompt notification

Every Gas Corporation operating a gas transmission or distribution system in the State of Vermont shall file with the Department of Public Service and the Commission and with every municipality within which the gas transmission distribution system is located, the names, addresses and telephone numbers of two responsible officials of such gas corporations who may be contacted in the event of an emergency.

Section 6.161 Application of Other Design Criteria

When specifying materials for gas transmission pipelines, current industry standards, including criteria for pipe fracture toughness shall be considered.

Section 6.162 Gas Unaccounted For

Within 12 months of the effective date of these Rules, or sooner if required, as a condition of a certificate of public good under 30 V.S.A. §§ 102 and 231, a program shall be adopted by every Gas Corporation to keep to a minimum the amount of gas that is lost or unaccounted for. Gas Corporations shall file an annual statement with the Department of Public Service of the Gas Corporation's gas unaccounted for.

Upon notice from the Commission that the twelve-month rolling average of gas unaccounted for by a Gas Corporation appears to exceed the national average, and if upon examination the Commission determines that the actual amount unaccounted for does actually exceed the national average, such Gas Corporation within ninety (90) days of such determination, shall state in writing its plans for reducing this unaccounted for gas. In addition, such Gas Corporation shall file a report every three (3) months thereafter of its progress in reducing that unaccounted for gas until the Commission, by further Order, dispenses with this reporting requirement.

When natural gas is to be introduced into a distribution system previously used to supply manufactured gas to customers, appropriate measures shall be taken before the introduction of natural gas to prevent drying out of joints and the formation of dust within the mains.

Consideration should be given to installations of fogging and dust collecting equipment as well as application of sealing compounds prior to the change to natural gas. Routine tests normally made to detect gas leaks in the distribution system shall be intensified for a reasonable period following the conversion to natural gas to facilitate prompt discovery and repair of gas leaks.

Section 6.163 Applicability

All of the above state and federal statutes shall be effective in their present and any future revisions. This Rule supersedes General Order No. 59.63 dated May 5, 1977, and General Order No. 41 dated February 1, 1965.

History

• EFFECTIVE DATE: March 1, 1999 Secretary of State Rule Log #99-10
• AMENDED: December 10, 1999 Secretary of State Rule Log #99-70; December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 047]

Chapter 7100 CONTINUOUS EMERGENCY ACCESS (CEA)

30-7100 Code Vt. R. 30-000-7100-X CONTINUOUS EMERGENCY ACCESS (CEA)

Section 7.101 Definitions

For purposes of this rule, the following definitions apply:

(A) ALI -- Automatic Location Identification: The system capability to identify automatically the service address of the telephone being used by the caller and to provide a display of that location information at any public safety answering point.

(B) Commission -- Vermont Public Utility Commission.

(C) CEA -- Continuous Emergency Access: The provision at the customer's network interface of continuous access to emergency law enforcement, fire, and emergency medical services via 911. CEA does not include provision of any customer premises equipment or any services on the customer's side of the network interface device.

(D) CEA Provider -- The service provider responsible for fulfilling the CEA obligations under these rules.

(E) Department -- Vermont Department of Public Service.

(F) Primary Residential Line -- An access line carrying a residential local exchange class of service under applicable tariffs to a residential dwelling. When a residential dwelling is served by more than one line providing a residential local exchange class of service, the line that had residential service established earliest is the primary residential line.

Section 7.102 Duty to Provide CEA

(A) Lines Supported. Each CEA Provider shall provide CEA continuously on each primary residential line where telephone service has been installed.

(B) The duty to provide CEA under these rules applies to the local exchange carrier that owns the local loop facilities which most recently provided local service to the premise.

(1) However, where a carrier provides local service through purchase of wholesale services, such as unbundled network elements or resale services, the carrier actually providing retail local exchange service to the customer immediately prior to the disconnection is responsible for providing CEA, regardless of the ownership of the facilities used to provide CEA.

(C) CEA shall not be removed from any line unless replaced by another service or capability providing access to the same calling capabilities as CEA, or through discontinuance of CEA as authorized below.

Section 7.103 Emergency Calling Requirements

(A) Every CEA Provider shall deploy CEA simultaneously with disconnection, so that access to enhanced 911 emergency service is continuous.

(B) Each CEA Provider shall provide ALI information to the enhanced 911 system.

Section 7.104 Customer Notice

(A) Notice. Each local exchange carrier shall inform its customers that all primary residential lines are entitled to continuous access to enhanced 911, even after regular service has been terminated. Such notice shall be provided in each of the following circumstances:

(1) At least annually, in writing, to all customers by way of telephone directories, bill inserts or through other similar methods.

(2) Either orally or in writing to any customer when the customer requests or gives permission for disconnection.

(3) Either orally or in writing to any customer who is disconnected involuntarily. The notice must be provided not more than 20 days before the involuntary disconnection, and it may be combined with a notice of disconnection for non- payment.

(B) Recorded Oral Notice. Each CEA Provider shall provide a recorded oral announcement on each CEA line. The announcement shall notify customers attempting to place an outgoing call that they can reach emergency services by dialing 911.

Section 7.105 Service Quality

(A) Any oral notice required by this Rule shall be clear and shall have equal audio volume and sound quality as other audio notices used by the provider.

(B) Voice conversation over the CEA connection shall be clear and shall have equal audio volume and sound quality as regular voice service.

(C) The service quality for voice conversation over the CEA connection shall be at least equal to that of regular voice service. Connect time for the CEA connection shall not be greater than regular service.

Section 7.106 Discontinuance of CEA

(A) Temporary Discontinuance.

(1) CEA may be temporarily discontinued at a location if the CEA Provider's facilities are insufficient to provide restoration or initiation of service to another business or residential location. Where more than one CEA connection can provide the necessary relief, CEA that can be restored most quickly shall be the one to be temporarily discontinued. The CEA Provider shall ensure that no reasonably available technical alternative exists prior to use of discontinued CEA facilities.

(2) Whenever CEA is temporarily discontinued, it shall be restored as soon as possible, but in any event, within 180 days of discontinuation. The Commission may grant an extension of time for the restoration of CEA on the basis of costs or other conditions which may delay the completion of restoration.

(3) The CEA Provider shall notify the occupant in writing at the service address that the CEA is being temporarily discontinued no later than the date of temporary discontinuance. The CEA Provider shall provide a toll-free telephone number and an address by which the occupant can contact the carrier to seek further information or assistance. If the occupant provides a physician's certificate as defined in Commission Rule 3.301(D), the CEA Provider shall restore CEA as soon as possible.

(B) Permanent Discontinuance

(1) A CEA Provider may permanently discontinue CEA under any of the following circumstances:

(a) The structure provided with CEA is vacant and is scheduled to be demolished.

(b) A multi-line premise is converted to a single-line premise or to a multiline premise with fewer lines, and the remaining line(s) are in service. For this purpose, the discontinuation of service on one or more lines to a multi-line premise shall not in itself be sufficient to establish that a multi-line premise is being converted to a single-line premise.

(c) The CEA Provider reasonably determines and documents in writing that other conditions exist such that service will not likely be reinstated to the structure.

(d) The CEA Provider detects fraudulent use of the line.

(e) Primary residential dial tone is being provided by another local exchange carrier.

(f) Six months following when a customer requests or gives permission for disconnection of local telephone service.

Section 7.107 Transitional Provisions

(A) This Rule applies to all primary residential lines that are disconnected after the effective date of this Rule.

(B) Within thirty days after the effective date of this Rule, all companies subject to its provisions shall submit to the Commission and the Department a copy of the written notices and the script for the oral notices and recorded oral notice described in section 7.104.

History

• EFFECTIVE DATE: March 15, 2002 Secretary of State Rule Log #02-10
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 049]

Chapter 7200 UNIVERSAL SERVICE SUPPORT FOR SCHOOLS, LIBRARIES, AND HEALTH CARE FACILITIES

30-7200 Code Vt. R. 30-000-7200-X UNIVERSAL SERVICE SUPPORT FOR SCHOOLS, LIBRARIES, AND HEALTH CARE FACILITIES

Section 7.210 Discounts

Section 7.211 Establishment of Discount

(A) Schools and libraries in Vermont shall be eligible to receive discounts on telecommunications services.

(B) It is the purpose and intent of this rule to conform with the discount for schools and libraries created by the Federal Communications Commission (the FCC) in its May 8, 1997, Order in CC Docket No. 96-45, as amended.

(C) Unless otherwise specifically stated otherwise, the definitions of terms, the eligibility of entities for discounts, and the applicability of discounts to services are all controlled by the federal program.

Section 7.212 Amount of Discount

(A) Schools and libraries qualify for the following discounts on intrastate telecommunications services, but only if the federal rule provides the same discount levels for interstate telecommunications services:

| SCHOOLS AND LIBRARIES DISCOUNT MATRIX | DISCOUNT LEVEL | | | --- | --- | --- | | HOW DISADVANTAGED? | urban discount (%) | rural discount (%) | | % of students eligible for national school lunch program | | | | < 1 | 20 | 25 | | 1-19 | 40 | 50 | | 20-34 | 50 | 60 | | 35-49 | 60 | 70 | | 50-74 | 80 | 80 | | 75-100 | 90 | 90 |

(B) Eligibility and qualification shall be governed by the federal rule.

Section 7.213 Lowest Corresponding Price

The FCC program requires that telecommunications services be offered at the "lowest corresponding price," that is, the lowest price that a service provider charges to non-residential customers who are similarly situated to a particular school, library, or consortium for similar services. It is this price that is discounted under the program.

Section 7.220 Rate Disputes

Section 7.221 Schools and Libraries

Rate relief to schools, libraries, consortia, as well as service providers, may be sought in three particular situations:

(A) where the lowest corresponding price is unfairly high or low;

(B) where the rate offered by the provider does not represent the lowest corresponding price; and

(C) where the lowest corresponding price is not compensatory because the relevant entity is not similarly situated to and subscribing to a similar set of services to the customer paying the lowest corresponding price.

Section 7.222 Rural Health Providers

For rural health providers, if there are no tariffed or publicly available rates for supported services, or if the carrier believes the rate calculated by the FCC's methodology is unfair, the carrier may submit a cost-based rate. The filing by the carrier must be supported by a justification that includes an itemization of the costs of providing the service.

Section 7.223 Procedure

Requests for relief by a school, library, or consortium will be processed by the Commission using the procedures for a consumer complaint.

History

• EFFECTIVE DATE: October 27, 1997 Secretary of State Rule Log #97-47
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 046]

Chapter 7300 TELEPHONE NUMBER RESOURCE USE AND ADMINISTRATION

30-7300 Code Vt. R. 30-000-7300-X TELEPHONE NUMBER RESOURCE USE AND ADMINISTRATION

Section 7.301 Definitions

A. End user: a person or entity who initiates a telephone call.

B. N11 code: any one of the three-digit dialing codes in the form N11 unavailable under the North American Numbering Plan for assignment as area codes or central office codes and used to connect end users to special services where N is a digit between 2 and 9, inclusive.

C. N11 service manager: an entity, other than a telephone company, responsible for operational oversight of a service to which end users connect when calling an N11 code.

D. Telephone company: a person or company offering a telecommunications service as defined in Title 30 V.S.A. that uses telephone numbers.

Section 7.302 Abbreviated Dialing Codes

The purpose of this Rule is to ensure the efficient use of limited abbreviated dialing code resources and to encourage the development of abbreviated dialing code services that are of high quality and that provide a consistent performance to end users regardless of the end user's telephone company.

An N11 service manager may be designated for any N11 code not actively in use or reserved by the Federal Communications Commission for use by telephone companies. The terms of any designation under this Rule shall be consistent with the terms of any assignment or designation by the Federal Communications Commission.

A. Completion of calls made to N11 codes. All telephone companies not exempted by state or federal law shall complete calls made by end users to any N11 code for which an N11 service manager for the code has been designated under this Rule.

B. Charges to end users. No telephone company may charge an end user for placing a call to an N11 service, except as otherwise provided in federal law, or as otherwise authorized by the Public Utility Commission. Except as otherwise provided in federal law, the Public Utility Commission may determine end-user charges for placing a call to an N11 service.

Section 7.303 Designation of N11 service managers for N11 codes

A. An entity may seek designation as an N11 service manager for an N11 code under this section, provided that the N11 code does not otherwise have an N11 service manager specifically designated under state or federal law for the geographic area proposed to be served.

B. Each geographic area shall have one N11 service manager per N11 code. The geographic area may be the entire state of Vermont, or upon good cause shown, one or more subdivisions. The geographic area in which each N11 service manager provides service shall be determined by the Public Utility Commission at the time the N11 service manager is designated. Except upon good cause shown, calls shall not be routed to areas smaller than, or with boundaries inconsistent with, existing exchange boundaries or wireless coverage areas.

C. Petition form and content. An entity seeking designation under this Rule as an N11 service manager shall file a petition with the Public Utility Commission. The petition shall identify the N11 code and the proposed geographic area coverage, and shall describe the use intended for the code by the proposed N11 service manager. The petition shall include the following additional information and shall demonstrate that the petitioner will meet the following standards:

(1) a description of the organizational structure and management of N11 service manager along with the N11 service manager's articles of association and bylaws, if any;

(2) evidence of sufficient technical and managerial expertise to administer the service;

(3) evidence of a sufficient and stable source of funding;

(4) a proposed implementation date that affords affected entities sufficient time to undertake necessary implementation arrangements;

(5) a plan for coordination of services with other active and future N11 service managers operating in the proposed and neighboring geographic coverage areas, which plan demonstrates that the proposal will not cause any undue technical difficulty for telephone companies;

(6) a plan for public education about the use of the N11 code sufficient to assure that the proposed use will not cause customer confusion;

(7) a technical proposal consistent with the provisions of Section 7.303 B for routing N11 calls;

(8) a proposal for the mechanism, if any, by which telephone companies will or may recover costs associated with the N11 service;

(9) an operational plan for ensuring availability of the N11 service 24 hours per day, 7 days per week or an explanation of why a lesser level of availability is appropriate;

(10) a service quality proposal which shall include the standards, if any, by which the N11 service manager's performance will be determined, the means by which performance regarding those standards will be measured, and a method by which the performance will be reported;

(11) if the N11 code in question currently has an N11 service manager, an explanation of the justification for changing N11 service manager designation and an administration transition plan;

(12) other information showing that the proposal must be practical, cost-effective and consistent with the public interest.

D. Service of petition. The petitioner shall provide a copy of the petition to the Department of Public Service, the Vermont Enhanced-911 Board, all other N11 service managers designated to provide service within the area the petitioner proposes to serve or in a neighboring area within Vermont, all local exchange carriers certified to provide service within the area the petitioner proposes to serve, and all commercial mobile radio service providers certified to provide service within the area the petitioner proposes to serve. Along with each copy of the petition, the petitioner shall provide a list of the persons served under this paragraph.

E. Order. After notice and opportunity for hearing, the Public Utility Commission shall issue an order accepting, conditionally accepting, or rejecting the petition.

F. Provisional designation. If the Public Utility Commission finds that provisional designation of an N11 service manager will promote the planning and development of an N11 service in the public interest, the Public Utility Commission may provisionally designate the petitioner as the N11 service manager. This designation shall be for a fixed period of time. An entity seeking provisional designation as an N11 service manager shall file a petition with the Public Utility Commission. The petition shall identify the N11 code and the proposed geographic area coverage, and shall describe the use intended for the code. The petition must also include information sufficient to demonstrate compliance, to the extent practicable, with the standards described in 7.303 C.

(1) Telephone companies shall not be obliged to complete N11 calls to an entity because it has received provisional N11 service manager status, but shall make good-faith efforts promptly to provide provisional N11 service manager's information necessary for planning an N11 call routing and answering system.

(2) A provisional N11 service manager may submit a new petition for recognition as a non-provisional N11 service manager at any time, or may request an extension of provisional status.

G. Reporting and evaluation. In an order granting a provisional or non-provisional designation as an N11 service manager, the Public Utility Commission may require a periodic report by the N11 service manager, and may specify a process for evaluating the performance of the N11 service manager.

H. Term and revocation of designation.

(1) The term of a non-provisional N11 service manager designation shall be indefinite unless expressly limited by the Public Utility Commission. Designation as an N11 service manager may not be transferred to a successor without prior Public Utility Commission approval.

(2) Upon its own motion or upon the petition of the Department of Public Service or an entity or person adversely affected by an N11 service manager's performance, the Public Utility Commission may after notice and opportunity for hearing revoke or suspend its designation of an N11 service manager, or may impose additional conditions on continued designation for failure to adequately administer its N11 code, for failure to comply with conditions of its designation, or if the Public Utility Commission determines that taking such actions serve the public good of the state.

(3) The burden of proof in a revocation hearing is on the party seeking the revocation or suspension; the standard of proof is the preponderance of the evidence.

History

• EFFECTIVE DATE: September 4, 2002 Secretary of State Rule Log #02-31
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 050]

Chapter 7500 NONDOMINANT TELECOMMUNICATIONS CARRIERS

30-7500 Code Vt. R. 30-000-7500-X NONDOMINANT TELECOMMUNICATIONS CARRIERS

Section 7.501 Purpose

The purpose of this rule is to define the obligations of various kinds of telecommunications carriers under Title 30 of Vermont Statutes, and especially 30 V.S.A. § 227c, relating to nondominant carriers.

Section 7.502 Authority

(A) In accordance with 30 V.S.A. § 227c, this rule modifies, reduces and suspends various requirements under Title 30 of Vermont statutes that would otherwise apply to nondominant providers of telecommunications service. In determining what modifications, reductions or suspensions of Title 30 requirements should be included in this rule, the Public Utility Commission has determined that competition in the relevant markets, combined with the remaining regulatory requirements of Title 30:

(1) will be sufficient to ensure that the charges, practices, classifications or regulations related to the service are just and reasonable, and are not unjustly or unreasonably discriminatory; and

(2) will afford the public at least as much protection as the applicable regulatory requirements that are modified, reduced or suspended.

(B) This rule also codifies prior precedent of the Public Utility Commission and in some cases establishes new responsibilities for telecommunications carriers. In so doing, this rule relies on other provisions of Vermont statute, including but not limited to 30 V.S.A. §§ 102, 104-109, 218, 225, 226, 226a, 226b, 227a, 231, and 311.

Section 7.503 Applicability

By order, the Public Utility Commission may alter the effect of this rule on particular companies or groups of companies.

Section 7.504 Definitions

The following definitions apply to this rule:

(A) "Commission" means the Vermont Public Utility Commission.

(B) "Department" means the Vermont Department of Public Service.

(C) "Dominant" means possessing the ability to set prices in the relevant geographic and functional market for a particular service, taking into consideration:

(1) whether any competitor (s) offer a sufficient quantity of similar or equivalent services;

(2) whether there is reasonable ease of entry into the market for providers of these services; and

(3) any other relevant indicator of market power.

(D) "Eligible Telecommunications Carrier" ("ETC") is a carrier designated by the Commission as an eligible telecommunications carrier under Section § 214(e) of the Telecommunications Act of 1996; 47 U.S.C. § 214(e).

(E) "Incumbent" local exchange carrier means any of the ten companies providing local exchange service and designated as eligible telecommunications carriers on January 1, 2002, plus any affiliate, successor or assign of such a carrier that provides local exchange service.

(F) "Local exchange carrier" means a telecommunications carrier that offers local exchange service or exchange access service on a common carriage basis.

(G) "Local exchange service" means two-way voice or data telecommunications within a local exchange, including any bundled or integrated service, of which local exchange service is a component.

(H) "Telecommunications carrier" means a person or company offering telecommunications service to the public on a common carrier basis.

(I) "Telecommunications service" means any service defined in 30 V.S.A. 203(5).

Section 7.505 Corporate Organization and Finance

(A) For purposes of this section, the term "corporate organization and financial review" means review authorized by the following statutes:

(1) 30 V.S.A. § 104 -- Amendments to the articles of association

(2) 30 V.S.A. § 105 -- Payment for stock with property

(3) 30 V.S.A. § 107 -- Acquisition of control of one utility company by another; supervision

(4) 30 V.S.A. § 108 -- Issue of bonds or other securities

(5) 30 V.S.A. § 109 -- Sales and leases; hearings

(6) 30 V.S.A. § 311 -- Merger review

(B) Only dominant local exchange carriers are subject to corporate organization and financial reviews:

(1) All incumbent local exchange carriers shall be classified as dominant local exchange carriers for purposes of this section.

(2) After an opportunity for hearing, the Commission, on its own motion, or pursuant to a petition, may find that a dominant local exchange carrier is a nondominant carrier for purposes of this section

(C) After an opportunity for hearing, the Commission, on its own motion, or pursuant to a petition, may find that a nondominant carrier is a dominant carrier for purposes of this section.

(D) Any telecommunications carrier not subject to corporate and financial review shall notify the Commission within two weeks of completing any transaction that is subject to review under the terms of 30 V.S.A. §§ 107, 109, or 311. Notice shall be accomplished through the filing of a completed form provided by the Commission for that purpose

Section 7.506 Rates and Charges

(A) For purposes of this section, the term "rate review and tariffing" means requirements to file tariffs and to be subject to investigations and orders of the Commission, as authorized by the following statutes:

(1) 30 V.S.A. § 225 -- Rate schedules

(2) 30 V.S.A. § 226 -- Rates, hearings, bond

(3) 30 V.S.A. § 227(a) -- Pricing of competitive telecommunications services

(4) 30 V.S.A. § 229 -- Rebates; exceptions

(B) Only dominant local exchange carriers are subject to rate review and tariffing:

(1) All incumbent local exchange carriers shall be classified as dominant local exchange carriers for purposes of this section.

(2) After an opportunity for hearing, the Commission, on its own motion, or pursuant to a petition, may find that a dominant local exchange carrier is a nondominant carrier for purposes of this section.

(C) After an opportunity for hearing, the Commission, on its own motion, or pursuant to a petition, may find that a nondominant carrier is a dominant carrier for purposes of this section.

(D) Exceptions

(1) Local exchange carriers that impose intrastate terminating exchange access charges shall comply with 30 V.S.A. § 225 with respect to such charges if they exceed the default terminating exchange access charges established by the Commission.

(2) Carriers that have made election pursuant to 30 V.S.A. § 227d.

(E) Nondominant Carrier Tariffs

(1) Nondominant carriers shall not file tariffs with the Commission.

(2) All tariffs for services offered by nondominant carriers and on file with the Commission on the effective date of this rule are null and void, and any subsequent changes to the rates, terms, or conditions of service shall comply with the provisions of Rule 7.600.

History

• EFFECTIVE DATE: July 21, 2006 Secretary of State Rule Log #06-021
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 052]
• STATUTORY AUTHORITY: 30 V.S.A. §§ 202c, 226, 227c

Chapter 7600 STANDARDS FOR BILLING, CREDIT AND COLLECTIONS, AND CUSTOMER INFORMATION FOR TELECOMMUNICATIONS CARRIERS

30-7600 Code Vt. R. 30-000-7600-X STANDARDS FOR BILLING, CREDIT AND COLLECTIONS, AND CUSTOMER INFORMATION FOR TELECOMMUNICATIONS CARRIERS

Section 7.601 Purpose

The purpose of this Rule is to:

(A) Inform consumers by ensuring that customers and applicants for service receive adequate and timely information from telecommunications carriers about service offerings, account status, and anticipated actions involving disconnections.

(B) Prevent discrimination by ensuring reasonable access to service and ensuring that all customers and applicants for telecommunication services are not subject to unjust discrimination and are not unreasonably denied or disconnected from telecommunications service.

(C) Protect consumers by prohibiting unfair or deceptive practices and establishing minimum mandatory consumer protection standards, including minimum standards for disconnection.

Section 7.602 Applicability

These rules apply to all telecommunications services, as defined in 30 V.S.A § 203(5), provided within the state of Vermont, including both intrastate services and interstate services to the extent that state jurisdiction is not otherwise preempted by federal law. These rules do not apply to telecommunications services provided by commercial mobile radio service carriers. These rules supercede existing Commission Rules 3.300 and 3.400 as they apply to telecommunications carriers.

Section 7.603 Conformity with Statute and Rules

Any provision of a carrier's terms and conditions of service or contracts that conflicts with Vermont Statute or Commission rules or orders shall be void and unenforceable unless explicit waiver is granted by the Commission. Approval of a tariff containing any such provision shall not be deemed explicit waiver.

Section 7.604 Definitions

(A) "Account balance" is the total amount owed by a customer that has been billed in accordance with this Rule.

(B) "Advance billing" is the practice of requiring customers to prepay for services that will be provided during a specific, identifiable period in the future. Advance billing does not include any funds retained as a security deposit.

(C) "Applicant" is any person who applies for telecommunications service and who is not a customer of the carrier.

(D) "Basic service delinquency" means an arrearage for basic telephone service calculated at the carrier's standalone rate for basic service.

(E) "Basic telephone service" means providing access to the public switched telephone network by providing a dial-tone and the opportunity to originate and terminate local calls. For purposes of this Rule basic telephone service shall include a package or bundle of services that includes basic telephone service.

(F) "Basic telephone service charge" means all charges incurred in connection with provision of basic telephone service, including:

(1) all one-time charges for installing or initiating service;

(2) all fees and charges mandated by law or regulation for the provision of basic service;

(3) and any late payment charges for failure to pay basic service charges. However the term does not include charges for directory assistance and non-published number, additional listing, non-directory listed, and non-listed service; and any charges for call waiting, caller ID, call forwarding and any other services ordered by the customer and ancillary to basic telephone service that are purchased separately and are not part of a bundled package offering.

(G) "Bill" is a written statement (printed or electronic) from a telecommunications service carrier to a customer that requests payment for services rendered, or to be rendered in the case of advanced billing, or notifies a customer of an amount to be debited from an account. A request for payment of charges that have previously been billed, exclusive of any new charges, such as a dunning notice or disconnection notice, is not a bill.

(H) "Billed account" is an account that is assigned a unique identification number by the telecommunications service carrier for tracking purposes.

(I) "Commission" means the Vermont Public Utility Commission.

(J) "Bundle" is a combination of various telecommunications services offered by a provider for a single price.

(K) "Business days" are Monday through Thursday, excluding Vermont legal holidays and any other day when the company's business offices are not open to the public, and any day preceding the day the company's business offices are not open to the public.

(L) "CAPI" is the Consumer Affairs & Public Information Division of the Vermont Department of Public Service.

(M) "Carrier" is an entity providing telecommunications service as defined in 30 V.S.A. § 203(5).

(N) "Clear and conspicuous" is that which would be readily apparent to a reasonable customer.

(O) "Commercial mobile radio service carrier" or "CMRS carrier" is a carrier that is a provider of commercial mobile radio service as defined in 47 U.S.C. § 332(d)(1).

(P) "Customer" is any person who has applied for, been accepted and is receiving telecommunication service as defined in 30 V.S.A. § 203(5) or has agreed to be billed for the same.

(Q) "Delinquency" is failure of the customer to tender payment for a valid bill or charge by the later of (1) within twenty-five days of the postmark date of that bill or charge or the date of other official indicia of mailing, or (2) by a "due date" stated on the bill.

(R) "Department" means the Vermont Department of Public Service.

(S) "Deposit" is any funds, however designated, that are held as security for future payment or performance in accordance with Commission Rule 3.200.

(T) "Disconnection" is the deliberate termination, limitation or cessation of any telecommunications service subject to this Rule.

(U) "Dispute" is a grievance, inquiry, or complaint by an applicant or customer about a carrier's application of any Commission rule or order, Vermont statute, federal rule or law enforceable by the state, or term or condition offered by the carrier to the applicant or customer.

(V) "Eligible telecommunications carrier" or "ETC" is a carrier designated by the Commission as an eligible telecommunications carrier under Section 214(e) of the Telecommunications Act of 1996; 47 U.S.C. § 214(e).

(W) "New carrier" is a carrier listed on another carrier's bill that was not listed during the previous billing cycle.

(X) "Primary residential line" is an access line carrying a residential local exchange class of service under applicable tariffs to a residential dwelling. When a residential dwelling is served by more than one line providing a residential local exchange class of service, the line that had residential service established earliest is the primary residential line.

(Y) "Rate plan" is a set of services, prices, terms and conditions offered by a carrier to a customer.

(Z) "Residential service" means telecommunications service that is provided to a residence and used primarily for domestic purposes.

(AA) "Telecommunications service" means any service defined in 30 V.S.A. 203(5).

(BB) "Toll service" is telecommunications service that connects end users across the boundaries of local calling areas, as established by the Commission, and that is activated by a dialing pattern consisting of a "1" and ten following digits.

Section 7.605 Consumer Bill of Rights

(A) Vermont telecommunications consumers have the following rights:

(1) The right to know and control what one is buying.

(2) The right to know from whom one is buying.

(3) The right to know the full price of goods and services purchased.

(4) The right to reasonable payment terms.

(5) The right to fair treatment.

(6) The right to impartial resolution of disputes.

(7) The right to reasonable compensation for poor service quality.

(8) The right of access to basic local exchange service, as long as basic local exchange service charges are paid, regardless of whether they have paid any charges for services other than basic local exchange services.

(9) The right to be free of improper discrimination in prices, terms, conditions, or offers.

(10) The right to privacy by controlling the release of information about oneself and one's calling patterns and by controlling unreasonable intrusions upon privacy.

(11) The right to join with other consumers for mutual benefit.

(B) Directory Errors and Omissions. All carriers shall promptly correct directory assistance and phone directory errors and omissions. Whenever possible, within two business days carriers shall ensure that the correct number is available through directory assistance. Unless it would inconvenience another customer, the carrier shall, if practicable, allow customers to receive calls placed to an erroneously listed number.

Section 7.606 Discrimination Prohibited

(A) A carrier shall provide service and apply the terms of its rate plan, tariff, credit, collections and disconnection policies to applicants and customers on a non- discriminatory basis and in the same manner to all similarly situated customers.

(B) A carrier shall not threaten to undertake collection activities or to disconnect a customer in retaliation for a customer lodging a complaint with the carrier, CAPI or the Commission. Nothing in this Rule, however, shall be construed as precluding a carrier from taking all actions legally available to it, including collection or disconnection as otherwise allowed by these rules, with respect to undisputed charges owed by the customer.

(C) If a customer has filed a complaint with CAPI alleging a violation of a statute or Commission rules applicable to that carrier, and the complaint is directly related to a pending disconnection, termination or cancellation of service, the carrier may not disconnect, terminate, cancel, or threaten disconnection, termination or cancellation of service until the dispute is resolved.

Section 7.607 Unfair or Deceptive Practices

(A) Prohibited practices. The following practices are prohibited to all carriers:

(1) Use of a company name that is deceptive or unreasonably confusing to customers.

(2) An unfair, deceptive, or unconscionable act or practice in connection with a customer transaction.

(B) Direct marketing efforts. A carrier that conducts direct marketing efforts aimed at specific customers or groups of customers shall conspicuously state on all direct marketing materials any limitations on availability of service. Except as so limited, a carrier shall exercise reasonable care to ensure that it has in hand or can procure within a reasonable amount of time the facilities and is willing to provide the service marketed to all customers who are the subject of the direct marketing effort and who wish to subscribe to the service.

(C) Negative enrollment prohibited. Unless specifically authorized by the Commission, no carrier shall employ "negative enrollment" in which customers become enrolled in a service without affirmative selection by the customer.

(D) Number Porting. Carriers shall port a customer's telephone number to another carrier when the other carrier makes a number porting request consistent with the standards and procedures established by the Federal Communications Commission.

Section 7.608 Privacy

(A) Privacy Protection.

(1) Protection. Carriers shall take reasonable care to protect the privacy interests of their customers.

(2) Privacy analysis required. When or before a carrier files a tariff that introduces or modifies a service or implements a technology change that may affect the privacy interests of customers, the company shall file a privacy analysis statement with the Commission and Department. The statement shall describe foreseeable changes to customer privacy protections and expectations. The statement shall also describe any privacy-related actions the carrier proposes to take and options the carrier proposes to make available to customers. This subsection does not apply to carriers not required to file tariffs.

(B) Customer proprietary network information, automatic number identification and calling party.

(1) The requirements of 47 C.F.R., Part 64, Subpart P apply to all carriers within the state providing calling party number, ANI or charge number services on intrastate calls in the same manner as those rules apply to interstate carriers.

(2) The requirements of 47 C.F.R., Part 64, Subpart U apply to all telecommunications providers of intrastate services.

(C) Non-directory listed and non-published numbers.

(1) Each carrier providing a telephone number to a customer shall provide the customer with the opportunity to have that number omitted from published directories and to be unavailable to that carriers' and other directory listing services.

(2) When a customer has asked to have his or her number omitted from published directories or to be unavailable to directory listing services, the carrier shall take reasonable care to preserve the customer's privacy according to the terms of the request. Provided, however, that nothing in these rules shall prevent a carrier from:

(1) providing listings information of such customer to other directory assistance providers, carriers and directory publishers for purposes of publishing and delivering directories or as otherwise required by law;

(2) sharing customer information with other carriers and with law enforcement officials to prevent or investigate unlawful use of communications services; or

(3) complying with applicable state or federal legal requirements.

(3) A carrier may impose a reasonable charge for omitting a customer's number from directory information.

(D) Call Blocking.

(1) As described below, carriers providing basic telephone service shall allow their customers to prevent the display of the calling party's name and telephone number on a caller identification display device (Call Blocking). "Per-Call Blocking" means Call Blocking for individual calls. "Per-Line Blocking" means Call Blocking for all calls from the customer's number.

(a) Per- Call Blocking shall be provided free of charge to all customers.

(b) Per-Line Blocking shall be available to all customers. Per-Line Blocking shall be provided at no charge to any customer who has declared a safety risk and to any customer with a non-published number service who requests the service. A customer may demonstrate a safety risk by completing a declaration form provided by the carrier.

(2) When a carrier provides basic telephone service with Per-Line Blocking the carrier shall also provide a telephone number at which the customer can verify at no cost that Per-Line Blocking functions properly.

(3) Carriers providing basic telephone service shall notify customers of the availability of Call Blocking and criteria for obtaining free Per Line Blocking. Notice shall be given:

(a) In the published number directory used by the carrier or annually by other means; and

(b) Individually to any existing or new customer, except that notice of Per-Line Blocking is only required for a customer who requests non-published service or who has declared a safety risk pursuant to subsection (D)(1)(b) above.

(E) Toll-Free and Pay-per-Call Services. Carriers shall provide, individually or in conjunction with other companies, notice at least annually to all customers describing the information that is released to call recipients when the customer places a call to a toll-free or pay-per-call telephone number.

Section 7.609 Rates, Fees, and Charges

(A) Persons Using Adaptive Telecommunications Equipment for Deaf, Speech Impaired, or Hearing Impaired Persons. All carriers shall provide a forty (40) percent discount on intrastate voice services to customers who utilize a TTY or other adaptive telephone equipment for the deaf, speech impaired or hearing impaired. The discount shall apply to all usage charges, including local and toll measured service charges and the usage component of optional calling plans.

(B) Blind, or Visually Impaired Persons. All carriers offering directory assistance shall provide directory assistance without charge to customers who are blind or visually impaired.

(C) Interrupted Service Credit. Carriers shall provide customers with a credit allowance for service interruptions lasting more than twenty-four hours. The credit will be provided to customers who contact the carrier reporting the outage and also to customers that the carrier knows are affected by the outage. The amount shall be at least the amount resulting from the following formula:

Credit = (A X B)/ 720

Where "A" is the outage time in hours (if of continuous duration of twenty-four hours or more), and "B" is the total monthly charges for the affected service.

(E) Late Fees. Any late payment fees shall be listed with the rates for any service upon which a carrier assesses a fee for late payment. No late payment fee shall exceed the legal rate of interest (as set forth in 9 V.S.A. § 41a) . Late payment fees may be imposed only on delinquent amounts that are not disputed or on disputed amounts over six months delinquent.

(F) Returned Payment Charge. Whenever a payment for service (including, but not limited to a check, draft, or electronic payment) is not accepted by the institution on which it is written or charged, a carrier may charge a reasonable fee.

(G) Operator Service. Rates for Operator Service shall not exceed the rates charged by Verizon of New England, d/b/a Verizon Vermont, Inc., or its successor company as filed in its tariff with the Commission. This rule applies to all calls made from transient locations such as hotel lobbies and rooms, but it does not apply:

(1) to "dial-around" calls, defined as services selected by the caller and outside the control of the presubscribed carrier and initiated by dialing a toll-free number (such as those with a "1-800" prefix or those using the prefix "1010").

(2) to calls from locations where the person selecting the presubscribed Operator Service Provider carrier is also the person who will be paying the bill.

(3) incumbent local exchange carriers as defined pursuant to Commission Rule 7.500, providing service within their local exchange areas.

Section 7.610 Advertising

(A) In advertising of prices for service or devices, carriers will disclose material charges and conditions related to the advertised prices, including, if applicable and to the extent the advertising medium reasonably allows:

(1) Activation or initiation fees.

(2) Monthly access fees or base charges.

(3) Any required contract term.

(4) Early termination fees.

(5) Terms and conditions related to receiving a product or service for "free."

(6) The times of any peak and off-peak calling periods.

(7) Whether different or additional charges apply for calls outside of the carrier's network or outside of designated calling areas.

(8) Whether prices or benefits apply only for a limited time or promotional period, and, if so, any different fees or charges to be paid for the remainder of the contract term;

(9) Whether any additional taxes, fees or surcharges apply.

(B) Mass marketing efforts. No carrier shall make any offer for services in any public media, including print, television, radio, or promotional literature without:

(1) stating clearly, conspicuously, and in close proximity to the words stating the offer whether any material exclusions, reservations, limitations, modifications, or conditions apply to the service being offered; and

(2) identifying the exclusions or providing a toll-free contact number by which customers may learn of the restrictions.

(C) Disclosures in plain language. Any disclosures required to be provided by carriers shall be clear and conspicuous such that they are rendered in a size, color, contrast, location, duration and audibility that it is readily noticeable, readable and understandable.

Section 7.611 Service Order - Prior Disclosure

(A) At the time a customer orders service from a carrier, the carrier shall provide a clear and understandable description of the terms, conditions, rates, and charges for all requested services. Disclosure shall include, at least the following:

(1) identification of any non-recurring charges, such as installation;

(2) identification of recurring non-usage charges, such as monthly minimum fees or service charge;

(3) identification of usage charges;

(4) identification of disconnection, termination, cancellation and downgrade fees if any;

(5) identification of other fees, surcharges and taxes; and

(6) advice that the customer may cancel service within fifteen days of receiving written confirmation of the service order without incurring any termination or cancellation charges.

Section 7.612 Service Order - Written Confirmation

(A) General. When a customer initiates service, agrees to a change in service whereby the customer is bound to a contract extension, or a customer so requests, the carrier shall provide or confirm the material terms and conditions of service with the subscriber. The confirmation shall be mailed no later than the date on which the customer's first or next bill for the ordered service is mailed or, if the customer so requests within five days of order entry or request. Confirmation may be made by mail, or it may be provided electronically in accordance with subsection (C).

(B) Form of service order confirmation. Confirmation shall include the following:

(1) Notice of the right to cancel service within fifteen days of receiving written confirmation of the service order without incurring any termination or cancellation charges.

(2) If the order is subject to a promotional rate, a clear and understandable description of the duration and conditions of that promotional rate, and the rate changes that will occur at the end of the promotional period.

(3) Notice that CAPI is available for complaint resolution and telephone numbers and addresses of the carrier and of CAPI where further inquiries may be made.

(C) Delivery. Carriers shall make personal delivery of service order confirmations or may mail or send them by equivalent means. However, confirmation may be provided electronically if a customer has explicitly been given a choice and has affirmatively chosen electronic confirmation.

(D) Interpretation of service order. Ambiguities in the terms or conditions of a service order confirmation may be construed against the carrier.

(E) Customer right to cancel. For any reason, a customer may cancel a service order orally or in writing without penalty or further obligation within fifteen (15) days of delivery of an order confirmation. Delivery date shall be determined by the postmark of a mailed notice. The customer shall pay or formally dispute any charge incurred within the 15- day period. By a separately signed statement, a business customer may waive the right to cancel.

Section 7.613 Telemarketing

Notice. Carriers providing telephone directories shall provide notice to customers in that telephone directory describing how customers can be protected from unwanted telemarketing. The carrier may use the form in Appendix A or may provide substantially equivalent information.

Section 7.614 Billing and Payment; General Rules

(A) General bill requirements.

(1) Bills issued by a carrier shall be well organized and shall display all required information clearly and conspicuously.

(2) Bills shall include information that the customer might need to make inquiries about or to contest charges on the bill, including the toll-free number or numbers and an address or addresses at which customers may reach a customer service representative.

(3) Absent a billing error, a customer who pays in full the amount of charges set forth on a carrier's bill shall be deemed to have paid in full for all services provided to that customer during the billing period described on the bill.

(B) Bills shall also contain the following customer-specific information for each billed account:

(1) The name of each carrier providing service to the customer. If a carrier has more than one name, the name appearing on the bill must be the name used to market the service. Where charges for two or more carriers appear on the same telephone bill, the charges must be separated by carrier.

(2) The name of any new carrier or other entity and the charges from any new carrier or other entity appearing on the bill, including a description of the new carrier's or other entity's relationship with the customer, and including a statement, if applicable, that the new carrier or other entity is the customer's presubscribed toll or local exchange carrier.

(3) A brief, non-misleading, plain language description of the product, service or services rendered, sufficient to allow the customer to determine whether the bill accurately reflects the service that the customer requested and received.

(4) The dates that the bill is issued or a postmark, that the current billing cycle closed, and that payment is due.

(5) The balance due at the beginning of the current billing cycle, using a term such as "previous balance."

(6) The amount of the new charges during the current billing cycle, using a term such as "current service." Any usage charges shall be itemized at a unit level (including the number of units consumed and the rates charged per unit). Non-recurring, recurring, and usage charges shall be separately identified.

(7) The payments received since the previous bill, using a term such as "payments."

(8) The amount of the additional charges during the current billing cycle for untimely payment of past charges, using a term such as "late charge."

(C) Treatment of taxes. The description of any fee or charge on the bill may not state, imply or suggest that the carrier is required by a governmental agency to impose the fee or charge on the end user or collect the fee or charge from the end user, if it is not so required. No carrier may itemize a separate charge to represent the gross receipts tax imposed on carriers under 30 V.S.A § 22.

(D) Billing for third parties restricted. Carriers shall not knowingly or negligently submit bills on behalf of a service provider who:

(1) Fails to comply with 9 V.S.A § 2466 (Goods and Services Appearing on Telephone Bill), or any rule or regulation under that statute.

(2) Fails ordinarily to maintain customer service representatives in accordance with this rule.

(E) Bill delivery. All bills from a carrier shall be sent by U.S. Mail or hand delivered unless the customer agrees to receive them via another means of delivery.

(F) Billing errors. A carrier shall promptly notify its customer after it discovers or is notified of a billing error. The carrier shall correct the error within forty-five (45) days of discovery or notice. A carrier shall investigate when it has reason to believe that a billing error may exist affecting one or multiple customers. A carrier that discovers a billing error affecting more than 100 customers shall within ten days notify CAPI.

(G) Refunds. When a carrier discovers that it has charged in excess of correct rates, it shall credit or refund overcharges occurring within the eighteen months preceding discovery or notice. This provision does not limit any rights or remedies to recover overcharges through civil actions.

(H) Automatic debit of payments.

(1) No carrier shall automatically debit a bank, credit card, or similar account of a customer without first obtaining the customer's clear and unambiguous consent.

(2) Carriers shall send a bill to a customer following an automatic debit, unless the customer has affirmatively agreed to accept debits without receiving a billing statement.

(3) Each carrier shall preserve a clear and unambiguous record of its customers' consent for automatic debits for as long as it continues to automatically debit the customer's account.

(I) Receipt of Payment.

(1) If the customer sends payment by mail, payment is made on the date the carrier receives the payment.

(2) If the customer pays at a branch office or authorized agency of the carrier, payment is made on the date of receipt at that location.

(3) Payment by check or similar instrument is made when tendered, provided that the instrument is subsequently honored.

(J) Large volume exception. If a customer agrees in advance, a carrier may use a billing format that does not conform to this rule. This exception applies only if the customer purchases more than 100 voice access lines, or their equivalent or if the customer regularly pays more than $ 10,000 per month in recurring charges for telecommunications services.

Section 7.615 Billing and Payment; Basic Service

(A) Scope. This section applies to bills that charge for basic telephone service. Its requirements supplement the requirements of the preceding section.

(B) Due date of bills.

(1) The due date of a bill shall not be sooner than 25 days after the bill is mailed or otherwise delivered to the customer. An additional five days shall be added where the carrier mails its bills from a location outside the State and requires customers to mail payment to a location outside the State.

(2) A postmarked bill is considered to have been mailed on the date it is postmarked.

(3) If the due date for payment falls on a Saturday, Sunday, legal holiday, or any other day when the carrier's offices are not open for business, the carrier shall extend the due date to the next business day.

(4) When a carrier provides a customer with multiple notices or contacts that contain different due dates for the same customer account, payment of that account is due on the latest date.

(C) Advance Billing; Discount. A carrier may not require the payment of basic service fees more than one (1) month in advance. A carrier may, however, offer customers the option of receiving a discount for early payment and may require prepayment for equipment provided to the customer.

Section 7.616 Notice of Rate Changes

(A) Notice required. When a carrier changes the rates or other terms and conditions of presubscribed service, the carrier shall provide notice to each customer who may be affected by the change. However, notice is not required for a change to which the customer has previously and specifically agreed, including, but not limited to, those associated with individual customer contracts and promotional offerings.

(B) Timing of notice.

(1) If the change may increase the cost of service for a customer, notice shall be provided at least 30 days in advance of the change, except that companies may provide notice through bill inserts provided that customers are notified at least 15 days in advance of the change. However, where the Commission allows a rate increase to take effect on less than 30 days notice, the carrier shall provide notice no later than the date on which the change is effective.

(2) Where a change will decrease rates, notice shall be given not later than the first bill following implementation of the change.

(C) Right to cancel without penalty. A customer may terminate service without penalty at any time within 30 days of the effective date of a change in rates, terms and conditions, where:

(1) the change may increase the cost of service to a customer; and

(2) the customer has not previously and specifically agreed to that change.

Section 7.617 Annual Notice of Rights - Basic Telephone Service

Notice. Carriers shall make service and rate information available in phone directories, websites, or, upon request, in other media, such as brochures. At least annually, carriers shall inform customers in writing that this information is available. Carriers may meet this notice requirement by providing information on the customer's bill or as a bill insert.

Section 7.618 Customer Service Representatives

(A) Each carrier shall provide customer service representatives (CSRs) during normal business hours in the eastern time zone to receive and process customer inquiries and complaints. The number of CSRs on duty shall be reasonably sufficient at that time to respond to expected questions from applicants and customers and to resolve disputes from customers. CSRs shall be properly qualified and instructed to answer questions, resolve disputes, and address requests for service.

(B) Each carrier shall maintain a toll-free telephone number at which customers may contact a CSR, inquire into or dispute any charge contained on the bill or make inquiries into or file complaints regarding service.

(C) CSRs shall have:

(1) Prompt access to each customers' service and billing records.

(2) Authority to order service changes for the customer.

(3) Authority to adjust billing errors, enter into payment arrangements, and resolve disputes.

Section 7.619 Dispute Resolution

(A) Process. A carrier shall address disputes in a responsible manner. Carriers shall employ the following dispute resolution process:

(1) When a carrier becomes aware of a dispute by a customer or applicant, the carrier shall investigate.

(2) The carrier shall provide a response to a dispute within seven business days of receipt of the inquiry or complaint. However, on request of the Department where circumstances require less time or in cases of emergency, disconnections, and reconnections, the carrier shall seek to respond in less time. The response shall include:

(a) A decision on the customer's dispute.

(b) Notice that, if the customer is not satisfied with the decision, the customer may seek further review by higher management within the company (if available) or may contact CAPI and the telephone number of CAPI.

(3) If a customer seeks review of a dispute by higher management within the carrier's organization, the carrier shall respond within fourteen (14) days of the date of the original dispute resolution was appealed.

(4) The carrier shall preserve a record of the substance and results of the investigation for at least one year following the investigation.

(B) CAPI procedure. A customer may contact CAPI at any time, including before he or she has exhausted the carrier's internal dispute resolution process. CAPI shall employ the following process for such complaints:

(1) At any time, CAPI may reject, without investigation, a dispute that is outside its jurisdiction or is without merit.

(2) Within a reasonable time, CAPI shall notify the affected company of the receipt of the dispute. However, CAPI may omit notice if it concludes that a particular complaint should remain confidential or no investigation is necessary.

(3) CAPI may request further information or a response from the company. If so, the carrier shall investigate the dispute and provide a response to the consumer and CAPI.

(a) A response shall be submitted within 14 days of receiving a request for information from the Department.

(b) If the dispute raises complex issues or issues that require more time to resolve than provided above, the carrier shall provide the consumer and the Department with an interim status report within ten days of its receipt of the complaint from the Department. The carrier shall then submit a final report within fourteen (14) days of the submission of its interim status report.

(c) If a timely final resolution cannot reasonably be achieved, the provider shall notify the Department and the consumer and keep both advised of the company's progress towards reaching final resolution.

Section 7.620 Interruption and Disconnection of Telecommunications Service, General Provisions

(A) Service interruption. Carriers shall attempt to provide continuous and uninterrupted service. When a carrier schedules a service interruption for maintenance or repairs, the carrier shall make reasonable efforts to notify customers of the cause and expected duration of the interruption at least 24 hours in advance.

(B) Voluntary or ordered disconnection. Upon request of the customer or upon order of the Commission, a carrier may disconnect basic telephone service at any time and without written notice.

(C) Notice required.

(1) Before it involuntarily disconnects any customer's telecommunications service or removes a customer from a rate plan, a carrier shall provide a minimum of fourteen (14) days' written notice. Where payment is made by check or other instrument which is subsequently dishonored, then the number of days between delivery to the carrier of the dishonored instrument and receipt by the carrier of notice of dishonor may be deducted from the minimum number of days prior to disconnection that notice must be sent, but in no event may carriers provide less than four days' notice.

(2) No carrier may charge a fee for issuing a notice of disconnection or rate plan change that exceeds the cost of issuing that notice.

(D) Exceptions to notice requirements. A carrier may involuntarily disconnect any telecommunications service without any prior notice if the disconnection is:

(1) for use that creates a risk to others or the network or is necessary to protect the health or safety of the customer or the general public; or

(2) for fraudulent or other unlawful use.

(E) Disconnection after advance payment. Where a carrier disconnects the service of a customer who has paid service charges in advance, the carrier shall refund the balance of any prepaid service charges, but may offset the refund with any overdue payment amount.

(F) Application of Payments. A carrier shall apply all payments to residential basic telephone service charges first before being applied to any other portion of the bill unless written instructions from the customer, a disputed bill, or payment arrangements require otherwise. This Rule shall not apply to payments made for a bundled package of services or to payments to carriers not required to file tariffs pursuant to Commission Rule 7.500.

(G) Debt of Household. A carrier shall not disconnect or refuse telephone service to a customer due to a delinquent bill owed by another person unless the customer responsible for the delinquency, resulting from service to that household, resides in the same household.

(H) Form of disconnection notice. A notice of involuntary disconnection shall be in writing and shall clearly and conspicuously contain the following information:

(1) A statement that the customer's account is delinquent and the amount of the delinquency.

(2) A statement describing the service and stating that the carrier plans to disconnect the service on a stated date.

(3) A statement that service will not be disconnected if the delinquency is paid in full by a stated date.

(4) If the carrier's service includes basic telephone service and the carrier offers basic service on a stand-alone basis, that customer may elect to retain basic service only, provided that the customer pays the basic service delinquency or enters into a payment arrangement.

(5) The toll-free phone number of an appropriate customer service representative of the carrier.

(6) The itemized cost that may be charged to the ratepayer for disconnection, collection and later restoration of service and, if a deposit may be required for restoration of service, an explanation of how the amount will be calculated.

(7) Information regarding CAPI and dispute resolution, including:

(a) A statement that CAPI can provide assistance or advice regarding disputes with utilities and the address, telephone numbers, including the toll-free number, and business hours of CAPI.

(b) A statement that when CAPI has been unable to resolve a dispute it can provide information on how to submit the dispute for resolution by the Commission.

Section 7.621 Disconnection of Non-basic and Business Telecommunications Service

(A) Applicability. In addition to the general requirements of section 7.620, the requirements of this section apply to the disconnection of telecommunications services other than residential basic telephone service.

(B) Disconnection Allowed. A carrier may involuntarily disconnect non-basic telephone service or business basic service where:

(1) payment of a valid non-basic telephone service bill or charge is delinquent, as defined in this rule; and

(2) a timely notice of disconnection has been delivered to the customer.

(C) Limits on toll blocking. When a carrier disconnects a customer's toll service, whether at the customer's request or involuntarily, the carrier may not block the customers ability to make local calls, toll-free calls or presubscribe to another carrier's network. The carrier may block all other toll services, including dial-around calling.

Section 7.622 Disconnection of Basic Residential Telephone Service

(A) Applicability. In addition to the general requirements of section 7.620, the requirements in this section apply to the disconnection of residential basic telephone service.

(B) Disconnection Allowed. A carrier may involuntarily disconnect basic telephone service where:

(1) payment of a valid basic telephone service bill is delinquent, as defined in this rule;

(2) a notice of disconnection has been delivered to the customer; and

(3) the customer has been given an opportunity to enter into a payment arrangement as defined in paragraph (F).

(C) Restrictions. Notwithstanding paragraph (B), a carrier may not involuntarily disconnect basic telephone service:

(1) Based on a disputed delinquency that has been referred to the Commission by the customer or the company and where the Commission has advised the company not to disconnect service.

(2) Due to a failure to pay for any other service, including but not limited to non-basic services, line extensions, special construction, or other non-recurring charges. However this exception does not apply to reconnection charges or charges for personal visits to collect delinquent accounts or deposits. This paragraph does not prevent a carrier from disconnecting a bundled package of services that includes basic telephone service when charges for that bundle, considered as a whole, are delinquent.

(3) When prohibited by section 7.623 relating to medical emergencies.

(4) Where the delinquent bill or charge, or aggregate delinquent bills or charges, for all services, including basic, non-basic and other services provided by a carrier does not exceed $ 50.00, provided this exception may not be used more than two billing cycles in a twelve-month period.

(D) Time of Involuntary Disconnection.

(1) Involuntary disconnection of basic telephone service shall occur only:

(a) on a normal business day;

(b) on the business day specified on the disconnection notice, or within four business days thereafter; and

(c) between the hours of 8:00 A.M. and 3:00 P.M.

(2) Notwithstanding paragraph 1, a carrier may also involuntarily disconnect basic telephone service:

(a) at any time agreed to in advance and in writing by the customer;

(b) between the hours of 3:00 P.M. and 5:00 P.M., provided that the carrier has available personnel authorized to reconnect service and enter into arrangements on behalf of the carrier until 7:00 P.M. on that day; or

(c) at any time to protect the health or safety of the customer or the general public.

(E) Form of Involuntary Disconnection Notice.

(1) A notice of involuntary disconnection for basic telephone service shall contain all of the information required under section 7.620, plus the following additional information, presented clearly and conspicuously:

(a) The time of day the carrier plans to disconnect service.

(b) A statement that service will not be disconnected if:

(i) the customer enters into a payment arrangement, as defined in Paragraph (F) of this Section, to pay the delinquency; or

(ii) the customer has residential service and presents a statement of medical emergency.

(c) A statement of the requirements for reconnection of basic service, including any applicable reconnection charges or security deposit requirements.

(2) Filing Requirements. Prior to issuing any disconnection notice, the carrier shall obtain approval of the form of the notice. The notice form shall be deemed approved unless the Commission states otherwise within thirty days following submission to the Commission and the Department.

(F) Payment Arrangements.

(1) Payment arrangements. When establishing satisfactory payment arrangements:

(a) a carrier shall not require more than a payment of one-half of the delinquent bill in advance and a promise to pay any balance owed over a period of three months or more.

(b) a carrier shall consider the customer's income (if offered by the customer), the customer's payment history (including the amount owed and the time over which the arrearage accrued), the current bill, and the reason for the outstanding bill, including whether the delinquency was caused by unforeseen circumstances.

(2) Continued service required. A carrier shall continue to serve a residential customer who does not pay a basic telephone service account balance in full if the customer agrees to enter into a payment arrangement for the account balance. Thereafter, the carrier may not disconnect provided payment is made in accordance with the payment plan. However, a carrier is not required to enter into other payment arrangements if the carrier has previously entered twice into payment arrangements with that customer during the same calendar year and has each time thereafter disconnected the customer.

(3) Bundled service offerings.

(a) Where a customer has purchased a bundled service that includes basic telephone service, and the carrier offers basic telephone service on a stand- alone basis, the customer may elect to retain basic service by paying the basic service delinquency or by entering into a payment arrangement for the basic service delinquency. The carrier may elect to approximate the usage charges for all customers by adding a charge equal to 50% of the lowest available basic service charge.

(b) Where a customer has purchased a bundled service that includes basic telephone service and the carrier does not offer basic telephone service on a stand-alone basis, the payment arrangement shall be based upon the debt owed for the bundled service as a whole.

(4) Written confirmation. The carrier shall mail or deliver a written confirmation of a payment arrangement to the customer within three business days after a payment arrangement is agreed to. The written confirmation shall:

(a) inform the customer of the terms of the payment arrangement;

(b) inform the customer of the carrier's right to disconnect the customer for failure to comply with a payment arrangement; and

(c) include the address, toll free number and hours of operation of CAPI.

(G) Restoration of service.

(1) Following disconnection of residential service, a carrier shall restore service within 24 hours of the customer's request when:

(a) the disconnection occurred because of a use that created a risk to others or the network or was necessary to protect the health or safety of the customer or the general public and that use has terminated;

(b) the disconnection occurred for nonpayment and the carrier and the customer have reached an agreement or the customer has entered into a satisfactory payment arrangement; or

(c) the Commission so directs.

(2) Reconnection charges. When a carrier restores residential service, to the extent feasible, it shall avoid charging customers for overtime rates and other abnormal expenses.

(3) Non-recurring charges. A company shall not require prepayment of any nonrecurring charges associated with disconnection and restoration of residential service as a condition of restoring service. Unless such charges are included in a repayment agreement, the customer shall pay them within thirty days after service restoration.

(H) Prior Debt. A carrier may refuse to restore basic telephone service or to establish basic telephone service at a new location for a customer with a delinquent bill, provided that the customer has been given the opportunity to enter into a payment arrangement, pursuant to subsection (F) above, and the customer has failed to do so.

(I) Quarterly report. Each basic telephone service provider that has involuntarily disconnected one or more residential customers in any month shall file with the Commission during the following quarter, on a form provided by the Commission, a statement reporting the following information regarding residential service for the previous quarter: the number of bills forwarded to ratepayers, the number of disconnection notices sent, the number of actual disconnections and the delinquency amount for each such disconnection, the number of reconnections made within 15 days of disconnection, the number of repayment plans entered into, the number of repayment plans that were broken. A carrier that has not filed its quarterly report under this section for one year shall not disconnect any primary residential lines until its reports are current.

(J) Abbreviated Disconnection Notice. Where a customer has failed to abide by the terms of a payment plan, or paid by check or other instrument that it was subsequently dishonored, the carrier may disconnect service no sooner than three days following the delivery of a disconnection notice pursuant this Section.

Section 7.623 Medical Emergency

(A) Definition. As used in this rule, "medical emergency certificate" means a written statement, signed by a physician or other licensed primary health care provider, stating that an identified customer, or someone residing within the customer's household, would suffer an immediate and serious health hazard if the customer's basic telecommunications service were lost. A medical emergency certificate may also apply to other telecommunications services, including toll service, if explicitly specified on the certificate. A medical emergency certificate shall state whether the emergency condition is of limited duration and, if so, when the emergency condition is likely to abate. A medical emergency certificate applies to residential customers only.

(B) Basic service required during medical emergency.

(1) After a basic telephone service carrier has received a medical emergency certificate from a customer with a primary residential line, the carrier may not disconnect basic telephone service from that line during the period specified in the certificate or 30 days, whichever is less.

(2) A customer may not avoid disconnection under this subsection more than three times nor for more than two consecutive 30-day periods in any 12 month period.

(3) After a carrier has disconnected basic telephone service for a primary residential line, upon receiving a medical emergency certificate during the ensuing 30 days, the carrier shall reconnect that service, for the period specified in the certificate or 30 days, whichever is less.

(4) A carrier that is an ETC, upon receiving a medical emergency certificate, shall provide basic telephone service to a new customer seeking primary residential service and located at a place already served by the ETC, for the period specified in the certificate or 30 days, whichever is less.

(C) Toll service required during medical emergency.

(1) After a toll service carrier has received a medical emergency certificate, the carrier may not disconnect toll service from that customer's primary residential line during the period specified in the certificate or 30 days, whichever is less.

(2) A customer may not avoid disconnection under this subsection more than once in any 12 month period.

(D) Oral Notice. Oral notice shall function in the same manner as a written notice, provided:

(1) The oral notice is given by the customer, a member of the customer's household or an employee or agent acting on behalf of a physician and to a customer affairs representative of the carrier.

(2) The person giving notice asserts that the identified customer, or someone residing within the customer's household, would suffer an immediate and serious health hazard if the particular telecommunications service were lost.

(3) A written certificate confirming the oral notice is delivered to the carrier within seven calendar days.

(E) Safety disconnections. This section does not prohibit disconnection for use that creates a risk to others or the network or is necessary to protect the health or safety of the customer or the general public.

(F) Timing of connection or reconnection. When a carrier is obligated under this section to connect or reconnect a customer, the carrier shall make substantial efforts to provide service as soon as possible, and shall provide service before the end of the next business day, but in no case more than 24 hours.

(G) Customer's duty to pay or make a payment arrangement. A medical emergency does not suspend or discharge the customer's duty to pay for service. Whenever service is provided under this section, the carrier may inform the customer of the continuing duty to pay or make payment arrangement for the amount overdue.

Appendix A. Telemarketing Notice.

There are several things you can do about telemarketing:

1. Register your name with the Federal Communications Commission's National Do-Not-Call Registry. Registration may be completed on the FCC's website at:, or by calling 1-888-382-1222

2. Upon receiving a call from a particular telemarketer, ask them to identify themselves clearly and then tell them you want to be placed on that company's "do-not-call" list, which they must keep according to Federal law.

3. Remember that it is not impolite to hang up on such an unwanted caller. After informing the caller you do not wish to be called back, simply say goodbye.

Appendix Telemarketing Notice

There are several things you can do about telemarketing:

1. Register your name with the Federal Communications Commission's National Do-Not-Call Registry. Registration may be completed on the FCC's website at: http://www.fcc.gov/cgb/donotcall/, or by calling 1-888-382-1222

2. Upon receiving a call from a particular telemarketer, ask them to identify themselves clearly and then tell them you want to be placed on that company's "do-not-call" list, which they must keep according to Federal law.

3. Remember that it is not impolite to hang up on such an unwanted caller. After informing the caller you do not wish to be called back, simply say goodbye.

History

• EFFECTIVE DATE: July 21, 2006 Secretary of State Rule Log #06-020
• AMENDED: December 2017 [agency name change from Public Service Board; rule renumbered from 30 000 053]
• STATUTORY AUTHORITY: 30 V.S.A. §§ 202c, 226, 227c

Chapter 8000 CABLE TELEVISION

30-8000 Code Vt. R. 30-000-8000-X CABLE TELEVISION

8.000 CABLE TELEVISION

8.100 Definitions.

For purposes of this rule, the following definitions apply. For terms not defined here, refer to the federal cable act (Title 47 U.S.C. § 521 et seq.).

(A) Access channel: a channel made available by an operator that is used to cablecast non-commercial programming created or acquired for public, educational, or governmental purposes pursuant to this Rule. Access channels are sometimes referred to as public, educational, and government channels, or "PEG" channels.

(B) Access management organization, or AMO: a nonprofit entity apart from the cable television operator designated to receive PEG access support through the cable operator and contracted to manage public, educational, and governmental access channels and facilities for non-commercial purposes.

(C) Activated channel: a channel engineered at the headend of a cable system for the provision of services generally available to residential subscribers of the cable system, regardless of whether such services actually are provided, including any channel designated for public, educational, or governmental use.

(D) Basic cable service: any service tier that includes the retransmission of local television broadcast signals (may also include other signals).

(E) Commission: the Vermont Public Utility Commission.

(F) Billing dispute: a disagreement between a subscriber and cable television company concerning:

(1) credits for payments made by the subscriber to the cable television company;

(2) credit refund for service outage;

(3) errors in billing amount; or

(4) assessment of non-recurring charges such as disconnection fees, service calls, and late charges.

(G) Business office: the office of the cable television company where a subscriber or others may make inquiries regarding bills, line extensions, and company rules and regulations; request service; pay bills, either in person or by mail; or bring disputes and complaints.

(H) Cable company: as defined in 30 V.S.A. § 501, a person, firm, partnership, corporation, association, joint stock association, or company which owns or operates a cable system in this state, except non-profits systems serving fewer than 100 subscribers.

(I) Cable operator: the operator of a cable system, also referred to as "operator."

(J) Cable service area, or service area: a geographic area within which a cable system has the right to provide cable service to the public. Such boundaries may include areas into which extension of service is not immediately feasible but may be in the future.

(K) Cable television system, or cable system: a facility meeting the definition in 30 V.S.A. § 501 or 47 U.S.C. § 522 and subject to the regulation of the Commission.

(L) Capacity: portion of electromagnetic frequency spectrum used for commercial and public purposes.

(M) Channel or cable channel: a portion of the electromagnetic frequency spectrum that is used in a cable system and which is capable of delivering a television channel as that term is defined by the Federal Communication Commission regulations.

(N) Collection charge: a fee or charge imposed upon a subscriber by a cable television company for its efforts at collecting or attempting to collect a past due account.

(O) Department: the Vermont Department of Public Service.

(P) Educational access channel: an access channel designated for non-commercial educational purposes.

(Q) Governmental access channel: an access channel designated for non-commercial civic purposes.

(R) Institutional network or I-Net: a communication network that is constructed or maintained by the cable operator and that is made available to educational or governmental institutions.

(S) Late charge: a charge that is added to a cable television subscriber's account or bill for non-payment of a previously due account.

(T) Leased access: use of the Leased Access Channel.

(U) Leased access channel: a channel, available for a charge, for commercial or non-commercial purposes.

(V) Live origination program: PEG content cablecast from cable company head end or remote origination site while it is taking place.

(W) Local origination: the creation of programming cablecast by the cable operator.

(X) Local presentation: request by an institution or individual living or working within the cable service area to transmit PEG content using cable channels or capacity, whether or not that PEG content was produced using PEG access facilities.

(Y) Local use: non-commercial use of PEG channels and capacity by residents of the State of Vermont, including schools and not-for-profit educational institutions, and local and state governments or agencies thereof.

(Z) PEG: Public, educational, governmental.

(AA) PEG content: any non-commercial voice, video, or information made available by members of the public, educational institutions, local or state government, or an AMO and distributed through PEG channels or cable system capacity set aside for such purposes.

(BB) PEG facilities: includes equipment and studio space necessary for community members to produce, post-produce and distribute any PEG content from the cable company head end and remote origination sites to the system's cable subscribers.

(CC) PEG AMO service territory: the area for which the AMO has responsibility, and upon whose gross annual revenues the cable operator bases the calculation of that area's PEG AMO's annual support.

(DD) Premium channel or service: an optional channel to which a customer may subscribe for an additional monthly charge, e.g., HBO or Showtime.

(EE) Promotional offerings: special discounted service offerings that are made available or promoted for no more than six months.

(FF) Public access channel: an access channel designated for non-commercial use by the public on a first come, first served basis.

(GG) Remote origination site: a source of PEG content that is physically some distance from, but configured to transmit signal to, the cable company headend for distribution over the cable system.

(HH) Service outage: a loss of video or audio signals on one half or more of the basic channels or on one or more premium channels which is not caused by the subscriber's television receiver or by the subscriber.

(II) Service tier: a group of channels sold as a package.

8.200 CERTIFICATES OF PUBLIC GOOD

8.210 Petitions (Other than for Renewal).

8.211 Form and Content.

The petition shall be on a form specified by the Commission (available from the Commission and on the Commission's web site) and shall contain at a minimum the information required by the instructions to the petition form.

8.212 Service of Petitions.

When a petition is filed with the Commission and the Department of Public Service for a certificate of public good pursuant to 30 V.S.A. § 503, or to alter, extend, or abandon a cable system service area, a copy of the petition and its supporting documents shall be served upon the clerk of each municipality encompassed in the proposed service area. In addition, a copy of the petition without its supporting documentation shall be served upon:

(A) The superintendent of any school system encompassed in the proposed or affected service area.

(B) The clerk of each municipality adjacent to the proposed or affected service area.

Note that a complete application must be filed both at the Commission and at the Department.

8.213 Hearings.

The Commission shall set petitions relating to applications for certificates of public good for hearing (if a hearing is required under 30 V.S.A. § 231) within a reasonable time. If hearings are held, at least one hearing shall be held in the county of the proposed service area to afford opportunity for public comment.

8.214 Criteria.

In determining whether to approve or reject a petition requesting a certificate of public good for a cable system service area, the Commission shall consider the following:

(A) The criteria of 30 V.S.A. Chapter 13.

(B) The criteria known as the EMCO criteria:

(1) financial soundness and stability, both of the applicant generally and the particular proposal;

(2) the present proposed service offerings to customers, including the number of channels and the ability and capacity of the system to offer additional varied services in the future, and the ability to provide public access;

(3) the commitment to a construction and in-service schedule;

(4) the experience and ability of the applicant to run and manage a cable tv system;

(5) the rates proposed to be charged to customers;

(6) consumer policies, particularly re: complaints and problems;

(7) availability of service to maximum number of residences;

(8) the quality of the engineering and materials used in the system;

(9) logical fit with neighboring systems.

8.215 Approval.

If, after hearing (if required) and investigation, the Commission finds pursuant to the above criteria that approval of the applicant's proposal to provide cable service to the proposed area would promote the general good of the state, it shall issue a certificate of public good to such applicant.

8.220 Termination.

8.221 Transfer of Certificates.

A certificate of public good is not transferable and may not be sold, pledged, mortgaged, or otherwise alienated other than with the approval of the Commission. When permission is given by the Commission for the sale and purchase of assets of a cable company pursuant to 30 V.S.A. §§ 102, 109, 231, or 232, a new certificate shall be issued to the purchaser.

8.222 Revocation or Alteration for Cause.

(A) The Commission may, after hearing, cancel, revoke, suspend, or alter any certificate for the following causes:

(1) Willful violation of any provision of Chapter 13 of Title 30.

(2) Willful failure of the certificate holder to comply with any rule, regulation, or order of the Commission, including the express terms of the certificate of public good, unless such rule, regulation, or order has been stayed by order of the Commission or by the Supreme Court.

(3) Failure, without written permission of the Commission, to commence operations according to the construction and commencement of service schedule made a condition of the certificate of public good.

(4) After commencing operations, failure (without good cause shown) to render adequate service for a continuous period exceeding thirty days.

(B) The burden of proof in a revocation hearing is on the party seeking the cancellation, revocation, suspension, or alteration; the standard of proof is the preponderance of the evidence.

8.223 Removal of Property.

(A) In the event that a certificate of public good is revoked or cancelled, the holder thereof shall, upon order of the Commission and at its own expense, promptly remove all its property and promptly restore the street or other area from which it is removed to the condition existing before such removal, or to a reasonable condition as may be directed by the municipality or public authority.

(B) The Commission may, upon written application therefor by the certificate holder, approve the abandonment of any such property in place under such terms and conditions as the Commission may prescribe. The Commission shall not unreasonably refuse permission to so abandon underground plant.

(C) The provisions of this section shall apply only if ownership of the property is not transferred pursuant to federal law.

8.230 Renewal.

When an incumbent cable television operator seeks to renew a certificate of public good, the Commission, pursuant to law, shall ascertain whether:

(A) The cable operator has substantially complied with the material terms of the existing certificate of public good and with applicable law;

(B) The quality of the operator's service, including signal quality, response to consumer complaints, and billing practices, has been reasonable in light of community needs;

(C) The operator has the financial, legal, and technical ability to provide the services, facilities, and equipment as set forth in the operator's proposal; and

(D) The operator's proposal is reasonable to meet the future cable-related community needs and interests, taking into account the cost of meeting such needs and interests.

8.231 Community Needs Assessment.

In order to ascertain section 8.230(D), the Department shall conduct a community needs assessment within each access service area. Unless the Commission orders otherwise, the assessment process shall include:

(A) Discussions with representative educational, governmental and non-profit organizational sectors of the PEG AMO service territory, including any PEG AMO, access advisory committee, or other non-profit entity that provides communication services to the general community. These discussions will generally take the form of a series of focus group sessions, sector meetings, and public hearings.

(B) Letters of support, statements of need, recordings of public meetings, and other information gathered by the AMO as part of any community needs assessment that it may have independently conducted.

(C) A non-scientific survey of the educational, governmental, and non-profit organizational sectors in the PEG AMO service territory that measures the organizations' communication needs, and other needs that may have reasonable cable-related communication solutions.

(D) A statistically valid survey of randomly selected households that measures, with regard to PEG access, attitudes and behaviors such as, but not limited to, subscriber satisfaction, awareness, and use of PEG access. If the survey is conducted for more than one PEG AMO service territory, the methodology shall be such that a minimum of useful data interpretation and analysis may be provided for each such service territory.

8.300 CONDUCT OF BUSINESS

8.310 Rates and Charges.

8.311 General Provisions.

(A) As provided in 30 V.S.A. § 219, all rates and charges by a cable company shall be applied without discrimination between classes of customers.

(B) Nothing herein shall prohibit the following:

(1) the waiving or reduction of rates and charges in conjunction with promotional campaigns for the purpose of attracting subscribers;

(2) the provision of installation or monthly service without charge to schools, government or non-profit organizations or agencies, or buildings operated by such entities;

(3) the provision of service at no charge to employees and agents of the cable system operator;

(4) the provision of service at bulk-discount rates, lower than individual rates, so long as the difference in rates is related and attributable to lower costs of providing such bulk service.

Any of the above discounted rates may be provided, if at all, at the option of the cable system operator.

(C) Cable companies are relieved from the obligation under 30 V.S.A. §§ 225, 226, and 227(a) to file tariffs setting forth the rates and terms and conditions of service except as specifically required under this Rule or unless the requirements of those sections are reimposed by the Commission after an opportunity for hearing. Upon the effective date of this Rule all tariffs for cable services on file with the Commission are no longer in effect, except for tariffs or tariff sections regarding a company's line extension policy.

8.312 Rates, Terms, and Conditions of Service.

(A) Each company shall maintain a copy of all its current schedules of rates, terms, and conditions of service at its business offices. The information on file at the company shall contain a complete description of the terms and conditions applicable to each level of service or combination of services. The information on file shall include, at a minimum, the information required by the following paragraphs of this section to the extent that the service is offered or the charge is applied by the company.

(B) Residential subscribers. For each level of service, detail:

(1) number and listing (description and channel) of programmed channels available and the subscription rates;

(2) installation charges for first outlet and each additional outlet (including custom installation work and aerial and underground drops);

(3) monthly service charges for first outlet and each additional outlet;

(4) charges for disconnection, reconnection, relocation of outlets;

(5) charges for FM radio service installation and monthly service;

(6) equipment installation, monthly rental, and deposit charges (include purchase or lease prices, if applicable);

(7) charges for changes in service;

(8) surcharges for the support of Public, Educational, and Governmental (PEG) access; and

(9) returned check, collection, and late payment charges.

(C) Other classes of subscribers. Detail special installation, monthly rental, and deposit charges (include purchase or lease prices, if applicable) for:

(1) multiple unit dwellings;

(2) commercial subscribers;

(3) institutional subscribers.

(D) Ancillary services. Detail installation, monthly service, and other rates and charges for any services offered other than residential subscriber and premium services (including, but not limited to, alarm services, facsimile, and other similar services).

(E) Leased channels. Detail all charges associated with lease of cable channels, if any are provided.

(F) Production charges. Charges for use of production equipment, facilities, personnel, and materials by:

(1) users of PEG access channels;

(2) other customers of production services.

(G) Premium services rates. Detail current rules, regulations, and rate schedules for premium or pay cable television services available, with installation, monthly service, deposits, parental keylock, and other charges specified for each pay service offered.

(H) Failure of any operator to comply with formal filing procedures with respect to its rules and regulations shall not be the basis for any revocation or denial of recertification.

8.313 Policy on Expansion into Unserved Areas.

Each cable company shall file a statement of the company's policy on expansions of service into unserved areas as a tariff for the Commission's approval. Each such policy must at a minimum conform to the provisions of this section.

(A) If a policy on expansion into unserved areas requires contributions-in-aid-of-construction, then that policy shall also allow for the rebating or reallocation of such contributions among original and new subscribers. Whenever more than one customer is connected to a customer-financed line extension, total contributions-in-aid-of-construction shall be computed to yield to the utility not more than the total cost of extending or expanding service to the new customer(s), less the service drop credit(s). Amounts to be collected from new customers connecting to customer-financed lines shall be computed as follows:

(1) For a period of seven (7) years from the completion of construction of a line extension, contributions from new customers connecting to said lines shall be based upon an equal sharing of the full cost of construction of the subject line extension as if the new customers were original participants.

(2) For a period of seven (7) years from the completion of construction of a line extension, contributions calculated under section 1 above shall be reimbursed to the original participants based upon an equal sharing of the full cost of construction of the subject line extension as if the new customers were original participants, except that:

(a) All line extension reimbursements shall be paid by cable companies to the current owners of the dwellings or structures served by line extensions that are subject to reimbursement payments for new connections, and shall be paid as a cash rebate or, if to a current subscriber, cash or a credit, at the subscriber's choice.

(b) Reimbursements may be made at any time, but a final reallocation and reimbursement shall be conducted at the end of the seven (7)-year period.

(c) No reimbursement shall be required if the computed amount is less than $ 100.

(3) For purposes of this Rule, when calculating contributions under paragraph 1 or reimbursements under paragraph 2, the original full cost of construction may be depreciated at a straight-line rate of up to 50% at the end of the seven (7)-year period. Depreciation for these purposes, if any, shall be calculated similarly for both contributions and reimbursements and applied as of the date of the connection of new customer(s).

(4) As an alternative to issuing rebates under this section, a cable company may reduce the initial subscriber contribution-in-aid-of-construction based on the number of residential and non-residential premises passed within 500 feet of the proposed cable facilities that are not participating. For non-participating premises, each non-seasonal residential premise passed shall be counted as 1/4 of a verified subscriber, each seasonal residential premise passed shall be counted as 1/10 of a verified subscriber, each commercial or institutional lodging (such as a hotel, motel, or nursing home) shall be counted as 3/4 of a verified subscriber, and each non-residential premise passed shall be counted as 1/9 of a verified subscriber. If a cable company chooses to offer this rebate alternative, it shall include such an alternative in its tariff and no rebate shall be required. If this alternative is to be used, the company estimates under "F" below shall clearly indicate that no rebates will be issued. The following additional conditions apply only to this rebate alternative:

(a) If a verified subscriber commits to take service from a cable company for an additional commitment period of up to 18 months, then the company shall reduce the verified subscriber's contribution by the value of the additional commitment, exclusive of taxes and fees.

(b) If a verified subscriber commits to provide to the cable company, over the term of the two-year commitment period, a minimum annual amount of qualifying revenues up to 150% of the average annual revenue per subscriber, then the cable company shall reduce the verified subscriber's contribution by the incremental revenue above the average annual revenue per subscriber, exclusive of taxes and fees. Qualifying revenues shall include revenues from all services provided to the subscriber over the facilities that provide the cable service, except revenues paid by the subscriber to non-affiliated third parties.

(B) Any cable company for which the expansion of service into unserved areas requires the extension of lines or cables to the customer location shall provide a line extension policy compliant with this subsection.

(1) Any line extension policy that requires contributions-in-aid-of-construction shall not require a contribution in excess of the amount required by the following formula:

A = (C T / N) * (1 - (N / (H * L)))

where A is the dollar contribution from each new customer; C T is the actual cost of the line extension; N is the number of verified subscribers on the extension who will be making the contribution in aid of construction; L is the length of the extension in miles; and H is a number designated by the cable company's tariff representing the number of verified subscribers per mile, counting all the miles proposed on the extension, above which the company will not require a contribution-in-aid-of-construction.

(2) No line extension policy filed in accordance with this section shall specify a value for H in excess of a maximum number established by the Commission. The maximum value for H for straightforward, aerial construction shall be 16 for a period of at least three years after the adoption of this rule, and thereafter may be re-set by the Commission after notice and opportunity for comment not more frequently than once every three years.

(3) Upon request of a person in an unserved area within a cable company's franchise area, the cable company shall provide an estimate of the cost of a line extension The final customer contribution required shall not be more than 10% in excess of the final estimate provided.

(4) Unless otherwise requested, cable companies shall develop cost estimates assuming a standard aerial drop of 300 feet from the pole for each dwelling serving each verified subscriber. Each verified subscriber shall be responsible for its own additional costs for installation of any nonstandard service drop unless participating verified subscribers and the cable company agree to divide the cost of non-standard service drops among the group of verified subscribers requesting service.

(C) Any company that provides cable television services over facilities that it uses to provide telecommunications or other non-cable-television services and that does not require the construction of new cables or lines in order to expand service into unserved areas shall provide a policy on expansion of cable service into unserved areas conforming to this subsection.

(1) Any expansion-of-service policy shall provide for a maximum ratio of verified subscribers to served lines or premises in a project area that defines when the cable company shall provide an expansion of service without requiring customer contribution-in-aid-of-construction. This ratio shall be not more than a default ratio established by the Commission after notice and opportunity for comment, and which, after it is first established, may be re-set by the Commission after notice and opportunity for comment not more frequently than once every three years.

(2) A "served line or premise" is a line over which or a premise to which a company already provides any non-cable retail or wholesale service using facilities that can also be used to provide cable services. A company may make calculations under this subsection using either served lines or served premises, but shall use exclusively one or the other. A "project area" is an area that can be upgraded to offer cable services, including investments in facilities in common to the area that would benefit from the upgrade. A project area shall be defined at the request of a customer or in advance by the company by reference to its customary engineering practices.

(3) When a verified subscriber or group of verified subscribers requests an expansion of service into a project area, the cable company shall calculate the cost of the expansion, and calculate a cost per verified subscriber making the request by dividing the cost of the expansion by the number of verified subscribers participating in the request. When calculating the cost of the expansion, the cable company shall multiply C A, the average cost per served line or premise, specified in the company's tariff, by the number of served lines or premises in the project area. However, the company shall reduce the number of served lines or premises by the number of verified subscribers divided by H, the ratio of verified subscribers to served lines or premises, above which the company does not require a contribution-in-aid-of-expansion, specified in the company's tariff. This calculation can be summarized by the following formula:

A= (C A * (L - (N / H)) / N)

where A is the dollar contribution from each new customer; C A is the average cost per served line or premise to expand cable service in a project area, specified in the company's tariff; N is the number of verified subscribers in the project area who will be making the contribution-in-aid-of-expansion; L is the total number of lines or customer premises in the project area; and H is the ratio of verified subscribers per served line or premise, above which the company will not require a contribution-in- aid-of-expansion.

(D) A cable company may specify more than one value for C or H in its tariff, based on the number of miles, lines, or premises in a proposed expansion, if there are significant differences in cost based on size or other relevant cost factors of the proposed expansion, including underground excavation.

(E) With a cable company's annual report, the company shall submit a report of the number of additional miles and homes served as a result of its service expansion policy.

(F) Whenever a prospective subscriber or subscribers located in a service expansion area requests a site survey to determine the cost of bringing cable service, the cable company shall conduct a survey and inform each of the prospective subscribers of the contribution-in-aid-of-construction or expansion that may be charged. The cable company shall support the designated community organizer with appropriate information such as an explanation of how the company's line extension policies work, product information, and construction time frames. The cable company shall provide preliminary estimates within 15 business days of receiving the requests. The cable company shall provide a final estimate within 30 days of receiving written approval of the preliminary estimates by all included subscribers. Where site surveys involve a non-conventional extension of more than three (3) ends of line and twenty (20) verified subscribers, the company may have thirty (30) days to provide an initial estimate and sixty (60) days to provide a final estimate.

(G) The cable company shall apply for any necessary pole attachment agreements within thirty (30) days of its receipt of the contribution-in-aid-of-construction from all verified subscribers, and shall make available cable service within ninety (90) days from the receipt of the pole attachment agreements and other necessary permits or easements, subject to weather, Force Majeure, and the performance of make ready.

(H) Nothing in this section shall require a cable company to expand service in the absence of a request from one or more verified subscribers. Cable companies shall maintain maps of serviceable areas.

(I) No cable company shall be required to overbuild another company, or provide cable service to locations where another cable company has already constructed facilities or to which another cable company is required by rule or order of the Commission to construct facilities, or to locations where another cable company has made a binding commitment to construct facilities within the next eighteen (18) months.

(J) Every cable company shall file proposed changes to its line extension policy with the Commission and the Department of Public Service at least forty-five (45) days prior to the effective date of the change, except for changes that only reduce required customer contributions-in-aid-of-construction, which may take effect immediately upon notice to the Commission and the Department.

(K) For the purposes of this section, a "verified subscriber" is a person whose residence or business is in an unserved area who makes a binding commitment to purchase cable service from a cable company for a minimum period of two years, or a lesser period required by the cable company, or pays an amount equivalent to one year of service in advance.

(L) The provisions of this section supercede and remove any requirement to perform "house count surveys" contained in any certificate of public good previously issued by the Commission.

8.314 "Lifeline" Service.

No service offering of any company may be referred to, by tariff or by company promotion, as "Lifeline" service.

8.320 Notice.

8.321 General Requirement.

Every cable television company shall provide, the following written information on each of the following items at the time of installation of service, at least once annually to all subscribers, and at any time upon request:

(A) Products and services offered;

(B) Prices and options for programming services and conditions of subscription to programming and other services;

(C) Installation and service maintenance policies and charges;

(D) Information regarding how to obtain instructions on how to use cable service; and

(E) Channel positions of all programming carried on the system.

8.322 Timing and Content for Notices of Change.

(A) Cable Companies shall notify affected customers, the Commission, and the Department of any changes in rates, charges, or programming in writing. Thirty (30) days' advance written notice is required for any change that increases rates or charges. If advance notice is not required then notice shall be given not later than the first bill following implementation of the change. When the change involves the addition or deletion of channels, each channel added or deleted must be separately identified. Notice is not required for a change to which the customer has previously and specifically agreed, including but not limited to those associated with individual customer contracts. Cable operators shall file written notice to the Commission and Department of promotional rates and services, if such promotions are available or promoted to new customers for more than six months. If the cable operator is given insufficient notice by a service provider to give the required notice above, the operator shall give notice as soon as practicable.

(B) Written notice may be accomplished by letter, bill insert or bill message.

(C) A customer may terminate service without penalty at any time within 30 days of the effective date of a change in rates, terms, or conditions when:

(1) the change may increase the cost of service to the customer; and

(2) the customer has not previously and specifically agreed to that change.

(D) Cable companies shall retain a record of the terms and conditions of service for promotions and individual customer contracts offered to customers during any point during the preceding twenty-four (24) months and make available a copy upon request.

8.330 Telephone Access.

8.331 Hours.

Each company shall maintain telephone lines for the receipt of trouble calls, service complaints, and requests for repairs or adjustment. Unless otherwise ordered by the Commission, the lines shall be staffed by a customer service representative during the company's normal business hours. This staffing provision shall not apply to any system which employs less than four full time employees. At other times an answering service or answering machine must be provided to receive such calls, provided that messages are checked at least every four hours between 7 a.m. and 11 p.m.

8.332 Toll-Free.

Customer calls to customer service representatives must be by way of local, toll-free, or other number which causes no more expense to the customer than would a local call. The company shall list such telephone number on all statements sent to customers.

8.333 Response.

Any such call must be connected to a customer service representative within two minutes during normal business hours, except in case of a system emergency.

8.334 Telephone Listings.

The telephone number of an operator's business office or offices shall be listed in all official telephone directories of all telephone companies serving the franchised area.

8.340 Billing Practices.

8.341 Notification of Billing Practices.

(A) Every cable television company shall notify each of its subscribers, in writing, of its billing practices and payment requirements. The notice shall describe, at a minimum, billing procedures (including payment requirements to avoid discontinuance of service, e.g., payment due dates), late charges, advance billing options, if any, procedures to be followed in billing disputes, and credit to be given for service outages.

(B) Notice shall be given as follows:

(1) to new subscribers, at the time of initial installation;

(2) to all subscribers, whenever there is a change in the company's billing practices or payment requirements; and

(3) to all subscribers at least annually.

(C) Copies of the company's billing practices and payment requirements shall be filed with the Commission and the Department and in the company's business office and shall be given or sent to a subscriber upon request.

8.342 Bill Format.

(A) Twice a year, at six month intervals, each subscriber shall receive a bill or other statement that shall itemize each service or piece of equipment for which the subscriber is charged. If a company bills its subscribers less than twice a year then each bill shall contain such itemization.

(B) Every bill shall include the telephone number of the company and the toll-free subscriber assistance number of the Department of Public Service. The bill shall include a statement that the company should be called first for problem resolution.

(C) Any returned check charge imposed by such company shall be reasonably related to the company's actual cost of processing returned checks, including bank charges, if any, but shall not exceed $ 25.00, absent prior approval by the Commission.

(D) The company's billing practices shall conform to the Commission's Rule 3.400, as amended.

8.343 Credit for Service Outage.

(A) In the event of a subscriber service disruption for more than twenty-four (24) consecutive hours, the cable company shall credit the subscribers affected for the total period of the disruption in an amount proportionate to their regular monthly service charge.

(B) Each subscriber so affected must notify the cable company of the disruption unless there is a system-wide disruption or that subscriber's disruption is otherwise known or should have been known to the cable company.

(C) The disruption period shall not begin until the disruption is reported to the cable company, personally, by telephone or in writing, or otherwise is known or should have been known to the cable company. Receipt of such notice by the cable company, which includes notification to an answering service, company employee, etc., shall cause the disruption period to commence.

(D) Once the disruption period is known by the cable company to exist, for a particular subscriber, the subscriber's credit shall be automatic, and shall require no further request on the part of the affected subscriber.

(E) Disruptions reported after the fact shall not be eligible for a refund.

(F) The minimum credit shall be equal to the company's daily billing for the first twenty-four hour period and each whole or portion of a twenty-four hour period during which a service outage continues. The daily billing is the customer's monthly billing for the services affected divided by the number of days in the month which the company uses to compute its bills.

(G) A cable television company shall conduct routine maintenance of its system at hours during which the least amount of subscriber service interruption shall occur, when practicable. The company shall make a reasonable effort to notify subscribers, in advance, of any scheduled service outages for purposes including, but not limited to, equipment repair or replacement, system upgrade, or rebuild which may interfere with service.

8.344 Subscriber and Converter Deposits.

The provisions of Rule 3.200, as amended, apply to deposits required to be made before service is provided. In addition, if a cable operator supplies a converter or other auxiliary equipment to a subscriber's receiving equipment, it may not require a deposit exceeding the replacement cost, less salvage, of like equipment, to be applied so far as necessary to replacement or repair of the equipment resulting from subscriber abuse. If so applied, the company may require that an additional deposit be paid so as to restore the deposit to its original amount.

8.345 Billing Disputes.

(A) Any subscriber shall have 45 days from the payment due date contained in the subscriber's bill in which to register a complaint with a company with respect to any billing error or dispute. A billing complaint may be registered in person at the company's business office, by telephone, or by mail. The company shall promptly investigate the billing complaint, shall provide an initial response to the subscriber not later than three business days after receipt thereof, and shall provide a written proposal for the disposition of the complaint to the subscriber not later than 15 business days following the company's receipt of the complaint.

(B) The subscriber, after receiving the company's proposed disposition of the complaint, shall have ten days to contest the disposition and may present the company with additional information concerning the complaint. In the event the subscriber contests the proposed disposition, the company shall review any additional information, if provided, and shall notify the subscriber of the company's final disposition within 15 business days of notification of contest by the customer.

(C) No company may effect termination of service to the subscriber for non-payment of disputed bills during the pendency of any billing complaint, provided the subscriber pays current and undisputed bill amounts during the pendency of the complaint.

(D) If a subscriber uses this provision of this Rule to avoid paying proper bills by means of repetitive claims of dispute of each new bill, the company may petition the Commission for permission to disconnect such a subscriber.

(E) The Commission, upon the written request of the subscriber, may review the company's disposition of a billing complaint in accordance with such procedures as the Commission shall prescribe and make such orders as the Commission deems reasonable and necessary to finally resolve the complaint.

(F) A cable company shall not refuse cable video service to a customer due to a delinquent bill owed by another person unless the customer responsible for the delinquency, resulting from service to that household, resides in the same household.

8.346 Disconnection.

(A) The provisions of Rule 3.400, as amended, shall apply, except as provided below:

(B) No cable company may disconnect a subscriber's service except for one of the following reasons:

(1) at the request of the subscriber;

(2) because the subscriber without the company's approval tapped the system to provide cable service or additional service to himself, or service to different or additional equipment or has otherwise tampered with the company's facilities;

(3) because the subscriber made fraudulent representations regarding the use of the service within the subscriber's premises;

(4) because the subscriber so operates or connects his equipment as to cause disturbing effects on the service of other subscribers or the company's equipment or facilities;

(5) to prevent a hazard to persons or property resulting from the condition of the installation or the subscriber's equipment;

(6) because the subscriber refuses reasonable access to his premises to company representatives who must have such access to make required inspections or tests or to make adjustments to or service equipment or to legally remove the company's property or to otherwise comply with conditions of the company's rules and regulations;

(7) because customer-installed equipment is causing signal leakage in violation of federal or state regulations;

(8) for non-payment as otherwise provided in this Rule.

(C) For reasons 4, 5, and 7, above, the company may disconnect without prior notice to the customer, but must leave written notice at the customer's premises explaining why service was terminated and what must be done to have it restored.

(D) Notice of service discontinuance shall clearly state the reason and the action on the part of the subscriber necessary to avoid discontinuance.

(E) No cable television company shall disconnect service for non-payment or as otherwise provided in this rule (except by subscriber request) on a weekend, public holiday, a day when the office of the company is not open for business, or the day before any of the days above.

(F) When a company representative is at a subscriber's residence or place of business to disconnect service and the subscriber, at that time, pays the amount in arrears in lieu of disconnection, the company may add a reasonable collection charge to the subscriber's bill, provided all other applicable provisions of this section have been followed.

(G) Receipt of a subsequently dishonored instrument from a subscriber in response to a notice of discontinuance shall not constitute payment, and a cable company need not go through another Rule 3.400 disconnect notice cycle. The cable company may disconnect on a minimum four (4) day notice that the instrument was dishonored.

(H) This section (pertaining to disconnection and notice of disconnection) does not apply to any person who is not an actual subscriber or who has not requested service, in which case no notice of any kind is required.

8.347 Late Payment Charge.

A late payment charge may be imposed on unpaid balances no less than 60 days overdue and shall not exceed 1.5% of the delinquent amount not in dispute, absent prior approval by the Commission.

8.350 Service Calls.

8.351 Customer Interaction.

(A) Investigative action shall be initiated on the same day a trouble call is received at the local office, if possible, but in no case later than the following business day, unless requested otherwise by the subscriber.

(B) When at the request of the subscriber a service call to the subscriber's premises is required, the subscriber shall be informed in advance, if possible, as to the day thereof and whether the service call is scheduled during the morning, afternoon, or evening. If for any reason a service technician is unable to make the service call as scheduled, a reasonable attempt shall be made to inform the subscriber.

8.352 Records.

(A) A report on each service call in which a cable system fault reported by a single subscriber was identified shall be filed at the local office, and shall include the following data:

(1) subscriber identification;

(2) date and approximate time complaint was received;

(3) date and approximate time of response;

(4) nature of complaint;

(5) brief description of the fault;

(6) signal level measured on each problem channel after corrective action and on other channels, where such measurements are appropriate;

(7) corrective steps taken (if any required);

(8) date case is closed; and

(9) identification of technician or repairman.

(B) A report on each system fault, or on any failure reported by more than one subscriber and affecting an area, shall be filed at the local office and shall include the following data:

(1) cause of failure and brief description of the component or structures causing the failure sufficient to allow the later determination of the area affected;

(2) date and approximate time of failure or report of failure; and

(3) date and time service is restored.

(C) A report for each service call in which no trouble was identified, or in which instruction was given to enable the subscriber properly to adjust the terminal receiving equipment, or in which the fault was in the subscriber's receiving equipment, shall be filed at the local office and shall include:

(1) subscriber identification;

(2) date and time complaint was received;

(3) date and time of response;

(4) nature of complaint;

(5) corrective steps taken (if any required); and

(6) identification of technician or repairman.

(D) Small systems that have only a single technician or an owner-technician may perform the record-keeping required by subsections (A), (B), and (C) by maintaining a log of trouble calls containing the substance of the information called for.

(E) Any report required to be maintained pursuant to this section shall be kept by the operator for a period of two years from the event to which it relates. It may be maintained in original form, as computer data base, or as data base report, at the election of the operator, so long as the basic information remains available.

(F) The records required by this section shall upon request be made available to the Commission and the Department of Public Service. However, the operator may obscure, remove, or delete any personally identifiable information contained in the records if in the operator's opinion it must do so in order to comply with Section 631 of the Communications Policy Act of 1984, 47 U.S.C. § 551.

8.360 Construction.

8.361 Information Filing.

After receiving a certificate of public good for a new service territory, the company shall submit the following to the Commission and the Department, as available:

(A) A map of the service area, showing the planned phases of construction for the entire cable system. Such map and description shall also indicate those parts of the service area that the applicant anticipates would receive service only through application of the proposed line extension policy.

(B) A statement that the applicant has obtained all licenses and other forms of permission required by state and local government bodies prior to commencement of construction.

(C) A statement that pole attachment, conduit occupancy, and right-of-way agreements have been consummated.

(D) Any corrections, updates, or amplifications, to items filed at the time of application for a certificate of public good.

8.362 Compliance with Design Standards; Waivers.

(A) All cable systems constructed and operated within this state shall conform to the minimum design criteria set forth in this rule.

(B) Waivers of specific provisions of the design criteria may be granted by the Commission only upon a showing that strict compliance would endanger the viability of the system.

8.363 System Requirements.

(A) The technical standards contained in Subpart K of Part 76 of the Rules and Regulations of the Federal Communications Commission, as amended, are hereby incorporated into these rules, and made a part of all certificates of public good issued by the Commission for cable systems.

(B) All systems shall be designed and built so that closed caption data can pass through.

(C) All systems shall be designed and built so that they may provide the PEG access capabilities required by section 8.410 et seq. of this rule, or so that those capabilities may be later added without major reconstruction of the system.

(D) Preliminary Performance Tests. Prior to the commencement of service to cable subscribers on any portion of a new cable system or on any substantially reconstructed portion of a cable system, the operator will ensure that the system provides acceptable picture quality by "rough balancing" the active equipment to within plus or minus 5db of equipment specification for peak-to-valley signal performance. These tests may be performed by qualified system personnel or by qualified contractors, and copies of the preliminary test results shall be made available to the Department of Public Service upon request for a period of up to one year after completion of the new or reconstructed cable system.

(E) Final Performance Tests. Within 120 days of completion of a new cable system or any substantially reconstructed portion of a cable system, the operator shall conduct system proof of performance tests to determine the extent to which the system complies with the standards required in section 8.363(A) of this Rule.

(1) All such tests shall be performed by or under the supervision of qualified system personnel or qualified contractors using equipment and procedures necessary to achieve reasonable precision of measurement.

(2) In the event that the measured performance at any end of the trunk test point fails to comply with the technical standards required, the operator shall immediately take steps to insure compliance.

(3) Copies of the report of the final performance test shall be provided to the Department of Public Service upon request and shall be kept available for inspection at the operator's office for a period of five (5) years after completion of the test.

8.364 Timetable.

(A) Application for pole attachment license shall be made to the relevant utilities within fifteen (15) days of receipt of a certificate, and application for make-ready work shall be made within 120 days of receipt of the license. Construction of a cable system shall begin within ninety (90) days of completion of make-ready work for the first phase of cable construction, or as soon thereafter as weather permits.

(B) The operator shall maintain current as-built design maps for its system at its business offices, and shall produce photocopies of such portions of the maps as may be requested by the Department of Public Service.

(C) The operator's complaint department shall begin operation at the same time as service commences.

(D) Unless the Commission shall have waived the requirement, within four years from the receipt of the certificate the holder thereof shall have made service available to all potential residential subscribers in those portions of its franchise area meeting the density tests described in its line extension tariff for no-charge construction. In cases where the operator is unable to extend service because of a lack of right of way or other access problem, the operator shall be moving with due diligence to acquire such access to potential subscribers.

8.365 Safety Codes and Standards.

(A) All construction of cable systems shall be with the use of materials of good and durable quality.

(B) All work involved in construction, installation, maintenance and repair of cable systems shall be performed in a safe, thorough, and reliable manner, and in compliance with:

(1) the "Safety Rules for the Installation and Maintenance of Electric Supply and Communication Lines" of the National Bureau of Standards, U.S. Department of Commerce;

(2) the latest edition of the National Electric Safety Code, as from time to time amended and revised; and

(3) all applicable federal, state, and municipal laws, ordinances, and regulations.

8.366 Placement of Cables.

(A) Wherever practical, a holder of a certificate shall install its system using existing poles, conduits, rights-of-way, and other facilities of utility companies.

(B) If at any time a municipality shall require all utilities to be placed underground, the certificate holder shall, upon reasonable notice by such municipality, conform with such requirement. This provision shall not be taken as determinative of who must bear the costs of placing such plant underground.

8.367 Subscriber Drops.

(A) Each company provides a standard, fixed-price installation from its distribution cable to the subscriber's premises. Installations up to three hundred (300) feet in length (aerial construction) shall be made without additional charge to the subscriber. Drops in excess of this length, any concealed wiring or other custom installation work, and all underground drops, shall be charged at the rates set forth in the company's rules and regulations, which shall provide for a credit equal to the cost of the standard installation.

(B) In areas where existing utility drop cables are located underground, cable subscriber drop cables shall also be located underground where practical. In other areas, the drop cables shall be aerial unless the subscriber elects to pay the costs of underground installation as set forth in the company's rules and regulations.

8.368 Installation of Drops.

(A) When a cable operator receives an application for service, and the only outdoor installation work required is to drop a line from the feeder cable to the subscriber's building, it will make the installation promptly and in no event later than ten (10) days following receipt of the application unless good and sufficient reason exists. Good and sufficient reason may include scheduling conflicts, system emergency, severe weather, and lack of access or right of way.

(B) Cable installers shall be trained to connect closed caption decoders to work with the cable connection. The decoder (provided by the subscriber) shall be connected without extra charge to the subscriber.

8.370 Signal Carriage.

8.371 Channels Required.

Each cable system certificated to operate within this state shall be operationally capable of relaying to all subscriber terminals at least the following signals:

(A) All television broadcast signals, if any, required to be carried in that service area pursuant to FCC rules, as amended from time to time.

(B) All specifically designated access channels required to be carried by that system pursuant to section 8.410 of these rules shall be carried in all service tiers defined as basic tiers by this Rule or federal law.

8.380 Annual Report.

Within one year of the granting of a certificate of public good and annually thereafter as provided by 30 V.S.A. § 22, every cable operator shall file an Annual Report with the Department and the Commission containing the information required by 30 V.S.A. §§ 22 and 514 and any other information the Department may require. The report shall be made in a form acceptable to the Department.

8.390 Availability of Books and Records.

The Commission and the Department shall have the right to inspect the books, records, maps, plans, and other like materials of each cable company applicable to its system or systems in this state, at any time during reasonable business hours. Each cable company shall fully cooperate in making the materials available at reasonable times, provided that where volume and convenience necessitate, the company may request that inspection take place on its own premises. Where information in the materials constitutes trade secrets or other confidential or proprietary information, the company may request that Commission or Department employees given access to that information enter into an agreement to protect such information, in conformance with Commission Rule or Commission practice.

8.400 Purposes, Scope.

(A) Purposes. The purposes of this part (8.400 et seq.) of this rule are:

(1) to promote the availability and use of local public, educational, and governmental content in a manner consistent with the development of cable technology and federal law by providing parameters for franchise renewal negotiations, for negotiations between cable operators and existing or proposed Access Management Organizations, and for resolution of disputes by the Commission; and

(2) to clarify the obligations of and relationship between cable operators and Access Management Organizations with regard to meeting cable-related community needs, and to establishing and administering PEG channels and facilities.

(B) Additional Obligations. The Public Utility Commission as the franchising authority for the state of Vermont may impose additional or specific obligations by condition in a new or renewed certificate of public good consistent with these rules. The scope of operator and subscriber support for PEG access should be limited to those applications and designations of capacity that support distribution of public, educational, and governmental access content to cable subscribers over the cable system.

(C) Scope. This rule applies to cable television companies as defined in 30 V.S.A. § 501(c) to the extent that they offer cable television services as defined by 47 U.S.C. § 522 and to existing or proposed Access Management Organizations (AMOs) that administer the PEG access facilities or channels.

(D) Digital cablecasting of PEG Channels. One year prior to the Federal Communication Commission deadline for Vermont VHF and UHF broadcasters to relinquish analog bandwidth, the Commission will consider initiating rulemaking to ensure that community needs and PEG access services are being adequately supported in light of evolving technology and consistent with FCC regulations.

8.401 General Obligations of Cable Operators.

For purposes of franchise negotiations, a cable operator must demonstrate that its proposal for PEG Access is consistent with these rules and reasonable in light of the cable-related community needs taking into consideration costs on the cable operator and cable subscribers. In order to meet community related cable needs, cable operators shall be prepared to:

(A) Designate system capacity for the use of PEG channels and applications.

(B) Consider requests for PEG channels and other applications.

(C) Designate an Access Management Organization (AMO), when requested.

(D) Provide PEG facilities.

(E) Provide PEG funding.

(F) Notify subscribers, Commission, and Department of (A) through (E).

8.402 Provision of System Capacity for PEG Access.

(A) Absent a waiver by the Commission, a cable operator shall be prepared to designate and activate at least three forward viewable PEG channels.

(B) In lieu of viewable channels, a cable operator and an Access Management Organization may agree that the cable operator should dedicate system capacity or facilities in a form other than a forward channel to support the distribution of PEG content to cable television subscribers in order to meet its PEG access obligations.

8.403 Activation of First Three PEG Channels.

The operator of a cable television system shall designate:

(A) At least one full-time activated channel for public, educational, and governmental access use.

(B) At least one additional full-time channel for public, educational or governmental access use, to be activated at such time as is requested by the AMO and after the channel required by paragraph (A) is already in use. The cable operator shall provide the channel within a reasonable period of time following the submission of the request.

(C) One additional full-time channel for public, educational, or governmental access use, to be activated at such time as is requested by the AMO and after the channel required by paragraph (B) is already in use. The cable operator shall provide the channel within a reasonable period of time following the submission of the request.

(D) In the event that three channels for public, educational, and governmental use are required to be activated, one channel shall be designated for each type of use; provided, however, that any channel maybe used for any PEG purpose if necessary to satisfy the demand for channel time, and, should more than one AMO exist, as agreed by the AMOs. Pooling of channel time shall be done in conformance with the system's PEG access plan.

(E) When no other PEG access programming is available for cablecasting, and no PEG access management organization (as described in section 8.420) exists, the operator shall make available programming, at a minimum, in the nature of a character-generated community bulletin Commission. When submissions are available, the operator shall post content on the PEG access channel community bulletin Commission that is up-dated at least weekly and contains information relevant to the particular PEG access service area where it is seen.

(F) PEG channels may be activated at a headend or hub site within the service territory.

(G) Requests for activation of PEG channels shall be submitted and reviewed as provided in section 8.405.

8.404 Activation of Additional PEG Channels or Other PEG Applications.

(A) Additional PEG access channels. Activation of additional PEG access channels may be requested at such time as the channels required by section 8.403 are in use.

(B) Other PEG Applications. A cable operator may propose, or an Access Management Organization may request, that a cable operator dedicate system capacity or facilities in a form other than a channel to support the distribution of PEG content to cable subscribers.

(C) It is not necessary to utilize the first three PEG channels prior to a request for other PEG applications. This does not preclude an AMO's ability to request and receive three PEG channels pursuant to section 8.403.

(D) Requests for PEG channels and other PEG applications shall be evaluated using the criteria and process provided in section 8.405 and implemented as negotiated between the operator and AMO or AMOs.

8.405 Consideration of Requests for PEG Channels and Other PEG Applications.

Requests for the activation of PEG channels or other PEG applications shall be submitted to the operator and reviewed as follows:

(A) The request must describe:

(1) The use or functionality for which the capacity will be used and include any current mechanisms or operating expenditure this new functionality might be used to replace;

(2) Examples of its use;

(3) The community need that the PEG channel or PEG application is intended to address, how such community need has been ascertained, and how that need will be met by the PEG channel or PEG application requested;

(4) The equipment and facilities, initial and ongoing operating and capital expenditures necessary to implement the request;

(5) The estimated cost of the functionality to the AMO and the extent to which the cable operator is expected to support the cost;

(6) How the use or functionality can be sustained, financially and operationally, by the AMO, including commitments made by others to support the request;

(7) Why the use or functionality requested is consistent with current or planned services to be offered by the existing or proposed AMO;

(8) Other reasonable materials deemed necessary by the operator to consider such request.

(B) Cable operators shall do the following in reviewing and responding to requests for PEG channels or other PEG applications:

(1) Provide to the requesting AMO written acknowledgment of receipt of the request and confirmation that the request is complete. If the request is not complete, the cable operator shall so inform the AMO within 45 days, together with an explanation of how the request is incomplete and a description of the information that is needed to complete the request.

(2) Once a request is complete, review and respond in writing to the AMO's proposal within 60 days of submitting a complete request. If an extension is necessary for adequate review or extenuating circumstances, the cable operator shall inform the AMO in writing and provide a reasonable timeframe for responding to the request.

(3) Offer the requesting AMO an opportunity, to the extent possible, to discuss the request with regard to the criteria listed in subsection (C) below, and mutually investigate possible alternatives should any aspect of the request be problematic.

(C) The cable operator shall evaluate the AMO request using the following criteria:

(1) Whether any portion of the request would be in violation of, or would require amendment to, the cable operator's certificate of public good or any existing PEG Access Agreement;

(2) Whether and how costs that would be incurred by the operator or the AMO would affect the cable operator and cable subscribers;

(3) Whether the cable operator has the capacity to meet the request, taking into consideration existing and other potential uses;

(4) Whether the request is consistent with the cable operator's and the AMO's Access Plan;

(5) Whether alternative more cost-effective methods within the purview of the cable operator are available to meet the need asserted in the request;

(6) Whether the request responds to community needs;

(7) Other considerations that it deems relevant.

(D) Cable operators retain discretion to approve, deny, or amend such requests. If a cable operator denies an AMO request, it must provide a written explanation, addressing each of the criteria in subsection (C) and the grounds for denial.

(E) Resolution of disputes arising from requests may be reviewed by the Commission.

8.406 Inclusion in Service Tiers.

(A) The first three PEG access channels shall be available to all cable subscribers. All other PEG access channels shall be available on the basic service tier unless activation of the channel on the basic service tier would require removal of an existing channel from the basic tier. If removal of an existing basic tier channel would be necessary to accommodate an additional PEG access channel, the cable operator shall offer, and the AMO may accept, substitute capacity on the next available analog tier or digital tier as a means of allowing more than three PEG channels to be made available.

(B) All PEG channels on the basic tier shall be delivered in a standard analog format unless all other channels on the basic tier are delivered in a digital format.

8.407 (reserved).

8.408 Designation of Administrative Management Organizations, Generally.

(A) Unless a cable operator has obtained a waiver pursuant to section 8.410 of this Rule, it shall designate an AMO:

(1) that demonstrates the capability to meet the obligations of an AMO, as set forth in sections 8.420 - 8.422 of this Rule; and

(2) that demonstrates the capability to meet all other relevant requirements of this Rule; and

(3) that is willing to enter an access contract, pursuant to section 8.424, on terms that have been negotiated in good faith.

(B) The person or organization that seeks designation as an AMO bears the burden of demonstrating that they or it should be designated.

(C) A cable operator may designate one or more AMOs to provide PEG content within all or a portion of a geographic area where another AMO also provides PEG content.

(D) AMOs may be designated in the certificate of public good at the time of issuance.

(E) The designation of an AMO does not require the approval of the Commission.

(F) AMOs may administer access for more than one cable system or cable channel.

(G) An AMO may be in whatever form its members select.

8.409 Educational and Governmental.

To allow for channels to be activated on a cable television system for educational or governmental use, an educational access channel may be operated and administered by a non-profit organization, committee, or commission representing educational institutions serving the territory served by the cable system. Where more than one cable system is operating in a school system or municipality, cooperation between the AMOs for the respective access channels is encouraged. A governmental access channel may be operated and administered by a non-profit organization, committee, or a commission appointed by local governments, including appropriate representation of local school systems within the service area of the cable television system if it will share the channel with educational use. Absence of an AMO to administer educational or governmental access shall not prevent the cable operator from making available additional channels for educational or governmental access.

8.410 Exception for Small Cable Systems.

The operator of a cable television system with annual gross receipts from 'cable services' of two million dollars or less may be excused from the provisions of Rule 8.400 if said company can demonstrate that is meeting the cable related community needs and interests of its service territory. For the purpose of this subsection, 'cable services' has the definition stated in 47 U.S.C. § 522.

8.411 to 8.414 (reserved).

8.415 Facilities and Funding Generally.

Any cable television certificate of public good may include additional provisions concerning the provision of funding and facilities for PEG access consistent with sections 8.416 and 8.417. Any other provision concerning the facilities and funding for public, educational, and governmental access consistent with federal and state law may be included in a certificate of public good.

8.416 Facilities.

(A) Minimum capabilities. Unless otherwise ordered by the Commission, all operators shall ensure that their systems have available the following minimum PEG capabilities once their systems are in operation. The facilities shall include equipment necessary for community members to produce, post-produce, and distribute PEG content from its studios or community locations to the system's cable subscribers. When an AMO is established, it may negotiate for additional or different facilities to account for community needs and technological changes.

(B) This rule neither forbids nor requires the sharing of equipment and facilities between neighboring systems or between systems owned by the same company if any established AMO or AMOs approves the plan for sharing and, if the sharing is between systems owned by different operators, if the operators approve the plan for sharing.

(C) Cable operators shall support reasonable requests by AMOs for remote origination sites. The cable operator's response to such requests shall take into account community needs and the capabilities of the designated AMO and resulting costs.

8.417 Funding.

(A) Basis. PEG access funding shall be calculated based on the cable operator's gross revenues generated by "cable services" as defined by 47 U.S.C. § 522, unless otherwise agreed by a cable company and the AMO to which the funding would be provided. PEG access funding of an AMO shall be calculated based upon the corresponding PEG AMO's service territory.

(B) Startup capital payment. An AMO may request, and the cable operator shall negotiate concerning the provision of, startup funding. The amount of startup funding, if any, provided to an AMO shall reflect consideration of requests for PEG channels and applications outlined in section 8.405.

(C) Annual operating. Negotiation between the operator and the AMO or AMOs is the preferred method of setting the annual operating expense funding level provided by the cable operator to one or more AMOs. Funding levels for operating costs shall be based on community needs and are subject to the 5% franchise fee cap provided in 47 U.S.C. § 542(b).

(D) Annual capital. Negotiation between the operator and the AMO or AMOs is the preferred method of setting the annual capital contribution for PEG access. Capital contributions are not subject to the 5% franchise fee cap but are considered external costs eligible for pass through to subscribers pursuant to 47 U.S.C. § 542(c).

(E) Other payments. New and existing AMOs, as part of PEG access contract negotiations, may negotiate for in-kind contributions or certain lump sum amounts to be paid by the operator for start-up operating and start-up capital funds, annual capital funds, and other capital improvements under certain conditions or at certain times during the term of the certificate of public good.

(F) Accounting for PEG funds expended by operator in the absence of an AMO. Funds expended by an operator to meet its PEG access obligations and reported in the operator's Notice of PEG Availability ( section 8.418), prior to the establishment of an AMO, may be debited against any funds, reserves, or deferred liabilities that have accrued for PEG access purposes. The documentation of such expenditures, however, must be filed in a timely and clearly itemized manner in the operator's PEG Notification, and value placed on those expenditures by the operator shall have been reasonable, taking into consideration the levels of, and reasons for, expenditures by other PEG access operations.

(G) Legislative tax. In the event a tax or fee is enacted by the Legislature of the State of Vermont, and if it is determined that the tax or fee and a PEG access funding requirement imposed by the certificate of public good or by a PEG Access contract are both defined as franchise fee payments under the Cable Communications Policy Act of 1984, as amended, the PEG access funding requirement shall be reduced proportionately to the extent the state fee plus the PEG access funding requirement for operating expenses total more than 5% of the operator's gross revenues.

8.418 Notice of PEG Availability.

(A) The cable operator shall notify subscribers, by annual written notice and by character generated or video message on the computer bulletin Commission (see section 8.403(e)), of the opportunity to create and cablecast PEG content. Notices shall include name, address, and telephone number of the entity or entities to be contacted for use of existing PEG services, and similar contact information for the cable operator staff responsible for negotiating start-up arrangements with persons seeking to create a new AMO.

(B) If an AMO does not exist in the service territory, the cable operator will also make the following information available: minimum operating rules and procedures for facilitating production of local content and a copy of the PEG Access Report, required by section 8.419, for the most recent year.

8.419 Cable Operator PEG Access Report.

Each cable operator shall submit annually, by April 15, to its designated AMOs, the Department, and the Commission, a PEG access report for each cable system. Copies of this report shall be made available to the public upon request in printed or electronic formats. The report shall include the following information.

(A) Where no AMO is designated, a summary of the prior year's activities, including the scope of programming services available for use by the public in each community served by the operator.

(B) A statement of the facilities contributed to an AMO or AMOs. The statement should indicate whether ownership of the facilities has been transferred to the AMO or AMOs, or whether the operator has retained ownership and only made the facilities available;

(C) If the operator has sought advice for the administration of its PEG access operation from an advisory body, a roster naming the advisors and a summary of the advisory body's activities;

(D) An accounting of any reserves, whether funded or not, that have accrued to date for PEG access use;

(E) Summary of funding, including a statement that funding is derived from subscriber paid PEG access fees, and other support rendered to each AMO in the prior year;

(F) Contact information for cable operator and for AMO(s).

(G) A description of the geographic service territory covered by the report, and an explanation of any changes in the description from the prior year.

8.420 Obligations of an AMO.

(A) The responsibilities of each AMO shall include:

(1) Documentation of and response to community needs;

(2) Delivery of outreach for the purpose of informing the public of the opportunity for access to the cable system and availability of programs and services;

(3) Delivery of training, programming, and services to meet community needs;

(4) Managing facilities and equipment, including maintaining operating rules and procedures, for the purposes of public availability;

(5) Negotiation with the cable operator for facilities and funding;

(6) Coordination of PEG capacity use and applications with cable operator;

(7) Maintenance of rules and procedures for Commission governance, complaint and dispute resolution, and compliance with relevant laws, including Vermont's Open Meeting law;

(8) Receipt and management of all funds in a manner consistent with the public nature of those funds, including the provision of an annual budget for payment of current operating and capital expenses;

(9) Preparation of an access plan which is designed to anticipate the future cable-related community needs and demand for PEG services;

(10) Completing Annual Report pursuant to section 8.422;

(11) Preparation of information required by the cable operator for the submission of the annual PEG access report as required by section 8.419;

(12) Maintenance of records and preparation of forms as may be required by the Federal Communications Commission for its oversight of access channel usage. Such information may be delivered to the cable operator or submitted directly to the F.C.C., as is found expedient by the parties.

(B) The operator may retain any of the responsibilities identified in subsection (A). Any responsibility not explicitly delegated remains the responsibility of the cable operator. The foregoing notwithstanding, a cable operator having existing contracts with AMOs may rely on those contracts to comply with this section until such time as the contracts are renewed or materially amended.

8.421 Meetings and Reports.

All meetings of AMOs shall be open to the public pursuant to Vermont's Open Meeting Law, 1 V.S.A. § 311 et seq., and shall be announced in advance by character-generated announcement on the PEG channel to which it pertains. The access plan, local rules, budget, and annual report of the AMO shall be available to the public at reasonable times and places.

8.422 AMO Annual Access Report.

AMOs shall submit to the cable operator, the Department, and the Commission a PEG access report for each cable system within 120 days of the end of the AMO's fiscal year. Copies of this report shall be made available to the public upon request. The report shall clearly distinguish between expenditures that support production and distribution of PEG content to cable television subscribers, and expenditures for other purposes not related to the production and distribution of PEG content to cable television subscribers, if any. It shall also distinguish between funds provided by the operator as PEG funding and funds obtained from other sources. The report shall also include the following information:

(A) Changes in service territory;

(B) Description of current PEG capacity and applications;

(C) Description of current PEG services, including outreach strategies, training delivery, PEG content production and distribution (for example, hours of original programming, utilization of PEG facilities such as live drops or interconnect);

(D) Details of complaints and how the AMO responded to them;

(E) Description of facilities (equipment and location);

(F) Roster of staff and Commission;

(G) Changes in organizational structure;

(H) A statement of total operating and capital funding received from the operator and whether any funds were carried forward from the prior year;

(I) Financial reports that include:

(1) Income and expense statement and balance sheet for year of annual report,

(2) Projected operating and capital budget for current fiscal year;

(J) Certification that AMO has:

(1) Bylaws or other governing documents,

(2) Rules and operating procedures,

(3) Complaint and dispute resolution procedures,

(4) Evidence of conducting meetings consistent with Open Meeting law;

(K) Planning considerations and expectations for how community needs will be identified and met for current and future fiscal years;

(L) Service quality issues requiring attention;

(M) Copy of tax returns, financial reviews or, if available, audited financial statements;

(N) In the event that the operator requires financial information from an AMO for the purpose of auditing the AMO, or for the purpose of a company audit, the AMO shall make the information available, consistent with other provisions of this section. If an audit is required by the operator, the cost of the audit to the AMO will be borne by the operator, unless ordered otherwise by the Commission.

8.423 PEG Access Contracts.

(A) In cable systems without an AMO, cable operators shall have the obligation to negotiate in good faith with AMOs or entities requesting designation as an AMO.

(B) Entities seeking or having received designation under this Section may request, under section 8.425(a), multi-party negotiations with multiple cable operators with the objective of a single contract.

(C) Contracts between AMOs and cable operators shall be made for a fixed period of time not to exceed eleven years (and normally not past the time the current certificate is due to expire) and be consistent with Commission Rules and include agreements related to the following subjects:

(1) Description of PEG capacity and applications;

(2) Description of geographic service territory;

(3) Term and duration of contract;

(4) Amount of start-up, operating, and capital funds and a schedule for payment of such funds;

(5) Procedures for addressing service quality issues;

(6) Dispute resolution procedures.

(D) If the cable operator is not satisfied that an entity with which it is negotiating will perform properly as an AMO, or if there is more than one entity volunteering to be the AMO for a single channel, the operator or entities may petition the Commission to hear and resolve the dispute.

8.424 Failure to Perform.

(A) If a cable operator believes that an AMO has failed to perform in any material way under a contract, unless otherwise provided in the contract, the cable operator, after providing the AMO with reasonable notice of the failure, may petition the Commission to cure such a failure.

(B) If an AMO believes that a cable operator has failed to perform in any material way under a contract, unless otherwise provided in the contract, the AMO, after providing the cable operator with reasonable notice of the failure, may petition the Commission to cure such a failure.

8.425 Statewide AMO.

The Commission may designate an AMO to administer a state-wide PEG access network and to promote the sharing of PEG content among cable systems.

(A) Petition form and content. An entity seeking designation under this rule as an administrator of the statewide PEG access network shall file a petition with the Public Utility Commission. The petition shall include the following additional information about the petitioner's ability to administer the network and plans for doing so:

(1) A description of the organizational structure and management of the administrator along with the administrator's articles of association and bylaws;

(2) Demonstration of sufficient technical and managerial expertise to administer the service;

(3) Description of committed or tentative funding sources for the AMO, or a proposal for providing funding out of the existing PEG access obligations of cable companies;

(4) A plan for coordination of services with other AMOs;

(5) A proposal for location of the AMO's office, studios, and equipment, and the extent of the AMO's operations around Vermont;

(6) If the state-wide PEG access network currently has an administrator, an explanation of the reason for changing administrator designation and an administration transition plan.

(B) Service of petition. The petitioner shall provide a copy of the petition to the Department of Public Service, all cable companies operating in Vermont, and all AMOs. Along with each copy of the petition, the petitioner shall provide a list of the persons served under this paragraph.

(C) Order. After notice and opportunity for hearing, the Commission shall issue an order accepting, conditionally accepting, or rejecting the petition.

(D) Provisional designation. The Commission may provisionally designate the petitioner as the statewide AMO, even if the AMO does not yet have a fully-developed capability to administer the statewide access network. This designation may be for a fixed period of time. The Commission may, in its order granting provisional designation, limit the obligations of cable companies to a provisional statewide network AMO.

(E) Term and revocation of designation.

(1) The term of a non-provisional administrator designation shall be indefinite unless specifically limited by the Commission. Designation as an administrator may not be transferred to a successor without prior Commission approval.

(2) Upon its own motion or upon the petition of the Department or an entity or person adversely affected by an administrator's performance, the Commission may after notice and opportunity for hearing revoke or suspend its designation of an administrator, may impose additional conditions on continued designation to assure the statewide AMO adequately administer the statewide access channel, complies with conditions of its designation, or take other such actions that serve the public good of the state.

(3) The burden of proof in a revocation hearing is on the party seeking the revocation or suspension; the standard of proof is the preponderance of the evidence.

8.426 Request for Statewide PEG Capacity and Applications.

(A) Requests for PEG capacity and applications that will serve statewide purposes must be submitted by the statewide AMO to the cable operators and will be considered by the Commission after consultation with all licensed cable operators.

(B) Request for statewide services or applications shall include a description of:

(1) The community need and how that need is met by the request;

(2) The use or functionality for which the capacity will be used and include any current mechanisms or operating expenditure this new functionality might be used to replace;

(3) The equipment and facilities necessary to implement the request;

(4) The estimated cost of the functionality and whether such costs will be borne by cable operators and cable subscribers;

(5) The budget and source of funds necessary to sustain the functionality;

(6) How the use or functionality can be sustained, financially and operationally, by the AMO, including commitments made by others to support the request;

(7) How this request is consistent with needs of the state, and whether the services would complement or replace the services currently provided by local AMOs;

(8) The management structure necessary to support the request;

(9) Evidence of coordination with local AMOs, if necessary;

(10) Guidelines for management and public use of the capacity and/or application;

(11) Other reasonable materials deemed necessary by the Commission.

8.427 (reserved).

8.428 Notice.

The entity responsible for administering and operating a public, or a public access channel combined with an educational or governmental access channel, shall provide notice to the general public of the opportunity to use such channel on the community bulletin Commission (subject to section 8.403(e)). Notices shall include the name, address, and telephone number of the entity to be contacted for use of the channel. All access programming shall be identified as such.

8.429 Time.

Channel time shall be scheduled on the public access channel by the entity responsible for the management thereof on a non-discriminatory basis; except that the entity may prevent any single user, or type of user on a combined PEG access channel, from monopolizing the programming time available.

8.430 Local Priority.

Local presentations or programming produced through local use should be given preferred status on Public, Educational, and Governmental access channels in the event of competing requests for channel time, except for any state-wide PEG access channel.

8.431 Usage Charges.

Neither the cable operator nor an AMO may charge any person for channel time for PEG access programming.

8.432 Control of Content.

The following guidelines shall apply to editorial control of PEG access content:

(A) Municipality. A municipality shall not exercise any editorial control over any use by the public of a PEG access channel; but if the municipality appoints a member of an AMO's Commission, that member may take part in decisions of the AMO. A government AMO may control the content of programming that it produces.

(B) Public Access Channel. An AMO shall not exercise any editorial control over the use of the public access channel except that it is encouraged to promulgate non-discriminatory rules that establish late-night safe-harbor hours, parental warnings, or other methods that advise viewers with regard to indecent programming or other programming that may be unsuitable for children.

(C) Educational and Government Access Channels. Access entities that manage an educational or government access channel may promulgate rules for the use of that channel that conform to the policies of the institutions for which it administers and manages the channel. A government/education AMO may set guidelines for PEG content but may not infringe upon the free speech rights of the participating speakers.

(D) Editorial control by operator. Except to the extent provided by 47 U.S.C. § 531(e) and 47 C.F.R. §76.702, the cable television operator shall not exercise any editorial control over any public, educational, or governmental use of capacity designated for PEG purposes. PEG content programmed by an AMO is not owned by the cable operator, except in those instances where such content has been copyrighted by the cable operator.

8.433 Use by Operator.

(A) Where no AMO exists, a cable operator shall be permitted to use PEG capacity or applications for the purpose of promoting PEG use or airing PEG content subject to the programming guidelines of the channel.

(B) Where an AMO has been designated to provide PEG services, a cable operator shall be permitted to use PEG capacity or applications with the permission of the AMO.

8.434 Certificate of Public Good Conditions.

(A) Interconnection of Cable Systems. The Commission may require that a cable company, as a condition of a certificate of public good, enable interconnection of their systems, directly or indirectly, with cable systems throughout Vermont, to provide transmission of PEG access programming between cable systems in the state regardless of the identity of the cable operator.

(B) Institutional Networks, Condition of Certificate of Public Good. Subject to federal law, the Commission may require that a cable company, as a condition of a certificate of public good, make available an institutional network linking state or local government buildings, educational institutions, studios of educational or governmental access administrative entities within its franchise area, or interconnection points for institutional networks serving neighboring franchise areas.

8.435 Waivers, Rulings, and Disputes.

(A) Availability of Waivers. A cable television operator, a municipality, or an entity designated to administer a PEG access service may seek a waiver of one or more provisions of this rule by application to the Commission.

(B) Declaratory Rulings by Commission. Any interested person may seek a ruling from the Commission concerning the applicability or implementation of any provision of this section or any provision of a certificate concerning PEG access.

(C) Disputes and Remedies. Any dispute related to contracts or requirements outlined in this rule may be heard by the Commission.

(D) No editorial control. Notwithstanding the above, the Commission shall not grant any waiver or ruling, or enter any order that constitutes the exercise of editorial control over the content of public access programming.

8.500 REGULATION OF RATES: PROCEDURES TO BE USED IN THE INVESTIGATION OR SETTING OF RATES

8.510 Federal and State Rules.

In any proceeding to set or investigate the rates charged by a cable television system, if the Commission has been certified by the Federal Communications Commission to regulate such rates, the Commission will act in a manner consistent with the Rules of the Federal Communications Commission and with Federal law. The Commission will also act in a manner consistent with Vermont law and precedent and with these rules, to the extent they are not preempted or superseded.

History

• EFFECTIVE DATE:
• July 1, 1991 Secretary of State Rule Log #91-11
• AMENDED:
• April 18, 1994 Secretary of State Rule Log #94-17; March 1, 2005 Secretary of State Rule Log #05-07; August 23, 2007 Secretary of State Rule Log #07-028; February 12, 2010 Secretary of State Rule Log #10-005; December 2017 [agency name change from Public Service Commission; rule renumbered from 30 000 043]; 11/1/2022 Secretary of State Rule Log #22-027
• STATUTORY AUTHORITY: 30 V.S.A. §§ 2(c), 502, 209(b) and 517

Chapter 9000 RULE 4.600 DEFINITION OF ELECTRIC TRANSMISSION FACILITY

30-9000 Code Vt. R. 30-000-9000-X RULE 4.600 DEFINITION OF ELECTRIC TRANSMISSION FACILITY

4.600 DEFINITION OF ELECTRIC TRANSMISSION FACILITY IN

30 V.S.A. § 248

4.601 Purpose.

This rule defines the term "electric transmission facility" and clarifies the class of facilities that fall within the scope of 30 V.S.A. § 248. Facilities that are not electric transmission facilities as defined herein may be subject to review under other Vermont laws, such as 10 V.S.A. § 6001 (Act 250). A determination that a facility is or is not an electric transmission facility under this rule does not represent a finding for any other purpose, including with respect to 18 C.F.R. Parts 35 and 385 (Federal Energy Regulatory Commission Order No. 888 and amendments).

4.602 Definition of Electric Transmission Facility.

For purposes of 30 V.S.A. § 248, a facility (including, but not limited to, an electric line) is an electric transmission facility if it is any one of the following:

(A) a facility, other than an electric generation facility or an energy storage facility, constructed to be capable of operating at a nominal voltage greater than 34.5 kV line-to-line (19.9 kV line-to-ground);

(B) a facility, other than an electric generation facility or an energy storage facility, constructed to be capable of operating at a nominal voltage equal to or less than 34.5 kV line-to-line (19.9 kV line-to-ground) if it delivers electric power:

(1) to a substation; or

(2) to or from a transmission line, subject to the exceptions provided below in Paragraph 4.603 of this rule;

(C) a substation, including facilities located within the substation at any voltage, subject to the exceptions provided below in Paragraph 4.603 of this rule.

4.603 Exceptions.

(A) An electric transmission facility under 30 V.S.A. § 248 does not include a facility that operates at a nominal voltage of 34.5 kV line-to-line (19.9 kV line-to-ground) and delivers electric power from a transmission line or substation only to individual customers.

(B) "Substation" does not include stepdown or single-customer transformers, as defined below.

(1) "Stepdown transformer" means a transformer, along with associated fuses and sectionalizing switches, that reduces voltage and connects two or more facilities, where none of the connected facilities are electric transmission facilities.

(2) "Single-customer transformer" means one or more transformers and associated facilities that:

(a) serves only one customer;

(b) has a top nameplate capacity of no more than 5 MVA; and

(c) delivers nominal secondary voltage of 600 volts or less.

(C) A "transmission line" does not include a line that:

(1) existed as a distribution line prior to the interconnection of an electric generation facility or transmission line, and

(2) will continue to be operated as a distribution line after such interconnection.

History

• EFFECTIVE DATE:
• October 15, 1940
• AMENDED:
• July 9, 1947; July 26, 1970; July 11, 1983 Secretary of State Rule Log #83-47; October 2018 [agency name change from Public Service Board; rule renumbered from 30 000 001]; September 15, 2018 Secretary of State Rule Log #18-038; 1/18/2023 Secretary of State Rule Log #22-032
• STATUTORY AUTHORITY: 30 V.S.A. §§ 9, 11(a), 11a(b), & 208